:status and issues/U.S. Department of Commerce. Main report United States.Dept. of Commerce. [Washington] :Dept. of Commerce,1978. Oceanography and state United States. Oceanography Research United States. Marine resources United States. U.S. OCEAN.---- POLICY IN THE 1.970s: .s US AND ISSUES REFERENCE C 11 .1 MT, i'Pl . ....... . 47 br PD 53 54 f/50 rep)- 4 AA SRT 4e 40 48 E Inf6sec 60f t M /24 irs ma 50 72 SNAZIRT 50 55", 43 wor 57 137 62 _67 311 MOM __i - ------ @@sg@- @ 5 Z@7 __66 59 t", T N wor i67 S *N" 49 76' LA 39 47 36 37 Dg§Gbl@ ' " wor A) 58 5 73 ?. 10 @q 5 55 If FT OWID- TH AU6 1977 67 'T Y R 4sec 5 wor 741 CW 44 57 s"s" 1 G 2.,sec 41 (cWart 12324@ 53 BOW HORN - , @_ , 64 71 -53 4 Bn308kHz 71 52 69 07 kop VEGS 6t 65 e ote GONG P01wr 75 H A5@@ 3 jBV-"C 5 1 72 ( 't 66 6 Ip 9 51 69 67'," 36 67 74 6 7Z.- reck 53 63/ 63 74", 67 35 READ 69 22 51 Wreck 67 66 60 @61 Herring 1 21 73 ge"deconk ("Soa A 68 19 (55 ft reP) TAT 4 '/5ft 5 <0. 75 5-7 23 36' 67 SO* 6* A@ 4@ 34 58 75 U.S. DEPARTMENT OF COMMERCE lyr, r 7.,*- Q IfE. W" UnSm OCEAN POLICY IN TH E 1970s: S US AND ISSUES Juanita M. Kreps, Secretary of Commerce Jerry J. Jasinowski, Assistant Secretary for Policy James W. Curlin, Deputy Assistant Secretary for Ocean, Resource and Scientific Policy Coordination Robert J. Blackwell, Assistant Secretary for Maritime Affairs Richard A. Frank, Administrator, National Oceanic and Atmospheric Administration October 1978 U S DEPARTMENT OF COMMERCE NOAA COASTAL SERVICES CENTER 2234 SOUTH HOBSON AVENUE CHARLESTON , SC 29405-2413 W- C" TAT N/I\ C= cl'x@ AM Property of CSC Library For sale by the Superintendent of Documents, U.S. Government Printing Office Washington, D.C. 20402 Stock Number 003-017-00427-9 Foreword and . Acknowledgments The ocean has played a major role in the growth of the United States-as a source of food, in the development of commerce, in the Nation's security, and as a recreational outlet. Today, in the Nation's quest to satisfy expanding needs for energy, minerals, space, food, and recreation, new demands are being placed on the ocean and coastal regions, 'many of which already are intensively developed. Problems relating to these de- mands are intensified by increasing concern about the present and future quality of the natural environment and the best use of resources-many no longer thought to be un- limited. These pressures for development are worldwide and are reflected in the continu- ing effort by the United Nations to reach agreement on an international law of the sea. A decade has passed since the last systematic review of U.S. ocean policy by the Stratton Commission. During the interim, significant changes have taken place in socie- tal values-in the equitable and best use of resources, in environmental law, in techno- logical capabilities, and in the broadening of conflicting interests of use to an international scale. New laws have been enacted to give the Federal Government a measure of con- trol over the use and protection of U.S. ocean and coastal resources, but many prob- lems remain to be solved. If solutions are to be forthcoming, the Federal Government must exercise greater leadership in managing this trust on behalf of all the people. In recognition of this situation, President Carter, in June 1977, requested the Sec- retary of Commerce to make a comprehensive review of U.S. ocean policy. This deci- sion by the President was enthusiastically supported by a number of U.S. Senators and Congressmen. This report is the result of the President's request. It discusses current ocean policies in each major area of civilian ocean and coastal affairs, provides back- ground information on the evolution of policies, describes and appraises the status of Federal ocean programs, identifies issues that need to be resolved, and reviews recom- mendations that have been made by various advisory commissions, councils, and other groups, including legislative proposals where appropriate. The report does not offer rec- ommendations. It is a reference document for study and review of domestic ocean policy, and is intended to provide the background and impetus for discussion and debate of out- standing ocean policy issues. A separate appendix includes a compilation of the stat- utes and executive orders that form the framework of U.S. ocean policy. Preparation of this report was coordinated under the general direction of the Sec- retary of Commerce, Juanita Kreps, within the Office of the Assistant Secretary for Policy, Jerry J. Jasinowski, under the supervision and guidance of James W. Curlin, Deputy Assistant Secretary for Ocean, Resource and Scientific Policy Coordianation. The study was compiled in consultation with Richard A. Frank, Administrator of the National Oceanic and Atmospheric Administration, and Robert J. Blackwell, Assistant Secretary for Maritime Affairs. Although the Department of Commerce had major responsibil- ity for compiling the report, major contributions were made-by the Department of the Interior, Department of Transportation (U.S. Coast Guard), and the National Advisory Committee on Oceans and Atmosphere (NACOA). Over 100 persons were involved. Comments were offered by a wide range of reviewers in the academic and private sectors, at State and Federal levels of government, and from the Congress. The principal authors and their organizational affiliations are: e Alfred W. Anderson, Office of Legislative Affairs, National Oceanic and Atmospheric Administration, Department of Commerce * Berton J. Braley, Jr., Maritime Administration, Department of Commerce 0 James W. Curlin, Deputy Assistant Secretary for Ocean, Resource and Sci- entific Policy Coordination, Department of Commerce iii * Harry Feehan, Office of General Counsel, National Oceanic and Atmos- pheric Administration, Department of Commerce * Nancy M. Foster, Office of Ocean Management, National Oceanic and Atmospheric Administration, Department of Commerce Bruce G. Gellin, Office of the Assistant. Secretary:' for Policy, Department of Commerce 14 @ @4' arold F. Gortner, Office of the Assistant Secretary for Policy, Department of Commerce Chris Heller, President's Reorganization Projects, Office of Management and Budget Robert C. Junghans, Office'of -P18ii6y'afid Planning', National Oceanic and Atiriospheric Administration, Department of Commerce - Capt. William E. Lehr,'Offic6 of the Chief of Staff, U.S. Coast Guard, Department of 'Transportation Barbara 'Lloya,. Office 'of the Assistant Secretary for Energy and Minerals, Department of the Interior' Catherine E. Meleky, National Mair'ine Fisheries Servic.eI.National Oceanic and Atmospheric Administration, Department of Commerce * Edward J. Pastula, Jr., National Marine Fisheries Service, National Oceanic and Atmospheric Administration, Department of Commerce * Richard N., Rigby, Office of Coastal Zone Management, National Oceanic and Atmospheric Administration, Department of Commerce . * Brian J. Rothschild, Office of Policy, and Planning, National Oceanic and Atm ospheric Administration, Department of Commerce * Charles F. Treat, Office of Ocean, Resource and Scientific Policy Coordination, Department of Commerce * John T. Willis', National.Advisory. Committee on Oceans and Atmosphere * Patrick H. Windham, U.& Senate Committee on Commerce, Science, and Transportation * William W. Windom, Office of the Naval Deputy, National Oceanic and Atmospheric Administration, Department of Commerce Production of the study was overseen, by Neil A. Benfer, Scientific and Technical Publication Division,- National Oceanic and Atmospheric Administration. Production was by Carol A. Owenby; Office of@ the, Assistant Secretary for Policy, Department of Commerce, and Debra L. Walker, National Advisory Committee on Oceans and Atmosphere. iv Contents Page FOREWORD CHAPTER I: INTRODUCTION 1-1 CHAPTER II: THE NATION'S STAKE IN THE OCEAN OCEAN RESOURCES ............................................... 11-1 Fisheries ......................... e .................................. 2 Oil and Gas ................................. 4 .............. ....... Manganese Nodules .................................................. Other Resources ....................................... I............. 3 OCEAN USES ..................................................... 4 National Defense ........................................ ......: ..... 4 Merchant Shipping .......................... a................. ..... 4 Recreation .............................................. ........... 4 Other Uses and Concerns .......................... 6 .................. -5 SUMMARY ........................................................ 1 5 CHAPTER III: MARINE FISHERIES CHARACTERISTICS AND STATUS OF U.S. FISHERIES ................ U.S. Fishing Effort ....................................... ! .......... 1 Commercial Fishery ..................................... I Harvesting .................................... .............. . I Processing ......................................... i.....6... : . I Regional Impacts ........................... 4 .................... 2 Domestic and Foreign Market Shares .................... i........... 3 Recreational Fishery ....................... 0. 0 6 ............... 4 Foreign Fishery ...................................................... 4 U.S. Overseas Fishing ................................................. 6 Marine Mammals ................................... I......... 4 ....... 6 Fish Imports ....................................................... 6 Factors of Demand .......................... * ....................... 7 Fish in the Food Budget ........................................... 7 Fish Prices ............................. i ............... 4 ....... 8 Status of Representative Stocks ............... .................... 8 Clams ........................................................ 8 Crabs .............................................. 8 Atlantic Groundfish i ............................................ 8 Pacific Groundfish ............................................... 9 Gulf of Mexico Groundfish ........................................ 9 Halibut ........................................................ 9 Herring ....................................................... 9 American Lobster ........................ ............ 9 Spiny Lobster ................................. ....... 9 Menhaden ..................................................... 10 Oysters ......................................... ............. 10 Salmon .............................................. ........ 10 Scallops .............. o.............................. 10 Shrimp .............................................. 11 Tuna .............................................. ......... 11 v Contents (continued) Page FEDERAL FISHERIES ESTABLISHMENT ............................ 111-11 Fisheries Research and Information ...................................... 12 Fishery Management and Conservation .................................. 14 Use of Fishery Resources and Development of the Domestic Fishing Industry ............................ 15 Assessments and Exploratory Fishing of Underused Species .................. 16 Development of Vessel and G6ar Technology and Harvest- ing Techniques .................................................... 16 Techniques of Product Handling, Processing, and Storing .................... 16 Assistance in Distribution and Marketing ................................ 16 Financial Assistance to the. Industry ...................................... 17 RELEVANCE OF FISHERIES TO THE NATIONAL INTEREST ........... 18 International Relations ................................................ 18 Food Policy ................................ o....................... 20 Environmental Protection ............................................. 21 Wildlife Management and Conservation .................................. 23 Law Enforcement ............................................. I ...... 24 Economic Development ................................................. 25 Federal-State Relations ............................ I ................... 27 CURRENT FISHERY POLICIES AND PROBLEMS ..................... 29 Marine Recreational Fishing .......................................... 29 Increasing Fishery Productivity ........................................ 31 Restoration of Depleted Stocks .................................... 31 Reduction of Foreign Competition ................................ I .. 32 Developing Underused. Species ...................................... 33 Resource Surveys and Assessments ................... ............... 33 Harvesting Techniques and Technology ..................... I ......... 33 Storage, Processing, and Product Development ........................ 33 Marketing and Economic Analysis .................................. .34 Seafood Waste Recovery ............ o ............................ 34 Fishery Cooperatives .................................... ....... 34 Aquaculture ................................................... 34 Federal Support of Fishery Research .................................... 35 Fishery Management and Enforcement ................ I.......... ....... 37 Consumer Education and Product Quality ......................... ....... 40 CHAPTER IV: COASTAL RESOURCES INTRODUCTION .................. e ..... I ......................... IV-1 THE COASTAL REGION ........................................... 2 Physiographic Characteristics ......................................... 2 Economic Activity .................................................. 4 Population ........................................................ 5 COASTAL ZONE MANAGEMENT .................................... 7 Background ....................................................... 7 Coastal Zone Management Act of 1972 as Amended ....................... 9 National Policy ................................................. 9 Financial Assistance ............. 10 Coastal Zone Program Requirements ............... 1.0 .............. 10 Federal Consistency ..................... ; ,...................... 11 Coastal Energy Impact Program ................................... 12 Implementation of the Coastal Zone Management Act ...................... 13 Federal Agency Involvement ...................................... 13 State Agencies and the Administration of Coastal Programs ............. 14 Local Government and Coastal Zone Management ..................... 15 vi Contents, (continued) Page Consistency Provisions and State Expectations ........................ IV-16 Coastal Energy Impact Program ................................... STATUS OF COASTAL ZONE MANAGEMENT PROGRAM ............. 20 Program Development ..... .. 20 Description of State Coastal Zone Management Programs ..................... 23 Washington State Coastal Zone,Program .................................. 35 Evaluation Criteria .................................................. 38 ALTERNATIVE APPROACHES TO COASTAL ZONE MANAGEMENT ... 3.9 PROTECTION OF COASTAL WETLANDS ......... ... 42 Pressures From New Development ....................................... 42 Importance of Wetlands .............................................. 42 Efforts to Protect Wetlands ................................................ 43 Federal Wetland Protection ....................................... 45 Rivers and Harbors Act of 1899 (Expanded Review) .............. 43 Federal Water Pollution Control Act Amendments of 1972 .......... 44 Estuarine Sanctuaries (Coastal Zone Management Act) ............. 45 Other Related Federal Statutes .......................... o ..... 45 State Wetland Protection ......................................... 46 MARINE RECREATION ............................................ 47 Public Access to the,Coasts ............................................ 49 Access to Public Beaches .............................................. 50 Public Beach Resources ......................................... 50 Expanding the Public Beach Resource .............................. 51 Proposed Federal Beach Legislation .................................... 53 Federal Programs Supporting Marine Recreation ................... ...... 53 Equitable Use: Private vs. Public Interest ................................ 56 Conflicting Uses ..................................................... 58 Role of the Private Sector ............................................ 58 OCEAN AND COASTAL HAZARDS .................................. 59 Introduction ....................................................... 59 Natural Hazards .................................................... 60 Elements of Natu ral Hazard Management ............................. .... 61 Prediction and Warning ............................................ 61 Land Use Management .......................................... 64 Disaster Preparedness Plans ....................................... 66 Hazard Mitigation .............................................. 67 Disaster Relief and Rehabilitation ................................... 68 Federal Agencies in the Natural Hazard Management System ................. 69 SITING OF ENERGY FACILITIES ON THE COAST .... ................ 71 Introduction ....................................................... 71 Background ........................................................ 72 Shortcomings of the Older Laws .................................... 72 Recent Developments ............................................ 73 Sitings of Particular Kinds of Coastal Energy Facilities ..................... 73 Oil Tanker Facilities, Including Deepwater Ports ...................... 73 Outer Continental Shelf Oil and Gas ................................ 75 Liquefied Natural Gas (LNG) Facilities ............................. 75 Other Onshore Energy Facilities ................................... 76 Floating Offshore Nuclear Powerplants ...................... 77 The Role of Coastal Zone Management in the Siting of Energy Facilities ....... 77 The California Lawsuit ............................................... 78 NONFUEL MINING ON THE CONTINENTAL SHELF .................. 80 4ntroduction ......................................................... 80 vii Contents (continued) Page Extent and Distribution of the Resources ................................. IV-81 _- Potential for Mining on the Continental Shelf ............................. 81 Environmental Impact and Conflict With Other Uses ...................... 83 -State Approaches in Dealing With Offshore Mining ........................ 84 CHAPTER V: MARINE TRANSPORTATION INTRODUCTION .................................................. V-1 THE MARINE TRANSPORTATION INFRASTRUCTURE ............... 2 Ports and Harbors .................................................. 3 Aids to Navigation and Safety ......................................... 10 Integration of Nontransportation Objectives in the Development and Operation of the Marine Transportation System .......................... 12 Major Current Issues ................................................ 15 ECONOMIC REGULATION ........................................ 17 Regulatory Imperatives ............................................. 17 Regulation of Foreign Trade Shipping ................................... 19 Regulation of Domestic Trade Shipping .................................. 22 Other Regulatory Responsibilities of ICC and FMC ........................ 24 Major Current Issues ................................................. 25 PROMOTION OF U.S. SHIPPING AND SHIPBUILDING ................ 27 Maritime Aid Before 1936 ............................................ 29 The Merchant Marine Act of 1936 ..................................... 32 Maritime Policy After World War 11 ..................................... 34 The Merchant Marine Act of 1970 ..................................... 37 General Federal Maritime Support Activities 39 Progress Under the Merchant Marine Act of I ......... I ................ 43 Major Current Issues ................................................ 45 CHAPTER VI: THE MARINE ENVIRONMENT THE OCEAN AND THE MARINE ENVIRONMENT .................... VI-1 Environmental Pressures ............................................. 1 The Ocean as a System ............................................... 3 The Oceans and Climate ............................................. 4 Ocean Pollution Research and Monitoring ................................ 5 International Activities ............................................... 6 GOVERNMENTAL EFFORTS TO CONTROL OR MITIGATE MARINE POLLUTION ................................. 8 Federal Marine Pollution Control Statutes ................................ 9 Ocean Dumping .................................................... 11 Marine Protection, Research, and Sanctuaries Act ...................... 11 Status of Ocean Dumping ......................................... 12 Dredged Material ........................................... 12 Sewage Sludge and Ocean Outfalls .............................. 13 Industrial Wastes ........................................... 13 Research and Monitoring Under the Ocean Dumping Act ................ 14 Progress and Issues ............................................... 15 Oil and the Marine Environment ....................................... 17 Introduction ................................................... 17 Vessel Source Pollution .......................................... 18 Oil Spill Liability and Compensation ................................ 19 Oil and Gas Operations on the Outer Continental Shelf [OCS] ................ 21 Legislative Authorities ........................................... 21 Evolution of the Offshore Leasing Program ........................... 21 OCS Environmental Studies ....................................... 22 Deep-Seabed Mining ................................................ 23 viii Contents (continued) Page Introduction ................................................... VI-23 Nature and Extent of the Resource .................................. 24 State of Technological Development ................................ -2@ Potential and Importance to the United States ........................ ..__ 25 Importance of the Minerals ................................... 25 Economic Potential of the Resource ............................ 26 United Nations Law of the Sea Conference ........................... 27 The Federal Role and Congressional Initiatives ........................ 28 Environmental Aspects of Seabed Mining ............................ 28 Environmental Regulation in an International Arena ............... 29 Lack of Environmental Effects Information ...................... 29 State of Knowledge Concerning Possible Impacts, .................. 29 Impacts on the Benthic Environment ........................ 30 Impacts on the Pelagic Environment ........................ 31 Impacts of Processing ................................... 32 CHAPTER VH: MARINE SCIENCE AND TECHNOLOGY TRENDS IN NATIONAL SCIENTIFIC EFFORT ........................ VII-1 National and International Trends in R&D Funding ........................ 2 Trends in Marine Science and Technology Funding ........................ 3 STRUCTURE OF MARINE SCIENCE AND TECHNOLOGY- PERSPECTIVES OF THE FIELD .................................. 4 FEDERAL MARINE SCIENCE AND TECHNOLOGY ESTABLISHMENT .. 5 National Research Facilities ........................................... 7 Federal Research Laboratories ..................................... 7 NOAA Laboratories ........................................ 7 Laboratories of Other Ocean-Related Agencies .................. 14 University-Related Laboratories ................................... 14 The Oceanographic Fleet ......................................... 15 University National Oceanographic Laboratory System ................... 16 Underwater Habitats and Submersibles ................................ 18 Habitat and Diving Activities .................................. 18 Submersible Technology ..................................... 18 Ocean Engineering and Technology Development .......................... 19 Technology and Information Transfer .................................. 23 MARINE RESEARCH PROGRAMS .................................. 25 National Science Foundation ...................................... . 25 Division of Ocean Sciences ..................................... 25 Division of Earth Sciences .................................... 27 Division of Atmospheric Sciences .............................. 27 Division of Polar Programs ................................... 27 The Sea Grant College Program .................................... 27 Other NOAA Marine Research Programs ............................ 28 Navy Ocean Science Program ..................................... 28 Department of Energy ........................................... 29 INTERAGENCY COORDINATION OF MARINE SCIENCE AND TECHNOLOGY ............................................ 31 CHAPTER VIII: MARINE EMPLOYMENT, EDUCATION, AND TRAINING INTRODUCTION .................................................. VIII-1. Present and Projected Employment ..................................... Development of Federal Role .......................................... ix Contents (66htinued) EDUCATION AND TRAINING OF MARINE PROFESSIONALS .......... VIII-7 Present Federal Policy ............................... ........ 1 ....... 7 Federal Support .................................................. 7 Role of the Universities ............................................ 7 Marine Affairs .......................................... ....... 8 Present Marine Education System ...................................... 9' Three Major Federal Programs .................. ...................... .... 10 Office of Naval Research ........................ *................. . National Science Foundation ........................................ 11 Sea Grant .............. Management of the Federal Marine Education Effort ......................... 12 Data and Information ............................................. 12 Coordination ................................................... 14 Major Current Issues ............................................ 14 MARITIME OFFICER TRAINING .................................... 115@ Present Federal Policy .............................. ................. 15 Sources and Employment of Merchant Marine Offi6ers . . : ...................... 16' Controversy Over Maritime Manpower .................................. J7 Licensing and Retraining .............................................. Major Current Issues ................ I................................... 22. VOCATIONAL AND TECHNICAL TRAINING .......................... @23 Present Federal Policy ........................................ I........ .23 Federal Programs .................................................... 24 Major Current Issues .................................................. 25 PUBLIC EDUCATION ............................................. 26 College Preparation Programs ......................................... 26 General Marine Education ............................................ 26 Present Federal Policy ........................................... 26 Federal Programs ............................................... 27 Recent Developments ......................................... ... 27 Public Information ........................... ....................... 28 Federal Policy ....,............................................. 28 Programs and Recent Developments ................................ 29 Major Current Issues ................................................ 20 CHAPTER IX: ORGANIZING THE NATIONAL OCEAN EFFORT INTRODUCTION .................................................... IX-1 MORE EFFECTIVE ADMINISTRATION: AN ELUSIVE GOAL ........... 2 Trends in Governmental Organization ................................... 2 The Trilogy of Organization ........................................... 3 FORMULATION OF OCEAN POLICY ................................ 3 Role of the White House in Ocean Policy ................................ 4 Historical Role of the White House in Ocean Policy ........................ 5 Marine Science Council ...... :.................................... 5 Science Advisory Structure ........................................ 5 Present White House Policy Organization ................................ 6 Policy Councils ................................................. 6 Office of Science and Technology Policy ............................. 8 Council on Environmental Quality .................................. 8 Ocean Policy Unit for White House: An Enduring Proposal .................. 9 Marine Science or Marine Affairs Council ....................... ..... 10 Office of Maritime Affairs Coordinator .............................. 10 White House Councils: Concept in Perspective ............................ 11 Advisory Committees ................................................ 12 x Contents (continued) National Advisory Committee on Oceans and Atmosphere ............... IX-12 National Academies of Sciences and Engineering ...................... 14 ORGANIZATION OF FEDERAL OCEAN PROGRAMS ................... 15 Present Organization: A Point of Departure ............................... 16 Split Jurisdiction: A Special Organizational Problem ........................ 22 Organizational Options and Principles .................... I .................. 23 Organizational Structure and Status ....................................... 23 Independent Agency or Cabinet-Level Department ..................... 24 Integration by Function or Resource ................................ 24 Organization by Function ..................................... 24 Organization by Resource .................................... 27 Separation of Development and Regulatory Activities ................... 27 RECOMMENDATIONS FOR REORGANIZATION ..................... 28 Stratton Commission Recommendations (1969) .......................... 28 President's Advisory Council on Executive Reorganization-The Ash Council (1971) .......................................................... 30 National Advisory Committee on Oceans, and Atmosphere: Third Annual Report (1974) ..................................................... 30 The Moore Proposal (1976) ............................................ 31 The Hollings Proposal: Department of Environment and Oceans (1976) ......... 31 Multipurpose Reorganizational Proposals (94th Congress): Department of Natural Resources-Energy-Environment ............................. 32 Outer Continental Shelf Management Reorganization ....................... 33 Need for Long-Range Resource Planning ................................ 34 SETTING PRIORITIES: THE BUDGET PROCESS ...................... 34 Pages: xii, 328 xi Chapter 1: Introduction It has been nearly a decade since the Commission The tone was set by the space age and the Nation's on Marine Science, Engineering, and Resources faith in science and technology as the key to the (Stratton Commission) released its report Our future. The Stratton Commission's report understand- Nation and the Sea. During the interim, significant ably focused on developing the Nation's ocean sci- changes have occurred in the U.S. use of the ocean ence and engineering capability in order to use the and coastal resources. Because of dwindling land- ocean's resources and protect the marine environ- based resources and changes in world economic ment. The assumption at that time was that a modest order, the United States has become more dependent investment in technology would result in profitable on the ocean for fuel, food, and routes of commerce. use of ocean resources. We have since learned that it An affluent population continues to migrate to the is more likely that economic incentives are a more coastal region, thus placing burdens upon the coast- powerful inducement to technological development line for recreation, home@, and industrial sites. than had been realized, and that technological de- Since 1969, when Our Nation and the Sea was velopment alone will not compensate for a lack of published, the Congress has enacted a number of commercial potential. statutes which affect the use of the ocean and its Since the "blueprint" for U.S. ocean development resources, such as the Coastal Zone Management was drawn by the Stratton Commission in 1969, Act of 1972, Deepwater Ports Act of 1974, Fishery national needs have changed. Ocean resources have Conservation and Management Act of 1976, and taken on new significance, a phalanx of new legisla- the Outer Continental Shelf Lands Act Amendments tion has created a body of domestic "ocean" law, now pending in Congress. Other legislation enacted and international boundaries for the purpose of con- to protect, at least in part, the ocean environment servation and protection of marine resources and the and certain marine soecies include the National En- environment are better defined. vironmental Policy Act, Ocean Dumping Act, Na- It is often said that the United States has no tional Ocean Pollution Research and Development national ocean policy. This is not so. U.S. ocean and Monitoring Planning Act of 1978, Marine Mam- policy is the most sophisticated among the maritime mal Protection Act, Federal Water Pollution Control nations. Its complexity, however, tends to confuse Act Amendments of 1972, Ports and Waterways and perplex the casual observer. The framework of Safety Act, and the Clean Water Act of 1977. This U.S. ocean policy is contained in a myriad of statutes legislation forms a new body of law that focuses on that authorize scores of programs which are adminis- the conservation and protection of the. ocean and tered by numerous departments and agencies of the coastal regions and their resources. Federal Government. This framework was developed During the same period, the United Nations Law in response to individual ocean problems as they of the Sea Conference has met repeatedly to seek arose over time. international agreement. on a new law of the sea. It has been the Congress that has borne the Progress has been painfully slow on the complex burden of developing the Nation's ocean policy in issues dealing with deep seabed mining, passage of recent years. In general, past Presidents have paid vessels through straits, access to coastal waters for little attention to the ocean as a resource to be scientific studies, protection of the marine environ- managed and protected. ment, resolution of conflicts, and creation of eco- As the emphasis on the ocean changes from one nomic resource zones. The outcome of this inter- centered in marine science and technology to one national effort, begun in 1973, is still uncertain. In concerned for the wise use, conservation, and pro- the meantime, many nations have moved unilaterally tection of ocean resources and the marine environ- to establish jurisdiction over resources and uses of ment, it is appropriate to review the Federal laws, the ocean off their shores. It is clear that customary institutions, and programs that have been developed international law is moving toward expanded con- since Our Nation and the Sea was published. trol of the offshore areas by the adjoining coastal In many ways, this study is a progress report of nations. what the Stratton Commission began in 1965. It is In the 1960's, ocean policy was synonymous with not intended to, nor could it, supplant the work of policies pertaining to marine science and engineering. that prestigious group. Rather, the study is intended to achieve three specific objectives: (I) identify and development of options and alternatives for new delineate the components of U.S. ocean policy; directions in national ocean policy. Major Govern- (2) describe the Executive programs and activities mental organizational issues are avoided, because that implement this policy; and (3) identify out- they are being dealt with currently by the President's standing issues and problems that must be addressed. Reorganization Project in a comprehensive frame- The study does not contain recommendations for work. Seven substantive chapters deal with the possible future action, Recommendations for Gov- following subjects: ernment action must come from collaboration among the Federal agencies, States, and public and private * Marine Fisheries interests that have a stake in the future of the ocean * Coastal Resources and its resources. The contents are intended to o Marine Environment contribute to the debate which must now occur in o Marine Science and Technology developing a new ocean agenda. Recommendations o Marine Transportation made by other organizations, such as the National 0 Marine Employment, Education, and Train- Academy of Sciences, National Academy of Engi- ing neering, commissions, committees, councils, aca- o Organizing the National Ocean Effort demicians, and the Congress, are included to empha- size the issues. An overview of these chapters is available as an Thus, the study serves ( 1 ) as a means for generat- executive summary. A separate appendix is being ing discussion and debate over issues of ocean policy, prep@red to summarize '-the statutes and executive (2) as a reference and source for further research documents that relate to and form the framework into U.S. ocean policy, and (3) as input to the of U.S. ocean policy. 1-2 Chapter 11: The Nation's Stake in the Ocean From its beginning, the United States has had an now regulated, and efforts to clean up the Nation's intimate involvement with the ocean. The earliest waters are beginning to have an effect: some coastal settlements were coastal communities that depended waters have been restored to a healthy condition. on the ocean as a link to the old world. As a young However, the ocean is still a major recipient of Nation, America made an early mark in international wastes from industrial societies. The long-term ef- affairs during the Clipper Era when U.S. vessels fects of petroleum and chemicals in the ocean are dominated World shipping. still largely unknown. The country has come to rely on the ocean not Thousands of people derive their livelihood from only for transportation, but for food and energy re- working on or near the ocean. The ocean also sources and as a major factor in our national de- touches the lives of millions who buy goods trans- fense. This reliance has increased in recent years, in ported on the ocean, visit the ocean for recreation, part because of growing shortages of land-based and consume products developed from ocean re- resources. sources. Today the ocean is a mecca for recreation. The ocean has an intrinsic value in that the Coastal areas frequently are crowded during the climates of the world are largely determined by summer as a more affluent and leisure-oriented oceanic and atmospheric currents that transport society turns to the water. The Nation's major indus- heat. Waters of the ocean also are instrumental trial centers and urban population concentrations in controlling gas exchange to maintain the balance also are centered in the coastal region. of oxygen and carbon dioxide in the atmosphere. Greater emphasis on ocean-related activities is While the potential for ocean resource develop- evident in the search for solutions to socioeconomic ment is great, some past predictions about this poten- problems. Shortages of domestic energy resources tial have been exaggerated. Projections in the 1960s have increased our dependence on imports of foreign about feeding the world from the sea, extracting vast oil and natural gas. Development of oil and gas re- amounts of mineral wealth, and other solutions serves in the Outer Continental Shelf is a top na- 'sought from the new field of oceanography were tional priority, in part to offset our dependence on over-dramatized. foreign sources. Projected mineral shortages have The Nation's stake in the ocean is increasing in precipitated plans to use deep sea-floor minerals economic terms, and it is likely to continue to ex- such as manganese nodules. There is increased in- pand. The central issue is whether the governmental terest in fish as a source of low-fat protein as Amer- apparatus and the private sector as they now exist icans consume increasing amounts of fish and fish are sufficient for the amount, extent, and intensity of products. present and prospective uses of the ocean. A parallel Along with increased use of the ocean in recent issue also exists: what is the proper role of the years has come an appreciation of the need to pro- Federal Government vis-a-vis the States and private tect coastal and estuarine waters. Ocean dumping is sector in meeting the ocean needs of the Nation? Ocean Resources The development of ocean resources depends on investments in scientific research. Using a complex a sound base of science and technology and on rea- formula, the Academy estimated that a direct return sonably accurate assessments of the extent and loca- on a 20-year investment in oceanographic research tion of the resources. These factors were reviewed would be more than three times the same investment in a number of reports published since the mid- yielding a return at 10 percent compound interest. 1960s. In 1964 the National Academy of Sciences issued a report. Economic Benefits from Oceano- Later in 1964, the National Security Industrial graphic Research, which attempted to correlate in- Association (NSIA) reviewed the need for ocean creases in the economic value of ocean activity with resource development in terms of the U.S. trade bal- ance and the reduction of our dependence on imports supply minimum animal protein needs for twice the of specific commodities.' In 1966 the Panel on present world population. If we can learn how to Oceanography of the President's Science Advisory use the much more abundant marine animals, not Committee (PSAC) expressed alarm about the now harvested at reasonable costs, we might increase growth of world population vis-a-vis food supplies this harvest ten-fold." The pamphlet was similarly and suggested that increasing the availability of fish optimistic about the potential of marine fossil fuels products might help reduce protein deficiencies .2 In and minerals. 1968 a study prepared for the National Council on An attempt to assess more realistically the value Marine Resources and Engineering Development of ocean resources and ocean uses to the United examined the development potential of fossil fuels, States was undertaken in 1974 by Robert R. Nathan minerals, and other nonliving. resources of the U.S. Associates for the Senate National Ocean Policy continental shelves.3 Other Council studies reviewed Study. The report, The Economic Value of Ocean more specialized aspects of marine development, Resources to the United States, attempted to assign such as the economics of fish protein concentrate, dollar values to the various activities involving the economic aspects of solid waste disposal at sea, eco- ocean. Where no resoure estimates existed, the con- nomic factors in coastal zone development, and sulting firm made the best estimates it could. The multinational investment in ocean activity. study found that primary econornic activity involving The optimism about ocean resource development ocean resources totaled $7.5 to $7.8 billion in 1973 that generally characterized the 1960s was exempli- dollars. Projections for 1985 were $23 to $26 bil- fied in a Department of the Interior pamphlet, Ma- lion. The figures do not include a value for use of rine Resources Development, A National Opportu- the ocean for waste disposal. nity. Published in 1969, this pamphlet used then- The three broad categories of use were living re- current estimates of population growth to project sources ($800 million in 1972), mineral resources a turn-of-the-century U.S. population of 315 million ($3.4 billion in 1973), and nonextractive ocean uses -considerably higher than current estimates. It con- ($3.5 billion in 1972). cluded that the increased demand generated by a Projections of ocean use at the end of the century population of this size could only be met by ex- by Nathan Associates were that energy use, par- panded exploitation of ocean resources. Estimates of ticularly floating nuclear powerplants, would surpass ocean resource potentional included the statement all other uses except production and transportation that "even the most conservative estimates of the of oil and natural gas. food potential of the sea predict that the ocean can Fisheries Fish and shellfish rank relatively low as sources mand for high-cost fish and shellfish varieties and of protein in the U.S. diet, after meat, poultry, and convenience foods, such as frozen fish fillets, fish dairy products. The demand for fish and shellfish, sticks, and breaded shrimp. These consumption pat- however, has risen modestly in recent years. In th-e terms have resulted in the concentration of demand 1950s and 1960s, per capita consumption averaged on shellfish, tuna, salmon, and groundfish. These less than I I pounds per year. In the first 7 years of species accounted for 81 percent of the total value the 1970s, per capita consumption was somewhat of U.S. landings for 1976. The same species also ac- over 12 pounds per year; consumption of fish caught counted for over two-thirds of the cost of imports for recreation adds to this figure. of edible fish that year. U.S. fish consumption has increased despite rising In 1976, a total of 63 percent of the U.S. supply prices of fish and fish products which have generally of edible fishery products -was imported, and the exceeded price increases for meat and poultry. The balance of payments deficit for all fishery product consumption rise can be attributed to growing de- imports was $1.9 billion. Oil and Gas One of the major worldwide problems of the of oil and natural gas. Because of diminishing 1970s has been the "energy crisis." This problem is domestic resources in the face of increasing demand, the result of escalating demand on limited resources National Security industrial Association, Ad Hoc Committee Government Printing Office, 1966. on Ocean Science and Technology. A National Ocean Program. 'Economic Associates incorporated, for the National Council Washington, D.C., 1964. on Marine Resources and Engineering Development. The Eco- 'Report of the Panel on Oceanography of the President's nomic Potential of the Mineral and Botanical Resources of the Science Committee. Eflective Use of the Sea. Washington, D.C., U.S. Continental Shelf and Slope. Washington, D.C., 1968. 11-2 the United States has relied on foreign oil imports cent from State lands and 84 percent from the shelf. to make up the shortfall in domestic supplies. To increase OCS oil and gas production, the De- In 1977, 4.2 billion barrels were imported at a partment of the Interior has accelerated its offshore cost of $42.1 billion; natural gas and ethane imports leasing schedule. The latest official estimates of OCS cost an additional $1.9 billion. One means of reduc- reserves, released in December 1974, placed demon- ing the rise in these balance of payments deficits is strated and measured offshore oil reserves at 3.2 increased domestic -production of oil and natural billion barrels, with another 3 billion in inferred gas while alternative energy sources are being devel- reserves. At that time, the USGS estimated there was oped. Imports now provide about half of U.S. petro- a 95 percent probability of 10 billion barrels in un- leum consumption; therefore, using the untapped discovered recoverable offshore reserves and a 5 oil and gas reserves of the U.S. continental shelves, percent probability of up to 49 billion barrels. The which are the major new domestic source, has as- value of offshore natural gas in demonstrated and sumed a new urgency. measured reserves was stated as 36 trillion cubic U.S. Geological Survey (USGS) figures show that feet with another 67 trillion cubic feet contained in 1976 total oil production from the U.S. continental inferred reserves. Undiscovered offshore gas re- shelves was 462.9 million barrels, 32 percent of it serves were estimated as 0.42 trillion cubic feet, 95 from State lands and 68 percent from the Outer percent probable, and 181 trillion cubic feet, 5 per- Continental Shelf (OCS). Offshore natural gas pro- cent probable. An updated estimate is to be released duction in 1976 was 4.296 trillion cubic feet, 16 per- in 1978. Manganese Nodules The greatest potential for the development of ma- steel industry. The United States used 12.8 million rine hard minerals is provided by manganese nodules short tons in 1976, but produced only 50,000 short on the deep-sea bottom. These nodules contain four tons. Most imports came from South Africa and principal minerals: manganese, nickel, copper, and Gabon.r Cobalt is used in small quantities in the cobalt. The most promising nodule beds appear to United States, but is vital to the steel industry. Vir- be within a belt on the floor of the North Pacific. tually all cobalt is recovered as a byproduct of cop- The quantity of nodules in this belt, rich in copper per or nickel. There is no domestic primary produc- and nickel, has been estimated by the National Acad- tion of cobalt. In 1976 the United States imported emy of Sciences at 15 billion tons .4 16.5 million pounds of the mineral, most of which 'In 1976 the world production of primary nickel comes from Zaire and Zambia .7 was 920,000 short tons. The United States used Four international consortia, each including U.S. 159,700 short tons but produced only 13,900. The firms, have been formed to begin deep-ocean mining balance was imported, primarily from Canada.5 operations. These consortia have invested $30 mil- World demand for nickel is growing 3.5 percent lion to $50 million each in research and development annually. This rate of consumption could result in to improve mining technology. Environmental impact the commencement of economically viable manga- assessment work has begun, and additional local nese nodule mining operations in the mid-1980s. assessments can be made as sites are chosen. One Periodically the United States imports a percent- major impediment to development remains: the reso- age of its copper requirements, largely from Chile lution of law-of-the-sea questions concerning juris- and Peru, but generally copper is not now in short diction over operations in the deep ocean outside supply in this country. Manganese, the major ele- national jurisdiction. ment in ocean bottom nodules, is of interest to the Other Resources Other ocean resources also have some economic tained from offshore sources, often for use in beach potential. Some I billion short tons of sand and replenishment. Offshore sand and gravel mining may gravel are used annually in the United States for be of some importance in future marine develop- construction. Much of this material is derived from ment. There are sulfur deposits off the coast of rivers and streams in various parts of the country. Louisiana, but their economic value has been dimin- Because of the costs of transportation, it is normally ished considerably as the result of large sulfur sur- used in the local area. Small amounts have been ob- 'National Academy of Sciences. Mineral Resources and the Department of the Interior, Bureau of Mines, Manganese Environment. Washington, D.C., 1975, p. 141. 1977. MCP-7, October 1977. 'Department of the Interior, Bureau of Mines. Nickel 1977. 1 Department of the Interior, Bureau of Mines, Cobalt 1977. MCP-4, July 1977. MCP-5, July 1977. IT-3 pluses produced by the removal of sulfur from fossil energy production on an economic basis are ques- fuels. tionable. Other marine resources with economic potential In addition to these resources, high expectations now or in the perceivable future are magnesium, in the 1960s led to Federal efforts to obtain fresh- which is extracted from seawater, and varieties of water from brine and ocean waters and to mine gold seaweed such as kelp. These marine plants are har- and other heavy elements in subsea placer deposits. vested and processed into commercial products. Cul- These efforts were discontinued, and there is no rea- tivation of kelp has also been proposed to acquire son to believe they will be resumed in the foresee- fuel for use in generating energy, but its prospects for able future. Ocean Uses Only a part of the U.S. stake in the ocean is bound and Japan are, the United States is more dependent to harvesting its resource wealth. Although the today on the oceans for defense, trade, recreation, United States is not an insular nation, as England and other national needs. National Defense A substantial ingredient of the U.S. stake in the many of which yield economic or social benefits in ocean is the defense it provides as a natural barrier addition to supporting defense requirements. The to military invasion. However, the effectiveness of Navy has, therefore, become a major contributor to the ocean in this role depends on the maintenance the development of a number of ocean activities, of a strong naval posture. Today, naval power de- civil as well as military. pends on advances in ocean science and technology, Merchant Shipping The role of merchant shipping in the U.S. econ- shipping is likely to grow as distribution require- omy is demonstrated by the magnitude of its water- ments continue to expand. borne trade. In 1976 U.S. waterborne foreign export A number of projections indicate that foreign commerce consisted of 282.8 million short tons trade will continue to grow in'response to national valued at more than $64 billion. In the same year, and international economic pressures. Currently, waterborne imports totaled 517.5 million short tons however, only about 5 percent of U.S. foreign trade with a value of almost $81 billion. In addition to is shipped in U.S.-flag carriers. This has aroused this foreign trade traffic, 232.5 million short tons concern about our ability to meet our shipping re- were shipped coastwise in domestic ocean waters quirements in the event of another major war. This during 1976 and another 140.3 million short tons concern, in turn, has prompted efforts to increase were shipped in Great Lakes waters. the capacity and efficiency of our merchant fleet, but Petroleum shipping has become especially im- it now appears unlikely, with continued growth in portant as dependence on overseas energy sources U.S. trade, that the U.S. fleet will be able to carry has increased. Furthermore, a large portion of coast- a significantly higher percentage of the Nation's wise shipping also consists of petroleum transporta- foreign commerce in the foreseeable future. tion, and the prominence of domestic petroleum Recreation The U.S. population in 1976 had increased by 42 percent of the total population lived within easy some 40 percent since 1950. Over the same period of communting distance of the oceans or Great Lakes. time, the constant dollar value of the gross national This population distribution generates a wide-ranging product increased over 137 percent and median recreational use of shoreline areas and coastal waters family income increased over 90 percent, also in by coastal residents, to which must be added the constant dollars. These trends, combined with in- activities of vacationers from inland areas. These creasing leisure time and greater mobility, have activities have a high personal value for those in- resulted in an accelerating growth in outdoor recrea- volved, and major economic value for coastal com- tional activity, much of it along the seaboard and munities and the recreation 'industry. the shores of the Great Lakes. Estimates of expenditures for marine-related rec- Thirty of the 50 States border the oceans or reation are difficult because data on recreational Great Lakes. In 1970, about 85.5 million people or expenditures do not distinguish between coastal and 11-4 inland activities. Despite the general lack of eco- sailing, 1.56 days motorboating, and 0.43 days water nomic data on strictly marine-oriented recreation, skiing. the data that do exist, combined with information The Heritage Conservation and Recreation Serv- on the geographic distribution of the population, in- ice (formerly the Bureau of Outdoor Recreation) dicate that direct and indirect expenditures for ma- estimates that marine sport fishing expenditures were rine recreation have a sizable economic impact. The $3.4 billion in 1975. The economic impact of sport Nathan study estimated consumer expenditures on fishing on marine recreation, however, results not ocean recreation in 1972 at $4.1 billion. only from the sales of fishing, boating, diving, and The 1965 National Survey of Outdoor Recreation other specialized equipment, but from expenditures published by the Bureau of Outdoor Recreation in- for food, lodging, gasoline, souvenirs, and the myriad dicated that the average American spent 2.26 days of other goods and services required by vacationers fishing, 1.58 days swimming in the ocean, 0.16 days and weekend visitors. Other Uses and Concerns In the forefront of today's concerns about ocean though the scientific data to determine the limits of and coastal usage is the present and prospective the ocean's absorptive capacity are just now being siting of major energy production facilities. The developed, the data indicate that the ocean has been availability of cooling water and discharge areas, severely strained in some coastal areas. A major proximity to major markets, and availability of concern in this respect is the quantity of pollutants transportation facilities contribute to a concentra- entering the ocean from rivers and streams, and even tion of energy plants in the coastal region. Current from the atmosphere. Our stake in the ocean in- expansion of Outer Continental Shelf oil and gas cludes not just its uses and resources, but its preser- drilling, continued growth in energy demands re- vation as a resource. quiring new nuclear and fossil fuel electric generat- The most publicized causes of environmental con- ing plants, as well as prospective use of the nearshore cern have been oil pollution resulting from drilling waters as sites for floating powerplants and deep- operations or from maritime accidents involving oil water ports, all represent increased reliance on the tankers, such as the sinking of the Torrey Canyon coastal area for energy supplies. This increased reli- in the late 1960s off the coast of England or of the ance causes problems, some environmental in nature, Amoco Cadiz in March 1978 near the French coast. others of a social and economic type. As a result, Concern about the marine environment, however, major public controversies surround many proposed extends beyond oil pollution to the destruction of coastal energy facility sites. estuarine and wetland fish-breeding habitats, over- The ocean has long been used as a receptacle for fishing of certain fish and marine mammal species, wastes. Disposal of municipal and industrial wastes ocean dumping of waste products in areas where in the oceans is deemed by many to be acceptable they may cause environmental pollution, and envi- as long as waste disposal is controlled to prevent ronmental attention resulting from the operation of environmental degradation. Ocean waters can absorb powerplants. These concerns have led to regulatory tremendous quantities of the waste products of civili- activities to reduce the potential for harm to the zation. There is a real economic offset value for these ocean environment. uses, although it is nearly impossible to evaluate. Al- Summary Throughout its history, the United States has age of ocean coastal waters in some areas. Scientists made significant use of the ocean. With the advent meanwhile work to advance our understanding of the of the science of oceanography in the 1930s, this use composition of the ocean, as well as its characteris- has gradually grown, propelled in part by national tics and condition. defense reasons and in part by economic incentive. Use of, and public interest in, the ocean is in- Now, commercial use of the ocean is a major compo- creasing. Conflicts among uses exist, most obviously nent of the national economy. There are traditional along increasingly cramped coastal areas. As use of uses such as ocean transportation and fishing plus the offshore areas increases, similar conflicts among newer uses such as offshore oil and gas exploitation. users will arise. The challenge of the 1980s is to Recreational use of coastal areas has grown rapidly ensure that our private and public institutions are in recent years. Concentrations of population and capable of developing, conserving, and protecting the industry along the coast have contributed to the dam- ocean resources and the marine environment. 11-5 Chapter III: Marine Fisheries Characteristics and Status of U.S. Fisheries U.S. Fishing Effort Compared to other countries, the United States from nearshore waters. is a relatively minor fishing nation, ranking sixth in In 1977, foreign operations within United States terms of total catch for 1976. In 1976, total world waters have been distributed among 12 nations: Bul- landings were about 73.5 million metric tons garia, Canada, Cuba, East Germany (GDR), Italy, (tonnes).1 (References to metric tons appear as Japan, South Korea, Poland, Republic of China "tonnes" in this chapter conforming with the Inter- (Taiwan), Romania, Spain, and the U.S.S.R. Of this national System of Units guidelines.) Of this total, group Japan, U.S.S.R., South Korea, and Poland are Japan harvested about 15 percent (10.6 million the foreign nations with the major fishing activities tormes); the U.S.S.R. harvested 14 percent (10.1 in United States waters. million tonnes); and the U.S. share was about 4 per- The United States imports edible and nonedible cent @(3.0 million tonnes). fishery products from over 32 countries in every In terms of value, the major U.S. commercial continent of the world. Canada and Japan are the catches are shrimp, salmon, and tuna. These three largest North America exporters of edible products groups account for about 50 percent of the total to the United States, while Japan supplied 45 per- value of the U.S. catch. Other important groups in- cent of total imports from Asia in 1977. Similarly, clude menhaden, clams, crabs, lobsters, oysters, and Canada, Japan, Mexico, and United Kingdom are scallops. Tuna are caught primarily in international the major markets for United States fishery products. waters; salmon, clams, crabs, and shrimp often come Commercial Fishery 2 The U.S. commercial fishing industry primarily a record harvest of shrimp (216,208 tonnes) and comprises four interrelated activities: harvesting, increased landings of crabs (180,776 tonnes), sal- processing, transporting, and distributing/marketing. mon (152,246 tonnes), flounder (76,931 tonnes), and clams (43,617 tonnes). However, landings of Harvesting tuna at U.S. ports in 1977 decreased about 30 per- The harvesting segment lands between 1.8 and cent to 156,594 tonnes, down from 220,234 tonnes 2.4 million tonnes of finfish and shellfish annually- in 1976. Landings of tuna by U.S. fishers at foreign or an approximate annual average of 2.14 million ports also decreased by about 30 percent during this tonnes in recent years. Commercial fishery landings, same period. fresh and marine, by domestic fishers at U.S. ports Landings at U.S. ports for industrial processing in 1977 were 2.4 million tonnes (5.2 billion pounds) (mainly conversion to animal feed) were 1.04 mil- valued dockside at $1.5 billion. U.S. landings have lion tonnes with a value of $111 million in 1977. remained essentially stable in recent years despite .the increased U.S. fish consumption and change in Processing 3 catch composition. In 1977, the total value of processed edible and The 1977 harvest of edible species (roundweight, industrial fishery products was about $3.9 billion. or live weight as caught) in the United States was Edible products increased to $3.5 billion (up 13 about 131.5 million tonnes with a value of $1.4 bil- percent over 1976), whereas the value of industrial lion, the largest since 1951. These landings included fishery products decreased to $372 million, a decline of 5 percent compared with 1976. This 'U.S. Department of Commerce, National Marine Fisheries decline is attributed to a reduction in the value of Service. Fisheries of the United States 1977. NMFS Current Fishery Statistics No. 7500, p. 28, April 1978. 2Ibid. Ibid., pp. iv, 22-36, and 69. canned animal food. The processed products for ities at $6.7 billion, based on 1973 data. This figure human consumption in 1977 consisted of: is less than I percent of the Gross National Product.' Table 3-1 summarizes the commercial industry's * canned products---418,186 tonnes, recent record. * fish portions- 15 9,111 tonnes, * fillets and steaks-68,018 tonnes, Regional Impacts * breaded shrimp-42,698 tonnes, and In certain U.S. regions, the importance of the * fish sticks-39,458 tonnes. fishing industry relative to other industries is more Industrial products consisted of: significant than indicated by the national picture. * fishmeal-256,803 tonnes, For example, employment related directly to fisher- * bait and animal food-231,845 tonnes, ies in Alaska accounted for 19 percent of the total * solubles-1 10,937 tonnes, and State employment and 7 percent of the gross State * fish body oil-60,654 tonnes. production in 1973.11 When both the direct and indirect effects of the Alaska fishing industry were In 1976 there were 1,668 plants processing fresh considered, they contributed about 23 percent to em- and marine fishery products in the United States that ployment and 12 percent to the gross State product." seasonally employed 77,900 people. In the same year, 1,992 wholesale plants seasonally employed 13,900 people. The number of plants engaged in Table 3-1.-Commercial fishing industry statistics, canning, preparation of fillets and steaks, and pro- 1960-771 duction of industrial fishery products increased from 520 in 1976 to 533 in 1977. Most of the@e types of Commercial landings and imports plants are in the Pacific States, and their primary U.S. per capita product is canned fish. The South Atlantic and Gulf World utilization U.S. per capita States have the largest number of plants for process- commercial (edible and consumption ing industrial fish. The largest number of plants for catch nonedible) (edible only) processing fillets and steaks is in the New England billion pounds pounds pounds States. Several large firms dominate the processing 1960 83.2 45.5 10.3 portion of the industry in sharp contrast to domestic 1965 115.5 54.2 10.8 harvesting operations. Ninety percent of the U.S. 1966 125.2 63.4 10.9 1967 133.4 70.4 M6 fishing vessels are independent operations and em- 1968 141.1 86.6 11.0 ploy fewer than five persons .4 1969 139.1 58.4 11.2 About 161,400 persons worked in the harvesting 1970 152.8 56.0 11.8 1971 153.7 57.0 11.5 sector of the fishing industry in 1974.,5 This figure 1972 144.6 66.3 12.5 includes some persons who were involved on only a 1973 145.7 49.3 12.9 1974 153.9 46.6 12.1 part-time basis. An additional 92,000 people (also 1975 153.7 47.4 12.1 including some part-time persons) were employed 1976 162.0 53.7 13.0 in the processing and wholesaling segments. Thus, 1977 - 48.8 12.8 the approximate total employment of the commercial 'Source: U.S. Department of Commerce, National Oceanic and processing segments was 253,000 in 1974. This and Atmospheric Administration. Fisheries of the United States, figure is small relative to total U.S. employment, but 1960, 1965, 1966, 1967, 1968, 1969, 1970, 1971, 1972, 1973, significant when compared to employment in some 1974, 1975, 1976, 1977. major industries such as: electrical wiring and appli- 'NOTE: 1 metric ton (tonne) = 2,204,6 pounds. ance equipment (227,000), plastics materials and synthetics (224,000), dairy products (202,000), household appliance manufacturing (197,000), coal 'Centaur Management Consultants, Inc. Economic Impacts mining (160,000), nonmetallic minerals (117,000), of the U.S. Commercial Fishing Industry. NMFS Contract No. 6 and metal mining (86,000). 4-36756, Washington, D.C., 1975, p. V. 'These figures were derived by the National Marine Fisheries The National Marine Fisheries Service estimates Service. Employment figures were developed from: (a) NMFS, the total value added by commercial fishing activ- Fishery Statistics of the United States, various years. (b) US. Bureau of Census, Census of Manufacturers, 1972, Industry Series: Miscellaneous Foods and Kindred Products, MC72(2)- 201. (c) U.S. Department of Labor, Bureau of Labor Statistics May 1976, Vol. 22, No. 11. 'U.S. Comptroller General. The U.S. Fishing Industry- 'Values for Gross state Product were based on data from Present Condition and Future of Marine Fisheries, Washington, U.S. Department of Commerce, Bureau of Economic Analysis, D.C., Government Printing Office, 1976, (107 pp.), p. ix. Survey of Current Business, various years. The methodology for 5National Marine Fisheries service, op. cit. note 1, p. 74. computing Gross State Product was based on the procz!dures 'U.S. Bureau of the Census. Statistical Abstract of the United described in: J. W. Kendrick and C. M. Joycox, "The Concept States, 1975. Washington, D.C., Government Printing office, and Estimation of Gross State Product," Southern Economic 1975, pp. 355-356. Journal, October 1965. 111-2 In certain counties, the importance of the fishing The U.S. demand for high-value seafood products industry is more pronounced. Fisheries employment has resulted in increasing the deficit of the U.S. sea- as a percentage of total employment ranged from food trade balance (fig. 3-1). In 1960, the deficit 3.4 percent in Kenai-Cook Inlet to more than 30 was only $285,000; in 1976, it rose to about $2.25 percent in Kodiak. Several counties in Maryland, billion. Texas, Virginia, and Washington also rely heavily The supply of industrial fishery products (such on the fishing industry for income and employment. as fishmeal and solubles) by domestic and foreign landings followed a different trend. In 1960, the Domestic and Foreign Market Shares 10 domestic catch provided for almost 62 percent of the In the United States, landings have not increased. supply; however, by 1968, imports increased to 85 at the same rate as fish consumption. U.S. landings percent. A major factor leading to the decline of for edible food have stabilized at about 1.3 million the domestic share was the rapid growth of the tonnes and in 1977, accounted for 39 percent Peruvian anchovy fishery, which was able to com- -of the total supply of edible fishery products; im- pete with and replace United States products. There portsaccount for 61 percent. Domestic landings for has also been overfishing of menhaden, which is also industrial purposes have displayed considerably more a major industrial fish. Beginning in 1969, domestic variation and currently account for about 73 percent landings began increasing as the U.S. share of the of the total U.S. supply of industrial fishery products. industrial fish market expanded to 73 percent in The reduction in the ability of the U.S. fishing 1977. This increase was due to at least two factors: industry to compete in the fishery market is indicated (1) a sharp curtailment of fishmeal supplies from by the relations of imports and domestic landings to Peru, and (2) rising prices of other livestock feeds, total supply. The market share of edible seafood such as soybeans. products supplied by domestic commercial fishery landings and imports has undergone significant changes in the past two decades. Imports have repre- 3000 sented a steadily expanding portion of supplies of edible seafood products. This increase is due in large 2750 - part to the lack of many desired fish in U.S. waters. In 1960, domestic landings contributed 60 percent 2500 - to total supplies. The domestic share of edible prod- ucts declined rapidly over the next 13 years and reached a low of 34 percent in 1973. This situation 2250- reversed slightly as the domestic share of edible sea- food products reached 39 percent in 1977. The 2000- growth of imports relative to U.S. commercial land- ings is partially indicative of the American con- 1750- sumer's preference for high-valued species of food- fish. In 1974, the United States had less than 6 per- cent of the world's population and consumed 7 151 - percent of all seafood produced (foodfish plus indus- Imports trial fish). However, the United States consumes a 1250 disproportionate share of relatively expensive species of fish. The U.S. market may itself be why some 1000- of the products are "high priced," because the \ !,,, v$, United States has the high income to pay top prices. The same applies to Western European rrations as 750 - Landings well as Japan. In 1974, U.S. consumption accounted for 91 per- 5. its cent of world lobster landings @(both American and 111111115111100% spiny lobsters), 41 percent of world tuna landings, 250 ft and 27 percent of world shrimp landings. Consump- so Exports tion of other high-valued species in the United States included scallops (46 percent), clams (45 percent), 0 and salmon (27 percent). 60 61 62 63 64 65 66 67 68 59 70 71 72 73 7 .4 75 76 Figure 3-1-Value of U.S. landings, imports, and exports (millions of dollars). Source: U.S. Department of Com- "National Marine Fisheries Service. Fisheries of the United merce, National Marine Fisheries Service, Fisheries of States, 1977. U.S. Department of Commerce, NOAA, pp. 52-53. the United States, 1960-76. 111-3 Recreational Fishery The Heritage Conservation and Recreation Serv- recreational catch adds about 3 pounds to the U.S. ice of the Department of the Interior estimates per capita consumption of edible fish, raising the. that 207 million days were spent in salt-water total to nearly 16 pounds per person in 1977. recreational fishing in 1975, resulting in expendi- Increasing numbers of recreational anglers have tures of $3.4 billion. The recreational catch has resulted in additional competition between recre- been about the same size as the commercial food ational and commercial fishing interests for certain fish catch. In terms of per capita consumption, the species (table 3-2). Foreign Fishery Foreign fleets harvest considerable quantities of U.S. waters had been declining in advance of passage fish within 200 nautical miles of the U.S. coast. of the 200-mile law. Japan and U.S.S.R. each show Total foreign harvest, excluding tunas, in the Fishery declining catch trends since 1973. The number of Conservation Zone between 3 and 200 miles of the Japanese and Soviet vessels has tended to decline U.S. coast was about 1.7 million tonnes in 1977. in some areas, and there is evidence of a slight de- The record year was in 1971 when foreign fleets cline in the catch per vessel for both Japanese and harvested about 3.5 million tonnes. The largest Soviet fishermen. catches in 1977 were made by Japan, U.S.S.R., Figure 3-2 illustrates the change in total foreign Republic of Korea, Poland, and Canada. Of major concern to the foreign fleets is the Fish- ery Conservation and Management Act of 1976 establishing the Fishery Conservation Zone, which extended U.S. fishery management jurisdiction from 2400 12 to 200 nautical miles off the U.S. coast. The Act has resulted in a reduction of foreign catches in both the Atlantic and in the Pacific, with the reduction in the Atlantic proportionately greater than in the Pacific. In recent years, however, foreign catches in 2000 - Table 3-2.-Recreational and commercial catch of selected fisheries, 1970 1 1600 - Recreational Commercial Recreational 1975 1977 Fish species catch o catch share Foreign Foreign Catch Allocation thousand tonnes percent Jacks 17.12 100 1200 - Billfishes 6.86 - 100 7 Red drum 30.16 0.67 98 Sand sea trout 13.83 .57 96 Spotted sea trout 48.26 2.78 95 Bluefish 54.80 3.27 94 Atlantic mackerel 32.08 3.64 90 800 - King mackerel 28.41 3.05 90 Croaker 34.22 3.85 90 Kingfishes 16.41 2.00 89 Striped bass 38.00 5.07 88 1975 For 'gn Summer flounders 17.83 2.58 87 Carrh Groupers 18.59 3.72 83 Bonitos 9.63 4.25 69 400 Catfishes 32.89 15.76 68 Weakfish 7.11 3.46 67 Spanish mackerel 10.60 5.51 66 1977 Red snapper 7.86 4.15 65 Foreign Winter flounders 17.04 11.01 61 Allocation Atlantic cod 16.29 24.14 40 0 Rockfishes 6.24 12.52 33 Pacific Ocean Atlantic Ocean Chinook salmon 6.88 14-37 32 Figure 3-2-Catch by foreign vessels in 1975; contrasted 'Source: National Marine Fisheries Service. with 1977 allowable levels of foreign fishing as estab- lished by the Fishery Conservation and Management Act. Source: U.S. Department of Commerce, National U.S. Department of Commerce, NOAA, NMFS. Fisheries Marine Fisheries Service, unpublished statistics 1975, of the United States, 1977. and Fishery Statistics of the United States, 1976. 111-4 harvests in U.S. waters with implementation of U.S. Conservation and Management Act. Table 3-3 controls over the 200-mile zone. Figure 3-3 shows shows the total allowable levels of foreign fishing the long-term trend in foreign fishing in U.S. waters. under existing management plans for 1977 and 1978, Fi@hing by foreign nations in the U.S. 200-mile as well as actual foreign catch statistics for 1977. zone is limited to that portion of the optimum yield -12 Most permits issued in 1977 to foreign vessels of any fishery subject to the authority of the United were awarded to Japan for fishing and support ves- States that will not be harvested by U.S. vessels. sels in Alaska waters. Fishing vessels of the Soviet Both the optimum yield and the surplus to be made Union received 263 Permits, about one-half the available for foreign fishing are determined by the Japanese number, and were scattered throughout appropriate Regional Fishery Management Council the Atlantic and Pacific waters. As of January 1978, and approved by the Secretary of Commerce. The foreign fishing vessels received 677 permits, as fol- Secretary of State, in cooperation with the Secretary lows:4taly 15, Japan 426, Mexico 10, South Korea of Commerce, allocates the total allowable lev *el of 18, Spain 26, and U.S.S.R. 182. The number of foreign fishing for each fishery among foreign nations approved applications pending permits was 261, as on the basis of criteria established under the Fishery follows: Bulgaria 7, Cuba 16, Italy 5, Japan 43, Poland 22, South Korea 33, Spain 4, Taiwan 8, and U.S.S.R. 123. The passage of the Fishery Conservation and 4.0 Management Act and the establishment of the 200- mile management zone bad significant consequences 3.8 - for Japan and the Soviet Union. Japan has the 3.6 - second highest per capita consumption of fish and 3.4 - shellfish. Over 50 percent of Japan's total animal protein intake is from this source. The international 3.2 - fishing grounds provide most of the fish and shell- 3.0 - fish consumed in Japan, because its coastal and 2.8 - inland fisheries contribute less than 30 percent .of its 2.6 - 2.4 - Table 3-1-Allowable levets of foreign fishing, by 2.2 - country, 1977 and 1978, and foreign catch in the 2.0 - Fishery Conservation Zone, by Area, 1977 1.8 - 1977 1977 1978 Allocation Catch 2 Allocation 1.6 1.4 Atlantic thousand tonnes 1.2 - Bulgaria 8.1 4.7 1.5 Canada 17.7 11.4 (a) 1.0 - Cuba 17.7 1.6 9.7 Federal Republic 0.8 - of Germany 6.5 - 0.9 France 1.2 - 1.5 0.6 - Italy Democratic Republic 0.4 - of Germany 20.2 8.0 - Japan 32.0 15.0 8.2 0.2 - Mexico 1.1 - 15.5 Poland 40.0 20.0 5.2 0 Romania 1.4 0.9 - 1963 64 65 66 67 68 69 70 71 72 73 74 75 76 77 Spain 22.9 14.5 18.2 U.S.S.R. 169.1 91.3 91.9 Figure 3-3-Foreign catch in the 200-mile Fishery Con- Pacific servation Zone 1963-77 (millions of metric tons). Japan 1,169.4 1,113.3 1,149.4 Source: National Marine Fisheries Service. Korea 81.2 80.2 92.6 Mexico - - 51.2 :'2 The optimum yield of a particular fishery is defined by the Poland 27.2 20.4 22.9 Act as the amount of fish that (1) will provide the greatest over- Taiwan 5.5 1.5 5.8 all benefit to the United States, with particular reference to food U.S.S.R. 480.8 291.5 402.1 production and recreational opportunities, and (2) is prescribed as such on the basis of the biologically maximum sustainable Source: National Marine Fisheries Service. yield from such fishery as modified by any relevant economic, Preliminary estimates. social, or ecological factor. (a) Negotiations in progress. 111-5 total fishing catch. In 1976 about 3.5 million tonnes, ies have invested in Alaska fish processing plants over 30 percent of its 1976 fishing catch, came from anticipating the day when United States law would waters within 200 miles of foreign countries. For restrict fishing in the Gulf of Alaska and the Eastern several years, Japanese fishing and trading compan- Bering Sea. U.S. Overseas Fishing Fishery agreements concerning U.S. access to Mexico, and Panama. foreign zones for shrimp and tuna fishing are of Currently, the InterAmerican Tropical Tuna Com- primary importance to the United States. The U.S. mission (IATTC) regulates yellowfin tuna in the catch of shrimp taken from the Mexican Economic Commission Yellowfin Regulatory Area from Cali- Zone and Brazilian Economic Zone is as follows: fornia to Peru. Regulations include limits on season in 1976, 95,290 tonnes of shrimp were taken from openings and closings, closed season allowances, and the Gulf of Mexico, 2,390 tonnes from Mexican incidental catch allowances. Enforcement of IATTC waters, and 16,948 tonnes from Brazilian waters. regulations is carried out by member nations against About 400,000 tormes of tuna worth $250 million vessels of their respective flags in the same way that are caught annually in the waters stretching from U.S.-flag tuna vessels are subjected to procedures Southern California to Chile. The U.S. tuna fleet and penalties available under the Tuna Convention takes about 75 percent of the total catch in this area Act of 1950. Future management systems for tuna and has the largest and most efficient vessels. The may combine the U.S. concepts of international man- United States consumes 90 percent of the total tuna agement with individual national jurisdictional catch in the area. claims. The Fishery Conservation and Management Act The vast majority of Atlantic tuna are caught off of 1976 does not include tuna as a species to be the coast of Africa in the eastern tropical Atlantic. managed by the United States. All the coastal nations The U.S. fishery for Atlantic tuna is subject to the of the prime tuna-fishing area claim jurisdiction over provisions of the Atlantic Tuna Convention Act of the tuna within 200 miles of their coasts. The U.S. 1975, and regulated under the International Com- fishing zone law expresses the principle that tuna mission for Conservation of Atlantic Tuna. Most should be managed internationally. Differences in tuna caught in these waters are yellowfin, skipjack, jurisdictional concepts concerning tuna have existed or tropical tunas. Yellowfin and skipjack tunas are for nearly 30 years between the United States and also caught in the western Atlantic. The total catch other countries, especially Ecuador and Peru, result- of yellowfin and skipjack tuna increased from 20,700 ing in the occasional seizure of United States ships. tonnes in 1970 to 21,400 tonnes in 1975. The Inter- The jurisdictional claims concerning tuna could be national Commission for Conservation of Atlantic a source of disagreement between the United States Tuna has established conservation measures designed and nearly every country in the Eastern Pacific to enhance the status of the Atlantic tuna resources. claiming a 200-mile zone, especially Costa Rica, Marine Mammals The National Marine Fisheries Service is respon- Mammal Commission, and members of special inter- sible for the determination of international policy est groups, as observers. The passage of the Fishery proposals concerning whales and other marine mam- Conservation and Management Act extends the U.S. mals except manatees, polar bears, sea otters, and jurisdiction over whales and other marine mammals walrus, which are under the jurisdiction of the De- to 200 miles. The Marine Mammal Protection Act partment of the Interior under terms of the Marine prohibits the taking of whales within the U.S. juris- Mammal Protection Act of 1972 and the Endan- dictional waters and therefore prohibits whaling in gered Species Act of 1973. An exchange of views the near North Pacific Ocean, including Hawaiian is facilitated by interagency committees, whose mem- waters, by Japan and the Soviet Union, the two bership consists of representatives from the Depart- principal remaining commercial whaling nations in ments of Commerce, the Interior, and State, the the world. Council on Environmental Quality, the Marine Fish Imports Historically, the United States has been a net im- products valued at $2.1 billion and exported 148,976 porter of fishery products. In 1977, the United States tonnes of edible domestic fishery products valued imported over I millon tonnes of edible fishery at $473.4 million. In the same year, the United 111-6 States imported nonedible fishery products valued dines, scallops, shrimp, spiny lobster, and tuna. Im- at $543 million and exported nonedible fishery ports of fishery products from these eight groups products worth $47 Million.13 accounted for nearly 60 percent of the total U.S. In 1977, the major U.S. imports of fishery prod- imports of fishery products. ucts were cod, haddock, American lobsters, sar- Factors of Demand While population has been increasing in the ditures doubled. The increase in the outlays for fish United States at about 1 percent per year, the aggre- has partly been the result of increased sales of frozen gate fish 'consumption has been increasing about 3 seafood products. Frozen seafood sales were 14 percent per year. the per capita consumption of percent of the total value of all frozen foods sold fish has involved an increase in the consumption of in 1964; by 1974, the value of frozen seafood sales fresh and frozen seafood. Between 1960 and 1976, had increased to about 20 percent of the total value. the per capita consumption of fish increased from The primary reasons for the incr 'ease in sales of 10.3 to a record 13.0 pounds. With the estimated frozen seafoods appear to be due to the ease of recreational catch added to consumption, per capita preparation and the popularity of" fish portions in consumption ranges from 13.3 to nearly 16 pounds fast-food outlets. for the same period. The U.S. per capita consumption of fish is rela- tively small when compared to the consumption of Table 3-4.-Fo-od consumption of meat, poultry, meat and poultry (table 3-4). The consumer price and fish in terms of actual per capita consumption index for fish increased from 85 to 216 between 1960 and 1976. While the consumer price i@dices Meat Poultry Fish 2 Total for meat and poultry also increased during this pounds pounds pounds pounds period, the gains were not as substantial (table 3-5). Factors affecting the relative strength of the fish 1959 ........ 146.6 35.6 13.7 195.9 1960 ........ 146.9 34.4 13.2 194.5 market in this country include increased public inter- 1961 ........ 145.4 37.7 13.7 196.8 est in diets and nutrition, which finds fish an excel- 1962 ........ 147.1 37.3 13.6 198.0 lent source of low-fat protein, and expansion of 1963 ........ 152.0 38.0 13.7 203.7 1964 ........ 155.7 39.0 13.5 208.2 fast-food outlets selling fish fillets. 1965 ........ 148.3 41.3 13.8 203.4 1966 ........ 151.4 43.8 13.9 209.1 Fish in the Food Budget 1967 ........ 158.3 45.5 13.6 217.4 1968 ........ 162.4 45.0 14.0 221.4 The relative importance of fish compared to other 1969 ........ 161.4 47.1 14.2 222.7 items in the food budget has changed gradually in 1970 ........ 164.6 48.9 14.8 228.3 1971 ........ 170.0 49.2 14.5 233.7 the last 20 years. Between 1960 and 1974, food 1972 ........ 166.5 51.4 15.5 233.4 expenditures as a share of disposable income de- 1973 ........ 154.7 49.6 15.9 220.2 clined from 19.6 percent to 15.8 percent. Most of 1974 ........ 165.2 50.3 15.1 230.6 the commodities in the food budget followed a simi- 1975 ........ 158.1 49.3 15.1 222.5 lar trend, but fish did not. Fish prices went up more I Source: Agricultural Statistics, 1976. than the amounts purchased, and, as a result, ex- .2 Includes gamefish. penditures on fish items as a percentage of disposa- ble income increased from 0.48 percent to 0.78 per- cent. In dollar terms, expenditures at the retail level Table 3-5.-Consumer Price Index for meat, poul- increased from $1.7 to $7.4 billion. try, and fish, 1960-76 Composition of expenditures on major commodi- ties has shifted also. Expenditures on meat have Year Fish Meat Poultry fluctuated between 27 and 31 percent; outlays for 1960 85 87.2 106.9 poultry ranged from 3 to 5 percent. In 1974, poul- 1965 90.8 93.9 101.2 try outlays were slightly more than 3 percent of the 1968 101.6 102.3 103.1 food budget. 1969 107.2 111.4 109 1970 118.0 117.6 108.4 Expenditures on fish as a percentage of the food 1971 130.2 116.7 109 budget, however, increased from 2.5 percent in 1960 1972 141.9 129.2 110.4 1973 162.8 161.1 154.8 to 4.9 percent in '1974. During the years 1960-74, 1974 185.2 173.1 152.0 outlays for fish quadrupled, while total food expen- 1975 195.7 177.9 162.4 1976 216.1 178.2 155.7 "U.S. Department @f Commerce, NOAA, NMFS, Fisheries 'Source: U.S. Department of Commerce, Bureau of the Cen- of the United States, 1977. April 1978. sus. Statistical Abstract of the United States, 1976. p. 439. 111-7 Fish Prices 14 crease. The major portion of the increase is in the Between 1970 and 1976, the average sale price price of shellfish-$0.32 per pound to $0.76 per of fish from boats increased from $0.1247 per pound. Shellfish contribute about 50 percent to the pound to $0.2520 per pound-a 103-percent in- total value of all fish and shellfish. Status of Represeintative Stocks The following discussion of the condition of major Alaska shores; and dungeness crab, which is caught U.S. fisheries is taken from the 1976 report of the off nearly the entire Pacific coast. General Accounting Office entitled, The U.S. Fish- Landings of hard blue crabs were 142.5 million ing Industry-Present Condition and Future of Ma- pounds in 1974. The Chesapeake Bay and Gulf of rine Fisheries. Some fishery experts question some Mexico States were the leading producing areas. of the data and findings of the report, yet the de- The supply of blue crabs is not stable. There are scription of the various stocks is generally consid- insufficient research and information to determine ered to be sound. whether the fishery can be maintained through con- Clams servation at any particular level of 0 abundance or whether the yield is determined solely by natural Landings of hard, soft, surf, and other clams in factors. It is known, however, that the resource is 1975 were Ill million pounds valued at a record environmentally sensitive and pollution can cause $41 million. Almost all the U.S. clam production fluctuations in the resource. Fishery biologists believe comes from New England, Middle Atlantic, and that resource assessment data for the Gulf are insuffi- Chesapeake Bay States. Lack of management and cient to evaluate the status of stocks. , pollution have been problems affecting clam resource The Pacific crab catch in 1975 was 162.2 million availability. pounds, worth $61.5 million. The 1975 catch was In 1975 NMFS estimated the maximum sustain- 15.5 million pounds less than the 1974 catch, but able yield of surf clams to be about 70 million the value was $734,000 greater than the 1974 value. pounds. Landings during 1973-75 exceeded this The 1975 catch of king crab-100 million pounds amount. The highest landings, 96 million pounds, -was the highest since 1968. The rise in the king were made in 1974. crab catch since 1969 indicates that the resource A maximum sustainable yield figure has not been is recovering from overfishing of past years. The established for hard clams; however, a State fishery tanner crab fishery has developed rapidly over the official believes that.the resource is being harvested period 1968-75; landings increased from 3.2 mil- at sustainable levels. More resource assessment is lion pounds in 1968 to the record catch in 1974 of needed and would aid in management of the fishery. 64.1 million pounds before dropping back to 46.2 Maine, which accounted for about 75 percent of million pounds in 1975. The dungeness crab catch the soft clams in 1975, has no established maximum in 1975 was 16 million pounds, valued at $10.3 yield figure for the resource. A State official believes million. The 1975 catch, along with the 1974 catch that the resource is being fished at about the sus- of 16 million pounds, indicates that the declining tainable level possible with current harvesting gear. dungeness crab catch has stabilized since 1970. ' Pollution is the greatest threat to hard and soft According to NMFS, the king and dungeness crabs clams. In the two leading hard clam producing States, are currently under intensive use and the tanner crabs about 25 percent of the clam flats are closed, be- are underused. cause of pollution. About 21 percent of the flats of the leading soft clam producing State are closed Atlantic Groundfish because of bacterial pollution. Pacific coast clam Major Atlantic species of commercial groundfish production is small; however, the coasts of Alaska include butterfish, cod, croaker, flounder, haddock, and Washington have significant and underutilized hakes, pollock, ocean perch, and scup. Heavy fishing clam resources. pressure by both U.S. and foreign fishermen during the 1960s and early 1970s resulted in major declines Crabs in groundfish abundance. Off the New England Commercially important crab fisheries include coast the resource is estimated to have declined 45 blue crabs of the Atlantic and Gulf coasts; king percent between 1963 and 1972. and tanner crabs, which are caught exclusively off Foreign fleets have caused or contributed to the depletion of species, such as haddock and yellow- tail flounder stocks, and reduced the abundance of The exvessel price discussion is based on data presented in stocks of cod, ocean perch, and lower value species, Fisheries of the United States, 1970, 1971, 1972, 1973 1974, Itch as red hake and silver hake. Preliminary data 1975, and 1976. National Marine Fisheries Service, NOA@, U.S. S Department of Commerce. show that foreign fleets caught 363.8 million pounds, 111-8 or 60 percent, of the 602.3 million pounds of major landings to overfishing and to the incidental catch Atlantic groundfish caught in 1974. made by the Japanese and Soviet vessels trawling for Pacific Groundfish target species such as pollock, and ocean perch and sablefish. The 1975 season indicated some improve- The major Pacific coast groundfish species of ment in the halibut stock, i.e., the 25-million-pound commercial interest or potential commercial interest quota established by IPHC for the northeast Pacific include cod, flounder, hakes, lingcod, ocean perch, and the Gulf of Alaska was reached, the catch per pollock, rockfishes, and sablefishes. The Fisheries unit of effort increased, and the abundance of juve- Service estimated that stocks of Alaska pollock niles in the Berin@ Sea increased. ,(Bering Sea stock), yellowfin sole, and yellowtail flounder, and some stocks of Pacific ocean perch and Herring rockfishes are depleted. Also, some stocks of sable- Sea herring stocks in the Atlantic are depleted. fish and Pacific hake and other stocks of flounder During 1975 the total catch in the Atlantic off are intensely fished. U.S. waters was 360 million pounds, of which U.S. Foreign fishing has targeted on Pacific hake, Pa- landings were 80 million pounds, or about 22 per- cific ocean perch, Alaska pollock, sablefish, and other cent of the total catch. groundfish in the Bering Sea and Alaska. U.S. fish- In 1975, the U.S. herring catch in the Pacific, ermen land very little Pacific hake and almost no according to preliminary statistics, was 40 million Alaska pollock. During 1974 the Pacific groundfish pounds, valued at $2.9 million. A 1972 NMFS re- harvest was 5.75 billion pounds, 97 percent of port stated that the catch of Gulf of Alaska herring which was caught by foreign fleets. was considerably less than the maximum sustain- Gulf of Mexico Groundfish able yield of 500 million pounds. Estimates of her- ring population off the California coast indicate that The commercially important groundfish species the resource may be underused. in the Gulf of Mexico are snappers and groupers. The trend in U.S. landings of snapper/grouper has American Lobster been declining since 1965. Snapper landings have Landings of American lobsters in 1975 were 29 declined from 15.9 million pounds in 1965, to I I million pounds valued at $49.1 million. Inshore million pounds in 1973. Grouper landings have landings have generally declined since 1960, while shown the same trend, declining from 9.9 million offshore landings peaked in 1970. pounds in 1954 to 6.6 million pounds in 1973. In The American lobster is seriously overfished, re- addition, recreational fishing for snapper/grouper sulting in depletion throughout its -inshore range yielded an estimated 82.7 million pounds in 1970. (within the former 12-mile fisheries zone). A study Also, in 1971-75, Cuban vessels fishing off Florida in one State concluded that nearly all available legal- harvested from 3.5 to 5 million pounds per year. sized lobsters are caught each year. Research has fittle information is available on the snapper/ indicated that current mortality rates are too high grouper stocks, and no estimates of the maximum and minimum sizes are too low in all areas. sustainable figure have been made. The steady de- While stock assessments have not been sufficiently cline in commercial catch indicates resource prob- complete to establish a maximum sustainable yield lems related to increased fish 'ing pressure by com- for the inshore fishery, NMFS officials believe that mercial, recreational, and foreign flag fishermen. the inshore maximum sustainable yield is conserva- The incidental catch of snapper by vessels trawling tively estimated to be between 25 and 30 million for shrimp also may affect the declining fishery by pounds. As a result of the depleted state of the reducing the abundance of young snappers. stock, landings in the inshore area have declined Halibut despite a substantial increase in effort. Biologists estimate that the maximum sustainable yield for the According to NMFS, the halibut stocks in the inshore fishery from Maine to North Carolina could northeast Pacific and Gulf of Alaska are depleted be taken with about I million pots. In 1975 pre-' and the stock in the Bering Sea is in imminent liminary data indicate that there were 2 million danger of depletion. However, the International pots-or double the capacity needed. Pacific Halibut Commission (IPHC) officials have Although a precise yield figure cannot be estab- stated that the halibut stock in the Bering Sea lished for the offshore stocks because of inadequate is also depleted and actually in poorer condi- catch statistics, fishery officials believe that catches tion than the Gulf of Alaska stock. The U.S. have been within the fishery's sustainable limits. landings of halibut have declined from a high of about 60.7 million pounds in 1954 to about 18.5 Spiny Lobster million pounds in 1974. Industry, government, and Spiny lobsters are found in the Atlantic from IPHC officials attribute the decline in U.S. halibut North Carolina to Brazil and in the Pacific from 111-9 Southern California to South America. The spiny 1959 to about 3.7 million pounds in 1975. Factors lobster is subject to intensive fishing. Total landings that affect oyster production include: in 1975 were 7.7 million pounds, of which landings in the State of Florida were 7.5 million pounds. Of e Natural changes to the environment, such as the total Florida landings, about 5.5 million pounds floods, which affect the salinity of the water (a were harvested from domestic waters and 2 million critical factor in oyster survival) and diseases. pounds from foreign waters. The trend in Florida * Bacterial and industrial pollution, which, as an landings from 1953 to 1973 was generally upward. example, has resulted in the closure of 33,000 The increases were largely due to the harvest landed acres of bottom suitable for oyster production in from the Bahamian fishery, which was closed to Louisiana. U.S. fishers as of August 1, 1975, by the Bahamian 9 Availability of seed oysters. Government. * Obstacles to increased investment in private beds, such as the high risk of loss due to floods, pollu- Menhaden tion, disease, and predators. The predominant species are the Atlantic and Gulf of Mexico menhaden. The Atlantic menhaden has Salmon been fully exploited and will not sustain past levels The five species that make up the Pacific coast of fishing effort. Annual landings in the Atlantic salmon fishery are the chinook, chum, coho, pink, have shown a classic response to a developing fish- and sockeye salmon. In 1975, landings of Pacific ery. Landings increased fairly steadily to a peak in salmon were 201.6 million pounds worth $116.3 1956 and then declined as the harvesting rate ex- million. The pink and chum salmon accounted for ceeded the growth rate of the menhaden population. about 45 percent of the 1975 commercial landings. The population and landings have recovered signifi- Sockeye salmon accounted for about 26 percent, but cantly since the low catch of 390 million pounds in is considered the most valuable for canning purposes. 1969. Landings in 1975 were 605.7 million pounds. The chinook and coho salmon are the least abundant NMFS officials believe that fishing effort is about of the species, but are the object of important com- 25 percent greater than that required to harvest the mercial troll and sport fisheries. estimated maximum sustainable yield and great According to NMFS, salmon resources are, for enough to damage the resource and impair its ability all practical purposes, fully used, but some stocks to sustain itself. are depleted. U.S. landings of Pacific salmon in 1975 The record catch'of Gulf menhaden in 1971 was were 76.8 million pounds below the 1970-74 5-year over 1.6 billion pounds; but landings have since de- average of 278.4 million pounds. The causes for clined and no trend is indicated. In 1975 the catch decline vary from one area to another; however, was 1.2 billion pounds. major reasons for the decline are overfishing, inade- NMFS has concluded from completed studies and quate management, habitat degradation, adverse cli- analyses that the Gulf menhaden resource is healthy matic conditions, and foreign fishing. Alaska and and producing an annual catch that is considered Washington have implemented limited entry systems sustainable. The latest yield estimate for the Gulf in the salmon fishery. menhaden is 1.09 billion pounds. Using an 80 per- cent statistical confidence level, the upper maximum Scallops yield limit is estimated at 1.18 billion pounds. Sea, bay, and calico scallops, commercially har- .Oysters vested by the United States, declined from 22.8 million pounds in 1965 to 13 million pounds in Commercially important oysters are the eastern 1975. NMFS considers the Atlantic sea scallop, oyster, which is harvested from Massachusetts to the most commercially important scallop in the Texas, principally in the Chesapeake Bay and the United States, to be at a relatively low level of abun- Gulf of Mexico; and the Pacific and western oysters dance. NMFS officials believe that the Georges Bank harvested in U.S. waters off the Pacific coast from resource is being overfished, primarily by Canadian California to Washington. fishers. They also believe that many scallops are Total oyster landings have steadily declined. At- harvested at sizes much smaller than the size pro- lantic landings averaged about 50 million pounds ducing the maximum meat yield. The status of the per year in the 1950s, but declined to an average of Alaska sea scallop is not clear, but it appears that 28 million pounds per year in the 1960s and 1970s. catches may not increase significantly above present In the Gulf, landings during 1975 were 19.6 million landings of under 2 million pounds per year. pounds, which approximate the annual landings of Bay scallop landings have generally been I to 2 the 1960s. On the Pacific coast, landings have million pounds annually; substantial increases are steadily declined from the 12.3 million pounds in not expected. Calico scallops are underused. III-10 Shrimp and the decline in stocks indicate excess harvesting Shrimp resources of the United States are distrib- capacity. Some biologists believe that environmental uted along the Atlantic, Gulf of Mexico, and Pacific factors have also contributed to the decline of the coasts. Landings in 1975 were 343.6 million pounds northern shrimp. and were valued at $226.2 million. The southern Atlantic shrimp fishery appears to In 1975 the Gulf States accounted for 49 percent be operating at or near the maximum yield under of the total U.S. landings and 79 percent of the present fishing practices. The catch per unit of effort value. Historically, the Gulf has provided over 76 in the South Atlantic is quite low owing to the large percent of the landed value of U.S. shrimp. NMFS number of vessels in the fishery. officials have varying opinions on the status of the The S .outh Atlantic and Gulf have some shrimp Gulf shrimp stock. Some officials believe that the species, including royal red shrimp, that are under- data are insufficient for estimates of the biomass or used. Research, however, has not shown that suffi- for establishing a maximum sustainable yield figure; cient quantities are available for commercial develop- others believe that the fishery appears to be operating ment. On the Pacific coasts, some shrimp resources at or near the maximum sustainable yield. Existing in Alaska waters are underused. harvesting capability in the Gulf appears to exceed Tuna that needed to harvest the available resources. Shrimp The commercially important species of tuna in- landings over the last I I years or so have been elude albacore, bigeye, bluefin, skipjack, -and yellow- essentially constant. The catch per unit of effort has fin. Tuna live throughout the tropical and temperate decreased, which indicates more intensive effort for waters of the Atlantic, Pacific, and Indian Oceans. the relatively constant level of the shrimp biomass. As early as 1971, NMFS officials considered stocks The 1975 shrimp catch in the Pacific was 136.9 of the temperate and tropical species in the tradi- million pounds valued at $14.5 million.' In 1975, for tional grounds to be caught at nearly their potential the fourth consecutive year, Alaska led the Nation maximum. The 5-year trend of U.S. tuna landings in volume with 98.3 million pounds. during 1970-74 has been upward. The 1975 catch The principal shrimp fisheries in the Atlantic are was a record 568.2 million pounds, of which about located off the coasts of Maine, New Hampshire, two-thirds were landed in the continental United Massachusetts, North Carolina, South Carolina, States and Hawaii and one-third in Puerto Rico. Georgia, and Florida. The combined landings of The increased domestic tuna catch in 1970-75 re- northern and southern shrimp in 1975 were about sulted, in part, from a greatly intensified fishing effort 36.6 million pounds valued at $33.4 million. by U.S. seiners. Shrimp stocks in the northern Atlantic are de- Future sustained catch increases of albacore and pleted. Total landings have decreased, and there are yellowfin tunas are not expected in the eastern Pacific indications of decreases in the catch per unit of traditional fishery. In addition, U.S. fishers are effort and size of shrimp landed. Stock depletion of having increased difficulties in retaining access to the northern shrimp is directly related to an intense traditional tuna fishing grounds in the eastern Pacific, buildup of fishing effort. The fishery bad 89 vessels because of the growing trend toward extended na- in 1967 and 400 in 1972. The increase in fishing effort tional jurisdiction over fishing resources. Federal Fisheries Establishment With the goal of maintaining an adequate supply Fisheries was established to study the problem and of fish and fish products for the American consumer to determine how it could be alleviated. Today, in- and marine anglers and the commitment of protect- creased fishing activity combined with more efficient ing marine resources, the Federal Government has gear and harvesting techniques has threatened many become involved in fisheries at all levels. This stocks in waters within the U.S. jurisdiction. involvement includes basic research (understanding While neither fish nor their use has changed Sig- the biology of fish, their roles in the aquatic eco- nificantly during the past 100 years-they are still system and their population dynamics); management primarily a food item-they have become more than and conservation (establishing regulations and pro- a source of protein. Fish are an international com- grams to assure that stocks are not depleted and modity, and fishing is both a recreational activity that habitats are protected), financial and technical and the resource base of an industry. Commercial assistance to strengthen the fishing industry and foster fishing activities and their supporting industries con- recreational fishing, and pollution abatement and tribute an estimated $7 billion to the U.S. economy.15 habitat protection measures.' As early as 1871, the Congress became aware that "U.S. Department of Commerce, NOAA, NMFS. Fisheries marine fish stocks could be depleted by man's, ac- Development-Wave of the Future. Washington, D.C. Unpub- tions. The Office of the Commissioner of Fish and lished. The extension by coastal nations of their national of the domestic fishing industry has increased over jurisdiction to 200 nautical miles, coupled with the the years. The Federal Government's involvement in fears of a pending food shortage in many areas of fisheries can be grouped into three categories: the globe, has made the harvesting of fish an inter- national concern, leading to a "cod war" and a * Fishery research and information "tuna war," for example. e Fishery management and conservation I It is for this reason that Federal involvement in * Use of fishery resources and development of the fishery research and management and the promotion domestic fishing industry Fisheries Research and Information The Federal Government conducts and sponsors of pec;rs under the sponsorship of the Ocean Sci- a variety of basic research programs designed to add ences Board of the National Academy of Sciences. to an understanding of the biological and ecological The teams found the NMFS laboratories to be per- principles that underlie fish and fisheries. forming sound scientific work; some of the installa- The National Marine Fisheries Service (NMFS) tions were judged to be excellent, whereas a few of the Department of Commerce's National Oceanic were found to be lacking in a number of areas.16 and Atmospheric Administration (NOAA) is the The laboratories, their 1975 budgets, and com- principal group concerned with fisheries and fishing ments from the National Academy of Sciences evalu- in the marine environment. Complementing this ac- ation follow: tivity, the U.S. Fish and Wildlife Service of the De- partment of the Interior has primary responsibility 1. Northeast Fisheries Center, Woods Hole, Mass., for freshwater species. and Narragansett, R.I., $2,731,000. Have a The Fish and Wildlife Service's Coastal and 14prominent international reputation in fishery Anadromous Fisheries Program operates several fish- science." ery laboratories that perform basic biological re- 2. Middle Atlantic Coastal Fisheries 4Center, Sandy search. The Atlantic Salmon Investigations Program, Hook, N.J., Oxford, Md., and Milford, Conn., based in Orono, Maine, is involved in the restoration $3,534,000. Concentrate on ecosystem, re- of Atlantic salmon to its native habitats. This pro- source assessment, experimental biological and gram has demonstrated considerable success in the pathobiological research; researchers have some Connecticut River. problems with the relative isolation of the instal- Both the Fish and Wildlife Service's National Fish- lations. eries Center in Kearneysville, W. Va., and the NMFS 3. Atlantic Estuarine Fisheries Center, Beaufort, National Fisheries Research Laboratory in Seattle, N.C., $1,167,000. Concentrates on regional Wash., do research on fish diseases. The Seattle estuarine and fishery problems, particularly men- facility is also studying migration patterns among haden. salmon. 4. Southeast Fisheries Center, Miami, Fla., Bay St. The Tunison Laboratory of Fish Nutrition at Louis and Pascagoula, Miss., $2,119,000. Per- Cortland, N. Y., has been investigating the dietary form investigations of fisheries under pressure needs of Atlantic salmon. from high catch levels, as well as environmental NMFS, is responsible for monitoring and assessing research; found to have a not very bigh'Ievel fish stocks in the marine environment with special of professionalism, including a low proportion of attention being paid to threatened and endangered Ph. D. researchers. species. Its Marine Monitoring, Assessment, and 5. Gulf Coastal Fisheries Center (now part of the Prediction system (MARMAP) uses a variety of Southeast Center), Galveston and Port Aransas, techniques to obtain information on the composi- Tex., and Panama City, Fla., $1,345,000. The tion, distribution, abundance, and availability of liv- Galveston laboratory works on commercial fish- ing marine resources. These results are often sup- ing problems, the other two on sport fishing. plemented by assessment programs of the coastal Some programs have low scientific productivity; States, some supported by Federal grants. shrimp culture work of high quality. The key components of the Federal marine fisher- 6. Southwest Fisheries Center, La Jolla, Calif., and ies research effort are the NMFS regional centers. Honolulu, Hawaii, $3,938,000. The coastal divi- These centers and associated laboratories, together sion found to be a "center of excellence" with with their academic counterparts in universities, con- high scientific productivity; the newer ocean divi- stitute the fishery "establishment" in terms of sci- entific research, stock assessments, and environmental evaluations. Ocean Sciences Board, National Academy of Sciences. The Quality of NOAA's Ocean Research and Development Program- These centers, together with all NOAA labora- An Evaluation. Washington, D.C., National Academy of Sciences, tories, were evaluated in 1975 and 1976 by a team 1977, 144 pp. 111-12 sion, concentrating on tuna and porpoise prob- cliarged back into the aquatic environment could in- lems, found to be "promising" in quality. crease ambient temperatures and affect fisheries. To 7. Northwest Fisheries Center, Seattle, Wash., and determine the biological effects of the hot water Auke Bay and Kodiak, Alaska, $7,741,000. effluent, the Department of Energy and the Tennessee Found to be doing satisfactory work in a variety Valley Authority (TVA) perform biothermal re- of fields, including aquaculture disease, dredge search. Application of this research could become disposal, and entrainment and impact of dams important with offshore siting of energy facilities and other obstacles. such as the floating nuclear powerplants that have been proposed off New Jersey's coast. Since EPA In addition, NMFS operates an Atlantic Environ- has the general mandate to assure water quality, it is mental Group in Narragansett, R.I., (budget $249,- involved in this research as well. The otlier concern 000), a Pacific Environmental Group in Monterey, for fisheries is the effect of radioactivity on the Calif., ($297,000), and the National Systematics marine ecosystem. Laboratory in Washington, D. C. The National Sea Grant Program, administered NMFS and the Fish and Wildlife Service jointly by NOAA, contributes to the development of in- monitor the abundance and distribution of fish and formation on fisheries by offering grant money for shellfish that are important to domestic marine com- the establishment and promotion of marine science mercial and recreational fishing interests. The two curricula and research projects at public and private fisheries services cooperate in the regulation of colleges and universities, marine institutes, and marine anadromous species, such as salmon, which spawn laboratories. Current funding supports aquaculture upstream and live the rest of their lives in the marine research, studies on the environmental and ecological environment. effects of ocean dumping on marine fisheries, and Variods Federal acrencies (National Marine Fish- education and training programs in the marine sci- eries Service, Fish and Wildlife Service, and the ences. Corps of Engineers) often cooperate with each other The National Aeronautics and Space Administra- and various State agencies in the conduct of fish tion (NASA) has a technological uiilization program husbandry research on salmon and other species. that promotes the application of its technological This research is aimed at developing improved rear- developments to industrial and public needs. NASA ing techniques and diets for fish hatched and grown has developed remote sensing instruments that could there. be used to track fish movements and to select prom- As man-induced disruptions of the marine envir- ising fishing areas. onment often contribute to the threatened status of The National Environmental Satellite Service, a. fish stocks and species, special programs were estab- component of NOAA, monitors and measures the lished to examine the effects of these disruptions on Earth's environment and supplies data needed for fish and their habitats. The Environmental Protection weather forecasting. In developing the capability Agency (EPA) was created in order to :prevent, con- to measure sea-surface temperatures, these data have trol, and abate environmental pollution. Through been correlated with some fish migrations. This in- the issuance of permits, EPA prescribes conditions formation can be used to pinpoint potentially good under which pollutants may be discharged into fishing grounds, and may also be helpful in assessing marine waters. EPA uses its permit authorities to fishery stocks, a first step in the establishment of protect marine fishery resources and fishery habitats. fishery management plans. Together with the two fishery services, EPA con- Similarly, the Navy's research has spinoff applica- ducts marine ecological analyses to assess the effects tions for fishery research and management. For ex- of chemical and sewage discharge in the ocean as ample, underwater acoustic sensors that were devel- well as the effects of oil and gas development, deep oped for submarine detection have already been used ocean mining, and other marine industries. EPA also by NOAA to study the migratory movements of large works with the U.S. Army Corps of Engineers to marine mammals and schools of fish. In addition, identify sites where dredged material may be dumped, the Navy's oceanographic activities include research and to protect the marine environment through reg- into the geological, chemical, and biological nature ulation of such dumping. of the oceans as well as ocean engineering programs. The National Science Foundation (NSF) also par- Other Navy research projects that have been ap- ticipates in environmental analyses. Although it does plied to the needs of the fishing industry include: not perform its own research, NSF promotes, via communications and navigation equipment, buoyancy grants to academic institutions, basic research in materials, corrosion-free rigging, and sensing equip- marine and oceanographic affairs. In this indirect ment to locate lost gear. fashion, NSF-sponsored research focuses on the im- The Federal Govern6ent supports research on pacts of ocean dumping on fish habitats. the development of aquaculture in NOAA, the De- Energy facilities are sited where there is access to partment of Agriculture, the Fish and Wildlife Serv- large supplies of cooling water. The hot water dis- ice, and the National Science Foundation. The Food 111-13 and Agriculture Act of 1977 designated the De- Secretary on the Department's fishery responsibilities partment of Agriculture as the lead agency for the and the effectiveness of their programs. In the past, development of aquaculture, which was iden- it has shown interest in developing a National Fish- tified as primarily a farming rather than a fishing eries Plan and in the revitalization of the domestic activity. The Department of Agriculture plans to commercial fishing industry. develop the scientific, technological, and marketing The Congress established the National Advisory base for the culture of freshwater soecies such as Committee on Oceans and Atmosphere (NACOA) catfish and trout, among others. in 1971. The group, whose members are Presiden- In recent years, the development of more exten- tially appointed, was responsible for recommending sive ecological baseline information in offshore areas the development of a national marine fishery plan where Outer Continental Shelf (OCS) oil and gas and for reviewing the Government's marine and operations are to take place has created another ocean programs, including fisheries. source of information on factors affecting fishing. Another advisory group that indirectly influences In some areas, assessments of the inivact on fish- fishery policy is the Marine Mammal Commission. eries from OCS operations have been a primary The Presidentially appointed three-person Commis- focus of offshore investigations by the Bureau of sion was established by Title II of the Marine Mam- Land Management of the Interior Department. (See mal Protection Act of 1972 to study marine mammal chapter VI.) issues and make recommendations. Several Federal advisory bodies have varying de- Another advisory group with a role in marine grees of input into.fishery research, management, and fishery affairs is the National Academy of Sciences development efforts. The group whose activities are and Engineering. This body studies and analyzes entirely devoted to fishery affairs is the Marine Fish- a broad range of marine issues. Its reports are of a eries Advisory Committee. The Secretary of Com- technical nature, but also cover related socioeco- merce established this group in 1971 to advise the nomic issues. Fishery Management and Conservation The Fishery Conservation and Management Act lishment of the Regional Councils did not preempt of 1976 established for the first time a comprehen- the existing mechanisms by which Federal, State, sive program to manage fisheries in the U.S. fishery and local governments attempt to manage coastal re- conservation zone, which extends from 3 to 200 gion fisheries in the territorial sea. Such manage- nautical miles. The Act authorizes institutions, pro- ment is assisted by the State-Federal fishery manage- cedures, and programs designed to manage and con- ment programs, set up by NMFS in 1971. Individ- serve U.S. fishery resources. The Act attempts to ual States make sure that the activities out from the assure that fish are harvested responsibly in accord- coast to 3 miles and the Fishery Conservation Zone, ance with regionally developed plans based on the which extends from the territorial boundary out to available scientific information and meeting specified 200 nautical miles, are consistent with each other. national standards. The Act is administered by the On an interstate level, the fishery management group Secretary of Commerce, who provides funding and from one State works with its counterparts from ad- guidance to eight Regional Fishery Management joining coastal States to see that the activities and Councils established by the Act and approves and goals of each are compatible. implements fishery management plans prepared by Three interstate Marine Fisheries Commissions the Councils. (Atlantic States, Pacific States, and Gulf States) also Execution of management and conservation regu- serve a coordinating function in fishery management. lations in the fishery conservation zone (3 to 200 These commissions are only indirectly part of the nautical miles) is the responsibility of the U.S. Coast government's responsibility, but do receive Federal Guard and National Marine Fisheries Service. The funding. NMFS and the Fish and Wildlife Service Department of Justice provides legal support for were designated as the research entities for these the enforcement program, prosecutes violators, and commissions, excluding the Pacific Commission. In represents the United States in civil actions against cooperation with the Fish and Wildlife Service, these seized fishing vessels. Because of international im- commissions regulate, mutually and uniformly, fish- plications in regulating foreign fishing activity off ing in the regional territorial waters and bays. U.S. shores, a close liaison between the Regional The Department of State, through its Bureau of Councils and the Department of State is'necessary. Oceans and International Environmental and Sci- Coastal States continue to maintain nearly full entific Affairs, develops and carries out the Nation's authority over the 3-mile territorial sea. The estab- foreign policy. Besides participating on the Regional Councils in a nonvoting capacity, negotiating Inter- 7 U.S.C. 1281. national Fishery Agreements under the Fishery Con- 111-14 servation and Management Act, and allocating the public. The Marine Mammal Protection" Act ini- total allowable level of foreign fishing in the fishery tially exempted native Alaskans from its severe re- conservation zone, the State Department is also ac- strictions on the hunting and use of marine mam- tive in other affairs that touch on the management mals. This, along with the preservation of native of marine fisheries. It represents the United States Americans' traditional hunting and fishing rights, in several international organizations and interna- leads to other conflicts in fishery management. The tional fishery commissions that are coordinated by Department of Interior's Bureau of Indian Affairs and under the auspices of the United Nations. It also protects traditional native fishing rights. represent's the United States in the international com- There are several activities, in addition to those missions and focuses on the conservation and man- of the Environmental Protection Agency, which agement of fishery stocks of domestic commercial protect the environmental quality of fishery habi- interest. In a related function, the State Department, tats and restore those that have been damaged. The in consultation with NMFS, negotiates bilateral and Fish and Wildlife Service (FWS) has major respon- multilateral fishing agreements with other countries. sibility for habitat protection, working with other The Marine Mammal Protection Act of 1972 was agencies as needed. In addition, the Department of one of several related pieces of legislation written Agriculture's Soil Conservation Service has a water with the intent of protecting the dwindling numbers conservation function which, in cooperation with of marine mammals. Responsibility for administer- State and local groups as well as other Federal ing the Act is divided between NMFS and the Fish agencies, enhances fish habitats and develops recre- and Wildlife Service. The Marine Mammal Com- ational fishery facilities. mission, aided by its Committee of Scientific Ad- FWS works closely with State fish and game agen- visors, is an advisory body which, among other re- cies to provide financial and technical assistance sponsibilities, keeps the Secretaries of Commerce to restore harmed areas and to create refuges for and Interior aware of the status of marine mammals fish and other wildlife. Much of the land appropri- and makes recommendations for action as needed. ated for these refuges is administered by the National Related to the Marine Mammal Protection Act Park Service and FWS refuge systems. is the International Whaling Convention and the The concern of FWS is primarily with freshwater Whaling Convention Act of 1949. The Secretary of fish that include the anadromous species in fresh- Commerce is responsible for carrying out the U.S. water areas. Since the States are responsible for commitments under the Convention and provisions the activities in their inland, coastal, and territorial of the Act. waters, FWS provides technical assistance to them The Endangered Species Act also affects fishery and supports multistate programs. and marine mammal conservation and management. In addition to operating hatcheries, FWS also This Act is more comprehensive than the Marine has the general mission of enhancing the recrea- Mammal Protection Act, because it applies to all tional value of the coastal regions by establishing threatened or endangered fauna and flora. It author- and managing wildlife refuges. These refuges are izes the Secretaries of Interior and Commerce to administered in cooperation with NMFS and State determine and subsequently to make efforts to pro- agencies. In addition, estuarine sanctuaries may be tect those species whose numbers have been severely set aside under a provision of the Coastal Zone diminished, and whose populations are therefore Management Act of 1972. (See chapter IV.) threatened or endangered. The Department of Com- Since many spawning grounds fall in territory merce has responsibility for most endangered and under its control, the Agriculture Department's For- threatened marine species of plants and animals;. est Service also has a management responsibility the Department of the Interior is responsible for for anadromous fish. The Army Corps of Engineers all other species including manatees, polar bears, often aids in this management effort by construction sea otters, and walruses. The Fish and Wildlife of salmon ladders at dams and locks built and Service is responsible for the creation of wildlife operated by the Corps. refuges and for the regulation of their use by the Use of Fishery Resources and Development of the Domestic Fishing Industry The role.of the Federal Government in fishery try, encourage the development of public and pri- resource use and domestic fishing industry develop- vate aquaculture for selected species of fish, and ment is to attempt to assist in the development and assure the safety and quality of seafoods for U.S. maintenance of a healthy commercial fishing indus- consumers. To succeed, such assistance has to bal- ance support for industry with protecting consumers' 16 U.S.C. 1361. interest in low-priced, quality seafoods. Some of the functions undertaken in efforts to aid fishing harvesting techniques; interests include: * techniques of product handling, processing, and storing; * assessments and exploratory fishing for species o assistance in distribution and marketing; now underused, but existing in harvestable quan- e consumer education, product and quality safety tities in domestically controlled waters; standards, and inspection service; and * development of vessel and gear technologies, and a financial assistance to the industry. Assessments and Exploratory Fishing of Underused Species NMFS is responsible for the resource surveys cially important species, limited information is also that serve as the basis of decisions by the Regional collected on now underused species such as ocean Fishery Management Councils. Although the pri- pelagic stocks. mary function of this activity concerns the commer- Development of Vessel and Gear Technology and Harvesting Techniques A major policy issue is the extent to which the While developments from many research proj- government should assist a commercial endeavor ects can be applied to the fishing industry, the Sea such as the fishing industry. Some, including the Grant program in NOAA is a major contributor. Office of Management and Budget, feel that if the Recent programs include: domestic industry is to be competitive with foreign industries it should do most of its own research and 9 development of a rake for harvesting the under- development and not rely on government initiative used blue mussel off Maine's coast. and money. Others point out that the stated objec- 0 multiuse vessel demonstration-In cooperation tives of the Federal Government in fisheries cannot with the Pacific Tuna Development Foundation, be achieved without assistance to industry. Sea Grant plans to redesign and subsequently NMFS, for instance, works on development of construct a 40-foot modern vessel with a refriger- gear and techniques that will cut down on the inci- ated hold and limited electronic gear to demon- dental catch of marine mammals and unwanted and strate the economic feasibility of its use in devel- diminished fish stocks. These developments, often oping local fisheries similar to the way that for- required by law, help the fishing industry when eign fleets do. adopted by commercial users. Techniques of Product Handling, Processing, and Storing The supply of fishery products to consumers for answers to specific needs, such as the design and should be adequate, safe, wholesome, and of high development of a squid processing machine, and the quality. To this end, the need for improved and in- development and evaluation of an automatic shrimp creased inspection of fishery products is supported by deheading system. both consumers and industry. The Department of Agriculture's Cooperative The Department of Agriculture has the principal Extension Service applies funds to State agencies responsibility for the development and promulgation which have close, yet informal, association with Sea of standards for product handling, processing, and Grant's extension agents. Funds have been given storing of food; however, the Office of Sea Grant's for such studies as: Application of Engineering Seafood Science and Technology Program focuses Principles to Shellfish Processing (University of on these activities that pertain to fish and fishery Maryland) and Impact of Production, Harvesting, products. The projects sponsored by Sea Grant in and Procurement on Market Stucture of the North- this area are primarily applied research, looking east Fishing Industry (University of Maryland). Assistance in Distribution and Marketing Various government agencies have programs that The special problems of the industry calling for provide a range of marketing services and support. financial support and incentives were noted in a These activities are designed to stimulate consump- General Accounting Office report:19 tion of fishery resources. There are major disagreements concerning the 19 U.S. Comptroller General. U.S. Fishing Industry Can Be Strengthened by Developing Underutilized Fish Resource. Wash- proper role of government in market stimulation. ington, D.C., Government Printing Office, May 197-5, pp. ii. 111-16 "Two characteristics unique to the fishing Agriculture's Cooperative Extension Service ad- industry, the common property character of ministers Federal funds to State Agricultural Experi- the resources and the typical small size of ment Stations for studies relating to agricultural the firms, tend to deter substantial private marketing and rural development. Though most of investment in developing new.fisheries. Fish the funds are directed to biological and ecological in the ocean are subject to use for the most research, a portion is earmarked for marketing re- part by any fisherman. As a result, little search and analysis. Some of the programs that have incentive exists to invest in developing a been funded in this vein were: Hawaiian Fish Prod- new fishery because investors could not ex- ucts Development (University of Hawaii), The Mar- pect to capture more than a small portion ket Structure of the Fishing Industry in Maine and of the economic benefits generated." the Northeast (University of Maine), and Economics of the Commercial Fish Industry (Texas A&M In contrast, others 10 see such industrial support University). as shifting the financial burdens of fishery promotion Market analyses are also made by Agriculture's to the consumer, who pays the cost through higher Economic Research Service and NOAA's National commodity prices: Sea Grant Program. The results of Agriculture's efforts appear in the quarterly publication National "On the one hand, the enhancement of de- Food Situation. The Economic Research Service mand as conducted by the private sector also works with NMFS for the incorporation of is a standard way of doing business and projected consumption and utilization trends for should not be interfered with. However, many fish and fishery products. Sea Grant promotes when government programs serve to en- new marine businesses and industries by supporting hance.demand on established fish products, research on the economic and legal barriers to fish- the programs have the effect ... of typically ery development. increasing prices and profits. Thus, it is the The activities of several other governmental bodies consumer that pays, through taxes, for a can have a significant influence on the development program that raises consumer prices.... of the fishing industry as well. These include the "On the other hand, the generation of de- Federal Trade Commission (FTC) and the U.S. Inter- mand for fishing stocks which do not have national Trade Commission (ITC). FTC aims at established markets can contribute to broad- preventing general trade restraints and false or de- ening the supply base and by enlarging it ceptive advertising. On the other hand, the ITC thus serve to stabilize prices in the face serves much more of an investigative function than of increasing demand." - a regulatory one. It reports its findings regarding the impact of trade and tariff policies on domestic in- In a recent action, the Department of Commerce's dustries and markets to the President, the Congress, Economic Development Administration and NMFS and Federal agencies administering relevant pro- have collaborated with the Regional Fishery Com- grams. The Trade Act of 1974 details :the ITC's missions to fund a study assessing the existing and responsibilities. Title II of this Act involves Relief potential foreign markets for fish and shellfish which From Injury Caused by Import Competition, and are now harvested by domestic fishers. Title III deals with Relief from Unfair Trade Prac- NMFS has responsibility for assisting in the dis- tices. Both are of particular relevance to domestic tribution and marketing activities of the fishing in- fishing interests. dustry. NMFS cooperates with industry, the appro- The Department of Health, Education, and Wel- priate State organizations (such as dietetic and fare's Office of Education also assists the fishing in- restaurant associations), and with the Department of dustry by conducting, on a State-by-State basis, Agriculture's Cooperative Extension Service to im- training programs in seafood merchandising and re- prove the efficiency and effectiveness of the use of lated occupations. This program is authorized by fishery resources. the Vocational Education Act of 1963. Financial Assistance to the Industry Several government agencies provide financial aid veloped to stimulate the domestic industry are pri- and incentives to the fishing industry. Grants, loans, marily concentrated within the Department of Com- and incentives constitute the government's most direct merce, Interior, and, to a growing extent, Agriculture. support to the domestic industry. The programs de- For example, there are a variety of aids to fishing vessel operators. The Fisherman's Protective Act of "U.S. Department of Commerce, NOAA. B. J. Rothschild, A 1967, as amended, guarantees that the government Policy Framework for Fishery Management, Unpublished, 1977. will reimburse the owners of a fishing vessel that 111-17 is seized by a foreign country on the basis of rights tration (FDA) is responsible for assuring that a high or claims not recognized by the United States. The standard is maintained for the sanitary quality, Fishery Loan Program created by the Fish and Wild- safety, and wholesomeness of shellfish, fish, and fish life Act of 1956 authorizes financial assistance to products shipped in interstate commerce. These commercial fishers for the purchase or repair of responsibilities are mandated by the Food, Drug, fishing vessels and gear. This loan program was and Cosmetic Act. A special Seafood Inspection created to facilitate the 1956 Act, which declared Amendment to this Act provides that inspection can that fish and shellfish resources make "a material be made at the request and expense of the industry. contribution to our national economy and food sup- This does not mean that seafood products otherwise ply" and that the fishing industry can prosper and go entirely uninspected; FDA personnel periodically fulfill its function in the Nation's economy only if inspect such products. assistance consistent with that provided by the gov- The Department of Commerce has a voluntary ernment for industry generally is provided. These seafood inspection program, but it covers only about programs, along with the laws which mandate them, 30 percent of U.S. production and about 5 percent are covered in the section dealing with economic of U.S. processing facilities. Federal and State in- development. spection of the remainder is cursory at best and is An important aspect of market assessment is the found inconsistent by industry. determination of consumer receptivity to the new 'The Shellfish Sanitation Program was established products. To encourage acceptance, NMFS and to prevent human diseases that might result from Agriculture's Extension Service provide information eating unsafe shellfish. Unlike the system in most regarding the availability, best uses, and nutritional of the food industry, FDA, and not the Department value of these underused fish. of Agriculture, inspects plants routinely and makes To protect consumers, the Department of Health, sample analyses. Special care needs to be taken with Education, and Welfare's Food and Drug Adminis- fish and shellfish, because they are highly perishable. Relevance of Fisheries to the National Interest Fisheries impinge upon or are affected by many suggests. areas of public policy. Too often in the past fishery There are also symbolic or aesthetic considerations matters have been considered in isolation, rather than that do not figure in economic or policy analyses. as a component of the Nation's food supply and food The Gulf shrimp fleet, the Gloucester fishing heritage, production industry or as a factor in international and the San Francisco waterfront each have values trade relations with key nations, as examples. for their communities, and for the Nation, that . Viewed from the perspective of how fisheries affect transcend discussions of Federal policy matters. and in turn are affected by the national interest in Maintaining the integrity of the U.S. commercial a range of policy areas, the importance of commer- fishing industry, protecting recreational fishing op- cial and recreational fishing in this country is better portunities, and restoring neglected waterfronts as appreciated. Although the fishing industry constitutes healthy and colorful segments of urban communities less than I percent of the Nation's gross national are among the concerns of Federal, State, and local product, its impact is more extensive than this figure governments involving fisheries. International Relations With the adoption of the Fishery Conservation and species. A major reason some 10 to 15 species were Management Act in 1976, the United States ex- judged to be overfished was the expanded harvests panded its exclusive fishery management authority in recent years by modern foreign fishing fleets. from a 12-mile contiguous fishery zone to a 200- Japan and the Soviet Union have been in the lead mile fishery conservation zone, increasing legal juris- in developing efficient, long-distance factory fishing diction from an area of about 545,000 square nau- systems. tical miles to over 2 million square nautical miles. For the United States, however, to curtail sharply This action brought what is said to be about 20 the fish available to a nation such as Japan raises percent of the world's fish under U.S. management significant international trade problems. The Japa- control, a control which extends to the domestic as nese, unlike U.S. citizens, derive over 50 percent of well as the foreign fishing enterprise. - their protein from fish. For this country to curb One major aim of the legislation was to curb for- drastically the Japanese fishing operations off our eign fishing off the U.S. coasts. An often-cited list coasts could jeopardize 'relations between the two during the Congressional debate leading to passage countries. of the 200-mile bill was a tabulation of overfished Discussion between the two nations comes at a 111-18 time when the United States is applying pressure on foreign fishing that the United States established in Japan to, reduce its exports of key articles such as its Fishery Conservation and Management Act. automobiles, electronics, and steel, thereby cutting The shrimping restrictions are extremely contro- that nation's large trade surplus. versial among the industry and its supporters. In the Fishing quotas for Japan within the United States past as many as 1,000 U.S. shrimping boats have 200-mile fishery zone have to be set in accordance plied Mexican waters. For 1977, during the transition with criteria in the Fishery Conservation and Man- to a zero catch after 1979, the United Stat6s agreed agement Act. The underlying fact is that in the past to cut the shrimp boats using Mexican waters by Japan has relied on United States waters for one- two-thirds to 318. seventh of its worldwide catch. Japanese have taken . The United States and Canada have a number significant quantities of Alaska pollock and bottom of fishing issues to be resolved between them. Both fish as part of a total catch in the Un 'ited States nations now have declared 200-mile fishing zones, averaging 1.5 million tonnes. As shown in table 3-3, and negotiations have been underway since 1976 on the 1978 quota for Japan in the Pacific is about 1.1 how to accommodate each other's interests. A major million tonnes and only 8,000 tonnes in the Atlantic. dispute is about the international boundary between This reduction has not been easy for Japan. At the the nations on the East Coast. Canada advocates a same time, its allocation far exceeds that allowed any boundary that would allow it access to a portion other nation. of rich Georges Bank fishing ground; the United Relations with the Soviet Union may also be 'States advocates a boundary north of Georges Bank. affected by what the United States does within its On the West Coast an agreement has to be reached fishery zone. Russia has been the second leading on the extent to which salmon off one country can nation in exploiting the rich 'fishing areas of the be caught by vessels of the other. There is also the United States. While Japan has concentrated on the question of the extent of Canada's access to the Pacific, Russia has major fishing activities in both halibut off the Alaska coast. U.S. access to North- the Atlantic and the Pacific. As of January 1978, west groundfish is also at stake. Russia had obtained 182 vessel permits for fishing Negotiations broke down in Spring, 1978, leading in the United States waters, second only to Japan@s to a temporary halt in fishing by the two countries 426 permits. Russia's total catch in United States in each other's territory. waters has in the past been nearly I million tonnes, Another illustration of the complicated interrela- nearly one-tenth of its worldwide fishery harvest. The tionships of fisheries in the international arena is in current, 1978, allocation for Russia will cut its take Antarctica. The discovery of valuable resources in to half of its 1975 catch; but since the United States the Antarctic Continental Shelf and waters raises contribution to Russia's overall fishery intake is numerous potential conflicts. The waters of the under 10 percent, the reduction is felt to be manage- Southern Ocean contain a number of potentially im- able. The major part of this reduction is in the portant food resources such as krill, and squid. Atlantic. It nonetheless has to be taken into account The krill resource is underused. The declaration of in the overall nature of relations between the two extended jurisdictions by all of the major fishing nations. nations and growing world requirements for food There are sensitivities involved with the fisheries have heightened interest in development of krill of many other nations. In the past, disputes have fishing. flared with Latin American nations over the U.S. The Soviets and the iJapanese are already market- tuna and shrimp fishing off their coasts. ing krill-based products, and many nations are ex- perimenting with krill. Krill are small crustaceans Relations with both Mexico and Canada involve that float in large masses near the surface of Ant- major fishery issues. Mexico, in 1976, adopted a 200- arctic waters. They are the basic food of many higher mile economic zone, over which it intends to exercise life forms in the area such as birds, fish, seals, and jurisdiction not only over fisheries, but over other whales and are an important potential source of possible resource development as well. It became high-quality protein. George Bertrand of the Council necessary for the United States to initiate negotia- on Environmental Quality has estimated that a tions with Mexico for the continued access of United 70-million-tonne annual harvest of krill would equal, States fishing vessels to Mexican waters, in protein value, the entire fish catch @ from the rest . In an agreement made in November 1976, the of the world's oceans .21 Only Japan and U.S.S.R. now United States consented to limit access of domestic use krill for human consumption. As a result, less vessels to fish within 12 miles of Mexico. The United than I million tonnes are caught each year. West States also accepted quotas on certain'species tradi- tionally caught between 12 and 200 miles which will American Association for the Advancement of Science. represent the surplus not taken by Mexican fishing "Antarctic Problems: Tiny Krill to Usher in New Resource Era," vessels. This is fundamentally the same approach to Science. April 29, 1977, p. 504. 111-19 Germany's development of krill fishing techonology conservation and management practices contained in in recent years may facilitate larger catches. the treaty will provide the maximum benefit to the Estimates of standing stocks and potential yield participants while providing for the continuance and f krill vary greatly. The Food and Agriculture conservation of the resource. Regulation under the __001rganization of the United Nations has estimated International Whaling Convention and the 1972 Con- the potential yield of stocks to be at least 100 million vention on Antarctic Seals also must be considered tonnes per year. 22 The Second Report of the United in the formulation of a treaty. Whether these objec- Kingdom Fisheries . Research and Development tives can be made consistent with other nations' Board suggests that an annual fishery of 50 million interest in using the fishery resources remains to be tonnes could be sustained .23 seen. There is also a question as to the extent the The United States is participating in the negotia- United States can or should develop its own krill tion of a treaty concerning living marine resources fishery. of the Antarctic. The U.S. objective is to ensure that Food Policy If the Federal Government adopts a comprehen- rectly. But an effort to increase fish purchases at sive and consistent food policy governing its multiple the expense of meat would not be well regarded by activities affecting what U.S. citizens eat, one ques- a cattle industry faced with rising costs of doing tion will be the role of fish in the diet. There is no business. question that fish already are important in the Amer- Public education as noted above, is another ican diet, although small compared with U.S. meat method by which the Federal Govermnent can at- consumption and with fish consumption in other tempt to change American eating habits. But just nations. Nonetheless, 10 percent of all frozen food as the Senate report cited above was controversial, products purchased in this country in 1974 were fish .24 so too are many findings in the nutrition area. A Fish generally are an excellent source of protein recommendation for increased fish consumption, for and have a higher portion of polyunsaturated fats example, will encounter resistance from some who than meat. Most fish rank near the top of the list question the safety of eating fish compared with of foods with low amounts of calories and fat. On meat, because of the difference in inspection sys- .the other hand, hot dogs, hamburger, luncheon meat, tems and perishability. and pork rank near the bottom. For persons requir- There are suggestions that fishery matters be ing less fat, less cholesterol, and fewer calories in included in the vast programs of the Department their diet, finfish such as haddock, halibut, perch, of Agriculture, which touch on every aspect of food smelt, sole, and tuna (water pack) are recommended. policy. These suggestions have been resisted vigor- Most shellfish, although low in fat and calories, are ously by the fishing interests, because of fear that high in cholesterol. fishery matters would be subordinated to the inter- From a Federal policy standpoint, several ques- ests of more potent constituents of the Agriculture tions arise immediately. The foremost is how much Department such as the dairy and meat industries. the government should do in the way of telling The current food policy review within the execif- people what they ought to eat? Is there more to be tive branch may provide some guidance on how this done than educational efforts, such as the December Administration should address the relative balance 1977 report of the Senate's Select Committee on between supporting a meat and poultry industry on Nutrition and Human Needs, Dietary Goals for the the one hand and promoting fish consumption on United States? This report spelled out what the Com- the other. The question is raised directly with aqua- mittee saw as the realities of the American diet- culture. To what extent should the Federal Govern- too much sugar and salt, for example. The report ment support efforts to raise fish? To the extent justified its recommendation that less meat be con- such efforts succeed, they can be seen as diverting sumed in favor of poultry and fish. Publications of American consumers away from other protein the Department of Agriculture have given similar sources. findings and recommendations. What is needed, in short, is an overall food policy If the Federal Government decides to promote that will provide guidance and balance to the vast increased consumption of fish, what should be done amounts of money spent each year in this area. to bring this about? The government, most especially An overall food policy should provide a framework the Defense Department, now purchases food di- in which to assess the relative value of fishery de- 22Food and AgriculturaI Organization. Informal Consultation velopment and begin to provide answers to ques- on Antarctic Krill, FAO Fisheries Reports No. 153, Rome, 1975. tions raised by the Office of Management and 21 Fisheries Research and Development Board, Second Report Budget, among others, as to the justification of 1974/1975, Her Majestry's Stationery Office, London. U.S. Comptroller General, op. cit. note 4. some of the support programs for commercial fishing. 111-20 Environmental Protection Concern about fishery resources is a key factor oyster industry (an estimate by the Oyster Industry in current efforts to upgrade water quality in the Associations) is the far greater economic impact of Nation and to protect estuarine and wetland areas. a refinery proposed to handle 175,000 barrels wda@y Fish kills and closing of fishing or shellfish areas of oil imported from the Middle East in sup ertank- are among the most dramatic indices of poor water ers. One estimate of the project place's its value at quality. Repeated occurrences of such events helped $550 million; the addition of the refinery would, it build public support for the current water cleanup is estimated, increase the'city of Portsmouth's tax program that began in earnest in the early 1970s. base by 50 percent .25 On the negative side, announcements of fish con- NMFS filed formal objection to the proposal June tamination immediately and adversely affect sales. 22, 1976, on several grounds (the large amount of Those involved in recreational fishing have tra- dredge spoil involved, destruction of river bottom ditionally been active supporters of environmental habitats, and waste runoffs from the plant), but pri- protection and improvement. The increase in rec- marily because of the danger which an oil spill reational fishing in recent years has, therefore, pro- represents to the James River oyster seedbeds in duced widespread concern about water quality and particular and marine life in general. NMFS recom- protection of fish habitats by this growing and vocal mends, in fact, against locating any major indus- segment of the public. trial facilities such as a refinery in productive and Environmental concerns are many. They include fragile estuarine areas .20 It was these same oyster fear of excessive destruction of fishery habitats, beds in the James River that were threatened by questions about the long-term effects on reproduc- the chemical kepone a few years ago. tion from some of the chemicals introduced into The oyster beds have been described as the "sole the marine environment, and concern about whether commercially important source of seed oysters in fluctuations in catches of various species may be the Bay region and (the source of) supply 75 per- related to ocean dumping, dredging, or other envi- cent or more of the seed which is transplanted to ronmental alterations. growing areas. 11 27 Two recent cases involving the siting of energy The Fish and Wildlife Service (FWS), in its rec- facilities in coastal and offshore regions-a pro- ommendation against issuance by the Corps of posed oil refinery at Portsmouth, Va., and lease Engineers, stated, ". . . this Service believes the con- sales of Outer Continental Shelf sites for oil and struction,'and operation of a refinery complex in the gas drillings in the Georges Bank Trough-have Hampton Roads area will result in a significant con- highlighted the issue of the conflicting uses of the tribution to the long-term diminution of the area's oceans and the potential impacts upon fish and their fish and wildlife resources and could, in the event habitats and the fishing industry. of a. single, major Pil spill under certain conditions, The Federal involvement in the proposed Ports- result in the elimination of a significant regional mouth, Va., facility centers around the requirement shellfish industry." 211 for an Army Corps of Engineers permit to construct The FWS concerns are four: the initial dredging a marine terminal for the tankers. The locations and maintenance dredging, oil spills, wastewater selected by the Hampton Roads Energy Company is discharge, and related impacts on the area as a a 620-acre site on the Elizabeth River near Nor- result of the refinery. folk, Va. The site is within several miles of a rich The Environmental Protection Agency's objec- shellfish area in the James River and relatively close tions range from water quality considerations to to crab areas of the Chesapeake Bay. effects of the refinery on air quality. The Department of Energy supports the proposal, The Portsmouth refinery application demonstrates the city of Portsmouth is enthusiastic about it, and several of the types of environmental concerns that the Commonwealth of Virginia has given its ap- may affect fisheries, namely dredging, handling of proval. In opposition are the Environmental Pro- dredge spoil, industrial wastewater treatment, and tection Agency, the Fish and Wildlife Service, and the threat of oil in enclosed marine environments. the National Marine Fisheries Service (NMFS). The final decision is likely to be made by the Army American Association for the Advancement of Science, Science February 10, 1978, p. 668. Corps of Engineers after the case makes its way ' Letter, NMFS regional office, Gloucester, Mass., to District through regional office review. Backers or opponents Engineer, U.S. Army Corps of Engineers, Norfolk, Va., June 22, are felt likely to sue whichever way the Corps 1976. "Memorandum, David H. Wallace, Acting Assistant Adminis- decides. trator for Fisheries, NOAA, to Richard Frank, Administrator, The Portsmouth proposal illustrates how complex NOAA, February 13, 1978. 28 L tter, David Riley, acting Regional Director, U.S. Fish and environmental concerns about fishery resources be- e Wild ife Service, Boston, Mass., to District Engineer, U.S. Army come. Offsetting the danger to a $50 million annual Corps of Engineers, Norfolk, Va., August 27, 1976. 111-21 Similarly, prospective offshore drilling in the made available to the oil companies. The actual Georges Bank has been a concern, because of pos- space occupied by the rigs themselves is nearly in- sible environmental degradation of that area of the significant. The Woods Hole study estimates that ocean. While there is certain to be a degree of envi- a realistic estimate for the "hypothetical reduction ronmental damage associated with this development, of catch on Georges Bank due to the presence of it is felt that most of these effects will be localized platforms is probably ... 0.06 percent." 31 in the area immediate to the drilling facilities. A A potential danger to fishing is the presence on Woods Hole Oceanographic Institution report states the seafloor of drilling operation debris that can snag that present evidence "does not suggest that a single fishing gear. The U.S. Geological Survey can, and major offshore spill could be a long-term threat to does, require OCS leaseholders to drag a production total fish stocks." 29 The report also noted, however, area when it is shut down. Wells that are sealed off that many unknowns remain to be worked out con- below the seafloor can become exposed if seafloor cerning offshore spills. What is known about the im- sediments shift. The Geological Survey reports few pacts of oil pollution in the ocean on fisheries and complaints from fishing interests in the Gulf of fishing from accidental or chronic (operational) spills Mexico in recent years about seafloor obstructions comes from observations in the Gulf Coast where from OCS operations .33 offshore petroleum development has existed for 25 Another major factor in environmental protection years. critical to fisheries is the condition of the Nation's Although the activities in the Gulf have increased estuaries and related wetlands. (See chapter IV for in recent years, many of these drilling rigs have a discussion of coastal wetlands protection.) been assembled in the midst of productive fisheries, Many fish species use the estuaries as nursery which continue to produce healthy landings. A Na- areas, but spend their adult lives in the open sea. tional Academy of Sciences study found that the Many other marine species spend their. entire life catch has remained high despite 30 years of oil in a single estuarine system, and still other's use spills from accidents and chronic (operational) estuaries as a passage between the sea and rivers. sources totaling an estimated 1.1 million barrels.30 For example, about 75 percent of commercial fish Although the long-range, cumulative effects of oil and 95 percent of recreational fish spend some part spills on fish and their environment are not known, of their life histories in estuaries. most environmental concerns over development of Of those life forms that are either sedentary or Georges Bank oil and gas come less from fears of forage a small area, clams, oysters, crabs, lobsters, offshore oil spills than over the disruption of the and the like have economic significance. The estu- coastal environment from transportation of oil to arine zone also plays an important role in the life the shore-both from the oil itself and from near- cycles of menhaden, salmon, shrimp, and many shore dredging. As the Woods Hole report states, other species of economic importance. "Whether pollution problems nearshore are increased Population growth and industrial development or decreased by offshore development is a function have, in numerous places, caused severe and dam- of the changes caused by offshore oil in the entire aging pollution to estuarine areas. The discharge of network of transportation, handling and processing untreated human sewage and stormwater runoff from of petroleum in the coastal area." 31 from cities can cause bacterial contamination. Dis- Except for an unpredictable massive oil spill, charges of decomposable organic materials from the environmental disruptions do not appear to have human sewage and some industrial wastes deplete the potential of disrupting fishing activities in one of dissolved oxygen resources. Further, toxic materials the world's most productive fishing zones. Even such from industrial wastes, land runoff, pesticides, herbi- an event does not spell doom for the area. Ten years cides, and chemical manufacturing plants may di- after the Torrey Canyon disaster, the nearby coastal rectly kill fishery resources, cause damage to their area, once covered with oil sludge, seems to have re- reproduction capacity, alter behavior, contaminate covered to its previous condition. On the other hand, tissue, and cause mutagenic effects. oil from the Argo Merchant spill has resulted in some Some materials act as fertilizers and stimulate the mutagenic effects to fish eggs. growth of certain life forms at the expense of others. One of the larger issues revolves around the com- Inert materials such as sediments fill in estuarine petition for ocean space. Several potential drilling areas and smother bottom-dwelling life forms. sites, historically successful fishing areas, were not Sample problem areas around the country include the following: "Woods Hole Oceanographic Institution. Eflect on Commer- New England-During the late summer, dissolved cial Fishing of Petroleum Development off the Northeastern oxygen depletion is common in Boston Harbor; United States-A Report from the Marine Policy and Ocean Management Program. Woods Hole, Mass., April 1976. some areas have nuisance algae growths. Shellfish 3ONational Academy of Sciences, Ocean Affairs Board. Petro- leum in the Marine Environment. Washington, D.C., 1975. "Ibid., p. 23. "Woods Hole Oceanographic Institution, op. cit. note 29, "Personal communication, Conservation Division, U.S. Geo- p. 24. logical Survey. Department of the Interior. 111-22 harvesting in the area is restricted, because of bac- may be linked to a wide variety of chemical manu- terial contamination. Industrial operations and com- facturing. The waste p*roducts of such industries munities cause localized pollution problems center- can subtly damage marine resources. A further ing around Penobscot Bay and River, Maine. The source of pollution in the Gulf of Mexico area is resultant bacterial pollution from raw sewage dis- pes'ticides and fertilizers draining into the Mississippi posal has forced the closing of once highly Oroduc- River from croplands in the Midwest. Fish kills in .tive clamming areas. Sludge deposits covering much the Mississippi River have been directly related to of the bottom of the bay and river are believed excessive concentrations of pesticides. The Missis- responsible for decreases in the harvests of lobster sippi River delta has an intricate system of channels and scallop. Anadromous fisheries in the area have and marshes that support an extensive, oyster and also suffered because of a completely depleted dis- shrimp harvest. Coastal areas are also d .amaged by solved oxygen supply during the summer owing in creation of canals to move oil drilling equipment; part to dams. The polluted condition of the Penob- the dredging upsets the ecological balance in the scot Bay and River has, however, resulted in strong delta area through siltation and change in water cleanup action by the State of Maine and the Envi- salinity. ronmental Protection Agency. The diminution of the West Coast-In the San Francisco Bay area, salmon fishery has been directly associated with the development of industry and the metropolitan area increase in dambuilding, lumbering, and other indus- have caused the filling of many marshlands and trial activities along the New England coast. estuarine shallows. The result of this land fill has Mid-Atlantic-Pollution in major Atlantic popu- been the decline or destruction of crab and shrimp lation centers has caused a decline in coastal envi- fishing. This area was one of the largest areas suit- ronmental quality. Off New York it has adversely able for nursery grounds for ocean fish of the, affected nearby ocean waters as well. In Raritan Pacific coast. Bay, N.J., and Jamaica Bay, N.Y., many formerly Tidal rivers and headwaters of many of the productive shellfishing areas have been closed. streams of the Northwest region are the spawning Dumping of treated sewage sludge (4 million cubic grounds of several species of salmon. Salmon require meters in 1977) and acid wastes in waters off New cool, clean water with a small temperature range for York City have adversely affected fish in that area. reproduction and are especially sensitive to. toxic. Fin rot and other diseases are apparent in some materials. The construction of numerous high dams, fish caught in the area. Some bottom dwelling popu- on major rivers such as the Columbia has raised the lations of fish are smothered or otherwise severely water temperature and altered migration patterns. affected. Many ernbayments on the New Jersey coast Industrial wastes, discharged near the mouth of are affected from land and river runoff carrying the Columbia River, have stimulated alga growth among other pollutants, septic tank effluent, and to the extent of fouling the gill nets of commercial fertilizers. fishermen. In Puget Sound, Wash., wastes from pulp- South A tlantic---7Pollution problems in this region mills reduced dissolved oxygen, created sludge de- are associated with the discharge of municipal and posits, and increased the concentrations of sus- industrial wastes, especially from pulp- and paper- pended solids in several embayments. These changes mills into confined harbor areas. The result of such in water quality have already adversely affected the dumping is depressed dissolved oxygen and a high salmon and shellfishery resources of Bellingham Bay, content of organic material in the water. This region and other parts of Puget Sound. is also characterized by modification of the estuarine Alaska and its neighboring oceans are rich in a system, resulting in heavy siltation and extensive variety of natural resources that are currently being destruction of marshes and estuaries, which play a developed in a major way. Alaska's southeastern major role in the life cycle of two major commercial coastal forests are being cut for timber and pulp- fishery products, menhaden and shrimp. Crabs and wood. Paper- and pulpmills have caused some water oysters also are prevalent in these waters. quality degradation. Pollution from possible oil Gulf of Mexico region-Pollution and industrial spills and other toxic materials. threatens the living development in the Gulf of Mexico and surrounding resources of Alaska waters including salmon and area are similar to those of the South Atlantic region. king crab. In the Gulf region, however, coastal water pollution Wildlife Management and Conservation Some forms of wildlife and marine mammal pro- The wildlife activities of the Federal Government tection @fforts can conflict with commercial and that protect fishery habitats are sometimes contro- recreational fishery interests. At the same time, wild- versial, with debate centered on the extent to which life protection activities in a sound conservation pro- the Federal Government should be involved and how gram will result in improved fisheries. much to spend for this activity. 111-23 In many instances, marine mammals are major regulations, issued by NOAA, also require use of predators of fish. As restrictions on the killing of specific equipment and techniques to enable the por- these mammals continue, the populations will grow poise kill to be reduced to the required levels. The and the consumption of fish will increase. There are requirements are enforced by NMFS observers who instances where mammals eat valuable marine spe- travel with the tuna vessels and make first-hand cies: the California sea otter consuming aba 'I'one is counts of dead porpoises. one such instance. Alaska sea lions eating salmon, The kills in earlier years were estimated to be much and both sea birds and marine mammals eating larger, namely 310,000 in 1971 and 104,000 as late Alaska squid are other examples. as 1976. Use of nets with strips at the top that allow The wildlife and mammal protection activities that the porpoise to escape and use of a "backing down" conflict with fisheries are more complicated and technique by purse seine vessels are credited with represent the type of interrelated policy issues with bringing about the current reduction. Industry de- which fisheries often are involved. The controversy veloped the new method, which represents an addi- over the Marine Mammal Protection Act's restriction tional expense. against the killing of marine mammals has been high Another example of conflict is in Oregon where since the Act was adopted in 1972. The tuna-porpoise sea lions are moving into rivers and estuaries where relationship,. which results in accidental drowning of they did not appear before. Angry commercial and porpoise during the catching of Pacific tuna, is the recreational fishing people claim that the sea lions most widely publicized of these conflicts. The con- interfere with runs of salmon and steelhead. The troversy has abated because of decreased porpoise State reports finding dead sea lions with bullet holes kills, but it is not yet over. in their bodies .34 Government regulation of yellowfin tuna purse Another of the many examples of conflict between seine fishing to curtail the accidental drowning of marine mammal protection aims and fishery interest porpoise has had several effects. It has been a factor occurs in Hawaii. An effort to develop a spiny lobster in the recent transfer of six U.S. tuna vessels to for- fishery is complicated by the fact that the monk seal eign registry. Yellowfin tuna imported to this country eats them. To protect the seal population, limits are subject to the provisions of U.S. law regarding have been proposed on the taking lobsters. For in- porpoises killed in the course of foreign fishing oper- stance, no lobsters are to be taken from within 18 ations. However, former U.S. boats can harvest tuna meters (10 fathoms) of the islands in the northwest on the high seas and ship their catch elsewhere with- part of the State of Hawaii where the seal lives. out such restrictions. Complicating this issue is the fact the seals live on The solution to the problem has been to institute a wildlife refuge managed by the Fish and Wildlife progressively lower quotas of porpoise kills rather Service, whereas the lobster fishery effort is being than insist on an immediate moratorium. While some supported by the NMFS and the Sea Grant Pro- environmental organizations have protested this ap- gram of NOAA.-"' proach, there seems to be general accord that it is The Hawaii case is but one example of the com- reasonable. The U.S. tuna fleet is a distant-water plexities involved in wildlife management and fish- fleet, and its modern vessels are one of the bright eries. The Endangered Species Act, aimed at per- spots in U.S. commercial fisheries. The quota ap- petuating existing species of animal and plants, is proach has permitted it to continue to operate, an additional complication. Coordination among although not without difficulty. At one point, the Federal Government agencies is required, Federal tuna fleet refused to go to sea in protest over the and State relationships are involved, and planning porpoise quotas. has to encompass a total environmental system so The allowable porpoise deaths to be permitted that the effects of protection of one species is con- during the coming 3 years were announced by sidered in relation to the rest of -the populations. NOAA December 16, 1977. The quotas are 51,945, This sort of interdisciplinary and intergovernmental 41,610, and 31,150 for the eastern tropical Pacific activity is not easily accomplished. tuna fishing area during 1978, 1979, and 1980. The Law Enforcement Enforcement of the Fishery Conservation and NMFS and the Coast Guard operate joint aerial and Management Act of 1976 is the joint responsibility surface patrols as the means of enforcement. Shore- of the Department of Commerce and,the Coast Guard. side enforcement activity focuses on U.S. fishers, the To enforce the Fishery Conservation and Manage- ment Act ashore, NMFS special agents make dock- From briefing memorandum for the Marine Fisheries Ad- visory Committee prepared by NMFS, February 1978. side inspections of fishing vessels, fishing gear, 13university of Hawaii, Sea Grant Newsletter, University of catches, logbooks, and landing records. At sea, Hawaii Sea Grant Program, Honolulu, January 1979. 111-24 7 at-sea effort involves both U.S. and foreign fishers. U.S. fishing in the fishery conservation zone is Foreign fishing within the U.S. fishery conserva- less well regulated than foreign fishing and may affect tion zone is monitored for compliance with quota depleted stocks. Noncompliance can have a great restrictions. Compliance is said to be good. It should effect, because a number of stocks are already in be noted that although foreigners fish only on surplus marginal condition. Compliance problems are com- stocks that are abundant, they can affect depleted pounded, because programs involving U.S. fishing stocks through incidental catches of diminished operators require a high degree of support from the species. Regulations are designed to the extent Pos- industry to succeed-support that is bard to obtain sible to minimize incidental catches and to protect when quotas sharply curb allowable fishing. depleted siocks. Economic Development Economic development considerations involve efforts to be of assistance, no matter how well mean- fisheries, particularly commercial fisheries, at a va- ing. At the same time, private capital has been riety of levels. difficult to raise, because of the high-risk nature A number of specific forms of Federal assistance of the fishing business. There are indications, how- have been attempted. As with many attempts ever, that certainties provided by adoption of the by the government to provide useful assistance, U.S. 200-mile fishing limit may encourage increased some efforts have been on target and others wide of investment in U.S. boats and processing plants. the mark. One major inhibiting factor is that American In another type of program to promote fisheries, consumption of fish, while growing in recent years, efforts at comprehensive, intergovernmental pro- is restricted to several traditional species and groups. grams intimately involved with private interests have About 70 percent of the total consumption is ground- been attempted. One such effort in Gloucester, Mass., fish, shrimp, and tuna .37 is an example. There are a variety of direct Federal aids such as And at a third level, fisheries as components of loans and grants to the fishing industry, designed to urban waterfronts can be key comp6nents in bring- enable it to modernize and better keep up with for- ing outmoded, but colorful waterfront districts back eign competition and thereby supply a larger supply into widespread use. of the domestic consumption. These types of loan Affecting all efforts to assist the fishing industry, and grant programs have, beyond the immediate and thereby improving the U.S. catch and consump- aims of assisting- U.S. fisheries, the goal of contribut- tion of fish, is the nature of the industry. The indus- ing to a reduction in the U.S. balance of payments try is really not a unified entity; it is divided into due to fish imports and thereby contributing to a many parts, dependent on geography, the type of fish strengthened dollar in international markets. caught, and the age of the equipment. There are, NMFS has three authorized programs of direct nonetheless, some generalizations that can be made assistance to the industry: direct loans (currently hot about the U.S. commercial fishing "industry." operating), guaranteed loans, and tax deferrals. The . As an occupation, it is divided into many small direct loan program was suspended in 1973, because parts scattered around the country. Almost all in the of an alleged poor repayment record; Congress may industry are small business people, although some reactivate this type of aid. The purpose was to pro- large corporations have moved into the field, particu- vide loans when regular commercial channels were larly in packing. Most U.S. vessels are small and old; not available, reflecting past reluctance of commer- the capital required to build modern, long-distance cial lending sources to support many segments of the vessels is hard to come by, as are the crews needed commercial fishing industry. for the extended trips to sea required to make large, The guaranteed loan program functions with 75 modern vessels economic. percent of commercial loans for work on vessels Packing and processing is also generally a small backed by NMFS (for a fee). As of August 1976, business, with most units employing fewer than 20 such loans totaled $12 million, with $6 million more employees .3' Large firms, however, often own the approved and applications for an additional $19 mil- plants. lion pending, indicating its utility to the industry. At Many components of the fishing community have the same time, many operators are unable to provide traditionalism and independence. This leads to re- the required down payment of 25 percent. sistance to change, unwillingness to attempt to catch The tax deferral program permits income taxes to and market new species, and distrust of governmental be set aside on that portion of income which an operator agrees to place with NMFS and eventually "Speech, Joseph W. Slavin, Assistant Director for Fisheries Development, NMFS, to National Marine Fisheries Advisory Committee, October 5, 1977. 37 Ibid. 111-25 spend on vessel modernization. This program through There .is one major form of indirect assistance that June 1976 had resulted in the accumulation of $75. provides funds for research and marketing aid. Under million in deposits. the Saltonstall-Kennedy program, 30 percent of the There are other sources of Federal assistance to receipts from imports of fishery products are to be encourage the improved economic condition of the applied for these purposes. The amount appropri- domestic fishing business. The Small Business Ad- ated in 1977 was $7.9 million. The idea is to use the ministration makes loans to various components of receipts from imports to help develop the domestic the fishing industry. A compilation of the agency's fishing industry and eventually cut down on the activity in fiscal year 1975 showed 217 loans totaling amount of fish imported. $6.5 million to "fishermen," and manufacturers, The Department of Commerce's Economic Devel- wholesalers, and retailers of fishery products.38 opment Administration (EDA) has a loan program A recent review in Massachusetts of Federal sup- potentially useful for onshore facilities. port programs for commercial fishing interests com- As this brief listing suggests, there is a variety of piled a list of 13 assistance programs for vessel pur- possible sources of direct assistance to the fishery in- chase, a like number for vessel renovation, 11 pro- dustry. There are problems with some of the specific grams for help with onshore facilities, and 6 programs programs (the 25 percent requirement for vessel for aid to public onshore facilities. (See table 3-6.) modernization assistance is a barrier to some). More Given the independent nature of persons in the basic is the highly individualistic nature of the people fishing industry and the potentially confusing array in the fishing industry, their lack of information about of Federal assistance programs, there are suggestions some of the types of help available, and their unwill- that assistance needs to be better focused and easier ingness to put up with what they view as govern- to obtain if the programs are to achieve the objective mental red tape even when the information is at of a stronger domestic fishing industry. hand. Illustrative of the type of comprehensive project, "U.S. Comptroller General, op. cit. note 4, p. 58. in which members of the fishing industry take part, Table 3-6-Federal support programs for commercial fishing interests Eligible Activities Vessel purchase, Vessel Private onshore Public onshore Federal Programs construction renovation facilities facilities A. Economic Development Administration 1. Public Works and Development Facilities x 2. Business Development Loans x x x 3. Title IX x x x x B. Small Business Administration 1. Section 7(a) Loans x x x 2. Section 502 (LDC) Loans x x x 3. Disaster and Emergency Loans x x x C. National Marine Fisheries Service 1. Capital Construction Fund x x 2. Fishing Vessel Obligation Guarantee x x x 3. Fisheries Loan Program x x 4. Import Duties Fund D. Environmental Protection Agency 1. Section 201 x E. Farmers Home Administration 1. Guaranteed Business and Industrial Loans x x x x F. Farm Credit System 1. Production Credit Association Loans x x x 2. Banks for Cooperatives x x x G. Department of Housing and Urban Development 1. Community Development Block Grants x x x x H. Department of Commerce 1. Trade Adjustment Assistance x x x x I Source: Commonwealth of Massachusetts, A Report of the 200-Mile Fisheries Work Group, Lt. Govenor Thomas P. O'Neill, III, chairperson, no date, page 23. 111-26 can be seen in Gloucester, Mass. With major assist- interests is as a key component of waterfront areas. ance from EDA (specifically using grant funds from Frequently, waterfronts are decayed and neglected, a Title IX of the Public Works and Economic Devel- condition as true in some newer cities as it is for older opment Act), Federal, State, and city officials to- communities in the east and south. The fishing com- gether with private groups have pulled together a munity is sometimes a major occupant of the water- varied package of projects to revive that city's fishing front area or, in major port cities, a relatively small, industry. The project has two principal components but a highly visible and colorful element whose pres- as well as a series of studies into additional possible ervation and restoration could be a key in a water- forms of assistance to the industry. After a 2-year front redevelopment. delay due to engineering and legal complications, Just as new methods of handling cargo have left construction was scheduled to begin in June 1978 on many port facilities unused and dilapidated, so have a new freezer facility on a reconstructed State pier. changes in distribution methods of fish made older Expanded docking space is to be provided, a gear facilities outmoded. What has happened in some storage building constructed, and stalls renovated. areas is that the fishing industry, which occupied The Economic Development Administration (EDA) prime waterfront land, has been replaced by higher is putting forward more than $6 @million towards this income-producing facilities, while fish distribution is effort. An additional program is a revolving loan handled at a warehouse distant from the waterside. fund of $250,000, with support from EDA, New Eng- - In successful fish districts along the waterfront, as land Regional Commission, and the city. Money from in San Francisco and Annapolis, Md., the area is a this fund is available to boatowners unable to get magnet and many businesses directly or indirectly financing otherwise. Officials report that repayments related to the catching, distribution, and consumption have been excellent. of fish locate nearby. Preserving and enhancing these The Massachusetts State government has put $1.2 districts is a challenge to city governments. The trade- million into the project in its original form, and an offs are the balancing between the tourist attraction additional similar amount to help meet unexpected on one hand and the possibility of an office, residen- construction costs. The city, county, and regional tial, or commercial redevelopment on the other. commissions have invested funds as have NMFS and Some fishing industries on the waterfront are per- the Sea Grant Program. Additional projects include ceived to be small, smelly, dirty, and frequently a marketing effort on two underused species, the housed in old buildings. This has made it a prime dogfish shark and the ocean clam. A feasibility study target for redevelopers who prefer more.suitable in- of a large vessel pier will be made. Surveys of the habitants of waterfronts, particularly when efforts are handling of fish waste and of a fresh fish wholesale being made to attract residential and office uses to operation are additional elements. such areas. This was the case in the Boston water- A third dimension of the relationship of the fishery front redevelopment in recent years, for instance. industry to broader national economic development Federal-State Relations The relationship of Federal and State governments Secretary of Commerce. On the other hand, the Sec- in the fishery area is, unsurprisingly, complicated. The retary's appointment power- for Council membership fishery conservation zone extending from 3 to 200 is restricted to nominees submitted by the go .vernors nautical miles offshore is under Federal control. The together with certain designated members, such as the offshore sea to 3 miles involves a division of author- NMFS Regional Director. ity. The States exercise authority over recreational The Councils have been termed "a new form of and commercial fishing in the territorial sea, whereas government," because they are unlike traditional the Federal Government controls navigation, pollu- State, local, or regional entities or intergovernmental tion laws, dangerous cargo, and vessel safety. advisory. bodies. A recent report to the Marine Fish- Under the provisions of the Fishery Conservation eries Advisory Committee noted that numerous ques- and Management Act of 1976, fishery management tions and uncertainties have arisen about the relation- plans for the area beyond 3 miles are prepared by the ship of the councils to the Federal Government, Regional Fishery Management Councils, which have especially the Commerce Department. - representatives from the Federal and State govern- The relationship of NMFS to these Councils will ments, local communities, and private interests. The evolve in time. At present there is naturally some Councils prepare the management plans, but the confusion about the relative roles of each. NMFS has plans are implemented by Federal regulations. a support role for the Councils, including providing The sharing of the decision-making process is in- funding in their budgets for operation and a responsi- tended to be balanced. On the one hand, the Councils bility for providing the data on which domestic quota only recommend fishery management plans to the decisions based on the optimum yield concept will 111-27 presumably be made. NMFS has also prepared the comes to administering laws and regulations within preliminary fishery management plans that permitted the 3-mile territorial sea, the picture is different. limited foreign fishing while awaiting completion and Some fish6ries are managed under comprehensive approval of the final managements plans by each plans; others are managed under regulations without Council. At the same time, NMFS performs a screen- a strong scientific basis. Some fisheries are continually ing function for the Secretary of Commerce in advis- being researched and are without effective manage- ing whether the plans drawn are, in its view, in the ment, and others are not being managed at all.411 national interest. According to the Congressional From a national standpoint, the problem of con- Office of Technology Assessment review of the 200- current jurisdiction by several States over a particular mile management program, this dual role is a present fishery may be a major barrier to sound management. source of confusion .39Table 3-7 shows the division As examples, bluefish occur in the waters of 14 States of functions. and menhaden in the waters of 16 States. Because Among the potential problem areas are budget each individual State creates laws for fishery man- support and research priorities. Council budgets must agement within its jurisdiction, differing regula- be approved by NMFS and NOAA. In the event of tions sometimes exist among States. For example, conflict between the Councils and the Federal repre- size limits on striped bass vary from Maine and sentatives, this power could be a factor. Balancing South Carolina where there are no limitations to this is the fact that the Council representatives come New Jersey, which requires the fish to be 12 inches through the State political process; they were se- long to be retained. Some States have divided author- lected for nomination by State governors, and can be ity within the State, which adds further difficulties to presumed to be in positions to bring some pressure fishery management in that State. to obtain funding needed. The institutions dealing with territorial sea fisheries Research needs may be seen differently by the are: Councils and NMFS, which is charged with per- forming the work, and for which money is budgeted *The States-each State has the authority to man- in support of implementing the Fishery Conservation age fisheries within its legal boundaries. and Management Act. As it stands, the councils may 0Interstate Marine Fisheries Commissions-the At- make recommendations, but the Department of Com- lantic States Marine Fisheries Commission, the merce has the final say. Pacific States Marine Fisheries Commission, and As it is, the concept of the Regional Council the Gulf States Marine Fisheries Commission, were stands out as a pioneering effort at sharing power established to develop a joint program for the between principally the Federal and State govern- promotion and protection of marine fisheries. ments, with private interests represented, in what Member states may grant regulatory management is legally a Federal resource management area. authority to the commissions. While the Regional Councils may represent a 9Regional Fishery Management Councils-Under h8peful trend in State-Federal relations, when it the 200-mile law, the Regional Fishery Manage- 11 From B. J. Rothschild and C. E. Meleky, paper, "Coastal U.S. Congress, Office of Technology Assessment. Establish- Belt, Uses and Needs: Fisheries," Conference on Management of ing a 200-Mile Fisheries Zone. Wakhington, D.C., Government Coastal and Ocean Resources, University of Rhode Island, June Printing Office, March 1977. 1977. Table 3-7-Duties of Regional Councils and National Marine Fisheries Service:, Regional Councils Department of Commerce (NMFS) Determine information, data, and analysis needed to prepare Prepare preliminary management plans for fisheries. management plans. Issue permits for foreign fishing. Test and evaluate techniques for determining optimum yield and other management factors. Establish general regulations and guidelines -for preparation of all management plans. Secure needed information from NMFS or other regional sources as necessary to complete management plans. Provide the Councils with data and information necessary to prepare management plans. Prepare fishery management plans, oversee their implemen- tation. Work with Coast Guard on enforcement of regulations. Work with State Department to determine national alloca- tions of the total allowable level of foreign fishing. Source: Adapted from Office of Technology Assessment, Establishing a 200-Mile Fisheries Zone, March 1977. 111-28 ment Councils may make recommendations con- management is available; however, no specific cerning fish stocks in the territorial sea, but with- legislative authority exists for this program. out enforcement power. 0 State-Federal Fishery Management Program- While the patterns for fishery management appear these programs are jointly developed, and NMFS to be set in the 200-mile zone, effective State- assists and advises the States in cooperation among Federal management for the fisheries in the terri- themselves on the management of important inter- torial sea requires the integration of the resources of state marine resources. This program includes the individual States, the Interstate Marine Fisheries interstate fisheries that exist inside and outside the Commissions, the Regional Fishery Management territorial sea (although most are within the ter- Councils, and the State-Federal Fishery Management ritorial sea). Funding for the development of such Program. Current Fishery Policies and Problems Marine Recreational Fishing The Federal role in marine recreational fishing is 9 NOAA's National Marine Fisheries Service, which typical of the general picture with respect to the absorbed the marine game fish functions from national government's general approach to ocean Interior at the time of its formation in 1970. Its matters: marine recreation activities include: research to understand species, information to help protect * Role identification; certain species, information to assist anglers, sta7 * It is fragmented and without an overall policy tistics, and economic analysiS.42 Also under NOAA, body ensuring that disparate activities are coordi- the National Weather Service provides marine nated (see chapter IX); weather forecasts, and the National Ocean Survey * There is potential for Federal-State conflicts; and provides charting information among other data. * Disagreements exist over the extent to which one recreational fishery should be supported over A number of specific Federal acts affect recrea- another and between sport and commercial inter- tional fishing; some also affect commercial fishing as ests. well, but the motivation is often for the recreational The evident need is for Federal efforts to be evalu- fishing interests. Typical is the Anadromous Fish ated both for whether they might be as well or better Conservation Act of 1965 (P.L. 89-304), aimed at handled at another level of government and for their bolstering a dwindling supply of salmon in the north- impact on other species and interests as well as the west. Under this authority, NMFS in 1976 was general environment. spending $6 million to induce enlarged salmon runs A partial list of Federal agencies with activities and the Fish and Wildlife Service was spending an bearing directly on marine recreational fishing in- additional $11 million. The Fish and Wildlife Service cludes: claimed its expenditure would result in $50 million * The Army Corps of Engineers, whose harbor in economic value for commercial interests and $360 breakwater and jetty projects are open to anglers; million for recreational interests.13 The Fishery Con- * The Forest Service, over whose jurisdictional lands servation and Management Act includes recreational two-thirds of the anadromous species (for example, fishing where allocations of a particular fishery in- salmon) travel during their lifetime ;41 clude a share for recreational users. * The Department of the Interior, which has several The major assistance program in support of recre- organizations involved ' including the Fish and ational fishing is the Dingell-Johnson Act of 1950, Wildlife Service and its habitat purchase and pro- the counterpart of the 1937 Federal assistance pro- tection program@, the National Park Service with gram for helping with the purchase of wildlife ref- its National Seashores, the Heritage Conservation uges, the Pittman-Robertson Wildlife Restoration and Recreation Service and its assistance in park Act. To date, the Dingell-Johnson program has made purchases and overall State recreation planning, available $204.5 million to the States on a matching and the Bureau of Land Management and its pub- basis for both freshwater and marine fishery re- lic land holdings; search, habitat protection, and management. With * The Environmental Protection Agency and its the funds, States have acquired 96,687 acres of tet- mission to clean up the Nation's waters and wet- land protection; "U.S. House of Representatives. "Department of State, Justice * The Coast Guard and its boating@ safety mission; and Commerce, the Judiciary and Related Agencies, Appropria- and tions Hearings, Fiscal Year 1978." Washington, D.C., Govern- ment Printing Office, 1977, p. 206. U.S. Comptroller General, op. cit. note 4, p. 56. 43 U.S. Comptroller General, op, cit. note 4, p. 56. 111-29 ritory, some of which are in marine and estuarine pressure in the States to restrict commercial taking areas." of fish valued for recreation. Sometimes the result is These efforts on the part of the Federal Govern- to ban commercial harvest or to apply equipment ment to encourage and sustain marine recreational restrictions that curtail commercial activity. fishing, matched by State efforts toward the same Among the many examples of recreational-com- end, lead to one of the major issues raised by recre- mercial conflict is the anchovy in California. It is ational fishing: What is the value of this activity caught commercially for fishmeal and is used as bait relative to commercial fishing? Table 3-8 lists a host in recreational fishing. Further, the anchovy is an im- of species of fish sought by both recreational and portant source of forage for many species of interest to commercial fishers on all coasts. recreational fishers. The argument came down to The competition for fish coupled with growth of whether the commercial take should have been saltwater angling as a leisure activity has heightened allowed to increase beyond a level of 242 million the conflicts between recreational and commercial pounds in 1974. NMFS said the catch could be in- interests. The number of people in recreational fish- creased without harm. California State fish and game ing has grown from 6.2 million in 1960 to 9.4 mil- officials and recreational fish interests opposed an lion in 1970 and to an estimated 16.4 million at the increase, because anchovy is food for a number of present." The increasing number of people buying game fish .411 licenses for recreational fishing sometimes leads to Situations such as this place the Federal Govern- ment squarely in the middle of what can be bitter George H. Siehl, Analyst, Congressional Research Service, disputes. The present regulations are for the most Library of Congress. part promulgated by State governments, certainly for 11 Sohn V. Merriner, Virginia Institute of Marine Science. activity within the 3-mile territorial sea; however, the Paper at Marine Recreational Fisheries Conference, New Orleans, February 27, 1976. Sport Fishing Institute, Washington, D.C., p. 123. 'U.S. Comptroller General, op. cit. note 4, p. 23. Table 3-8-Fisb species sought by recreational and commercial fishers Atlantic and Gulf Coasts Mid-Atlantic: New Northeast Atlantic: Jersey to North South Atlantic: South Oceanic region Maine to New York Carolina Carolina to Florida Gulf of Mexico Offshore: beyond cod, pollock, porgies, swordfish, tuna, boston snappers, groupers, king groupers, snappers, 3 miles haddock, boston mac- mackerel, bluefish, cod, mackerel, swordfish, tuna, king mackerel, kerel, bluefish, black- hake, haddock, whiting, grunts, porgies, blue- grunts, sea bass, blue- fish, flounders, hake, flounders, sea bass, pol- fish, tuna, flounders, sea fish, dolphin fish ling, whiting, swordfish, lock, porgies, ling, bass tuna, sea bass blackfish Inshore: shore blackfish, bluefish, weakfish, porgies, croak- sea bass, grunts, chan- channel bass, black- and small-boat striped bass, h ake, ers, spot, spotted weak- nel bass, blackdrum, drum, spotted weakfish, fishing out to 3 flounders, smelt, shad, fish, shad, striDed bass, weakfish, spotted weak- flounders, sea bass, miles whiting, sea bass, white bluefish, blackfish, white fish, flounders, pom- groupers, snappers, co- perch, weakfish perch, sea bass pano, groupers, snap- bia, spanish mackerel, pers, croakers, striped bluefish, grunts bass, shad, white perch, spanish mackerel Pacific Coast South Pacific: Mid-Pacific: Northern Oceanic region Southern California California to Canada Alaska Offshore yellowtail tuna, mack- cod, black cod, ling, salmon, cod, rockfish, erels, sea bass, rockfish, rockfish, albacore, floun- halibut, flounders, sea- snapper, ling, albacore, ders, salmon, sea-run run trout bonito trout, halibut Inshore rockfish, sea bass, floun- striped bass, shad, sal- halibut, salmon, sea-run ders, surf perch, opal mon, sea-run trout, surf trout, cod, rockfish, eye, striped bass, shad, perch, opal eye, floun- flounders corbina, corvina, ling ders Source: U.S. Library of Congress, Congressional Research Service, George Siehl, "Recreation and the Coastal Zone," Washington, D.C., Library of Congress, September 8, 1977, p. 9. 111-30 Pacific Fishery Management Council has a plan for the problems of recreational vs. conimercial fishing the anchovy which allows a moderate expansion. of interests is inadequate information about many spe- the commercial fishery. cies on which better decisions need to be made. (This The different approaches taken by State govern- same situation holds true for implementation of the ments cause the consternation of recreational and 200-mile law, but the practicalities require the Re- commercial fishing people alike. Under the Fishery gional Councils to make the best judgments they can Conservation and Management Act, the Federal Gov- with available data.) There appear to be problems erment has a role in attempting to bring about more with the statistics involved. Commercial data are uniform regulations on the taking of individual spe- generally considered underestimates of a*ctual land- cies. ings, according to at least one account, whereas recre- Differences in State regulations abound. For in- ational data are said to be high. For instance, the stance, Georgia, New Jersey, New York, and South head of the Sport Fishing Institute developed figures Carolina regard the striped bass (rockfish) as a game for recreational catches in 1970 that came to one-half fish and prohibit its catch in nets. North Carolina of those of another researcher (Deuel),namely 0.8 bil- encourages a major commercial fishery for striped lion pounds vs. 1.58 billion pounds .17 bass. South Carolina restricts recreational catches to The Federal Government's multiple activities in 10 per day; North Carolina has no limit. For the support of marine recreational fishing appear to be same species on the West Coast, California has a another area calling for an objective, overall exami- limit of three per day for recreational anglers, and nation of what disparate agencies and departments Oregon, five. are doing, with an eye to spotting the duplicative or Conflicts arise between recreational and commer- conflicting programs and those which could be trans- cial fishing interests. An example occurs in Narragan- ferred to State or local governments. it is also an set Bay, R.I., where some anglers complain about area where the Federal-State relationship has ele- the size of the commercial menhaden catch, saying ments of conflict. it deprives striped bass and bluefish of food and The presence of the Regional Councils to imple- thereby cuts into the catch of those species. ment the Fishery Conservation and Management Act, In a case such as described above, one Federal role with a legislative mandate to enhance and protect is to provide accurate information about the size of recreational, as well as commercial fishing interests, menhaden stocks! and the amount that might be is seen as a hopeful new tool for bringing about caught without damage to other stocks. State officials greater Federal coordination and smoother cooper- decide what limits to set with the Federal Govern- ation between Federal and State officials. ment seeing that the State decision does not have any adverse implications from a national standpoint. According to some fishery scientists, compounding Ibid, p. 126. increasing Fishery Productivity In addition to the management and conservation legislation is, as its title suggests, management and efforts that were set into motion by the Fishery Con- conservation. Because management is, to a large de- servation and Management Act of 1976, there are gree, planning for the future, a large part of the several other activities which could increase the do- management effort is concerned with the enhance- mestic share of the world's commercial landings and ment of stocks that are now or are soon to be de- revitalize the fishing industry. These activities in- pleted. clude: Besides aquaculture and the development of new genetic stocks, the various techniques used to en- 0 restoration of depleted stocks; hance a particular stock include: 0 reduction of foreign competition; elimiting harvests-as manifested by optimum yield * possible development of underused species; levels which are recommended by the Regional 0 increased efficiency with improved techniques and Fishery Management Councils; technology-harvesting, product handling, process- *supplementing stocks-improving the health and ing, storage, and marketing; and viability of particular stocks by adding individuals; development of aquaculture. and Restoration of Depleted Stocks maintaining or improving environmental quality near fishery habitats-improving the water quality Although extended jurisdiction has the effect of in areas vital to marine fisheries such as estuaries, significantly reducing foreign competition for fishery rivers, and coastal areas, and the construction of stocks in U.S. waters, the principal intent of this artificial reefs. 111-31 Reduction of Floreign Competition A number of species such as Alaska pollock are Competition from foreign fishing operations in- caught by foreign fleets in the U.S. Fishery Con- volves two components: competition over the stocks servation , Zone and subsequently imported by the within a particular fishery and competition from im- United States, either fresh or frozen. Imports would ports. The Fishery Conservation and Management certainly be reduced if domestic fleets landed the Act of 1976 gives domestic fishing operations pre- stocks that foreign fleets now harvest from domestic ferential rights to harvest the stocks within the U.S. waters, yet it is not clear that this would be an eco- fishery conservation zone. While foreign catches in nomical move. These species are not always the ones the conservation zone have been on the decline since landed by present domestic fleets-therefore, the situ- 1972, implementation of the Fishery Conservation ation could call for new boat techniques and process- and Management Act further reduced foreign harv- ing plants-all requiring major capital investment. ests in the zone. This in turn, could mean higher prices to the U.S. A February 1978 NMFS draft report " proposed consumer. further reductions of foreign fishing activities in the Competition from imports is another issue. It is conservation zone and subsequent replacement by possible for foreign imports to underprice domestic U.S. vessels and crews. In this way NMFS estimates products for several reasons, of which the principal that U.S. fishing fleets could harvest 2.1 million are: tonnes of fish that were allocated to foreign opera- tions. If this change were to occur, it would nearly * less expensive labor, double the present domestic landings, which have 9 low overhead, and ranged from 2 to 2.5 billion pounds annually. It is 9 government subsidization. expected that much of these landings will be of These elements of foreign trade are not unique to stocks that are not popular in the United States and the fishing industry, but there are aspects peculiar to will be exported to foreign markets. Such a change could help reduce the trade deficit in fish, which was fisheries. U.S. law requires that before a vessel can $1.4 billion in 1974 .40 engage in coastwide trade or fisheries of the United A less drastic recommendation came from the States, it must be under the U.S. flag and must have General Accounting Office. It suggested that, because been constructed in the United States. For a few many other governments have instituted an extended fisheries, such as tuna and shrimp, U.S.-built ships fishing zone of their own which will affect the pro- are preferred 'over all others. Because U.S.-built ductivity of the U.S. vessels fishing in their waters, ships are often considerably more expensive, as much the United States. should enter into reciprocal agree- as 30 percent higher, than those built elsewhere, the ments with such countries desiring to fish within the high overhead cost for the vessel increases the price conservation zone. The establishment of foreign fish- of the product at the market." While the gap between ing allocations is a first step toward reducing the the cost of foreign- and domestic-built boats has been competition from foreign fleets. closing recently, the construction of larger, More ex- The other impact of foreign operations that affects pensive vessels to harvest deepwater bottomfish could the health of the domestic industry comes from im- cause this issue to intensify. In contrast, U.S.-built ports. Title II of the Trade Act of 1974 designates shrimp vessels are exported widely. the Department of Commerce's Industry and Trade Because of the expense of new fishing boats and Administration to provide direct loans as well as the small size of most fishing operations, there is a guaranteed and insured loans and to disseminate general reluctance to make major investments unless relevant technical information to firms seriously in- they are absolutely necessary. As a result, the fleet jured or threatened by imports that result from trade has a large number of old boats. In 1974, Coast agreernent concessions. Guard records showed the average age of fishing The Pacific Coast oyster industry has been jeopard- boats was nearly 22 years .52 Older boats have a diffi- ized by imports and illustrates the problem in this cult time competing with newer, more efficient boats area. According to the General Accounting Office, of foreign fleets. Korean imports of canned, smoked, steamed, boiled, Domestic fleets pay more for fishing gear than their and frozen oysters increased 60 percent from 1972 foreign counterparts. The import duty on nets and to 1973. There was a fear that imports of canned netting materials is nearly 50 percent. Whereas this products alone under a bilateral agreement with the serves as an effective deterrent to U.S. purchase of Republic of Korea could lead to the downfall of the foreign nets, it also serves to raise artificially the price domestic industry along the Pacific Coast." of the domesti 'c nets. There is some irony in elements of the fishing industry who want controls on imports '8U.S. Department of Commerce, op. cit. note 15. "U.S. Comptroller General, op. cit. note 4. Ibid. Ibid. G'Ibid. 111-32 of fish, but reduced restrictions on imports of fishing Table 3-9-Underused stocks in U.S. waters with gear. potential for development' Developing Underused Species 5-year The common property nature of marine resources average catch is part of the problem concerning the harvesting of Species 1970-74 1971-75 species which now may be underused. Compared with the large risks involved, an investor willing to sponsor million pounds the harvest of underused species can realize only a California anchovy minimal economic gain, because there is nothing (central stock) 222 comparable to patents or "leases" on fisheries. Pacific hake (offshore Beyond this major disincentive, a number of other stocks) 0 Atlantic herring (offshore problems hamper the development of underused spe- stocks) 37 cies: Round herring 0 eneed for resource surveys and assessment to de- Jack mackerel 36.6 termine if there are, in fact, underused species Skipjack tuna (central and and their extent; western Pacific) 11.0 *possible new harvesting techniques and tech- Atlantic squid (short-fin nology; and long-fin) 3.3 0different techniques for storage, processing, and Croaker 16.4 product development; and Mullet 33.1 *need for marketing and economic analysis. 'Adapted from U.S. Controller General, The U.S. Fishing Table 3-9 notes some underused stocks that have po- Industry-Present Condition and Future of Marine Fisheries. tential for development. Resource Surveys and Assessments to handle such fish. With support from the Sea Grant program, one such development has emerged. Re- Although the NMFS Marine Resources Monitoring searchers have found that when mullet are dipped Assessment and Prediction Program (MARMAP) in sodium ascorbate, their rate of decay can be functions primarily to supply the information re- slowed down significantly. They feel that further im- quired to manage and conserve the fishery resources, provements in this area will aid the, development of this program can collect data on the abundance and a productive mullet fishery. At.the present time, the location of possible underused stocks as well. short storage time has been a major obstacle to The NMFS Fishery Engineering Laboratory has expansion of this fishery. been involved in developing new techniques for such Research sponsored at the University of Rhode surveys. This laboratory is at NASA's National Space Island has shown that New England squid have a Testing Laboratory in Bay St. Louis, Miss. The de- tremendous economic potential either for export or velopment of satellite and aircraft survey techniques home consumption. Americans are not inclined to use has been facilitated by this arrangement. Satellite squid as are Europeans and Asians, but the develop- assessments may some day be able to predict the lo- ment of canned and frozen squid could have a future cation of schools of certain species of fish with high market here. Food scientists and engineers at the accuracy. Massachusetts Institute of Technology (MIT) have Harvesting Techniques and Technology designed and built a prototype of a squid eviscerating and skinning machine. There are questions about the role that govern- MIT engineers also have begun a 2-year study to ment should play in the development of techniques devise an automated process to remove the skin of and technology which can be used commercially. the spiny dogfish shark. There are two constraints Present policy directs NOAA's research and develop- on the development of this fishery: first, the common ment efforts at improving techniques for harvesting name of the fish and second the high cost of manually fish which are designed strictly to contribute to a removing the leathery skin. Stocks of spiny dogfish better understanding, conservation, or use of the fish- shark are abundant within U.S. waters, but are little ing resources. Occasionally, this work can lead to used at tho present. This project is part of the developments with commercial application. Gloucester fishery revival project discussed above. Another possibility is the use of wastes from Storage, Processing, and Product Development harvesting and processing as new food sources for Several possible underused species with economic humans and as feed for animals. The Food and potential, such as mullet or Pacific hake, are more Agriculture Organization of the United Nations esti- perishable than most varieties. Changes in methods of mates that as much as 8 billion pounds of trashfish shipboard handling and storage will have to be made is discarded by shrimpers who catch 8 to 20 pounds 111-33 of trashfish per pound of shrimp caught.13 Shrimp used as fish sticks or fillet-shaped products. boats now do not have room to store these low- A project, at the NMFS Fisheries Engineering valued species. Techniques for storing and processing Laboratory is attempting to develop a selective such fish, which are normally thrown back dead, shrimp trawl that will prevent most of the incidental would aid the development of underused species. catch of low-valued trashfish. Under Sea Grant's Seafood Science and Tech- Marketing and Economic Analysis nology program, the University of Washington's A study currently underway is examining the "Total Utilization Concept" for fishery raw materials potential foreign markets for fish and shellfish that involves the completion of the processing cycle where exist in commercially harvestable numbers in U.S. use is made of byproducts and wastes in sequential waters, but are not now tapped by domestic fleets. processing stages. The study, expected to be completed by October 1978, is primarily supported by NMFS and the Eco- Fishery Cooperatives nomic Development Administration. Additional sup- There have been some attempts to pull together port comes from funding contributed by Federal the presently fragmented commercial fishing in- Regional Commissions. Preliminary estimates indi- dustry. The formation of the New England Fisheries cate that new export markets could be valued as high Development Program in 1973 and the Gulf and a@, $ 10 billion. South Atlantic Fisheries Development Foundation in An important aspect of market development with 1976 could help regional fishery development. These regard to possible underused species is consumer groups coordinate many functions and serve as: education, The increasing concern with human nutri- tional requirements could help the acceptance of 0 a formal mechanism through which the commer- newly introduded species. One problem in developing cial fishing industry of the region can identify its future markets of some underused species is that research and development needs, many carry unappealing names-such as cancer o an institutional arrangement which allows fishery- crabs, rat tails, and spiny dogfish sharks. Food and related funds to be combined in order to accom- Drug Administration regulations require that fishery plish defined objectives, and products be labeled with their common names. * a potential advisory body to the appropriate NMFS has begun a project concerning market Regional Fishery Management Councils." names for fishery products, basing the name on edi- The New England Fisheries Development Pro- bility characteristics such as color, texture, flavor, gram's original goal was to expand the value of fish and fat content. The uniformity of this system should production by $10 million by the end of 1978 by help consumers shop on the basis of edibility prefer- developing long- and short-finned squid, offshore ences. In addition, it is hoped that these names will crabs (red, Jonah, and rock), ocean quahogs, and have more appeal than many of the common names mussels. This goal has been realized. of underused fish. Since its charter in the fall of 1976, the Gulf and Another marketing technique used by the Gulf and South Atlantic Foundation has contracted projects Southeast Fisheries Development Foundation to totaling over $150,000, generating over $750,000 teach consumers about underused fish is to prepare a in matching funds.55 cookbook for these species. This effort was done in Another cooperative program is the Pacific Tuna conjunction with other major marketing promotions. Development Foundation. This group is specialized and rallies around the common interest in the eco- Seafood Waste Recovery nomic improvement of the tuna fishing industry in Several projects are looking at the recovery of the Central, Western, and South Pacific. Funding seafood processing waste for its nutrient value. Not for this group comes from the NMFS Saltonstall- only do these developments have the potential to Kennedy funds and the Pacific Islands Development bring about the more efficient use of the fishery Commission. resources, but by transforming processing wastes, such as shells, into commercially valuable products, Aquaculture the research can help eliminate the growing problem Aquaculture is to fishing as agriculture is to hunt- of waste disposal. ing and gathering; the culture or husbandry of A private firm has developed a process which aquatic animals or plants, however, lags far behind retrieves the "dust" resulting from sawing blocks agricultural advances. One authority estimates that of frozen fish. This byproduct, estimated to total as much as 10 percent of the frozen block, can be A Program for the Development of Underutilized Demersal and Pelagic Finfish Resources of the Southeast; Gulf and South Atlantic Fisheries Development Foundation, Inc., Tampa, Fla. 53 Ibid. o Ibid. 111-34 U.S. aquaculture today is about where agriculture increased expansion, including oysters, rainbow trout, was 300 years ago, "very low in technology, but very and salmon. Table 3-10 contrasts the 1973 domestic high in,promise and opportunity." 56 aquaculture harvest with NMFS's projected 1990 'Q,@veral reasons account for the lack of develop- harvest." ment of this activity; the most significant is simply The demand for fish in the Japanese diet has that the need did not exist. Coastal fishing people, stimulated improved techniques of rearing and breed- following the patterns passed on by family and ing in'aquaculture. It lis estimated'that the Japanese community, learned the skills needed to harvest the government spends 10 times as much as the United ocean's living resources. States on aquaculture research and subsidy.50 Aquacultural methods have some basic technical A July 1977 NMFS document 60 identified species problems that need to be worked out before wide- as candidates for aquaculture development (table scale development will be practical, especially the 3-11). high incidence of disease that afflicts culturing pools. Since that document was prepared, the Food and Nonetheless, aquaculture does play a significant Agriculture Act of 1977 designated the Department role in providing fish for the worl'd. Nearly 10 per- of Agriculture as the lead agency for the development cent of the world catch (13 billion pounds) comes of aquaculture. The ramifications of this assignment from aquaculture facilities." are as yet unsure. The Department of Agriculture NOAA's Aquaculture Plan, published in May now has plans to develop the scientific, technological, 1977, noted that several species showed promise for and marketing bases for freshwater species only, such as catfish and trout. The 1977 Act gives Agriculture Table 3-10-Aquaculture development for the the legal authority for all aquaculture activities, but United States-1973 totals and 1990 potential the development of marine aquaculture,(mariculture) is and could continue to be the responsibility of both 1973 1990 the Departments of Commerce and Interior. -million pounds- Salmon 61 245 Table 3-II-.Species groups included in the aqua- Oysters 20 200 culture Implementation Plan Catfish 48 120 Trout (freshwater) 30 70 Shrimp .5 63 Fishes: Anadromous: Pacific and Atlantic salmon, Crawfish 10 30 trout, striped bass Clams 2.6 2:5 Marine: Pompano, mullet, rabbit fish, thread- Mussels - 25 fin, tuna bait fish, etc. Lobster - 10 Freshwater: Catfish, trout, carps, perch, buf- Trout (seawater) - 10 f alofish, etc. Abalone - 5 Scallops - 5 Crustaceans: Marine shrimp, freshwater prawn, lobster, Pompano - 3 freshwater crawfish, crabs Other 5.5 400 Mollus .ks: Oysters, clams, scallops, mussels, abalone Total 177 1,211 Other: Marine baitworms ' U.S. House of Representatives, Committee on Merchant Marine and Fisheries, Kent Price. Aquaculture Hearings before 51 Ibid. Subcommittees on Fisheries and Wildlife Conservation and the Ibid. Environment and Oceanography. Washington, D.C., Government NMFS, draft, "Proposed Addendum for Implementation Printing Office, March 15, 1977. Plan-Department's Marine Fisheries Program for the Nation, U.S. Comptroller General, op. cit. note 4. July 1977. Federal Support of Fishery Research In the past, Federally supported fishery research fishery research is conducted by States and uni- has been fairly extensive and has concentrated on' versities. developing basic biological information about indi- NOAA.alone spends on the order of $40 million vidual species. per year in fishery research. The figures for fiscal A survey of Federal fishery research done in 1973, years 1974, 1975, and 1976 were $35.9 million, compiled by NOAA, found nearly 1,500 projects in $41.9 million, and $44.5 million, respectively. The the general field of "nonhuman living systems" by General Accounting Office study of the fishing in- eight departments and' agencies. Table 3-12 sum- dustry in 1976 was not able to produce an overall marizes the survey. figure for Federal fishery research activity, an indi- In addition, the Departments of Agriculture and cation that possible duplication exists. Transportation reported a few projects. Beyond this, 111-35 Table 3-12-Fishery research projects' Environ- Health, Smith- National mental Education, sonian Science Protection and Institu- Total Commerce Foundation Agency Welfare tion Interior Energy 2 Defense projects number Mollusks-crustaceans 144 54 13 42 29 1 1 7 291 Fish populations 176 13 - - 7 36 1 1 234 General ecology 95 50 42 1 6 10 15 2 221 Microorganism- plankton 48 100 27 6 7 3 3 13 207 Productivity- biochemistry 53 46 10 19 2 6 19 1 156 Other animals 29 40 1 9 31 1 - 15 126 Fish habitats 41 5 8 - 2 16 5 - 77 Plants 22 30 8 2 7 1 1 3 74 Fish physiology- biochemistry 25 13 3 14 - 7 1 - 63 Total: 633 351 112 93 91 81 46 42 1,449 'Source: U.S. Comptroller General, The U.S. Fishing Industry-Present Condition and Future of Marine Fisheries, 51 pp. 'Formerly Energy Research and Development Administration. For a description of Federal marine research in This is especially true with regard to species which general, which includes mention of the fishery-related inhabit the ocean bottom (groundfish). Reported the activities, a 1977 publication of the Committee on technology office: "(because of the difficulties) assess- Atmosphere and Oceans of the Federal Coordinating ment must depend upon inference, statistical proba- Council for Science, Engineering, and Technology bilities and the measures developed to understand the provides the most recent information. Its title is complicated and interrelated marine environment .1161 "Guide to Information on Research in Marine Sci- With the adoption of the fishery conservation zone, ence and Engineering," - and it describes briefly the intense pressure has been put on the Regional Coun- current fishery research of eight agencies and depart- cils to have accurate information on the size of the ments. fishery stocks they are charged with managing. Too Despite the sizeable effort over the years in fishery low quotas bring protests from foreign or domestic research, the data base apparently is not sufficient for fishing interests; too liberal limitations could endanger today's needs. In some eyes, this condition is because the future health of the species. much of the research effort has not been sufficiently OTA has stated that no stock of fish in the U.S. directed at stock assessment-which is critically fishery conservation zone had the completely devel- needed in management decisions-but rather at more oped information base desired for management deci- esoteric or basic biological science. The contrasting sions." This Congressional advisory unit listed the view is that it is precisely this basic biological re- following characteristics of a completely adequate search that is fundamental for sound stock assess- base of data on which sound fishery management ments and, therefore, solidly baseddecisions on har- should be based : 64 vest quotas, moratoria, or season length, for instance, 0 an understanding of species-stock biology, According to a study made by the Congressional * quantification of the commercial indices which Office of Technology Assessment (OTA), fishery re- allow trends in abundance to be followed, search has two major problems at present. One is the 0 survey information demonstrating changes in possible inadequacy of stock assessment information stock abundance and a e composition, to meet today's management responsibilities, includ- 9 ing inadequate testing of existing information in real- * survey information giving prerecruit indices, world situations. The other is an absence of reliable e age and size composition data, socioeconomic data on a variety of elements of the e historic catch and effort data, fishing industry. 0 an understanding of movements and migrations, Basic to the possible inadequacy of stock assess- e knowledge of the effects of factors such as tem- ment information is the nature of the resource being perature and water quality, and studied-it is simply not possible in some cases to 0 knowledge of the interrelations among species. obtain accurate population counts before harvest. 12U.S. Congress, Office of Technology Assessment, op. cit. note 39, p. 77. 11 Prepared by Office of Ocean Engineering, NOAA, Rockville, 11 Ibid., p. 78. Md., May 1977. G'Ibid. 111-36 The last element, information on the interrelations The proposed remedy was a 10-year, $3 million-per- among species, is felt to be one of the major short- year effort directed at assembling accurate informa- comings of past research efforts which tended to tion on the following topic areas: vessel inventories, focus on individual species. It is also felt to be critical vessel construction costs, costs and earnings data, de- to the types of management decisions that have to be mand analysis data (from household surveys), em- made by the Regional Councils to implement the ployment data, fishery development, and recreational 200-mile law. fishing impacts. In addition to improving the accuracy and coverage A recent review of social-science research in the of stock assessment data, there is also a requirement marine field as a whole, including fisheries, but cover- of the 200-mile law for expanded socioeconomic data. ing the entire range of marine matters, found much This is so in part because the determination of a activity from the Federal standpoint centered in the stock's optimum yield, the stated objective of any NOAA Sea Grant program. Specifically, a committee management plan, turns on certain economic and within the Interagency Committee on Marine Science social factors. Included among these are considera- and Engineering reported in December 1976 that tions of costs and returns, pricing, and regional em- there were 304 marine-related social science studies ployment. Also required will be information on the between 1970 and 1975; 270 of them were by Sea economics of foreign fleets operating in U.S. waters. Grant. Total cost for the 5 years was $10.9 million; Additional information needed about foreign fishing See Grant contributed $7.2 million of this total. activity is the extent of investment by overseas in- In a report of its fishery activities, the Office of Sea terests in U.S. vessels and packing plants and the Grant found 12.7 percent of its total project funding effect of these investments. in 1977 went to fishery research-144 projects at $5.2 One aspect of current fishery management that million. By category, the research projects, generally needs to be studied is the trend, and the reasons be- conducted at universities, were: resource development hind it, for U.S. vessels being registered in foreign (23 percent), economics/legal (13 percent), environ- nations. From fiscal years 1971 through January 1977, mental (13 percent), and technology (8 percent). Ed- a total of 1,200 U.S. fishing vessels were transferred to ucation and training consumed 3 percent of the fund- foreign owners or foreign flagS.65 ing, and the NOAA marine advisory service 41 OTA identified seven areas of economic informa- percent.66 tion for which NMFS was collecting inadequate data. "Paper by Naida Yolen. "The National Sea Grant Program in Fisheries." National Sea Grant Office, NOAA, Washington, Ibid., p. 82. D.C., January 1978. Fishery Management and Enforcement The task in fishery management is that of allo- proven controversial. The difficulty of allocating the cating the common property resource, fish, among a optimum yield per species among, first, domestic fish- number of claimants. This obviously calls for inter- ing people, and then among foreign nations, is con- vention by government into the fishing process. siderable. This was explained clearly in the Senate Commerce The purpose of Federal marine fishery manage- Committee report accompanying the 200-mile legis- ment, which today means implementation of the Fish- lation in 1975: 67 ery Conservation and Management Act, is the attain- "Resource mana .gement is essentially a se- ment of what is termed the "optimum yield" of each ries of allocations-allocations among pres- fishery. The term meansthe amount of fish that will ent users, allocations between present and provide the greatest overall benefit to the United future users, allocations between public and States with particular reference to food production private interests. There are simply not and recreational opportunities, and is prescribed as enough fish to go around and the line must such on the basis of maximum biological sustainable be drawn somewhere.... It is a fact of life yield from such fishery, as modified by any relevant that not everyone who wishes will be allowed economic, social, political, or ecological factor. to fish for a given stock of fish." As spelled out in the 200-mile law, management measures must, among other things, be based on the It is a surprise to no one that implementing the best scientific information available, be indiscrimina- Fishery Conservation and Management Act has tory between residents of different States, and where- ever possible, manage a stock of fish throughout its U.S. Senate, Committee on Commerce. Report 94-416, "Mag full range, even if it crosses jurisdictional lines. nuson Fisheries Management and Conservation Act," Washing_ One management technique which is particularly ton, D.C., Government Printing Office, October 7, 1967, p. 30. controversial is limited entry into particular fisheries 111-37 in the name of efficiency. The aim here is to cut down "The low prices accelerated landings and the capital and labor employed in harvesting the com- led to rapid closures of the fisheries. The mon property resource and thus to avoid waste. Lim- closures, in turn, prompted the New Eng- ited entry means curbing the amount of fishing effort land Fishery Management Council to rec- allowed. omend relaxation of strict rules. To succeed, limited entry could mean some who "Handling of the recommendations by the now fish in a particular fishery would no longer be Department of Commerce led to disputes allowed to, or at a minimum, no additional effort with the council that have yet to be re- would be allowed beyond that now taking place. At solved as both groups struggle to assert and the same time, most limited entry proposals con- maintain their control over fisheries policy. template a transition period or some form of "grand- "While the struggle continued, officials fathering" to accommodate present operators. The agreed to relaxed quotas that allowed for Fishery Conservation and Management Act explicitly overfishing. Combined with massive land- permits the Regional Councils to recommend, among ings from boats flaunting,(sic) the rules, the other approaches to fishery management, systems of combined catches for the year far exceeded limited entry according to certain specifications. One acceptable biological levels, and instead of explanation of the purpose of this approach is as fol- finding the stocks in better shape this year, lows: 61, the haddock@ cod and flounder populations declined. "The primary purpose of this technique is to "Strict catch limits have been mandated reduce the congestion and economic waste again for this fishing year,(1978), annoying that occurs from the open access condition offshore fishermen who insist that there is of common property fisheries. Limiting ac- plenty of fish and the biologists are wrong cess would also greatly facilitate the man- in saying they are mostly immature fish ... agement of many fisheries by reducing the Late last year fishermen learned just how number of vessels being regulated." serious the government was about enforc- ing the new law. Repeated warnings were Three different methods for limiting entry are gen- made that fines of up to $25,000 per erally prescribed. Licensing is one method of setting offense could be assessed to those exceed- limits on the number of vessels, fishers, and nets or ing the cod and haddock limits. other devices allowed. Another method is a system of "Many ignored the warnings, openly flaunt- fees set high enough to discourage the casual fishing ing the law in the absence of immediate effort. And a third way to limit entry is to divide an penalties ... allowable catch into quotas to be distributed among "Shortly before Christmas, the notices be- the participants. gan to trickle out of marine fisheries Attempts to limit the present level of fishing effort service computers in Washington. Just as under the 200-mile bill have proven controversial. they had been warned, fishermen were be- The following excerpts from an article on the first ing fined up to $25,000 per offense, a total year's experience with the 200-mile law in the of $150,000 in the case of one multiple Gloucester .(Mass.) Daily Times 69 illustrate the point: violator. "More than 80 citations were issued, forc- "Upon its passage in 1976 and again when ing many of the violators to band to- it became effective last year, the law was gether in their own defense while those almost universally applauded by New Eng- who abided by the rules were jubilant that land fishing interests.... The past year has the violators were finally being punished." been filled with some obvious pluses, some The situation described in Gloucester gives some minuses, problems, power struggles and a suggestion of the difficulty in instituting a system of few ironic twists no one anticipated ... limited entry, especially without the full support of "The unexpected surge in landings led to the industry. low prices that made some fishermen com- The State of Alaska has experimented with limited plain bitterly that life had been better when entry with higher license fees. The experience there the foreign fleet was around; landings were is being closely watched to see if it is successful and lower, prices were higher. possibly applicable in other areas. Other management techniques are available and, U.S. Senate, Committee on Commerce. Fishery Management in fact, come under the heading of "traditional" ap- Under a 200-Mile Jurisdictional Limit. Washington, D.C., Gov- ernment Printing Office, 1975. proaches to fishery management. As summarized in Gloucester (Mass.) Daily Times, March 1, 1978, page 1. a Senate Commerce Committee document circulated 111-38 at the time the 200-mile bill was before the Senate, effectively the Nation's fishery resources. The com- these methods include the following: mon property nature of the resource remains as the * Closed seasons for a given species for a certain basic fact of life with which the Regional Councils must grapple in their attempts to balance competing time. demands on the resource. * Closed areas, such as spawning or nursery areas The last -major problem in fishery management is where catches would endanger the future of the protection of the marine environment. (See chapters stock. IV andVI.) * Size limits, as with prohibition of smaller sized Law enforcement policy raises numerous ques- fish to enable them to mature and reproduce in tions. Initially, the approach taken in a fishery man- order to ensure the future of the fishery. agement plan and the language of the associated * Vessel limits, as with restrictions on size, tonnage, regulations themselves are factors in determining or power in order to decrease fishing pressure on policy. The effectiveness and cost benefits of a given a stock by mandating a certain amount of in- level of enforcement activity, both dockside and at efficiency. This kind of limit is difficult to control, sea, require continual scrutiny and evaluation. There because even with limits on size and engines, im- are two major governmental considerations. The first proved gear can enable a larger-than-intended is between Federal and State officials, as previously catch. mentioned. A close working relationship among State * Prohibitions on certain efficient types of gear. agencies and the Fish and Wildlife Service, Coast Sometimes this can be a restriction designed to Guard, and NMFS is essential. The second consid- protect the incidental catch of species. eration is the cooperation of the Federal agencies in * Catch limits. The difficulty here, as shown in the fishery management within the 200-mile zone. The example below, is that the larger, more efficient Coast Guard and NMFS share equal responsibility boats tend to absorb as much of the quota as with respect to Fishery Conservation and Manage- early as they can. The increase in efficiency of ment Act (FCMA) enforcement. Because of its estab- tuna vessels has meant a shortening of the tuna lished presence and capabilities, the Coast Guard is season in the Pacific from 9 to 3 months, for ex- most active in the offshore area. NMFS is the princi- ample. (This is the method selected this year by pal enforcer of FCMA at the dock. the New England Regional Council to enforce its The Department of Justice supports the fishery cod quotas; on a quarterly basis, the catch is management program as it represents the national in- assessed and when the limit is hit, the fishery is terests through the judicial process, whereas the De- closed. This method, especially in winter, favors partment of State monitors and takes an active role the larger vessels, to the dismay of the small-boat in any endeavor involving foreign nationals and ves- owners.) sels. The requirements of the Fishery Conservation and Methods of attaining effective enforcement are Management Act are creating a number of demands. always studied for improvement. Though the number One of the principal demands is for more and better of patrol ships and areas of patrol activity change, focused research data. Another is for an examination the basic approach of "at-sea" law enforcement is of the "traditional" approaches to fishery manage- continuing to be the Coast Guard cutter's boarding ment as well as the "limited entry" concept for their party, supplemented by surveillance from ship and implications on both the fishery stocks and on the aircraft. Remote sensing devices and satellites are fishery community. possibilities, though the present state-of-the-art and The 200-mile law calls, in short, for something cost factors present severe limitations. Use of ob- approaching a systems approach to managing the servers on board foreign vessels has been effective resources, where in advance of making decisions the not only in terms of enforcement, but in collecting repercussions are thought through, discussed with data for fishery management as well. those who will be affected, and adjusted accordingly. . It is anticipated that the Coast Guard may have to The three principal problems identified by the increase "at-sea" inspections of domestic vessels to General Accounting Office in its review of fishery ensure their compliance with applicable management management up to 1976 were: plans. The effectiveness of dockside inspections is limited in the enforcement of restrictions on fishing 0 the common property nature of the resource, areas and methods (gear). Cost effectiveness of exist- 0 fragmented jurisdiction, and ing and proposed enforcement methods is being 0 lack of precise data. examined on a continuing basis to ensure optimum The 200-mile law addresses in part the problem use of the resources and the appropriate level of en- of fragmented jurisdiction. Backers of I the law hope forcement. Generally, enforcement of fishery manag- that it will soon stimulate acquisition and analysis of ment regulations on domestic fishing operators poses the precise data felt needed in order to manage serious problems. 111-39 Consumer Education and Product Quality Successful mark et development rests on the con- volved in interstate commerce is safe, pure, whole- sumer's satisfaction with the delivered product. This some,', and processed under sanitary conditions. Fur- is clearly an obstacle to the development of under- ther*e, the Act, as amended, requires that imported used species where different tastes and textures are seafood products attain these standards as well. FDA not readily accepted. fulfills this responsibility by using a screening ap- Built into consumer satisfaction is the integrity of proach-periodic spot checks on domestic processing the product-consistent quality. Because fish are plants and selected lots of -imported fish and fish highly perishable, the need for quality control is products-before they are brought into the United essential. States for sale and distribution. Like FDA inspectors Unlike the mandatory inspections of meat and in other parts of the food industry, they usually arrive poultry by the Department of Agriculture, there are without warning and collect samples for laboratory no similar mandatory requirements for fish and fish analysis. product inspection despite the recommendation for The fish and fish products not subject to Federal such requirements by the "Eastland Survey" and the law or regulation are those stocks, such as gamefish, National Plan for Marine Fisheries. What does exist which are consumed in the same State they are caught is a voluntary inspection performed by NMFS. These and processed, hence not involved in interstate com- inspections are done at the request of, and paid for merce. by, the processors and distributors desiring to assure Situations do arise where Federal guidance is ap- the quality of their product and hoping to improve propriate at the State level. The recent contamination sales, because their items carry a Federal sea] of ap- of the James River, Va., with kepone is such a case. proval. In a related function, NMFS is involved in research It is to be noted, however, that merely requesting on environmental contaminants that are prone to an official inspection does not guarantee approval of accumulate in fish and are maintained in the proc- the products. If a processing plant does not meet the essed product as well. Contaminant constituents in- approval of the inspector, it may be closed down until clude: organic, such as PCBs; heavy metals, including the problem, usually one of sanitation, is resolved. mercury and lead; and petroleum and petroleum At the present time, Federal inspectors handle only products. 3 percent of the domestic fish processing plants and The NMFS Seafood Quality and Inspection Divi- 30 percent of U.S. processed fishery products. This is sion administers the voluntary inspection program not to suggest that the remaining fish go unchecked and also promulgates standards and specifications for before they are marketed. The Food, Drug, and Cos- sanitation, grade identity, and nomenclature for fish metic Act designates the Food and Drug Adminis- and fish products. In their entirety the categories for tration (FDA) to assure that all food, including fish these standards are the components which make up and shellfish and products derived from them, in- quality-the concern of the consumer. 111-40 Chapter IV: Coastal Resources Introduction The region bounded by the shorelands, estuaries, posals, oil spills, nearshore ocean dumping, con- nearshore ocean, and the Great Lakes is referred to tamination of estuaries, and increasing recreational as the coastal region. As the place where the land pressure on the shoreline. meets the sea, this region is recognized as a unique The roots of the Nation's history are in the coastal geographical unit deserving special consideration to region. Most major population centers are on or protect its environment and enhance its usefulness. near the coasts. Continued economic expansion at- Awareness of the importance of the coastal region tracts increasing numbers of people to many of these was aided by three Government-sponsored studies metropolitan areas. The abundance of cooling water published in 1969 and 1970. The first was the report and the proximity to centers of heavy energy Our Nation and The Sea, compiled by the Strat- usage make the coastal region ideal for siting ton Commission and released in January 1969.1 nuclear and fossil-fueled powerplants., Offshore oil The Commission recommended the enactment of and gas deposits contain the major remaining re- a "Coastal Management Act," which would provide serves of domestic oil and gas apart from Alaska; financial and technical support for States to encour- in addition, imported petroleum, which makes up age better use of coastal resources. The other two nea 'rly one-half of present domestic consumption, studies were made by the Department of the Interior enters through ports and is refined, processed, and and published in late 1969 and 1970. In the first of transported in and through the coastal region. In- these reports, the Interior Department recommended creased volumes of imported liquefied natural gas legislation similar to that proposed by the Stratton (LNG) are anticipated to meet projected shortfalls Commission and stressed the effects of pollution on of domestic natural gas, thus requiring further expan- the estuaries and interrelations between the activities sion of energy-processing facilities in the coastal that take place on land and the impacts that occur region. The coastal region also attracts chemical in- in the coastal waters.' The second Interior Depart- dustries, which depend on petroleum feedstocks, and ment study documented the effect of man-induced heavy industry, much of which is closely linked with activities on estuarine areas .3 ocean-borne transportation. In the present absence The Coastal Zone Management Act of 1972 was of acceptable land-based disposal methods, coastal approved October 27, 1972. Since that time, national communities and industries turn to the near offshore awareness of the importance of the coastal region has areas for disposal of sewage and industrial wastes. been raised by events associated with the accelerated On the other hand, the coast is a unique recrea- development of oil and gas on the Outer Continental tional resource. Its attractions bring millions of tran- Shelf, siting of energy facilities both onshore and sient vacationers to the beaches from the interior of offshore in the coastal region, deepwater port pro- the country. Recreational fishing takes about 800,000 tons of fish a year from coastal waters. Coastal attractions lure second-home developments, condominium high rises, marinas, and supporting I Report of the Commission on Marine Science, Engineering, services. and Resources to the President of the United States and the Because the coastal region represents many differ- U.S. Congress, by Julius A. Stratton, Chairman. Our Nation and The Sea-A Plan for National Action. Washington, D.C., ent things to many different people, the public rarely Government Printing Office, 1969. A'more detailed treatment is given in the Panel Reports of the Commission. Volume 1, considers the coasts as an entity. The concept of a Science and Environment, Part III, Report of the Panel on coastal region or coastal zone may be sound scienti- Management and Development of the Coastal Zone. Washing- fically, but it is unrecognizable to the general public ton, D.C., Government Printing Office, 1969, 111-1 to 111-IB7. 2 U. S. Department of the Interior, The National Estuarine in a functional sense. The public at large is affected Pollution Study. Washington, D.C., Government Printing Office, by specific instances such as oil on the beaches or 1969. :3 U.S. Department of the interior, National Estuary Study, sewage driven ashore by winds and currents. Like- Washington, D.C., Government Printing Office, 1970. wise, the closing of shellfish beds because of pesticide IV-1 or fecal contamination, or the presence of mercury in Act of 1972 (CZMA) in terms of its provisions and pelagic fish, directly affects the public. These inci- the basis for regulatory power over coastal uses; dents of environmental pollution are perceived as (3) assesses the status of the States' participation in discrete occurrences, and are seldom seen as part of the coastal management program; and (4) reviews a matrix of man-induced uses that accumulate over planning and regulation of specific uses of the coastal time. region for wetland protection, coastal recreation, This chapter (1) describes the physical, socio- energy facility siting, -offshore and onshore power economic, and demographic characteristics of coastal generation, and offshore mining. regions; (2) discusses the Coastal Zone Management The Coastal Region The coastal region, in a generic sense, is the com- miles along the Atlantic, Gulf, and Pacific Coasts; paratively narrow band of land and ocean waters another 11,000 miles along the shores of the Great that bounds the periphery of the Nation. It includes, Lakes; and 2,500 miles along the island perimeters by definition, estuaries and embayments that are of Hawaii, Guam, Puerto Rico, the Trust Territories, infused by freshwater from the discharge of inland and Virgin Islands .4 In this region where ocean use rivers. Included are the Great Lakes-the inland and la@id use interact there is special need to protect seas, which have problems of resource use and pro- the valuable natural features, to allocate the. mu- tection similar to the seaward boundaries of the tually dependent land and ocean resources, and to Nation. The U.S. coastal region extends 88,000 resolve the conflicts among competing uses. Physiographic Characteristics The physical setting, as much as any other factor, man's activities can severely modify and alter the determines the use capability of the coasts, and natural processes of coastal dynamics. hence, the kind and extent of development. In the The coastal ecosystems that have developed northern coastal regions, where glaciation was within these physiographic regions are products of severe, the coastline is rugged, steep, and indented the topography, geochemistry, and the climate. The by flordlike embayments that are rimmed with viability of each ecosystem depends upon maintain- craggy rocks and have a narrow intertidal area. To ing the balance among these components. Hence, any the south where present coasts were once covered factor which tends to disrupt the natural equilibrium by the ocean, the coastal plain is flat, incised by of the environmental complex can cause changes in numerous rivers and shallow embayments that form the.physical and biological characteristics. The sen- extensive estuaries, and fringed by wide beaches and sitivity of natural systems to change varies consid- broad intertidal margins. Here, where freshwater ' erably over the range of the coastal margin. Five and saltwater constantly mix, are extensive tidelands coastal features are particularly vulnerable to altera- and wetlands. tion or disturbance: (1) tidelands and wetlands, (2) In Alaska, along the Bering and Chuckchi Seas, islands, (3) dunes, (4) estuaries, and (5) coral reefs. the tundra meets the ocean to form a unique segment Tidelands and Wetlands of continental margin. The coasts of Hawaii are of volcanic origin and significantly different than main- These coastal lands are covered periodically by land coastal systems. Guam, the Trust Territories, saltwater. Wetlands are usually vegetated with and the Virgin Islands are in tropical waters, and grasses, sometimes with mangroves. In the upper coral geology influences their coastal regions. regions of certain bays, saltwater wetlands merge All coastal areas change continuously. The effects with freshwater wetlands. Nearer the ocean, the of erosion, wave action, and sediment deposit con- wetlands undergo periodic tidal washes. The vegeta- tinually alter the shape of the coast in gradual and tion in these areas plays a key role in the food chain of the adjacent estuarine system. Dead leaves and sometimes dramatic ways. Barrier islands along the organic matter are broken down into small particles Atlantic and Gulf Coasts are continually molded as (detritus), which are the energy source for a variety sand is eroded and moved laterally. Storms occa- of marine life, including juvenile fish and shellfish. sionally split land areas and form new islands. The A more detailed discussion of wetlands, their natural processes of accretion, avulsion, and erosion influence man's use of the coastal margin. In turn, 4 Panel Reports, volume 1, op. cit. note 1, p. TH-7. IV-2 role, and attempts to regulate their use, appears in dune line grades into forested areas inland. the section "Protection of Coastal Wetlands." Because these windrows of stabilized sand are Islands important to the protection of the inland area, the alteration of dunes by construction or as the result Within the United States are an estimated 26,325 of the gradual destruction of the stabilizing plants islands greater than 10 acres in size.5 Alaska con- can lead to serious consequences. Wholesale destruc- tains much of the acreage in the Nation's island tion of dune vegetation has resulted from excessive estate-with over 6,000 islands accounting for 21 use of vehicles and trampling by animals and million acres of the 28.6-million-acre total. The humans. In addition, because of their location on other 20,000 islands contain 7.5 million acres. high ground overlooking the beach, dunes are prime Islands are extremely susceptible to damage, par- areas for residential and commercial development. ticularly on the Atlantic and the Gulf Coasts where barrier islands protect the mainland from storms and Estuaries waves. These islands are noted for their broad Estuaries are the mixing zones between the salt- beaches and natural beauty, which attract recrea- water of the ocean and the freshwater -carried by tionists and developers. The instability of the islands, inland tributaries. It is a zone of enrichment and is which tend to gain and lose area through natural highly interactive chemically and biologically. Estu- processes, makes them vulnerable to storm damage. aries are distinguished from bays and embayments Barrier islands are invaluable because they, rather by the degree of enclosure and the characteristics than the mainland shores, absorb the shock of off- of the physical processes occurring within. Clark has shore storms. suggested that estuaries, to be classified as such, Attempts to stabilize barrier islands have proven must have a shoreline length in excess of three times futile, as demonstrated by the National Park Serv- the width of its outlet to the sea .7 ice's (NPS) efforts on the Outer Banks of North The distinguishing feature of estuaries, however, Carolina. For years, NPS attempted to stabilize the is their role as a mixing area for fresh- and salt- narrow, sand islands that separate the ocean from water. Fresh inland water carries nutrients, sedi- large bays. It recently announced its discontinuance ments, minerals, organic matter, and contaminants. of efforts to stabilize the islands and acknowledged The interface of fresh- and saltwaters is highly pro- that it is inevitable that the barrier islands will ductive, and, coupled with the influence of the adja- change shape because of winds, waves, and storms. cent wetlands, creates a rich and diverse eco- The Army Corps of Engineers has also become more system. Estuarine waters are often shallow and thus reluctant to embark on large projects for shoreline permit penetration of sunlight through a rich photo- stabilization. synthetic layer. Such conditions produce large The value of the Nation's barrier islands was amounts of plankton and benthic organisms that highlighted in President Carter's environmental mes- serve a vital role in maintaining the food chains of sage on May 23, 1977, in which he noted that 68 finfish and'shellfish. It is estimated'that within their barrier islands remain in relatively unspoiled condi- life cycles three quarters of the domestic commercial tion.'6 However, many of the islands are privately fish at some time live in the Atlantic and Gulf owned and subject only to the normal controls im- estuaries. posed by the States and the Federal Government, Estuaries are nursery areas for a number of fish such as wetland regulations or dune controls. In species. Among these are pink shrimp of the Gulf many instances, private ownership and privately of Mexico, channel bass, striped bass, bluefish, controlled developments serve to preserve the island croakers, mackerel, and menhaden. Destruction of habitat by restricting general public access. the wetlands, reductions in inflow of freshwater, ex- cessive sedimentation, or pollution of the estuarine Dunes system by toxic substances impair the productivity of Similar to barrier islands offshore, dunes serve to the ecosystem, thereby affecting fish populations protect inshore areas from storm waters. Deposits and commercial and recreational harvest. Thus, the of beach sand form a berm that stabilizes the en- estuarine environment may be damaged by events croachment of grasses and xeric plants. The dune that occur at great distances inland or at the head of system on a barrier island consists of two parallel tributaries. Estuarine systems generally are resilient lines of dunes. The oceanside dune is the first line to environmental damage, yet thresholds can be of storm defense and is most susceptible to change exceeded with disastrous effects. The greatest threat from natural processes. The secondary landward may be the chronic degradation of the estuarine en- vironment through the cumulative impacts of pollu- 5 U.S. Department of the Interior, Islands of America. Wash- tion and gradual alteration of the adjacent wetlands. ington, D.C., 1970, p. 6. 6 U.S. Office of the President. President's Environmental Mes- 7 John Clark. Coastal Ecosystems. Washington, D.C., Con- sage, May 23, 1977. servation Foundation, 1974, p. 2. IV-3 Coral Reefs coral reefs can smother the living coral, thereby Coral reefs are among the most unique marine impeding its growth or killing it. Although not ex- ecosystems. Formed by the skeletons of living ani- tensive in range, coral reefs are of immense benefit mals, corai reefs are important to the marine systems to the coastal regions where they are found. They of Guam, Hawaii, the Trust Territories, Virgin Is- afford cover for fish and sedentary species which lands, and the southern extension of Florida. They form the coastal fisheries of tropical marine eco- are easily damaged by contamination from sewage, systems and serve as storm barriers for adjoining erosion from runoff, chemicals, or waters of high mainland areas. temperatures. Silt from dredging operations near Economic Activity The economy of the coastal region is based upon Recreation, the conference reported, was the leading diverse income-producing activities which range economic activity in the coastal region. In 1968 it from extractive industries, agricultural enterprises, was estimated that about 112 million people partici- and manufacturing to services, transportation, and pated in a total of 7.1 billion ocean-oriented occa- the retail trade. It is a microcosm of the national sions and spent about $14 billion for the experi- economy, but is skewed toward ocean-related uses. ence. 13 The report noted further that 40 percent The uses of the coastal region fall into six basic of the industrial capacity of the Nation was in the categories': (1) living space and recreation-perhaps coastal region as defined by the estuarine counties, the consequence of, rather than the cause for, eco- which cover 15 percent of the total land area .14 The nornic activity, although they cannot be separated; conferees were unable to assign a total value to (2) industrial and commercial activities-including housing, energy production, transportation, and ports, power production, mining, and commercial waste disposal. development; (3) waste disposal-frequently the final In 1973, a conference on "The Oceans and Eco- resting place of unwanted industrial and domestic nomic Development," sponsored by the National wastes; (4) food production-largely fishing, but Oceanic and Atmospheric Administration, stated that also including land-based agriculture; (5) natural 43 percent of the industrial work force was in the preserves-wetlands and waterfowl preserves; and coastal region, which was defined as the coastal (6) special government uses-portions of the coastal counties excepting Hawaii and Alaska.',' This figure zone which are used for military and civil activities represented a growth of 4 percent in the period that require a coastal location for security or opera- 1940-70. Growth slowed after 1960, and a small tional reasons. decline was noted in 1970 (table 4-1). The coastal conference sponsored by the Woods A comprehensive attempt to arrive at the eco- Hole Oceanographic Institution and the Institute ' of nomic value of ocean-related activities was per- Ecology in 1972, from which the report The Water's formed by Nathan Associates for the Congressional Edge-Critical Problems of the Coastal Zone 11 was Research Service at the request of the Senate Na- produced, discussed the more important economic tional Ocean Policy Study in 1974.16 Although the activities in the coastal region. The conference noted study dealt with all ocean resources generally, the that commercial fishing in 1970 was a $600 million findings apply to a subset of coastal activities as well. industry, with 45 percent of the catch taking place Nathan Associates cautioned in the report that in nearshore waters.9 Marine sport fishing was esti- estimates of economic value in many cases should mated to add an additional $800 million to the be considered as only "a rough order-of-magnitude economy, based on 1965 data.10 indication of economic value," because "relevant in- Among the nonrenewable resources considered, formation is frequently scanty or non-existing," 11 offshore oil and gas was then yielding 18 percent I The value of the domestic fisheries industry, in- of the oil and 15 percent of the natural gas recovered cluding processing and marketing, had risen to $2.2 in the Nation and was projected to go significantly higher." Sand and gravel extracted from beneath 13 Ibid., p. 89. coastal waters was valued at $100 million annually.12 14 Ibid., p. 107. 15 U.S. Congress, Senate, Committee on Commerce. The Oceans and the National Economic Development. Washington, 8 Bostwick Ketchum. The Water's Edge-Critical Problems of D.C., Government Printing Office, 1973. the Coastal Zone. Boston: MIT Press, 1972, p. 13. 16 U.S. Congress, Senate, Committee on Commerce. The Eco- 9 Ibid., p. 45. nomic Value of Ocean Resources to the United States, by 10 Ibid., p. 86. Nathan Associates. Washington, D.C., Government Printing 11 Ibid., p. 66. Office, 1974. 121bid., p. 70. 17 Ibid, p. 1. IV-4 Table 4-1. Percentage of total U.S. industrial employment in the coastal zone Percentage Percentage of U.S. industrial employment of Portion of coastal zone land use 1940 1950 1960 1970 New England ............................ 0.50 4.00 3.78 3.68 3.60 Mid-Atlantic ............................. .85 15.45 15.29 15.18 14.29 South Atlantic ........................... .94 1.15 1.39 1.94 2.15 Eastern Gulf Coast ....................... .77 *62 .76 1.03 1.08 Western Gulf Coast ...................... .88 1.54 1.72 1.91 2.11 Southern California ....................... .57 2.75 3.54 4.89 5.29 San Francisco area ....................... .37 1.73 2.21 2.62 2.83 Northern Calif ornia-Oregon ................ .80 .20 .27 .28 .27 Washington ............. e ............... .63 .84 1.00 1.03 1.09 Great Lakes ............................. 2.24 10.77 10.88 10.31 9.85 Total coastal zone ........................ 8.58 39.05 40.84 42-88 42.57 Coastal zone less Great Lakes .............. 6.34 - 28.28 29.96 43.57. 32.72 1 Coastal zone is defined as the set of counties contiguous to the oceans or the Great Lakes or their estuarial arms. Alaska and Hawaii are omitted. 2 Source: U.S. Congress, Senate, Committee on Commerce. The Oceans and National Economic Development. 93d Cong.. lst sess., Committee Print. Washington, D.C., Government Printing Office, 1973, p. 168. billion by 1972 and was projected to reach $1.4 to dustry by 1985, and processing onshore would add $4.2 billion in fish value alone by the year 2000 several hundred million more dollars to the indus- (processing and marketing are additional). try's value. Ocean transportation of goods, both The mineral industry is the largest, and destined foreign and domestic, was said to constitute a $10.5 to grow larger, in terms of ocean resource produc- billion private investment in 1972.111 tion. Dominated by the production of oil and gas The Nathan report suggests that offshore energy offshore, mineral production was $3.4 billion in out- production will become .a- major economic factor put in 1973. By 1985, the amount is expected to in coming years, projecting an investment on the reach $15.8 billion. In addition to oil and gas there order of $3.7 to $6 billion in the year 2000. This is was projected production of significant amounts of primarily offshore nuclear power production, but magnesium and sulfur. Deep-ocean mining is ex- could be higher if conventional plants are located pected to constitute a $130 million extractive in- offshore. Population In terms of demographic trends, the "coastal period 1960-70, 11 had growth rates below the States" are by and large "growth States;" and the average, and only 5 reported a net loss in popula- 46coastal counties" within those States are growth tion. Where population losses were reported during areas; thus the metropolitan areas near the coast the decade, they tended to concentrate in the south- are, for the most part, expanding. The Nation's 12 eastern counties of Texas, several counties in largest States have coasts,19 and 9 of the 12 fastest- Georgia, South Carolina, North Carolina, Virginia, growing States, in terms of percentage growth, are and in the southernmost counties of Maryland. coastal States.20 The concentration of people in metropolitan areas Coastal counties within these States. are generally is clearly in the coasts (fig. 4-1). By the year 2000, growth counties. Most of them expanded in popu- it is projected that about 45 percent of the citizens lation between 1960 and 1970 at a rate that ex- living in metropolitan areas will be within 100 miles ceeded the national average of 13.3 percent. On the of the East Coast, 16 percent in the Gulf and 30 West Coast, for example, in the 46 coastal counties percent on the West CoaSt.21 that stretch from Washington to California, 30 Population statistics for the "coast" are subject grew faster than the national average during the to both definitional and statistical ambiguities. The basic census tracts are defined by either county (or Is Ibid, pp. 93. parish) units in the rural areas, and the Standard 191n order, California, New York, Pennsylvania; Texas, Illi- nois, Ohio, Michigan New Jersey, Florida, Massachusetts, Indi- Metropolitan Statisticaf Area (SMSA) for cities and ana, and North Carolina. U.S. Census Bureau, Characteristics of their suburbs. The county and SMSA census tracts the Population. Washington, D.C., Government Printing office, can distort the population statistics because they are 1970. 20in order (noncoastal States in italics), Nevada, Florida Arizona, Alaska, California, Maryland, Colorado, Delaware: 21 U.S. Congress, Senate, Committee on Commerce, op. cit. New Hampshire, Hawaii, Connecticut, and Washington, ibid. note 16, p. 39. IV-5 New York, N.Y. N Los Angeles-Long Beach, Calif. Chicago, 111. Philadelphia, Pa.-N.J, Detroit, Mich. _j San FranciscD-Oaldand, Calif. Washington, D.C.-Md.-Va. Boston, Mass. Pittsburgh, Pa.. St. Louis, Mo.-III Baltimore, Md.. Cleveland, Ohio Houston, Tex.. Newark, N.J. Minneapolis-St. Paul, Minn.. Dallas, Tex.. Seattle-Everett, Wash. Anaheirri-Santa Ana-Garden Grove, Calif Milwaukee,Ws. Atlanta, Ga. L= Cincinnati, Ohio-Ky. INSIDE CENTRAL CITIES Paterson-Clifton-Possaic, N.J. OUTSIDE CENTRAL CITIES San Diego, Calif. I Buffalo, N.Y. __7 Miami, Fla Kansas City, Mo.-Kans. Denver. Colo.. San Bernardino-Riverside-Ontario, Calif. :1 Indianapolis, Ind.. San Jose, Calif. New Orleans, La. Tampa-St. Petersburg, Fla. Portland, Oreg.-Wash. 0 1 2 3 4 5 6 7 8 9 10 11 12 MILLIONS OF PERSONS Figure 4-1.-Standard metropolitan statistical areas of I million persons or more, 1970 (ranked by size). Source: 1970 U.S. Census of Population, U.S. Department of Commerce, Bureau of the Census. IV-6 geographical entities that do not conform neatly to of the Nation's coastlines," [Emphasis added .1 21 the definition of "coastal." Therefore, people residing more than 50 miles from The definition of coastal itself is ambiguous with the coast are included in the county statistics making regard to the identification of population patterns. up the census totals. Six hundred counties have a To designate a State,.county, or SMSA as a "coastal" portion within 50 miles of the coast; only 400 unit suggests a degree of involvement with coastal or actually touch the coast. On the other hand, there Great Lakes waters. Traditionally the "coastal re- are counties which touch the coast and are in- gion" has been considered to extend inland as far cluded in "coastal" population statistics, but extend as the effects of the ocean tide can be detected. This far inland. Jefferson County in the Florida pan- makes Washington, D.C., a "coastal city" because handle is one such case. the tide affects the Potomac River as far as the old The 400 counties included in table 4-2 (at end port city of Georgetown, a section of Washington. of chapter) are considered to be coastal by NOAA's But to residents of the Washington area, the city is Office of Coastal Zone Management, drawn from hardly coastal; the coast in any real sense is a 3-hour program submissions by the States. The final list will drive to Rehoboth, Del., or Ocean City, Md. There probably be smaller, because States have initially is a similar situation involving Houston, Tex. About selected larger coastal planning areas than will be 40 miles inland, the city is classified as coastal be- included in their final definition of the coastal zone cause of its connection to Galveston Bay by the under their coastal management program. Thus, Houston Ship Channel. But Galveston, a city on a Washington State listed 17 counties in the initial list coastal island, is more clearly the "coastal" city than compiled by its coastal zone office and 15 in the final its larger neighbor Houston. definition of its coastal territory. It is often stated that "more than one-half the The population in the 400 counties designated by people in the country live within 50 miles of the the State's coastal programs was 85,489,421 in coast." The statement is misleading because it is 1970, or 42 percent of the Nation's population of based upon census figures which indicated that in 203.3 million. By contrast, 107 million persons lived 1970 "about 53 percent of all . . . people now live in the Census Bureau's list of 600 "coastal" counties. in counties which lie at least partly within 50 miles Coastal Zone Management Background The concept of coastal zone management devel- Law Institute (ALI) for a Model Land Development oped in the late 1960s in response to the accelerating Code .24 use of coastal resources. Pressures from industrial, The concept of coastal zone management, and commercial, and residential users were growing. The other forms of land-use planning and resource regu- judgment was that the existing governmental appara- lation that have been proposed, is predicated on tus to deal with such pressures-Federal, State, the police powers that reside in the sovereignty of the and local-was inadequate. "Something must be States. In the past most States have delegated this done," concluded the Stratton Commission in its inherent power to municipal and county govern- chapter on Management of the Coastal Zone .23 ments. While some State constitutions transferred Our Nation and The Sea, released at the time the these policy powers to the local governments, most Nixon Administration. took office in 1969, was one States enacted enabling statutes to execute the trans- of at least five sources that identified the need for fer of zoning power. Piecemeal planning and the a revised system of decision-making about future failure of local zoning and regulatory authorities to uses of the coastal region. Similar recommendations exercise coordinated control over the coastal region came from the Marine Sciences Council, a Cabinet- contributed to the stated need for comprehensive level council headed by the Vice President; from planning and regulation in the coastal region. The the estuary studies prepared by the Department of basis of coastal zone management was to be the re- the Interior in 1969 and 1970-the National Estuary coupment of the State powers to control some uses Study and the National Estuarine Pollution Study; of land and waters in the coastal margin, based on and Yorn the recommendations of the American an areawide perspective that would transcend the fragmented boundaries of local government. A re- gional or interstate approach also was contemplated. 22 U.S. Department of Commerce, Census Bureau, Press Re- lease, Glenn M. Hearin, 29 November 1970. 24 The American Law Institute. A Model Land Development ?3 Our Nation and The Sea, op. cit. note 1 p. 49. Code. Philadelphia, American Law Institute, 1971. IV-7 At least part of the motivation for centering a State-level office to prepare and administer coastal coastal management approach in State government zone management programs won broad support. The wa "s fear on the part of States that direct Federal in- Nixon Administration initially endorsed the idea and volvement might be the alternative. introduced legislation. In testimony on December 3, A num 'ber of coastal States, particularly those on 1969, Secretary of the Interior Walter Hickel testi- the East Coast and the Great Lakes, had enacted fied 21 single-purpose wetland protection laws to stem the "[The National Estuarine Pollution Study] loss of these areas to development and to reduce concludes that our estuaries are seriously coastal erosion. Building on these initiatives by the polluted and that the -unwise use of the States themselves, coastal zone management was to lands and waters of our estuarine zones extend similar State controls to all coastal-related not only contributes to this pollution, but land use in a comprehensive manner. It was to be is rapidly destroying valuable natural re- a general purpose program which would apply to all sources. While the statutory directive was significant activities and all areas within the defini- to study the estuarine zones, the findings tion of "coastal zone," rather than single-purpose concluded that the management problems legislation or loosely coupled regulatory programs. of our estuaries relate directly to the entire The coastal zone management approach repre- coastal zone, and that any management sented a departure in one major regard from pre- system must deal with the coastal zone, vious Federal programs. The program was to base its and its entirety." contols on a consideration of the coastal resource as an entity. That is, the policies which the individual There was near-unanimous agreement on the con- States were to adopt were to be based on a reasoned cept of a Federal coastal zone management program, look at the entire range of values contained in their although the National League of Cities objected on coastal lands and waters. This comprehensive ap- behalf of local governments .211 The subsequent de- proach contrasts with customary single-use or single- bate centered not on the merits of coastal zone man- resource regulatory programs. agement, but on whether the program should be in The proposals for coastal management came at the Department of the Interior or the Department a time markedly different from today. The period of Commerce and whether it should be a component when the concept of coastal zone management was of an overall national land-use program, which had conceived was at the height of the "environmental also been proposed. The Nixon Administration en- movement." It also coincided with the Santa Bar- dorsed the latter approach in opposition to a separate bara oil spill of January 1969, an event which came coastal program; during the Watergate period sup- at a time of increased public sensitivity to the nat- port for a land-use bill was withdrawn. ural environment, and through extensive media cov- President Nixon approved the National Environ- erage, indelibly impressed the public as to the mental Policy Act (NEPA) on January 1, 1970, and vulnerability of the coastal environment. declared the coming 10 years to be the "environ- The oil spill added a sense of urgency to the issue mental decade" in which the country would begin of protecting coastal resources. The Stratton Com- to make up for past misuse of the environment. mission had termed the siutation a "cri SiS.11 2 ,The Major additions to the Clean Air Act were ap- National Estuary Study sounded its own alarm :26 proved in 1970. The Federal Water Pollution Con- "Estuaries are in jeopardy. They are being trol Act Amendments were approved in 1972. damaged, destroyed and reduced in size at Legislation was enacted in 1972 placing curbs on an accelerating rate by physical alteration ocean dumping in response to a public furor over and pollution. They are favorite places for poison residue disposal off the Atlantic Coast and industry, which finds the land cheap, water other similar occurrences. transportation easy, and waste disposal It was in this atmosphere that the Congress con- convenient. They are also favorite places sidered and enacted the Coastal Zone Management Act of 1972 (CZMA). The list of bills signed on the for residential developers who find it ex- same day as the coastal management program indi- ceedingly profitable to dredge and fill an cates the national mood: Consumer Product Safety estuary, and thus destroy part of it in Act, Marine Mammal Protection Act, Noise Control order to appeal to affluent Americans to Act, Ocean Dumping Act, and legislation establish- live near the water in houses which are accessible by both boat and automobile." 27 U.S. Congress, House, Committee on Public Works, Testi- The idea of a Federal grant-in-aid program to a mony, December 3, 1969. '28U.S. Congress, Senate, Committee on Commerce. Legislative History of the Coastal Zone Management Act of 1972, as 25 Panel Reports, volume 1, op cit. note 1, p. 111-145. amended in 1974 and 1976. Washington, D.C,, Government 28 U.S. Department of the Interior, op. cit. note 3, p. 2. Printing Office, 1976, p. 381. IV-8 ing the Gateway National Recreation Area in New Without doubt, passing new State coastal York, N.Y., and the Golden Gate Recreation Area legislation today is a much more difficult in San Francisco. task than the framers'of the Coastal Zone Concern for the Nation's environment continues Management Act of 1972 envisioned." today; however its emphasis has been modified by North Carolina illustrates the changing _pof@iical other national priorities. Economic conditions, un- climate in the States. The passage of the North Caro- employment, and energy supply/demand have be- lina Coastal Area Management Act in 1974 was come the top priority items on the Nation's agenda seen as a landmark in the coastal zone management since 1972. For instance, industries allege that en- program.81 Key to the North Carolina Act is the vironmental regulations are costing jobs, delaying authority for a Coastal Resources Commission to the development of new energy supplies, and other- name "areas of environmental concern," in which wise contributing to the recession of the mid-1970s. development would require either a local or State Enforcement of environmental laws has become in- permit, depending on size. Such new development creasingly difficult. Pollution control deadlines have would have to be in accordance with a locally pre- been extended, and standards lowered in some cases. pared and State-approved county coastal plan. Although The Coastal Zone Management Act was In 1977 the North Caro .lina Act came under enacted at the apex of the environmental movement, serious attack in the State General assembly. The its implementation spanned a period during which State Senate considered a bill repealing the coastal energy and economic problems have forced the act. In th-e House a bill making major modifications Nation to restructure its priorities in a more prag- to the basic act and curbing the authority to name matic fashion. Some energy and economic problems "areas of environmental concern," was supported by led to increased pressures on the coastal regions. the State coastal office as a compromise measure, The administrator of the Commerce Department's and was adopted. The legislature adjourned with the National Oceanic and Atmospheric Administration State statute still intact. (NOAA), in reviewing a General Accounting Office report on the status of coastal zone management in Despite the harshness of the climate, coastal legis- 1976, stated : 29 lation has been enacted in a number of States such as Alaska, Alabama, California, Hawaii, Louisiana, "The political climate for programs per- and South Carolina. These acts have to be examined ceived as environmental in their thrust carefully to see how far they go toward being com- and those which involve additional govern- prehensive State coastal acts. For instance, the 1977 mental intervention and regulation is passage of a State Coastal Act in South Carolina is much harsher today than when the Coastal cited as one of the current successes of the national Zone Management Act was passed four program. The. principal controls in the act are for years ago. States with coastal zone legis- a State permit system governing wetlands alteration. lation on the books at that time are now The Act also contains a provision countenancing fighting to prevent repeal of that legisla- suits against the State by individuals who feel they tion. In no case has preexisting state have a claim to shore areas down to the mean high coastal legislation been strengthened. tide line. Coastal Zone Management Act of 1972 as Amended National Policy 0to encourage and assist the States to exercise ef- In enacting the Coastal Zone Management Act of fectively their responsibilities in the coastal zone 1972, the Congress identified five elements of na- through development and implementation of man- tional policy which form the basis for the Federal agement programs . . . ; CZM program. They are: 31 *for the Federal agencies engaged in programs to preserve, protect, develop, and where possible, affecting the coastal zone to cooperate and partici- to enhance, the resources of the Nation's coastal pate with State and local governments ... in ef- zone ... I fectuating the purposes [of the Act]; 29 U.S. General Accounting Office, Report to the Congress by 0to encourage the participation of the public, of the Comptroller of the United States. The Coastal Zone Man- Federal, State', and local governments and of re- agement Program: An Uncertain Future. Washingtdn, D.C., gional agencies in the development of coastal zone Government Printing Office, 1976, p. 101. management programs; and :30 For an account of the North Carolina experience, see "How North Carolina Came to Pass a Coastal Zone Act," Marine 9to encourage cooperation among the various state Technology Society Journal 8 (10), p. 9. and regional agencies, including the establishment 31 Coastal Zone Management Act of 1972, 16 U.S.C. 1451 et seq. of interstate and regional agreements, cooperative IV-9 procedures, and joint action particularly regarding funding has taken place. Otherwise the effect has environmental problems. been to strengthen to a degree the planning capa- bility at the State level. Thus, the objectives @f the Act are to: (1) pre serve,.(2) protect, (3) develop, and (4) enhance and Coastal Zone Program Requirements rest6re,- where possible, the coastal resources. The A coastal zone management program must have mechanisffi-,to achieve these objectives is through "encouragement" and "assistance" to the States. Co- nine elements to meet the minimal substantive re- operation of the Federal agencies with the States is quirements under the Section 305 development grant pledged to achieve the objectives of the Act. The process." general public is to be a participant in the develop- 9identification of the boundaries of the coastal ment of coastal zone management programs. Inter- management zone; state and regional approaches to resource manage- edefinition and identification of land and water uses ment are encouraged. that have a significant impact on coastal waters and that will be permitted in the coastal zone; Financial Assistance edesignation and inventory of areas of particular The Secretary of Commerce is authorized to environmental concern; award annual matching grants to the coastal States esetting priorities for uses, especially those of re- for the purpose of assisting in the development of gional, Statewide, or national significance, in par- coastal zone management programs. Financial as- ticular areas of the coastal zone; sistance is provided in three tiers according to the eestablishing procedures and organizational struc- progress of the States in meeting the Federal guide- ture for managing the coastal zone; lines: 0identification of the authorities the State will use * Development Grants-Section 305 of the CZMA to exercise control over land and water uses; authorizes the award of four annual grants, up to 0description of the State organizational structure 80 percent, to the participating States to aid in that will operate the management program once preparing management programs. All of the it is approved; coastal States (including the Great Lakes) and edefinition of "beach" and a planning process deal- Guam, Puerto Rico, and the Virgin Islands have ing with access to public coastal areas; and participated. eplanning of processes for dealing with energy * "305112" Grants-Interim grant authority was facilities and their impacts, and for dealing with provided in the Coastal Zone Management Act coastal erosion. Amendments of 1976 (P.L, 94-370) to allow two additional grants to States that have com- The Coastal Zone Management Act was clearly pleted the design of a management program, but intended by Congress to emphasize control of land require additional time to put it into effect. Two and water use, and not mere planning without the States received assistance under this provision capacity to implement the program and plans. The through fiscal year 1977. preamble of the CZMA 33 says that States should: * Administrative Grants-Eighty percent grants ". . . exercise their full authority over the may be awarded to States for the operation lands and waters of the. coastal zone by and administration of an approved management . . . developing land and water use pro- program that meets the requirements of the grams for the coastal zone,* including uni- regulations and has been formally submitted and fied policies, criteria, standards, methods, approved by the Secretary of Commerce, (Sec. and processes for dealing with land and 306). Three States-California, Oregon, and water use decisions of more than local Washington-have been approved under Sec. 306 significance." through September 1977-California's program is less than complete, because of a pending suit. To qualify for approval under the provisions of Sec- States may pass through a portion of their admin- tion 306, a State program must meet five specific istrative grants to a local government, Statewide requirements: agency, regional agency, or an interstate agency to The State must have a coordinating mechanism implement the State program with the approval of with affected local governments, which must in- the Secretary of Commerce. Programs can be pro- clude provisions of a notice when a State decision posed for geographic segments of States. Strengthen- would conflict with a local zoning ordinance and ing of local planning efforts is one of the principal provide a 30-day comment period; accomplishments cited by the Office of Coastal Zone Management in the 5 years of the program's exist- 32 Ibid., Sec. 1454(b). ence. This comes about in States where pass-through 33 Ibid., Sec. 1541(h). IV-10 9 The governor must designate a specific State are inconsistent with the State's approved coastal agency to administer the program; zone management program. An activity for which a, * The State must demonstrate that it has given, and Federal license, permit, or grant is required isjf& ject to the consistency provision, even thougfiU@ated will continue to give, adequate consideration of the national interest in siting such things as energy outside the coastal zone, as long.-as& activity sig- facilities, in order to prevent a State from arbi- nificantly affects the coastal zone. There are differ- trarily barring facilities from its coastal region; ences in interpretation of this section among Federal 9 Provision must be made for preserving or re- agencies. storing particularly valuable coastal areas; and The operation of these provisions combined with 0 States must have selected one of the following the financial support provided for developing and three techniques for controlling land and water administering coastal zone programs are the prin- uses in the coastal zone: (1) establishment of cipal inducements for States to participate in the criteria and standards at the State level for im- coastal management program. Without the prospect plementation by local entities, (2) direct State of "Federal consistency," many Federal projects and land and water use planning and regulation, or (3) actions would be beyond the control and regulation State administrative review for consistency of any of -the coastal States. Even with the consistency pro- development within the coastal zone, with power vision, a number of Federal activities may be beyond to approve or disapprove. State coastal zone programs. In addition, the designated management agency The U.S. Secretary of Commerce can override a must have authority to acquire property through State's finding of inconsistency with regard to a Fed- condemnation if necessary to achieve conformance eral license, permit, or grant, if it is found that the with the management program. State programs may project is "necessary in the interest of national secu- be approved for geographical segments of the coast rity" or that the activity is in fact "consistent with with the approval of the U.S. Secretary of Com- the objectives of this . . . [Act]." The implementing merce in order to protect coastal regions that require regulations attempt to confine the Secretary's over- immediate action. ride to situations where national interest or security Federal ConsWency concerns outweigh coastal management objectives. Furthermore, a specific exclusion, makes it clear that To round out the -coastal States' authority for the Act as a whole does not apply to "lands, the use regulating the use of land and water in the coastal of which is by law subject to the discretion . . . of zone, Section 307 of the CZMA provides a mechan- 'the Federal Government." 34 Consistency does apply ism for ensuring that Federal projects and actions to activities on Federal lands which affect a coastal by the Federal agencies conform with approved zone. State coastal zone programs. These variances, while necessary to preserve the- Sections 307(c)(1) and (2) require that activities, flexibility of the Federal agencies to conduct busi- including development projects, significantly affect- ness in the national interest, may seriously limit the ing the coastal zone and conducted or supported by control that States can exercise over Federal activ- Federal agencies shall be consistent with approved ities. They have, in fact, been described as "escape State programs to the "maximum extent practica- hatches." 415 Legal scholars have identified several ble." problems with the "consistency" concept, and the Section 307(c)(3)(A) provides that Federal li-* legislative history of the Coastal Zone Management censes and permits for activities significantly affect- Act does little to clarify the precise way Congress ing land and water uses in the coastal zone may be intended its provisions to operate .3' The legislative granted only if the State certifies that the activity language of Section 307 is subject to wide interpre- complies with and will be conducted consistently tations, and those uncertainties probably will persist with its coastal zone program. This is perhaps the until defined by the courts. most significant consistency provision. Corps of Under the 1972 CZMA, there was uncertainty Engineers' dredge or fill permits under Section 404 about the status of Outer Continental Shelf (OCS) of the Federal Water Pollution Control Act Amend- oil and gas exploration, development, and produc- ments and a number of Federal permits required for tion activities with resp'ect to the consistency provi- energy facilities in the coastal zone will be subject sions. The Coastal Zone Management Act Amend- to this provision. Thus, the States have important ments of 1976 appended special consistency leverage on Federally-registered private activities provisions for these OCS oil and gas activities (Sec- affecting the coastal zone, even if such activities are located outside the described zone. 34 Ibid., Sec. 1453(a). Section 307(d) prohibits Federal agencies from 35 William C. Brewer, Jr. "Federal Consistency and State approving State and local grant applications for Expectations," Coastal Zone Management Journal 2,1976, p. 322. 36 Richard G. Hildreth. Natural Resources Lawyer. American activities significantly affecting the coastal zone that Bar Association, 1977, p. 216. IV-1 I tion 307(c)(3)(b)). The effect of the 1976 amend- 308(c) and (d) and is the primary source of assist- ments was to expedite the determination of ance to coastal States and local governments affected "consistency" by requiring a certification of con- by new or expanded coastal-dependent energy activ- ,__:@sistency with State coastal zone management Pro- ity. The Fund is disbursed in five modes: 311 grams-by the lease holder for any exploration, 9 Loans to assist in providing new or improved pub- development;-or-production plan in the OCS. Con- lic facilities and services made necessary by currence by the §t-ate within 6 months is required, coastal energy activities; subject to an override by the Secretary of Commerce 9 Guarantee of bonds issued by a coastal State or for national security reasons or based on a finding locality to obtain funds to provide new or im- of substantial compliance with the objectives of the proved public facilities and services required by Act. If the State's objections are sustained, a revised coastal energy activities; OCS plan must be submitted under an abbreviated 0 Repayment grants to meet credit assistance obliga- review schedule. If certification of consistency is tions under a loan or bond guarantee in cases accepted by the State without objection. or if a where the coastal energy activity involved failed State's objection is overridden by the Secretary of to provide adequate revenues to offset the indebt- Commerce, any activity described in detail in the edness. exploration, development, or production plan, and 0 Grants if a State sujffers loss of valuable environ- conducted in accordance with the plan. can be mental or recreational resources as a result of carried out without further consideration by the coastal energy activities, the cost of which cannot State. be attributed to or assessed against any identifi- From the standpoint of the States and local com- able source and cannot be paid for through other munities,'the detail of information in the OCS plans Federal programs; and is key. If extensive, the State and communities can Grants to study and plan for economic, social, and prepare to deal with the anticipated impacts. If in- environmental consequences resulting from the formation is sketchy, approval may be given to open- siting, construction, and operation of new or ex- ended documents and control over the later imple- panded energy facilities in the coastal zone. mentation effectively waived once consistency is The U.S. Secretary of Commerce must allocate agreed to by the States. The Department of the In- funds for loans and bond guarantees among the terior has attempted to deal with this potential prob- States according to: (1) employment and related lem in its regulations." population attracted to the State by new coastal Amendments to the Outer Continental Shelf energy activities and (2) standardized unit costs for Lands Act of 1953, being considered by Congress, public facilities and services. clarify the relationship between coastal States and the Department of the Interior, which is the offshore Annual Formula Grants to Coastal States licensing agent. Each State's formula grant is based upon the fol- lowing proportion calculated from data of the pre- Coastal Energy Impact Program vious fiscal year: Acceleration of OCS oil and gas development in OCS acreage newly-leased adjacent to a coastal the, face of rapidly' increasing oil imports has State relative to the total OCS acreage newly- prompted the coastal States to seek additional funds leased (one-third); from the Federal Government. The Coastal Zone Volume of oil and natural gas produced adjacent Management Act Amendments of 1976 established to the State relative to the total volume produced a program of grants, loans, and bond guarantees on the OCS (one-sixth); under Section 308 of the CZMA. To qualify, States must be receiving Section 305 (development) or 306 * Volume of OCS oil and gas first landed in a State (administrative) grants, or, in the Secretary of Com- relative to all OCS oil and natural gas landed in merce's opinion, be developing a management pro- all coastal States (one-sixth); and gram "consistent with the policies and objectives * Number of individuals in new OCS-related em- of the Act (Sec. 303)." loyment relative to the total number of individuals Two interlocking forms of assistance are provided who obtain new OCS-related employment in all through the program: (1) a 10-Year, $800 million coastal States (one-third). Coastal Energy Impact Fund, and (2) formula grants The use of formula grants is restricted to: (1) authorized at $50 million a year for 8 years. retirement of State and local bond guarantees where there is an inability to repay, (2) prevention, reduc- Coastal Energy Impact Fund tion, or amelioration of unavoidable loss of a valu- This is a revolving fund established under Section able ecological resource as a result of an energy 87 See 30 Code of Federal Regulations Section 250.34 and 38 No more than $50 million of the total $800 million can be 30 CFR Part 252. expended for planning and environmental grants. IV-12 activity if blame cannot be determined, and (3) plan- bonds has priority in the expenditure of funds obli- ning for public utilities and services required -by gated under the formula grant program. Formula OCS activities it grants from the Coastal Energy Im- grants are intended to be- a secondary source of. pact Fund are inadequate. Retirement of guaranteed funding for States and communities. Implementation of the Coastal Zone Management Act The Coastal Zone Management Act is an experi- tion, responsibility or 'rights in the field of planning, ment in federalism. It involves an intricate pattern development, or control of water resources, sub- of intergovernmental relationships and a redistribu- merged lands, or navigational waters," nor can it tion of political power among State, Federal, local, affect an interstate agreement or interstate agency.40 and regional governments. Within the States them- Similarly, the operation of the Federal Water Pollu- selves, State and local interests can conflict; and, tion Control Act and the Clean Air Act and their even among State agencies, differences in perspec- related State programs are to be coastal zone air tive and constituencies often result in disagreement. and water requirements. For Federal agencies faced with the prospect of Although the Coastal Zone Management Act was having to accommodate State programs in the per- approved in 1972, Federal agencies have only re- formance of their activities, the coastal zone manage- cently become concerned with or intimately involved ment programs hold the possibility of delays, added in the development of the State coastal zone manage- expense, constraints as to what they see as their ment programs. Washington was the first State pro- mandate under law, and additional administrative gram submitted and approved (June 1976) under problems. As for interstate coordination or regionali- the authority of the CZMA; thus, it was the first zation, the concept is highly touted, but regional subjected to serious review by Federal agencies. The governments or interstate agencies with adequate review and comments led to an extended delay in delegated authority are rare. These problems in im- approval of the program and modification of the plementating the CZMA are receiving increased original submission as a result of some of the Fed- attention from inside and outside the Federal Gov- eral reviewers' comments .41 The problem of Federal ernment. agency involvement late in the program development Federal Agency Involvement process, coupled with lingering uncertainties con- cerning the scope of review and influence which Federal agencies, other than NOAA's Office of these agencies have under the CZMA, will continue Coastal Zone Management, are directly' involved in to recur. There is an indication that Federal agencies administering the CZMA at two levels: (1) consult- are not satisfied with simply reviewing the manage- ing, reviewing, and, commenting on State programs ment process; they also want to shape if not deter- prior to approval @ of an administrative grant under mine the content of the programs by requiring, for Section 306, and (2j complying with the Federal example, that sites be designated for energy facil- consistency requirements of Section 307 subsequent ities." This was evident in the Washington case 43 to approval of the State program, Complicating this 64 review is the fact that regional offices first review . . . with Maine, Washington and other State program documents and then the Washington states now beginning to submit their headquarters does so; the views at the two levels are coastal management programs to the not always the same. OCZM for review, this fledgling agency With regard to the first responsibility, the Secre- [OCZM] is in something of a dilemma. tary of Commerce is required to "consult . . . co- On the one hand, it does not want to over- operate with, . and coordinate ... activities with step its statutory mandate by second- other interested Federal agencies," in carrying out guessing states on matters such as energy the duties prescribed by the Act." A State program planning. On the other hand, it is being cannot be approved "unless the views of Federal pushed by the FEA (Federal Energy Ad- agencies . . . have been adequately considered." In ministration) [now the Department of the case of serious disagreement between Federal Energy] and other agencies to reject state agencies and the State, the Secretary of Commerce 40 Ibid., Section 1456(a). in cooperation with the Executive Office of the 41 Marc Hershman and Robeft Goodwin. Coastal Resources President will mediate. Program, University of Washington, Ports and Coastal Man- States are further constrained by the programs Of agement, draft manuscript report. Seattle: University of Wash- ington, 1977. the Federal agencies to the extent that the CZMA 4.2 Joseph M. Heikoff. Coastal Resources Management: Insti- does not "diminish either Federal or State jurisdic- tutions and Programs. Ann Arbor: Ann Arbor Science, 1977, p. 15. 43 Luther J. Carter. "Energy and the Coastal Zone: Pulling 39 Coastal Zone management Act, op cit. note 31, Sec. 1456(a). and Hauling Among the Feds," Science 188 (1975), p. 1288. IV-1 3 plans that do not specifically provide for State Agencies and the Administration energy facility siting. In instances where of Coastal Programs the omission is clearly arbitrary, the There is little doubt that the expectations of the OCZM will be on safe legal ground in proponents of the Coastal Zone Management Act were complying with the agencies' demand. Ab- for a strong agency and central authority in the State sent such arbitrariness, the. OCZM either government to administer the coastal zone program. will have to stretch the letter of the law In 1972, the Coastal Zone Workshop prescribed a (as it understands the law) and require strong, independent State agency to administer program revisions, or it will have to re- coastal zone programs : 45 ject the energy agencies' demands." "The State coastal zone authority should In dealing with the issue, the State of Washington be established as an independent agency, noted that the views of Federal agencies are varied with its expertise and primary responsibil- and sometimes conflicting and, rather than adopt ity exerci§ed in cooperation with other State specific suggestions, maintained that the coastal pro- agencies involved in the coastal zone. gram need only provide a process to accommodate Management programs should view the the various views. The final environmental impact coastal -zone as a complete, natural system statement on the Washington program regarding the and not be restricted by political boun- national interest in facility siting declared that the daries." State was not obliged to plan for certain facilities, only that national concerns be included in State The Workshop's findings were a reaffirmation of the planning at an early stage and not arbitrarily ex- Stratton Commission's conclusions. 416 cluded. In exchange, the State expected to be con- Nevertheless, neither the actual CZMA nor the sulted on Federal agency projects or decisions taken rules and regulations promulgated under the Act in the national interest .44 (A separate energy siting specify a detailed institutional structure for coastal council exists in Washington.) management by the States. Federal requirements are States adjacent to potential offshore oil and gas concerned more that the agency have particular resources, or which are strategically located with functions and powers than that it have a specific regard to oil and gas imports, processing, and trans- form .47 While the governor of a State is required shipment, are likely to come under close scrutiny by to designate "a single agency to receive and admin- the Department of Energy and the Department of ister the grants for implementing the management the Interior. To the extent that other States' pro- program" under Section 306, there is no specific grams may affect use of coastal areas of wide-scale requirement that the agency must possess the sole national importance, they too will be subjected to regulatory authority for administering the substan- critical review by resource management agencies. tive provisions of the coastal program in that State. The discussions between Federal mission agencies The CZMA requires a description of the organiza- and State coastal programs (and NOAA) point up tional structure proposed to implement the manage- one of the problem areas' of coastal management. ment program, including the responsibilities and While the national program envisioned a Federal interrelationships of local, areawide, State, regional, role restricted to the process by which States and and interstate agencies in the management process." communities were going to guide future use of the Furthermore, the Act writes in a role for local gov- coasts, it is difficult not to become involved in ques- ernment, recognizing even in 1972. the political diffi- tions of substance. culty inherent in the State override approach. The impact of the Federal consistency provisions While the CZMA is explicit in its requirements on the programs of Federal agencies is yet to be for States to consult and coordinate with Federal, determined. Until specific cases are before the ad- local and interstate agencies, it is vague about the ministrative bodies and the courts, the precise mean relationships between the designated coastal manage- ing of the provisions in Section 307 are uncertain. ment agency and the other resource management Implementing regulations have taken more than 18 and regulatory agencies in the State. The tacit as- months to prepare. To what extent the Secretary of sumption, as suggested by the legislative history of Commerce will intercede to override will also be the CZMA and subsequent statements of its spon- determined on a case-by-case basis. sors, is that the designated coastal management agency would be a strong guiding force developing 45 Bostwick Ketchum. op. cit. note B, p. 31. 44 U.S. Department of Commerce, State of Washington Coastal 46 Panel Reports, volume 1, op. cit. note 1, p. 111-56. Zone Management Program. Final Environmental Impact State- 47 Joseph M. Heikoff, op. cit. note -42, p. 28. ment. Washington, D.C., NOAA, Office of Coastal Zone Manage- 48 Coastal Zone Management Act, op. cit. note 31i Sec. ment, 1976, p. 100. 1454(a)(6). IV-14 policy and administering the State coastal zone man- number of the States because it frequently requires agement program." no legislative action. No hard and fast conclusions The character, efficiency, and strength of the Stat@ can now be reached about the effectiveness of net- agencies that have been assigned responsibilities for working as a management approach, yet it does not developing or administering coastal management fit the earlier notion of a single, strong agency ad- programs vary considerably among States (table ministering a comprehensive coastal zone manage- 4-3), The "adoption" of a coastal management pro- ment statute. The question about networking is whether it can Table 4-3.-Personnel and contracting activity of provide the comprehensive approach to dealing with selected State coastal zone programs involving Fed- coastal lands and waters as a system, the original eral funds concept of the program. Can the piecing together of [As of July 21, 1977] regulatory authorities 'which deal with specific as- Contract pects of the coasts form the basis for a program that amounts was to treat the coasts as a complex, interrelated Full-time Part-time budgeted system? The answer to the question will be one of, State personnel personnel FY 1977 the main tasks of any evaluation of State programs. California a Networking may involve simplifying the various California Coastal State permit and licensing procedures. This generally Commission 12 3 $249,097 entails pulling together various State-level permits, Florida as administered by different agencies, into either a Department of Natural Resources b 19 - 482,870 one-stop permit process or at least a more stream- Maine lined procedure for applicants; e.g., permits for State Planning Office I 1 1 382,436 wetland alteration, wildlife protection, beach dune Massachusetts protection, use of submerged land, and similar Executive Office of specific State-controlled activities.50 Environmental Affairs 29 1 426,539 Michigan Local Government and Department of Natural Coastal Zone Management Resources 10 18 302,870 North Carolina The Coastal Zone Management Act was based on Department of Natural & the perception that local and municipal governments Economic Resources 26 2 232,325 are unable to manage the coastal resources in an New Jersey effective manner. The key elements of the CZMA Department of are: (1) that it should provide unified policies, Environmental Protection 29 4 266,900 standards, and processes for managing coastal re- New York Department of State, State sources that are applicable Statewide, and (2) that Planning Division 27 2 1,055,973 it would govern land and water uses of more than Pennsylvania local concern. Thus, power over decisions of "more Department of than local concern" would be taken at least in part Environmental Resources 4 14 232,125 from local control and re-established at the State Texas level through a Statewide coastal management pro- General Land Office 15 16 1,202,545 gram; specifically contemplated is a system of State Washington a,c review of local decisions for acceptability. Department of Ecology 14 - 1,562,605 The dichotomy of "local" and "more than local" I Source: Office of Coastal Zone Management, NOAA. has been bothersome since the inception of the a Additional personnel, not Federally funded, known to work on coastal zone management.. coastal zone management effort. The only consoli- b To be changed to Department of Environmental Regulation. dated opposition to the concept of coastal zone C In administration stage. management prior to the enactment of the CZMA gram by a State does not require that a State create came from the local and municipal governments a new coastal zone agency and endow it with op- that foresaw erosion of their control over their own erating authority through enabling legislation. A development. Decisions of purely local concern governor may designate an existing agency as the would presumably be left to local governments. coastal zone agency and use existing single-purpose "Local concern" is intuitively defined as those decit- laws to implement the coastal zone management sions that have no effects beyond the boundaries of policies decided upon. This procedure has been the local political jurisdiction. termed "networking" and is the chosen course of a The ambiguities in distinguishing local decisions 50 Interview with William Matuszeski, State Programs Office, 49 Senator Earnest F. Hollings. Letter to the editor, The Wash- Office of Coastal Zone Management, NOAA, Washington, D.C., ington Post, 19 March 1974. 21 July 1977. IV-15 from non-local ones, and the basic resentment to- I Ited that the intent of the provision is to "protect 13 ward State involvement in local decisions, have per- 4 interests of local units of government." haps worsened rather than improved since the adop- This little-noticed addition to Section 306 of the tion of the CZMA. The Ge 'neral Accounting Office 'original Coastal Zone Management Act represents a (GAO), in reviewing the coastal zone management shift in emphasis. From the original concept that program, found State-local relationships troubled.51 State agencies would, by virtue of their broader perspectives and non-dependence on property tax "In our opinion, resistance [to coastal revenues, be better able to reach balanced coastal planning efforts] exists because (1) local zone decisions, there seems to be emerging a trend governments may regard coastal zone toward providing the local governments with a management as an example of Federal- stronger role in coastal decision-making in the State interference in planning decisions coastal management program. The 1976 amendment traditionally made by localities and (2) reflects this trend. the public, especially coastal landowners, Consistency Provisions and contend that State management programs State Expectations infringe on their private property rights and affect property value by restricting the The Coastal Zone Management Act is an exer- uses to which their land can be put. For cise in persuasion. There are no compulsory reasons instance, California has felt resistance why States must participate. Three provisions of even though the public established the the CZMA as amended offer incentives to the coastal State's coastal zone management by popu- States to enter the program: (1) development and ad- lar initiative in 1972. According to State ministrative grants under Sections 305 and 306, (2) and regional officials in Michigan, there Federal consistency requirements, under Section 307, is strong local opposition to expansion of and (3) participation in the 305 and 306 grant pro- State land-use powers. A State coastal grams to assure receipt of coastal energy impact zone management program official said funds under Section 308. (States can qualify for there has been substantial local resistance such aid with their own coastal management pro- to the somewhat limited State regulatory grams.) powers that currently exist." Although the requirement that Federal activities conform to State plans and objectives is an exception In some States, the coastal zone program has to the rule, it is not unique to the Coastal Zone brought about, at least on the staff level, better Management Act. The Intergovernmental Coopera- communication and improved relationships. In tion Act of 1968, Title IV, requires that Federal aid North Carolina, for instance, the State approach has foi private development purposes be consistent with been to pass through the funds for coastal cities and State, regional, and local comprehensive planning, counties to develop the actual coastal plans. This "to the maximum extent possible." The prospect for has served to upgrade the professional plannning a measure of control over Federal activities offshore capabilities of the coastal governments. There has and within the coastal region is, however, a powerful been a similar upgrading of capacity noted in Wash- potential incentive for the States to participate in ington State under the program implementation (sec- the CZMA. Whether the expectations of the States tion 306) funding there. Where there is a good will be fulfilled will depend on the final operation working relationship between local and State pro- of the consistency provisions through the coopera- fessional staff, accommodations between the two tion of the Federal agencies and the definitions of levels of government can be worked out informally. the uncertain terms used in the Act by the court on This appears to be taking place in some instances a case-by-case basis. The provisions of Section 307 under the coastal management program. may turn out to be as pregnant with legal uncer- The State-local relationship surfaced in the debate tainties, if not as prolific in causes of action, as on the energy impact provisions of the Coastal Zone the National Environmental Policy Act of 1969 Management Act Amendments of 1976. Provision (NEPA). was made for local comment on any State land use The General Accounting Office, in reviewing the provision, labeled Federal consistency as "an un- or water use decision that conflicts with a local certain prospect." GAO concluded that, 54 g6vernment ordinance.51 The House Merchant Ma- rine and Fisheries Committee report on the bill "The problem is that, notwithstanding CZMA's Federal consistency provision, 53 U.S. Congress, House of Representatives. Coastal Zone 51 U.S. General Accounting Office, op. cit. note 29, p. 27. Management Act of 1976, Report No. 94-878, 94th Cong., 2d 52 Coastal Zone Management Act Amendments of 1976. P.L. sess, Washington, D.C., Government Printing Office, 1976, p. 37. 94-370, Sec. 306(c)(2)(B). 54 U.S. General Accounting Office, op. cit. note 29, p. 86. IV-16 Federal agencies operate under a variety for the employees and families of industries asso- of laws for the most part passed independ- ciated with the offshore operations-while all of ently of one another. Because [the Act] the royalty payments went to the Federal Govern- does not supersede or modify existing ment. legislation or affect other congressional or Sparring between the States and the Department executive mandates, Federal agency activ- of the Interior over the anticipated impacts of off- ities will not always be consistent with shore oil and gas development led to proposals to State management programs. For instance, compensate the affected States or otherwise amelio- the Corps of Engineers could not comply rate plan for means to accommodate the impacts with State coastal zone management regu- from OCS development. The proposals, some of lations that are contrary to or less restric- which included compensation for any impact asso- tive than Corps policies and regulations ciated with any energy facility, whether OCS-related based on other Federal legislation." or not, included grants, loans, and direct sharing of On the other hand, as pointed out by. GAO, some revenues from OCS leasing. States are counting on firm and straightforward Energy planners were concerned that recalcitrant administration of the consistency provisions. They State or local governments could block or severely are wary of the discretionary power of the Secretary limit the expansion of OCS oil and gas production. of Commerce to overrule a State@s finding of incon- State control of the continental shelf in the territorial sistency on the basis of review of fact and substantial sea seaward to 3 nautical miles (further in the Gulf compliance or through the exception for purposes of of Mexico), and the State police power over onshore national security. According to GAO,` siting of facilities and pipeline corridors could frus- trate Federal development of the OCS indirectly "States could oppose such a determination through the denial of permits or through zoning by taking legal action through the courts. actions. Thus, the impetus for the Coastal Energy This would result in additional delays. Impact Program was as much to reduce potential States could express their opposition by opposition to offshore drilling and production as it withdrawing from the Coastal Zone Man- was to provide fiscal relief for possible adverse im- agement Program." pacts. 1,6 Coastal Energy Impact Program Two congressional studies, one released immedi- ately before enactment of the CZMA amendments Over two-thirds of the Nation's remaining oil and and the second completed at the time of enactment, natural gas supply is on the Outer Continental Shelf reached essentially the same conclusions: Except for and in Alaska. As a result of the Arab oil embargo @certain cases in the frontier areas, e.g., small, iso- of 1973, accelerated development of these reserves lated areas such as Yakutat, Alaska, which is ad- has been proposed as a means to reduce U.S. de- jacent to attractive lease sale areas in the Gulf of pendence on imported oil and gas. Most of the Alaska, there will likely be little significant perma- potential offshore reserves are in previously unex- nent disruption of the socio-economic structure of plored areas of the Atlantic and Alaska Coasts coastal regions as a consequence of offshore oil and (frontier areas). gas development . 5 7The problem to the extent that Administration proposals in 1974 to lease 10 it existed, was found to be short term-a matter of million acres in the OCS (equivalent to the total revenue collection not matching early expenditures. acreage leased since Federal leasing began in the The debate concerning energy impact aid to the OCS in 1953) met State opposition. Questions, were States centered not on whether such aid should be also immediately raised about the practicality of the provided by the Federal Government, but in what plan from the standpoint of industry capacity. This form. The "developed" States, particularly Louisiana, lead to a coastal governor's meeting in Washington, D.C., in the fall of 1974, which was addressed by President Ford in an effort to quell the opposition. 56 See colloquium between Senators Harry Bellmon (R-Okla- homa) and Ted Stevens (R-Alaska) in U.S. Congress, Senate, The 10-million-acre target was modified in 1975. Congressional Record, Washington, D.C., Government Printing The States were concerned with the prospect of Office, July 17, 1976, p. 12916. drilling off their coast for two principal reasons. 57 The first study, made by the Congressional Research Service of the Library of Congress, was released in March 1976, U.S. First, the federal OCS leasing program provided the Congress, House Ad Hoc Select Committee on Outer Continental States limited opportunity to participate in.the leas- Shelf. Effects of Oflshore Oil and Natural Gas Development on ing decisions of the Department of the Interior. the Coastal Zone. 94th Cong., 2d sess., Washington, D.C., Gov- ernment Printing Office, 1976; the second study, compiled by Second, coastal States would have to accommodate the Office of Technology Assessment, was released after action the shoreside support facilities and provide services on the Coastal Zone Management Act Amendments of 1976 was completed. U.S. Congress, Office of Technology Assess- ment, Coastal Eflects of Oflshore Energy Systems. Washington, 55 Ibid., p. 77. D.C., Govermnent Printing Office, 1976. IV-17 together with others opposed to additional Federal Proponents of the automatic grant type of as- bureaucracy, argued forcefully for a revenue sharing sistance for coastal States base their case in part on or an automatic formula approach. The Ford Ad- the fact that western States with minerals on Fed- ministration opted for a combination of loans and erally owned lands receive 50 percent of the royalty bond guarantees. In final form, the CZMA amend- income, to help compensate for the needed new ments creating the Coastal Energy Impact Program governmental services required since no State rev- include grants, loans, bond guarantees, and formula enue accrues for the activities on the Federal prop- grants. erty. The major restriction on the availability of the A second major question is whether either grants "formula grants" for public facilities and services is or loans for facilities and services are appropriate. that such money can only be used because of the That is, are the changes in communities brought "unavailability of adequate financing under any other about by the introduction of a heavy industry such subsection" of the impact assistance program. That as the offshore oil industry susceptible to being means that as long as loans and bond guarantees treated with Federal aid? are available, grants to the States will be generally There is evidence, as in studies of western mining restricted to planning assistance, and compensation towns, that the most severe impacts from large- for environmental and recreational losses. Propo- scale energy development may be psychological. Re- nents of the automatic or formula grant approach searchers have come to label this the "Gillette Syn- had wanted funds under this provision to be avail- drome," named for the town of that name, said to able for public works projects. It was on this point consist of drunkeness, depression, delinquency, and that the Ford Administration balked. divorce. Researchers have found that planning as- The Administration made the difference between sistance to help communities prepare for change is reliance on grants or loans a major question of often of limited help because many rural commun- principle. The loan approach was seen by its sup- ities are hostile to planners and planning. porters in OMB and the Commerce Department as The solution for some coastal States faced with a precedent for any inland impact assistance pro- the offshore industry for the first time has been to grams which might be contemplated and, in fact, as attempt to funnel any prospective support industry a broader precedent for adjustment assistance in into existing urbanized areas. For instance, Massa- general. The advocates of the loan-bond guarantee chusetts has proposed five coastal cities, some with approach hoped the success with the coastal impact chronic unemployment, as potential supply bases program would lead to the consolidation of other and has actively courted the off shore industry. A assistance programs; specifically mentioned in this study by Princeton University's Center for Environ- discussion were aid programs run by the Department mental Studies, released August 22, 1977, proposes of Agriculture, Economic Development.Administra- that New Jersey locate any support industry for tion (Commerce), Department of Defense, Depart- offshore development in Atlantic City. It further ment of Health, Education, and Welfare, and Depart- suggested that certain facilities, such as tank storage ment of Housing and Urban Development. farms, be located inland from the coast, near major At present, however, the carefully worked out highways. The study also noted that the State needed construction of the energy impact program is being to assume leadership, because local communities revised. In dealing with legislation altering the Outer might, if left to make siting decisions themselves, Continental Shelf Lands Act, the Congress is cur- allow environmentally damaging locations for im- rently discussing removing some of the restrictions mediate tax fevenue beneflts, 59 on application of the "formula grant" section as .An argument put forth in justification of Federal well as increasing the money available through this aid to coastal States adjacent to offshore oil and gas vehicle.,"' Alterations were made by the program operations is that the proceeds from such activity go administrators in revised regulations issued early in entirely to the Federal Government, while expenses 1978. for services and facilities generally are borne by the Implementation of the loan provision has been local and State governments. The difficult factor to delayed by a lack of agreement on the interest rate calculate is how much local and State revenue is to be applied. The Office of Management and Budget generated by the onshore facilities or by the oil/gas recommends the official Treasury rate. The program production itself in States that tax same, and whether managers contend this will effectively make the loan this revenue will keep up with expenditures. The program useless since States and localities can by evidence points to a short-term shortfall. There is and large obtain better rates on their own without also the question of whether a State's tax load is difficulty. "fair;" in other words, does it do enough to raise revenues itself? 58 H.R. 1614, Outer Continental Shelf Lands Act Amendments of 1977, Title IV. 59 New York Times, August 23, 1977. IV-18 The most thorough study done on this question, these are assumed to be concentrated in dealing with Delaware and New Jersey, declares that the fourth year, the per capita tax rev- after an initial shortfall, the long-run effect on States enue is calculated to jump nearly $11,000 and communities is positive in terms of revenues as in that year in New Jersey. The jump offset by expenses. A.major exception is where one would not be so pronounced in Delaware community or State gets the revenue, while an ad- where there is presently no sales tax. In joining area has the expenses; in such a case the subsequent years, the property tax would long-term as well as short-term effect would be be the main source of revenue. Property negative. tax revenues would decline on a per cap- In its study, Coastal Effects of. Offshore Energy ita basis for a period because they would Systems, dealing with impacts that might be expected be divided among an increasing direct in coastal Delaware and New Jersey, the Office of population engaged in offshore construc- Technology Assessment (OTA) concluded: 10 tion and development drilling. Finally, per capita property tax revenues would "OTA has prepared a fiscal analysis of begin to rise in the ninth year when com- costs and revenues from (Outer Conti- pletion of construction would lead to a nental Shelf.) activities in the States of decrease in OCS-related population. For New Jersey and Delaware assuming pro- all years after the fourth year, per capita jected development associated with discov- revenues from OCS activities would sub- ery of 1.8 billion barrels of oil in the stantially exceed the statewide average." Baltimore Canyon Trough. The fiscal The OTA study supports the position of those analysis concludes that, in general, per who advocate loans and bond guarantees to pro- capita tax revenues from OCS-related vide needed facilities and services early, and use of activities would be considerably higher revenues to pay them off in time. The study suggests from the fourth year onward than state- wide per capita revenues from other sec- that loans need only be short-term because, as off- tors under the assumptions of the study shore fields are developed, revenues,will very soon ... If, however, most of the support areas come to exceed expenditures by sizable margins. and OCS employees were located in one This is so because the support facilities needed for State and the landings of oil and natural the offshore industry are heavily capitalized and gas were made in another, the results produce high revenues with relatively few workers would be very different.. . after they are installed and operating.. "In 1972, per capita state and local rev- A recent study on OCS issues published by the enues in New Jersey were $847. Before Council on Environmental Quality contains evi- any major onshore investments occurred, dence that community support for the introduction revenues produced by OCS activities of the offshore industry is fairly considerable. would be primarily from individuals which In Kenai, Alaska, for instance, an isolated rural average $512 per capita in New Jersey. community of about 1,000 has been transformed by Assuming that per capita expenditures for production of oil and gas resources in State-con- public services are about equal to total trolled waters. in nearby Cook Inlet. The com- per capita revenues of $847, per capita m.'unity went through a rapid expansion and then expenditures to support OCS-related popu- decline after initial construction of facilities was lation would exceed the per capita rev- completed. New community services were required, enues from OCS activities by about $335 as was additional housing. The evidence is that the during the first two years of development. area absorbed the four-fold increase in population The gap would decrease to $225 in the and the disruption of its previous way of life success- third year as some business taxes accrued. fully.- The picture would change in the fourth A survey of residents and city officials gave the year when major onshore investments following assessment of the change brought to would be made for pipelines, tank farms, Kenai :112 and natural gas processing plants. In the year when these investments would be "Many respondents mentioned a better made, the State would receive revenues standard of living, more diverse jobs, in- from a real estate transfer tax and from creased land values, and better roads, its sales tax @(or equivalent use tax). Since 61 Council on Environmental Quality. Oil and Gas in Coastal 60 U.S. Congress, Office of Technology Assessment. Coastal Lands and Waters. Washington, D.C., Government Printing Eflects of Oiffshore Energy Systems. Washington, D.C., Govern- Office, 1977, p. 65. ment Printing Office, November 1976, p. 157. 82 Ibid. IV-19 medical care and schools. They also noted percent of the eligible voters, who handily approved that there was less friendliness, less priv-, candidates favoring the project.' 3 acy, and-for the first time-discrimina- - tion." "The vote was not a referendum, and no doubt other issues affected the outcome. In rural Virginia there have been hot debates for But, the message was clear that citizens 2 years on the issue of whether the community of did not wish to reject the Brown and Root Cape Charles and Northampton County want to be proposal. What is most likely is that many the site of a 2,000-employee plant to construct Northampton County citizens believed that offshore oil platforms. The issue was put before the large-scale industry and economic revival voters in a county commission election. One group are not necessarily at odds with the peace, opposed the project, the other favored it (with cer- beauty, enjoyment of neighbors, and close- tain limits, such as the number of workers). The ness with nature that they love about the result, in November 1975, was a turnout of 83 shore." Status of the Coastal Zone Management Program State coastal zone management programs are in loosely tied to coastal management programs. two basic stages-the planning effort or program This section describes program development since development stage (authorized by Section 305 of the approval of the Act, efforts to evaluate the program Act) and the operational or program administration underway in 1978, the status of each State's program, stage (specified in Section 306 of the Act). A third and, in greater detail, the coastal zone management phase consists of miscellaneous features. Chief program for the State of Washington-the first State among the latter is the $1.2 billion 10-year coastal program to be approved. energy impact program enacted in 1976, which is Program Development The pace of program development since approval plus segments.of California (San Francisco Bay) and of the Act in 1972 has been slower than expected- Puerto Rico(Culebra Island) were approved by that not unlike other environmentally oriented programs. date. In testimony before the House Appropriations From the Stratton Commission's recommendation of Subcommittee with jurisdiction over the Department Federal assistance for an initial 2-year period, the of Commerce budget, it was projected that the re- program was expanded to a 3-year planning effort maining 19 States would have their programs com- authorized by the original 1972 act. The 1976 pleted by the end of fiscal year 1978. amendments provide 'a fourth year of funding under The projected completion dates of State coastal Section 305 in recognition of the difficulty States management programs have been consistently wide are having in developing viable coastal programs, of the mark (table 4-4). A projection made on plus an additional 2-year period allowed under Sec- August 1, 1977, notes that in 5 of the 16 States ex- tion 305(d) for a "preliminary approval" status. pected to complete their program in fiscal year 1978, States will continue to receive funds under this ex- success depends on legislative action. The OCZM tended 2-year period if their program design is document says a "pessimistic" view has four instead satisfactory, in the event that additional time is of eight programs being finished in the first half of needed for administrative reorganization or legisla- 1978 (table 4-5). tive enactment. Funding for section 305 development . To some observers the time scale for coastal zone grants is scheduled to expire in fiscal year 1979. management has been unrealistic from the start, be- The projected goals for coastal zone management ginning with the initial 3-year period enacted by programs by the State reveals a record of missed the Congress. In this view, the process should have target dates and a propensity of the Office of Coastal been thought of as a 10-year effort from the outset, Zone Management i(OCZM) to be overly optimistic in recognition of the inherent difficulties involved. in its estimates of State program schedules. The Federal expenditures for the program through In February 1976, OCZM predicted 17 States September 30, 1977 include $64.5 niillion of funds and two segments of State coasts would be eligible distributed to the States under the three original to receive program operation money (Section 306 funds) by the end of fiscal year 1977. Actually, only two West Coast States (Washington and Oregon), 63 Ibid., p. 107. IV-20 Table 4-4.-Coastal zone program approval schedule [Number of State programs] FY 1975 FY 1976 FY 1977 FY 1978 FY 1979 Date of estimate Est.2 Act.@ Est. Act. Est. Act. Est. Est. April 4, 1974 4+ la 0 April 14,1975 4+1 0 5b I g 23 2+2b February 9, 1976 3+1 c 1 14+1 d 2+2 .19 March 8, 1977 6 2+2 .16 e 17 August 1, 1977 3+2 2+2 19 f ? 1 U.S. House of Representatives, Hearings, Departments of State, Justice, Commerce, Judiciary and Related Agencies Appropria- tions for Fiscal Year 1975, 1976, 1977, and 1978, p. 800 (part 3), '287, 903, and 501 (part 4), respectively. 2 Estimated for approval and actually approved. a Four States and one coastal segment. bNew Hampshire, Michigan, North Carolina, Oregon, Rhode Island. c California segment, Oregon, Washington, Rhode Island. dCumulative California, Delaware, Maine, Maryland, Minnesota, New Hampshire, New Jersey, North Carolina, Oregon, Puerto Rico segment, Rhode Island, South Carolina, Texas, Virgin islands, Washington. e Cumulative: California, Delaware, Illinois, Maine, Maryland, Massachusetts, Minnesota, New Hampshire, North Carolina, Ore- gon, Puerto Rico, Rhode Island, Texas, Virgin Islands, Washington, Wisconsin. t Cumulative: Washington, Oregon, California, Virgin Islands, Illinois, Maine, Maryland, Massachusetts, North Carolina, Rhode Island, Wisconsin, Delaware, Florida, Guam, Minnesota, Michigan, New Hampshire, New Jersey, Puerto Rico'. g Washington. hWashington, Oregon, California segment, Puerto Rico segment. Table 4-5.-Status of Coastal Zone Management Act Section 306 approvals [Prepared by Office of Coastal Zone Management, NOAA-August 1, 19771 Expected Section 306 Budgeted 1978 State Draft of EIS status I approval date by OCZM Section 306 First half of 1978 2 Oregon May 1977 $ 1,400,000 Washington 1977 is second year of 1,400,000 Section 306 program California September 1977 3,000,000 Virgin Islands October 1977 500,000 Illinois Depends on State legislation June 1978 1,100,000 Maine Issue November 1977 March 1978 1,000,000 Maryland Issue November 1977 April 1978 1,150,000 Massachusetts Issue September 1977 February 1978 1,100,000 Michigan Issue October 1977 March 1978 1,250,000 North Carolina Issue November 1977 March 1978 1,150,000 Rhode Island Issue October 1977 March 1978 800,000 Wisconsin Issue October 1977 February 1978 1,100,000 TOTAL: 14,950,000 Second half of 1978 Delaware Depends. on State legislation June 1978 787,000 Florida Depends on State legislation September 1978 Guam Depends on State legislation September 1978 Minnesota Issue January 1978 August 1978 New Hampshire Depends on State legislation September 1978 400,000 New Jersey Issue March 1978 September 1978 1,225,000 Puerto Rico Issue March 1978 August 1978 950,000 TOTAL: 3,362,000 3 EIS, Environmental Impact Statement. 2Possible approvals in first half of 1978: 8 States. Pessimistic estimate of approvals in first half of 1978: four States. 3Statcs listed in first half that "slip" probably would be funded during second half of 1978. Some States listed in second half of 1978 may "slip" to 1979. These States, owing to shortage of.Section 306 funds, would be funded effective October 1, 1978 (fiscal year 1979). IV-21 Table 4-6. Federal coastal zone funding March 1974 through September 1977 Program Program Estuarine development administration sanctuary State Section 305 Section 306 Section 315 dollars dollars dollars Alabama 408,378 Alaska 3,270,000 California 3,848,668 120,979 Connecticut 1,120,832 Delaware 989,746 Florida 2,335,446 1,500,000 Georgia 1,095,365 1,550,000 Guam 542,045 Hawaii 1,450,000 199,600 Illinois 1,140,000 Indiana 562,280 Louisiana 2,744,000 Maine 1,872,650 Maryland 2,450,386 Massachusetts 2,270,430.58 Michigan 1,915,325 Minnesota 812,500 Mississippi 513,638 New Hampshire 642,000 New Jersey 1,773,087 New York 2,802,625 North Carolina 2,349,067 Ohio 1,219,000 894,152 Oregon 1,695,978 1,850,000 1,804,813 Pennsylvania 667,000 Puerto Rico 1,358,843 292,626b Rhode Island 1,632,034 South Carolina 1,337,463.82 Texas 3,335,096 Virgin Islands 390,000 Virginia 1,408,764 Washington 1,262,820 3,750,000 Wisconsin 1,304,150 Total: 52,520,577.40 6,013,605 5,948,565 Federal grant funds $64,482,741.40 State matching funds (approximately) $25.4 million Administration (Federal) $ 7.7 million Grand total $97.5 million- a Segment of State: San Francisco Bay. b Segment of Commonwealth: Culebra Island. titles of the Coastal Zone Management Act plus funds amounting to one-third for development grants $7.7 million 114 for the cost of administering the pro- and administrative grants, and one-half for the gram through the Office of Coastal Zone Manage- estuarine sanctuaries program, raised total public ment, a total Federal expenditure of $72.2 million. expenditures through fiscal year 1977 (excluding the In addition to the Federal grants awarded to the coastal energy development program) on coastal States for program development, administration and zone management to about $100 million(table 4-6). estuarine sanctuaries (See. 315(l)), State matching The program delays which have characterized the 64 NOAA Office of Coastal Zone Management figures for fiscal State coastal zone management initiatives may have years: 1973 (reprograrned funds), $250,000; 1974, $555,000; 1975, been caused by either administrative shortcomings $1,178,000; 1976, $1,739,000; transition quarter, $523,000; 1977, or inherent deficiencies in the concept of the pro- $3,239,000; 1978 (estimate), $3,155,000. Total through fiscal year 1977, $7,734,000; estimated total through fiscal year 1978: gram itself. Several studies of coastal zone manage- $10,889,000. ment will be undertaken in 1978. The Department IV-22 of Commerce has announced that it will undertake Committee on Oceans and Atmosphere may under- a full-scale assessment of the program in addition take examinations also. to an internal review by NOAA. Both the Senate Because the program is at a relatively early stage, Committee on Commerce, Science, and Transporta- with only three State programs operating, it is pre- tion and the House Merchant Marine and Fisheries mature to conclude how effective it will be. The Committee have announced plans to hold oversight evaluation efforts underway in 1978 will be im- hearings on the coastal zone management program portant in that they will be the first thorough exam- in the near future. Both the Coastal Zone Manage- ination made with enough State programs available ment Advisory Committee and National Advisory to allow a preliminary judgment. Description of State Coastal Zone Management Programs The status of each State's Coastal Zone Manage- subject to a determination by the Board that the ment Program in early 1978 is described, including permit will be in compliance with the management the legal authorities proposed by the State to admin- program. The coastal act allows significant local ister its coastal program. The descriptions are based government autonomy. on information provided by NOAA's Office of Coastal Zone Management, Expenditures noted are Alaska Federal funds allocated to the States as authorized Federal Funding by the Coastal Zone Management Act of 1972 from Program Preparation (Section 305) March 1974 through September 1977-for program 1974: $ 600,000 development (preparation) under Section 305, for 1975: 1,200,000 program administration (management) under_Sec- 1976: 1,470,000 tion 306, and for estuarine sanctuaries under Section 1977: 315. Funds dispensed under the Coastal Energy Im- Total: 3,270,000 pact Program (Section 308) are not included. Alabama Current Status Federal Funding The original thrust of the coastal zone manage- ment effort in Alaska was technical data collection Program Preparation (Section 305) and information dissemination. Much of this work 1974: $100,000 has been accomplished through the technical. services 1975: 151,418 of State agencies. During the second and third years 1976: of program development, Alaska focused on policy 1977: 156,960 development; State, local and Federal authorities Total: 408,378 that impact coastal resources; identification of boundaries and areas of particular state concern; Current Status and joint participation between the administrative The Alabama Coastal Area Board was established and legislative bodies of government to develop in 1974. In 1976, the legislature reconstituted the acceptable coastal legislation. Board to include four local government officials from With third year supplemental funding, Alaska the coastal area, four State agency heads, and the started implementing certain parts of its coastal act, chairman of the Citizen's Advisory Committee. The which requires the development of guidelines and restructuring of the Boards' membership and author- standards for establishing a Policy Council. Local ity caused delays in the hiring of staff and the de- government involvement and development of District velopment of program management activities. The Programs is also required and is a major activity Board is currently identifying the uses and areas that during the fourth year. Active citizen participation will be managed, and the procedures that will be used has been an integral part of the program during the to assure consistency with the policies in the program. third and fourth years, including Statewide public workshops on coastal issues and public hearings on Authorities the guidelines and standards. The Board is responsible for developing a com- prehensive coastal area management program and Authorities for assuring that actions by agencies in the coastal The Alaska Coastal Act of 1977 will form the area are consistent with the management program. foundation of the program. This establishes the No additional permits will be required from the process for developing a program as well as the in- Board if an existing State agency permit is required stitutional arangements to administer it. Additional for an activity; curreht State permit activities will be State authorities will be used as necessary to enforce- IV-23 the policies of the program. The State is currently Connecticut considering passage of additional legislation such as Federal Funding Forestry Practices which may supplement the au- thorities of the management program. Program Preparation @(Section 305) 1974: $ 194,285 California 1975: 482,484 Federal Funding 1976: 444,063 Program Preparation (Section 305) 1.977: 1974: $ 720,000 Total: 1,120,832 1975: 900,000 Current Status 1976: 1,200,000 Connecticut began its third year of 305 program .1977: 1,028,668 development during fiscal year 1977. Draft legisla- Total: 3,848,668 tion was prepared for submission in January 1978. Program Management (Section 306) A recommended two-tier boundary is proposed, the 1977: $120,979 first being about 1,000 feet from mean high water, Total: 120,979 the second being the first inland community. Current Status Authorities For the first 3 years, California developed the The State will need new legislative authority in Coastal Plan in response to a citizen's initiative order to meet the requirements of the Coastal Zone (Proposition 20) that required a comprehensive plan Management Act. A bill has been drafted and sub- for coastal resource preservation and use. Concur- mitted to the State legislature. The legislation would rently, the State was also directly controlling land place the coastal management agency in the Depart- and water uses through coastal development permit ment of Environmental Protection. The manage- requirements. The Coastal Plan was introduced to ment technique recommended is a shared State/local the legislature, and, after considerable debate, the partnership with the local agencies assuming most California Coastal Act of 1976 was approved. of the responsibility. Part of third year and fourth year work programs Delaware .were devoted to implementing parts of the Coastal Federal Funding Act including the development of local coastal pro- grams and approval of the management program Program Preparation (Section 305) under the Coastal Zone Management Act. 1974: $166,666 The State's management program was approved 1975: 345,000 by the U.S. Secretary of Commerce, Juanita M. 1976: Kreps, in November 1977. The approval of the pro- 1977: 478,080 gram has been contested in Federal Court by the Total: 989,746 American Petroleum Institute, et al.; the presiding Current Status judge allowed the program to be approved, but with- Much of Delaware's first year of management held the application of the Section 307 Federal con- program development was devoted to identifying and sistency provisions of the Act until there is a hearing filling management data voids and in delineating on the merits of the case. areas of critical concerns, permissible uses, and California's first year implementation funds are priorities of uses. devoted largely to processing thousands of coastal development permits and assisting local governments Efforts during the second year of work included: in developing comprehensive local coastal programs (1) completion of much of the basic coastal re- which incorporate the State policies established in sources and processes research work; (2) application the Coastal Act. of the general coastal management methodology to the needs and issues affecting the Lewes-Rehoboth Authorities portion of the coast; (3) intial determination of geo- The State's coastal management program is based graphic areas of particular concern, including iden- on the California Coastal Act, the Coastal Con- tification of unique and rare natural areas worthy of servancy Act of 1976, the Urban and Coastal Park preservation; (4) initial listing of permissible uses; Bond Act of 1976, and appropriate regulations de- and (5) additional basic examination of existing legal veloped pursuant to the Coastal Act. The State is and organizational arrangements. currently in the process of refining its program to During the third year, much of the work centered include the Liquefied Natural Gas Terminal Act of on producing a draft management program by 1977. February 1978, and on a legislative package to be IV-24 submitted to the legislature for consideration during and programs will be conducted in a manner con- its 1978 session. sistent with the proposed policies of the coastal man- agement program. Existing State authorities include, A uthorities but are not limited to, permits relating to wetlands, Delaware has three major statutes dealing with beaches, as well as air and water quality, the Areas coastal resources: (1) The Coastal Zone Act, (2) of Critical State Concern Program, the Development Wetlands Act, and (3) the Beach Preservation Act. Regional Impact review process, and several special As it is necessary for the State to seek additional area programs such as the Aquatic Preserves Pro- legislative authority, the following bills have been gram. submitted to the legislature: (1) a bill which estab- lishes a process for State involvement in local deci- Georgia sions that may be of more than local concern, (2) a Federal Funding critical areas bill, and (3) an erosion and sedimenta- Program Preparation (Section 305) tion bill. If this legislative pa&age is enacted, the 1974: $ 188,000 State may have sufficient comprehensive authority to 1975: 416,250 meet Federal requirements for a coastal zone man- 1976: agement program. 1977: 491,115 Florida Total: 1,095,365 Federal Funding Estuarine Sanctuary (Section 315) Program Preparation (Section 305) 1975: $1,500,000 1974: $ 450,000 1976: 1975: 763,000 1977: 50,000 1976: 1,122,496 Total: 1,550,000 1977: Total: 2,335,496 Current Status Estuarine Sanctuary (Section 315) The momentum of the development of Georgia's 1977: $1,500,000 coastal management' plan was interrupted during a Total: 1,500,000 reorganization within the Department of Planning and Budget and the program's subsequent relocation Current Status in the State Department of Natural Resources. In The development of a coastal management pro- June of 1978, the State will enter its fourth year of gram in Florida has been the responsibility of a suc- program development. cession of State agencies that have been supported Georgia has determined to seek coastal legislation, by Regional Planning Councils and citizen advisory and during the third year the State developed legis- committees. The program development process has lative recommendations for the governor's review. produced extensive planning and management infor- The State has made substantial progress in deter- mation at the State and regional level and has made mining procedures for citing uses of regional benefit management recommendations in a number of areas, and has begun addressing the national interest and including boundaries, uses to be managed, and areas energy facility siting requirements. of particular concern. In 1977, the Florida legislature The State's inland boundary has been defined. transferred the responsibility for completing the The boundary extends 150 feet west of the Seaboard coastal management program to the Department of Coastline Railroad and Interstate 95. A nomination Environmental Regulation. The Department, assisted process has been recommended for future "geo- by a State Coastal Zone Management Committee, graphical areas of particular concern" designation published a "Preliminary Workshop Draft Program" and selected natural, cultural, and recreational re- in November 1977. The document was reviewed by source areas already have been designated. Federal agencies and discussed at a number of well- attended public workshops throughout the State in Authorities December. Following necessary revisions, the pro- The State has prepared several pieces of legisla- gram and implementing legislation will be submitted tion for introduction in 1978. This package consists to the governor and hence to the legislature in early of four parts: (1) a Coastal Siting Act, (2) Coastal 1978. Management Act of 1978, (3) Shore Protection Act A uthorities of 1978, and (4) a proposed Constitutional amend- ment. The governor has determined to introduce the There will be an attempt to pass legislation in latter three bills during the 1978 legislative session. 1978 that,.will ensure that existing State authorities The Coastal Siting Act has been introduced for IV-25 study during the 1978 session and possible passage During its fourth year of program development, in 1979. the State has been working on a management pro- gram that describes how the State will enforce the Guam program's objectives and policies, both during an Federal Funding interim period of time during which local govern- Program Preparation (Section 305) ments are to refine the coastal development permit 1974: boundary and be in compliance with State policies, 1§75: $143,000 and thereafter, 1976: 189,000 A uthorities 1977: 210,045 The State will use both direct controls (particu- Total: 542,045 larly in coastal waters) and local implementation of State-established criteria and standards to control Current Status land and water uses. The Hawaii Coastal Zone Man- In about 21/2 years Guam has inventoried all of agement Act of 1977 establishes State policies, re- its major resources (including reefs and beaches), quires local and State government compliance, re- mapped and classified them, and has used this quires developers to acquire a coastal development knowledge to provide the basis for a comprehensive permit, and directs that the Hawaii program use land and water use program. A land-use element other existing State authorities. designed to take into account significant resources and user needs was published and distributed for re- Illinois view. A major effort has gone into drafting coastal Federal Funding legislation. Program Preparation (Section 305) Authorities 1974: $ 206,000 In addition to Guam's Seashore Protection Act 1975: 434,000 and territorial statutes, island-wide land-use legis- 1976: 500,000 lation has been prepared for adoption by the legisla- 1977: ture. This legislation consists of districting of land Total: 1,140,000 (patterned after Hawaii), the designation of per- missible uses in those districts, and a process to Current Status designate areas of particular concern. Illinois' Coastal Zone Management Program is in its third year of development within the Illinois De- Hawaii partment of Transportation's Division of Water Federal Funding Resources. Program Preparation (Section 305) The inland boundary follows property lot lines or 1974: $ 250,000 transportation right-of-way lines and in either case 1975: 400,000 is not more than 500 feet from Lake Michigan. The 1976: 500,000 State's major coastal management policies are to 1977: 300,000 minimize shore erosion, flooding, and property dam- Total: 1,450,000 age; protect water quality; protect offshore reef for- mation, coastal fisheries, and natural areas; promote Estuarine Sanctuary (Section 315) shoreline recreation services and promote lake- 1976: $199,600 dependent commercial, industrial, navigation, port, 1977: and energy facilities. The Illinois Coastal Zone Man- Total: 199,600 agement Program has four areas of particular con- cern requiring special management attention: (1) the Current Status Illinois Beach State Park, (2) the Waukegan Harbor Throughout the development of its coastal man- and lakefront industrial complex (3) the 100-year agement program, Hawaii has followed a classical high-risk erosion area of Lake Bluff, and (4) offshore planning approach. It has identified its coastal re- dolomite reef formations. sources and the concurrent management problems, A uthorities and has conducted a widespread public involvement program that was instrumental in problem identifica- The Illinois Coastal Resources Management Act tion and the passage of coastal legislation. Differ- (HB 2118) has been passed by the House of the ences, between the State and county governments as Illinois General Assembly and will be voted on by to the proper division of implementation responsi- the Senate in the next session. This Act establishes a bilities have been a continuing problem. permit system to be administered by either the State IV-26 or a "certified" municipality or county to control 1975: $ 485,000 specified land and Water uses. The governor would 1976: 999,000 designate the Illinois Department of Transportation 1977: 1,000,000 as the State implementation agency under Section Total: 2,744,000 306 of the national act, and issue an executive order requiring State agency actions to be consistent Current Status with the coastal programs to the maximum extent Louisiana began its fourth year of program devel- practicable. The department would be responsible opment on June 30, 1977. The Governor, in August for certifying and decertifying local governments 1977, transferred responsibility for completing the and for carrying out the State and Federal con- coastal management program to the Louisiana De- sistency elements of the State program. If HB 2118 partment of Transportation and Development, which is passed, Illinois will submit its program for Fed- had previously been designated as the State agency eral approval in July 1978. responsible for administration of the Coastal Energy Indiana Impact Program. Recent program development work Federal Funding has centered on assisting parishes (counties) in pre- Program Preparation (Section 305) paring local management programs, identifying cate- gories of uses subject to management and special 1974: management areas, refining the boundary, and im- 1975: $220,000 plementing the Coastal Energy Impact Program. 1976: A uthorities 1977: 342,280 Total: 562,280 In 1977, the Louisiana legislature enacted the State and Local Coastal Resources Act of 1977 (Act Current Status 705), prepared by the Louisiana Coastal Commis- The Indiana State Planning Services Agency is sion. This statute required each State agency and responsible for administering the State's program local parish to prepare management plans for the development under Section 305 grants. The prob- area within a 3-mile coastal boundary. The Office lems and issues identified during the first year of of Coastal Zone Management informed the governor program development are grouped into nine areas: that the bill was unsatisfactory in several areas and shoreline erosion and property damage, recreational could not provide a basis for approval of a State resources, ecological and environmental concerns, program under the Federal act. The Department of economic development, commercial ports, aesthetics, Transportation and Development is drafting a new jurisdictional responsibilities, land-use compatibility, bill which will provide the authority for a State and inadequate transportation. The Indiana Depart- management program and permit system as well as ment of Natural Resources and two Planning and procedures for approving local parish management Development Commissions covering the coastal area programs that are consistent with State coastal pol- collected data relating to the major natural, eco- icies and guidelines. nomic, and social characteristics of Indiana's Lake Maine Michigan shoreland area dur 'ing the first year. The planning agency organized a Technical Advisory Federal Funding Committee and a Citizens Advisory Committee. Program Preparation (Section 305) Indiana's second-year application was delayed 1974: $ 230,000 because of inadequate progress during the first year. 1975: 474,870 Once the first-year products were completed satis- factorily, the Office of Coastal Zone Management 1976: 457,970 made a second 305 grant to Indiana in September 1977: 709,810 1977. Total: 1,872,650 A uthorities Current Status Some Siate legislation probably will be attempted In 1976, Maine submitted and subsequently with- in Indiana, but the principal controls probably will drew a proposed management program for its mid- be maintained at the local government level. coast area, extending from Casco Bay to Frenchman Louisiana Bay. The proposal was recalled in order to bring Federal Funding about a greater level of participation by town gov- ernments. Maine completed a draft of its coastal Program Preparation (Section 305) zone management program and held five major pub- 1974: $ 260,000 lic hearings concerning it in November 1977. IV-27 A uthorities A uthorities About two-thirds of the Section 306 grant fund The Maryland program document has been com- will be available to help local communities imple- pleted and is under review by the Office of Coastal ment the program. The proposed State coastal man- Zone Management. An executive order, signed by agement agency is the State Planning Office. The the governor, is needed to create a network of al- Coastal Conservation Development Commission ap- ready existing State authorities and provide a conflict pointed by the Governor has provided overall guid- resolution mechanism necessary for Federal program ance in program development. No new legislation approval. The program uses five present State au- will be sought in Maine. Instead, reliance on the 11 thorities on: wetlands, coastal facilities review, present State laws felt pertinent to the coastal area powerplant siting, shore erosion, and flood control will be used in what is termed "networking" of exist- watershed management laws. ing authorities. Included are wetlands, critical areas, and shoreline zoning acts. Massachusefts Federal Funding Maryland Program Preparation (Section 305) Federal Funding 1974: $ 210,000 Program Preparation (Section 305) 1975: 492,330.58 1974: $ 280,000 1976: 917,100 1975: 560,000 1977: 651,000 1976: 810,290 Total: 2,270,430.58 1977: , 800,096 Current Status Total: 2,450,386 The Massachusetts Coastal Zone Program has Current Status received preliminary approval under Section 305(d). Maryland's initial efforts in coastal management A preliminary program was submitted for public planning were research-intensive, with certain speci- review in December 1976 and to the Federal Office fic targets set during its second year of program of Coastal Zone Management in summer 1977. The development. The State has focused on completing draft environmental impact statement was circulated the resource inventory necessary to determine geo- in fall 1977. Federal approval of the program was graphic areas of particular concern; initiated a study scheduled for early 1978. of onshore development associated with OCS activ- A uthorities ities; established a public participation framework within which program elements may be reviewed and Massachusetts has based its program on existing appropriately modified; completed a draft compre- authorities. The State passed strong environmental hensive dredge spoil disposal plan; completed inven- laws in the 1960s and early 1970s and is using the tory and analysis of institution and authorities for coastal program to implement them more effectively. managing coastal areas to determine the remedial Among the State laws to be used are two coastal action necessary; and worked with relevant State wetlands acts, the offshore minerals act, an ocean and Federal agencies and local governments in an sanctuaries act, and the State environmental policy effort to ensure consistency as permissible uses of act. the coast are identified. Michigan Following governmental reorganization that Federal Funding placed primary responsibility for coastal planning under the Energy and Coastal Zone Administration, a Program Preparation (Section 305) clearer course of action toward coastal program ap- 1974: $ 330,486 proval is emerging. Major objectives of the State's 1975: 400,000 third year of coastal planning are: (1) a greater 1976: 529,839 effort toward soliciting public and local government 1977: 655,000 participation; (2) work on the Baltimore Metro- Total: 1,915,325 politan Coastal Area Study; (3) initiating a coastal use capability study to develop a management mech- Current Status anism for using resource information; (4) work with The Michigan coastal zone boundary has been the Department of State Planning to recommend designated as including all lakeward coastal areas mechanisms to meet the requirements for authorities within Michigan's jurisdiction and landward coastal and organizational networking; (5) additional em- areas extending to a minimum of 1,000 feet inland phasis on State-Federal coordination; and (6) prepa- of the ordinary high-water mark. The latter repre- ration of the management program document. sents the jurisdictional limit of the Michigan Shore- W-28 lands Protection and Management Act. Further ex- existing State laws and regulations, including the tensions of this boundary were made to include Shorelands Management Act, the Subdivided Land coastal lakes, river mouths and bays, floodplains, Sales Act, Power Plant Siting Act, the Minnesota wetlands, Great Lakes sand dunes; public recreation Environmental Policy Act, Environmental Rights and natural areas; and heavily developed or urban- Act, and Environmental Quality Board Statute, and ized areas. others. State agency compliance with the program The program was submitted for approval to the will be required through the Environmental Quality Office of Coastal Zone Management in August 1977. Board's adoption of the program as State policy. A draft environmental impact statement was issued The Board has statutory authority to resolve conflicts in November 1977. involving State agencies with regard to programs, regulations, permits, and procedures significantly Authorities affecting the environment. The program has en- The Michigan program's authorities will consist countered stiff local opposition and may not move of a number of existing State laws and regulations, into a fourth year of development. including the Shorelands Protection and Manage- Nussissippi ment Act, the Soil Erosion and Sedimentation Act, the Subdivision Control Act, the Inland Lakes and Federal Funding Streams Act, the Great Lakes Submerged Lands Program Preparation (Section 305) Act, the Natural Rivers Act, the Mineral Wells Act, 1974: $101,564 the Oil and Gas Wells Act, and the Michigan En- 1975: 240,906 vironmental Protection Act. 1976: 171,168 The lead agency for program implementation in 1977: Michigan will be the Department of Natural Re- Total: 513,638 sources, which also exercises the bulk of the author- ities. Coordination and consistency of other State Current Status agency actions will be achieved through agency par- Three years of coastal planning in Mississippi ticipation on the Standing Committee on Shorelands have resulted in a program discussion draft prepared and Water Coordination and through the Michigan by the Mississippi Marine Resources Council includ- Environmental Review Board's review of proposed ing Ir.ecommendations concerning b .oundaries, areas State actions which may have significant environ- of particular concern, and uses subject to manage- mental or human implications. The Board will also ment. The program discussion draft is being revised serve as a framework for resolving conflicts, and is subject to comments by Federal, State and local authorized by executive order to recommend that an agen .ci-es, and private citizens. The council has been activity be halted or modified if found environ- assisted in the preparation of the management pro- mentally unacceptable. gram by citizen advisory committees in each of the Nnnesota three coastal counties, and by an intergovernmental Federal Funding relations committee. Program Preparation (Section 305) A uthorities 1974: $ 99,500 The Mississippi program requires additional State 1975: 377,000 authority to ensure compliance by State and local 1976: agencies in the coastal zone. Building on existing 1977: 336,000 State authority to issue permits regarding publicly- Total: 812,500 owned wetlands, the Marine Resources Council will propose legislation to the 1978 Mississippi Legisla- Current Status ture that will establish coastal goals and policies for Minnesota is completing its third year of program all State and local agencies conducting activities in development under Section 305 funding. The State the coastal zone.. is trying to complete a program to be submitted to New Hampshire the Office of Coastal Zone Management in May or Federal Funding June 1978. The lead agency is the State Planning Agency. Through a demonstration project grant, Program Preparation (Section 305) Minnesota is focusing efforts on the Duluth-Superior 1974: $ 78,000 harbor jointly with the State of Wisconsin. 1975: 120,000 1976: 148,000 A uthorities 1977: 296,000 Program authorities will include a number of Total: 642,000 IV-29 Current Status Current Status As New Hampshire looks toward the January During 1977 three major activities were accom- 1978 legislative session, it is concentrating its work plished. The tentative statewide boundaries were program in three major areas: a public participa- delineated. Geographical areas of special concern tion effort, preparations for legislative hearings, and were selected, and preliminary direction of needed development of coordination. legislation was proposed which would place manage- ment responsibilities with local governments in a A uthorities method similar to that under existing wetlands man- New legislation was to be submitted in January agement legislation. The State expects to have a 1978. A coastal bill was passed by the House and draft program for public review by June 1978. Senate in 1977, but was vetoed by the governor. The legislation, to be reintroduced this year with A uthorities some modification, contained a three-tiered bound- The State has tentatively determined that the ary. The first tier, 1,000 feet from mean high water; additional legislation will be similar to existing the second tier, the coastal municipalities; and a State wetlands legislation which uses local govern- third tier, towns adjacent to coastal towns. The man- ments to implement the program. The legislation agement program placed major implementation re- will be submitted in January 1979. sponsibility with local governments to manage coastal activities with State assistance. North Carolina New Jersey Federal Funding Federal Funding Program Preparation (Section 305) Program Preparation (Section 305) 1974: $ 300,000 1974: $ 275,000 1975: 639,746 1975: 807,750 1976: 666,337 1976: 690,337 1977: 742,984 1977: Total: 2,349,067 Total: 1,773,087 Current Status Current Status The North Carolina program is in its fourth year Much of the work accomplished during the first of Section 305 program development. The program 2 years was mandated by the Coastal Area Facility document was formally submitted in December 1977 Review Act (CAFRA). In its third year of program to the Office of Coastal Zone Management for en- development, the State broadened efforts to meet vironmental impact statement review. the specific requirements of the Federal coastal man- A uthorities agement program, including preparation of a draft .The State is basing its program on the North program for submittal of the CAFRA area (80 per- Carolina Coastal Area Management Act (CAMA) of cent of the State coast) as a geographical segment. 1974. This State law provides for direct regulation It will begin the environmental impact statement of activities in areas of environmental concern process in 1978. (AECs). Additionally, the Act requires local govern- Authorities ments to prepare comprehensive plans in conform- ance with State guidelines and coastal policies. One New Jersey statute, Coastal Area Facility In areas outside of AECs, the State will use exist- Review Act, together with other State authorities ing authorities to manage uses that might have a such as a Wetlands Act, constitute the basis for a damaging effect on coastal areas or resources. A coastal management program. For the remainder of signed executive order will help facilitate networking the State's coastal area, along the Delaware Bay of the various State authorities. The order mandates shore, it is possible that new legislation will be needed. State agency consistency with coastal goals and policies, and directs State agencies to act in a manner New York consistent with local land use plans where possible. Federal Funding Ohio Program Preparation (Section 305) Federal Funding 1974: $ 923,000 1975: Program Preparation (Section 305) 1976: 951,825 1974: $ 200,000 1977: 927,800 1975: Total: 2,802,625 1976: 419,000 IV-30 1977: $ 600,000 will provide for decision-making at the local level of Total: 1,219,000 government. Any State efforts as securing coastal Estuarine Sanctuary (Section 315) legislation will come early in 1979. 1977: $894,152 Oregon Total: 894,152 Federal Funding Current Status Program Preparation (Section 305) The Ohio program is in the early stages of its 1974: $ 250,132 1975: 298,811 third year of development, The proposed manage- 1976: 1,027,035 ment area for the program currently consists of a 1977: 120,000 1,000-meter strip of land along the shoreline of Total: 1,695,978 Lake Erie. This zone will extend further inland to cover areas that are affected by the lake or which Estuarine Sanctuary (Section 315) would affect the coastal zone. A final management 1974: $ 823,965 boundary will not be determined until the organiza- 1975: 325,000 tional structure and program authorities are agreed 1976: 600,000 upon by the government units involved in the pro- 1977: 55,848 gram. Total: 1,804,813 Ohio has not yet decided which coastal uses Program Management (Section 306) should be managed by the State coastal program. It 1977: $1,850,000 is likely that the State will want to deal with those which affect coastal water quality and those which Total: 1,850,000 could be affected by erosion and flooding. Once the State enters the program implementation phase, Current Status Ohio intends to develop incentive projects that will The Oregon Coastal Management Program was lead to increased public access and port activity. officially approved on May 6, 1977, after a lengthy Preliminary statements of goals and objectives by process and delays caused by the adoption of four the State indicate.that Ohio will attempt to use the new coastal goals for estuarine resources, shorelands, coastal program to assist property owners in con- beaches and dunes, and ocean resources. The pro- trolling erosion through identification of other Fed- gram consists of direct State control as well as local eral programs that can provide this assistance. The implementation of statewide goals through the devel- State has also developed a preliminary list of areas opment and implementation of comprehensive land- from which it will designate special management use plans that are enforceable. areas for economic development, cultural preserva- The major emphasis of the program is directed tion, and natural qualities such as fish and wildlife at providing assistance to local governments in devel- management. oping their comprehensive plans. Much of the as- The organizational structure and authorities that sistance revolves around the use of estuarine re- the management program will use have not yet been sources which must be classified according to their identified. The citizen advisory groups formed during capability and suitability of uses. Other work ele- program development and the State agency respon- ments include processing petitions for review (en- sible for program development-the Department of forcement), efforts to improve coordination and Natural Resources (DNR)-have expressed a pref- consultation, joint participation. with the State of erence for keeping program regulatory decisions at Washington including local governments and the the lowest level of government. It appears that Ohio involvement of Federal agencies in the comprehen- will have to develop strong interagency linkages sive management of the Columbia River Estuary, during program implementation, because some exist- and a public awareness program directed at stimu- ing authorities at the State level such as air and lating citizen participation in comprehensive plan- water quality authorities and the Power Siting Act ning. will be incorporated as part of the program. These authorities are not administered by DNR. A uthorities The Federally approved Oregon Coastal Manage- Authorities ment Program is based on a broader statewide pro- It is likely that Ohio will require some form of new gram, namely the Land Use Act of 1973. Other State legislation to deal'with issues such as shoreline authorities in the program include laws dealing with erosion and coastal flooding. All regulatory power beaches, dredge and fill, mandatory zoning, and over land-use decisions now resides at the local level. natural area preserves. The Land Conservation and Any new authority which is developed in these areas Development Commission and the Department of IV-31 Land Conservation and Development administer the A uthorities program. The Puerto Rico Planning Board is given broad Pennsylvania authority for controlling land and water uses. Island- wide policies have been adopted as part of the Federal Funding Island-wide Land Use Plan and specific coastal pol- Program Preparation (Section 305) icies will be adopted for the program submitted for 1974: $150,000 Federal approval. The Department of Natural Re- 1975: 225,000 sources will be the designated State agency and will 1976: 292,000 assist the Planning Board in implementing the pro- 1977: gram. Total: 667,000 Rhode Island Current Status Federal Funding Pennsylvania is completing its third year of pro- Program Preparation (Section 305) gram development. The State has two coastal zones, 1974: $ 154,415 the Delaware Estuary coastline and the Lake Erie 1975: 422,840 coastline. The Commonwealth is completing work 1976: 430,779 on the organization and authorities element of its 1977: 624,000 third-year grant. This particular element was not Total: 1,632,034 properly completed during the grant period, and the Office of Coastal Zone Management found that the Current Status Commonwealth has not made satisfactory progress. After about 6 years of experience in coastal re- At the start of 1978, no further funds were budgeted sources management and 4 years of management for the Commonwealth. planning with Federal coastal program assistance, Authorities the Rhode Island Coastal Zone Management Pro- gram was submitted to the Federal Government in Legislation will be needed in Pennsylvania in October 1977. There have been opportunities for order to meet the requirements of the national public and private review of the draft program, and coastal program. the University of Rhode Island Coastal Resources Puerto Rico Center has prepared documents describing the pro- Federal Funding grams. Hearings on the draft environmental impact statement on the program plan were held in 1977, Program Preparation (Section 305) and final, approval of the program is anticipated in 1974: $ 250,000 1978. 1975: 350,000 1976: 424,190 A uthorities 1977: 334,653 The State program is being based on 1971 legis- Total: 1,358,843 lation establishing the Coastal Resources Manage- Program Managament (Section 306) ment Council. To provide specificity, 21 regulations 1977: $292,626 have since been adopted. The governor's office has Total: 292,626 been designated the Section 306 management agency. Current Status Puerto Rico is in its fourth year of coastal pro- South Carolina gram development for the whole Commonwealth, Federal Funding having received Federal approval for a management Program Preparation (Section 305) plan for the Culebra Segment in April 1977. During 1974: $ 198,485 this last year, the Department of Natural Resources 1975: 281,664.82 has begun its formal public review and informal Fed- 1976: 522,314 eral review of its management program. Public hear- 1977: 335,000 ings were held in January 1978, and the environ- Total: 1,337,463.82 mental impact statement process was expected to begin in April 1978. In addition, the Commonwealth Current Status continues to refine work being done to enable it to South Carolina began its fourth year of program gain Federal approval of its entire plan for compre- development on October 1, 1977. During the third hensive coastal management, anticipated in August grant year, the State signed into law the Coastal 1978. Management Act of 1977. IV-32 A draft paper on geographic areas of particular General Land Office with the assistance of a State concern was produced this past grant year. The Advisory Committee. draft defines standards and criteria for four area categories, and specific sites will be identified with Authorities these criteria. The draft also produced a description Implementation of the Texas coastal management of existing State laws that affect coastal areas. An program will rely primarily on pre-existing State analysis of existing State law will be used to supple- authorities, especially the powers of the General ment the State Council's management authority. Land Office, and the organizational and acquisition This analysis provides a good basis for the proposed authorities that were enacted during the 1977 legis- networking mechanisms between the State's Coastal lative session. The recently enacted legislation, Council and other State agencies. which was developed by the Texas coastal manage- ment program, included bills creating a Natural Re- Authorities sources Council (NRC) made up of State resource The State legislature in 1977 established the South agencies, another bill establishing the coastal coor- Carolina Coastal Council and gave it permitting dination' responsibilities of the NRC, as well as a authority in critical areas, namely wetlands, beaches, Coastal Wetlands Acquisition Act and a Dredged and dune areas. The, State legislature retained a Materials Act. measure of control over the State coastal manage- ment effort by requiring submission of the completed Virgin Islands program to it for approval. Interim final Rules and Federal Funding Regulations were completed for the South Carolina 1974: $ 90,000 Coastal Zone Act. The State is now working on 1975: identifying gaps in the management authority that 1976: 120,000 must be filled to develop a Federally approved pro- 1977: 180,000 gram. During this fourth year of program develop- Total: 390,000 ment, the State will present a draft coastal zone management plan for review. This draft plan will Current Status address the Section 305 planning requirements for The Virgin Islands is in its third year of funding energy facility planning, shorefront access, and shore for program development. During the early part of erosion planning. this grant year, the Virgin Islands began the formal Texas public review and an informal Federal review of its Federal Funding draft management program. Later in the year, pub- lic hearings were held and comprehensive coastal Program Preparation (Section 305) zone management legislation was drafted and sub- 1974: $ 360,000 mitted to the Senate. At the same time, the Office of 1975: 920,000 Coastal Zone Management began the environmental 1976: 1,115,000 impact statement review process on the Virgin Is- 1977: 940,996 lands management program. In September 1977, the Total: 3,335,996 legislation failed to pass by one vote. The legislation Current Status has been redrafted based on comments from interest groups, legislators, and the coastal zone office. The Texas has begun its fourth year of coastal plan- legislation was to be resubmitted in February 1978. ning with the preparation of a "Working Paper" on A dthorities the Texas Coastal Management Program. The "Working Paper" establishes the issues that will be The proposed legislation provides for direct State the focus of the Texas program: natural hazards control of the Virgin Islands coastal zone, a two-tier protection, freshwater inflows to bays and estuaries, boundary encompassing the whole of the islands and dredge material placement, industrial and energy surrounding territorial islands. Simplified permitting siting, and shorefront access. A major part of the of all development in the first tier, and a set of Texas program effort is the development and imple- comprehensive policies on which permit decisions mentation of an activity assessment routine; a sys- are to be passed. The Department of Conservation tematic process for assessing, in advance, the prob- and Cultural Affairs will be the implementing able economic, environmental, and social effects of agency. specific activities in the coastal zone. The "Working Virginia Paper" has been reviewed by Federal agencie@ and will be revised into a draft management program. Federal Funding The development of the Texas coastal management Program Preparation (Section 305) program has been the responsibility of the Texas 1974: $ 251,044 IV-33 1975: $ 403,520 designing a conflict resolution mechanism; standard- 1976: izing coastal resource data through the development 1977: 754,200 of a coastal atlas; and developing model ordinances Total: 1,408,764 and guidelines for coastal aquatic areas, the Outer Continental Shelf, and the second tier of the coastal Current Status boundaries. Well into its third year 'of program planning, Vir- A uthorities ginia has been primarily involved with data collec- The coastal program is based on the Statewide tion and public discussions of coastal management. Shoreline Management Act of 1971 and other State Responsibility -for administering the program has authorities. changed hands, passing to the Office of Commerce and Resources with dissolution of the Division of Wisconsin State Planning and Community Affairs. Federal Funding During its third year of program development, Program Preparation (Section 305) Virginia defined its management strategy, proce- dures, and organizational requirements in a docu- 1974: $ 208,000 ment entitled "Proposals for Coastal Resources 1975: 570,400 Management." The State has held a series of public 1976: 525,760 hearings based on this document and intends to use 1977: public comments in developing a legislative package Total: 1,304,160 for submission during the 1978 session of the Gen- eral Assembly. Current Status A uthorities Wisconsin has submitted its program for approval. The State is seeking new legislation to meet the The draft environmental impact statement was issued standards of the national coastal management pro- in October 1977. Wisconsin is currently undergoing gram, wi .th submission of legislation scheduled for public and Federal agency review of its coastal program. The lead agency in Wisconsin is the Office early 1978. Enactment of this legislation, which may of State Planning and Energy in the Department of include an amendment to the wetlands law as well Administration. Wisconsin's coastal zone boundary as a major facilities siting bill, is not expected until will be the limits of its 15 coastal counties. Geo- after 1 year of study. graphic areas of management concern have been Washington designated by generic category, as well as on a site- Federal Funding specific basis. The intial 23 site-specific designations will have a duration of 1 to 3 years, after which they Program Preparation (Section 305) will be reevaluated. 1974: $ 388,820 Authorities 1975: 775,000 1976: Among the 30 authorities which will form the 1977: 99,000 Wisconsin program are the State shorelands pro- Total: 1,262,820 gram, powerplant transmission line siting provisions, dredge and fill permit authority, soil erosion controls, Program Management (Section 306) subdivision, and flood control legislation. These 1976: $2,000,000 existing authorities will continue to be exercisR 1977: 1,750,000 by three State agencies: Department of Natural Total: 3,750,000 Resources, Public Services Commission, and the Department of Transportation. These agencies are Current Status bound to act consistently with the Wisconsin Washington has concentrated its first and second coastal policies both by State law and by an execu- year Section 306 funds on enhancing the role of tive order issued by Governor Schreiber in October local governments in the areas of program adminis- 1977. The executive order also established a Coastal tration and enforcement; revising and refining local Management Council that will oversee State master programs; conducting studies in areas of agency implementation, provision of financial and particular concern on issues important to local co, 'in- technical assistance, approval of the program budget, munities as well as State and Federal agencies; intergovernmental coordination, and coastal man- establishing closer Federal agency coordination and agement advocacy. IV-34 Washington State Coastal Zone Program As the first State to have its program approved by tinct phases. The first was between June 1971 when the Secretary of Commerce, Washington has estab- the State legislature acted and November 1972 when lished the effective level of Federal acceptability. the voters sanctioned shoreline management. The That is, other States could not reasonably be asked second was between November 1972 and varying to provide more than Washington. The State has re- times after 1974 when locally prepared master pro- ceived two administration grants under Section 306, grams for the shorelines were prepared. The third the only State to do so through 1977. phase, still not reached in a few jurisdictions, is the While details of the State's program are peculiar administration stage when local governments issue to the specific act on which it is based, the basic the required permits according to the State-approved dynamics of the Washington program, specifically master program and send the required notice of each the State-local government relationship, probably such action to the State. will be representative of those States which gain Washington at first funded the. shoreline activity eventual Federal approval. entirely by itself, perhaps in anticipation of eventual Several features of. the State of W 'ashington's Federal 'assistance. The State was one of the first to coastal zone program are basic to understanding how be funded under the national coastal management it operates. program in May 1974. An initial two-thirds Federal First, the coastal zone management program is grant of $388,820 was followed by a second grant based on a State Shoreline Management Act 115 of $774,000 for program development in July 1975. covering all major inland rivers and lakes, as well as Table 4-7 shows the sequence of major events in the the saltwater coast. Washington State program as they relate to the time- Second, the "program" consists of individually table of the national coastal management program. prepared local master programs by each municipality The real beginning of the program can be dated and county along the coast, developed under broad from 1974, when the first locally prepared master State guidelines. Each "shoreline master program" program was approved and permits were issued reflects the political, social, and economic makeup based on it. Once approved, such programs become of the particular jurisdiction. State law and can only be amended with State ap- Third, State intervention in local development proval. decisions, after approving a local master program, The shoreline management process began with a is concentrated on the first 200 feet inland. The mandatory inventory of resources by local govern- State is given an opportunity to appeal any local ment units. Generally, the work was performed by development decision in this area to an independent existing planning agencies. Of the 15-coastal coun- Shorelines Hearing Board; it does not have the ties, all had already zoned at least part of their land. power to overturn such decisions directly. And the Comprehensive plans bad been ad6 ed by 89 per- jurisdiction of the hearing board does not apply to Pt the land area inland of 200 feet (with exceptions for cent of the coastal cities and 80 percent of the counties. By virtue of the shoreline management re- certain wetlands). Activities beyond the 200-foot quiremen line which would affect the, coastal area are obliged ts of local governments (if a unit failed to to meet the goals of the shoreline program, providing produce a plan, the State was empowered to do so), an opportunity for more extensive State coverage. four planning offices were established and one com- The basic control mechanism operating in the prehensive plan stimulated.611 200-foot coastal area is the requirement that alshore- Following development of the resource inventory, line permit be obtained from the local government, shoreline/coastal programs weredeveloped accord- beyond whatever other permits might be required. ing to State guidelines which spell out both the time- Certain activities are exempt from this permit re- table and the content required. The original dead- quirement, notably construction by the owner of a line was met by less than 10 percent of the statewide single-family house. Homes constructed by a devel- eligible entities; after a 6-morith extension granted oper for sale would require a permit. The thinking was that single-home construction did not create the by the State legislation, half of those eligible sub- qualitative problems prompting adoption of the pre- mitted master programs .67 As of November 1977, gram. Also, the exemption was felt necessary polit- about 200 cities and counties had completed the ically. bnplementation of Pro9mm 66 Jens Sorensen, Researcher, Institute of Urban and Regional Development, University of California. State-Local Collaborative The Washington State program has had three dis- 'Planning: A Growing Trend in Coastal Zone Management. Office of Coastal Zone Management, NOAA, Washington, D.C., October 1977, pp. 5-55. 65 RCW, Chapter 90.58. 67 Ibid. pp. 5-30. IV-35 program development process out of an eligible 229.68 Table 4-7.--Washington State/National Coastal Management key dates The State instructed the cities and counties to prepare programs with five major elements: citizen 1971 1972 1973 1974 1975 1976 1977 involvement, statement of policy, seven planning ele- June June December April March June July ments, categorization of shorelines, and provisions Washington Guidelines to local First funding avail- First local master Washington submits Washington program NOAA makes for variances. The State suggested designating all Shoreline governments issued able for coastal program approved program for ap- approved by Secre- second grant for shoreline coastal areas as belonging to one of four Management by Washington management from by Washington State proval by NOAA tary of Commerce; Washington pro- categories, with future use of the land governed by Act Passed Departmnt of NOAA of $2 million for $1,750,000 this designation. In order of restrictiveness, they Ecology May May program operation were: natural, conservation, rural, and urban. Some NOAA makes pro- NOAA gives "pre- jurisdictions elaborated on these four basic cate- October gram development liminary approval" gories; Seattle, for instance, divides its shoreline into Coastal Zone grant of $388,820 to Washington July seven areas, containing two types of conservation Management program Coastal Zone territory and five subdivisions of the classification Act signed July Management Act "urban." This categorization process has been NOAA makes grant amendments signed termed the "keystone" of the approach taken in November of $775,000 Washington State. Washington voters Localities, naturally, will shape their master pro- approve shoreline December grams in accordance with their perceived needs. For management Washington resub- some, this means restricting use of the shore by out- mits program to siders.69 Others desiring to promote economic devel- NOAA opment have made widespread use of the "urban" classification of their shores to permit the maximum amount of future expansion, and have placed the "conservation" and "natural" classifications on rela- tively few privately owned lands. The negotiating process between State and local officials is essentially a political one, where the State coastal program office attempts to achieve as many of its objectives as it can and local governments pursue their interests to the maximum extent. How effective the process is depends on expectations. To the extent that any alteration of a locally prepared master program is achieved, the State program could be judged successful. Or the same process could be looked at and judged inadequate because the local unit of government has made most of the decisions about future shore use. Characteristics of Program The following characteristics typify the coastal management program in Washington: * The program is dominated by local units of government, the coastal cities and counties. The State Department of Ecology, which administers the program from Olympia, knows it cannot force unpopular policies on a local government and that it is constrained in its ability to persuade a local unit to alter a policy. A University of California researcher who has looked at the pro- gram reports that the State has decided to let communities adopt programs which, while flawed from the standpoint of State objectives, enjoy popu- 68 Communication from Washington Department of Ecology, November 13, 1977. 69 Jens Sorensen, op. cit. note 66, pp. 5-34. IV-36 lar support. As a consequence, locally prepared. public in port projects .71 Generally, the question of coastal "master programs" which initially were re- access is a balancing act between preservation and jected by the State were approved after informal development interests and State and local perspec- negotiations on the second submission, whether or tives; some State departments are seen as too not all of the imperfections were corrected Ila, 11 development-minded by local governments, which * A limitation of the program is its basic 200- use shoreline management as a bargaining tool vis- foot coverage. Except for special wetlands and flood- a-vis the State. plains, prime coverage of the Shoreline Management 9 The program is credited with preventing some Act of 1971 on which the coastal management pro- of the more egregious proposals for use of the coast gram is based is limited to the first 200 feet inland. from surfacing.74 Also, fewer overwater projects The State is trying to persuade counties and cities are being built along the coast .75 to bring their plans for the rest of the coastal area e The program has succeeded in getting more into conformity with the objectives set out for the attention for shoreline impacts at the local level than 200-foot zone. The initial proposal by environ- would be likely without it. mentalists was for a 500-foot zone. 1 0 Enforcement of shoreline permits is a problem. * Two important exemptions from the require- There is only one full-time enforcement person in ment that a permit be obtained for development the City of Seattle to ensure that shoreline permit within the 200-foot zone are owner-built, single- conditions are being met; that person will not be family homes and bulkhead installations, as noted employed in this capacity after 1977 and the func above. Two researchers at the University of Wash- tion will be absorbed by the Building Department. An estimated 20 percent of shoreline permit condi- ington found that single-family homes constituted tions are -ignored .76 More difficult to determine are one half of the development around Puget Soun . the number of projects that proceed without a per- They also found that 90 percent of the work on, mit. Successful prosecution of a blatant violation of Puget Sound shoreline bulkheads, was proceeding the shoreline permit requirement in King County without a special shoreline permit .71 (Seattle) has improved compliance there .77 & Nine of the 15 coastal counties, mostly small 0 The independent Shoreline Hearing Board, to and rural, voted against shoreline management in which the State may appeal local zoning actions it a 1972 referendum. Higher levels of noncompliance disagrees with, has functioned successfully. Its with the program's permit requirement and more chosen method of operation is to search for com- extensive use of the most permissive category for promise, obtaining thereby a scaled-down develop- the coast (the designation "urban") are found in ment proposal. The State is exercising the option to these counties. appeal in limited numbers-102 of the first 3,242 * Twenty-five percent of the State's coast has permits."' been designated an area of Statewide significance, 0 Coastal Zone Management Office funding has which means local governments must abide by a significant impact on local governments. The State specific State policies for the types of uses to be per- is passing through $625,000 this year, meaning that mitted in these areas. Local governments, however, a considerable amount of local administrators' time sometimes use the shoreline use categorization can be given to coastal matters. process to thwart State objectives in recreation or o Environmentalists would like to see a stronger for providing more public access." One place where hand taken by the Department of Ecology, although the State objective of opening up access to the shore they recognize the political difficulties involved. has been successful is with the Port of Seattle, Other issues have-come to the fore, such as the which reports that the most significant impact of the question of supertankers in Puget Sound, to occupy shoreline act was to encourage access points for the the relatively limited resources possessed by environ- mentalists since the height of coastal zone manage- ment activity in the early 1970s .79 Ila Ibid., pp. 5-55. 70 Darrel Peeples, assistant attorney general, State of Wash- 73 Interview, September 13, 1977, Art Yas -hiaka and Keith ington. "Recreation: Marine Promise." NOAA Conference on Christian, Port of Seattle Planning and Research Department. Marine Recreation, Los Angeles, University of California, 1975, 74 Conversations with Nancy Thomas, president, Washington pp. 148. Environmental Council, and Dennis Derickson, planner, Snoho- 71 Maureen McCrea and Jim Feldman. Washington State Shore- mish County, September 13, 1977. line Management: An Interim Assessment. Program in Social 75 Maureen McCrea and Jim Feldman, op. cit. note 72, p. 70. Management and of Technology, University of Washington, 76 Interview, September 13, 1977, Rosemary Horwood, plan- University of Washington, Seattle, 1976, pp. xx. ner, Seattle Department of Community Development. 72 Interview September 12, 1977, with Al O'Donnell, Wash- 77 Jens Sorensen, op. cit. not@ 66, pp. 5-69. ington Department of Natural Resources, and David Heiser, 78 Maureen McCrea and Jim Feldman, op. cit. note 72, p. 70. State Parks and Recreation commission. Also, memo from State 7-9 Interview, September 13, 1977, with Nancy Thomas, presi- Parks Commissioner Charles Odegaard to Governor Daniel dent, Washington Environmental Council (consisting of 70 mem- Evans, May 27, 1976. ber organizations). IV-37 Citizen participation in preparation of the local also traversing several local governments. master programs has been extensive and is regarded e The Washington State coastal program has as one of the strong points of the State program. sponsored an ambitious atlas providing detailed o The program has led to attempts to deal with maps of the coastal area for use by local govern- regional resource issues, such as a bay bordered by ments and others. a number of jurisdictions and the Columbia River, Evaluation Criteria In order to evaluate the coastal zone management - applicant for one or more of the State permits, programs, it will be necessary to examine in detail step-by-step; individual State programs. There is general agree- e Examine "memos of understanding" or other ment that the. merit of the individual State programs means used by the State coastal zone office to influ- will be the key to the overall success or failure of the ence other State agencies' day-to-day operations; coastal management effort, not the number of State obtain an opinion of the legal standing of the in- programs given approval and continued funding. struments; I Evaluations should concentrate on those features * Determine the amount of new data that has of the intrastate and State-local governmental process been assembled by State (and local) coastal program that provide a meaningful picture of how the coastal offices; determine how much existing data has been zone management program is working in practice. transformed to usable information; State programs should be examined for the follow- e Survey a sample of local governments for ing types of information: k changes in zoning permit decision-making brought o Determine the location and size (fulltime per- about as a result of coastal zone management pol- sonnel) of the State coastal zone management pro- icies; find out what additional steps or considerations gram office-, the rank of the executive who is man- are involved because of the program, and how they aging the program on a day-to-day basis; compare are institutionalized; with water quality program office; 9 Obtain the views of diverse interest groups e Ascertain the reporting layers between the about the effectiveness of the program and the de- coastal zone program office and the governor's gree of change it has brought about; office; if possible get an indication of the amount of 9 Examine State coastal zone office expenditures interest in the program on the part of the governor; by general category: personnel (permanent and tem- *Determine the number of outside interest porary), travel, research, consultants, mapping, pass- groups commenting in detail during the formulation through to local governments, and of State programs and on environmental impact o Learn if any use is made of the Federal con- statements; sistency provision of the Act, determine what change *Determine the amount of legislative interest in a Federal agency action was required as a result. (actual votes, hearings, inquiries from legislators, or Preliminary evaluations indicate that delays in other expressions of interest); the extent to which program implementation are probably due to in- coastal zone management is a public issue (by check- herent problems in program design rather than to ing newspaper files for coverage); faulty administration. Three problems in program design have been identified: (1) difficulty with effec- Determine which major State coastal issues and tive land-use planning and zoning, particularly that controversies were handled by the coastal zone office requiring local government to relinquish powers; (2) and which were referred elsewhere in the State gov- absence of positive incentives for State and local emment; participation, since the program is voluntary (as for 9 Survey State line agencies (highways, recrea- the promise of "Federal consistency," GAO found tion, natural resources, port authorities, and others) that States are concerned that the provisions will be for changes they have instituted as a result of coastal "gutted" by Federal interagency agreements); and, zone management policies; that is, what changes in (3) planning is generally a low-level operation in the procedure they attribute to coastal management States, and there is a tendency to want to study for- policies; ever. 9 Determine the State/local permit issuing pro- While inherent difficulties are felt to be primarily cess for key coastal activities such as wetland altera- responsible for the longer-than-expected develop- tion, bulkhead construction, dune alteration, marina ment of the program, administration by the Office of construction, or condominium construction, how it Coastal Zone Management has not escaped criticism. was done previously and how it is done after adop.- Among them are: tion of a coastal zone management program; de- e Inconsistency of direction to the State program scribe the impact of the changes on an individual managers; in other words, shifting directions from IV-38 Washington make it hard for State program man- here. agers to know which direction to pursue; An argument in favor of approving relatively e Failure to sustain a technical information serv- weak State programs is that the continued Federal ice valuable to the States; and involvement, through program operation funding 9 Lack of close monitoring during development (Section 306), provides an opportunity to encourage of State programs, as opposed to providing support. States to meet national objectives in the coastal re- The program is at a critical juncture. Because of gion through this program and its relationship to the inherent difficulties embodied in the coastal zone other, ongoing State authorities. To do otherwise, management program as designed 7 years ago, and according to this line of reasoning, means cutting as discussed in the background and implementation off any chance for the foreseeable future of using the sections, a difficult choice faces the program: should coastal zone management approach to piotect na- relatively weak programs be approved, on the tional interest goals in the coast. grounds that they are the most effective that can The coastal zone office has chosen to make every reasonably be expected, or should the Office of effort to insist on as much authority as it can from Coastal Zone Management/NOAA and the Depart- State agencies to control future coastal activities- ment of Commerce insist on programs matching the and to get as many "approvable" programs as pos- original ambitious design? sible. The dilemma facing the program is the balance There is a direct parallel to this question in the between wanting the strongest possible State man- States. As seen in the discussion of the Washington agement programs on the one hand, and the prac- State program, the State-local relationship is a mirror tical, political difficulties of bringing effective man- image of the Federal-State relationship as described agement programs into being on the other. Alternative Approaches to Coastal Zone Management During the 1978 assessment of the coastal zone The rationale for this suggestion is that the Fed- management effort-whatever the resulting judgment eral Government will have provided States and local as to the program's effectiveness-it would seem communities enough opportunity by fiscal year 1984 appropriate to look at alternative approaches. If the or 1985 in whatis considered by some to be essen- judgment is that the current approach is effective or tially a State-local matter, i.e., control of the uses of is likely to be in time, it will nonetheless be instruc- land and water. This argument holds that the millions tive to look at other possible methods of dealing with of dollars in Federal aid which will have been ex- the problems of coastal resource use. If it is judged pended by then will have helped the States marshal that the current Federal grant-in-aid program is not the scientific and technical information needed to working, and that the problems identified in the make sound decisions and will have provided them early 1970s are still present, then it is incumbent that with sufficient impetus to assume the full respon- some alternative approach or combination of meth- sibility for coastal protection. ods 'be suggested for adoption to achieve wise coastal In many, if,not most, States, withdrawal of Fed- resource use. In that spirit, the following alternatives eral matching aid would either mean the end of the are put forward for discussion purposes. coastal planning and management activity as a sepa- The point of departure is the fundamental precept rate initiative, or at best, a sharp reduction in of coastal zone management itself. Are the original resources available for this effort both at the State objectives of the Act-to protect coastal land and and local level. water resources for their best use by controlling The States and Nation would risk the loss of the development of the area at the State level of govern- technical competence assembled by the States under ment-still valid? Has the national outlook changed this option if there were a cutback or abandonment since 1972 to the extent that a new national objec- of the coastal management initiative. Some suggest, tive for the coastal region should be redefined? Or, however, that a cutback would improve the quality do the methods of achieving the objectives need of effort by weeding out lower priority activity. reexamination? Possible alternatives follow. In arguing against a phase-out of Federal funding, Either Phase Out Federal Support of Coastal the Office, of Coastal Zone Management has stated Zone Management Ovt r 5 to 7 Years or Con- that a phase-out by the mid-1980s would be "re- tinue for 10 Years. neging" on an implied agreement; would compel States to stop their efforts before obtaining operating It has been suggested that NOAA might gradually management programs; would be inconsistent with phase out matching funding support to the States for the action of Congress in 1976 by adding substan- program operation, from the present 80 percent to tially to the program; and, last, would still cost a 20 percent in fiscal year 1983 and presumably zero total of $185 million by fiscal year 1985 with much a year or two after that. of that investment lost for the future. IV-39 The difficulty with the phase-out approach is that for massive appropriations that could be used to it leaves the coastal resource problem in large meas- protect especially valuable coastal areas. ure as it was identified in the late 1960s and early For example, existing Federal land purchase as- 1970s, except that the pressures for development sistance programs could be amended to ensure that have intensified in many areas. a fixed percentage is used in coastal regions. The One alternative of a totally differing nature would Land and Water Conservation Fund, administered be to stretch out Federal support, that is, recognize by the Heritage Conservation and Recreation Serv- the difficulties some States are having in developing ice, which receives a portion of its funds from comprehensive management programs -and provide offshore oil and gas operations, could be directed continued development support for, say, 10 years. to apply a percentage of its matching grants for This, of course, would require a continuation of the coastal recreation. authorization for Section 305 support now due to Some of the other programs already used to pro- expire at the end of fiscal year 1979. This option ect coastal areas might be increased or concen- would leave open the question of how long, and on trated in coastal areas if it were determined to be what basis, program operation funding (Section 306) in the national interest. Examples include the Water might continue. Bank Act and Soil Conservation and Domestic Continue Funding Matching Section 306 Grants Allotment Act in the Agriculture Department, and at a Reduced Rate the Federal Aid in Sport Fishing Restoration Act This recommendation is based on a distinction (Dingell-Johnson Program) and Federal Aid in Wild- between State and national interests in the coastal life Restoration Act (Pittman-Robertson Program) area. The assumption is that the States will be will- in the Department of the Interior. Assistance from ing to assume their responsibilities and fund a larger disparate agencies such as the Economic Develop- portion of Federally approved coastal zone manage- ment Administration in the Department of Com- ment programs which qualify for administrative merce and the Department of Housing and Urban grants than the present 20 percent. Continued Fed- Development also could contribute to the protection eral funding at a lower percentage would ensure that of coastal resources. the State perform those tasks deemed in the national President Carter identified coastal wetlands (as interest, which they might otherwise not undertake. well as inland bodies) and coastal barrier islands as These include facility-siting decisions, operation of two resources to be protected by the Federal Gov- the "Federal consistency" section of the program, ernment in his May 23, 1977, environmental mes- wetland protection, and efforts to reduce disaster sage. He issued an executive order barring agencies damage. from- taking actions leading to wetlands develop- It is not clear how the differential between strictly ment and has requested recommendations on how to State functions and the national interest portion protect the remaining undeveloped barrier islands of would be determined. Nor is there at present a clear the Atlantic and Gulf Coasts. indication of the amount of money needed for this The value of certain coastal resources is such that support. reliance on a zoning-permit program may not always This alternative does not address the question of be sufficient to withstand the tremendous pressures the value of the approved programs in improving for developing coastal properties. In addition to the coastal use decisions. It assumes that there will be Administration's proposed initiatives, it may be ap- a large number of effective State programs, which propriate to examine the utility of a broader "coastal will have the ability to control use of land and resource conservancy" program that could consoli- water in the coastal region. date existing and proposed coastal acquisition and With regard to such national interest questions as regulatory activities and perhaps add authority where protection of wetlands or other valuable coastal needed to provide sufficient coverage to protect re- areas, the question is whether the coastal zone man- sources having national significance. Federal action agement approach is the most cost-effective means could come in the form of payment to property or whether other methods would be more efficient. owners to restrict development (purchase develop- The same holds true for other national interests such ment rights), as in the Water Bank Act (for wildlife as port modernization, energy plant construction, habitat protection), and thus avoid the high cost of and disaster damage reduction. buying coastal territory outright. Such a program *Replace Reliance Upon Zoning and Permit could use the information developed in the coastal management effort to identify and rank the most Issuance With Outright Acquisition valuable coastal features in danger of development Acquisition of critical areas of concern would be as candidates for "coastal resource conservancy" as- a costly option. But there are possible alternative sistance. Other resources could be protected by funding measures which would preclude the need regulation such as wetlands now are. The fund IV-40 could be used in combatting shore erosion or as- development purposes. This alternative would aban- sisting in harbor restoration projects. don the comprehensive approach in favor of one This approach would allow effective control of a focusing on the particular natural features of each wide range of valuable coastal features, such as area whose preservation or protection is important coral, dunes, intertidal areas, islands, or wetlands. to the nation, and which selects prime development Develop a Series of Special Assistance Pro- sites suitable for industrial and commercial develop- ment. The States and local governments would be grams Within the Framework of CZMA given the opportunity to devise their own means of The grants available for purchase of estuarine sanc- providing this protection and, failing that, the Fed- tuaries are in this category, as is the authorization eral Government would intercede. Resources re- for acquisition of islands and access ways to publicly quiring special protection would range from beaches held coastal attractions (Section 315(2) of the Act). to dunes, shellfish beds, coral reefs, bluffs, salt Similarly, the coastal energy impact assistance in Sec- marshes, or islands. ' . tion 308 of the Act is a special assistance program. This approach could be built on the present Proposed in addition by the coastal office is a coastal zone. management program. After internal "coastal fishery management program," aimed at debate on the issue, the Office of Coastal Zone Man- bringing about coordinated, interstate management agemeht determined that the program act did not of fishery habitats in the coast. The specific proposal permit functional segmentation, by which States is to provide funds through the new interstate grant would be assisted in dealing with particular coastal authorization (Section 309) to the Regional Fishery resource problems. Instead, the regulations were Management Councils set up under the Fishery Con- written to permit geographic segmentation only servation and Management Act of 1976. An under- where complete programs are'required for a section lying purpose of the fishery proposal, as with the of a State's coast. There is some thinking in the energy impact assistance, is to provide an incentive coastal management community that the basic Act for States to produce good coastal management pro- does in fact permit a functional segmentation ap- grams in order to qualify for the extra aid. proach and that for some States at least it might Legislation has been introduced proposing Fed- be both a politically easier and more effective eral assistance through the coastal zone management way to proceed. program to help States and communities deal with Recognize the Primacy of Local Control and erosion problems, which are particularly important Base a Coastal Zone Program on Local Gov- in the Great Lakes States. ernments Pinpoint Specific Areas of Critical Concern for This would recognize the reality that land-use Special Protective Measures planning and management in this country remains Another approach would involve identifying those a basic local government responsibility and that any features whose retention in an undeveloped, or attempt by the States to recoup any degree of this nearly undeveloped, condition is in the national jealously protected authority is difficult. Without interest: barrier islands, dunes, or wetlands, for major trade-offs, cities and counties are unlikely to example. Under this proposal, the Federal Govern- relinquish any real measure of their self-determina- ment would direct the States and local governments, tion to those they perceive as a group of State through regulations, to develop effective means of bureaucrats. providing necessary controls over these specified Using a combination of building, health, subdivi- areas if sufficient control did not exist. After a cer- sion, and zoning controls, there is little doubt that tain period of time, if the Federal Government found cities and counties could effectively guide and con- that the State-local governments had not developed trol development in a manner which would protect regulations or other means of control sufficient to coastal resources. The problem is that such controls protect the national interest, the Federal Govern- may well not be in the economic self-interest of the ment would take measures to ensure protection of local community, at least in the short run. An eco- the areas. Such preemption would, of course, cause nomic incentive is needed to persuade communities controversy. The proposal should also include a to protect critical coastal resources and guide devel- mechanism for selecting coastal areas suitable for opment effectively, or in the alternative, a negative development. incentive. Positive incentives could include a credit This approach deviates significantly from the based on local property tax revenues designed to existing coastal zone management effort. The existing compensate a community for restraining develop- program attempts to be comprehensive, i.e., provide ment in coastal regions, a step which might reduce policy for control over all significant use of coastal its potential revenues. This would raise problems in land and water resources for both protection and administration. IV-41 Protection of Coastal Wetlands Barrier islands, beaches, coral reefs and wet- agricultural purposes until well into this century. lands are important habitats for fish and wildlife, Only recently, beginning in the early 1960s, did protection against storm surges, and features enjoyed the public attitude toward wetlands change. Sym- for their recreational value and beauty. Recently, bolizing this change in attitude, these productive, these coastal features have been considered as na- low-lying coastal lands are now termed "wetlands," tional assets to be protected and preserved. This has whereas they were commonly referred to as not always been the case. In fact, early in the Na- "swamps" and "bogs" in the past. Drainage of wet- tion's history it was Federal policy to transform lands has been curtailed. The Soil Conservation coastal wetlands into "usable" real estate. The Service of the Department of Agriculture no longer Swamp Land Acts of 1849, 1859, and 1860 ceded provides assistance for wetland drainage, except in 65 million acres of wetlands to the States for recla- extraordinary cases.s,, mation.110 The Department of Agriculture encouraged 80 Council on Environmental Quality. "Our Nation's Wet- 81 Ibid., p. 70. lands." Draft manuscript. Washington, D.C., 1977, p. 51. Pressures From New Development Recently, new threats to wetlands have emerged. mental movement, this has led to a concerted effort The former major threat from drainage for agri- to protect wetlands at both the State and Federal cultural purposes has been replaced by the adverse levels. impacts resulting from residential construction, com- The current working definition of wetlands, devel- mercial development (e.g., marinas, airports and in- oped by the U.S. Army Corps of Engineers in con- dustry), and use for solid waste disposal. Notwith- junction with the Departments of the Interior and standing the change in public attitude toward coastal Agriculture and the Environmental Protection wetlands, they continue to disappear at a rate of Agency,114 is about 300,000 acres per year. 112 "Those areas that are inundated or sat- The extent of wetland losses over the distant past urated by surface or ground water at a is unknown. The best available estimate of the frequency and duration sufficient to sup- original wetlands in the Nation places the total at port, and that, under normal circum- about 127 million acres. An extensive survey per- stances, do support, a prevalence of vege- formed in 1954 by the Fish and Wildlife Service of tation typically adapted for life in saturated the Department of the Interior estimated the total soil conditions. Wetlands generally include then at 82 million acres (not including Alaska and swamps, marshes, bogs, and similar areas." Hawaii)-a loss of 45 million acres or 35 percent of the area.13 The Fish and Wildlife Service, working cur- Some areas have suffered, significant losses. For rently on a new inventory of wetland resources, has example, the San Francisco Bay Conservation and classified 20 varieties of wetlands, including salt- Development Commission determined that the Bay water marshes, freshwater marshes, swamps, wet has shrunk from 680 square miles to about 400 meadows, bogs, fens, and potholes. The Fish and square miles due to filling of marshes and wetlands. Wildlife Service observes that while saltwater Much of the impetus for protecting wetlands has marshes are particularly valuable and of major na- come from the conservation movement. Fishing tional concern, they comprise only 10 percent of the people, hunters, and naturalists with an interest in total national wetlands.115 wildlife have prompted the preservation of wetland habitats. In conjunction with the general environ- 84 U.S. Army Corps of Engineers. "Regulatory Program of the Corps of Engineers," Federal Register, Vol. 42, No. 138, 92 U.S. Office of the President, President's Environmental Part 11, July 19, 1977, p. 37128. Message, May 23, 1977, p. 13. 85 U.S. Department of the Interior, Fish and Wildlife Service. 83 U.S. Council on Environmental Quality, op. cit. note $0, Wetlands ol the United States, Circular 39, Washington, D.C., p. 83. 1956. 'Importance of Wetlands Coastal wetlands perform a number of valuable exceeds the average production of rich farmland."" functions. They are a prime source of food for a High productivity is due to the unique position of variety of finfish, shellfish, and wildlife. The produc- wetlands, which are enriched by the flow of fresh- tivity of wetlands has been estimated at more than 86 U.S. Council on Environmental Quality, op. cit. note 80, 10 tons of organic matter per acre per year-this p. 25. IV-42 water and subject to daily tidal flooding by saltwater. Because wetlands can assimilate and retain nit4ents, Freshwaters bring minerals and nutrients; seawater they serve as natural filters for nominal amounts of circulates and mixes the nutrients. waterborne pollutants. Wetlands also increase the Because of the natural mixing, the, estuarine envi- oxygen content of water as it passes through the eco- ronment where wetlands are located produces a system and reduce the nutrient loads carried by variety of living organisms, from microscopic species transient waters. to large numbers of fish and shellfish, birds, and The economic value of wet-lands is impossible to animals. Many species, such as clams and oysters, quantify, although dollar values can be assigned to spend their entire life cycles in the estuaries. Others, particular edible products such , as shellfish. The particularly very young shrimp, migrate from the production of fish or wildlife, which are common. sea to estuarine nursery areas. In these rich waters property resources, accrues to society as a whole; they grow to subadult size before returning to the the filling of a marsh for commercial purposes sea to complete their life cycles. The anadromous brings economic return to the owner of the species such as salmon and striped bass, pass through private property, and perhaps a secondary return to the estuaries to their spawning grounds farther up- society as well. The inability to balance long-term, stream, and the young return through the estuaries societal benefits (fish and wildlife production, hazard to the ocean. At least two thirds of the animal popu- protection, and pollution filtration) against imme- lation of the ocean spends an essential po.rtion of diate, tangible economic returns has led to the de- their life cycles in estuarine waters or depend on struction of wetlands and underscores the pressures species that do. Waterfowl use wetlands as riesting to dredge or fill remaining wetland areas. Inflated and feeding areas, as do marsh-dwelling mammals. property values, which continue to increase rapidly Wetlands perform a number of physical functions as available coastal land becomes scarce, is adding and chemical processes that have an intrinsic value. to the developmental pressures. The creation of They store and slow the velocity of flood waters and "new land" by filling coastal marshes, while expen- high tides, thus protecting shorelands. Wetlands also sive, is a relatively cheap means of creating addi- absorb the energy of hurricanes and storm surges. tional real estate. Efforts to Protect Coastal Wetlands Federal Wetland Protection panded review process, known as the "public interest The initial effort toward wetland protection at the review" was 119 national level was in 1967 when legislatidn was in- 44. . . adopted in response to a growing troduced in the Congress to authorize the Secretary national concern for environmental values of the Interior to veto. projects that would damage as they related to our Nation's water re- wetlands. Opposition to this proposal led to com- sources and in response to related Federal promise legislation (Title 16 U.S.C. 1221-1226) legislation, such as the Fish and Wildlife which directed the Department of the Interior to Coordination Act (16 U.S.C. 661 et seq.) make a National Estuary Study, which was com- that required the consideration of some of pleted in 1970 .117 A parallel study on estuarine pollu- these concerns in Federal decision- tion was made by the Federal Water Pollution Con- making." irol Administration. in the Department of the In- terior at about the same time.811 Although the Corps considered a broad range of environmental factors in the public interest review, Rivers and Harbors Act of 1899 (Expanded Review) it restricted its permit coverage to "navigable waters" A major change in the Federal role with regard of the United States. This definition narrowed the to wetlands occurred in 1968 when the U.S. Army Corps' control over dredge and fill operations to Corps of Engineers broadened the basis of its re- only 15 percent of the Nation's wetlands.90 The ex- view of permits for dredging, filling, and the erection panded public interest review procedure was upheld of other structures on navigable waters under Section by the court in Zabel v. Tabb [430 F. 2d 199 (5th 10 of the Rivers and Harbors Act of 1899 (Title 33 Cir., 1970); cert. denied 401 U.S. 910 (1971)] upon U.S.C. 401 et seq.) from strictly navigational con- the denial of a landfill on the grounds that it would siderations to broader ecological concerns. The ex- damage fish and wildlife. In 1972, the Corps ex- panded its definition of "navigable waters" to include waters subject to tidal action. 87 U.S. Department of the Interior, The National -Pstuary Study. Washington, D.C., Government, Printing Office, 1970. 89U.S. Army Corps of Engineers, op. cit. note 84, p. 37122. 88 U.S. Department of the Interior, Federal Water Pollution 90 P. S. Ward. "Section 404: A Controversial Program that Control Administration. The National Estuarine Pollution Study. Grew Like Topsy," Journal ol the Water Pollution Control Washington, D.C., Government Printing Office, 1969. Federation, Washington; D.C., May 1977, p. 730. IV-43 Federal Water Pollution Control Act Amendments mountaineer who wants to protect land against of 1972 storm erosion. The Federal Water Pollution Control Act Amend- Opposition to the enlarged Corps' permit program me 'nts were enacted with the objective of restoring and from agricultural interests was swift. The Secretary maihtaining the quality of the Nation's waters of Agriculture, Earl Butz, further raised the spectre through regulation of the release of pollutants at that "millions of people" might be fined and im- the point of origin. Section 404 of the FWPCA prisoned. Suspicions of the Section 404 program establishes a permit program, administered by the within the agricultural community remain today and U.S. Army Corps of Engineers, to regulate the are reflected in several legislative proposals before discharge of dredged or fill material into "navigable the 94th and 95th Congresses to exclude most agri- waters." Wetlands had been the major repository for cultural and forestry operations from coverage by these materials. the permit program. The Corps continued to restrict the coverage of The Corps proposed to implement the expanded the new Section 404 permit authority to the defini- charter under the FWPCA in three stages: Stage one tion of "navigable waters" which it had adopted would cover traditional navigable waters and nearby under the Section 10 program of the Rivers and wetlands-those areas which were covered by the Harbors Act. A suit, brought by the Natural Re- Section 10 program under the Rivers and Harbors sources Defense Council and the National Wildlife Act. Stage two expanded coverage to primary tribu- Federation, resulted in a decision requiring the Corps taries, navigable stream .s, and all lakes, beginning to institute a dredge/fill permit program in all the in September 1976. The third and final phase began "waters of the United States," as defined in the in July 1977, extending coverage to all remaining FWPCA-an interpretation much broader than waters. "navigable waters" under the original definition.911 The operational definition of the areas covered by In interim final regulations published in 1975, the the Corps' permit programs, which were issued in Corps defined navigable waters 91 to include the final regulations on July 19, 1977, include all "waters of the United States" as specified in the "Coastal waters, wetlands, mudflats, FWPCA, and distinguishes the Section 404 dredge swamps, and similar areas; freshwater and fill permits from the dam and construction per- lakes, rivers and streams that were used mits required for navigable waters in the Rivers and in the past or are susceptible to use to Harbors Act. transport interstate commerce, including There have been two responses to the outcry that all tributaries to these waters; certain greeted the prospect that ordinary farming activities specified intrastate waters, the pollution would be subject to a Corps of Engineers permit: of which would affect interstate commerce; First, the Corps has instituted a "general permit and freshwater wetlands, including program" authorizing minor discharges for which marshes, shallows, swamps and similar individual permits are not needed, e.g., shore pro- areas that are contiguous or adjacent to tection, highway projects, logging roads, erosion con- the above described lakes, rivers and trol, minor buried pipeline crossings, boat ramps, streams, and that are periodically inun- mosquito ditches, bulkheads, highway maintenance, dated and normally characterized by the culverts and other stream crossing structures, fishing prevalence of vegetation that requires sat- reefs, summer dams for water conservation, and urated soil conditions for growth and re- trenching. 94 Second, the Corps announced the issu- production." ance of "nationwide permits," which exempt certain This definition was sustained in subsequent court smaller water bodies and certain types of discharge decisions.93 from the individual permit requirement. The U.S. Army Corps of Engineers' gradual ex- Congress recently reviewed the current Corps per- pansion of its permit authority, first in the scope of mit program dealing with dredge or fill materials. review of permit applications, and later on the In the 94th Congress, the House of Representatives waters to which it applies, was not a linear pro- adopted an amendment to the FWPCA that pro- gression. In 1975, the Corps issued a press release posed to restrict the coverage of the permit program. which included an announcement that Federal per- The Senate adopted a different version; the two mits may be required by the rancher who wants to 94 U.S., Environmental Protection Agency, Fact Shee Imple- enlarge the stock pond, or the farmer who wants to menting Section 404 of P.L. 92-500," spring 1977, p. 2NIthough deepen an irrigation ditch or plow a field, or the initially misunderstood by many, the present program does not regulate normal farming, ranching, and forestry practices that do not involve discharges of dredged or fill materials into waters 91 NRDC v. Callaway, 392 F. Supp. 682 (D.D.C. 1975). of the United States. Thus, the program does not apply to such 92 U.S., Army Corps of Engineers, op. cit. note 84, p. 37124. activities as plowing, seeding, cultivating, and harvesting for 93 U.S. vs. Holland, 373, F. Supp. 665 (M.D. Fla., 1974) et seq. the production -f food, fiber, and forest products. IV-44 bodies were unable to agree in the Conference Com- This 5,900-acre sanctuary is representative of the mittee, and the 94th Congress adjourned without insular biogeographic region. taking final action on the amendments. 4) A'grant of $894,152 has been made to the- Recent amendments to Section 404 of the FWP- State of Ohio to assist with acquisition of the Old CA enacted by the 95th Congress (Clean Water Woman's Creek Sanctuary. The 637-acre site will Act of 1977) provide for increased State determina- be a sample of a Great Lakes biogeographic region tion of normal farming, silvicultural, and mining estuary. activities and also for the issuance of general, re- 5) In Oregon, the South Slough of Coos Bay is gional, or national wetland management permits.9-1 the site of a 4,200-acre sanctuary, a sample of the The amendment conforms to the recommendations Columbian biogeographic region. Grants totaling of President Carter in his environmental message to $1,804,813 have been made, and acquisition of the allow States to "assume responsibility for carrying land was 74 percent complete at the end of fiscal gut major portions of this [Section 404] program." 96 year 1977. The amendments to Section 404 also exempt Fed- .Both the Sapelo Island and South Slough sanctu- eral projects from the permit requirements if the aries are considered operational; the other three are project is undertaken solely by the Federal Govern- in the real estate appraisal stage. ment, subject to procedural limitations. To qualify The Coastal Zone Management office projects a for exemption from dredge or fill permits, projects total of 18 to 20 different types of estuarine areas must, in addition to being fully funded by the Fed- in th.e.country as the optimum number needed for eral Government, be directly authorized by the Con- acquisition to preserve a sample of each type of gress. Moreover, an environmental impact statement estuarine area. (EIS) must be submitted to Congress before authori- Other Related Federal Statutes zation or appropriation action. The EIS must in- The Fish and Wildlife Coordination Act (Title 16 clude a detailed description of all environmental U.S.C. 661-667a), operating through an interagency effects expected to result from the project. agreement, provides for all Corps permit applications Estuarine Sanctuaries (Coastal Zone Management to be reviewed by the Fish and Wildlife Service of Act) the Department of the Interior as well as by the En- The Coastal Zone Management Act rSection vironmental Protection Agency, and the National 315(l)] authorizes the Secretary of Commerce'to Oceanic and Atmospheric Administration (NOAA) make-matching grants of up to 50 percent to States in the case -of. permits affecting the marine environ- setting aside estuarine areas for research purposes. ment. Any Federal agency's proposed modification The concept is that by keeping a representative of a water resource is subject to review. The National Environmental Policy Act of 1969 number of estuarine areas in natural or near-natural (NEPA) (Title 42 U S.C. 4321-4347) is landmark states, field laboratories will be provided to re@ legislation that requires Federal agencies to consider searchers to measure changes in similar, but unpro- all environmental aspects of each permit application, tected, areas. or other "Federal action," and provide for citizen Five national estuarine sanctuaries were desig- participation and public intervention in the decision- nated at the end of fiscal year 1977. They are: making process. 1) In Florida, the Rookery Bay Sanctuary, Three Federal assistance programs have been in- totaling 8,500 acres (6,000 acres of which are al- strumental in acquiring, protecting, and, in some ready protected). It is an example of a West Indian cases, developing wetlands and beach areas. The biogeographic region estuary. Federal grant: $I,- Pittman-Robinson Act of 1937, based on a tax on 500,000, sporting goods earmarked for the States, has been 2) In Georgia, a 6,150-acre sanctuary has been used extensively in coastal States to acquire and established on Sapelo Island. It is a sample of the protect wetlands. The Fish and Wildlife Service has Carolinian biogeographic area estuary. Two grants administered the act. Funds from the Land and totaling $1,550,000 have been made, and acquisition Water Conservation Fund have been used for coastal has been completed. acquisition, protection, and development as well as 3) A grant of $200,000 has been awarded to for developing boat launching areas and access ways, Hawaii to assist in acquiring the Waimanu Valley constructing fishing piers, and developing artificial estuary on the north coast of the island of Hawaii. reefs. The Dingell-Johnson program (based on a Federal tax on fishing equipment) has been ear- marked for the States and administered also by the 95 U.S. Senate. Clean Water Act of 1977. Report. Washington, Fish and Wildlife Service. It has been used to pur- D.C., Government Printing Office, 1977, pp. 199. chase fish habitats, thereby providing additional wet- 96 U.S. Office of the President, op. cit. note 82, p. 13. land protection. IV-45 State Wetland Protection lands through its shoreland zoning act and dredge and With responsibility for wetland protection moving fill permits in navigable waters; Oregon, where the toward State administration of dredge and fill activ- State land use program is the vehicle; and Florida, ities, the future success of wetland preservation will where the Keys are under the protection of a critical depend upon the effectiveness with which the coastal area program. The South Carolina Coastal Act, States can deal with the conflicting pressures for adopted in May 1977, expressly provides a State development on one hand and environmental pro- permit program for wetlands as a key function of tection on the other. Local governments view State its coastal council. intervention in land-use matters with equally as Eleven States provide for direct regulation of wet- much disdain as States have viewed the intervention lands under the State police powers, although there of the Federal Government. The extent to which the is a cu'rrent trend to modify this power with more States will be able to manage and resolve the con- authority being claimed by local governments and flicts and effectively protect wetland values is yet to municipalities. Generally, the statutes authorize a be determined. natural resource or water resource agency to issue Thirteen coastal States have laws specifically pro- permits for specific activities, according to criteria tecting wetlands. The first was Massachusetts in specified in the statute. Another approach, first 1963. In addition, statutes in 17 coastal States pro- undertaken by Massachusetts, is to issue administra- vide some measure of protection for wetlands as tive orders for specific wetland areas, designating part of general environmental or land-use programs. what can and cannot be undertaken in a specific The 13 States with direct wetland controls are: geographical region. If the order is determined by Connecticut, Delaware, Georgia, Maine, Maryland, the court to constitute a taking of private property, Massachusetts, Mississippi, New Hampshire, New the State acquires the property in fee under its power Jersey, New York, North Carolina, Rhode Island, of eminent domain or acquires an easement for the and Virginia. States having broader multipurpose area. programs that include wetland protection compo- Four States (Virginia, Connecticut, New York, nents are: Alabama, California, Delaware, Florida, and Massachusetts) rely on local governments to Hawaii, Maine, Maryland, Minnesota, New Jersey, administer a permit program to regulate use of wet- North Carolina, Oregon, Rhode Island, South Caro- lands in accordance with State guidelines for mini- lina, Texas, Virginia, Washington, and Wisconsin .97 mum standards. State standard-setting for local In some cases, States have both types of laws. administration is also featured in the broader multi- Sample States which exercise control over the use purpose shoreland and coastal zone acts operating of wetlands include: I Wisconsin, which regulates wet- in a number of States which provide wetlands pro- tection, namely California, Maine, Minnesota, North 97 Environmental Law Institute, "Strengthening State Wetland Carolina, and Wisconsin. A listing of State coastal Regulatio.n," Draft manuscript, Appendix A and B. Washington, D.C., 1977. wetland laws follows: State Statute Citation Connecticut Coastal wetlands Ch. 440, Sec. 22a-28 to 22a-31 Delaware Coastal wetlands Title 7, See. 6601 et seq. to Georgia Coastal wetlands See. 45-136-45-147 Maine Coastal wetlands Title 38, Sec. 471 et seq. Title 12, Sec. 4751 to 4758 Maryland Coastal wetlands Title 9, Sec. 9-101 et seq. Massachusetts Coastal wetlands Ch. 130, See. 105 Coastal and inland Ch. 13 1, Sec. 40 wetlands Mississippi Coastal wetlands 49-27-3 et seq. New Hampshire Coastal and inland 483-A;I-a wetlands New Jersey Coastal wetlands 13:9A-2 New York Tidal wetlands Sec. 25-0101 et seq. Environmental Conservation Law North Carolina Coastal wetlands 113-228 et seq. Rhode Island Coastal wetlands 2-1-13 et seq. Virginia Coastal wetlands 11-46.1-1 Coastal wetlands 62.1-13 et seq. IV-46 A listing of State laws that include wetland regulatory components follows: State Type of statute Citation Alabama Coastal area Title 8, sec. 312-320 California Coastal area Pub. Res. Code 27000-27650 Delaware Coastal zone Title 7 See. 7001-7013 Florida Comprehensive Critical 380.05-380.055 Areas Act Hawaii Coastal shoreline 205-31 to 205-37 setbacks Statewide zoning 205-2 Maine Shorelands Title 12, sec. 4811-48-14 Critical areas Title 5, sec. 3310-3314 Maryland Areas of critical Article 88C State concern Minnesota Shorelands 105.485 Comprehensive Criti- 116G.O. to 116G.14 cal Areas Act New Jersey Coastal areas 13.19-2 North Carolina Coastal areas 113A-100 to 113A-129 Areas of environmental 113A-114 to 113A-129 concern Oregon Beach area 390.605 to 390.990 Zoning 215.505 Rhode Island Coastal areas 46-23-1 South Carolina Coastal areas (R204, S280 signed May 24, 1977) Texas Public coastal areas 5415-1 Virginia Critical environmental 10-187 to 10-196 areas Washington Shorelines 90.58.010 to 90.59.930 Wisconsin Areas of critical or 89-849 to 89-862 more than local concern Local governments are claiming a larger role in local conservation commissions. Similarly, determining the use and control of land and develop- a recent task force appointed by the Gov- ment within their jurisdictions. The implication of ernor of Rhode Island to review the state this trend for wetland protection under the shifting inland wetland law, strongly urged an focus of police power within the States is significant. increased local role. The Maine coastal According to a recent study of State wetland pro- wetland act and the New Hampshire in- grams undertaken by the Environmental Law Insti- land wetland acts have also been amended tute (ELI), the State-local relationship with respect to increase local responsibility. Basic to wetlands is changing in the direction of greater enabling statutes in Virginia, Connecticut local involvement. After examining the State laws (inland wetlands) and New York (inland and discussing program administration with State wetlands) place primary responsibility for and local officials, the ELI study 98 concluded that, wetland regulation at the local level." "Despite some misgivings, state wetlands Thus, while initial State actions with regard to programs have moved toward increased wetlands came both because the wetland resource local involvement. For example, the Mas- often spans two or more local jurisdictions, and be- sachusetts coastal program which orig- cause of the concern that local governments lacked inally placed primary permitting respon- resources and expertise to deal effectively with wet- sibility at the state level has shifted land problems, there appears to be a shift back primary permit evaluation responsibility to toward local control. The trend toward a stronger local role in land use decisions is also reflected in 98 Environmental Law Institute, op. cit. note 97, p. 59. general coastal management. Marine Recreation The Nationwide Outdoor Recreation Plan pre- Bureau of Outdoor Recreation), which was released pared by the Department of the Interior's Heritage in 1974, concluded that water was the nucleus for Conservation and Recreation Service (formerly IV-47 most outdoor recreation activities.19 A similar con- nearly 10 years ago, and the number is even larger clusion was reached by the Stratton Commission in today. 104 its investigation of ocean and coastal issues released Overall park use in the Nation is on the increase, in 1969: "Outdoor recreation is becoming a massive after a temporary setback during the fuel shortage rush to the water," concluded its Panel -on Marine of 1974. The National Park Service reported nearly Resources.100 The most comprehensive evaluation of 239 million visitors in 1975, up 7.5 percent from the recreation to date, the Report of the Outdoor previous year .105 Similar increases were recorded in Recreation Resources Commission in 1962, reached National Seashores and other marine-oriented facil- the same conclusion.lo:L ities. As a result, the most direct, personal public in- To the generally middle-income recreational activ- volvement with the coastal region for the general ities of boating or offshore fishing, which are capital- public is related to the quest for recreational experi- intensive, must be added the recreational needs of ences. The lure of the coast attracts massive numbers the residents of the inner cities of the large coastal of people from the interior of the Nation as well cities who are generally less mobile and less able to as from the adjacent coastal States themselves. There afford expensive recreational activities. Some of the are several indications that this is so: needs of inner city residents are met by the parks a Recreational Fishing-In 1970, the Bureau of the and other public areas along the coast; however, Census found that about 9.5 million people over additional needs of this urban group must be con- 12 years old went saltwater fishing three or more sidered in the context of the inner city where the times per year and spent more than $7.50 per people live."' trip. Another study by the National Marine Marine recreation is an economic stimulant. Sec- Fisheries Service, which included crabbing, clarn- ond homes and commercial developments serving the ming, and oystering, found nearly 11 million ma- recreational public generate tax revenues for States rine recreational fishermen in 13 northeastern and local units of government. The tourist "industry" States. The rate of increase in fishing participation in general is enormous; according to the National was estimated at over 6 percent per year. 1112 The Tourism Resources Review Commission, Americans Heritage Conservation and Recreation Service spent $22.1 billion on travel and tourism in 1960- estimates participation in 1975 has grown to 207 61 and $47.5 billion in 1970, and will spend an million days of saltwater fishing, resulting in the estimated $119.7 billion in 1980. Most of the activ- expenditure of $3.4 billion. ity takes place during the summer (36.5 percent), and the car was the means of transportation in 681/2 Boating-Recreational boating is a rapidly grow- percent of the cases.101 A major part of the expendi- ing activity. The Coast Guard in 1976 estimated tures ior travel and tourism was spent in the coastal that there were 12.7 million recreational boats in region. the country; tbree-quarters were powerbo.ats.103 There are several major public policy issues in- Beach Recreation-A broad cross-section of the volved in meeting the Nation's marine recreational general public uses coastal beaches as a recrea- needs: (1) provision for public access to coastal tional outlet. Millions visit the public beaches areas, (2) provision of recreational opportunities near urban areas, such as Jones Beach or Coney equitably among various sectors of society, and Island in the New York City metropolitan area, (3) problems of dedicating public areas for specific and the beaches of Southern California. More uses that restrict alternative use by others. than 70 million visited Long Island public beaches The Federal Government is limited in its ability to deal effectively with these problems. Much of the 99 U,S. Department of the Interior. The Recreation Imperative: responsibility and legal authority lies with the States. The Nationwide outdoor Recreation Plan. Published by the U.S. The access-ownership question is intimately tied to Congress, Senate, Committee on interior and Insular Affairs, State law and local customs. The equitable redis- 93d Cong., 2d sess. Washington, D.C., Government Printing tribution of recreational opportunities among the Office, 1974, p. 171. 1001'anel Reports of the Commission on Marine Science, various sectors of society could involve major infu- Engineering, and Resources. Volume 3, Marine Resources and Legal-Political Arrangements for Their Development, Panel VII, Report of the Panel on Marine Resources. Washington, D.C., 104 U.S. Army Corps of Engineers. National Shoreline Study. Government Printing Office, 1969, pp. VII-235. Washington, D.C., Government Printing Office, 1974, p. 182. 101U.S. Outdoor Recreation Resources Review Commission. 105 U.S. Department of Commerce, Bureau of the Census, Outdoor Recreation in America. Washington, D.C., Government Status September 1976. Washington, D.C., Government Printing Printing Office, 1962, p. 4. Office, 1976. 102U.S. Department of Commerce, National Oceanic and 106New Jersey Department of Environmental Protection. Atmospheric Administration. Recreation-Marine Promise: Na- Statewide Comprehensive Outdoor Recreation Plan. Trenton, tional Conference on Marine Recreation. Washington, D.C., N.J., 1973, p, 137. 1975, p. 74. 107 U.S. National Tourism Resources Review Commission. 103 U.S. Coast Guard. Nationwide Boating Survey. Springfield, Destination USA. Washington, D.C., Government Printing Office, Va., National Technical Information Service, 1975. 1973, p. 1. IV-49 sions of public funds and a certain amount of examples of waterfront restoration projects. societal dislocation. Conflicts among competing rec- The growing demands for the recreational use of reational interests is complicated by the virtual im- coastal lands and waters must be considered in the possibility of reaching a consensus among divergent context of the finite extent of the coastal area, its public and private interests, some of which are rep- development for private use, and the spiraling cost resented by powerful lobbying forces. There is con- of land acquisition to preserve such land for use by flict between recreational and preservation interests. the public. As an example: A stretch of beach less Meeting urban recreational needs in the- coastal than 1,000 feet long in Boca Raton, Fla., recently region is perhaps the greatest immediate problem commanded a price of $3.7 million. Land prices and may also offer the greatest opportunity for near major metropolitan areas are even more drama- innovation and success to the States, cities and Fed- tic. The reservation of major portions of coastal eral Government. Several cities have projects to re- land for public use is nearly impossible given the vive older, often historic, waterfront facilities made inflated coastal land values, the uncertain financial obsolete by changing patterns of maritime trans- conditions of cities and States that find operating portation. In addition to attracting tourists and costs outdistancing tax revenues, and the limited serving as residential and commercial centers, re- amount of Federal funds available for land acqui- vitalized waterfront areas often included recreational sition through the Land and Water Conservation opportunities for nearby residents. San Francisco, Fund. Boston, Newport, and Savannah are outstanding Public Access to the Coasts Public access to beaches is a two-part problem: plication is more the exception than the rule. Most First, who retains rights to the use of beaches? States continue to recognize 'the right of property, Where does private, property end and where do whether for coastal beach access or use of the beach rights to public use begin? Second, if ownership of itself. Most States also permit local government to the beach margin is retained by the public, how does limit the use of beaches to in*dividuals based on prop- the public gain access to the shoreline across private erty ownership or residence within the jurisdiction property? These questions are complicated, because, of the local government. under the. American system of common law, each The concepts of public use continue to change State is a separate sovereign and establishes its rules however. In 1976, the Georgia Court expanded of law, according to the historical customs and public beach use in that State from the low-tide line societal mores within that State. The evolution of to the high-tide mark.108 Other complex legal ques- State law from the Napoleonic Code in. Louisiana, tions continue to arise, such as whether the public or Spanish land grants in Texas, can lead to sig- beach area expands when new beach is formed over nificantly different rules of law than those of the the old existing tide lines or do the private rights of States making up the, 13 original English colonies. adjoining property owners move seaward, pushing (See Appendix B.) Furthermore, each State has its the public areas out to the newly defined high-tide own unique problems that tend to influence the evo- line? lution of law governing coastal use. Oregon, Texas, and the Virgin Islands have enacted Four legal theories are cited as entitling members so-called "open beaches" laws in an effort to dis- of the public to the use-as distinguished from own- tinguish the public and private rights to beach use ership--of beaches: (1) public trust doctrine, (2) by statute. theory of implied dedication. (3) customar-v ri2hts The Texas statute was enacted in 1959 (Texas doctrine, and (4) theory of prescriptive easements. Ann. Stat., Sec. 5415(d), Vernon Supp., 1972). The last three theories are based upon the concepts Sponsored by State representative (now U.S. Con- of adverse possession and prescriptive rights and are gressman) Robert C. Eckhardt, the Texas law seeks grounded in the historical beneficial use of property to: (1) preserve the public's rights to the use of by the public which in time ripens to a legal right, State-owned and wet sand beach and so much of the although that property may have been in private dry sand beach as would be allowed under State com- ownership originally. The trust doctrine, however, mon law; and (2) acquire a public right to use the embodies the concept'of sovereignty-residing in a dry sand beach based on a legal presumption of a governmental entity-which holds certain lands "in reserved right of the public to use that area, notwith- trust" for the public. Thus, the public interest in standing a grant by the State to a private owner. The such lands is paramount to all private interests. Texas model has been introduced by Congressman While these four legal theories form the basis for resolving the issues of public vis-a-vis private rights 1- State of Georgia v. Ashmore et al., February 24, 1976, in beaches within several coastal States, their ap- 236 GA. 401. IV-49 Eckhardt as a national legislative proposal in the The Virgin Islands enacted the "Open Shorelines" 91st through 94th Congresses. statute in 1971 (12 V.I.C. 13). In addition to pro- Oregon has enacted two statutes which deal with viding for beach use by the public, it created an public use of beaches: (1) Oswald-West Act (1910) Open Beaches Committee, which was authorized to and (2) the "Beach Bill" in 1967 (ORS 390.600). make a comprehensive study of the Virgin Islands The former, based on Roman law, declares all the shoreline, including a survey of the public-private State's wet sand beaches to be public highways. The ownership boundaries, maps of public access routes, latter declares it to be a matter of State policy to and a classification of beach uses. It defines the maintain the sovereignty of the State "heretofore shoreline as the area between the low-tide line and legally existing over the ocean shore," so that the either (1) 50 feet shoreward, or (2) the natural vege- public can have the "free and uninterrupted use tation line "which spreads continually inland," or thereof." Control of the shoreline between mean (3) a natural barrier-whichever of these distances low and mean high tide was vested in the State to was the least. Its constitutionality was upheld in the preserve the public's right to use the beaches, and Bolongo Beach Case (VIDC No. 74-339, affd. 3d authority for the State to acquire access across pri- Cir., No. 75-1242 (1976)). The Virgin Islands vate property for the benefit of the public was statute does not provide for public access across granted concurrently. private lands behind the defined shoreline. Access to Public Beaches Wherever the line of demarcation between private may affect the dunes, vegetation, and other natural and public ownership (right to use) may be-mean features.110 high-tide line or mean low-tide line-the adjoining Publlic Beach Resources inland area is often private property. In many cases the public may have theoretical rights to beach use, According to surveys undertaken by the Outdoor but is often unable to gain access across the private Recreation Resources Review Commission in 1962 dry sand beach. This is the case in California and and the U.S. Army Corps of Engineers Shoreline Washington, for example. Study in 1971, about 6 percent of the Nation's total In some states, traditional usage allows the pub- shoreline is in public ownership. This figure is sub- lic a de facto right to transit and use the dry sand Ject to considerable error, however, because sound beaches; private property owners have the legal Tight data are not available on city and county coastal to exclude the public from these areas, but do not. holdings identified on the basis of accessibility by This mode of customary usage exists in Florida and fee or general admission; nor are data available for South Carolina. Federal installations with beachfront that might be Frequently, the general public may be excluded accessible for limited recreational purposes. from entire reaches of municipal beaches, where pri- . The most thorough review of public beach re- vate homeowners in a municipality resist the use of sources was performed by George Washington Uni- "their" public beaches by nonresidents. In New versity in 1962, in conjunction with the Recreation England many municipal beaches are either restricted Review Commission (table 4-7). These data must be to town residents or available only for a fee. Parking considered approximate, however. '"I facilities are often limited or prohibited. As one Since these data were collected, the public coastal journalist observed, "Any citizen can use the beach recreation estate has increased, owing in large meas- at East Hampton, Long Island, as long as he is will- ure to the Land and Water Conservation Fund, ing to leave his car near Times Square and walk the which the Recreation Review Commission recom- rest of the way." 109 mended in 1962. In particular, the Nation's author- While town beaches are under the control of a ized or existing National Lakeshores and Seashores municipality, State and Federal facilities along the have increased considerably since the early 1960s coast are open to the general public. The access (table 4-8). problem for such areas may simply be lack of avail- In an attempt to update the information on shore- able parking. The Cape Cod National Seashore in front ownership and determine the amount of wet Massachusetts, for instance, is plagued by this prob- or dry sand beach in public/private ownership by lem. The National Park Service limits parking avail- States, a questionnaire was distributed to each of ability as a means of controlling crowding, which - 1) U.S. Department of Transportation. Recreation Access Study. Washington, D.C., Government Printing Office, 1975, p. 139. Calvin Trillin. "Some Reflections on Sand as Real Estate," "I George Washington University. Shoreline Recreation Re- The New Yorker, November 1972. source of the United States. Washington, D.C., 1962, p. 12. IV-50 Table 4-7.-Statute miles of detailed shoreline, recreation shoreline, public recreation shoreline, and restricted shoreline, by major coastlines Detailed Recreation Public recreation Restricted Shoreline location shoreline shoreline shoreline shoreline 2 Atlantic Ocean .................... 28,377 9,961 336 263 Gulf of Mexico ................... 17,437 4,319 121 134 Pacific Ocean ..................... 7,863 3,175 296 127 Great Lakes ...................... 5,480 4,269 456 57 U.S. total .................... 59,157 21,724 1,209 581 'Compiled from data developed by the National Ocean Suivey, National Oceanic and Atmospheric Administration. Excludes Alaska and Hawaii. The shoreline includes beaches, bluffs, and marshes. 2Military installations. Table 4-8.-National seashores, lakeshores, and gateways Federal Total Name and location Date acres acres Apostle Islands National Lakeshore, WL 9-26-70 27,093 42,216 Assateaque Island National Seashore, MD.-VA. 9-21-65 16,095 39,630 Canaveral National Seashore, FL. 1-3-75 41,024 57,627 Cape Cod National Seashore, MA. 8-7-61 25,744 44,600 Cape Hatteras National Seashore, NC. 8-17-37 30,325 30,326 Cape Lookout National Seashore, NC. 3-10-66 24,223 28,400 Cumberland Island National Seashore, GA. 10-23-72 15,631 36,876 Fire Island National Seashore, NJ. 10-9-65 5,945 19,356 Gateway National Recreation Area, NY.-NJ. 10-27-72 20,391 26,172 Golden Gate National Recreation Area, CA. 10-27-72 20,014 34,938 Gulf Islands National Seashore, FL.-MI. 1-8-71 75,806 142,062 Indiana Dunes National Lakeshore, IN. 11-5-66 4,476 12,534 Padre Island National Seashore, TX 4-6-68 132,202 133,918 Pictured Rocks National Lakeshore, MI. 10-15-66 35,339 70,822 Point Reyes National Seashore, CA. 10-20-72 61043 65,299 Sleeping Bear Dunes National Lakeshore, MI. 10-21-70 26:608 71,105 1 Status as of June 30, 1977. the State coastal zone management offices which re- New Jersey is a case where control of the shore ceived Federal matching funds to prepare shore ac- by municipalities is the dominant factor. Over one- cess plans from NOAA's Office of Coastal Zone half of that State's shore is owned by coastal cities Management (Appendix Q. and towns, which may. or may not lead to prefer- The responses to the questionnaire provide specific ential policies for local residents. examples of the various types of problems associated South Carolina is an illustration of a State where with public use of beaches and shore. private holding of the coast is the rule. Over 100 The problem presented by the public having legal miles of the State's coast is in private ownership as rights to the lower or wet portion of the beach while opposed to 65 miles in one -form or another of pub- the upper or dry sand area remains in private hands lic ownership. is well illustrkted in California. The questionnaire response, while varying in de- Another major problem is demonstrated in both gree of detail and partial in coverage, illustrates in California and Florida where the land adjoining specifics the range of problems discussed in this sec- public coastal territory is in private hands. In Flor- tion. ida's case, nearly three-quarters of this land is pri- vately held. Expanding the Public Beach Resource In Maine the questionnaire response points up one There are three forms of legal interest in land that of the problems posed by customary State law. In provide the right of access: (1) ownership-posses- that State, as. well as in others, private ownership sion of title to the real estate, (2) easement-the of the coast is permitted to the low-tide water mark. right to enter, use, or pass across land owned by This effectively blocks public use of the shore if another without affecting the title of the owner; and private owners are permitted to enforce their rights. (3) tenancy-leaser retains all of the rights of the IV-51 owner, based upon a contractual agreement. All "The State has considerable difficulty util- three of these approaches have a role in providing izing all [Heritage Conservation and Rec- additional coastal resources for public use. reation Service] recreation funds within each disbursement year, even with local Acquisition by Purchase units of government and private donors Purchase of coastal property in fee simple is the contributing matching funds." most direct and positive means of acquiring public Similarly, New Hampshire reports an inability to beach and similar facilities. Federal aid in the form acquire coastal lands for recreation because the State of matching grants to the States for purcliase of is unable to match the major assistance programs of recreational land, or transfer of excess Government the Department of the Interior. The States are finding land to the States, is available under several pro- it increasingly difficult to raise matching funds in grams administered by Federal agencies. order to participate in the numerous Federal progams The Land and Water Conservation Fund Act of requiring Federal-State cost sharing. 1965 provides. the bulk of Federal funds available for purchases of recreational lands by the States and Table 4-9,Total acquisitions by States in coastal Federal agencies. The Fund has been expanded in counties compared with total Statewide acquisition recent years and now has a maximum authorization from the Land and Water Conservation Fund level of $900 million per year through 1989. The Fund, which is available for purchase of recreational Coastal Per- land in any State, has been used extensively by the county Statewide cent- coastal States to acquire property in coastal counties State purchases purchases age (table 4-9). The information available provides no Alaska $ 4,013,575.00 $ 5,431,424.50 73 indication whether the funds expended in coastal Oregon 3,237,536.60 14,569,812.77 22 countiesmere for shoreland or inland facilities. Washington 7,987,953.46 12,541,425.73 64 States have used their Statewide recreation plans California 48,651,484.23 64,092,765.87 76 to emphasize a need for acquisition and development Hawaii 7,417,963.95 7,956,322.95 93 American Samoa 67,650.00 67,650.00 100 of coastal areas, as well as for providing access to Guam 15,000.00 79,000.00 19 the coast. The Florida plan has directed that State's Illinois 21,298,551.78 48,284,595.19 44 efforts toward providing accessibility to water recrea- Indiana 360,234.85 8,114,770.27 4 tion areas, particularly coastal areas, for both ex- Michigan 9,510,374.34 18,218,671.00 52 tensive recreation use and preservation purposes Minnesota 298,592.00 16,118,140.69 2 Ohio 12,177,162.56 29,045,565.50 42 with limited recreation use. South Carolina and New Wisconsin 4,070,620.86 16,413,422.33 25 Jersey have had several large projects that enabled Alabama 333,079.12 3,020,289.45 11 them to protect permanently extensive salt marshes Florida 23,858,009.45 29,327,216.00 81 and barrier beach fronts from development while Georgia 436,500.00 10,409,070.23 4 Mississippi 74,542.00 2,193,803.49 3 affording a number of outdoor uses on these lands North Carolina 2,414,779.54 10,729,165.45 22 and waters. Connecticut has been able to acquire South Carolina 2,779,777.97 7,394,460.22 37 several outstanding beaches through the program. Puerto Rico 367,985.00 480,969.00 76 California has used significant amounts of the fund Virgin Islands 253 ' 740.25 818,984.11 31 Connecticut 13,992,301.28 19,054,021.41 73 for both acquisition and development of facilities Delaware 9,454,260.88 9,554,260.88 98 that have increased recieational use of the coastal Maine 3,362,578.47 6,783,782.02 49 zone. Washington has used a significant portion of Maryland 11,850,059.49 19,843,281.91 60 the fund for both large acquisition projects as well Massachusetts 4,703,339.47 15,078,365.02 31 as numerous small projects such as boat access and New Hampshire 94,139.25 3,642,023.97 2 New Jersey 6,021,381.42 14,008,542.66 43 parking areas that provide access to coastal lands New York 10,925,448.98 17,280,443.50 63 and waters. Texas has acquired several coastal areas Pennsylvania 850,759.97 7,644,322.85 11 including a 2,000-acre state park. On the Great Rhode Island 3,131,186.47 3,191,922.35 98 Lakes, a number of boat access and parking areas Virginia 6,741,546.26 21,106,484.17 32 Louisiana 7,783,450.21 12,236,407.79 63 have.been acquired and developed, which has sig- Texas 6,837,268.55 17,096,254.97 40 nificantly increased access to those waters in the States of Michigan, New York, Pennsylvania, and I This analysis was prepared by the Office of Coastal Zone Management, NOAA, from data supplied by the Heritage Con- Wisconsin. servation and Recreation Service, Department of the Interior. Data Limits on the amount of State money available for 'are cumulative figures from the implementation of the fund through December 31, 1976. matching Federal grants, however, reduce the prac- tical effectiveness of the Land and Water Conserva- 112 Letter from Daniel Varin, Chief, Department of Adminis- tration, Rhode Island, to Robert Knecht, Acting Associate Ad- tion Fund and other matching grant prograrn@. ministrator, Office of Coastal Zone Management, NOAA, June Rhode Island has commented "I that, 27, 1977. IV-52 0 A number of innovative approaches to raise funds (2) acquisition and resale with restrictions on future for acquisition have been suggested. The Shoreline use, and (3) acquisition by gift with possible restric- Protection Alliance of Honolulu has proposed a pos- tions. sible State-level solution, at least for States with large tourist businesses. In order to raise the funds needed Acquisition by Easement to buy expensive coastal property in Hawaii, the Methods of acquiring public use of property short alliance proposes a 4 percent hotel tax with the of outright purchase can include the following: (1) proceeds earmarked for beach purchases. Using the acquisition of an easement, which could include the State outdoor recreation plan as its guide, the alli- right of the public.to use property as an access way; ance estimates the Statewide need for additional (2) dedication of a piece of property to public usage public beach area at 1,200 acres by 1990, costing in exchange for a tax reduction or similar benefit; about $200 million. In contrast, the alliance reports, (3) property trade, in which land of equivalent value only $2.3 million was expended for beach acquisi- would be exchanged for shorefront land needed for tions in a 2-year State capital budget of $470 million; access purposes; and (4) dedication of property to likewise, the Honolulu City Council made available public use as part of a subdivision approval. only $100,000 in 1976-77. The 4 percent hotel tax Use of the subdivision ordinance authority by would raise $20 million per year and raise expenses local governments, now widely practiced for school for an average tourist by only I percent, the alliance sites and parks, could readily be applied t6the shore notes .113 access question in undeveloped coastal areas. The In addition to a straight purchase aff angement, same applies to local property taxes; these could be there are several alternative access purchase options lowered to property owners permitting public use which can be used: (1) acquisition and. lease-back, of their land in shore areas. State and Federal taxes might be examined for similar "breaks" that might be 113 Newletter of the American ;'lore and Beach Preservation applied to property owners who grant the public Association, March 1977, p. 1. certain prescribed uses of their land. Proposed Federal Beach Legislation Between 1969 and 1975, Congressman Robert C. intent of the bill, every Federal agency with a juris- Eckhardt (D.-Tex.) has introduced bills in the Con- dictional interest objected to the proposal and recom- gress aimed at opening all ocean and Great Lakes mended against enactment. Constitutional arguments beaches to the general public "for use as a com- were posted against the proposal by the Department mon." 1114 The Eckhardt proposal is based on the of Justice, while Professor Charles W. Black of Yale premise that the public has an inherent right to access Law School argued in support of the constitutional to and enjoyment of the ocean. It seeks to realize this integrity of the bill in the only hearings held on the right of access by: (1) declaring that ocean beaches proposal by the House of Representatives in 1973. constitute a national resource and are therefore to be . There is little doubt that this legislative approach used by the public; (2) forbids barriers that restrict to clarifying the status of beach land would be the movement on or across beaches; (3) authorizes legal most direct way to bring uniformity and balance action in the name of the United States to impress among the States in dealing with national shoreline beaches with a public usufruct; and (4) authorizes problems. It could also possibly be the most inex- financial assistance to States for the acquisition of pensive means for creating public access to beach interests in beach and beach-related land. resources. It would most assuredly, however, result While the proposal acknowledges the importance in complex and extended litigation concerning the of private property rights that might conflict with the constitutionality and power of the Federal Govern- ment to intervene in what is considered by many to _1 @H.R. 10394 (93d Cong., ist sess.) is characteristic of the be the legitimate rights of States to regulate and ad- bills introduced by Congressman Eckhardt over the years. It minister property laws within their Jurisdictions. would amend the National Estuarine Studies Act (16 U.S.C. The political path in the Congress would undoubtedly 1221) by adding Title 11 thereto, and provide for administration by the Secretary of the Interior. be difficult. Federal Programs Supporting Marine Recreation e Land and Water Conservation Fund Act of Outdoor Recreation). It authorizes grants by the 1965 [16 U.S.C. 460]. This program is administered Secretary to States on a 50-50 matching basis: (1) by the,Secretary of the Interior, Heritage Conserva- for planning for outdoor recreation, (2) for the acqui- tion and Recreation Service (formerly the Bureau of sition of land for outdoor recreation purposes, and IV-53 0 (3) for the development of outdoor recreation facil- Fund from OCS revenues .115 Proposals have been ities. It also authorizes use of a portion of the fund made to enlarge the share of the OCS revenues that by Federal agencies in acquiring land for recreation are dedicated to the Fund and to earmark them for and conservation purposes. acquisition of public shoreline and access in coastal Up to 60 percent of the Land and Water Conser- States. This would be in addition to the amount of vation Fund (which had a total authorization of matching funds now available to coastal States from $900 million in fiscal year 1977) is available for the fund. grants to States (which include America Samoa, *'Heritage Conservation and Recreation Service Guam, Puerto Rico, and the Virgin Islands); and Organic Act [77 Stat. 49 (1936), 16 U.S.C. 1-31. States may pass all or part of the money on to local Under this law, the Heritage Conservation and Rec- governments. In order to be eligible for a matching reation Service provides two forms of technical as- grant, a State must have: sistance to Federal agencies, State and local govern- * An approved Statewide comprehensive outdoor ments, and private interests in relation to public recreation plan (SCORP); recreation areas, facilities, and opportunities. * Designated the State agency with whom the Secre- 1) Information Assistance.-Ibe Service main- tary of the Interior is to deal; tains an Outdoor Recreation Information Clearing- * Evaluated the demand for, and supply of, outdoor house that provides available information and data recreation resources in the State; pertaining to the planning, developing, financing, and * Established a prograrti for the implementation of managing of outdoor recreation programs, and to the Statewide plan; research and educational activities relative to out- * Provided such other information as the Secretary door recreation. There is no land acquisition under may request; and this program, and the Service provides no financial * Provided opportunity for public participation in assistance. plan development. 2) Acquisitional Assistance.-With this aspect of Since the inception of the fund in 1965, through the technical assistance program, the Service works 1968, more than $3.5 billion has been appropriated with State and local governments and private inter- by Congress. Of this amount, $1.886 billion has ests to obtain private contributions of land, money, been earmarked for use by the States and local gov- or support for public outdoor recreation areas, facil- ernments and $1.625 billion has been used by Fed- ities, and programs. Two methods are used, neither eral agencies. of which involves any stated eligibility requirements In addition, the lands and facilities to be acquired to be met by the recipient. must be open to the general public. Development of The first method is for the Service or a State or basic-rather than elaborate-facilities is favored. local government to locate a land resource with Priority is given to projects serving urban'populations. public recreational potential, and then for the Service Grants are not available for operation and mainte- to work with that government in developing an ac- nance. The recipient State must dedicate the facility quisition program that private contributors can af- to outdoor recreation in perpetuity and be respon- ford. To the extent that financial assistance is ob- sible for its operation and maintenance. Under cer- tained, the land acquired is purchased by the State tain conditions, State matching money may come or local government and operated and maintained by from other Federal assistance programs, regional it as a public recreation facility. The Service does commissions, or donations. not acquire the land, nor does it contribute any With regard to the portion of the fund for Federal money for its acquisition. agencies (no less than 40 percent of the fund), The second method is to identify any private in- Congress must approve any actual acquisition. The terest already holding land with public recreational land acquired must be for use in some national pro- potential-including access to such lands-and at- gram, i.e., national parks, seashores, lakeshores, tempt to persuade them to donate it to a State or forest, wild and scenic rivers, trails, historic areas' local government for public recreational purposes. . I This donation can take the form of: (1) a gift in wildlife refuges, etc. A national recreation area is fee of the lands, (2) grant of a lease or easement, or managed by either the National Park Service, the (3) a management agreement between the donor and Fish and Wildlife Service, the Bureau of Land Man- the State or local government in relation to the land. agement, or the U.S. Forest Service of the Depart- Again, the recipient State or local government is ment of Agriculture. responsible for the operation and maintenance, not Revenues from the sale of oil and gas from the Outer Continental Shelf (9CS) now constitute. part 115 U.S. Congress, House of Representatives, Committee On of the Land and Water Conservation Fund. In the interior and Insular Affairs. Hearing To Amend the Land and seven years following the enactment of this provision Water Conservation Fund Act of 1965, and to Amend the His- toric Preservation Act of 1966. Washington, D.C., Government in 1969, a total of $1.6 billion was dedicated to the Printing Office, 1975, p. 95. IV-54 the Service; and the Service provides no acquisition in the King Range National Conservation Area in funding. During fiscal year 1976, 137,077 acres and California). Hence, very little land has been made 75 miles of trails, valued at over $25 million, were available to coastal States; the exact amount is acquired pursuant to the acquisitional assistance unknown. method. 9 National Park Service Act, as amended [39 e Federal Property and Administrative Service Stat. 435 (1916), 16 U.S.C. 1]. This statute is ad- Act of 1949 [63 Stat. 385, 40 U.S.C. 484] in Con- ministered by the Secretary of the Interior (National junction With the Heritage Conservation and Recre- Park Service, NPS). The Secretary may establish ation Service Surplus Property for Parks Program. seashore or lakeshore areas as national'recreational This statute is administered by the Administrator of areas in the National Park System if the Congress the, General Services Administration (GSA). The authorizes the money for the purchase of the land in parks program is administered by the Service. The each individual instance. Historically, the areas ac- law authorizes GSA to dispose of surplus Federal quired have been large and relatively undeveloped. real property to State or local governments at dis- They are open to the public, subject to certain re- counts of up to 100 percent. Disposal for public strictions on use. park and recreational purposes specifically is author- The Park Service has designated ten national sea- ized. Under the program the Service actually handles shores and four national lakeshores. (See table 4-8). conveyance of any such property to a State or local In addition, there are the Gateway and Golden Gate government. National Recreation Areas established in the New After GSA has declared a parcel of Federal real York and San Francisco metropolitan areas. property to be surplus, both GSA and the Service * Sections 305(b) and 315(2) of the Coastal Zone send a "Notice of Availability" of the property to Management Act of 1972 as Amended [86 Stat. appropriate State and local governments. Upon re- 1280, 16 U.S.C. 1451]. This statute is administered ceipt of an acceptable application from the State or by the Secretary of Commerce through NOAA's local government, the Service will convey it to the Office of Coastal Zone Management. applicant. To be eligible, the applicant must, among Section 305(b)(7) of the CZMA requires that a other things, establish that the property is suitable State's coastal zone management plan include, for public park or recreation purposes and that, among other things: when developed, it will meet the recreational needs identified in its Statewide recreation plan. Any re- "A definition of the term 'beach' and a cipient is bound by the deed of conveyance to main- planning process for the protection of, and tain the property in perpetuity for park or recrea- access to, public beaches (emphasis tional purposes on pain of its reverting to the United supplied) States. The Service provides no funds for acquisi- Section 315(2) of the CZMA authorizes the Secre- tion. Operation and maintenance of the property is tary to make grants to coastal States on a 50-50 th e responsibility of the recipient government. matching basis for the purpose of "acquiring lands As of mid-July 1077, about 85,000 acres valued at to provide for access to public beaches . . ." (em- $265 million had been transferred to State and local phasis supplied). No funding has been available to governments under the program. implement this provision. *Recreation and Public Purposes Act as e Other General Purpose Statutes. There are Amended [44 Stat. 741.(1954), 43 U.S.C. 869]. This other Federal laws which, ancillary to their principal statute is administered by the Secretary of the In- purposes, affect coastal access acquisition in varying terior (Bureau of Land Management, BLM). The degrees. Thus, under its Flood Insurance Program, Secretary may dispose of specified amounts of public the Department of Housing and Urban Development land by sale or lease to any State, any political sub- may purchase properties "damaged substantially division of a State, or to any nonprofit corporation beyond repair" by a flood disaster-including a hur- or association for public recreational purposes. A re- ricane-rather than pay the insured to reconstruct cipient must make prior application to the Secretary it, and then may sell, lease, or donate the property for such land, demonstrating in the application (to to a State or local government for at least 40 years the satisfaction of the Secretary) that the land is to for any use by that government, "consistent with be used for "an established or definitely proposed sound management use." In this fashion, States and project." local governments could come into possession of BLM holds little, if any, land in the original 13 coastal properties. States, Hawaii, Kentucky, Tennessee, Texas, and Under the River and Harbor Act [46 Stat. 945 West Virginia. It holds most of its land in the west- (1960), 33 U.S.C. 426], the Corps of Engineers is ern noncoastal and non-Great Lakes States (although authorized to help States and local governments con- it engages in some coastal recreational activity, e.g., trol public coastal beach erosion through projects IV-55 not specifically authorized by the Congress. The and local governments by the Department of Trans- Corps designs and constructs these projects up to portation for the purpose, among others, of pro- $2 million or 50 percent of its cost for publicly owned viding roadside recreational areas, including access shores (70 percent for public parks), whichever is to these. To the extent that an ocean (or Great less. This program assists in the reclamation of eroded Lakes) highway was involved, this authority con- public beaches. ceivably could be used for coastal beach area acqui- The Federal-Aid Highway Act [90 Stat. 442, sition (highway-related recreational areas) and very (1976) 23 U.S.C. 3191 authorizes grants to States probably beach-access acquisition. Equitable Use: Private vs. Public Interest The question of how to make coastal recreation ($2 fees are charged), the island resort is essentially opportunities available to all segments of the popu- the playground of the very wealthy and the general lation is perhaps the most difficult policy question to public is effectively blocked from use of this portion deal with in marine recreation. Basic to the issue is of the coastal region. But to allow masses of people the fundamental right of private property owners to on a barrier island such as Hilton Head could mean enjoy the fruits of their labors. This increasingly has that the carrying capacity of the island-its natural come to mean a piece of coastal real estate. Owners ability to absorb the impact of a large number of of such land naturally want to enjoy its use unim- people and their cars-would be exceeded and the paired. natural attributes of the island damaged. The rapid expansion of 'the second home market The developer of Sea Pines, Charles Fraser, has along the coasts, the condominium construction discussed publicly some of the problems involved boom, and the growth of trailer parks are all indi- in allocating coastal territory-and some of the cators of increased private use of the coast. This ironies involved. In a presentation at the first na- expansion of private use has two immediate and ob- tional coastal zone management conference, in June vious effects: (1) prices are driven up as demand 1973, he said: 117 increases, and (2) the amount of territory left avail- able for public purchase and use is increasingly "I predict that when the National Park smaller. On this latter point, the situation in Flor- Service begins to propose plans for public ida may be more desperate than other States, but it use of Cumberland Island (Georgia), long is representative: 116 sought as a national seashore area, there will be enormous pressures not to let "With the land use and development con- many people use it. Let them go 'some- ditions prevailing in Florida today, the where else'-where is the 'somewhere years immediately ahead may afford vir- elseT At this moment in time, the safety tually the last opportunity to set aside and valve for the pressures of the population preserve land areas of exceptional natural desiring the seacoast vacation is, in fact, quality for perpetual public enjoyment." the uncontrolled, raw, boiling, and often ugly, privately-owned public beaches. At The private property owner's rights clash directly the public beach of Myrtle Beach (South with the .public's interest in having free and un- Carolina), every inch of which is privately- fettered access to the coast. This is no different than owned (sic), there are today more people the situation throughout the country, it is simply spending the night than are in our national that-coastal territory is extraordinary valuable for parks. The National Park Service is only both private pursuits and public pleasures. given funds by Congress to hire 13,000 Hilton Head Island, South Carolina, puts the year-round employees. Disney World alone private vs. public coastal issue into perspective. The employs more than that.... If we don't Sea Pines Plantation development there is a success- permit growth in response to economic ful private venture noted for sound environmental demands, then we force the pricing principles and planning. The result is a resort with mechanisms to say to many, 'You can't 1,300 homes and 1,154 "villas," in a well-designed come,' or the most sophisticated reserva- and well-maintained luxury setting. For those who tion-makers to make their reservations can afford the $100,000 lots and $225,000 houses, two years in advance. If we let any jackass the setting is ideal. While not closed to the public, 117Council of State Governments. Proceedings of the Confer- :116 Florida Department of Natural Resources. Outdoor Recrea- ence on Organizing and Managing the Coastal Zone. Washington, tion in Florida. Tallahassee, Fla., 1976, p. 9. D.C., 1973, p. 202. IV-56 that wants to take a natural community the needs of the urban poor are being met in terms of two-story houses, such as exist in many of recreational opportunities. Congress, in increasing of our coastline areas, and which have the size of the Land and Water Conservation Fund, water systems and sewer systems designed directed that the Heritage. Conservation and Recrea- for low density, and let him come in with tion Se 'rvice emphasize urban needs in the future. a blockbuster and put in a 25-story con- In response to this mandate, the Service surveyed dominium that produces more cares, more urban recreational needs. A draft summary released sewage, and more water by a five-fold mul- recently concludes that virtually all of the metropoli- tiple than the entire community's prior tan areas studied had serious problems in providing development over a 40-year period, you recreation; that neighborhood facilities were the create real problems. You do, indeed, most desired type of recreational outlet, rather than however, help absorb the number of people larger regional, State, or Federal installations; and, who want to go to the coast." that short travel times and access by foot, bicycle, or The private sector plays an important role in public transportation were necessary for day-to-day meeting the recreational demands of the Nation. use to accommodate those without automobiles. This demand fuels market forces th .at make coastal What the Service findings suggest is that "recrea- recreation an attractive, income-producing venture. tion" 'has to be redefined from traditional middle- By its nature, however, the private sector is disposed class precepts in order to function successfully in a toward those with money to spend on leisure pur- city setting. The New Jersey State Outdoor Recrea- suits. The fundamental question is whether there is tion Plan makes the same point: "I an acceptable balance between coastal lands retained "The whim of the street is the personality for use by the general public, which may have limited of a city ... Riverside Park -in Manhattan is surplus income to spend on recreation, and those proof. [It]. . is given character by the suc- areas in private ownership that are de facto dedicated cessive neighborhoods it flanks. The vista to the use of the more affluent public. The proximity is. . intriguing, yet it is easily topped in of recreational opportunities to the lower income variety by the range of activities occurring public must be considered in determining whether -folk dancing, fishing, baseball, jogging, such a balance exists. dog walking, sleeping, soccer, golf putting, A county-by-county inventory of total recreational sandboxes, sitting, sunbathing, car wash- resources (private and public) is required to provide ing, car wrecking, picnicking, bike riding." an insight into this problem. Such information is The success of Riverside Park is ascribed to: (1) not now available, but could be readily compiled its multiple use as a recreational facility-there is by State recreation, planning, and coastal zone man- something for everyone, (2) convenience and accessi- agement agencies. bility, and (3) community pride wherein neighbor- The increased demand for coastal space for pri- hoods identify with individual segments of the park vate housing, which is further inflating prices in the -a sense of belonging. 120 coastal area, is driving out low- and middle-income A significant step in meeting the needs for urban families in some areas. California notes that few recreation was taken by the National Park Service in low- and moderate-income accommodations are being establishing the Gateway Park complex in New York built in the coastal region, The reasons? Rising land and the Golden Gate area in San Francisco. Although prices, high construction costs, increasing property the Gateway Park has been criticized for being in- taxes, the relatively limited amount of land avail- accessible to those without private transportation, 121 able, and the demand for higher cost facilities. it has been praised by others for incorporating ad- "Many elderly and low-income people, for example, vanced transportation planning into recreational can no longer afford coastal living and are forced to facilities. :122 live elsewhere," the California coastal plan con- While recreational facilities that depend on the cluded.""' In addition, the California study found automobile present problems of access for the less that rental units on the coast are being converted to mobile, most persons clearly prefer to travel by condominiums, often forcing out elderly or moderate- private automobile even when public transportation and low-income residents unable to come up with is available. 123 The Recreation Access Study commis- the required down payments. The California Coastal Plan recommends -a num- 118 California Coastal zone Conservation Commission. Cali- ber of policies to combat these trends, including use of fornia Coastal Plan. Sacramento, Calif., 1975, p. 152. the increased tax revenues from high-cost develop- 119 New Jersey, op. cit. note 106, p. 146. 120 Ibid. ments to provide facilities, such as camps'ites, for 121 U.S. Department of commerce, NOAA, op. cit. note 102, low- and moderate-income families. P. 179. 122 U.S. Department of Transportation, op. cit. note lio, p. 5. Another aspect of the equity question is how well 123 Ibid. IV-57 sioned by the Department of Transportation, and facility that is adequately served by high-speed released in. 1975, found that most recreational plan- public travel on the rapid rail line.115 However, few ning neither considers transportation access nor takes urban areas are blessed with high-quality beach into account the needs of that part of the public facilities as close to the inner city as Boston. which depends on public transportation. 124 The long-range effects of higher fuel costs on Transportation and recreation have become even recreation need to be examined. There are already more intimately entwined with the need for energy indications, some researchers report, of a trend conservation and the goal of reducing air pollution toward fewer visitations, but of longer duration. caused by auto emissions. Boston's Revere Beach Demand forecasts for marine recreation need to take is one of the few examples of a coastal public beach into account expected higher transportation costs 124 Ibid., p. 10. in the future as well as increased costs of operating 125 Ibid., p. 145. boats. Conflicting Uses With increased demand for recreational space counter pressures. Fishermen want to bring their coupled with a dwindling acreage of suitable land surf vehicles to the shore; boaters demand expanded available to serve the recreational public, pressures marina facilities and boat ramps; model airplane on the coast are mounting. Recreational activities enthusiasts want space to pursue their hobby. are as diverse as the public itself. New forms of Environmentalists, on the other hand, prefer that the recreation are developing rapidly through the evolu- areas be left in a natural state, even though the tion of technology and innovation. Many of the new Park is on the doorstep of New York City. uses impose changing demands on coastal recrea- The National Park Service (NPS) has agonized tion facilities, and further complicate the conflicts over the transportation problem in the face of simi- between active and passive recreational pursuits. lar opposing forces. Parking has been partially re- Dune buggies, dirt bikes, and hang-gliders were stricted, and bus service, rather than rail transporta- rarities on the beaches a number of years ago. To- tion, was chosen for commuters. A ferry service is day, these offroad vehicles and airborne craft are also being considered. claiming an equal right to beach access. Such activi- The NPS has proposed building several "Gateway ties conflict with a number of "traditional" coastal- Villages," which would accommodate a variety of oriented activities, e.g., bathing, hunting, bird and activities, including gardens and recreational facili- wildlife watching, and surf fishing. ties. The Sierra Club, on the other hand, is con- The problem of resolving conflicts among compet- cerned that -the centers will become "urban amuse- ing uses is illustrated in the Gateway Natural Recrea- ment and athletic centers." In fact, the Sierra Club tional Area in New York. The pressures here are sees the pressures on NPS to accommodate major magnified by the estimated 20 to 30 million visitors active recreational functions as a key test of the who will use the four segments of the gateway in National'Park System. The Sierra Club anticipates the future. The four units of the Park have been that with State and local governments strapped for historically used by nearby residents of Sandy Hook, recreational funds, there will be increased pressure N.J., and Staten Island, Jamaica Bay, and Breezy to fill the recreational void in national recreational Point, N.Y. Local residents are only one interest areas. Environmentalists view areas like Gateway group that the National Park Service must accom- as the last chance to preserve some near-natural modate;, they are the majority users and are not areas for the education and enjoyment of the urban generally amenable to the recreational areas being resident .1211 made easily available to masses of "outsiders"- 126 Anon., "Gateway-the Promise and Problem of National particularly inner-city residents. Urban Recreational Areas," Sierra Club Bulletin, Summer of Other segments of the tax-paying public bring 1977, p. 33. Role of the Private Sector The private sector plays a major role in providing recreational industry, while difficult to assess, is the public with recreational opportunities. Overall, estimated to have been a $5.5 billion activity in 1972 private recreational lands (coastal and noncoastal) and is expected to grow to $12 billion by the year exceed the acreage of public recreational lands: 2000. 128 504 million acres in private ownership, and 491 i_- U.S.. Congress, Senate, Committee on Commerce. The million acres in public ownership .121 The marine. Economic Value of Ocean Resources to the United States, by Nathan Associates. Washington, D.C., Government Printing 127 U.S. Department of the Interior, op. cit. note 99, p. 95. Office, 1974. IV-58 There is an abstract quality about recreational * Private enterprise should play the primary role experiences that defy mechanistic analyses. A trip where charges are to be made for facilities or to Malibu Beach, California, may be as much to services; and there is a reasonable prospect for see -the houses of the famous as to use the public profit. beach facilities. Or a trip to the Cape Cod National 0 Commercialized forms of recreation should be Seashore may involve visits to antique shops and left to private enterprise, while government should country inns as much as wading in the surf. A trip provide the public with natural, historic, cultural, to Atlantic City or Miami Beach may be prompted and archeological sites. as much by the commercial attractions as by the o Private enterprise should work closely with public quality of the public beach. Coastal recreation is agencies in planning and providing recreation often a multifaceted mixture of public and private facilities. activities interspersed with natural and secular e Private operations should be kept free of undue experiences. competition from public operations. There are major industrial installations with recre- o The public should recognize that investment by ational potential, such as powerplant sites, timber private enterprises reduces the need for public company lands, and petroleum company holdings. recreation investment. In 1972, the Department of the Interior held a e Private enterprise should act as a partner and series of regional meetings on recreational issues, constructive critic of government's recreational at which the relative roles of the private and public enterprises. sector were discussed. The delineation between the It is clear that the-general public considers recrea- government role and the role of private enterprise tion to be a joint venture between public and was found to be unclear. The participants reached the following conclusions: 129 private interests. Coastal recreation is not mutually exclusive. Recreational planning must optimize the 129V.S. Department of the Interior. America Voices Its Recre- mixture of private and public enterprise to best serve ation Concerns. Washington, D.C., 1972, p. 36. all sectorsof the user public. Ocean and Coastal Hazards Introduction Along with the fabulous resources of the coasts tating North Atlantic Hurricanes of the 20th Cen- and oceans comes a distinctive set of natural coastal tury, the National Oceanic and Atmospheric Admin- hazards that should be considered in public and pri- istration tracks 54 selected hurricanes that hit the vate decisionmaking. The ten most important natural coastal areas of the Gulf and Atlantic coasts; in hazards (table 4-10) occur with some regularity. these storms 11,720 people lost their lives and bil- For example, in the document entitled, Some Devas- lions of dollars of damage was done."O The list, of course, only includes a fraction of the total hurri- Table 4-10.-Natural hazards of U.S. oceans and canes that disrupt shipping and threaten the coast coas6 each year. An example of a less dramatic but still significant hazard is erosion, a major problem along Area affected one-quarter of the Nation's seacoast. Earthquakes Hazard Ocean Coast are not only a major hazard along much of the Paci- 1. Hurricanes and storm surges X X fic coast, but also are a potentially devastating, al- 2. Floods and flash floods X though generally unrecognized, hazard to densely 3. Tornadoes (water spouts) X populated areas of the Atlantic coast. While these and severe storms X X hazards vary in scope and intensity, all of them must 4. Earthquakes X1 X be recognized, and plans for the management, miti- 5. Tsunamis X1 X 6. Coastal erosion X gation, and recovery from the coastal hazards and 7. Land subsidence X their effects warrant a high priority. 8. Landslides X2 X 9. Avalanches X2 X Although some steps have been taken by private 10. Volcanoes X3 X parties, especially attempts to develop protective sys- I Earthquakes and tsunamis are related. They affect ocean tems, the primary responsibility for developing pol- users primarily through tsunamis, the effects of which are pri- icies and plans of action has fallen to Federal, State, marily near shore where water shoals as it approaches the coast. and local governments. A high level of scientific 2Effects of landslides and avalanches on the ocean are the expertise is required to develop an adequate under- resultant localized tsunamis. standing of what causes natural hazards, when they -3Volcanoes can create new islands or-undersea barriers for ships. Earthquakes sometimes occur with major volcanic action. may occur, what forces are involved, what damage IV-59 or danger is likely, and what steps should be taken support systems is usually involved; therefore, the so that they do not become disasters. In addition, public turns to the government for programs to deal heavy investment in scientific equipment and other with these problems. Natural Hazards Many of the dangers to people and property that canes. The flooding from hurricanes is of two kinds: are created by natural hazards are similar even flooding caused by the storm surge as seawater though caused by different natural forces or condi- moves inland, and riverine flooding that occurs as tions, and many of the applied methods of manage- rain runoff heads for the ocean. The major threats ment and mitigation are similar. The ten major are loss of life, personal injury, property damage or coastal hazards and the particular types of danger loss, and ecological disturbance from freshwater or and damage involved follow: 131 saltwater incursion. Hurricanes are storms that develop in the tropics Tornadoes are violently rotating columns of air and attain windspeeds of 74 mph or greater, accom- that descend from thunderstorm cloud systems. With panied by dangerously high seas. The most destructive a path averaging an eighth of a mile wide and mov- part of these storms is found within 50 to 75 miles ing several miles at an average speed of 30 mph, of the center, yet lesser winds and seas can cover tornadoes spread their destruction quickly, primarily areas as large as 600 miles in diameter. Hurricanes through their high wind velocities, and then dis- can affect almost all of the U.S. coastline (including appear back into the thunderstorms as quickly as U.S. territories), except in the eastern Pacific where they appeared. Although the highest incidence of they have little impact north of Southern California. tornadoes is in the Plains States, tornadoes are not The hurricane's storm surge and high seas are the inconsequential along coastal areas in Gulf and greatest threats to life and property. They account Atlantic coast States. To a lesser extent, the Great for 90 percent of the fatalities and about 60 percent Lakes area also experiences tornadoes. Along the of the property that is destroyed or receives major Gulf coast an added problem is large waterspouts damage. Storm surges are caused by air pressure that occasionally move inland as much as one-half differences between the hurricane and the rest of the mile. Tornadoes have been reported with hurricanes atmosphere. However, the actual impact of the storm as they move ashore. In this case the tornadoes surge on a specific area depends upon many other develop well away from the center of the hurricane factors (e.g., shape of the coastline, depth of the and generally extend far inland in advance of the coastal water, speed of movement of the hurricane). storm. The other dangers from a hurricane include high Earthquakes occur when the massive plates of the winds, heavy rains, and tornadoes. While hurricanes Earth's crust, which are slowly moving in opposition, have average speeds of 10 to 15 mph in the tropics, release a portion of'the accumulated pressure. The they tend to move faster as they go further north. level of destruction accompanying an earthquake Some have reached forward speeds of 40 mph or varies according to the magnitude and intensity of more, leaving little time for the coastal population or the movement of the Earth, with most earthquakes mariners to prepare for them. causing little damage but major earthquakes having Coastal floods, or inundations of flood plains, the possibility of massive property destruction with usually affect larger areas in the South Atlantic and thousands of fatalities. The amount of danger Gulf States than in the Great Lakes, New England, is also based on proximity to the epicenter of the and Pacific States. Within the coastal area, the most earthquake, the type of soil involved, and the types vulnerable urban areas are along the Gulf coast, of structures that exist in any particular spot. especially when they are near the mouths of rivers. Tsunamis, or seismic sea waves, are series of The problem of flooding is aggravated along the Gulf coast by the fact that many of the urban areas traveling waves of extremely long wavelength gen- have subsided. There are two major types of floods erated by underwater disturbances in the Earth's in coastal areas: localized flash floods may result crust, usually earthquakes, but sometimes explosive when large amounts of rain fall in short periods of volcanic eruptions. Localized tsunamis can also be time, and coastal flooding may result from hurri- generated by subaerial or submersive landslides. These waves are much longer from crest to crest i3o U.S. Department of Commerce, National Oceanic and than ordinary waves, and as coastal waters become Atmospheric Administration. some Devastating North Atlantic more shallow, the waves may build to heights of Hurricanes of the 20th Century. Revised 1977. 131 Much of the material in this section on definitions is taken more than 50 feet above the normal tide level and from: U.S. Department of Commerce, NOAA, Office of Coastal strike coastal areas thousands of miles from their Zone management. Natural Hazard Management in Coastal epicenter. Damage is caused by flooding, rapid Areas. November 1976, pp. H-4 through 11-74. IV-60 change in hydrostatic pressure, erosion, and collision coastal areas is in the Pacific States. A landslide is with floating debris. the "perceptible downslope movement of rock, Coastal erosion seldom threatens lives, but the debris, soil, or some combination of these mate- economic costs are high along the 2,700 miles where rials." 133 Because landslide-prone areas are aesthe- erosion is a critical problem (primarily along the tically pleasing sites and rapid population growth has Atlantic and Great Lake shorelines). C oastal erosion led to the development of marginally stable lands, occurs when more shore zone material is removed the problems of loss of property and life are steadily than deposited. 112 It is a part of the natural shore- increasing despite the strictly localized character of line process, but is a serious problem where develop- landslides. ment has occurred. As with all of the other hazards, Avalanches are moving masses of ice and snow the increase in potential hazard equates closely to that accelerate as they flow down a mountainside the growing population in the coastal zone, especially until level or gently sloping land is reached. In the since coastal land is demanding constantly higher coastal zone, the only place where avalanches prices. Erosion usually occurs through wind, water, threaten is on the coast of Alaska. Because the popu- gravity, or biological processes; ice may speed the lation of Alaska tends to live in the narrow band process in the Great Lakes. Changing water level is of land between mountain and sea, the threat to the major long-term cause of erosion, but storms, property and life is relatively great, and it increases with their attendant winds and waves, produce the as the population mounts because of the necessity to most immediate and dramatic cases of erosion. use less advantageous areas for development. In an Land subsidence, the sinking of surface ground, avalanche of any size, everything above ground level is a second hazard where the primary threat of loss is swept away by the force of the moving materials. is economic, although there can be loss of life in the While both landslides and avalanches are caused by rare circumstances where subsidence leads to failures a variety of factors, they are especially related to of dams or levees. Subsidence of coastal lands leads earthquake activity, where they are major accessory to potential loss of low-lying lands to submergence, phenomena. and even if not submerged the threat of flooding is Volcanoes are a hazard along the coast of Alaska increased. Subsidence may also threaten a wide and in Hawaii. Volcanoes are openings in the earth, variety of construction and developments that have usually on the top or sides of a mountain from which occurred on the affected property. The major causes issue molten rock or gas. The danger derives from of surface ground sinking in Alabama, California, lava flows (molten material), pyroclastic flows (glass Florida, Louisiana, Texas, and Washington are fluid and rock fragments suspended in gas), volcanic mud- withdrawals, bydrocompaction, and drainage of peat flows (mixture of fine material and water), and ash lands, while in Illinois, Michigan, New Jersey, New falls (small fragments of rock temporarily suspended York, Ohio, and Pennsylvania the extraction of in air and deposited, according to size, by wind). solids is an additional major problem. Although the hazards from volcanoes are relatively Landslides are an endemic problem in the United localized and eruptions occur infrequently, the dan- States; however, the greatest level of danger -in the ger is ever present. 132 Per Bruun. "Beach Erosion and Coastal Protection," in 133 U.S. Department of Commerce, NOAA, Office of Coastal Rhodes W. Fairbridge (ed), Encyclopedia of Geomorphology. Zone Management. Natural Hazard Management. Washington, New York: Van Nostrand-Reinhold, 1968. D.C., p. 11-37. Elements of Natural Hazard Management As is usually true in the delivery of important tions and those caused by geologic conditions (al- services to the public, many persons at all levels of though this is only a very general division and the government and in the private sphere are involved overlap of factors cannot be dismissed). in the five elements of natural hazard management The Weather Service has three hurricane forecast- considered below: ing centers, and the Department of Defense has one. These four centers are responsible for selected areas Prediction and Warning of the Pacific, Atlantic, Gulf of Mexico, and Carib- The activity most familiar to the general public, bean Sea. Through the use of sophisticated proce- because of the activities of the National Weather dures and equipment, these centers are able to track Service (in the National Oceanic and Atmospheric hurricanes and generally forecast their impact. This Administration), involves the prediction of, and equipment includes a massive telecommunications warning about, natural hazards. The type of predic- network, satellites, reconnaissance aircraft, ocean tion and warning required tends to divide along the data buoys, radars, and high-speed computers. Each lines of occurrences caused by atmospheric condi- center's forecasts and warnings are disseminated and. IV-61 elaborated on by the numerous Weather Service Eugene Haas best describe the "state of the art" coastal offices for hurricanes that affect the United for both disasters when they note that: 13'9 States. The information provided to the public in- cludes hurricane intensity, expected storm surge "Although physical studies and experience height, coastal area to be affected, rainfall potential, have provided numerous clues, avalanche tornado potential, and suggested protective measures. forecasting is still generally considered an The amount of money spent on the hurricane art rather than a science. The variables warning system is an example of the cost of hazard that determine when conditions are ripe activities. The basic budget for hurricane warnings in for the triggering of an avalanche are nu- 1978 is $28,359,000, but this does not include any merous and complex." part of the cost for the regular forecasting or com- In all three cases, however, it is possible to pre- munication systems. Included in the budget figure dict where the hazards exist. For earthquakes the are an environmental satellite system, the hurricane hazards can be delineated through general risk maps Warning centers, hurricane research, and hurricane (which show the potential for damages based on the modification activities. freqIuency of recorded seismic events), prediction of Along the coastal zone, flash floods are the major the distribution of strong ground motion of earth- threat of flooding not connected to hurricanes. For quake risk, and identity of ground conditions which flash floods, an arrangement of watches and warn- lead to damage when shaking takes place. Locations ings is used. These come from Weather Service of- susceptible to landsliding can be predicted-based fices and are based on a. variety of factors such as on soil characteristics, geology, and related natural the amount of rain, soil saturation, and amount of processes-but it is impossible to determine precisely runoff because of development. the possible magnitude. Likewise, it is possible to Tornadoes along Gulf coastal areas are primarily predict the locations of possible avalanches by the associated with developing storm systems and fre- signs of previous earth scouring and deforestation. quently start as waterspouts over the water which The U.S. Geological Survey, National Academy of then move ashore. Tornadoes also are reported along Sciences, and other groups are actively studying the Great Lakes, although cold water suppresses earthquakes and earthquake prediction. The U.S. development of such storms through most of the Geological Survey has an active Landslide Reduction year. The Weather Service plays the major role in Program, and the U.S. Forest Service conducts re- prediction and warning through the National Severe search on avalanches on its land. All this informa- Storms Forecast Center, which issues the watches. tion is now primarily of use in disaster preparation Warnings are released by all Weather Service field and long-term planning, not in short-term prediction stations. Watches and warnings are released through of particular events. all available news media, especially radio and tele- The Pacific Tsunami Warning Center in Ewa vision. The coverage and release of these warnings Beach, Hawaii, has the capability of predicting the vary considerably in effectiveness. time of arrival of a tsunami, but it is not possible to Earthquakes, tsunamis, landslides, avalanches, predict the size, and this problem has led to over- and volcanoes are primarily caused by geologic con- warning and some loss of confidence. Information ditions. Short-term prediction, so that citizens can on seismic activities is sent to the Center via com- be warned to take protective action, is relatively munication facilities of the Department of Defense, crude for these types of disasters; 134 however, sci- the Federal Aviation Administration, and other entists hope for major progress in this area during domestic and foreign agencies. When an earthquake the next decade. The U.S. Geological Survey (In- of large magnitude occurs in an -area of the Pacific terior Department) has an Earthquake Prediction that favors the generation of a tsunami, the Pacific Council that reviews data that could warn of an Tsunami Warning Center forecasts the time of ar- earthquake and issues predictions of earthquakes.'15 rival of the tsunami at selected points. A tsunami For the next several years, at least, the prediction of watch begins as soon as positive evidence of a tsu- particular earthquakes will be primarily in a re- nami exists; warning bulletins are released with ob- search and experimental phase. served wave magnitudes described and other perti- Landslides and avalanches cannot usually be pre- nent information included. These bulletins are sent dicted on an individual basis. Gilbert White and to civil authorities in the five Pacific States, to vari- ous civil and military organizations, and watch and -4 U.S. Congress, Senate Committee on Commerce, Hearings warning information is supplied to a number of on the Earthquake Disaster Mitigation Act of 1975, S. 1174. foreign governments. The necessary actions needed 94th Congress, 2nd sess., 1976. pp. 87-90. 135 U.S. Executive Office of the President, Office of Science 136 Gilbert F. White and J. Eugene Hans, Assessment of Re- and Technology Policy, Earthquake Hazards Reduction: Issues search on Natural Hazards. Cambridge, Mass., MIT Press, 1975, for an Implementation Plan (draft), pp. 25-32. p. 354. IV-62 to protect the public and minimize damage depend Once again, the primary types of predictions and upon State and local authorities. warnings are long-range forecasts in the form of The prediction of volcanic eruptions on Hawaii risk maps that generally depict average rates of has been relatively successful. The Hawaiian Vol- historical shoreline change as determined from earlier cano Observatory (U.S. Geological Survey) has a maps, charts, surveys, aerial photographs, and similar working warning system and the less-violent types sources. The Federal Insurance Administration, of eruptions that occur there allow adequate time Natural Ocean Survey-Coastal Mapping Division, for evacuation when necessary. Predictive capabili- and the Corps of Engineers all have an interest in ties for the Cascades and Alaskan volcanoes are this area and either produce Storm Evaluation Maps minimal, nor has the warning system on the continen- or other types of information such as Flood Plain tal United States been tested for this type of crisis. Information Reports. Joe Moseley and Sally Daven- The U.S. Geological Survey is planning a system of port point out that much of the information pro- surveillance of the inactive volcanoes' of the Pacific duced does not reach the hands of citizens buying Northwest using infrared sensing, and the 12 exist- the land; for example, developers in Texas have not ing- volcanoes will be monitored intermittently by made the information available and have opposed instruments.13' State laws requiring disclosure of natural hazards .1140 Subsidence has, on occasion, caused failures of The final effect of hazard mapping and similar work levees or darns; however, the largest number of cases depends on the cooperation of, and its use by, the are gradual and the direct hazard is economic loss States and local governments in the various trans- rather than the loss of life. Because the problem is actions and decisions involving erosion-threatened usually caused by man's removal of liquid or solid areas. It is up to these governments as to how they materials from the earth's crust, the ability to predict involve, developers, buyers, and other interested where the problem might occur exists through the parties in the decision-making process. examination of these activities and relating them to Prediction and warning systems are essential in soil and subsoil conditions. The U.S. Geological minimizing losses due to catastrophic events (those Survey and the Bureau of Reclamation have looked in which damages to property, human health, and into subsidence; however, little effort has been ex- social structure or processes are of such severity pended in this direction to date. Gilbert White, that recovery and rehabilitation is a long and trying et al.,111 note that few subsidence studies have been process). Obviously, both the ability to predict the done at the Federal level. occurrence of such hazards and to warn the public "At present, no national policy deals with of the impending dangers are important; research is land subsidence. However, because of the necessary in the area of citizen reaction to warnings, widespread nature of this hazard, such a because many people do not adequately respond to policy may be needed. Justification for a the warnings that they receive .1-41,142 subsidence warning program lies in the Research has also shown that prediction warnings Disaster Relief Act of 1974, which declares are just the first step in the chain that includes dis- the need for disaster warning with respect semination and response. To ensure appropriate to geological catastrophes." response, local authorities must develop local plans to change warnings into specific actions. 143,114 The The prediction'of erosion creates a peculiar set plans are ultimately no better than the reactions of problems. White and Haas argue that warnings that they generate among the public. The only way against imminent erosion should be made only when natural hazard management systems will work is if unrelated to wind or flood hazards. Even then, there people understand the hazards and the plans and is little that can be done, on short notice, to prevent erosion. Given the cost and difficulty of emergency 140 -Joe C. Moseley, 11, and Sally S. Davenport, "Hurricane measures and the relatively small number of struc- Damage Reduction and Coastal Management," paper presented tures affected at any one time, it is probably desir- at Coastal Zone '78, conference sponsored by Conservation Foundation, American Society of Civil Engineers, and U.S. able to focus activity on forecasting long-term ero- Department of Commerce, NOAA, Office of Coastal Zone Man- sion possibilities .131 Then appropriate planning and agement, March 14-16, 1978, p. 16. IL41 U.S. Executive Office of the President. op. cit. note 135, mitigation programs can attack the problem, Hazard Reduction, pp. 8-9. 142 Gilbert F. White. Flood Hazard in the United States: A Research Assessment. Boulder Colo., University of Colorado, 137 U.S. Department of Commerce, National Oceanic and Institute of Behavior Science, i975, pp, 83-85. Atmospheric Administration. A Federal Plan for Natural Dis- 143 Benjamin F. McLuckie, The Warning System in Disaster aster Warning and Preparedness. Washington, D.C., June 1973, Situations: A Selective Analysis. Research Report No. 9 Colum- p. 53. bus, Ohio: The Ohio State University Disaster Research Center, 138 U.S. Department of Commerce, NOAA, Office of Coastal 1970. Zone Management. op. cit. note 133, p. 11-73. 144Dennis S. Mileti. Natural Hazards Warning Systems in the 139Gilbert F. White and J. Eugene Haas, op. cit. note 136, United States. Boulder, Colo., University of Colorado, Institute p. 360. of Behavior Science, 1975. IV-63 believe in the necessity of following these plans. ment and regulation in hazard areas is pointed out Unless citizens react to a warning and evacuate by Earl J. Baker and Joe Gordon McPhee who say the seafront when a hurricane threatens, the plans that: 146 will accomplish little (except lull those responsible "A recurrent theme in dealing with all of for -the plan into thinking that everything is all right). the natural hazards is the potential of land- Paul J. Hebert and Glenn Taylor, in their study of use management to promote socially desir- hurricane experience levels on the Gulf and Atlantic coasts, point out that: 145 able use of vulnerable areas in the United States. The rapid encroachment in the hur- "Combined population increases since the ricane zone of the South Atlantic coast, last major hurricane for each area indicate the progressive invasion of industrialized that over 28 million people along the Gulf flood plains, the design of mobile home and Atlantic coasts have never experienced parks without shelters against tornadoes, a direct hit by a major hurricane. This is and the continued building upon land- over 75 percent of the Gulf and Atlantic fill in areas of high seismic risk illustrate coastal residents of the United States. Six the land-use changes which are occurring states have not had a single direct hit by and which call out for sober consideration a major hurricane in this century, while of risk involved. almost 80 percent of the coastal population "For each of the geographical hazards it of Florida-the most hurricane-prone state is apparent that attention should be given -have a low hurricane experience level. to ways in which land use planning may "The main point to be made here ... is contribute to effective use of the soil and that most of the people who go through water resources, candidly examining the hurricanes experience either a relatively hard political considerations that shape weak hurricane (categories I and 2), or an what a community finally does about ex- indirect hit (fringe conditions) by a major posing itself to risk. In each case a needed hurricane. Generally less than 25 percent study of land-use problems is closely linked have actually felt the most intense central with associated questions of control and core region of a major hurricane. This protective work, warning and emergency breeds potential disaster by creating a action, insurance and relief and rehabili- sense of false security for 75 percent or tation." more of the "experienced" coastal resi- Land management can be a key to all of the vari- dents during the next major hurricane ous parts of natural hazard management because, situation." through zoning and control of land use, major Plans must be carefully examined to see that they decisions are influenced as to how densely popu- are understandable and maintainable on the basis lated hazardous, areas will be and what types of of new data and situations. Officials have an obliga- development and activities will be allowed. These tion to formulate plans that will be found reason- factors then prescribe the type of protective struc- able and to adjust those plans in response to citizen tures that are economically feasible, the kinds of reaction. needed evacuiition plans, the kind of warning sys- A second type of prediction is just as important, tem, and the time when the warning must be received if not as dramatic; that is, the type of prediction (based on escape routes, danger of those routes that shows the long-range possibility of hazard, the being closed, number of people -who must use them, type of hazard, and the magnitude of the danger. etc.), the kinds of damage that will be done and the It is through this type of prediction that successful number of lives that will be endangered, the costs natural hazard management can take place. It re- of insurance and repair, and the length of rehabilita- quires historical information, trend studies, hazard tion for the community (so that it can function as a mapping, development plans for the areas, and a socioeconomic system). It is the control and mitiga- wide variety of other information. While much is tion of these types of problems that forms the basis being done in this area, numerous tasks are incom- for all programs of natural hazard management and plete or not even started. mitigation. Local governments usually have the primary Land Use Management responsibility for land-use management. Among the The potential importance of land use manage- 116 Earl J. Baker and Joe Gordon McPhee. Land Use Man- - agenzent and Regulation in Hazardous Areas: A Research Assess- 145 U.S. Department of Commerce, NOAA, National Weather inent. Boulder, Colo., University of Colorado, Institute of Service. Hurricane Experience Levels of Coastal County Popula- Behavioral Science, 1975, p. XI. Much of the following material tions-Texas to Maine, Washington, D.C., July 1975, p. 9. on land use management comes from this monograph. IV-64 powers that local governments can use are zoning patterns of the communities being aided or affected. ordinances (specifying types of land use, density, Section 73 of the Water Resources Development Act and other factors), subdivision regulations, Planned of 1974 (P.L. 93-251) authorizes Federal agencies Unit Development regulations (combining high- to consider the use of nonstructural measures (such density/intensity uses with open space), setback as purchase of flood plains, relocation or flood proof- lines, building and housing codes, taxation, location ing of structures, and flood plain regulation) to con- of key facilities (water and sewer lines, schools, and trol damage due to floods. The section also limits hospitals) drainage and sanitary codes, public acqui- non-Federal participation in recommended measures sition and development, scenic easement, permits to 20 percent of project costs. Full implementation for special use, and similar devices. The use of these of this provision has been deferred pending review of powers to develop a rational land-use policy in Federal policy on cost sharing for water resource hazard-prone areas can be encouraged by both State development and clarification of the appropriate and Federal Government. Federal role for implementing nonstructural measures. Many of the same powers exist, although in a While land-use management is a potentially use- more generalized form, at the State level. For in- ful tool in natural hazard management, there are stance, 41 States have authorized local governments practical limitations that keep it from achieving its to implement flood plain zoning. The State of full potential. Private landowners and developers Wisconsin "explicitly requires local flood plain consider any limitations upon their ability to use land zoning, and provides for state-imposed zoning should as a limitation of their property rights and their right local entities fail to enact their own." 147 Some other to a profit. Since developers are one of the major States, such as 14awaii and Maine, have State- interest groups influencing local government deci- wide zoning. Wetlands often are protected by State sions, land-use planners have limited ability to make laws, as are dunes, beaches, and other natural pio- totally objective decisions about the.use of hazard- tective barriers. And, of course, any State can ous lands. A less threatening, but still controversial, require a specific level of detail in local efforts at aspect of planning is the promulgation of proper land-use management. building codes so that structures will withstand hur- The Federal Government has become involved in ricane winds, erosion, and storm surge if in a hurri- land-use management in its own lands and is attempt- cane hazard area, or that a building is "flood proof" ing to have an increasing, although indirect, influence when in a flood plain. For example, Joe Moseley and on land-use management through several laws and Sally Davenport report that a building code which programs dealing with the coastal zone, hazard insur- uses a 140-mph wind design standard (table 4-11) ance, and resource management. The Coastal Zone adds no more than 2 to 3 percent to the finished cost Management Act as amended (P.L. 94-370) requires coordination of Federal activities in the coastal zone and makes funds available to aid States in coastal Table 4-1l.-Estimated cost increases and damage planning. The Office of Coastal Zone Management reductions when building in compliance with hurri. has made an initial step in hazard planning through cane resistant building codes:, an agreement with the Texas General Land Office, which is developing the coastal zone program, to Cost increases and Storms of specified intensity spell out considerations of hazard management to be damage reduction per: Minimum SSBC Tx. Model included in the State program. (60 mph) (105 mph) (140 mph) The various acts on flood insurance and disaster relief that have been passed during the last decade all percent percent percent Cost increase by type require, as a prerequisite of Federal benefits or aid, of structure: that land-use controls be established that consider 1,500 sq. ft., brick - 0-1 2 the particular hazards being insured against (Na- 1,500 sq. ft., frame - 0-3 1 -3 tional Flood Insurance Act of 1968 [P.L. 92-213], 3,000 sq. ft., brick - 0-2 0.5-3 the Flood Disaster Act of 1974 [P.L. 93-288]). De- 3-floor condo - 0-2 0 3 10-floor condo - 0-2 0 2.5 velopers of land sold in interstate commerce are now Damage reduction: required to disclose hazards to which that land is Loss per $100 evaluation 4.89 2.74 2.14 subject by the Interstate Land Sales Full Disclosure Loss reduction 44 56 Act of 1968 (P.L. 90-448). 'the requirement for an I Source: Charles Hix. Estimated Increased Building Cost environmental impact statement to be filed with each Resulting From Use of Hurricane Resistant Building Code. major Federal action compels Federal agencies to College Station, Tex., Texas A&M University, 1975. And: examine the impact of their activities on the land use Wifliarn G. Lesso. Potential Wipd Damage Reduction Through Use of Wind-Resistant Building Standards. Austin, Tex., Texas Coastal and Marine Council, 1976. Combined by Joe C. Moseley, 147Earl J. Baker and Joe Gordon McPhee, op. cit. note 146, If,, and Sally S. Davenport in "Hurricane Damage Reduction and p. 82. Coastal Management," (text footnote 140), p. 15. IV-65 of a typical building and, at the same time, reduces Disaster Preparedness Plans .potential windstorm damage by 45 to 55 percent .148 The third major facet of natural hazard manage- Although building codes are usually enacted at the ment is preparation to cope with a hazard when it local level, the Federal Government is influencing is no longer just a possibility, but is a threatening policy in this area. The National Flood Insurance reality; this is the development of a disaster pre- Administration offers insurance to communities that paredness plan. Disaster preparedness planning is agree to require structures to be elevated or flood- primarily left up to State and local governments. proofed to the level of the 1 percent probability of As of the beginning of 1978, 22 States have passed flooding. The Flood Disaster Protection Act of 1973 legislation based on the Council of State Govern- prohibits the use of Federal funds for construction ments' 1972 Model Disaster Act, which gives the in, or acquisition of, flood-prone land. The Disaster governor primary responsibility for disaster pre- Relief Act provides sanctions against communities paredness .151 Although disaster preparedness plans not insuring public structures. The Corps of Engi- vary somewhat in their contents, the planning pro- neers produced a technical report in 1972 entitled, grams generally include the following: Flood Proofing Regulations, that lists a variety of 1. Vulnerability analysis-"a systematic investiga- flood-proofing measures. The National Bureau of tion of potential disasters in terms of probabil- Standards also has a report on Building Practices for ity, frequency, magnitude, and location in order Disaster Mitigation. to forecast their robable effects, in specific geo- A second aspect of the building code problem is p graphic areas, on the people, systems, facilities, dealt with by the Mobile Home Construction and resources, and institutions." 152 Safety Standards Act of 1974 (P.L. 93-383), which "establishes structural design requirements that must Establishment of building and land-use codes be nfet in order for mobile homes to obtain designa- based on vulnerability analysis, and monitoring tion as 'Hurricane Resistive.' " 14' This Federal law of codes for compliance. is reinforced in many States by "tie-down" legisla- 3. Maps showing areas of natural hazards and tion which requires mobile homes to be anchored to types of hazards. their foundations so that they can withstand certain 4. Warning, evacuation, and rescue plans-describ- wind loads and avoid being easily overturned or ing types and levels of warning and response expected for each; routes to.follow for evacua- moved. The Council of State Governments included tion; shelters for displaced people; emergency a mobile home tie-down model act in its Suggested communication/coordination centers and sys- State Legislation for 1975. tems; essential resource maintenance and distri- Finally, the foundation for successful land use bution (food, water, medical supplies); protec- management is based upon a full knowledge of the tion for evacuated property (from looting, van- hazards that may occur and their consequences. dalism); procedures for returning to evacuated Several Federal Government agencies, in coopera- areas; and other necessary activities. tion with all levels of government, are mapping 5. Cleanup, repair, and rehabilitation plans-in- hazardous areas through a variety of techniques. cluding factors such as systems for obtaining NOAA and USGS have ongoing programs to map State and Federal aid; application of building areas susceptible to earthquakes, tsunamis, land- and land-use codes during rebuilding; and similar slides, and volcanoes. As mentioned above, NOAA activities. is also engaged in mapping hurricane storm surge 6. Public information and education. areas along the Gulf and Atlantic coasts. The Corps 7. Plan implementation tasks-including resource of Engineers, HUD, and the Soil Conservation Serv- identification, responsibility allocation, and coor- ice have been mapping flood hazards for several dination of preparation. years in virtually all areas of the United States.1511 8. Plan maintenance-including plan updating and A concentrated effort to bring all of this information improvement, and staff training.113 together and make it available to local disaster plan- Although State and local governments have the ners, private developers, and land-use managers predominant role in this area, several Federal agen- should be a focus of Federal programs charged cies are active in encouraging and helping the States with helping State and local authorities in hazard with these activities. The National Ocean Survey/ management. Coastal Mapping Division is carrying out a long- term program of preparing storm evacuation maps 14SJoe C. Moseley, 11, and Sally S. Davenport, op. cit. note 140, p. 15. 149 U. S. Department of Commerce, NOAA, Office of Coastal 1.52 U.S. Department of Housing and Urban Development. Zone Management, op. cit. note 133, p. 11-37. Federal Register, May 28, 1975, p. 23268, section 2205.76. 150 Earl J. Baker and Joe Gordon McPhee, op. cit. note 146, In part, taken from: U.S. Department of Commerce, p. 22. NOAA, National Weather Service Disaster Preparedness Staff. 151 Joe C. Moseley, 11, and Sally S. Davenport, op. cit. note Guide for Flood and Flash Flood Preparedness Planning. Wash- 140, p. 12. ington, D.C., May 1977. IV-66 indicating elevations and available evacuation routes Hazard Nfifigation from vulnerable coastal areas. These maps feature The fourth aspect of a management system at- high-resolution relief so that local disaster officials tempts to limit the destructive capabilities of the can choose the most suitable evacuation routes to hazards by developing protective structures, by as- safety inland. National Ocean Survey has produced sisting and strengthening the natural protective sys- over 60 of these maps to date; about 12 maps per tems, and by instituting land-use and building codes. year are planned for the rest of the program, which Structural protection is best suited to flooding, will end in 1986 with about 175 maps published. erosion, and certain types of protection from waves The U.S. Geological Survey maps flood-prone areas and storm surge iii hurricanes. Structural protection and documents major floods; the National Weather is not exceedingly useful against tornadoes, land- Service compiles relevant statistics on all weather- slides, avalanches, tsunami waters, and volcanoes, related disasters and makes the information avail- although some benefit can be derived in all of these able; the U.S. Department of Agriculture provides areas. With the problem of subsidence, the only technical aid in rural areas; the Corps of Engineers, useful role than can be played by structural protec- HUD, National Science Foundation, and the Office tion is that of holding surface waters off sunken land. of Water Research and Technology are all involved This becomes a monumental task, and probably an in flood-related research that is available to local officials. In dealing with tornado disaster plans, the impossible problem, when combined with the pres States may call on the help of the Weather Service's sures of storm surge and waves from a hurricane. Disaster Preparedness Program, the Defense Civil These structures often have unanticipated conse- quences ecologically, either in the immediate area Preparedness Agency, the Federal Disaster Assist or in surrounding areas. ance Administration, and the Department of Agri- culture's Extension Service. As an example, the May Sand dunes, beaches, barrier islands, mangrove 1977 Disaster Preparedness Report of the Weather stands, wetlands, and similar natural features often Service notes that statewide mandatory tornado serve as protection from hurricane surge and wave drills in schools are in effect in nine States and that action. In some places dunes have been built artifi- nine other States are working on plans to do the cially; in other places dune stabilization is aided by same. means of vegetative plantings. Where appropriate, fixed or mobile sand bypassing systems are used to The aim of Weather Service's Disaster Prepared- maintain the normal movement of sand because of ness Program is to increase the number of well- currents and other natural forces. The Corps of prepared communities (for all types of weather- Engineers and NOAA are both involved in research related disasters) in the United States. The Federal concerned with maximizing the possibilities of natural Disaster Assistance Administration administers the protective devices and features in the coastal zone. Federal prograrn designed to encourage "the devel- Beach nourishment is practiced in many locations. opment of comprehensive plans and practicable pro- Sand or other materials from another source is grams for preparation against disasters, including trucked in, or sand from the sea or lake bed is hazard reduction, avoidance, and mitigation and for dredged and placed on a beach that is eroding and providing guidance to state and local governments dwindling in size, because it has been denied. a in coping with pending or actual disasters." - The natural source of the appropriate material. Although Disaster Relief Act of 1974 made available funds this method is relatively successful in curtailing (100 percent Federal up to $250,000 per State) for erosion to at least a minimum level, and is developing State disaster plans and an annual match- aesthetically pleasing to many people, it offers'only ing grant of $25,000 for improving, maintaining, a temporary cure for the symptoms of erosion and and updating the *State plan; however, State plans does little, if anything, to correct the causes of the are generally geared toward reaction to hazards problem. rather than preparation to mitigate their effect. No Another way of seeking protection from natural Federal money was provided for local plans, and the hazards is to modify the occurrence of the hazard success of reaction to disaster depends on local pre- be decreasing its force, or destructive power. This paredness. Natural hazards should play a larger role involves an attempt to influence the basic physical in planning, local governments should be encour- forces controlling the natural phenomena. This, of aged to have adequate disaster plans, and those course, requires a great deal of research in, and plans should include mitigation features as well as understanding of, these phenomena; this type of emergency action and recovery segments. research is an ongoing part of agencies such as NOAA, the U.S. Geological Survey, and NASA. A 1&4 U.S. Department of Housing and Urban Development. major area of interest is the possibility of modifying Federr' Disaster Assistance Administration Program Guide. weather conditions such as fog, hail, hurricanes, and Washington, D.C., September 1976, pp. 11-12. lightning. For example, it is possible to disperse fog IV-67 at airports. Other types of weather modification have ment which prescribes the manner in which been less successful and more controversial. Although Federal aid under the Disaster Relief Act there has been little activity during the last 10 years, of 1974 is to be made available. The Agree- major attempts at hurricane modification will be ment lists the areas within the state eligible carried out in the next few years. for assistance and specifies the period At the other end of the spectrum, there have which is officially recognized as the dura- been suggestions that the danger of major earth- tion of the disaster." quakes might be lessened along the San Andreas fault in California by setting off "controlled" quakes Under this system the relief program is coordi- to release the tension where it has not been accom- nated by a Federal coordinating officer, who is plished through the occurrence of numerous small charged with encouraging the maximum effectiveness tremors. However, earthquake control appears to be of the assistance carried out by teams of disaster beyond the knowledge and technical capabilities specialists from Federal agencies. Usually these currently available. While modification of natural services are offered through one-stop centers for hazards may not be a major factor in the imme- individuals, where they may learn about all the diate future, the study of such possibilities will con- different types of assistan 'ce available. A separate tinue, and the benefits accruing from such studies program is offered to State and local governments, will continue to be available even if they do not Indian tribes and Alaskan native villages, rural accomplish their ultimate goal. communities and unincorporated towns or villages, Recent progress in understanding the mechanisms or "qualifying private nonprofit institutions." A wide of earthquakes and identifying potential warning variety of Federal departments and agencies are signs offer some hope of being able to predict earth- involved in these activities, based upon the nature quakes from a few days to a few months before they of the particular disaster and the determination occur. Routine operational predictions of large made by the coordinator and the governor as to the earthquakes are still a decade or more away; none- special needs of the disaster area citizens and theless, predictions could give communities an addi- governments. tional earthquake hazard reduction tool for taking Even if the President does not declare a major such mitigative actions as identifying and strength- disaster, assistance may still be obtained from the ening weak structures. Federal Government and private organizations. The FDAA Program Guide"' lists the following exam- Disaster Relief and Rehabilitation ples of the kinds of assistance available from Fed- The fifth part of natural hazard management deals eral and private agencies (not including State aid): with the result of a natural disaster through relief Search and Rescue. The U.S. Coast Guard can and rehabilitation. Prediction and preparation influ- assist in search and rescue operations, evacuate ence the relief and rehabilitation phase, because they disaster victims, and transport supplies and equip- help to determine how serious a catastrophe may be. ment. Once a hazard has occurred, it is necessary to offer Flood Protection. The U.S. Army Corps of Engi- relief (meeting of immediate needs) and rehabilita- neers has the authority to assist in floodfighting and tion (helping the community regain its capacity to rescue operations and to protect, repair, and restore work as a socioeconomic system) as quickly and federally constructed flood-control work threatened, efficiently as possible. damaged, or destroyed by a flood. When a major disaster strikes and the necessary Fire Suppression Assistance. The Disaster Relief relief exceeds the resources of a State, a governor Act of 1974 authorizes the President to provide may ask the President to declare a "major disaster" assistance, including grants, equipment, supplies, or an "emergency." The declaration, in turn, triggers and personnel to a State for the suppression of a Federal disaster relief programs which are coordi- forest or grassland fire on public or private lands nated by the Federal Disaster Assistance Administra- that threatens to become a major disaster. tion (FDAA) within the Department of Housing and Health and Welfare. The Department of Health, Urban Development. As spelled out in the Federal Education, and Welfare can provide assistance to Disaster Assistance Administration Program State and local welfare agencies and to State voca- Guide: tional rehabilitation agencies. The Public Health Service can aid States and local communities in "After the President's declaration of a emergency health and sanitation measures. The Food major disaster, the Governor of an affected and Drug Administration can work with State and State and the appropriate FDAA Regional local governments in establishing public health con- Director execute a Federal-State Agree- trols through the decontamination or condemnation of contaminated food and drugs. 155 U.S. Department of Housing and Urban Development, op. cit. note 154, p. 5. 156 Ibid., pp. 11-12. IV-68 Emergency Conservation Measures. The county role of insurance in the hazard management process. and State Agricultural Stabilization and Conserva- Insurance is available for loss due to most natural tion Service Committees may designate areas eligible disasters, and the amount and cost of that insurance for the Emergency Conservation Measures program. is, in many cases, influenced by the Federal Insur- This program provides for payments of up to 80 ance Administration in the Department of Housing percent of the cost to rehabilitate farmlands dam- and Urban Development. The National Flood In- aged by natural disasters. surance Program makes insurance available, at sub- Emergency Loans for Agriculture. The Farmers sidized rates, but only where communities are work- Home Administration may make emergency loans ing under a land-use program that aims at limiting to farmers, ranchers, and oyster planters. losses in the flood plain; it also makes flood insur- Disaster Loans for Homeowners and Businesses. ance available for hurricane and tsunami disasters. The Small Business Administration can provide Private insurance is available for wind and earth- both direct and bank-participation disaster loans to quake damage, although earthquake insurance must qualified homeowners and businesses to repair or be purchased separately. The Federal Government, replace damaged or destroyed private property when through the flood insurance program, covers erosion the SBA Administrator declares a "disaster loan and mudslides when they are caused by flooding, area" under his own statutory authority. but individual losses due to these hazards are not Repairs to Federal Road Systems. The Federal covered; therefore, the private owner has to absorb Highway Administration, Department of Transpor- the loss. The owner usually pays for losses from tation, can provide assistance in a widespread dis- subsidence and avalanches. Of course, if any of aster to restore roads and bridges. these problems affect a large enough population, Tax Refund. The Internal Revenue Service can there is a possibility that the President may declare assist individuals in obtaining tax refunds for losses a major disaster and open the door to aid. resulting from natural disasters. Insurance has the capacity to help guide the An essential element of almost any disaster relief extent to which people expose themselves to risk effort is the assistance provided by private relief from natural causes. As noted above, Federal aid organizations in the distribution of food, medicine, in this area is attached to a requirement that better and supplies; the provision of emergency shelter; planning must take place at the local level. Once and the restoration of community services. The again, it becomes apparent that this part of natural American National Red Cross, which operates under hazard management interlocks with, and affects, all a Federal Charter (as provided by P.L. 58-4, approved other parts of the system. The influence can b6both January 5, 1905, 33 Stat, 599), provides grants and positive, if better planning results,, or negative, if other types of assistance to individuals and families the availability of insurance leads to a false sense in disasters to meet their emergency needs. The of security and unwise development. Unfortunately, Salvation Army, the Mennonite Disaster Service, insurance availability has often had the second type and other charitable organizations and church groups of effect. When this is true the taxpayers as a whole also provide significant assistance to those in need pay for those who take risks, and lose, knowing.that of help. their insurance or the Federal Government will pay Another aspect of relief and rehabilitation is the for their risk-taking. Federal Agencies in the Natural Hazard Management System It is impossible to include all of the Federal agen- cause of its original mandate, and because of the cies that may get involved at some point in the relief background of the State program staffs, the major process. For instance, when the President declares interest of these organizations is in the civilian re- a major disaster, agencies such as the Veterans Ad- sponse to nuclear attack and only secondarily with ministration, the U.S. Employment Service, and the the effects of natural disasters .117 In fact@ the Fed- Social Security Administration may be brought in to eral Emergency Preparedness and Response Study 158 assist disaster victims; however, their involvement in notes that it has been asserted by many experts that:, disaster relief is secondary and temporary. The major agencies follow. ". . . States and individual citizens are The Defense Civil Preparedness Agency (Depart- asking for and expecting higher levels of ment of Defense) funds emergency offices that in disaster protection and xelief from the most States administer both nuclear attack and disas- ter preparedness programs. While there is some C07 157 U.S. Department of Commerce, NOAA, Office of Coastal operation with other agencies involved in natural Zone Management, op!'cit. note 133, p. 111-25. hazard management at the Federal level, the quantity 158 U.S., Office of@ Managexner@t and Budget, President's Re- organization . Project. Federal Emergency Preparedness and and quality of cooperation in this area is small. Be- Response Study. Washington, D.C., October 1977, p. 3. IV-69 Federal Government, but seem less satis- A major part of the National Flood Insurance fied each year with the Federal Govern- Program is the identification of flood-prone areas. ment's performance of its part of the This program has been going forward with the help shared responsibility." of other Federal agencies involved in hazard map- Two organizations in the Department of Housing ping. Groups in the Department of Agriculture, U.S. and Urban Development are involved in natural Geological Survey, NOAA, the Corps of Engineers, hazard management: The Federal Disaster Assist- and the Water Resources Council (a cabinet-level ance Administration (FDAA) and the Federal In- coordinating body) also are operating in this area. surance Administration's National Flood Insurance The President, through Executive Order 11296, at- Program. FDAA has been delegated the responsibil- tempted to strengthen the planning for flood disas- ity for administering the Disaster Relief Act of 1974 ters by ordering that new facilities should be placed, (P.L. 93-288). as far as practicable, outside areas of flood hazard. However, a report from the General Accounting Under Section 201 of this Act, FDAA administers Office regarding national attempts to reduce flood a program of preparedness grants to the States, as losses indicated that Federal agencies have been discussed earlier. The primary emphasis of this pro- less than diligent in some places in complying with gram has been on incr *easing the States' capability to the President's order."60 respond to disasters and emergencies, including Several'agencies within NOAA participate in haz- preparation of a State Emergency Plan, but States ard management. The agency with the longest history can conduct vulnerability analyses and plan for of involvement is the National Weather Service be- hazard mitigation. The States have performed some cause of its role as weather forecaster. Prediction mitigation functions (e.g., supporting appropriate and warning systems are operating for all atmos- .State emergency legislation, encouraging community pheric hazards and for the flooding that may occur as participation in the National Flood Insurance Pro- a result. In addition, the Weather Service has a gram, and reviewing land-use practices and building Disaster Preparedness Program that coordinates the codes). In the future, after a President has declared work of meteorologists in the field who help com- an emergency or major disaster, States will be munities prepare plans for coping with all sorts of urged under Section 406 of the Act to review the weather-related disasters. hazards to which their communities are exposed The Coastal Mapping Division of the National and, with local participation, agree on appropriate Ocean Survey is carrying out a long-term program mitigation actions. If, for example, affected com- munities agree to adopt and enforce more stringent of preparing maps of high-water evacuation routes codes, the additional costs incurred in reconstructing from vulnerable coastal areas. As mentioned earlier, public facilities as a result of such codes may be re- these maps feature high-resolution relief so that local imbursable by the Federal Government. disaster officials can choose the most'suitable evacu- Also in the Department of Housing and Urban De- ation routes to safety inland. Progress is slow in velopment is the National Flood Insurance Program. preparing the maps, and they cover only part of the The program establishes criteria for community in- total hazard problem. Also, their cost is high, and clusion in the Flood Insurance Program and then they are printed in relatively small quantities. requires the purchase of flood insurance, in commu- A task force has been formed within, the Na- nities where it is available, before any Federal finan- tional Oceanic and Atmospheric Administration to cial assistance can be received. The program was identify ways of strengthening the organization's in- weakened by the Housing and Community Develop- volvement in natural hazard planning and prepared- ment Act of 1977. The Act removed a provision ness, particularly in relation to hurricanes as they that prohibited Federally regulated lending institu- affect the coastal area. tions from making any loan secured by improved The U.S. Geological Survey is active in a wide real estate or a mobile home located in an area variety of mapping for flood, earthquake, landslide, having special flood hazards, if the community is volcano, and subsidence hazards."," It is also the not participating in the National Flood Insurance lead agency in the development of monitoring and Program. It provides instead that such lending insti- warning systems for geological hazards. With the tutions notify a purchaser or lessee obtaining a loan passage of the "Earthquake Hazards Reduction Act secured by real property in a designated special flood of 1977" (P.L. 95-124), the level of these activities hazard area as to whether disaster relief for that property is available in the event of a flood disas- 160 U.S. General Accounting Office. National Attempts to ter. 1:59 Reduce Losses from Floods by Planning for and Controlling the Uses of Flood-Prone Lands. Washington, D.C., March 7, 1975. 159 U.S. Department of Housing and Urban Development. 161 U.S. Department of the Interior, U.S. Geological Survey. Summary of the Housing and Community Development Act of Directory to U.S. Geological Survey Program Activities in 1977. Washington, D.C., October 1977, pp. 20-21. Coastal Areas, 1974-76. Washington, D.C., 1976. IV-70 within USGS may increase dramatically, and the hazards often come in groups, the management and need for communication and coordination between mitigation of natural hazards can only be accom- it and other agencies will grow accordingly. plished through consideration of 0 aspects of prepa- Hazard mitigation as an emphasis may be given ration, mitigation, protection, and recovery. Yet the a major boost by P.L. 95-124. This law, being im- reorganization task force examining disaster pre- plemented by the Office of Science and Technology. paredness and response reports that the current Policy, seeks to improve preparedness and response Federal structure frustrates the development and im- planning for earthquakes, with the emphasis on plementation of a coherent approach by: 161 preparedness through: (1) technically and econom- *Issuing confusing and inconsistent policy interpre- ically feasible design and construction methods, pro- tations and change(ing) them unpredictably; cedures, and codes; (2) land-use planning; (3) earth- 0Failing to articulate and coordinate the relation- quake prediction and control; (4) communication to, ships between preparedness and response activ- and education of, the public; and (5) appropriate ities; research of physical, engineering, and social science eFailing to provide a single point of contact for problems. The implementation plan for this law is State, local, and private individuals and organi- currently in draft status. zations; Since 1824, the Corps of Engineers has been in 0Perpetuating duplicative administrative require- charge of improving rivers and harbors, and this has ments and excessive paperwork; and included almost all of the Nation's levees, dams, and 0Failing to provide a comprehensive overview of other protective structures. (The Bureau of Reclama- resource allocation and use. tion is involved in multipurpose water projects in the With clarification of national policy toward nat- western States.) Since 1955, when P.L. 84-71 au- ural hazard management and the establishment of a thorized such activities, the Corps of Engineers has set of priorities for accomplishing the goals of that made well over 100 studies on hurricanes and shore- policy, the numerous Federal programs can function line protection. About half of these studies have led more efficiently and their effectiveness can be better to projects such as seawalls, revetments, breakwaters, evaluated. This procedure also can lead to better groins, and bulkheads to prevent the passage of Cooperation with State and local agencies in the storm SUrge.112 These structures often have unantici- field. Natural hazards will always exist, but their pated ecological consequences; therefore, the use of capacity to turn into catastrophies is inversely re- structural protection rather than other nonstructural lated to the understanding and consideration of their possibilities (purchase of susceptible land, setback existence by those charged with protecting the public. rules, preservation of natural protective features, and other techniques) may be questionable. Throughout the literature on natural hazard man- 162 U.S. Department of Commerce, NOAA, Office of Coastal Zone Management, op. cit. note 133, p. 11-14. agement there is a constant plea for greater coordi- 163 U.S. Office of Management and Budget, President's Re- nation among all Federal agencies. Just as natural organization Project, op. cit. note 158, p. 3. Siting of Energy Facilities in the Coast Introduction Among the most controversial coastal issues are Nation, they are particularly intense in coastal areas, the siting of energy facilities, including offshore oil where development pressures already are strong, but and gas projects, oil port facilities, liquefied natural where industry and Federal agencies want to locate gas terminals, onshore electrical generating stations, many of the new energy facilities deemed necessary and offshore nuclear powerplants. to meet the country's future energy needs. Traditionally there was little debate about siting If there is a common theme through these debates, such facilities. Industry would decide the need, loca- it is that States and citizens want a more thorough consideration of energy alternatives, that they do tion, and timing, and government would review the proposal to ensure that it met basic safety and anti- not want to accept automatically industry or Federal trust standards. proposals for fear that important options about Today, however, there is political controversy location, safety, and environmental safeguards may about both the substance of siting-what facilities be neglected. The debate involves questions of com- should go where, and when-and the process by munity lifestyles and priorities. Citizens' groups have which private industry and government decide such become more activist, pushing for discussion of these matters. Major political fights have broken out, such issues. They are redefining their role in energy deci- as battles over where, when, and how to lease off- sion-making and are pushing for new siting legisla- shore oil lands and whether to use nuclear power- tion that formally recognizes their new role in siting plants. While these debates take place all over the decisions. IV-71 Background Shortcomings of the Older Laws This description summarizes some key points. One In recent years energy facility siting has become a is that traditionally industry has had the lead role major issue. One reason is that there now are new in deciding siting matters. It decides not only the energy technologies and associated debate over how location but other overall siting decisions: when a they should be planned and licensed. Offshore deep- facility is needed, what kind of fuel and design water ports are an example. Before 1974 there was should be used, and timing. Sometimes industry must no clear procedure for siting these facilities outside conform to guidelines set in advance by Govern- the 3-mile limit. The resulting debate led to the ment, such as design criteria for nuclear reactors, but Deepwater Port Act. Now there are debates about in general Government's role has been limited to whether new licensing procedures are needed for reviewing industry's proposals after the companies such technologies as liquefied natural gas. have made the key decisions and have invested con- But a larger reason for controversy is that indus- siderable time and money in a particular unit for a try, the public, and the States are critical of the older particular site. siting procedures. James Sundquist has written a The people's opposition stems from one or both summary of the role industry plays under these of two reasons. One is opposition to the specific pro- older procedures, how the public now often reacts, posed site itself. Many may feel that a facility will and government's traditional methods for trying to be too destructive of the environment or too close to ,resolve the conflicts. 164,165 populated areas to be safe. But citizens also can criticize "larger" issues, such as whether a given re- "The site selection process is as follows: actor design is safe. The utility decides in secret what the Public groups often feel that a given proposal is energy requirements of the area it serves not the best that could be made, that important con- are. Then in secret it decides whether it siderations and alternatives have been neglected, will propose a nuclear plant-what kind and that therefore-and this is a key point-citizens of a nuclear plant and how big-or a coal- themselves should play a larger role in deciding these fired plant or something else. Then, again matters. In fact, much of the public now feels that as surreptitiously as possible, it surveys its energy facility siting is too important to be left solely area and picks out a site. At this point it to the- companies. springs its decision on the people. The peo- A major problem, though, is that traditional ple in the area at once get organized. Government procedures often do not resolve these Sometimes they lie down in front of a kinds of disputes. Government licensing proceedings bulldozer as they are doing in New Hamp- usually are quasi-judicial and, on a case-by-case shire [at the site of the proposed Seabrook basis, geared to judge whether a particular proposal nuclear plant], but in any case they orga- is in accordance with legislative standards regarding nize. Then an adversary process begins, antitrust, safety, and financing. They stem from an with the utility on one side and the oppo- era when Government's role was to give a "go" or nents on the other. Either an administra- 4tno go" decision to industry, not to arbitrate con- tive body or a court-or, eventually flicts between industry and the public, or resolve both-acts as judge@ but public agencies 0 situations where the public does not agree among it- may also intervene on one side or the self over whether a particular plant is necessary, de- other. There have been cases where one signed properly, or located in the right place. State agency has intervened on one side In recent years, citizens, States, and communities, and another State agency on the other, frustrated by the lack of other forums to raise such to reinforce both sides. In any case, the "larger" issues as the safety and need for nuclear long adversary process, moving from one power, have tried to raise these matters during the tribunal to another and employing judicial usual case-by-case licensing proceedings. When they or quasi-judicial procedures, can drag on are dissatisfied with how the issues are addressed, for years." they go to court to get a fuller discussion or to block certain facilities outright. Some Government agencies 164James L. Sundquist. "Commentary," in Erasmus H. Klo- have sided with citizens groups; other, particularly man, coordinator, The Federal System and Energy Facility Siting. energy agencies, have sided with the companies. Washington, D.C., National Academy of Public Administration, 1977, pp. 45-56. The regulatory agencies are caught in the middle. 165 For another discussion of these issues see: Luther J. Carter. It often is difficult for them to carry out the functions "Virginia Refinery Battle: Another Dilemma in Energy Facility Siting," Science, 199, February 10, 1973, desired by the environmentalists; they are now called pp. 668--671. upon to judge policy matters-such as coal versus IV-72 nuclear energy-that lie outside the scope of their new laws as the Deepwater Port Act, the Coastal expertise and jurisdiction. Zone Management Act, and the proposed Outer Con- Industry also is frustrated, particularly by the tinental Shelf Lands Act Amendments (of 1978). fact that it is taking longer to obtain permits at a Some key elements of these laws are: time when more permits than ever are required. They are angered by the lack of coordination among 1. Siting processes (which include both the plan- government agencies and by the time and money ning and licensing of facilities) are designed so required to license a facility. There is concern that that these "larger" issues are addressed before new facilities may not be ready when needed. regulatory agencies consider specific proposals. This is done so these issues need not be brought Recent Developments up in each case. "Larger" policy issues can be it is clear to Congress and others that simply addressed through agency rule-making hear- changing siting procedures will not magically settle ings, executive task forces, or new legislation. major political disputes over energy facilities. It, also 2. The siting processes also are designed so that a is clear that any new siting procedures must operate particular proposal is reviewed by the Govern- within a political system that emphasizes both fed- ment before a company invests a great deal of eralism and a strong role for private companies. time and money on a specific design and site. Given these imperatives, the new siting laws and The idea is to discuss possible objections to the other procedural changes of recent'years are seen site as early as possible. One technique is to as a better way to discuss and channel disputes, not guide the companies before they make their pre- as a panacea for resolving energy debates. These liminary decisions; this is done through special changes are still new and vary a great deal, but sev- guidelines (also known as "performance stand- eral basic trends can be seen. In particular, they ards" or "siting criteria") which tell companies reflect a new willingness to consider alternatives and in advance what kinds of facilities will be allowed to involve the States and public more in siting mat- on what kinds of sites. Another approach is to ters. require early disclosure of company plans. A On one level, Government has been trying to re- third, used in Maryland, is for the Government solve the substantive issues which have received at- itself to select sites in advance. tention from the public. For instance, agencies are 3. They often help facilitate public participation in looking at alternative approaches to locating these government proceedings, sometimes to the ex- facilities-such as energy parks, where a number of tent of providing financial assistance to citizen facilities are concentrated to cut down the need for groups. multiple sites; remote siting for some dangerous 4. They seek to improve the coordination of permit kinds of plants, such as liquefied natural gas termi- processes and to expedite licensing proceedings. nals; and even offshore sites for some types of facil- This is done by establishing clear-cut agency ities. Larger ("generic") issues such as which jurisdictions, requiring agencies to establish in- facilities are needed, reactor safety, and basic envi- teragency coordination procedures, and speci- ronmental safeguards are being addressed on other fying deadlines for reaching decisions. than a case-by-case basis. Examples of these new trends can be seen by look- There are also some major changes in the process ing at the new or proposed laws for siting specific that addresses such issues and makes the siting deci- kinds of energy facilities. sions. These changes in process are reflected in such Siting of Particular Kinds of Coastal Energy Facilities Oil Tanker Facilities, Including Deepwater Ports domestic coastal and inland trades, though pipelines The siting of tanker terminals, including offshore still play the predominant role in domestic petroleum Oeepwater port facilities, illustrates the strengths, transportation. limitations, and administrative costs of the new type Today, much attention focuses specifically on the of siting processes. role of tankers carrying Alaskan oil to the rest of the country. The key issue is whether to build new Issues and Processes for Onshore Terminals. tanker terminals on the West Coast, with connecting Tankers play an important role in the transporta- pipelines to carry the oil to the Midwest, or to carry tion of this country's energy supplies. About half of the oil not used by the West Coast to the East via the oil this country now consumes is imported, most tanker and the Panama Canal. Political interest in of it by tanker, much of it from the Middle East. In this issue runs high. The discussions come at a time addition, there is considerable shipment of oil in the of high concern about the safety and environmental IV-73 effects of these ships; memories of the Argo Mer- Another tanker subject that is receiving consider- chant oil spill and other recent accidents are still able attention is the matter of deepwater ports, that strong. is, ports in water deep enough to accommodate Decisions about how to transport Alaskan oil will today's supertankers. The need for such facilities is have important implications. Even if a major West particularly strong along the East and Gulf coasts, Coast terminal and pipeline are built, by the early although there is some argument in favor of sites 1980s close to half of the total U.S. domestic ocean- in neighboring areas of the East coast (Canada and borne transportation of petroleum will be for Alas- the Bahamas). In 1974 some 80 percent of all U.S. kan crude. Yet, without a West Coast pipeline, re- oil imports were landed along these two coasts, and quiring use of the Panama Canal, the Alaskan trade this percentage is expected to continue. In this age could rise to as much as two-thirds of the total of supertankers, the maximum size tanker which domestic ocean movement of oil by the early part of can be accommodated fully laden at most East and the next decade.'- Furthermore, the cost of using Gulf coast ports is 55,000 deadweight tons.1611 How- the Canal option certainly will be much higher. ever, in 1975 more than three-fourths of the total There are two major options for West Coast ter- world tanker capacity was in vessels exceeding that minals and pipelines: the Northern Tier pipeline tonnage.169 from Port Angeles, Wash., or an alternative site Given this situation, one option is to continue to near Puget Sound, Wash., to Clearbrook, Minn.; use "lightering" techniques, where large ships anchor and the Standard Oil of Ohio (Sohio) pipeline from offshore and the oil is offloaded onto smaller ships Long Beach, Calif., to Midland, Tex. All of the or barges which can carry it into port. But this is proposals are controversial."' costly and can add to the oil spill problem. Another The Sohio proposal is an interesting current option is to build deepwater iports, either by expand- example of the siting process for onshore tanker ing existing ports through dredging or building ports facilities. As in the case of other facilities, the coin- offshore.. pany made basic decisions about what project and Expansion of existing ports probably will be most site to propose. In this case, the proposal was ap- feasible along the West Coast, which already has proved by both the Interior Department (which con- several fairly deep ports."' There also have been trols the public lands over which the new sections proposals to expand the ports of Galveston and of pipeline would be built) and the California Coastal Corpus Christi, but both of these projects would Commission. Sohio's problem has been getting ap- require massive dredging in order to make the now proval from California's Air Resources Board, which shallow channels deep enough for sup'ertankers. is concerned about how evaporating hydrocarbons This has led to interest in offshore deepwater ports. from the terminal would add to Southern California's air pollution problems. The Air Board has said that Issues and Processes Regarding Offshore Sohio can build the proposed facility at Long Beach Deepwater Ports only if it takes steps to reduce air pollution from .Generally an offshore deepwater port is a single certain other sources in the Los Angeles area, at an buoy or some similar unit anchored several miles estimated $100 million cost. off a coast. The supertanker is tied up to the unit, This is not simply a case of a State agency trying and the oil is shipped ashore through underwater to block a project seen by many as being in the pipelines that connect the unit with the coast .171 national interest. The Air Board is acting under the In the early 1970s, it was found that while there Federal Clean Air Act, which sets strict standards was sufficient legal authority to site offshore units when new projects are to be allowed in areas with within the 3-mile limit (though many agencies would high air pollution; it also is acting in what it sees be involved), it was not clear whether there was any as the clear interest of the State and region. The authority to site them outside the 3-mile line or what board is investigating alternative sites where the air the procedures for doing so might be. pollution is less severe. The views of local residents Such concern led to the passage of the Deepwater will come into play if the State proposes alternative Port Act of 1974, one of whose purposes is to sites in relatively undeveloped areas. "authorize and regulate the location, ownership, construction, and operation of deepwater ports in 166From calculations based on data from: U.S. Department of waters beyond the territorial limits of the United Commerce, Maritime Administration, Office of Policy and Plans. The U.S.-Flag Tanker Fleet and Domestic Carriage Requirements 169 Sun Shipbuilding Company. World Tank Ship Fleet. Ap- -An Assessment of Fleet Adequacy. Washington, D.C., October pendix Table 513, 1975. 21, 1976. 1 T 0 Office of Technology Assessment, op. cit. note 168, p. 24. t67 Ibid., pp. 25-34. -1L For a good discussion of the technology and some recent 168 U.S. Congress, Office of Technology Assessment. Oil Trans- proposals see: U.S. Congress, Office of Technology Assessment. portation by Tankers: An Analysis of Marine Pollution and Coastal Efiects of 09shore Energy Systems. Washington, D.C., Safety Measures. Washington, D.C., Government Printing Office, Government Printing Office, November 1976, particularly pp. July 1975, pp. 13, 24. 173-196. IV-74 States." In many ways it is a model of the "newer" process does not adequately deal with important approach to the siting-particularly the licensing issues such as environmental safeguards and the component--of energy facilities. Some key features timing of the development. are: Substantive Policy Issues I . . Coordination. The . law designates the Depart- States and citizens argue that until recently the ment of Transportation as the "lead agency" for Interior Department, which leases offshore tracts to licensing deepwater ports outside the 3-mile industry, has not listened to them fully, or ade- zone. In addition, it clearly lists the jurisdictions quately addressed the policy issues that bother them. and responsibilities of the various Federal agen- These are the issues of information (the States want cies involved and establishes specific procedures information on the tracts being considered for lease and deadlines for coordinating their actions. The and, later on, information on industry's plans to statute also provides for an unusual, but clear- develop the areas it has leased), timing (States and cut, way of coordinating State and Federal view- citizens want time to review proposed plans, com- points: no Federal license shall be 1 ssued with- ment on them,- and plan to handle associated onshore out the approval of the governor of each adjacent development), selection of sites (they want Interior State. to consider exempting environmentally important 2. Performance standards. The law sets forth the areas from lease sales), environmental safeguards, conditions which must be met before the Secre- and financial arrangements. Because these issues tary, of Transportation may issue a license (it have not been addressed to their satisfaction, they must be in the national interest, meet environ- have often used court suits to block lease sales and mental criteria, meet antitrust requirements, . etc.) have pushed for a larger role in OCS decision- and also directs the Secretary to prepare environ- making. mental review criteria for. use in evaluating applications. The Siting Process 3. Public participation. The Act explicitly provides Pending in Congress is legislation that would: (1) for public access to information about the appli- address the substantive policy issues of concern to cations, for public hearings, and for judicial the States; (2) also address some other policy issues review and citizen civil action. of national concern, particularly the questions of oil The Act also settles some substantive policy spill liability, the role of government in exploratory matters that might otherwise be brought up during drilling, and how to modify the bidding system for the review of individual applications; one is the lease sales to ensure that the government receives question of liability for oil spills from the ports, maximum payment for these publicly owned re- which is settled by establishing a Deepwater Port sources; and (3) change the leasing process to in- Liability Fund. crease the amount of information gathered and Two groups have applied for licenses under the distributed, give the governors a larger say in the Act. In both cases, licenses have been offered, sub- locations and timing of lease sales (though not a ject to the applicants' meeting specified conditions. veto over Federal decisions), and, in accordance The conditions, dealing largely with antitrust and with the Department of Energy Act, tie leasing financing matters, are considered strict by the schedules more closely to overall national energy' industry. policy. In August 1977 the five firms which make up the The two bills revising the Outer Continental Shelf Louisiana Offshore Oil Port (LOOP) consortium Lands Act of 1953, similar in nature and both con- accepted the terms and conditions of their license. taining these basic provisions, are S. 9, passed by It is now expected that construction will start some- the Senate in July 1977, and H.R. 1614 passed by time in late 1978, with completion of the first stage the House in February 1978. in 1980 and two additional stages later. Located in water more than 100 feet deep, LOOP will be able Liquefied Natural Gas (LNG) Facilities to handle tankers of up to 750,000 deadweight tons, LNG is a classic example of where a fragmented which is about half again as large as the biggest regulatory process based on the "traditional" ap- tanker in the world today. proach to siting has led to problems. Outer Continental Shelf Oil and Gas Substantive Policy Issues . The process for leasing offshore oil tracts, per- Shipments of liquefied natural gas imported via mitting their development, and siting associated off- tankers are expected to become increasingly impor- shore pipelines and onshore facilities has been de- tant to the United States. In 1976, total U.S. natural bated intensely in recent years. The reason is that gas consumption was slightly under 20 trillion cubic many States and others have felt that the present feet. In that year, with only one LNG project 6perat- IV-75 this country (Algeria to Everett, Mass.), on ly require the government to set safety standards and about one-twentieth of 1 percent of United States siting criteria and would require Federal licenses consumption came via LNG tanker. But it has been before construction or operation of an LNG facility. suggested that by 1985 as much as 5 to 15 percent The first two proposals would give these responsi- of total American gas supplies may come from LNG bilities to the Secretary of Transportation; the Pell imports .172 bill,to the Secretary of Energy. All three also would Increased LNG imports are the product of rising give the States a strong say in the siting of LNG energy prices, declining domestic production of projects. natural gas, and the ample availability of gas in In general, industry appears to oppose such bills, certain other regions of the world. The only prac- feeling that: (1) they would add an additional, un- tical way to tap these distant sources is to convert necessary layer of bureaucracy to the licensing proc- the natural gas to liquid at the source, transport the ess and (2) by adding new ground rules would add liquid in special cryogenic tankers, and then regasify uncertainty and hence delay into current LNG the liquid at a special receiving facility and distribute licensing proceedings. However, it is also clear that it to users. The cost of these LNG projects is industry wants changes in the current process, par- enormous. ticularly streamlining the approval process and As more and more large LNG projects are pro- resolution of the pricing issue. posed and approved, public concern has grown about the safety of LNG transportation and the Other Onshore Energy Facilities wisdom of importing large amounts of gas from a These include nuclear powerplants, fossil fuel few suppliers, particularly Algeria and Indonesia. powerplants, oil refineries, petrochemical facilities, The safety-question is a complicated one. Two majqr and related facilities such as electrical transmission accidents have involved LNG since 1944. Experts lines. State and local authorities play the largest have testified that one was due to poor design,,inade- role in the licensing phase of the siting process for quate installation, faulty manufacturing, and inade- these, though the Federal Government has a large quate inspection of the onshore storage facility. role in licensing nuclear units. While LNG ships and terminals are regarded as very It is likely that there will be proposals to build well designed, the Office of Technology Assessment many more of these various facilities in coastal areas, and others have suggested that questions about ship since, generally, population and need for energy design, crew training, and vessel traffic control are growing in these places and they have abundant around LNG terminals be investigated further. Also, cooling water and good transportation links. Yet it the Federal Government has yet to formulate a also is likely that the proposals will be controversial, policy on the amount of LNG that should be im- given today's concern about protecting the coastal ported, whether sources should be diversified, or environment and a desire to use coastal areas for even how the gas will be priced once it arrives in other purposes, such as recreation. this country. States now want much more say in determining The Siting Process whether a facility is needed and where exactly it should be sited. This view is reflected in the new The process for. siting LNG facilities is frag- laws passed by a number of States, changing the mented, with agency jurisdictions unclear, and with way these units are sited. basic policy questions about import policy, siting There is great concern about the issues associated criteria, safety, and pricing yet to be resolved. LNG with nuclear plants, issues such as management of decisions continue to be made on a case-by-case radioactive waste, location near populated areas, and basis, by agencies that are not now geared to resolv- so forth. These policy issues, which many people feel ing larger issues. are unresolved, have been brought up in hearings on Several proposals to revise this regulatory phase individual applications and are a factor in the in- of the LNG siting process are now being discussed creasing development time for nuclear plants with in Congress. One is the Senate Commerce Com- land locations. mittee Staff Working Paper No. I of November 12, There is now considerable discussion about bow 1976. Two others are Congressman Dingell's H.R. to change the nuclear siting process. The Nuclear 6844 (May 3, 1977) and Senator Pell's S. 2273 Regulatory Commission has prepared a major study (November 1, 1977). All three essentially would of the issue. 173 The Department of Energy also is concerned about delays in getting nuclear projects 172 U.S. Congress, Office of Technology Assessment. Transpor- tation of Ldquefied Natural Gas. Washington, D.C., Government 173U.S. Nuclear Regulatory Commission, Office of State Pro- Printing office, September 1977, p. 5. This source provides an grams. Improving Regulatory Eflectiveness in FederallState excellent recent summary of U.S. LNG policies and projects Siting Actions. NUREG-0195, Washington, D.C., May 1977. and is particularly useful in its identification of the major safety This is an excellent summary document from a series that has issues associated with, LNG transportation. nine other volumes. IV-76 approved. The Carter Administration is now re- latory Commission, which like other Federaf agen- vising its proposed "Nuclear Siting and-,iLicensing cies, reviews the proposals submitted by industry and, Act." It also is preparing a "Comprehensive State if they meet the criteria, issues the necessary permits. Siting Act" to require the States to do. additional In this case, three main permits are involved: a energy planning and to provide special Federal as- manufacturing license to build the Jacksonville facil- sistance to the States. ity, a construction permit to begin the Atlantic Gen- Floating Offshore Nuclear Powerplants erating Station, and later an operating license for Substantive Policy Issues. the station. Given recent delays in the project, it is unclear when these permits may be used. In addi- The idea is to build nuclear powerplants at a tion to the NRC permits, Public Service will need manufacturing facility, barge them to a site several Army Corps of Engineers dredge permits, Coast miles off the coast, anchor them within an artificial Guard approval of the barges holding the reactors, breakwater while connecting them to the shore and various other Federal, State, and local permits.-` through underwater electrical lines, and then use There now appears to be little serious criticism of them as a major source of electrical power. The this siting process, perhaps partly because NRC is perceived, advantages are two-fold. One is that it proceeding carefully, allowing time to consider such is easier to site them, because there is plenty of off- generic issues as the results of an unlikely, but still shore space at a time when it is politically difficult possible, meltdown accident. to find sites onshore. Another is that building these However, the Office of Technology Assessment plants on an assembly line will permit "standardiza- and others have expressed concern that the present tion" of the reactor design, something, which may siting process may not be well equipped to handle increase quality control and lower costs. Now each the large-scale deployment of floating plants, partly nuclear powerplant is built separately, on site, with- because there now is no mechanism for developing out standardization. general siting crtteria for them, partly because some- Two companies are proposing to build the world's thing analogous to the Deepwater Port Act may first offshore nuclear system. Offshore Power Sys- be needed if floating powerplants are to be located tems, a subsidiary of Westinghouse, has begun a outside the 3-mile limit of State jurisdiction .1-76 manufacturing facility at Jacksonville, Florida. Pub- The Role of Coastal Zone Management in the Siting lic Service of New Jersey, a major utility, has con- of Energy Facilities tracted for two plants to be built by the Jacksonville plant for an offshore Atlantic. Generating Station. The Coastal Zone Management Act Amendments near Atlantic City. Neither company has received the of 1976 deal primarily with energy matters, Outer necessary permits to begin work. Continental 'Shelf oil and gas in particular. The In this first case, there are both generic and site- amendments give the Coastal Zone Act these energy specific considerations. One generic issue deals with facility siting features. how safe and reliable offshore plants are compared 1. Planning. The 1976 changes add a new section with land-based units, and particularly what safe- (305(b)(8) that requires: guards might be needed to prevent or con 'tain an " (8) A planning process for energy facil- accident where a melted reactor core fell into the ities to be located in, or which may sig- water and the radioactive material spread. The Nu- nificantly affect, the coastal zone, including clear Regulatory Commission and other are studying but not limited to, a process for anticipat- this question. ing and managing the impacts from such Another generic issue is whether floating plants facilities." should be located near those coastal waters that are Several premises seem to be behind this provision. used for other purposes, such as fishing or shipping. One is that by requiring States participating in the Siting criteria and planning may be desirable if it coastal zone program to plan in this area, the re- appears that large numbers of these plants will be deployed. sulting State coastal program will provide guidance There are also questions about the particular site to both companies that wish to site facilities and that Public Service is proposing. Chief among the State officials who will have to pass judgment on concerns is that the plant would be near an area their applications. Furthermore, coastal zone pro- popular with summer tourists and difficult to evac- grams are seen as able to discuss tradeoffs and alter- uate in case of emergency. 171 natives because they consider a range of energy facilities and a range of social concerns (unlike air The Siting Process and water quality plans, fot instance, which focus The main agency involved is the Nuclear Regu- on one matter), are concerned with coordinating 174 U.S. Congress, Office of Technology Assessment, op. cit. note 171, particularly pp. 197-237. 175 Ibid., pp. 99-101 and 106-111. IV-77 State and local policies, and can consider various effort to put a "newer" style energy-siting process alternative sites for energy facilities. On the other into operation. hand, this very breadth of concerns can be a weak- The suit is American Petroleum Institute, et al. vs. ness when it comes to settling difficult energy siting Knecht, et al.1711 The oil companies that filed it seek questions. to block Federal approval of the California coastal 2. Federal-State coordination. The amendments program on the grounds that both it and the environ- make two changes in this area. Section 306(c)(8),- mental impact statement prepared on it are in- which requires that no plan be approved that does complete. not provide for "adequate consideration of the na- The suit does not deal with the legality of the tional interest," is now expanded to treat energy California program itself, which was established by facilities more explicitly. Now before approving a the California Coastal Act. Rather the suit seeks to program, the Secretary of Commerce shall find that: block Federal approval of the program."' The companies argue that the California program "(8) The management program provides is incomplete for two reasons, and thus should not for adequate consideration of the national interest involved in planning for, and in be approved under section 306 of the Coastal Zone the siting of, facilities (including energy Management Act.178 One deficiency, they argue, is that while it creates guidelines and a process for facilities, in, or which significantly affect, - 11 such state's coastal zone) which are neccs- developing a State coastal "management program, sary to meet requirements which are other it does not actually contain such a program. In effect, than local in nature. in the case of such they say that it is not detailed enough, that it should not be approved until localities develop their specific energy facilities, the Secretary shall find plans under the State law. 179 California and the U.S. that the State has given such consideration Department of Justice, representing the Commerce to any applicable interstate plan or pro- 19 Department, disagree, saying that the present guide- gram. 0 lines and process for administering them more than Second, section 307, the "Federal consistency" meet the requirements of the CZMA. provision, is amended to require that oil company Second, the companies argue that the present plans submitted to the Secretary of the rnterior for California program does not provide for "adequate any exploration, development, or production on the consideration of the national interest" in the siting Federal OCS be consistent with a State's approved of energy facilities, citing that there is nothing in the coastal management program. California Coastal Act that explicitly calls for con- Several premises appear to be behind this ap- proach to Federal-State coordination. One is that 3.76 The complaint was filed on September 9, 1977, in U.S. there is an implicit trade here between Federal and District Court.A September 12 temporary restraining order from the court blocked approval of the California program by the State agencies, and that making this trade will im- Secretary of Commerce until a hearing could be held. On Octo- prove cooperation between the two levels of govern- ber 7, after hearings, the temporary restraining order was modi- ment. The trade is that in exchange for the State fied to allow the Secretary to approve the program, which was 64 subsequently done, but with the proviso that section 307 pro- adequately" considering the "national interest," the visions requiring Federal actions to be consistent with the State Secretary of Commerce will approve the State Coastal program will not become effective in California's case unless and Program and other Federal agencies will abide by its until the court rules that the program is indeed complete. Court proceedings are continuing under Judge Robert J. Kelleher of guidelines. The crucial role of local governments in the U.S. District Court in Los Angeles. this process adds a complicating factor. 177 The California Coastal Act itself is an important example of the "newer" approach to siting and to land use in general. The unresolved question, of course, is whether It includes detailed performance sUmdards to guide both ap- the coastal zone management approach will work- plicants and the regulators. It establishes procedures for coordi- whether it will improve coordination and planning, nating the Coastal Commission with other State agencies, includ- ing the California Energy Commission. There are provisions and whether this, if it occurs, will lead to "better" facilitating public participation. It coordinates State and local decisions and resolve political differences in a timely government by allowing for delegation of coastal planning and and constructive way. As time passes, one way to the authority to issue permits to qualified cities and counties, while providing for appeal to the State commission. California evaluate the success or failure of the coastal zone also has passed a special law to expedite the selection of an management approach will be to see how it succeeds LNG site along the State's coast. in dealing with particular facility siting issues. 178 Aside from arguing that the California program does not meet CZMA requirements, the companies also argue that approval should be blocked because: (1) the enviromnental The California Lawsuit impact statement on the program is inadequate because it did A recent lawsuit in California has become a test not discuss the possibility that California will use its consistency powers under section 307 to delay or veto OCS development and of what coastal zone management will be in practice, (2) the Office of Coastal Zone Management did not use correct and particularly what its role will be in the siting procedures in approving the program, because it did not con- sider all the relevant evidence. of energy facilities. it also illustrates some of the 179 "Plaintiffs' Trial Brief," American Petroleum Institute vs. confusion and difficulties that accompany an actual Knecht, pp. 56-59, IV-78 sideration of the national interest.180 State and Fed- "Even were the plaintiffs correct (about eral officials, however, say that the California Act possible abuse), the remedy is not to with- does establish clear-cut procedures for considering hold approval of an otherwise valid Pro- energy facilities and that it it acknowledges that some gram, but to seek redress after approval facilities may need to be sited even if there is envir- against the individuals who are acting un- onmental deterioration.""" lawfully under it either under the CZMA The companies@ brief also discusses the concerns or in the courts." behind the lawsuit. They feel that the California Also contained in these briefs is an important program is not explicit enough or detailed enough policy question: will this California program, whether to give them any degree of certainty that their approved completely at the Federal level or not, facilities will be allowed."" actually help improve siting decisions,' or will it, "An adequate management program re- as the companies assert, only add to the confusion, quires certainty-particularly in the energy lead to more court suits over what the statutes field, an area of recently expressed Con- mean, and give States new powers to block needed gressional interest.... (T)he general poli- national energy projects? t cies of the Coastal Act on this topic are. One part of the final environmental impact state- devoid of any specific commitments to ment on the California program sums up the argu- energy development which would accom- ment of the proponents of coastal zone management modate the national interest and meet the -and hence of what is called the "newer" approach requirements of the CZMA." to siting: They also argue that the program is so vague that it "It is . . . likely that the 305(b)(8) (energy "provides no guidance or basis of predictability for planning) and 307 (consistency) provisions oil and gas producers who must submit plans that of the CZMA would work together to are consistent with and must be operated in com- provide greater certainty and predictability pliance with the (program).""" In short, they want for those applying for energy facility per- assurances that California will not try to block mits, and eventually speed up the permit their OCS operations, and they do not like the Cali- procedure." fornia, program because it offers no such certainty. Perhaps at the heart of this issue is the question California argues that it is not "anti-energy," as of the strengths and limitations of "performance the companies assert, and that what it wants are standards" ("siting criteria") of the type used in the reasonable energy projects with environmental safe- California program. From the point of view of those guards. More to the point in this lawsuit, State and who propose them, their preparation is not only a Federal attorneys argue that: 184 way to resolve political disagreements and formu- "the CZMA does not require such a'legally late basic policies, but also a way to avoid the need enforceable' commitment (to accommo- for raising "generic" matters in individual cases and date the national interest in the siting of to give guidance to both applicants and regulators. energy-related facilities) but only pro- The State of California brief for this case discusses cedures for ensuring 'adequate considera- the advantages of making land-use decisions on the tion' of the national interest and that the basis of performance standards instead of detailed State's program fully satisfied this require- zoning maps: 1117 ment." "Increasingly, the traditional zoning ordi- Thero is also the argument that there are other nance approaches have been found to be "national interests" to consider besides energy, in- too rigid and inflexible for modern devel- cluding environmental protection. opment activities. The traditional zoning The Federal brief also argues that the companies' ordinance does not provide an adequate allegations that California will somehow abuse or means for responding to specific site con- misuse its program are "legally irrelevant.""',' ditions or specific attributes of a particular [proposed] development. Accordingly, 'so Ibid., pp. 62-64. many governmental entities have shifted 181 "Federal Defendants' Motion for Summary Judgment and from the rigid zoning definitions of the Memorandum of Law in Support of Motion for Summary Judg- past to regulatory systems that define ment," American Petroleum Institute vs. Knecht, particularly p. 5 1. general permissible types of uses that will 182 "Plaintiffs' Trial Brief," op. cit. note 179, p. 113. be reviewed in accordance with develop- 183 Ibid., p. 57. ment and resource protection standards 184 "Federal Defendants' Motion. ..," op. cit. note 181, pp. 7-8. and criteria. This is the approach of the 185 Ibid., p. 4f--47n. California Coastal Management Program." IV-79 But the ladIc of detailed, clear-cut zoning means environmental safeguards) under which they will be that a company cannot be entirely sure its applica- allowed. And in trying to develop new siting proc- tion will be approved, at least in its original form. esses-especially a new government role-the coun- Given the great costs involved in buying land and try increasingly is using the "new" approach to siting, doing design work, this lack of complete predict- one that uses performance standards. ability is unnerving and means additional risks and The issue is not only whether this new approach possible delays in needed projects. It also means will "work"-and in many cases it is too soon to considerable additional cost is involved in applying tell-but also whether anyone can devise a better for a permit, negotiating with government officials way to accommodate all the relevant factors: the about possible changes, and making agreed-upon new activism of the public and the States, the need changes in either the design or even the location of for new energy facilities, public and industry con- the facility. And the more the companies distrust cern about added bureaucracy and paperwork, and the government administering the performance industry's need for predictability and timely deci- standards, the more unnerved they will be . sions. In the final analysis, there appear to be one key The challenge now seems to be this: either imple- fact and one main issue. The fact is that citizens, ment and refine these new siting laws or else find through their governments, want a larger say not workable alternatives to them. In any event, the only in the locating of energy facilities, but also in siting procedures this country uses certainly will determining the need for them, evaluating the alter- affect the course and timing of energy developmefit natives, and setting the specific conditions (e.g., in the coastal zone. Nonfuel Mining on the Continental Shelf Introduction The waters and floor of the seas and the sub- gives the Secretary of the Interior discretionary au- surface of the Continental Shelf are rich sources of thority to regulate mineral leasing on the part of the minerals. In addition to fuels, quantities of barite, continental shelf lying seaward from the outer limits salt, and sulfur are produced from the U.S. conti- of the State grants. nental shelf. Magnesium is extracted from seawater. Although there are few precedents in the admin-' Oyster shell, dredged from the inner margins of the istration of the Outer Continental Shelf Lands Act continental shelf in the Gulf of Mexico, is a source for mining hard minerals, the current leasing proce- of aggregates and lime. dures have succeeded in developing offshore oil and There is a legal and administrative framework to gas resources. The States have complained, how- govern exploration and development on the con- ever, of a lack of coordination in the past. There is tinental shelf. The Federal jurisdiction over the sea- an attempt at coordination among the various Fed- bed and subsoil of the continental shelf has been eral agencies having jurisdiction or responsibility established by treaties, Presidential proclamation, for activities on the land and in the water of the judicial decision, and Congressional action. The Sub- Outer Continental Shelf. Development of marine re- merged Lands Act of 1953 granted the coastal States sources affects navigation, commercial and sport title to submerged lands seaward from the ordinary fishing, research, recreation, esthetics, national de- low-water mark to a distance of 3 geographic miles. fense, shipping, and the overall health of the marine For Florida and Texas, jurisdiction extended up to environment. 3 marine leagues (approximately 9 miles) into the The Army Corps of Engineers issues permits for Gulf of Mexico. structures in navigable waters of the Outer Conti- The Outer Continental Shelf Lands Act of 1953 nental Shelf. The Coast Guard has responsibility for safety at sea and on artificial islands or marine struc- 186 U.S. Department of Commerce, Office of Coastal Zone tures. The National Oceanic and Atmospheric Ad- Management. State of California Coastal Management Program and Final Environmental Impact Statement. Washington, D.C., ministration is concerned with fish, other marine life, August 1977, p. 158. and scientific investigation of the marine environ- '187 Attorney General of the State of California, "Combined ment and the coastal zone. Other agencies have vari- Memorandum of Law in Support of Motion for Summary Judg- ment, and Opening Trial Brief of the California Coastal Com- ous responsibilities for activities on the shelf and mission, American Petroleum Institute vs. Knecht, pp. 12-13. the waters and air above. IV-80 Extent and Distribution of the Resources Three major classes of mineral , resources are . carbonaceous muds, and metalliferous muds. found on the continental margin: dissolved minerals Extraction of construction materials from off shore in seawater, minerals in unconsolidated deposits -that sources in 1973 constituted a $102.1 million indus- occur in a variety of locations from coastal beaches try, estimated to grow to $181 million in 1985; sand to the deep seabed, and minerals in consolidated and gravel mining amounted to $65.6 million in deposits in bedrock. 1973, and shell recovery and processing for use as Commodities in seawater are basically freshwater an aggregate added another $36.5 million."" and minerals dissolved as salts, or in elemental form. Consolidated bedrock deposits of interest occur as Freshwater is also commonly found as submarine surficial deposits of coral, barite, and phosphorite springs and constitutes a potential future Osource. The crusts and deeply buried deposits of coal, iron ore, value of freshwater obtained from seawater in 1970 sulfur, potash, and various metallic salts.190 was estimated at $9.2 million.:188 Table 4-12 provides a classification of dissolved, Unconsolidated deposits are defined as naturally unconsolidated, and consolidated resources that are occurring concentrations of minerals that are not known to be in the ocean. Detailed knowledge of hardened and are amenable to recovery by dredging. marine deposits is very small. Only a small percent- On the continental shelf (to water depths of 200 age of the continental margins and deep ocean basins meters), unconsolidated deposits of major interest has been surveyed for hard minerals. Before the full are nonmetallics, including sand and gravel, glass potential of these minerals can be realized, the tech- sands, lime shells and calcareous algae phosphorite, nological and engineering capabilities to locate and and aragonite; heavy minerals including alluvial tin, assess them must be improved and applied. Based iron sands, and titanium sands; and native elements upon present geological understanding of the nature including gold, platinum and diamonds. On the con- of the continental margins and deep seabeds, how- tinental slope (to depths of 2,000 meters) unconsol- ever, substantial deposits may be discovered. idaied deposits of major interest include phosphorite, Potential for Mining on the Continental Shelf The potential for discovery and 'exploitation of chiefly sulfides in shallow waters, and some marine hard minerals on the continental margin is potential for sand and heavy minerals. high and the variety of deposit types is of the same 2. Massachusetts Coast-parts of Cape Cod Bay order as that on land. Some marine mining opera- and Buzzards Bay have good potential for sand, tions on the continental 'margin are already eco- rare earth heavy minerals, and possibly coal. nomically viable, as indicated above, others Are likely 3. New Jersey-New York Bight-known sand de- to be so within the next decade, botfi in deeper posits. water and farther from land. 4. Southeast Atlantic Coast-known beach re- Minerals on the United States continental shelves source of heavy mineral sands, but the' sand that possess the potential for early economic devel- potential of the seaward Outer Continental opment are the surficial deposits of sand, gravel, and Shelf lands is incompletely known. calcium carbonate, placer deposits of titanium and 5. Gulf of Mexico-potential for hard minerals on gold, and marine phosphorite deposits. -Based on the Outer Continental Shelf appears to be geological and geophysical surveys performed by limited as a whole, although the U.S. Geolog- government and academic organizations" in the past icial Survey has identified abundant black sands few years and the limited amount of industry infor- mation available, the National Academy of Sciences' (including titanium-bearing minerals) off the Marine Board Panel on Operational Safety in Marine Texas coast. Oyster shells may prove to be a Mining concluded in 1975 that* the following sites resource on the Outer Continental Shelf in the may have commercial mining potential within two decades:191 1. Gulf of Maine-potential for lode deposits, 189 Ibid. p. 42. 190 M. J. Cruickshank. "Mineral Resources Potential of Con- tinental Margins," in The Geology of Continental Margins, edited by C. A. Burke and C. L, Drake. New York: Springer Verlag, 1974, pp. 965-1000. t8s U.S. Senate Committee on Commerce. The Economic 19, National Research Council, Panel on Operational Safety Value of Ocean Resources to the United States. Robert R. in Marine Mining, Marine Board, Assembly of Engineering. Nathan Associates, Inc., Washington, D.C., Government Printing Mining in the Outer Continental Shelf and in the Deep Ocean. Office, 1974 p. 30. Washington, D.C., 1975, pp. 19-20. IV-81 Table 4-12.-Classification of marine mineral resources' Unconsolidated Consolidated Marine mineral deposits Continental Shelf Continental Slope Deep Sea Dissolved 0-200 m 200-3,500 m 3,500-6,000 m Seawater: Nonmetallics: Authigenics: Authigenics: Disseminated, massive, vein, Fresh water Sand and gravel Phosphorite Ferromanganese nodules tabular or stratified deposits of. Metals and salts of: Lime sands and shells Ferromanganese oxides and and assoc. Coal Magnesium Silica sand assoc. minerals Cobalt Ironstone Sodium Semiprecious stones Metalliferous mud with: Nickel Limestone Calcium Industrial sands Zinc Copper Sulfur Bromine Phosphorite Copper Sediments: Tin Potassium Aragonite Lead Red clays Gold Sulfur Glauconite Silver Calcareous ooze Metallic suffides Strontium Heavy minerals. Siliceous ooze Metallic salts Boron Magnetite Hydrocarbons Uranium Hmenite Other elements Rutile Metalliferous brines: Monazite Concentrations of: Chromite Zinc Zircon Copper Cassiterite Lead Rare and precious minerals: Silver Diamonds Platinum Gold Native copper I Source: Section 20, Marine Mining, Michael J. Cruickshank and Ralph W. Marsden (eds.), in SME Mining Engineering Handbook (copyrighted by AIME), Volume 2, Arthur B. Cummins and Ivan A. Given (eds.). Society of Mining Engineers of Ile American Institute of Mining, Metallurgical, and Petroleum Engineers@ Inc., New York, N.Y., 1973, p. 20-24. Used by permission of AIME. future. There is a possibility of finding eco- sten), rare earths, ilmenite (titanium), and nomically attractive deposits of finely di 'vided others. Lode deposits are likely to include metal sulfides that were formed in place on the barite and copper, lead and zinc (as sulfides), continental slope. and molybdenum, while deposits of chemical 6. Southwest Pacific Coast-know deposits of precipitates of uranium-bearing minerals are sand, gravel, and phosphorite. probable in some anoxic sites. Government, in- 7. Northwest Pacific Coast-Outer Continental dustry, and academic groups have been making Shelf off northern California and Oregon is hard mineral surveys for more than 10 years. known to have modest placer deposits of gold 10. Arctic Shelf-largely of unknown potential, and other heavy metals. but drainage from metal-bearing provenance. 8. Great Lakes-although not Outer Continental rocks probably washes some noble metals into Shelf lands, the portion of the lake beds within Outer Continental Shelf high-energy sand sites. the United States are known to have manganese 11. Insular States and Territories-although few and copper ore deposits. mineral surveys have been made in the Outer 9. Bering Sea--Outer Continental Shelf has the Continental Shelf or its equivalent waters off most promising potential for mining and hard American Samoa, Puerto Rico, Hawaii, or the mirierals of all U.S. Outer Continental Shelf Trust Territories, the potential for volcanic and waters. Placer deposits of this potential include: basalt-related minerals and manganese crusts gold, platinum, cassiterite (tin), scheelite (tung- appears likely. Environmental Impact and Conflict With Other Uses Potential pollution from marine mining operations buoys or anchorages, and cutting or displacing depends on both the mining methods and the specific buried cables or pipelines. Fishing activities have environmental conditions of the operation. Generali- been disturbed by the creation of obstructions to zations based on either a commodity or a location by bottom trawls, particularly where deep pits have itself could be misleading. Apart from some broad been excavated in fishing grounds or large boulders guidelines, assessments of potential pollution from have been exposed by removal of the surrounding marine mining must be operation- and site-specific. substrate. In some areas, illegal dredging has al- Potential environmental effects from production legedly destroyed maricultural nursery grounds. activities at sea are of three general types: alteration The potential impact of marine mining on eco- of the shape of the sea floor, interference with other systems is the least known area of environmental uses of the area, and disturbance of marine eco- problems, and without doubt, the most difficult one systems. The present use of trailing suction hopper to assess. For the most part,'effects are secondary dredges for sand and gravel mining, for example, and due to some alteration in the existing physical, causes a general lowering of the seabed over the chemical, or trophic equilibrium. Impacts on the area of the deposit to a maximum of about 5 meters. coastal zone tend to be more significant than those Stationary dredges as now used, mostly for sand, on the Outer Continental Shelf because of the leave a hole in the seabed up to 20 meters deep and higher physical and biological energy levels generally 80 meters in diameter. In both instances, there is a recorded there and.the proximity to population cen- release of fine-grained solid materials into the water ters. Physical changes that may induce biological near the dredge, either from perturbation of the effects include variations in temperature, current seabed by the dredgehead or from overflow of the patterns, amounts of suspended particulates present, hopper. The release of toxic substances into the nature of the sea floor and substrate, light penentra- water is not a general feature of sand and gravel tion and photosynthesis, and the introduction of new dredging. habitats. Significant chemical changes may be caused Dredging may change the shape of the seabed by. the presence of nutrients, trace elements, or sufficiently to alter local wave and current patterns. toxics. Possible changes in the food chain include This could lead to local changes in coastal erosion removal of, or influence on, existing species by in- or deposition and could cause destruction of beaches, volving them in the dredging operation. In general, siltation of harbors, removal of offshore banks, or alterations in temperature and chemistry are unlikely disruption of longshore sand transport systems within and would occur only as a result of induced changes the immediate area. Such impacts as a result of in current patterns near shore, where there were mining on the Outer Continental Shelf are unlikely. very significant gradients of local temperature and Experience in Europe. and elsewhere has shown chemicals. that mining operations can be hazardous to 'other Analyses of the potential impacts require a knowl- marine activities or emplacements, causing collisions edge of the undisturbed populations and their nat- in shipping channels, disturbance of navigational ural cycles to that changes can be predicted, verified, IV-83 and controlled. At the present time, there is little effect of local impacts on regional or global com- agreement within the scientific community about munities may be underestimated. what constitutes adequate knowledge of pre-operating From the foregoing considerations, it can be gen- conditions or baselines. Difficulties arise in the selec- 6rally concluded that potential disturbances from tion of indicator species that will adequately repre-. marine mining operations depend on both the mining sent the biotic community and its reaction to the method and the environmental conditions of the disurbances. The idea of measuring baselines is so area. Most physical and chemical changes can be new that the effect of long-term regional cycles, for measured, but assessing the effects of biological per- which there are no data, cannot be determined. The turbations requires intensive and long-term study. -112 State Approaches in Dealing With Offshor e Mining In the 3-mile territorial sea of the United States, the jurisdiction of the Federal Government, will the coastal States have been vested with ownership occur in the future and will require extensive envi- of mineral resources under the Submerged Lands Act ronmental monitoring and control and coordination of 1953. Accordingly, in this area, the offshore leas- with the coastal States. ing statutes of such States govern. Most States have moratoriums or severe restrictions on mining in the 192 M. J. Cruickshank and H. D. Hess. "Marine Sand and coastal zone. Gravel Mining," Oceanus, Journal of the Woods Hole Oceano- There is every indication that the mining of se- graphic Institution 19:1, Fall 1975, 32-44. lected deposits on the Outer Continental Shelf, under IV-84 98-AI C) > n a L-1 0 z P@ P@ pli;li @ z tz tz w tz > > > tz> .0 ID. '71. 2. f@ ;,o 0 0 @i- EL g- rL Z 0 C, m so P C, cb El 0 CD oQ C, 0. cr > v o o 0 p Oro N 0 R, 0- OQ W if tz tz w w 9 S LF (,:L CD 90 R@ w CD CD kA 0 t) 00 -4 LA LA -4 w p P. 00 00 ,0@ t) 00 oo w t) 0 @c -S@ tA w LA @o t1i @o 0 .4-4 tA @o w w tj -4 00 N CD eb w N tA (71 LA w 000 0c) 00"ooom- 00 C-0 0 t4 00 t4 I>. N w N 00 tA 00 tA 4@ 00 tA w LA 0 g@ P@. 1+ bo i7s @D b @o il) a @j @c o o a o i7s o o b 41 bo Q 0 b A -4 GrQ rA w N tA 00 -4 \0 Ch po :--I @j !,a . . . . . . . . . . . ?o . N 0 W W 0 Q C@ -P@ -4 0 0 W G@ tJ 0 4, LA -4 00 ID w ;3 w U3 w 00 1+ FN .. . . . . . . . . . . . . . . . . . . . . . . . . CD kA \0 UJ @o as 00 LA LA t,J -4 0 CD 0 C 0 0 0 0 0 4 tA CIQ CD W5 00 00 41 LA -4 00 00 n .@j (D -1 -4 ON w uj ON "A tj 00 w 00 tlj --j 00 0\ UI.N cz ON 4. w -P, 4. 4@ -P, -4 -.1 0 C@ a, --1 0 @c 00 0\ -4 00 C@ LA ON "I tA 00 00 00 N (7\ 00 tA LA Uk @o 57, P, :-4 PO :0. 00 t1i as kA -1 00 as - I ol p . . @o :-J PN p ?o ?o @11 PO PO @A @j @o @j @Q :pl ?o ?o .4 -1 1 CD kA w w m w N 00 -4 Table 4-2. Population and economic characteristics of U.S. coastal counties, districts, and municipalities (continued) Per Population Local capita Value add- govern- Per income Coastal State Per Per sq. Change ed by manu- Change Farm- Change ment capita change and locality unit mi. 1960-70 facturing 1963-67 land 1964-69 revenue outlay 1969-74 % million % 1,000 % million dollars % dollars acres dollars Mendocino 51,101 15 .1 52.1 18.4 946 -11.4 20.5 369 42.6 Monterey 250,071 74 24.8 130.5 83.8 1,472 -1.2 90.1 327 49.4 Napa 79,140 101 20.1 55.4 158.9 220 -16.4 27.3 324 40.9 Orange 1,420,386 1,817 101.8 1,963.8 63.9 184 -24.3 460.0 302 42.5 Sacramento 631,498 650 26.1 48TI 5.3 517 -9.0 277.4 371 44.9 San Diego 1,357,782 319 31.4 803.8 21.5 616 -11.5 465.5 320 43.1 San Francisco 715,674 15,904 -3.3 732.3 19.8 0 .0 464.5 423 41.5 San Joaquin 290,208 205 15.8 323.4 45.2 876 -9.1 148.6 454 49.5 San Luis Obispo 105,690 33 30.4 10.5 19.3 1,553 1.8 41.6 387 45.3 San Mateo 556,234 1,245 25.3 477.2 29.8 85 1.5 232.0 389 45.4 Santa Barbara 264,324 97 56.4 108.6 72.4 952 2.7 95.4 312 41.7 Santa Clara 1,064,714 821 66.1 1,907.5 57.6 480 4.8 426.4 388 45.8 Santa Cruz 123,790 281 47.0 76.8 22.7 61 -41.1 50.9 359 45.9 Solano, 169,941 209 37.8 46.3 81.6 358 -6.0 62.8 309 48.2 00 Sonoma 204,885 128 @9.0 79.7 50.9 667 -3.9 81.4 349 46.3 ON Ventura 376,430 203 90.1 160.5 106.0 433 -1.0 134.9 338 42.4 Coastal area 16,650,214 11,594.4 44.8 Connecticut Fairfield 792,814 1,266 21.3 1,895.9 47.3 23 -33.1 214.8 233 38.1 Middlesex 114,816 309 29.4 225.5 55.6 24 -42.3 23.4 198 38.4 New Haven 744,948 1,233 12.8 1,527.6 36.3 46 -20.6 183.3 212 37.9 New London 230,348 346 24.2 358.6 12.7 95 -21.5 47.6 179 43.2 Coastal area 1,882,926 3,297.6 39.4 Delaware Kent 81,892 138 24.7 163.4 246.9 220 -5.3 16.6 149 49.3 New Castle 385,856 881 25.5 619.7 28.2 113 -6.4 108.6 216 47.2 Sussex 80,353 85 9.8 175.2 37.2 341 -6.3 16.2 169 50.8 Coastal area 548,101 958.3 49.1 Florida Bay 75,283 101 12.1 37.0 17.8 22 -34.7 18.2 232 58.1 Brevard 230,006 228 106.4 310.7 813.8 228 19.5 60.2 232 36.7 Broward 620,069 509 85.7 196.2 152.2 61 -30.2 105.6 220 56.2 Charlotte 27,559 39 118.8 1.3 116.7 218 -20.2 3.5 144 57.7 Citrus 19,196 34 107.1 .7 -30.0 109 -7.6 3.9 222 49.1 Clay 32,059 .54 64.1 10.1 90.6 156 -18.5 5.1 178 59.0 Collier 38,040 19 141.5 2.1 250.0 310 5.5 8.6 278 51.9 Dade 1,267,792 621 35.6 589.4 62.3 79 -32.3 341.7 247 57.0 De Soto 13,060 20 11.8 5.0 47.1 271 -8.2 2.5 149 54.2 Dixie 5,480 8 22.3 2.6 44.4 165 -19.3 1.6 264 58.7 Duval 528,865 690 16.1 331.2 37.5 74 -15.5 107.0 214 61.8 Escambia 205,334 309 18.1 .0 .0 108 -14.5 44.8 199 58.2 Flagler 4,454 9 -2.5 .0 .0 92 -37.8 2.4 284 71.8 Franklin 7,065 13 7.4 .6 -25.0 0 .0 1.6 184 63.5 Gulf 10,096 18 1.6 .0 .0 14 81.8 3.4 274 57.2 Hernando 17,004 35 51.8 1.5 200.0 84 -12.6 11'0 303 50.5 Hillsborough 490,265 472 23.2 367.9 41.6 375 -51.3 117.9 213 60.5 Indian River 35,992 71 42.2 25.5 200.0 189 -18.5 10.3 282 66.0 Jefferson 8,778 15 -8.0 1.0 42.9 162 -4.3 2.1 208 61.0 Lee 105,216 134 92.9 11.7 82.8 142 -12.1 23.3 207 47.8 Levy 12,756 12 23.1 3.3 175.0 310 4.1 2.6 175 50.6 Manatee 97,115 131 40.4 42.9 96.5 320 18.3 24.7 301 61.5 Martin 28,035 50 65.6 3.9 129.4 212 22.7 6.0 206 64.9 Monroe 52,586 51 9.7 4.9 96.0 0 .0 9.7 155 66.1 Nassau 20,626 32 20.0 41.5 23.1 65 -16.6 5.2 257 63.9 Okaloosa 88,187 93 44.2 19.1 516.1 76 -11.1 16.9 158 57.4 Palm Beach 348,753 173 53.0 236.3 69.8 527 17.6 107.9 263 60.3 Pasco 75,955 102 106.5 22.4 23.1 338 -6.0 7.2 126 61.8 Pinellas 522,329 1,971 39.4 191.5 33.2 21 -55.9 121.3 227 57.6 Putnam 36,290 47 13.1 .0 .0 278 -23.8 10.5 248 55.1 St. Johns 30,727 51 3.3 16.9 45.7 66 -32.8 7.2 190 52.1 St. Lucie 50,836 87 29.4 13.3 26.7 325 -4.1 12.4 290 62.1 Santa Rosa 37,741 37 27.7 .0 .0 108 8.6 7.2 194 55.8 Sarasota 120,413 205 56.6 28.1 8.5 149 -11.8 30.3 259 52.5 Taylor 13,641 13 3.6 28.3 38.0 106 -44.5 4.4 261 53.2 00 Volusia 169,487 160 35.2 70.2 22.9 223 - -27.7 56.5 265 55.9 -4 Wakulla 6,308 10 20.0 .7 -36.4 14 -34.2 1.5 193 55.8 Walton 16,987 15 3.3 2.6 73.3 147 19.5 3.5 203 58.3 Coastal area 5,469,485 2,906.4 57.4 Georgia Bryan 6,539 15 .5.0 .7 -22.2 31 -11.5 1.3 178 62.7 Camden 11,334 17 13.6 .0 .0 47 -15.5 2.2 180 63.6 Chatham 187,767 422 -.3 247.1 15.6 25 -47.0 47.6 209 58.0 Glynn 50,373 123 20.4 90.5 -11.7 20 -56.3 13.0 230 59.0 Liberty 17,569 34 21.3 1.7 240.0 21 -69.9 2.2 140 59.7 McIntosh 7,371 17 15.8 4.5 1,025.0 7 -82.3 1.4 189 .57.5 Coastal area 280,953 344.5 60.0 Hawail Hawaii 63,468 16 3.5 34.4 -5.5 1,203 -12.7 15.3 183 53.6 Honolulu 629,176 1,058 26.0 252.2 40.8 147 -4.0 102.1 104 Kauai 29,761 @8 5.6 20.6 10.2 273 -3.9 7.6 234 59.5 Maui 46,156 39 7.7 19.0 -29.6 435 -18.1 13.3 224 58.2 Coastal area 768,561 326.2 57.1 Illinois Cook 5,488,328 5,759 7.1 11640.0 29.3 93 -7.9 1,604.5 250 41.2 Lake 382,638 837 30.3 566.5 31.3 111 -6.0 99.4 211 44.3 Coastal area 5,870,966 2,206.9 42.7 Table 4-2. Population and economic cbaracteristics of U.S. coastal counties, districts, and municipalities (continued) Per Population Local capita Value add- govern- Per income Coastal State Per Per sq. Change ed by manu- Change Farm- Change ment capita change and locality unit mi. 1960-70 facturing 1963-67 land 1964-69 revenue outlay 1969-74 % million % 1,000 million dollars % dollars acres % dollars Indiana ,Lake - .. 546,253 1,065 6.4 1,698.4 6.5 168 -4.4 176.9 262 50.3 La Porte 105,342 174 10.8 224.6 53.9 293 5.8 24.9 196 46*1 Porter 8.7,114 205 44.5 108.2 101.9 175 -8.2 19.4 217 48.9 Coastal area 738,709 2,031.2 48.4 Louisiana Acadia 52,109 79 4.4 14.9 98.7 336 -3.9 9.7 60.2 A@cension 37,08.6 123 32.8 17.9 -52.0 64 -30.7 '6.4 152 55.5 Assumption J9,654 55 94 8.6 -49.1 85 -3.5 3.3 139 70.7 Calcasieu 145,415 132 .0 183.8 22.4 403 -23.7 36.7 215 53 *I Cameron 9,194 6 18.6 3.8 .0 297 1.0 2.7 304 49.9 East'Baton Rouge 285,167 621 24.0 455.3 24.6 134 -12.4 65.9 188 48.3 Iberia 57,397 97 11.1 20.2 29.5 131 -2.2 11.3 191 56.1 00 Iberville 30,746 49 2.7 .0 .0 122 -.8 ;7.5 188 58.6 00 Jefferson 337,568 917 62.0 243.7 68.5 9 -11.8 62.0 196 48.9 Jefferson Davis 29,554 45 -.9 5.5 266.7 -366 2.7 7.7 230 58.9 Lafourche 68,941 60 24.5 21.4 .9 @205 -9.1 15.1 192 56.2 Livingston 36,511 56 35.4 3.5 133.3 45 -35.5 6.5 175 53.7 Orleans 593,471 3,013 -5.4 464.2 26.6 0 .0 153.5 193 48.9 Plaquernines 25,225 24 11.9 20.5 33.1 32 -44.7 9.8 181 58.2 St.Bernard 51,185 100 59.0 137.1 42.8 .7 -53.1 9.8 173 53.2 St. Charles 29,550 101 39.3 116.5 .0 34 -36.2 6.4 203 60.2 St. James 19,733 78 7.4 35.5 47.9 57 -8.2 4.4 218 67.9 St. John the Baptist 23,813 105 29.1 39.4 .0 23 -40.5 3.6 128 65.4 St. Martin 32,453 44 11.7 4.4 33.3 100 -8.2 4,8 130 64.9 St. Mary 60,752 97 24.4 52.6 70.8 121 -1.7 14.4 206 53.4 St. Tammany 63,585 72 64.5 15.2 39.4 80 -11.2 12.9 190 49.6 Tangipahoa 65,875 82 10.8 16.4 19.7 160 -19.0 11.7 163 51.7 Terrebonne 76,049 56 25.1 30.6 94.9 100 -18.9 15.4 190 54.8 Vermilion 43,071 36 10.9 12.8 103.2 393 1.6 10.2 202 63.0 West Baton Rouge 16,864 83 14.0 2.8 40.0 55 16.4 4.5 223 60.1 Coastal area 2,209,968 1,926.6 56.8 Maine Cumberland 192,528 219 5.3 219.6 45.9 67 -41.9 40.9 183 42.6 Hancock 34,590 23 7.1 25.1 52.1 47 -48.9 5.6 163 44.5 Knox 29,013 79 1.5 22.6 32.2 40 -52.3 5.0 163 48.2 Lincoln 20,537 45 11.0 9.0 40.6 32 -41.9 3.7 176 46.5 Sagadahoc 23,452 91 2.9 43.5 18.9 18 -52.7 4.0 132 39.4 Waldo 23,328 32 3.1 13.5 .0 99 -38.7 4.6 188 47.4 Washington 29,859 12 -9.3 23.7 12.3 83 -48.4 4.0 119 43.0 York 111,576 111 12.2 94.3 57.4 81 -39.4 19.0 155 42.3 Coastal area 464,883 451.3 44.2 Maryland Anne Arundet 297,539 705 44.2 225.9 18.6 63 -17.2 68.9 202 52.9 Baltimore 621,077 1,037 26.0 930.3 16.2 118 -11.6 159.9 210 49.0 Calvert 20,682 95 30.7 1.3 -23.5 62 -16.9 4.4 211 69.3 Caroline 19,781 62 1.6 14.1 8.5 133 -8.3 5.4 244 45.3 Cecil 53,291 147 10.1 40.8 38.3 114 -10.8 9.8 165 48.7 Charles 47,678 104 46.4 4.4 29.4 107 -16.0 9.1 213 61.0 Dorchester 29,405 50 -.9 39.4 63.5 140 -7.0 7.2 209 54.6 Harford 115,378 255 50.4 56.7 47.3 133 -12.1 21.8 179 50.7 Kent 16,146 57 4.3 6.9 7.8 148 1.8 3.3 210 49.1 Prince Georges 660,567 1,363 85.0 140.1 42.8 92 -19.1 144.8 211 50.8 Queen Armes 18,422 49 11.2 4.0 14.3 171 -4.0 5.0 247 56.6 St. Marys 47,388 127 21.8 2.0 5.3 95 -18.5 12.2 253 61.0 Somerset 18,924 56 -3.6 10.1 55.4 70 -11.3 4.0 178 51.8 Talbot 23,682 91 9.8 13.3 23.1 125 .0 5.0 172 50.4 Wicomico 54,236 142 10.6 66.8 38.3 113 -3.4 12.9 200 48.4 Worcester 24,442 51 3.0 30.0 39.5 128 -8.3 4.6 147 54.4 Baltimore City 905,759 11,613 -3.5 1,521.0 16.7 0 .0 371.9 324 Coastal area 2,974,397 3,107.1 71.1 Massachusetts 00 Barnstable 96,656 246 37.5 12.5 115.5 5 -49.7 34.9 383 42.5 Bristol 44.4,301 802 11.5 747.9 34.4 46 -20.1 1152 244 39.9 Dukes 6,117 59 4.9 .0 .0 9 63.1 2.9 426 43.7' Essex 637,887 1,291 12.1 1,056.3 24.3 39 -19.7 186.6 267 41.8 Nantucket 3,774 82 6.0 .0 .0 0 .0 1.8 383 43.8 Norfolk 605,051 1,535 18.5 687.4 48.9 18 -22.7 181.1 268 39.2 Plymouth 333,314 510 34.2 201.2 34.4 79 -24.7 87.7 257 39.4 Suffolk 735,190 13,128 -7.1 1,241.0 26.2 0 -69.5 375.5 438 35.0 Coastal area 2,862,790 3,946.3 40.6 Michigan Alcona 7,113 10 12.0 1.5 .0 56 -24.8 1.7 207 40.4 Alger 9,568 9 -7.4 .0 .0 25 -22.1 2.6 257 46.5 Allegan 66,575 81 15.3 67.3 70.4 276 -4.1 15.2 199 45.9 Alpena 30,708 54 7.5 62.2 33.8 93 -22.0 11.6 321 45. 1' Antrim 12,612 26 21.6 11.9 33.7 70 -28.1 3.6 289 38.3 Arenac 11,149 30 13.1 4.1 105.0 91 -9.2 2,9 258 48.8 Baraga 7,789 9 8.9 7.8 39.3 25 -27.8 2.9 323 45.3 Bay 117,339 263 9.6 189.7 54.1 185 -5.7 31.0 224 44.9 -Benzie 8,593 27 9.7 6.8 112.5 39 -17.1 2.7 304 37.5 Berrien 163,875 283 9.4 363.9 36.7 216 -9.3 44.8 256 42.3 Charlevoix 16,541 40 23.2 23.3 70.1 51 -28.8 4.3 255 43.6 Cheboygan 16,573 23 13.9 9.6 159.5 55 -25.8 4.1 229 34.3 Chippewa 32,412 20 -.7 2.0 -66.7 96 -25.2 10.9 273 49.1 Delta 35,924 31 4.7 37.4 61.2 102 -13.3 8.7 241 '47.9 Emmet 18,331 40 15.3 9.4 -22.3 57 -29.6 4.7 252 41.1 Table 4-2. Population and economic characteristics of U.S. coastal counties, districts, and municipalities (continued) Per Population Local capita Value add- govern- Per income Coastal State Per Per sq. Change ed by manu- Change Farm- Change ment capita change and locality unit mi. 1960-70 facturing 1963-67 land 1964-69 revenue outlay 1969-74 % million % 1,000 :L % million dollars % dollars acres dollars Gogebic 20,676 19 -15.2 7.3 78.0 12 -34.9 7.2 312 46.9 Grand Traverse 39,175 85 17.0 31.8 55.9 84 -10.6 9.9 232 40.4 Houghton 34,652 34 -2.8 8.9 -3.3 46 -39.4 7.7 201 45.9 Huron 34,083 42. .2 24.0 63.3 426 -5.0 8.7 209 53.4 l6sco 24,905 46 50.9 6.7 19.6 74 -.7 6.0 221 46.1 Keweenaw 2,343 4 -6.3 .1 -83.3 0 .0 .6 219 58.8 Leelanau 10,872 32 16.6 2.0 66.7 78 -25.4 2.2 170 46.7 Lenawee 81,609 109 5.4 196.6 74.0 404 -3.1 21.5 237 39.7 Luce 6,789 7 -13.3 2.1 110.0 12 -31.9 2.4 255 40.1 Mackinac- .9,660 10 -11.0 .4 -69.2 28 -4.0 3.0 267 43.7 Macomb 625,309 1,303 54.1 1,131.9 61.9 97 -28.6 159.6 239 42.2 Manistee 20,094 37 7.1 41.9 15.4 68 -13.8 5.1 223 42.0 Marquette 64,686 35 15.2 15.5 25.0 27 -34.7 16.8 213 49.4 Mason 22,612 46. 3.1 31.9 13.5 96 -18.9 5.1 195 41.9 Menominee 24,587 24 -.4 26.2 26.6 162 -22.1 6.4 248 48.9 Monroe 118,479 214 17.9 121.0 24.0 254 -3.8 24.1 193 44.1 Muskegon 157,426 314 5.0 384.9 27.2 72 -20.5 46.7 249 42.3 Oceana 17,984 34 8.7 5.0 92.3 131 -13.4 4.5 188 40.7 Ontonagon 10,548 8 _3 .0 .0 49 -19.0 3.4 267 47.8 Ottawa 128,181 228 .29.8 227.2 41.1 177 -11.8 28.4 221 41.9 Presque Isle 12,836 20 -2.1 1.9 171.4 96 -26.6 3.3 230 49.5 St. Clair 120,175 164 12.1 165.1 42.2 218 -22.0 32,0 235 38.8 Sanilac 34,889 37 8.9. 40.1 31.9 461 -11.1 9.0 226 42.5 Schoolcraft 8,226 7 -8.1 4.1 41.4 15 -18.0 3.0 307 48.8 Tuscola 48,603 60 12.2 31.4 48.1 359 -8.1 11.1 189 46.2 Van Buren 56,173 93 16.1 70.0 49.3 225 -6.7 16.1 246 42.8 Wayne 2,666,751 4,414 .2 5,908.8 20.1 50 -24.3 974.4 306 42.5 Coastal area 4,956,427 9,283.7 44.4 Minnesota Cook 3,423 3 1.4 1.0 11.1 0 .0 1.9 544 55.7 Lake 13,351 6 -2.6 2.0 42.9 7 -42.2 5.4 334 64.5 St. Louis 220,693 36 -4.7 114.0 3.4 181 -36.5 88.2 330 54.5 Coastal area 237,467 117.0 58.2 Mississippi Hancock 17,387 36 23.8 .0 .0 40 -36.6 2.8 104 52.9 Harrison 134,582 230 12.6 42.7 50.9 40 -16.5 26.0 154 43.9 Jackson 87,975 120 58.5 169.9 69.2 36 -35.5 17.5 184 54.7 Coastal area 239,944 212.6 53.8 New Hampshire Rockingham 138,951 201 40.3 68.0 63.9 57 -739.9 25.6 180 416 Strafford 70,431 187 17.8 117.8 27.8 39 -32.1 13.9 181 .41.2 Coastal area 209,382 185.8 42.4 New Jersey Atlantic 175,043 308 8.8 150.1 53.2 31 -19.4 60.6 294 44.1 Bergen 898,012 3,834 15.0 1,469.4 26.4 6 2.9 237.9 242 42.9 Burlington 323,132 395 43.9 269.4 31.6 142 -13.8 68.1 195 45.8 Camden 456,291 2,065 16.4 590.5 20.1 12 -15.9 143.5 262 43.4 Cape May 59,554 223 .22.7 13.9 16.8 .16 -10.6 22.3 337 48.6 Cumberland 121,374 243 13.6 254.1 42.8 95 2.9 31.0 216 42.3 Essex 929,986 7,173 1.0 1,762.9 28.4 1 -7.7 365.3 357 40.1 Gloucester 172,681 525 28.1 192.3 5.0 74 -7.4 39.8 215 45.3 Hudson 609,266 12,933 -.5 1,594.9 .14.4 0 66.7 190.9 277 41.2 Middlesex 583,813 1,871 34.6 1,472.5 33 -14.1 153.7 260 46.9 Morunouth 459,379 970 38.1 259.5 27.0 .78 -12.0 123.7 262 43.9 Ocean 208,470 325 92.6 49.2 29.8 10 -50.2 52.8 @275 43.2 Salem .60,346 165 2.8 185.5 2.3 105 -5.0 18.1 255 47.8 Union 543,116 5,273 7.7 1,762.0 38.1 1 -18.2 156.1 257 -42.6 Coastal area 5,600,463 10,016.4 44.1 New York Bronx 1,471,690 35,895 3.3 570.7 20.5 0 .0 .0 0 42.4 Cayuga 77,439 111 4.7 79.0 48.5 278 -9.9 31.6 411 40.4 Chautauqua 147,305 136 1.3 230.3 28.8 322 -18.3 56.8 329 39.6 Dutchess 222,295 273 26.3 281.8 83.0 162 -21.1 67.9 279 37.5 Erie , 1,113,491 1,052 4.6 1,896.5 25.1 222 -!- 17.4 406.1 326 40.2 Jefferson 88,508 68 .8 77.7 37.5 408 -15.9 39.8 365 .35.5 Kings 2,602,012 37,172 -1.0 2,190.7 3.0 0 .0 .0 0 40.5 Monroe 711,917 1,055 21.4 2,709.0 66.2 .156 -21.1 27 i.2 361 39.0 Nassau. 1,428,075 4,944 .9.9 1,639.8 44.8 2 -56.2 664.8 417 38.5 New York I,D9,233 66,923 -9.4 5,666.8 0 .0 4,866.8 479 21.0 Niagara 235,720 443 -2.7 756.9 37.0 172 -5.2 99.1 365 38.4 Orange 221,657 .266 26.6 24.5 157 -22.2 74.4 308 39.0 Orleans .37,305 94 0.2 41.3 73.3 166 1 .3 13.1 321 39.7 Putnam 56,696 245 -78.7 13.7 45.7 14 -36.8 18.5 363 38.1 Queens 1,986,473 18,400 9.8 1,680.7 18.6 0 -85.6 .0 0 32.5 Richmond 205,443 5,094 33.1 136.7 4.8 0 .0 .0 0 44.3 Rockland 229,903 1,306 68.1 371.9 44.6 4 -10.7 77.7 356 40.9 St. Lawrence. 111,991 41 1.0 143.7 16.5 543 -18.2 44.9 351 :40.0 Suffolk 1,124,950 1,213 69.0 589.9 37.3 62 -17.2 412.5 377 40.1 Wayne 79,404 131 16.8 89.4 23.8 229 -4.8 31.0 324 43.0 Westchester 894,104 2,019 10.6 956.3 26.6 15 -18.5 393.8 387 34.7 Coastal area 14,675,611 20,207.7 58.1 North Carolhin Beaufort 35,980 44 -.1 28.6 130.6 196 -10.8 8.5 204 61.2 Bertie 20,528 29 -15.7 8.1 88.4 194 1.3 4.7 175 81.3 Brunswick 24,223 28 193 5.4 -15.6 87 -13.1 3.5 170 63.4 Camden 5,453 23 -2.6 . 1 .0 56 3.9 .9 151 72.4 Carteret 31,603 59 15.2 8.7 50.0 31 -24.5 6.1 133 54.5 Table 4-2. Population and economic characteristics of U.S. coastal counties, districts, and municipalities (continued) Per Population Local capita Value add- govern- Per income Coastal State Per Per sq. Change ed by manu- 1963-67 Farm- Change ment capita change and locality unit mi. 1960-70 facturing Change land 1964-69 revenue outlay 1969-74 million % 1,000 % million dollars % % dollars acres dollars Chowan 10,764 62 -8.2 13.1 351.7 59 3.3 2.3 150 60.1 Craven 62,554 89 6.4 17.8 24.5 113 -10.7 10.8 157 63.6 Currituck: 6,976 28 5.7 .1 -66.7 53 -24.4 1.1 141 55.9 Dare 6,995 is 17.9 .0 .0 0 .0 1.5 189 54.3 Gates 8,524 25 -7.9 1.6 128.6 86 -4.0 1.7 147 76.2 Hertford 23,529 67 3.6 13.0 49.4 105 8.4 4.0 159' 66.4 Hyde - 5,571 9 -3.4 .6 50.0 79 3.8 . .9 149 73.3 New Hanover 82,996 449 15.7 80.3 117.6 18 13.6 20.2 217 58.4 Onslow 103,126 135 19.6 3.3 135.7 97 -13.1 9.7 76 66.6 Pamlico 9,467 28 -3.9 .8 .0 45 -19.9 1.3 134 67.9 Pasquotank 26,824 118 4.7 7.8 -46.6- 68 -8.0 6.4 211 65.5 Pender 18,149 21 -1.9 2.5 56.3 112 -14.5 3.1 172 70.6 Perquimans. 8,351 34 -9.0 1.8 157.1 81 -10.4 1.7 179 78.3 Tyrrell 3,806 10 -15.8 .0 .0 34 -16.1 1.0 229 71.5 Washington 14,038 41 4.1 .0 .0 91 29.8 2.6 164 69.1 Coastal area 509,457 193.6 66.5 Ohio Ashtabula 98,237 140 5.8 174.5 55.1 192 -10.5 22.1 201 41.4 Cuyahoga 1,721,300 3,774 4.4 3,911.7 24.8 10 -38.7 509.6 246 41.1 Eric 75,909 288 11.6 160.7 29.7 107 -2.1 17.5 194 42.8 Lake 197,200 854 32.6 273.0 65.3 21 -39.3 52.2 237 41.8 Lorain 256,843 519 18.1 533.8 -1.4 162 -12.3 60.2 199 45.5 Lucas 484,370 1,410 5.8 942.0 32.0 99 -5.5 136.6 244 42.8 Ottawa 37,099 142 5.0 44.2 -17.2 130 1.8 8.1 190 47.2 Sandusky 60,983 149 8.0 136.8 49.5 241 3.2 13.4 190 47.1 Wood 89,722 145 23.6 137.8 38.2 371 9.9 17.0 197 47.2 Coastal area 3,021,663 6,314.5 44.1 Oregon Clatsop 28,473 35 4.0 36.1 38.3 24 -39.9 10.0 337 46.0 Columbia 28,790 45 28.6 32.5 1.9 74 -21.6 8.9 240 55.7 Coos 56,515 35 2.8 79.8 15.3 197 -20.8 173 266 45.6 Curry 13,006 8 -7.0 22.2 -.4 91 -17.4 5.7 342 50.3 Douglas 71,743 14 4.8 103.5 24.2 464 -12.1 26.6 273 47.9 Lane 213,358 47 32.2 208.2 13.4 271 -35.0 61.9 244 46.3 Lincoln 25,755 26 4.5 17.7 -26.9 47 -30.7 9.6 266 54.4 Tillamook 17,922 16 -4.9 19.8 46.7 51 -23.4 6.0 315 50.3 Coastal area 455,562 519.8 - 49.5 C6-AI C) too w CA -0 z ;P,@ w -0 m 0 0 CD CD CD fb LQ. 0, 0 rD CD co W CD LA 00"'.0 t) ON w w 'o @UjtA-;@ -4w"u) m W W tA tA 00 00 PJI p 00 tj -4 t1i .91 tj --l w @o \0 w @z @A m - 00 -3 t4 'A uj @c a, ON tA 00 (7\ w t.A - --a - 00 (7\ uj CD .4. w \0 0 N @A \4 4@ CD ON @A 00 uj \0 (D tA w ON 4@ t4 w 0, t-4 --I w t4 --1 00 t) \0 (71 LA CN 00 \0 41 LA t) tj w 00 00 00 tJ w a, \0 00 tj w tA -W@J"UJ-4w m 41 0\ tA 00 ON \D - N uj j uj -4 all 0 @o bi 00 W .01 @D C> \0 ZA (7\ 0 -1 4.1. ON N --j 00 @o w -4 (7@ 0 kQ t,) t.A -4 -4 0 @o Nt@ 4 w w ON tA UJ @m (3N.-4'-J tA -4 tJ 4@ -4 CS t4 00 O\ - t4 W 0 - 00 t1i LA 0 tA -4 t4 00 @c m -j tA w (A _j N W 4 (ON Ch a@ --l - 00 " -a c-, -4 . - w w W" 00 w a) . . . . . . . . . . ?o - :91 : . :;, . . . . . . . po. . @r . p . :"j . !-4 @A ?o @o LA %d " -4 0 W 0 -4 0 - -4 0 0@ 0 @c 0 tl) LA w (7\ \0 tlj w w tA 0 W w t4 0\ LA 00 00 ON ON -9@ -4 ON 00 -t@ 41 t.,J @c LA 00 W. tA. w 00 -4 00 0 w ZA @A = bs @o ZA @j @j b% -P, cr, \C w w 4 N N) t,) t1a w tA -1 0 -4 w \@o -4 00 0 w " 0 " w kA " 0 \0 tA C) -j 0@ LA 0 00 -J - 4@ Ut W ZA C\ 0 LA LA 0 a, \0 t,) 00 @o 00 W W w cr, w w 00 I f WWWLA- cs m a@ m w .91 t.A -4 N m bN 6) i4 ZA @A @A LA @A 4) :-J :4.. tA 0\ w @c 'A -4 a@ \10 aA 00 U) -4 -4 .0, LA 00 t.A \0 tA -4 a, 00 00 w Z.) @o bo i4 @7s i4 ;,j Ll@ w @o bo kA w @o LIJ w ON tA W M w W W LA -4 tA W W 4 \0 --1 -.4 r@ M W W.4. N ---3 00 -j 00 0 4@ 00 (2% tA w -4 w w @o w w -1 w w -Q c7s w w 00 P. 0 L'. 00 C\ w uj M tA '-A a, . . . a, LA a% a, q\ a) LA tA (7@ oo 4@ t-A 4 LA 41 91 PO :P. @- @- @A !" !IJ @c @4 @4 w w 00 w - w tA w w w w a, o ZIJ ZA @"' :-a :;, r@ iA @o @A ?o @- @11 !-o -I PC :91 00 " 4 0 LA " 4 w ch 4 w LA w @O -1 " 4 @A 00 --A tA 0 00 Table 4-2., Population and economic characteristics of U.S. coastal counties, districts, and municip"es (continued) Per Population Local capita Value add- govern- Per income Coastal State Per Per sq. Change ed by manu- 1963-67 Farm- Change ment capita change and locality unit mi. 1960-70 facturing Change land 1964-69 revenue outlay 1969-74 million % 1,000 % million dollars % % dollars acres dollars Virginia Accomack 29,004 61 -5.3 5.8 18.4 105 -8.0 5.1 129 67.4 Caroline 13,925 26 9.4 3.5 45.8 85' -13.9 2.1 132 65.4 Charles City 6,158 34 12.1 .2 -33.3 25 -33.3 1.0 159 70.4 Chesterfield 76,855 174 8.2 155.9 46.7 32 -44.0 16.0 134 53.8 Essex 7,099 28 6.1 7.7 140.6 72 -9.8 1.0 145 63.0 Gloucester 14,059 62 18.0 2.9 45.0 35 -21.7 1.9 120 56.4 Hanover 37,479, 81 36.0 7.6 26.7 142 -2.1 3.9 93 58.6 Henrico 154,364 674 31.6 31.3 49.8 40 -18.8 25.4 155 59.2 Isle of Wight 18,285 58 6.5 63.3 45.2 102 -1.8 3.0 135 63.0 James City 17,853 117 54.7 .0 .0 21 -19.8 2.0 105 56.@ King and Queen 5,491 17 -6.8 1.3 .0 55 -21.1 .8 100 69.4 King George 8,039 46 11.0 .0 .0 40 -8.6 .9 107 52.1 King William 7,497 27 -.9 .0 .0 61 -23.6 1.1 107 59.1 Lancaster 9,126 67 -.5 2.8 -30.0 26 14.4 1.1 118 63.4 Mathews 7,168 81 .7 .3 200.0 11 7.2 .9 114 50.7 Middlesex 6,295 48 -.4 1.5 56.0 26 -11.0 1.1 138 74.5 New Kent 5,300 25 17.7 1.1 .0 30 -10.6 .7 129 76.3 Northampton 14,442 66 -14.9 7.3 17.7 51 -20.1 2.6 136 68.2 Northumberland 9,239 49 -9.3 4.9 75.0 50 -5.2 1.2 113 72.8 Prince George 29,092 105 43.5 .0 .0 66 -11.7 2.8 88 74.9 Richmond 5,841 34 2.0 3.8 .0 47 -29.5 1.1 146 65.6 Spotsylvania 16,424 40 18.9 .0 .0 72 -24.7 2.3 124 57.0 Stafford 24,587 91 45.7 .7 -22.2 36 -22.7 2.8 109 61.2 Surry 5,882 21 -5.4 .0 .0 72 2.1 .7 106 75.5 Westmoreland 12,142 53 10.0 2.3 53.3 65 -11.8 2.1 157 73.3 York 33,203 257 53.8 .0 .0 11 8.3 5.5 149 59.6 Chesapeake City 89,580 263 21.6 28.4 9.2 69 -11.4 21.1 216 Colonial Heights City 15,097 1,887 57.5 2.3 27.8 0 .0 2.4 145 Hopewell City 23,471 2,608 31.2 105.5 7.4 0 .0 6.6 260 New ort News City 138,177 2,003 21.6 219.8 18.4 0 .0 28.6 170 . p Norfolk City 307,951 5,810 1.0 158.5 7.1 0 .0 93.4 275 Petersburg City 36,103 4,513 -1.8 146.4 52.3 0 .0 12.3 267 Portsmouth City 110,963 3,826 -3.3 40.8 67.9 0 .0 24.6 210 Richmond Ctiy 249,621 4,157 13.4 3.8 .0 0 .0 69.3 276 Virginia Beach City 172,106 665 102.0 3.8 216.7 52 -16.7 24.7 158 Coastal area 1,717,918 836.4 64.1 Washington Clallarn 34,770 20 15.8 44.4 2.8 36 -43.7' 12.4 320 46.1 Grays Harbor 59,553 31 9.3 109.9 32.6 59 -31.5 16.9 257 46.5 Island 27,011 127 37.5 .8 14.3 19 -45.7 4.7 178 46.1 Jefferson 16,661 6 10.6 .0 .0 15 -29.5 3.4 319 43.0 King 1,156,633 545 24.0 1,932.4 44.0 61 -25.8 345.5 271 40.8 Kitsap 101,732 259 20.9 11.2 53.4 24 -51.9 22.1 207 42.4 Mason 20,918 22 28.7 .0 .0 27 -26.4 4.7 245 48.8 Pacific 15,796 17 7.6 11.3 16.5 39 -21.3 4.7 301 50.2 Pierce 411,027 245 27.8 282.6 43.5 73 -44.7 105.7 247 46.0 San Juan 3,856 22 34.3 .3 -25.0 26 -32.0 1.0 283 41.6 Skagit 52,381 30 2.0 101.9 41.3 117 -14.3 18.5 291 47.7 Snohomish 265,236 126 54.0 106.1 -23.4 95 -26.1 59.6 229 42.9 Thurston 76,894 108 39.7 56.0 34.3 81 -37.3 17.1 232 43.6 Wahkiakurn 3,592 14 4.8 .0 .0 21 -24.2 .9 249 53.3 Whatcorn 81,950 39 16.5 107.5 68.8 142 -19.9 19.3 217 48.5 Coastal area 2,390,626 2,914.1 45.8 Wisconsin Ashland 16,743 16 -3.6 16.1 69.5 80 -27.3 5.2 291 48.7 Bayfield 11,683 8 -1.9 11.7 160.0 105 -34.0 4.4 Brown 320 45.0 158,244 302 26.5 282.4 51.7 256 -8.8 39.4 234 49.8 Burnett 9,276 11 1 .7 4.1 70.8 109 -26.1 3.1 303 47,0 Door 20,106 41 -2.8 15.6 108.0 178 . 18.6 6.8 272 46.5 Douglas 44,657 34 -.8 23.6 7.3 79 -29.7 15.6 Iron 6,533 9 -16.6 2.6 436.4 18 -3 .- 3.4 2.7 314 48.4 399 42.7 Kenosha 117,917 434 17.2 209.8 -42.3 109 -4.8 34.0 255 57.3 Kewaunee 18,961 57 3.7 20.1 54.6 192 -4.7 6.0 270 49.9 Manitowoc 82,294 139 9.4 147.0 35.1 304 -3.6 23.4 260 47.8 Marinette 26 3.3 72.0 41.7 189 -20.3 12.4 315 47.9 Menominee 2,607 7 .0 2.4 . .0 - 0 .0 1.5 480 73.3 Milwaukee 1,054,063 4,448 1.8 2,464.6 21.4 17 -32.3 422.0 312 47.8 Oconto 25,553 26 -2.8 22.0 6.3 272 -12.3 6.3 ng 47.7 Ozaukee .54,421 41.7 106.6 70.0 105 --z- 2.9 14.3 258 51.0 Racine 170,838 507 20.5 425.0 50.9 140 -5.8 47.1 255 51.6 Sheboygan 96,660 191 .11.8 203.3 42.0 -10.3 27.7 251 43.3 Coastal area 1,926,366 4,028.9 49.7 Chapter V: Marine Transportation Introduction , Transportation has traditionally been a major In the United States, Government participation in arena for Government regulatory and developmental the development and regulation of water transporta- activity. The vital importance of safe, efficient trans- tion, and in the promotion of U.S. shipping and ship- portation to economic well-being and security has building, dates from the earliest days of the Repub- long been recognized and because of the large ex- lic. The second and third acts of the First Congress penditures required to build and maintain many ele- established lower import and tonnage duties for ments of a viable transportation system, substantial U.S. vessels than for foreign vessels,3 and 5 of the Government involvement has been a natural devel- first 11 acts of the First Congress contained provi- opment. sions to regulate shipping and encourage the growth In water transportation, an early role for Govern- of the American merchant marine. Early articulation ment evolved in developing and maintaining the of the importance of navigation to both our com- water transportation infrastructure. Traditional Gov- merce and defense was contained in a letter written ernment activities in this area have included assist- in 1793 by Thomas Jefferson to the House of Repre- ance in port and waterway development projects, sentatives .4 the promulgation and enforcement of standards for "As a branch of industry [our navigation] the safe operation of the water transport system, and is valuable, but as a resource of defense, the provision of services to aid navigation and safety. essential. Its value as a branch of industry In recent years a growing Government role has is enhanced by the dependence of so many emerged in conjunction with efforts to better inte- other branches on it. In times of general grate requirements for efficient water transportation peacp it multiplies competitors for employ- with other broad social objectives such as environ- ment in transportation, and so keeps that mental protection, public safety, and better manage- at its proper level, and in times of war- ment of limited ocean and coastal resources. that is to say, when those nations, who Another traditional area of Government involve- may be our principal carriers, shall be at ment in water transportation has been in the devel- war with each other-if we have not opment and implementation of shipping policies. within ourselves the means of transporta- Such policies have been defined as actions taken by tion, our produce must be exported in government to modify the impact of market forces belligerent vessels, at the increased ex- on the construction and operation of merchant ves- pense of war freight and insurance, and sels.' These measures, which include both regulatory the articles which will not bear that must and promotional activities, may be temporary or may perish on our hands. But it is as a resource be carried out over an extended period and may of defense that our navigation will admit range from relatively subtle or indirect actions in- neither neglect nor forebearance. The posi- tended to exert minor or peripheral influence on the tion and circumstances of the United market, to outright state ownership and operation States leave them nothing to fear on their of shipping and shipbuilding assets. Under this broad landboard, and nothing to desire beyond definition, few maritime nations today would be -cor- rIectly characterized as having no shipping policy. exIert some influence over the operation of merchant vessels under While the extent and nature of Government involve- their registry, although effective regulation is characteristically ment varies widely from one maritime nation to minimal. Growing pressure for better control of vessels under another, some degree of Government participation in convenience registry is gradually compelling many of these na- tions to adopt increasingly stronger merchant shipping policies. maritime aff airs is now probably almost universal 3 Gerald R. Jantscher. Bread Upon the Waters: Federal Aids among maritime states.-2 to the Maritime Industries, Washington, D.C., The Brookings Institution, 1975, p. 1. 4 Thomas Jefferson, 1793 letter to the U.S. House of Repre- I S. G. Sturmey. "National Shipping Policies," Journal of in- sentatives, as quoted in a speech delivered on March 25, 1922, dustrial Economics, 13: 14-29, November 1965. by Joseph E. Ransdell of Louisiana before the Senate of the 2 Even "flag-of-convenience" governments (such as Liberia) United States. V-1 their present rights. But on their seaboard transportation, the water transport system is char- they are open to injury, and they have acterized by a general sharing of responsibility there, too, a commerce which must be among private interests and State, local, and Federal protected. This can only be done by governmental entities. possessing a respectable body of citizen IAnother important general characteristic of the seamen and of artisans and establishments U.S. water transportation system is the prominence in readiness for shipbuilding." of ocean shipping as a major component of both our domestic and international trade systems. Although This expression of the essentiality of a reliable mer- it is the ocean component of the U.S. water trans- chant marine to the commercial and security inter- portation system which will be the focus of this ests of the Nation has been a dominant theme study, it should be emphasized that this does not throughout the history of U.S. maritime policy. preclude consideration of domestic water carriage. Although the new U.S. Government took imme- Today coastwise, intercoastal, and noncontiguous diate steps to promote, protect, and regulate U.S. domestic ocean commerce accounts for about one- shipping and shipbuilding, most early government fourth of all tonnage conveyed by water in the U.S. assistance in support of port and waterway develop- domestic trade. Furthermore, this domestic ocean ment in the United States was provided by State and movement is about one-third the size of total U.S. local governmental units. However, by the early foreign trade. It is evident, therefore, that Govern- 1800s serious consideration was being given to the ment policies relating to the transportation uses of idea that the Federal Government should assume a the sea affect not only our foreign trade transporta- primary role in developing a national transportation tion system, but domestic transportation as well. system.5 In 1808, Albert Gallatin, Secretary of the Conversely, both foreign and domestic trade consid- Treasury, proposed that the Federal Government erations must be included in the-development and undertake a comprehensive program of highway and implementation of U.S. ocean transportation policies. waterway development to promote economic expan- Various dimensions of Federal ocean transporta- sion and provide needed communication links be- tion policy are examined in the following sections. tween populated areas. Although this concept re- For this assessment, the body of U.S. policy relating ceived considerable support, and led to the to ocean transportation is divided into three broad construction of the Cumberland Road, . most early categories of Government activity. The first section waterway and highway projects remained the exclu- examines Federal infrastructure policies, including sive province of State and local governments. activities relating to port and harbor development, Despite the central role of State and local aid in aids to navigation and safety, and activities designed this period, two important Federal programs were to improve the compatibility of water transportation initiated which have persisted in various forms with other national objectives. The second section throughout our history. In 1790, the Revenue Ma- reviews the economic regulation of ocean shipping, rine (a predecessor of the Coast Guard) was estab- including an examination of both domestic and for- lished as a Federal maritime law enforcement eign trade regulatory activities. Finally, promotion agency, and in 1824 the Army Civil Works Program of U.S. shipping and shipbuilding is analyzed. This was begun in order to provide technical assistance last section assesses both direct and indirect Govern- in developing a national waterway system through ment promotional activities. Each section includes a the Army Corps of Engineers. Although these activ- consideration of the background and major justifi- ities have changed substantially over the years, the cations for Government involvement, an assessment conceptual foundation. for at least partial Federal of current, policy, and a description of the present responsibility for water transportation regulation and policyrnaking system. In addition, a brief discussion development was firmly established by these early of some of the major contemporary policy issues in actions. As is the case with other modes of U.S. each area is included. The Marine Transportation Infrastructure Government participation in the development and tion, together with the large investments associated maintenance of the marine transportation infrastruc- with port and harbor development, led inevitably to ture was a natural and early development in the a substantial Government role in this area. The United States. The importance of efficient trians- related need to assure safe, reliable operation of the portation to economic expansion and communica- water transport system compelled early Government participation in the development of standard naviga- 5 Dudley F. Pegrum. Transportation Economics and Public tion procedures, the provision of navigation aids, Policy, 3rd ed. Homewood, Ill.: Richard D. Irwin, 1973, p. 67. and the imposition of marine safety requirements. V-2 Today three general policy objectives provide of initiatives designe d to minimize the adverse impact broad direction to most Federal governmental activ- of the marine transportation system on the natural ities relating to the marine transportation infrastruc- environment and to assure that full consideration is ture. First, Federal programs are intended to foster given to competing demands for the use of ocean the development and maintenance of a safe, efficient, and coastal resources. and -reliable marine transportation system that can It is evident, of course, that these three general satisfy U.S. foreign and domestic trade requirements objectives may frequently conflict, necessitating some and meet marine transportation demands in time of war or other national emergency. Second, Federal form of equitable compromise. As a consequence, an programs have been traditionally designed to mini- over'riding Federal function in this area today must mize interference with private,.State, and local water be to resolve these conflicts fairly by Assuring that transporation prerogatives and to impact without all three objectives receive full and systematic con- regional discrimination. Finally, the increasing con- sideration in the formulation and execution of ma- cern for environmental protection has led to a variety rine transportation policy. Ports and Harbors 6 The Federal policy of nondiscrimination with re- national security. The security imperative is, of spect to U.S. port development finds its origins in course, reflected in the early placement of trans- Article 1, Section 9 of the Constitution, which pro- portation civil works responsibilities in the Depart- vides, in part, that: "No preference shall be given by ment of the Army. any regulation of commerce on revenue to the ports . On the one hand, then, considerations of economic of one State over those of another . . ." This non- development and security have provided the major discrimination provision reflects two interrelated justifications for Federal participation in port and views which have dominated Federal port policy waterway development, while the general policy of throughout our history. First, it arises from the nondiscrimination and the philosophy of minimal underlying philosophy that Federal involvement in Federal interference have 'tended to temper and waterway development and regulation should be kept limit the scope of this Federal activity. It is within to a minimum-a philosophy consistent with pre- this philosophical environment that the current port vailing views in early America relating to the im- policy system has emerged. portance of imposing strict limits on the powers of For the most part, Federal developmental activ- Government in all areas. Second, this provision re- ities have been confined to dredging and general flects the related view that whenever it is found harbor and waterway improvement projects designed necessary for the Federal Government to undertake to expand and improve'the overall navigability of the any developmental or regulatory activity Affecting U.S.@ port and waterway system.- Individual projects ports, the economic impact of that activity should be hav6 been evaluated, using fairly consistent criteria geographically uniform so as not to provide one established, by the Congress and applied on a case- State or area with any economic advantage over by@case basis. Proposed projects have been required another. As major determinants of Federal port pol- to be found economically feasible before final au- icy, these two perspectives have significantly influ- thorization. Traditionally, the Corps of Engineers enced the nature of port and harbor development in has engaged in approved channel and harbor dredg- the United States. ing projects* without cost to port and waterway inter- The other major consideration which has shaped ests. U.S. port policy has been a consistent recognition of With respect to shoreside port development, the the interrelationships between transportation, eco- philosophy of minimal Federal involvement has pre- nomic development, and national security. As noted vailed. Although some Federal planning and devel- in the Introduction, the importance of efficient trans- opmental assistance is provided and although certain portation to economic well-being and security has Federal regulatory functions are performed, opera- long been recognized, and throughout our history tion and development of shoreside facilities, such as the port and waterway programs administered by the docks and warehouses, are activities which, by and Federal Government have been justified in terms of large, have been left to, private, State, and local their contributions to economic development and interests. The net effect of this division of port development 6 Henry S. Marcus et a.). Federal Port Policy in the United responsibility has been the evolution of a port sys- States, Washington, D.C., U.S. Department of Transportation, June 1977, Much of the material contained in this section was tern responsive primarily to local economic impera- derived from this recently published source. This study, spon- tives rather than aggregate regional or national plan- sored by the Department of Trangportation, presents a detailed and comprehensive assessment of current U.S. port policy and ning considerations and physically characterized by its origins. fairly uniform vessel draft constraints. Supporters of V-3 the current U.S. port policy system have cited this Historically, the fragmented structure of the U.S. division of responsibility and the local focus in shore- port policy system and the Federal policy of non- side development as fundamental to the maintenance discrimination did not present any major problems of a flexible water transportation system which is for U.S. port development and trade. Although at responsive to rapidly changing U.S. trade require- times there may have been a tendency toward the ments and local economic development considera- development of some excess capacity, port develop- tions. Some critics, on the other hand, have suggested ment costs were not great and, in general, capacity that the fragmented nature of the U.S. port policy matched growing trade requirements fairly well. system tends to impede aggregate efficiency owing . In recent years, however, the system has experi- to the inadequacy of planning based on broad re- enced increasing pressure because of advances in gional and national considerations. The dispute be- shipping technology and because of growing environ- tween these two competing philosophical perspectives mental concerns. For many years, the relatively slow is likely to frame much of the debate over many 'of growth in vessel size, the prominence of compara- the more specific port policy issues in the future. tively small vessels, and the importance of break- As indicated, U.S. shoreside port facilities are, for bulk general cargo handling techniques fit well with the most part, maintained and operated by a variety a U.S. port system comprised of a national network of private interests and State and local government of ports, each serving its own local economic com- entities. Today more than 60 percent of the 2,400 munity and each of sufficient depth to accommodate commercial marine terminals in the United States most commercial carriers. The absence of concern (terminals capable of accommodating U.S. foreign over such issues as spoil disposal and coastal zone trade) are owned by private profit-making organiza- management allowed port expansion and channel tions. Except for a very few facilities owned by.pri- dredging to keep pace with the slow growth in vessel vate nonprofit organizations and nonmilitary Federal size and to proceed strictly in response to commercial agencies, the rest are owned and operated by either requirements. The combination of a relatively simple State (12 percent) or local (24 percent) govern- shipping technology and the absence of requirements mental agencies .7 to incorporate environmental considerations tended As a rule, private terminals are an integral part to keep internal port development costs relatively of some larger corporate activity and are generally low. designed to handle a single bulk commodity. Today The introduction of containerization and other bulk cargoes such as fuels, agricultural products, and intermodal shipping services together with the explo- ores account for about 95 percent of the total ton- sive increase in average vessel size in recent years nage of cargo moving in U.S. waterborne commerce, has spawned new concerns, however, that have and most of this traffic is handled by private port raised questions regarding the adequacy of tradi- facilities. The State and local public terminals, on tional U.S. port policies to meet contemporary trade the other hand, are characteristically general cargo requirements efficiently. The need for larger facilities facilities which are operated on a "common carrier" to accommodate larger vessels and the extensive basis. These facilities, in addition to seeking a return shoreside investment required to support intermodal on investment, are commonly operated by govern- shipping have resulted in dramatic increases in the ments in support of other general objectives relating cost of port development. To support these invest- to community economic development. Because of the ments, individual ports-have made efforts to expand substantial local economic benefit associated with the flow of cargo through their facilities, frequently a successful port, considerable community support seeking an enlargement of the economic community and pressure for port development and expansion served by the port. This expansion, of course, has have been common. been facilitated by the availability of the intermodal Generally, public ports in the United States are cargo handling procedures that, in part, made it operated by government port authorities of one kind necessary. or another. These institutions take many forms and While it has been suggested that the economies may be part of an existing city, county, or State of scale inherent in modern intermodal cargo han- government or may be essentially autonomous local, dling procedures may call for a reduction in the total State, or regional instrumentalities. While the form number of ports needed, the local economic impor- of this governmental institution varies widely tance of maintaining a healthy port facility imposes throughout the United States, a common function is strong pressures on each port in the system to seek to improve port financing prospects through govern- intermodal traffic. There is concern, however, that ment involvement. Improved financing is in turn these individual efforts may have resulted in the intended to yield better facilities, more trade and an development of excess intermodal capacity in the expanded local economy. total U.S. port system. But while some observers see this capacity as excess, others assert that most 7 Ibid., P. 7. of the capacity identified by critics as redundant is V-4 in fact essential to meet peak requirements and to The technological developments associated with assure system flexibility. In a 1976 report prepared the use of larger merchant vessels and intermodal by the National Research Council, the following cargo handling procedures have raised fundamental conclusions were reached with respect to the issue questions regarding the appropriateness and viabil- of excess port capacity: 8 ity of the Federal port policy of nondiscrimination. "The panel has concluded that it cannot Rising dredging costs, associated with strict new quantitatively determine the existence of spoil disposal requirements, and increasing support redundancy. Redundancy implies excess for better planning based on regional and national capacity, and it is impossible to provide an trade requirements have lessened support for strict adequate measure for the capacity of a adherence to this, traditional policy. While port in- port. There are many reasons for this terests generally favor a continuation of the tradi- measurement problem: One is that the tional Federal role, there is clearly growing support nature of cargo ships and productivity of for a stronger, more central Federal position with facilities will vary greatly through time. respect to U.S. port development. This support arises Cargoes are not uniform. Peaking-the from increasing recognition of the need to give better concentration of demand during limited voice to regional and national trade considerations periods of time-occurs in port operations in seeking a more efficient port system, the need to as in all other aspects of transportation. manage limited port development resources more It is [un]economical and, in some instances, carefully, and the need to assure full consideration physically impossible to provide for the of demands for competing uses of the coastal zone. maximum peaks. At the same time, it is Although the Army Corps of Engineers histor- undesirable that undue waiting time, lead- ically has played the most prominent Federal role in ing to costly delays to vessels and cargo, the U.S. port development, more than 50 Federal occur because of the failure to provide entities have been identified as having some impact for periodic peaks. Such delays, if com- on or responsibility for port development or regula- mon, could result in traffic being diverted tion today.9 Hence, while Government port-related to competing ports or, in some instances, responsibilities are fragmented among levels of Gov- not moving at all. ernment, they are also fragmented at the Federal Excess capacity, in one sense, does not level among various agencies. exist even though a port or terminal may In most cases, of course, the port-related activities have 100 percent utilization of its capacity of these agencies are carried out as a component or for only short periods of time, if ever. auxiliary feature of some other program directed Consideration of peak activities, other than toward objectives not necessarily related to port for very infrequent occasions, is an im- development. For example, port and harbor develop- portant element of port planning. Capacity ment projects supported by the Economic Develop- must be supplied in order to provide ade- ment Administration of the Department of Com- quate service to the shipping public as merce are undertaken principally to help local well as to anticipate' possible national communities reduce unemployment. However, port- emergencies, when even the largest ports and harbor-related projects constitute a significant may be crowded. portion of total EDA public works expenditures and, Another important reason, in the judg- therefore, represent a significant aid to water trans- ment of the panel, for providing capacity portation development even though such develop- in excess of normal demands is to create ment is not the primary motivation for Federal competition among the various ports and involvement. From the beginning of fiscal year 1966 port services to the advantage of the ship- through the end of fiscal year 1976, for example, ping public. That is, the public can be EDA obligated almost $125 million for port and reasonably assured not only of continued harbor.public works projects.10 This represents more availability of port services in the event than 6 percent of total EDA public works obligations of accidents or other closures or reduc- over the period. tions but also of competitive rates and Of the 50 or so Federal organizations having some services. Thus, the shipper receives a series port-related responsibilities, only four are considered of options that would not be available un- major participants in U.S. port development. While less interport competition continued." other agencies may influence port development through their programs, these four carry out activ- 8 National Academy of Sciences, National Research Council, Maritime Transportation Research Board, Panel on Future Port 9 Henry S. Marcus, op. cit." note 6, p. 40. Requirements of the United States. Port Development in the 10 U.S. Department of Commerce, Economic Development United States. Washington, D.C., National Academy of Sciences, Administration. 1976 Annual-Report, Washington, D.C., March 1976, p. 128. 25, 1977, p. 34. V-5 ities specifically designed to aid and improve U.S. navigation development projects sponsored by this water transportation. The four are: the Army Corps agency continue to dominate Federal support to port of Engineers, the Maritime Administration, the and harbor development as they have in the past, Coast Guard, and the Department of Transportation. despite declines in the percentage of total Corps re- The port-related activities of three of these agencies sources committed to this activity. According to its will be briefly discussed in the rest of this section, 1975 annual report, since the navigation program while those of the Coast Guard will be deferred until began in 1824, ". . . the Corps has participated the next section where they will be included along in the construction of 25,000 miles of inland and with an examination of other Coast Guard activities intercoastal waterways, 107 commercial port facil- relating to marine navigation and safety. A later sec- ities, 400 small boat harbors, and 261 locks." 1.2 tion will consider the marine environmental and These statistics provide evidence of the preeminent coastal zone management functions of the Federal historic role played by the Corps in U.S. water navi- Government, which today also significantly influence gation development. The size of the fiscal year 1976 U.S. port planning and development. navigation obligation cited previously provides evi- Historically, aid provided through Corps of Engi- dence that this role continues. neers dredging activities and port and harbor tech- Most of the water resource responsibilities of the nical assistance programs has represented, by far, the Corps, including most navigation activities, are largest component of Federal support to U.S. port carried out directly by Corps personnel at the local development. Beginning with the transportation pub- level. As a consequence, the Corps maintains an lic works responsibilities conveyed in 1824, the extensive field organization of 11 divisions with a central role of the Corps of Engineers in the devel- total of 36 districts. The field structure is organized opment of the U.S. water navigation system has been geographically by river basins and major drainage consistently reaffirmed by the Congress in various systems. Managed under the Directorate of Civil river and harbor statutes. Over the years, these stat- Works, this organization has about 300 military utes have, in turn, modified and expanded the scope officers and 30,000 civilian employees .13 of the water navigation authority of the Corps in A recent major controversial issue relating to response to changing transportation requirements. projects proposed by the Corps of Engineers and In addition, other statutes have greatly enlarged other water resource agencies has centered on the other Corps responsibilities with respect to general adequacy of the cost/benefit assessment made prior water resource management and development. As a to proceeding with a new water development project. consequence, water navigation development and im- Specifically this controversy pertains to the selection provement today is but one part of a multi-faceted of an appropriate discount rate for evaluating the Corps of Engineers water resource program which present value of the stream of future benefits ex- derives its authority from an array of Federal stat- pected from a particular water navigation project. utes. In fiscal year 1976, more than one-third of the Essentially, the objective of the cost/benefit proce- $588 million obligated for general operations and dure is to assure selection of the best projects and maintenance was provided in support activities other to assure a yield on water resource projects at least than those related to navigation. And in the con- equal to the yield which could be expected if the struction account, only,about 20 percent of the more same resources were devoted to a secure long-term than $1.2 billion obligated in fiscal year 1976 was investment. specifically earmarked for navigation projects." In In October 1973, a major discount rate con- addition to its water navigation activities, the Corps frontation arose with the publication by the Water today carries out major water-related programs in Resources Council of its Principles and Standards for such diverse areas as hydroelectric power generation, Planning. Established by the Water Resources Plan- flood control, recreation, control of shore and beach ning Act of 1965 as an independent, interagency erosion, hurricane protection, and preservation and executive organization, comprised of various Cab- improvement of water quality. inet-level officials, 14 the Water Resources Council Although its responsibilities for general water re- source management have been vastly expanded over 12 U.S. Department of the Army, Corps of Engineers. 1975 the years, the central role of the Corps of Engineers Annual Report of the Chief of Engineers on Civil Works Activ- in providing Federal aid to water navigation devel- ities. Washington, D.C., Corps of Engineers, February 1, 1977, p. 4. opment has not diminished as a consequence. Water 13 Ibid., p. 5. 14 Council members include Secretaries of Agriculture, Army, 11 U.S. Executive Office of the President, Office of Manage- Commerce, Interior, Housing and Urban Development, and ment and Budget. The Budget of the United States Govern- Transportation; Administrator of Environmental Protection "lent-Appendix (Fiscal Year 1978), Washington, D.C., Govern- Agency; and Chairman of Federal Power Commission. Other ment Printing Office, 1977, p. 385. These figures, no doubt, agencies that participate in the activities of the Council when somewhat understate the actual size of the total navigation requested include Office of Management and Budget, Depart- program since the navigation components of programs identified ment of Justice, Council on Environmental Quality, and four as multipurpose are not separately quantified in the budget. regional River Basin Commissions. V-6 experienced numerous early delays in instituting its these activities is contained in Section 8 of the Mer- strategic water resource planning function. Charged chant Marine Act of 1920 which provides that: by the 1965 Act with responsibility for establishing, with the approval of the President, principles and ... it shall be the duty of the board [now standards for the formulation and evaluation of the Maritime Administration], in coopera- Federal water resource projects, the Council was un- tion with the Secretary of War, [now the able to carry out this responsibility until 1973. In Secretary of Defense], with the object of finally publishing its principles and standards, how- promoting, encouraging, and developing ever, the Council, by imposing a substantially higher ports and transportation facilities in con- discount rate for evaluating water projects than the nection with water commerce over which one used by the Corps of Engineers (and other water it has jurisdiction, to investigate territorial resource agencies), found itself in the midst of the regions and zones tributary to such ports, discount rate controversy. While the prevailing rate taking into consideration the economies of established under the former procedure was 53/8 transportation by rail, water, and highway percent, the Council established a new rate of 6Y8 and the natural direction of the flow of percent, which seriously jeopardized many water commerce; to investigate the causes of the projects that could not meet the more stringent eco- congestion of commerce at ports and the nomic criteria. remedies applicable'thereto; to investigate As a result of the Council action, immediate pres- the subje 'ct of water terminals, including sures were brought to bear in support of Congres- the necessary docks, warehouses, appara- sional relief. Within 5 months the Congress enacted tus, equipment, and appliances in connec- the Water Resources Development Act of 1974, tion therewith, with a view to devising and which set the discount rate at about its former level. suggesting the types most appropriate for Following this action, the Council acceded to the different locations and for the most expedi- Congressional mandate and set its discount rate at tious and econornical transfer or inter- the level established by the Congress. change of passengers or property between Although the immediate conflict regarding the dis- carriers by water and carriers by rail; to count rate was resolved by the Water Resources De- advise with communities regarding the ap- velopment Act of 1974, the underlying controversy propriate location and plan of construction remains. The 1974 Act, in Section 80, called upon of wharves, piers, and water terminals; to the President to undertake a thorough study of U.S. investigate the practicability and advan- water resource projects, including an assessment of tages of harbor, river, and port improve- the discount rate issue. Although completed, the ments in connection with foreign and study has not been released, and the traditional pro- coastwise trade; and to investigate any cedure for evaluating projects has continued to be other matter that may tend to promote used in the absence of new criteria. and encourage the use by vessels of ports As a major factor influencing the selection of adequate to care for the freight which water development projects to be supported by the would naturally pass through such Federal Government, the discount rate issue is likely ports . . to continue to be a major point of debate in future considerations regarding all aspects of water resource Essentially, the MarAd program is oriented to- development. In turn, the water navigation programs ward providing regional planning aid and technical administered by the Corps of Engineers, including assistance and information in pursuing its legislative the port and harbor development program, will be mandate in support of improved U.S. port efficiency. significantly influenced by the resolution of this Consequently, the size of the staff and other resources issue in years to come. devoted to this activity is relatively small. In total, The second major Federal agency influencing U.S. only about 35 positions in both the headquarters and port development is the Maritime Administration field offices are assigned to this program. (MarAd), which is generally responsible for the In support of the MarAd port program, the Office promotion of the U.S. merchant marine and related of Port and Intermodal Development helps the port elements of the U.S. water transportation system. industry assess port requirements and plan the de- Through its Office of Port and Intermodal Develop- velopment of ports and port facilities. This is accom- ment, MarAd carries out a variety of advisory and plished through cooperative studies of port develop- promotional functions relating to U.S. port develop- ment in a number of States and on a national basis. ment. In general, these activities are intended to im- This effort is also carried out through port develop- prove the efficiency and minimize the cost of the ment and shipper conferences. By 1980, the Office U.S. transportation system through improved ports of Port and Intermodal Development expects to have and port facilities. The basic statutory authority for identified the future port requirements of 33 of the V-7 40 coastal and inland States having access to water- transportation needs." 11 [Emphasis added.] In that borne transportation. document full consideration was given to both The Office of Port and Intermodal Development domestic and international water transportation as also serves as a central clearinghouse for domestic major components of the total U.S. transportation and foreign port data and develops and promulgates system. statistical and economic information relating to the In January 1977, the Department released a com- U.S. port system, Under the Defense Production prehensive assessment of the entire U.S. foreign and Act of 1950 and Executive Order 11490 this office domestic transportation system, projecting system is responsible for port mobilization planning to assure development to the year 2000 under existing pol- the effective use of port facilities in time of war or icies."The objective of the study was to* provide an other national emergency. Finally, through its field inventory of transportation resources and to focus activities, the Office of Port and Intermodal Develop- attention on the current direction of transportation ment provides special technical assistance to the development. The study was an effort to identify Economic Development Administration in evaluat- areas where it might be necessary or desirable to ing and planning EDA public works grants for port adopt alternative Federal policies which would yield and harbor development, and to the National a better transportation system in the years ahead. Oceanic and Atmospheric Administration on port- Again, in this effort full consideration was given to related matters pertaining.to NOAA's coastal zone water transportation and it was again emphasized, management program, as it was in the policy statement, that, although Although a fairly small, low-key program, MarAd major elements of the Federal water transportation port activities provide all members of the U.S. port policy system lie outside DOT, it is imperative that policy system with important information and plan- port and waterway policies be consistent with overall ning assistance that derive from a national marine national transportation policies .17 The fragmented transportation system perspective. As indicated pre- character of Federal port policy was specifically viously, critics have suggested that this larger view addressed, and support was indicated for a compre- has been too often absent in the evolution of the hensive national port study to be jointly supported U.S. port system. by the Maritime Administration, the Corps of Engi- The role of the Department of Transportation neers, and the Department of Transportation."" (DOT) in the Federal port policy system is of rela- This broad national transportation policy perspec- tively recent origin and is still evolving in many re- tive has also provided the vehicle for a major DOT spects. Although the Coast Guard within DOT plays role in recent considerations of the issue of waterway a major role in the areas of marine navigation, safety, user charges. The imposition of such user charges and pollution abatement, the Department itself has, has, for many years, been urged by water-competi- since its establishment in 1967, been only peripher- tive modes which are prominent DOT constituents. ally involved in water transportation policy. Under These interests have long felt that water transporta- Section 7(a) of the Department of Transportation tion enjoys an undue competitive advantage over Act, DOT is specifically forbidden to undertake eco- competing modes because of the free use of Govern- nomic assessments of proposals for Federal funding ment-built and maintained waterway facilities. In of water resource projects and, in general, DOT has addition, the growing cost of Federal waterway maintained a relatively low profile in the entire projects has increased pressure within the Govern- water transport area. Nonetheless, in light of its ment.to impose some form of user charge to help broad mandate to encourage an efficient national defray these expenses. multimodal transportation system, some water trans- In general, DOT has been a proponent of the portation involvement has been inevitable and, in concept of waterway user charges and, for that certain areas, a major DOT role may now be matter, a proponent of user charges for many Fed- emerging. erally-provided transportation services and facilities. At the broadest policy level, DOT has recently The Department has, however, recognized that in assumed a leadership role in attempting to analyze some cases it may be desirable, in support of other comprehensively the total U.S. transportation system national objectives, to provide certain transportation and to establish national transportation policies -services and facilities free or below cost. The De- based on a systematic consideration of total trans- portation requirements and the ability of each of the various transportation modes to fulfill these require- 15 U.S. Department of Transportation, Office of the Secretary. ments. In September 1975, the Department issued A Statement of National Transportation Policy. Washington, D.C., Government Printing Office, September 17, 1975, p. i. A Statement of National Transportation Policy, 16U.S. Department of Transportation, Office of the Secretary. which represented a first attempt to set forth National Transportation Trends and Choices. Washington, D.C., Government Printing Office, January 12, 1977. the broad policy considerations that should underlie 17 Ibid., p. 285. the Federal Government's response to the Nation's 18 Ibid., p. 283. V-8 partment position with respect to such subsidies was commercial waterway users is likely in the near summarized in its 1975 policy statement: '19 future. In exchange for support for funding the re- construction of Locks and Dam 26, which has been (1) Federal subsidies are necessary in a major impediment to the free flow of water traffic certain instances to serve important na- on the upper Mississippi, water carrier groups have tional purposes. These include conserva- recently agreed to support a limited waterway user tion of energy, protection of the environ- charge bill. Under the terms of H.R. 8309 a 4-cent ment, preserving the urban centers, per gallon fuel tax on commercial traffic using 26 relieving congestion in certain high density specified inland waterways would be imposed begin- corridors, promoting rational land use in ning October 1, 1979. The tax would rise to 6 cents metropolitan areas, preventing ultimate per gallon in 1981. Although small in size and lim- nationalization of a vital service and main- ited in scope, this program would constitute a major taining access to remote areas; breakthrough for waterway user charge proponents and would further the general transportation user (2) Even when it has been determined charge p .hilosophy advanced by DOT. that Federal subsidies are really necessary, . The growing role of DOT in U.S. port policy also they should be periodically reexamined; arises from activities relating to intermodal facilita- (3) Wherever possible the costs of Fed- tion. Developments in unitized and containerized eral support should be recovered by user, cargo handling procedures have significantly affected charges; [Emphasis added.] not only water carriers, but land-based rail and truck operations as well. As the link between land and (4)' The effect of subsidies on competing water modes, the port figures prominently in the modes should be considered and where successful and efficient operation of both. With there is an adverse effect the preference major responsibilities relating to both rail and high- should be to reduce or eliminate the sub- way transportation, DOT has a natural interest in sidy or adjust the user charges so that all assuring that ports do not unduly constrain the flow users pay their full share; of commerce between modes. (5) There should be a preference for cap- In addition, new land transportation opportunities ital rather than operating subsidies; how- (which have arisen from the ability to carry con- ever, @(a) care must be taken that capital tainerized cargo over new routes using a combina- subsidies do not induce excessive in- tion of land and water modes), have drawn the vestment, [and] (b) where State and local Department into the controversies relating to the governments are involved in the decision- so-called "landbridge" services which have emerged making and operation, they should bear a in recent years. Using container cargo handling pro- share of the total cost sufficient to ensure cedures, new land/water services have been devel- commitment to efficient management; and oped which have tended to alter traditional trading patterns. Ports which have lost traditional cargo to (6) Where the political process determines these new services have protested to the Federal that a subsidy is essential to the national Maritime Commission, arguing that allowing such interest because a particular form of trans- services violates the principle of nondiscrimination portation serves these interests more effec- among ports and that the rates being charged for tively, we should be prepared to take the portions of the service are not fully compensatory. next step in order to get the full benefit Since its modal constituents have a definite stake in of the subsidy. This involves compatible the outcome and because of its broad objective to adjustments in the Federal support of improve U.S. transportation efficiency, DOT has competing modes. We should not be in- been actively involved in these proceedings which consistent by continuing to subsidize com- have raised fundamental U.S. port policy issues. The peting modes, thereby diverting traffic "landbridge" issue will be considered again when away from the preferred mode and de- specific attention is directed to Federal economic creasing its chances of economic self- regulation of the U.S. water transport system. sufficiency. A final major role in port development was added to the Department's responsibilities with enactment Although water carriers have vigorously opposed of the Deepwater Port Act of 1974. After consider- the concept of user charges in the past, it now ap- able Congressional debate as to which Federal agen- pears that at least some limited Federal tax on cies should license and regulate offshore deepwater ports, it, was decided that the licensing authority 19 U.S. Department of Transportation, op. cit. note 15, pp. would be vested in DOT and the task of regulating 19-20. operations delegated to the Coast Guard., (Ports V-9 within 3 miles of shore remain within the licensing safety will be discussed with principal emphasis on authority of the Corps of Engineers.) In assessing programs administered by the Coast Guard. The applications for deepwater port facilities, DOT is re- fourth major Federal agency with programs that sub- quired to give full consideration to their effect on stantially influence the development and operation other competing terminal facilities. Because of this of the U.S. port system, the Coast Guard is respon- requirement an expanded capability for general port sible for navigation, safety, and law enforcement ac- analysis will have to be developed within DOT. tivities that extend to all elements of the'marine In the next section, Federal aids to navigation and transportation infrastructure. Aids to Navigation and Safety A central Federal role in aiding and regulating marine power source in the 19th Century, a Federal navigation operations emerged early in the history of role in assuring vessel safety began to emerge. In the United States. Although the central function of the early period of conversion, explosions were so the original Revenue Marine (the organization estab- common on steam-powered vessels that demands lished in 1790 and the principal predecessor of the soon developed for some form of Federal regulation. Coast Guard) was to police the collection of tariffs In 1838, Congress responded by passing a law re- and duties, other early Federal initiatives were un- quiring periodic hull and machinery inspection for dertaken related to the provision of navigation aids, all passenger-carrying steam-powered vessels. In ad- vessel safety, and lifesaving. Ultimately these func- dition, requirements relating to lifeboats, firefighting tions and others were integrated into the single equipment, and other safety equipment were also multimission Coast Guard. imposed on such vessels. Before steamboats were Even before the Revenue Marine was established, legally authorized to carry passengers, they were re- legislation had been passed creating a U.S. Light- quired to obtain certificates of compliance with these house Service to coordinate and maintain a national safety standards. To carry out the provisions of this system of marine navigational aids 'Before the estab- law, inspectors were appointed by U.S. district lishment of the Lighthouse Service in 1789, such judges. aids were maintained separately by various ports and In 1852 a new law established a Steamboat In- individual States in support of their own trade and spection Service and imposed further Federal stand- commerce. Under the 1789 law the Federal Govern- ards for passenger-carrying steam-powered vessels. ment offered to assume responsibility for the opera- In addition, requirements were included for the li- tion of such facilities, and soon all U.S. lighthouses censing of steamboat pilots and engineers and oper- had been transferred to this new Federal authority. ating rules to govern vessel passing situations were Although not a legally specified function in the imposed. In 1871, vessel safety requirements were beginning, the Revenue Marine played an important expanded to cover non-passenger carrying vessels, informal role from its inception in rendering aid to and licensing requirements were extended to masters vessels in distress. Frequently in this early period, and chief mates. Revenue Cutters figured prominently in ocean rescue Soon after its establishment a major military re- operations. In 1836 this role was formalized when sponsibility also accrued to the Revenue Marine, and public vessels were specifically directed to render the mixture of civil and military tasks became a aid to persons imperiled at sea, and in 1843 this central characteristic of the service. With the dissolu- responsibility was expanded to include the preserva- tion of the remnants of the Revolutionary Navy just tion of cargoes and property, Hence, a function per- before the establishment of the Revenue Marine, it formed informally in the early years grew quickly was natural for the new service to assume at least an into one of the major formal responsibilities of the interim naval function until a new Navy could be Revenue Marine and its successors. constituted. Resistance to the establishment and The shore-based lifesaving operations of the Fed- maintenance of a national naval military force was eral Government date from 1848 when an amend- strong among Congressional representatives of south- ment to a lighthouse appropriation bill was enacted ern and inland districts, and it was not until 1794, which provided for ". . . s.urfboats, rockers, car- after a long and bitter debate, that a naval construc- ronades . . ." and other equipment to be used by tion bill was finally passed. By this time the value volunteers along the New Jersey coast. Soon the sys- of the Revenue Marine as an important military tem spread to New York, and in 1854 paid station- component of naval preparedness had been estab- keepers were authorized. In 1871 the Congress ap- lished and the dual military/civilian role of the serv- propriated funds for surfmcn, and, in 1897, the U.S. ice was retained. This mixture of military and civilian Life-Saving Service was formally organized as a sep- responsibilities has been a consistent feature of the arate agency within the Treasury Department. Revenue Marine and the organizations that followed. With conversion from sail to steam as a major Today the Coast Guard is considered one of the V-10 Armed forces of the United States and, when di- erty placed in jeopardy because of marine or aviation rected by the President during wartime, it is trans- accidents or because of adverse environmental cir- ferred in total from its peacetime location in. the cumstances such as floods or ice conditions. Department of Transportation to the Department of Second, a system of manned and unmanned aids Defense. to water navigation is maintained throughout the Over the years the various lifesaving, navigation, United States and LORAN stations are operated and vessel inspection functions of the Federal Gov- both in the United States and abroad to serve the ernment have been carried out by various organiza- needs of the armed services and of marine and air tional units. At one point in the 1840s the aggrega- commerce. Additionally, administrative control is ex- tion of many of these functions under the Revenue ercised over bridges across navigable waters to en- Marine within the Department of the Treasury sure that such structures do not interfere unduly yielded an organization similar in scope to the mod- with the safe operation of the U.S. water transport ern Coast Guard. This structure, however, did not syAem. last, and the organizational shuffling of these func- The third major civil responsibility is in the area tions continued into the 20th century. of marine safety where the Coast Guard is responsi- In 1907, a Presidential commission on Govern- ble for preventing maritime accidents and protecting ment reorganization was established and subse- life and property in U.S. waters and on the high seas. quently recommended the abolition of the Revenue This is accomplished through the enforcement of Marine with the transfer of its remaining functions U.S. laws and international agreements and through to the Navy. The Congressional debate that fol- lowed the commission report ultimately led instead the development and enforcement of regulations to the establishment, in 1915, of a new agency amal- and standards governing commercial and recrea- gamating the responsibilities of the Revenue Marine tional vessels and U.S. ports and waterways. Compli- ance with Federal rules and statutes is assured and the Lifesaving Service. This new agency was the through a program which includes the review of Coast Guard. I plans and specifications for the construction or al- Since its establishment in 1915, other Federa teration of merchant vessels, periodic inspection of water transportation infrastructure activities relating vessels and marine facilities, licensing activities, man- to law enforcement, navigation, and safety have been agement of vessel traffic, regulation of hazardous steadily added to the Coast Guard mission. In 1936, materials, and the establishment of standards for li- the police powers of the Coast Guard were expanded censing and regulating marine personnel. Included in to include the general enforcement of all Federal this area is an extensive safety program for recrea- law relating to the U.S. navigable waters and the high tional boating. seas. In 1939, the Lighthouse Service was transferred to the Coast Guard, establishing the Coast Guard as The fourth major Coast Guard function relates to the central Federal agency responsible for the provi- ocean operations performed as part of the general sion of aids to navigation. Finally, in 1942 the func- law enforcement responsibilities of the agency and in tions of the Bureau of Marine Inspection and Navi- support of other general national ocean activities. gation (the successor to the Steamboat Inspection Under this program, Coast Guard cutters and air- Service) were temporarily transferred to the Coast craft maintain patrols to enforce international agree- Guard and that transfer, too, was made permanent ments and U.S. laws on the high seasi and in waters in 1946. under U.S. jurisdiction, perform ice patrol and ice- Thus, by the end of World War 11 all of the basic breaking operations, and support marine science major powers and functions of today's Coast Guard operations on a cooperative basis with other agen- were in place and its role as the central Federal actor cies. Enforcement of the new 200-mile U.S. fishing with respect to marine navigation and safety had limit is one of the activities conducted in this general been established. Final recognition of the major area of responsibility. transportation role of the Coast Guard and its dim- Finally, a major Coast Guard function that has inished role in revenue collection came in 1967 when expanded rapidly in recent years has been marine the agency was transferred from the Department of environmental protection. Largely an outgrowth of the Treasury to the newly-establisbed Department of its general responsibility for enforcing Federal mari- Transportation. time laws, this activity today has become a major The major civil responsibilities of the Coast Guard Coast Guard mission in *itself. Under various stat- today may be categorized into five general functional utes, the Coast Guard is charged with responsibility areas. First, most of its operating units maintain a for carrying out programs to prevent damage to the capability for carrying out search and rescue oper .a- marine environment and to improve overall environ- tions on and over the high seas and waters subject to mental quality. Related activities to secure and pro- U.S. jurisdiction. This capacity is used by the Coast tect U.S. ports and waterways are conducted to im- Guard to aid and rescue persons and protect prop- prove the economic use of the U.S. water transporta- V-1 I tion system and assure its availability in time of outlay for these activities was.$17.8 million in fiscal national emergency. year 1976, and will total about $20 million in fiscal In support of its multifaceted mission, the Coast year 1977, and $20 million again in fiscal year 1978. Guard maintains an extensive field operation Today a substantial share of the funding for Coast throughout the United States and abroad that in- Guard R&D is devoted, directly or indirectly, to re- cludes more than 630 manned operational and sup- search-related activities in the area of pollution port facilities. Total operating assets today include abatement and' environmental protection. 247 cutters ranging in length from 65 to 378 feet, In addition to the central role played by the Coast 7 icebreakers, 1,950 boats of less than 65 feet, and Guard in providing Federal assistance in support of 175 fixed and rotary wing aircraft. The agency em- marine navigation and safety, other Federal agencies ploys 37,300 military personnel and 6,500 civilians. also provide important support services in this area. ,The operating units of the Coast Guard fully re- Notable among these are the mapping, charting, and flect the multimission character of the parent agency. surveying services conducted by the National Oceanic Although an individual operating unit may be and Atmospheric Administration (NOAA) in the charged with a primary responsibility in the. area of Department of Commerce and NOAA's weather search and rescue, law enforcement, aids-to-navi- forecasting and weather warning services. In 1976, gation, or other specific program area, each facility more than $35 million was devoted by NOAA to also routinely supports other Coast Guard missions. mapping, charting and surveying activities and over For example, Marine Safety Offices have been estab- $200 million was devoted to environmental monitor- lished to coordinate related functions of the Marine ing, prediction, and warning activities. While these Environmental Protection, Commercial Vessel programs provide support for a wide variety of activ- Safety, and Port Safety and Security Programs. A ities throughout the Nation, they are of particular fisheries patrol unit must also be responsive to search importance to the safe and efficient operation of the and rescue emergencies and must be prepared to U.S. marine transportation system. render assistance in the event of a pollution incident. In the next section brief consideration will be Application of the multimission concept to the train- given to the water transportation infrastructure im- ing of personnel and the design and deployment of pact of various Federal initiatives relating to environ- physical assets is intended to improve flexibility and reduce aggregate facility requirements. mental protection and coastal zone management. In support of its various functional responsibili- These issues are treated in greater detail in the ties, the Coast Guard also has an extensive research, chapters devoted to Marine Environment. and Ocean development, test, and evaluation program. The total and Coastal Resource Management. Integration of Nontransportation Objectives in the Development and Operation of the Marine Transportation System In recent years growing public concern for en- prevent pollution also contribute to traditional Coast vironmental protection and better planning for com- Guard objectives in the areas of improved naviga- peting uses of limited ocean and coastal resources tion and safety. As a consequence of these interrela- has led to a broader Federal role in attempting to tionships, the Coast Guard has been the logical integrate these emerging social objectives equitably agency to assume the primary Federal burden of with traditional requirements for an efficient water implementing and enforcing many of the new initia- transportation system. In the process new Federal tives relating to the protection of the marine en- organizations have been created which exert major vironment. influences on the U.S. marine transportation infra- Although environmental protection is a relatively structure. In addition, certain traditional agencies recent Coast Guard function, an important statutory have been given extensive new responsibilities in authority for this function dates from as early as these areas, and in all cases traditional Federal 1899. In that year the Congress passed the Rivers marine transportation activities have been at least and Harbors Act, which prohibited the dumping of partially influenced by the need for increased envir- refuse into the navigable waters of the United States. onmental protection and better water resource use This Act, more commonly known as the Refuse Act, planning. remained in place for many years, however, before The U.S. Coast Guard is, of course, the traditional becoming a major instrument in the fight against organization that has -assumed the bulk of the new water pollution because of the narrow construction responsibilities in the area of marine environmental given to the term refuse. It was not until the mid- protection. As the Nation's principal Federal marine 1960s that this was changed by a Sup@eme Court law enforcement agency, many of these new re- ruling. sponsibilities fit well with traditional law enforce- In 1966, in the case of the United States vs. Stand- merit functions and many new programs designed to ard Oil Company of Kentucky, the Supreme Court V-1 2 held that the provisions of the Refuse Act were ap- ards contained in a 1971 amendment to the 1954 plicable to oil discharge despite the oil company's Convention which is also now pending ratification. contention that a commercially valuable petroleum As the lead agency in implementing U.S. marine product should not be considered refuse .20 In inter- transportation laws passed pursuant to internationai preting the term refuse as employed in Section 13 safety and pollution abatement conventions, the of the Rivers and Harbors Act, Justice Douglas, Coast Guard plays a major technical role in all inter- speaking for the Court, stated that : 21 national negotiations relating to these agreements "Oil is oil and whether useable or not by Two other laws which provide extensive authority industrial standards it has the same dele- for current Coast Guard programs in the area of terious effects on waterways. In either environmental protection were enacted in 1972. The case, its presence in our rivers and harbors Federal Water Pollution Control Act Amendments is both a menace to navigation and a pol- of 1972 represent perhaps the most far-reaching lutant. This seems to be the administra- action yet taken by the Federal Government to con- tive construction of Section 13, front the entire range of problems associated with water pollution. These amendments address not only This judicial interpretation made the Refuse Act a the problem of pollution prevention but the problems major legal instrument in the battle against water of cleanup and liability as well. pollution in the United States and a primary statu- Among its'other provisions, the 1972 Water Pol- tory authority for many Coast Guard environmental lution Control Act expressly prohibits the discharge protection activities. ... of oil or hazardous substances into or upon the Before the 1966 ruling on the Refuse Act, the navigable waters of the United States, adjoining principal statutory foundation for Coast Guard pol- shorelines, or into or upon the waters of the con- lution abatement activities was the Oil Pollution Act tiguous zone . . . "24 In addition, it authorizes the of 1961, which implemented the 1954 Internation al promulgation of regulations requiring the installation Convention for the Prevention of Pollution of the of certain pollution prevention equipment on mer- Sea by Oil. Although this convention had come into chant vessels; authorizes the Federal Government to force in 1958 '22 the United States did not become a undertake cleanup operations after a polluting spill; party to the convention until the 1961 Oil Pollution authorizes the establishment of a $35 million re- Act was passed. Under the provisions of this act and volving fund to be used for cleanup; requires the the convention, limits were imposed on the quantity promulgation of a national oil pollution contingency of oil and oily, mixtures allowed to be.discharged in plan; establishes criminal penalties f or those who zones extending 50 miles' 60'm la'nd@ Subsequen .t have knowiedg. e' of and fail to r Ieport an unauthor- amendments to the 1961 Oil Pollution Act have ized discharge; and places unlimited liability on those tightened and extended these restrictions, and today responsible for a spill where willful negligence or U.S. requirements under this law are more stringent misconduct can be.proved. In cases other than those than requirement s under the 1954 Convention. The involving willful negligence or misconduct and where current law is, however, consistent with various the incident cannot be attributed to an act of God, amendments to the convention which are now pend- war, or negligence on the part of the government or ing ratification by enough nations to bring them into a third party, liability limits are specified. However, force.23 commercial interests using these waterways must In addition to the oil discharge standards con- maintain evidence of financial responsibility up to tained in the law, this statute now also includes these liability limits with the Federal Government.21 standards governing tank size and configuration for In addition to the numerous provisions affecting new U.S. tankers. These standards are intended to the authority of the Coast Guard, the 1972 Water limit the quantity of oil outflow in the event of an Pollution Control Act has also affected various other accident and are consistent with international stand- Federal agencies. For example, the Corps of En- gineers Refuse Permitting program, carried out 20U.S. vs. Standard Oil Company, 384 U.S. 225, 86 Sup. Ct. under the 1899 Refuse Act, was, for the most part, 1427, (1966). 211bid, p. 1428. transferred to the Environmental Protection Agency 221mplementation of the original convention required agree- by this legislation. The Corps, however, retained ment by a minimum of 10 governments, at least 5 of which responsibility for issuing permits for the disposal of were required to have not less than 500,000 gross tons of regis- tered tanker tonnage. This requirement was met in 1958. dredge and fill material and retained a residual re- 23Amendments to the 1961 Oil Pollution Act will not be activated until both the 1969 and 1971 Amendments to the 1954 24An Act to Amend the Federal Water Pollution Control Act, Convention are ratified by the U.S. Senate. The 1969 Amend- Public Law 92-500, October 18, 1972. 86 Stat. 48. ments to the 1954 Convention came into force, however, on 25 It should be noted that certain provisions of the 1972 January 20, 1978, and although not yet ratified by the United Water Pollution Control Act had actually previously been en- States, the Coast Guard has implemented the provisions of the acted in 1970 with passage of the Water Quality Improvement 1969 Amendment through regulations issued under authority of Act. The 1972 Act incorporated these earlier provisions and ex- the"Ports and Waterways Safety Act. panded and modified overall Federal water pollution authority. V-13 sponsibility to assess the navigation impact of other Together with the environmental responsibilities permit requests filed with EPA. undertaken in the 1960s, the Port and Waterway Another affected agency was the Federal Maritime Safety Act and the 1972 Amendments to the Federal Commission, which was assigned responsibility for Water Pollution Control Act have greatly enlarged assessing the financial responsibility of tanker oper- Coast Guard authority with respect to marine en- ators to meet the liability provisions of the Act. In vironmental protection. At the same time other new addition, numerous other agencies and programs in Federal environmental agencies and functions have the water resource area were affected significantly emerged which also exert a significant influence on by provisions of this comprehensive legislation. A marine transportation. more extensive discussion of this legislation is in- Under the terms of Section 102 of the National cluded in the chapter on Marine Environment. Environmental Policy Act of 1969, for example, all The second piece of legislation passed in 1972 proposed Federal actions significantly affecting the which expanded the scope of Coast Guard-environ- quality of the human environment must now be ac- mental authority was the Ports and Waterways companied by a comprehensive environmental im- Safety Act. Before enactment of this legislation, pact statement. In addition, the agency undertaking Coast Guard port safety authority was based on such action must obtain comments from all other various laws, including the Espionage Act of 1917, interested Federal agencies having jurisdiction or the Dangerous Cargo Act, the Tank Vessel Act, and special expertise with respect to the action in ques- the 1950 Magnuson Act. These legislative authori- tion. This process has significantly influenced Federal ties generally limited Coast Guard port safety and activities in support of the U.S. water transportation security activities to periods during which a state of system by requiring explicit and detailed advance national emergency had been declared by the Presi- consideration of the likely environmental conse- dent. Under the terms of Executive Order 10173, quences of many Federally-supported water tran- President Truman provided the Coast Guard with sportation-related activities. This process frequently the Presidential authority needed to pursue the port extends the time required to achieve approval of a safety program. The regulations promulgated under particular project or activity, increases the analytic the Magnuson Act and under Executive Order 10173 effort required, and increases the visibility of nega- established Captains of the Port in 55 major port tive environmental consequences which can further areas in the continental United States, Alaska, delay a project or result in its cancellation. This Hawaii, Puerto Rico, and Guam. These Coast Guard specific and detailed consideration of environmental units were charged with enforcing regulations con- consequences is, of course,. the intended purpose of cerning vessel movements, anchorages, cargo trans- the new procedure and although the process itself fer operations including both storage and stowage, no doubt imposes some additional costs, there seems and waterfront facility fire and safety regulations. to be a general consensus that the cost of failing to With enactment of the Ports , and Waterways @ystematically include environmental considerations Safety Act in 1972, the Coast Guard was given re- in the decision-making process would be far greater sponsibility for the establishment of minimum design, in the long term. construction, alteration and repair standards for all The 1969 National Environmental Policy Act also oil carrying vessels using U.S. ports and navigable established the Council on Environmental Ouality waters. Specifically, this act imposed a requirement (CEQ), which is composed of three members and a for establishing standards pertaining to improved staff in the Executive Office of the President. In vessel maneuverability and improved stopping ability carrying out its broad mandate to analyze the quality in an effort to reduce the likelihood of collision or of the environment and make policy recommenda- grounding, and required the establishment of stand- tions to improve that quality, CEQ has become an ards to reduce the quantity of cargo loss arising from important strategic actor in shaping Federal marine an accident. In addition, standards for reducing transportation policies in light of environmental con- environmental damage arising from normal vessel siderations. In 1970, for example, CEQ published operations are required and a tankerman certification the National Oil and Hazardous Materials Pollution program is authorized. Furthermore, this legislation Contingency Plan, which sets forth procedures to be authorized the establishment of vessel traffic services followed in responding to a water pollution emerg- and systems in congested traffic areas and the use ency. The objective of the plan is to assure a co- of a variety of vessel traffic controls. Finally, this ordinated, efficient, and effe6tive response to mini- act authorized the establishment of safety zones, mize the negative environmental consequences of waterfront facility and environmental investigations, such an incident. In 1973, CEO played a major role waterfront structure safety requirements, hazardous in analyzing the environmental consequences of off- materials procedures, and pilotage requirements.2,6 shore deepwater port facilities including an assess- 26 Port and Waterways Safety Act of 1972. Public Law 92-340, ment of the shoreside implications of such offshore July 10, 1972. 86 Stat. 424. facilities. From these examples it is clear that in dis- V-14 charging its broad environmental responsibilities, the . The growing demand for better planning and man- actions of CEQ will be increasingly important deter- agement of ocean and coastal resources has added minants of future Federal activities relating to both yet another dimension to the analysis of U.S. marine the operation and development of the U.S. water transportation requirements. In response to this de- transportation system. mand, the Federal Government has undertaken a A second major new Federal environmental or- leadership role in compelling more synoptic consid- ganization to emerge in recent years is the Environ- eration of all of the competing demands (including mental Protection Agency, and it, too, plays an transportation) on the scarce land and water re- important role in integrating environmental considera- sources of the coastal zone. The principal manifesta- tions into Federal marine transportation programs. tion of this initiative is the 1972 Coastal Zone Established as an independent agency by Reorgan- Management Act, which has greatly enlarged the ization Plan No. 3 of 1970, EPA administers a broad responsibilities and authority of the National Oceanic range of programs relating to environmental re- and Atmospheric Administration with respect to over- search, monitoring, standard setting, and enforce- all coastal zone use planning. ment. Under the Federal Water Pollution Control Under the Coastal Zone Management Act, NOAA Act Amendments of 1972, EPA is charged with is charged with providing incentives to encourage establishing and administering a joint Federal/State States to develop and implement coastal zone man- water permit program to govern the discharge of agement plans which are consistent with national effluents into U.S. navigable waters, with the objec- objectives'and that fully consider all of the various tive of eliminating the discharge of pollutants by uses of coastal zone resources. NOAA activities in 1985. This program imposes hew water quality re- this area are carried out by the Office of Coastal sponsibilities and restrictions on many traditional Zone Management (OCZM), which provides States U.S. port activities. with technical information on coastal zone issues and A related EPA activity which has affected water helps them to evaluate their coastal resources and transportation pertains to the establishment of stand- develop coastal zone management programs. In sup- ards for pollutants in dredge spoil and standards for port of these efforts, OCZM is authorized to provide spoil disposal. Although permitting dredge material program development grants to States that are de- disposal is the responsibility of the Corps of En- veloping coastal zone management plans consistent gineers, these activities and the Corps' own dredging with Federal guidelines. Once a plan is approved, must be carried out in compliance with overall water annual administering grants are authorized to carry pollution standards set by EPA. Thus, the EPA out the coastal zone management programs em- standards can significantly affect the cost of port and bodied in the plan. This grant program approach is waterway development by limiting the traditional designed to provide an incentive for State compli- practice of simply dumping spoil materials in open ance with broad Federal guidelines, while at the waters. same time retaining a local orientation within indi- Finally, many EPA water-related programs ar id vidual plans. responsibilities are shared with the U.S. Coast Guard As a major competitor for the use of coastal zone and. conducted on a cooperative basis. Pollution resources, the marine transportation infrastructure abatement research and development and environ- will, of necessity, be a prominent element in the mental law enforcement are two prominent areas in plans which will ultimately be adopted under this which these agencies work closely together in dis- program. In turn this planning process, by giving charging their respective and, at times overlapping, full and detailed consideration to competing uses of environmental responsibilities. The close working- the coastal zone, can be expected to affect the course level relationships which have developed between the of future U.S. development of the marine transpor- Coast Guard and EPA in these areas have proven tation infrastructure. A more thorough discussion of effective in minimizing duplication of effort, while the entire Federal coastal zone management effort is @at the same time assuring that Federal responsibili- included in the chapter on Ocean and Coastal Re- ties in these areas are efficiently discharged. source Management. Major Current Issues Several major issues are likely to dominate future perhaps influence its ability to respond efficiently to Federal policy considerations relating to the develop- the Nation's trade requirements. In the paragraphs ment and operation of the U.S. marine transporta- below, these issues, most of which have already been tion infrastructure. In turn, the resolution of these discussed, will be briefly enumerated. issues could significantly affect the fundamental na- At the broadest level, the issue of appropriately ture of the U.S. marine transportation system and integrating traditional marine transportation and V-15 trade requirements with emerging social objectives for the water-competitive portions of the rail and such as environmental protection and marine re- track industries as well. source use planning will continue to be a central At the local level, the problem of port financing national concern. While this process is likely to in- (particularly in the face of the increasing capital crease the controversy surrounding many marine intensity of many port facilities) will continue to be transportation infrastructure initiatives, it will also a dominant issue. As a consequence, pressures will assure that the anticipated social and economic costs no doubt mount for additional Government financial and benefits of these programs receive full consider- assistance to help defray the cost of C*ertain port ation before action ig taken. Although there is no guarantee that all consequences can be accurately development and operation activities. These efforts predicted, and while valuation of many of the antic- can be expected to focus, in the near term, on secur- ipated consequences will remain elusive, the identi- ing Federal funding to help pay for various man- fication of as many of these consequences as possi- dated Federal requirements in the areas of port ble will increase the likelihood of sound decisions. security, environmental protection, and safety. Es- A related although more specific issue will center sentially this issue, which has already been raised by on the continuing controversy surrounding the selec- port interests, 17 will elicit considerations similar to tion of an appropriate discount rate for evaluating those associated with the user charge issue. The the economic costs and benefits of future Federal fundamental question raised by this issue is again water development projects. If proponents of a gen- who should pay for these programs-the general erally higher discount rate prevail, the economic public who benefits from them or those who make justification of many federal water transportation them necessary.18 projects, which characteristically yield benefits well in the future, will become more difficult. Unfortun- Finally, the controversy surrounding the appropri- ately, the discount rate problem is not simply a ateness of aggregate U.S. port capacity in light of technical issue and political considerations will con- broad regional and national trade requirements is' tinue to influence the positions taken on this issue. likely to become an increasingly important issue and Problems relating to infrastructure financing will will - present a major challenge to the traditional continue to be issues of major concern' at both the Federal policy of nondiscrimination among ports. Federal and local levels. At the Federal level the user Rising port development costs will impose strong charge issue is likely to continue as a prominent pressures to carefully husband limited resources, and point of controversy in this area. Basically, this issue the econornies of scale inherent in bulk and general will focus on arguments as to who the beneficiaries cargo handling procedures will tend to encourage a of Federal waterway activities are and who should greater concentration of port capacity in fewer port pay for these programs. Opponents of user charges areas. Specific issues to be confronted in this area will'continue to press the position that Federal water- will include the need to develop a limited number of way programs lead to general. economic expansion, deepwater ports to accommodate bulk commodities the benefits of which accrue to all citizens, and more efficiently and further consideration of the pos- should therefore continue to be funded primarily sible problem of aggregate inefficiency due to excess from general revenues. Proponents of user charges, container handling capacity. on the other hand, will argue that water carriers and From the Federal perspective, the issue of con- users of water transportation services are the bene- tainer handling capacity is most likely to manifest ficiaries and should pay for these Federal services. itself in the area of economic regulatio 'n, as ports In turn, opponents can be expected to cite the regres- which lose traditional cargoes to new intermodal sive effect of user taxes,'which, at least in part, will competitors (such as "landbridge" operations) seek be passed through to ihe ultimate consumers of Federal regulatory relief. In the next major section goods transported by water. Proponents will point to this issue will again be addressed as attention is di- an alleged misallocation of resources encouraged by rected to the overall Federal role in the economic providing one transport mode with government ad- regulation of the U.S. marine transportation system. vantages unavailable to other modes. The recent Congressional compromise on this issue embodied in 27 U.S. Congress, House Merchant Marine Subcommittee of H.R. 8309 is probably just a lull in what promises to the Committee on Merchant Marine and Fisheries. Statement by be a complex and protracted battle which will be Alfred M. Eschbach, President, American Association of Port Authorities, Inc., Washington, D.C., June 30, 1976, p. 8. waged at both theoretical and political levels. The 28 The Maritime Administration will soon release the results of a survey that quantifies the costs imposed on public ports b@ resolution of this issue can be expected to affect not various mandated Federal requirements in areas of environmental only the outlook for U.S. water transportation, but protection, employee health and safety, and cargo security. V-16 Economic Regulation The economic regulation of ocean shipping in U.S. quences of rail/water competition had begun to foreign and domestic commerce is basically a 20th- erode. To alleviate this condition, the Congress in- century phenomenon. Before 1916, the only regula- cluded in the 1912 Panama Canal Act an amend- tory authority over such carriage was exercised by ment to the Interstate Commerce Act which made it the Interstate Commerce Commission as an adjunct illegal for a railroad to have any interest in a water to its authority to regulate railroads. Under the terms carrier with which it competed or might compete. of the Interstate Commerce Act of 1887, railroad Again, the purpose was to control the power of the regulation was defined to include the regulation of railroads and assure the viability of the rail-compe- continuous intermodal cargo movements by a com- titive water transportation industry. bination of rail and water carriers when 'carried out At about this same time, however, concern did under common control, or management. The clear begin to emerge regarding certain anti-competitive objective of this provision was railroad regulation, practices in shipping. Basically this concern focused however,,, and not water carrier regulation. on the liner segment of the industry, where it was felt In general, during this early period water trans- that the nature of the service provided tended to portation was looked on with considerable *favor as- encourage agreements designed to limit competition a means of at least partially curbing the -extensive in order to prevent unlimited competition from be- power of the railroads in areas where water carriage coming predatory. It is necessary to understand the provided an alternative to rail transport. distinction between the liner industry and other seg- With the opening of the Panama Canal,, a new ments of the shipping industry in order to understand opportunity for rail/water competition emerged in why Federal economic regulation of liner shipping the provision of important transportation services be- services emerged. The general (although not total) tween the West Coast and the East and Gulf Coast confinement of Federal reguation to common carrier areas of the United States. By this time, however, liner-type operations arises from a perspective which many water carriers had come under railroad con- sees these services as economically distinct from trol and, as a result, the socially desirable conse- services provided by other types of vessel operations. Regulatory Imperatives Basically there are three types of water transpor- natural regulation which largely obviates the need tation services, although at times some operations for extensive Government involvement. In U.S. for- may exhibit characteristics of more than one type. eign trade such operations are totally outside the First, there is the service provided by the private car- scope of Federal economic regulatory authority. In rier which is owned by its primary user and devoted domestic commerce, the Interstate Commerce Com- principally to the carriage of proprietary cargoes. mission exercises. some authority over contract car- These services are provided internally as an integral riage, but only to the extent required to protect com- part of some larger business activity and because mon carriers from unfair competition from contract they are not offered to the public, they are generally carriers@ Basically, contract carriers are forbidden outside the scope of Government economic regula- from charging unreasonably low rates and must file tion. Examples of this type of operation include a minimum rate schedule with the ICC. Any mini- tankers owned and operated by oil companies and mum rate determined by the ICC to be unreasonably ore carriers owned by steel and aluminum producers. low can be ordered raised, but the contract carrier The second basic type of operation is the tramp owner remains free to charge any rate above the service which is offered to shippers on a contract floor rate and there are no restrictions regarding carriage basis. No fixed schedule'or service ;.S offered rate discrimination among shippers.19 Hence, while a and vessels so employed move freely from trade to limited Federal regulatory role does exist with re- trade in pursuit of bookings. Cargo space may be spect to domestic contract carriage, this type of secured for a single voyage or, in some cases, the service in both foreign and domestic commerce re- entire vessel may be chartered for a period of years mains primarily subject to the control of the market as is common in the oil industry where many long- rather than the Government. term charters are used to provide services essentially The third basic type of shipping operation is the indistinguishable from proprietary carriage. Char- liner service, which is characterized by the offering acteristically, the tramp shipping industry is highly of water transportation services to the general public competitive, because of thi ease with which shipping in accordance with a fixed, published schedule. Es- assets may be shifted from one trade to another in pursuit of new employment opportunities. This com- 29 William L. Grossman.- -Ocean Freight Rates. Cambridge, petitive characteristic provides a strong element of Md., Cornell Maritime Press, 1956, p. 108. V-17 sentially it is this fixed schedule which sets the liner ments have been made, competing carriers are en- service apart from other shipping services not only couraged to try to attract cargoes away from one in terms of the type of service provided, but also, in another by cutting prices, often to the low level of the traditional view, in terms of the fundamental variable costs. With the commitment to serve a par- economic nature of this segment of the industry. It ticular trade already undertaken, it becomes natu- is suggested that it is this unique economic char- rally tempting to try to capture a little more cargo acter of liner shipping which inevitably leads to the to fill any unused capacity by reducing rates below adoption of certain competitive practices that over the total cost of providing the service, so long as time tend to destroy competition itself. In turn, it the variable costs of handling the cargo can be cov- has been this view which has led to the regulation ered. Inevitably, it is argued, competition of this sort of this segment of the shipping industry in the United will lead to serious rate wars and ultimately, if un- States while other segments have been left largely restrained, to the destruction of competition itself. unregulated. The philosophical underpinnings of this Next, it is suggested that because of the inherently regulatory involvement are briefly outlined in the destructive nature of competition in the liner trades, following paragraphs. - participants in the liner industry will privately seek Traditionally, the nonliner shipping industry has ways to limit such competition. In response to this been characterized by relatively high variable costs need, the liner conferences emerged as private means compared to other capital-intensive transportation of controlling predatory competition in the liner modes. That is to say, variable or operating costs industry. An association of all or some of the liner have tended to be relatively more significant com- operators in a particular trade, the liner conference ponents of total cost than in other transport indus- establishes a common rate structure which all mem- tries, whereas fixed or capital costs tend to be rela- bers agree to follow in offering their services in the tively less significant components of total cost. The trade governed by the agreement. In this way a importance of this characteristic is that it tends to major dimension of competition is removed among ensure the maintenance of a substantial degree of parties to the agreement and each participant's chance competition in this industry. The ease with which of survival in the trade is improved. Frequently these shipping assets may be shifted in pursuit of new agreements have emerged after major price wars and trade opportunities and the comparatively low capital essentially constituted truce agreements among the cost of establishing a new competitive service yield survivors. a natural environment for relatively free and non- The inherent problem with the conference agree- destructive competition. ment is that while it provides participants in a par- In the provision of liner services, however, the ticular trade with a useful means of protecting them- fixed cost/variable cost relationship of the nonliner selves from each other, the reduction in competition operator is fundamentally altered when vessels are associated with the conference agreement itself may committed to providing regular common carriage in leave shippers and society no better off than if a compliance with a fixed schedule. Under these cir- single firm attained a monopoly position in the trade. cumstances committed vessels are no longer free, at Essentially this was the policy dilemma which began least in the short run, to simply respond to the im- to emerge in the early 1900s in the United States. It peratives of the marketplace. As a consequence, a was felt that to outlaw the conference system in the far larger portion of total cost is effectively fixed for U.S. trades, while consistent with the prevailing U.S. the period in which the regular liner service is antitrust philosophy, would ultimately lead to de- offered.311 creased competition in ocean shipping rather than Relatively high fixed costs in the liner industry, in its protection as unrestrained predatory competitive turn, present two major problems with respect to practices _proceeded to their inevitable conclusion. competition. First, it is suggested that entry into the On the other hand, the conference institution itself industry or a particular trade is impeded by the large eliminated price competition altogether 'among its fixed cost commitment which must be made at the members and, uncontrolled, tended to adopt many outset. Committing vessels for an extended period of the socially objectionable practices of a monopoly. to a new service without assurance that the service In the face of this growing dilemma, in 1912 the will be remunerative is a major barrier to entry. House Committee on Merchant Marine and Fish- Secondly, where competition in a particular trade eries initiated a major investigation of the shipping exists, it is argued that it is likely to be extreme and conference system and its impact on U.S. trade and ultimately destructive. Once large fixed-cost commit- the shipping industry. 30 In recent years, this high fixed cost characteristic of liner After 2 years of study, the House completed its shipping has become even rnore pronounced with the rapid intro- assessment of the conference issue and in 1914 re- duction of containerization and other capital intensive intermodal ]eased its final report. In that study, known com- cargo handling procedures. These new cargo handling systems have required major capital commitments in both shoreside and monly as the Alexander Report, the Merchant seagoing equipment. Marine and Fisheries Committee basically concluded V-1 8 that the conference system was a necessary, though an agreement. Moreover, steamship agree- admittedly imperfect, institution that should be ments and conferences are not confined to allowed to persist but which should be closely regu- the lines engaging in the foreign trade of lated and controlled by the Federal Government in the United States. They are as universally order to protect shippers and society from its abuses. used in the foreign trade of other countries This report ultimately provided much of the basis as in their own. The merchants of these for the regulatory provisions of the Shipping Act of countries now enjoy the foregoing advan- 1916, which today remains a major statutory author- tages of cooperative arrangements, and to ity for the Federal economic regulation of shipping. restore open and cutthroat competition The following two paragraphs from the Alexander among the lines serving the United States Report 31 summarize its findings and the general would place American exporters at a dis- philosophy upon which the Shipping Act of 1916 advantage in many markets as compared was predicated. with their foreign competitors. "It is the view of the Committee that open "While admitting' their many advantages, competition cannot be assured for any the Committee is not disposed to recognize length of time by ordering existing agree- steamship agreements and conferences, un- ments terminated. The entire history of less the same are brought under some form steamship agreements shows that in ocean of effective government supervision. To commerce there is no happy medium be- permit such agreements without govern- tween war and peace when several lines ment supervision would mean giving the engage in the same trade. Most of the parties thereto unrestricted right of action. numerous agreements and conference ar- Abuses exist, and the numerous complaints rangements discussed in the foregoing re- received by'the Committee show that they port were the outcome of rate wars and must be recognized. In nearly all of the represent a truce between the contending trade routes to and from the United States lines. To terminate existing agreements the conference lines have virtually a mo- would necessarily bring about one of two nopoly of the line service. The committee results: the lines would either engage in believes that the disadvantage and abuses rate wars, which would mean the elimina- connected with steamship agreements and tion of the weak and the survival of the conferences as now conducted are inher- strong, or to avoid a costly struggle, they ent, and can only be eliminated by effective government control; and it is such control would consolidate through common owner- that the committee recommends as the ship. Neither result can be prevented by means of preserving to American exporters legislation, and either would mean a and importers the advantages enumerated, monopoly fully as effective, and it is be- and of preventing the abuses complained lieved more so, than can exist by virtue of of. Regulation of Foreign Trade Shipping With enactment of the Shipping Act of 1916, the chosen thei path of regulation to control this power. United States became unique among major maritime For example, 5 years before the release of the nations in its assertion of the right to regulate the Alexander Report, the Royal Commission on Ship- terms and conditions of competition in the carriage ping in Great Britain released a similar extensive of its waterborne international commerce. While report on shipping conference practices. While the other major trading nations have, from time to time, Royal Commission also found serious abuses asso- investigated and expressed concern about the power ciated with the conference system, it recommended of shipping conferences, only the United States has a private rather than. public solution. Recognizing the value of conferences as stabilizing influences in 31 U.S. Congress, House Committee on Merchant Marine and ocean transportation, the Commission felt that the Fisheries. Steamship Agreements and Affiliations in the American benefits of the conference system could be best main- Foreign and Domestic Trade. Washington, D.C., 1914. It should be noted that while the views expressed in the Alexander Report tained and the abuses best controlled through the provide much of the foundation for contemporary U.S. regula- encouragement of countervailing combinations of tory policies, this philosophy has not gone unchallenged. Over shippers and merchants who could bargain collec- the years there has been a substantial body of opinion which has held that the public would be better served by less govern- tively from a position of power with the shipping ment regulation and greater application of U.S. antitrust policies conferences. Over the years this has been the gen- to the liner shipping industry. Proponents of this position argue eral tactic adopted by most of the rest of the world that the presumption that unrestrained competition in liner shipping is inevitably destructive has been overdrawn. and the United States has been frequently criticized V-19 for pursuing the alternative approach of Government ment account under the Emergency Fleet Corpora- regulation. Basically, foreign maritime nations have tion. At the time the Shipping Act was passed, the objected to the United States regulating the competi- threat of war and the need to expand U.S. shipping tive practices of non-U.S. vessels. Despite these ob- capacity rapidly to meet wartime requirements fo- jections, however, this regulatory approach has been cused most of the attention on the emergency pro- a consistent U.S. policy since 1916. visions of this legislation rather than its regulatory Essentially, the policy adopted by the United provisions. In the aftermath of World War 1, how- States with enactment of the Shipping Act of 1916 ever, the emergency provisions of the Shipping Act imposed strict new requirements on the competitive passed into history, while the regulatory provisions practices of all ocean common carriers in both for- have remained central to contemporary U.S. shipping eign and domestic commerce while, in turn, granting regulation. antitrust immunity to approved conferences and Over the period 1916-61 the regulatory activities certain other competition-limiting associations or of the Federal Government with respect to foreign agreements. 32 The competitive practices prohibited trade ocean shipping were consistently vested in the by the law extended to individual companies as well same organization that carried out Federal prorno- as to conferences, and all competition-limiting ar- tional programs relating to the U.S. merchant rna- rangements and associations were required to receive rine. While this arrangement resulted in numerous prior approval from the Government before activa- problems over the years, it was a central feature of. tion. Furthermore, all such arrangements were re- the United States Shipping Board (an independent quired to provide for ". . . reasonable and equal agency from 1917 to 1933 and a component of the terms and conditions for admission . . ." of non- Department of Commerce from 1933 to 1936), the affiliated shipping companies." Hence, the 11916 Act, United States Maritime Commission (an independent while allowing the conference system to exist in the agency from 1936 to 1950), and the Federal Mari- U.S. trades, limited this authorization to so-called time Board/Maritime Administration (both Depart- "open" conferences only. The "closed" conference, ment of Commerce units from 1950 to 1961). Not which limits membership and which is common else- until 1961 were the Federal promotional and regu- where in the world was, and remains, prohibited in latory responsibilities in this area finally separated U.S. commerce. with the establishment of an independent five-man Although the Alexander Report had recommended Federal Maritime Commission to carry out the regu- that the regulation of shipping be added to the re- latory duties and with the assignment of all promo- sponsibilities of the Interstate Commerce Commis- tional and subsidy functions to the Maritime Admin- sion, the Shipping Act instead established a new istration in the Department of Commerce. This is the independent agency to discharge these regulatory present organizational arrangement of these func- responsibilities, The United States Shipping Board, tions, and today the foreign trade regulatory provi- which the 1916 Act established to carry out these sions of the Shipping Act of 1916 (together with other duties, was, however, also given broad promotional regulatory responsibilities) are carried out by the .responsibilities with respect to U.S. shipping and was FMC. authorized to build and operate ships for govern- In an effort to regulate the liner shipping industry effectively and yet allow a limited form of the con- 32 Among the major types of agreements regulated by FMC ference system to persist, the Congress specified in (and requiring specific FMC approval before implementation) Section 14 of the Shipping Act four types of com- are the following: 1) Conferences and Rate Agreements which contain provisions for fixing and requiring adherence to uniform petitive behavior which would be illegal for all com- rates, charges and practices relating to the receipt, carriage, and mon carriers (and/or conferences) engaged in U.S. delivery of cargo for all members in a particular trade. Gen- commerce. These specific prohibitions, which are erally, rate agreements provide for the right of independent action by member lines. Conference agreements authorize rates still in force, and which apply to both foreign and for specialized commodities to be open. Conference and rate U.S.-flag carriers, will be briefly discussed in the agreements with a membership of three or more must contain provisions describing the method or system used by the parties following paragraphs. in policing the obligations thereunder. 2) Pooling Agreements The first practice to be specifically prohibited was which provide for the division of cargoes or revenues among the deferred rebate. Before 1916 such rebates were participants according to a prearranged formula. 3) Talking Agreements which allow antitrust immunity to carriers in a par- used to maintain shipper patronage and are still used ticiilar trade who wish to discuss certain subjects related to the for that purpose today in many non-U.S. trades. trade or who wish to hold talks preparatory to the establishment of some other type of agreement. 4) Interconference Agree- Essentially, ship operators offering such rebates ments which are generally agreements between conferences serv- agree to return a portion of the total freight paid for ing naturally competing adjacent trades which are typically de- services in an earlier period to any shipper who signed to achieve rate parity between conferences. Agreements of this last type are required to preserve the right of independent agrees to ship all or some specified portion of his action for member conferences upon notification of other parties cargoes for some future period on vessels owned by to the agreement. the operator offering the rebate or, in the case of 33Shipping Act, 1916 (as amended), Section 15, 39 Stat. 728, Chapter 451, September 7, 1916. conferences, on vessels of conference members. This V-20 device has been commonly used by conferences'to systems if approved in advance by the Federal Gov- keep existing customers from shifting to carriage by ernment. In 1961, specific terms and conditions re- a nonconference line. Since the only way a shipper quired for dual rate contract approval were added can collect his rebate is to agree to another period to the Shipping Act. Basically, the 1961 amendment of exclusive patronage, the shipper faces a strong authorizes approval of dual rates so long as they are economic incentive to remain loyal to the conference not detrimental to U.S. commerce, contrary to the and potential conference competitors face a major public interest, or ". . . unjustly discriminatory or barrier in trying to attract customers away from the unfair as between shippers, exporters, importers, or conference. As indicated, this practice was made ports, or between exporters from the United States illegal by the Shipping Act in all U.S. trades and and their foreign competitors . . ." 35 this prohibition, like the other practices which The 1961 dual rate provision also set the maxi- are forbidden, extends to foreign-flag common car- mum rate discount for exclusive patronage at 15 riers in U.S. foreign trade as well as to U.S. carriers. percent. Although a statutory maximum, this 15 per- The second practice forbidden by Section 14 was cent differential. in dual rate contracts has become the use of so-called "fighting ships." Essentially, this the norm. In processing dual rate contract applica- device involves the selection of one or more vessels tions since 1961, FMC has denied approval to dual from among those owned by a particular company, rate systems which extend. shipper patronage re- or by members of a conference, to be operated at quirements beyond a single trade and to systems extremely low rates in head-to-head competition providing for more than two rate levels.36 with a competitor on a particular route in order to While the Shipping Act required prior Federal drive the competitor from the trade. Losses on a approval of all conference agreements and related conference-sponsored fighting ship operation are competition-limiting arrangements and while it did shared by all conference members, and, hence, the require conferences to file rate schedules and ex- full economic resources of the conference can be pressly prohibited certain competitive practices, as brought to bear in the course of the competition. originally drawn the 1916 Act did not require inde- Since 1916, this practice, too, has been illegal in pendent common carriers to file rate schedules with all U.S. trades. the Federal Government. It was not until 1961, The third practice outlawed by the Shipping Act when Section l8b was added to the Act, that such was the practice of discriminating against shippers filings were made mandatory for independent car@- as punishment for nonpatronage. Essentially, Section riers as well as conferences. 14 made it illegal for any common carrier in U.S. While the addition of Section l8b (and at the ocean commerce to retaliate against a shipper by same time, the addition of Section 14b, which re- refusing to carry his cargo when space is available quired dual rate contract filings), substantially ex- or to otherwise discriminate against a shipper as a panded Federal regulatory authority with respect to consequence of the shipper's patronage of another foreign trade ocean carriers, this authority remains carrier. limited compared to the Federal ratemaking author- Finally, Section 14 included a more general pro- ity exercised over domestic carriers. The Federal hibition against any unjust or unfair discrimination Maritime Commission today may disapprove a for- among shippers. This provision, and others similar eign trade rate which, after hearing, it finds to it elsewhere@ in the Act, basically requires that all to be so unreasonably high or low as to be detri- common carriers by water in U.S. commerce offer mental to the commerce of the United States." 11 their services on equal commercial terms to all However, under such circumstances, the FMC may equally situated shippers. not suspend the rate pending a determination of its In 1958, a judicial interpretation of this last pro- reasonableness. Under this section, FMC may dis- vision held that the language contained in Section 14 approve a challenged rate only after the required with respect to discrimination also prohibited the hearing has been held. In cases where a rate is chal- common practice of offering dual rates.3' Under this lenged on the basis of discrimination under Section arrangement, a lower rate schedule is offered to 17, the Commission authority is broader and a. new shippers who sign contracts agreeing to exclusively rate may be prescribed .(after hearing) to correct patronize conference carriers while a higher schedule such an inequity. is offered to shippers who do not agree to exclusive patronage. 35 Shipping Act, 1916 (as amended), Section 14b, 39 Stat. Although the 1958 judicial interpretation outlawed 728, Chapter 451, September 7, 1916. Another result of the 1961 amendments was to mandate that conference tariffs be made the dual rate practice, this policy was quickly re- available to shippers at a subscription fee. Previously the non- versed when in August 1958 the Congress amended availability of some conference tariffs was hindering the shipping public. the Shipping Act to specifically authorize dual rate 36 U.S. Department of Justice, Antitrust Division. The Regu- lated Ocean Shipping Industry. Washington, D.C., Government 34 Federal Maritime Board vs. Isbrandtsen Company, 356 Printing Office, January 1977, p. 148. U.S.C. 481 (1958). 37 Shipping Act of 1916, Section 18b(5). V-21 This rate regulation authority is substantially less Shipping Act of 1933 provide the Federal Govern- extensive than that exercised by the Federal Govern- ment with extensive ratemaking authority with re- ment with respect to domestic water carriage. As spect to domestic waterborne common carriage .311 noted in a recently published Justice Department It is to this domestic waterborne transportation regu- study, the Shipping Act of 1916 and the Interc6astal lation that attention will now be directed. Regulation of Domestic Trade Shipping Under the terms of the Shipping Act of 1916, the trade regulatory authority came in 1933. Following regulatory authority granted to the United States World War 1, intense competition developed in the Shipping Board extended to ocean and Great Lakes carriage of intercoastal domestic commerce via the common carriers in interstate domestic commerce as Panama Canal and demands for expanded Federal well as to common carriers in the U.S. foreign trades. regulation to control this situation began to emerge. But while the major trade practice prohibitions and In 1933, the Congress responded with enactment of requirements imposed on foreign trade common car- the Intercoastal Shipping Act, which required both riers applied equally to domestic common carriers, common and contract carriers to file tariffs with the the domestic carriage rate regulation authority of Shipping Board for all domestic intercoastal carriage the Board was, from the beginning, far greater than provided via Panama. Such tariffs were required to its foreign trade rate regulation authority. For exam- specify the exact rate to be charged rather than a ple, while it was not until 1961 that foreign trade minimum, maximum, or range of rates, and the tariffs of independent carriers were required to be Shipping Board was given broad authority to suspend filed with the Federal Government, tariffs for domes- unjust or unreasonable rates and practices. Hence, in tic ocean and Great Lakes common carriage were this one trade area, Federal regulatory authority was required under Section 18 of the Shipping Act as simultaneously extended to include contract carriers originally enacted. and substantially expanded with respect to ratemak- It is important to note, however, that this early ing and rate regulation. authority to regulate domestic rates, while clearly In 1938 the relevance of the Intercoastal Shipping greater than the authority to iegulate foreign trade Act, with respect to the regulation of domestic ship- rates, was limited in two important respects. First, ping, was greatly enlarged by an amendment which the 1916 Act required only that maximum rates be extended the provisions of the 1933 law to all filed with the Shipping Board and left carriers free domestic trade common carriers as defined in the to charge rates below the maximum so long as some Shipping Act of 1916.@19 With this amendment, the other provision of the Act was not violated in the Intercoastal Shipping Act of 1933 became the pri- process. The Board was, however, granted authority mary statutory authority for Federal regulation of to prescribe a new maximum rate upon finding a domestic water transportation rates. In compliance particular rate unjust or unreasonable, and unjust or with this legislation, domestic ocean and Great Lakes unreasonable trade practices could also be set aside. common carriers were required to file new tariffs Nonetheless, the original domestic trade ratemaking with the U.S. Maritime Commission (which by this authority available under this rate ceiling approach time had assumed the responsibilities of the Shipping was significantly more constrained than the author- Board) reflecting actual, rather than maximum, rates ity exercised today by the Federal Government in for domestic service. In addition, all such carriers this area. became subject to expanded Federal ratemaking The other major limitation on the original author- authority because it was no longer a rate ceiling ity of the Shipping Board with respect to domestic which had, to be fair and just, but a specific rate. water carriage regulation derives from the definition Under this expanded authority, rates could be sus- contained in the Act of domestic carriers subject to pended by the Maritime Commission if found to be its provisions. Because only ocean and Great Lakes either too high or too low, and the Commission was interstate common carriers were included in the authorized under such circumstances to prescribe domestic water carrier definition, the entire inland appropriate rates for the services in question. Thus, waterway system was excluded from the regulatory together, the Shipping Act of 1916 and the Inter- authority of the Government (except, of course, for coastal Shipping Act of 1933 became the two prin- the rail-related regulatory authority exercised by ICC). Furthermore, all contract and private carriers 39 Interestingly, the 1938 amendment did not include extension of the rate provisions,of the Intercoastal Shipping Act to other in the domestic ocean trades were beyond Federal domestic contract carriers. Thus, while common carriers in all jurisdiction under this definition. domestic interstate ocean and Great Lakes trades became subject The first important expansion of Federal domestic to the Intercoastal Shipping Act, the only domestic contract carriers subject to this legislation were those operated in inter- - coastal services via the Panama Canal as originally specified 38 U.S. Department of Justice, op. cit. note 36, p. 36. when the Act was first passed. V-22 cipal statutes upon which Federal domestic water they wish. The ICC may raise floor rates found to carrier regulatory authority rested at the end of the be so unreasonably low as to result in unfair compe- 1930s. tition, but has no power to lower rates. Although Federal authority over domestic water Although many of the provisions of the Shipping carriage had been expanded substantially with enact- Act and the Intercoastal Shipping Act were repealed ment of the 1938 amendment to the Intercoastal by the Transportation Act of 1940 with respect to Shipping Act, inland water carriers remained largely the water carriage made subject to ICC jurisdiction, beyond Federal regulation. The ICC, of course, did similar trade practice prohibitions and standards exercise some limited jurisdiction over those trans- were incorporated in the new legislative authority. portation services offered jointly by rail and water Tariff filings were required, and rates could be over- carriers and water carriage provided by railroad sub- turned by ICC if found to be unreasonably high or sidiaries, but this authority was directed primarily unreasonably low. Unjustly discriminatory rates and at controlling the competitive practices of the rail- practices were outlawed, and agreements among roads and excluded water transportation unaffiliated common carriers relating to rates were allowed and with rail carriage. The ICC role in regulating rail- given antitrust immunity if approved in advance and related water carriage also meant that Federal if individual participants retained the right of indi- authority in this area was divided between two vidual action. Thus, in general, the basic regulatory agencies. By 1940, pressures emerged for the con- authority previously exercised by the U.S. Maritime solidation of this domestic regulatory authority and Commission over part of the domestic water trans- for the extension of general Federal regulation to portation system was simply transferred to ICC and the inland waterway system. expanded to include the inland waterway systern and In 1940, legislation was passed which accom- contract carriers. The specific ICC authority over plished the desired consolidation of regulatory domestic water transportation is, however, replete authority and extended Federal regulation to the with exceptions and exemptions and, as a conse- inland system. With enactment of the Transportation quence, is highly complex. After delineating most of Act of 1940, which added a new Part III to the the major exceptions and exemptions, one author has Interstate Commerce Act, the bulk of Federal regu- identified three major elements of the domestic water latory authority over domestic water transportation transportation system which remain generally within (including the inland system) was vested in the the jurisdiction of ICC: ". . . common carriage of Interstate Commerce Commission, leaving to the nonbulk freight; common carriage of dry bulk cargo U.S. Maritime Commission (and its successors) pri- on the high seas and Great Lakes; and intercoastal mary responsibility for the regulation of foreign contract carriage of dry bulk cargo, when substan- trade carriage. The single exception to this foreign/ tially competitive with common carriage (by water, domestic division of responsibility was in the offshore rail, or highway) ." 41, domestic trades between the continental United In addition to the domestic carriage line haul States and Hawaii, Alaska, and U.S. territories. In operations subject to ICC authority, numerous other these noncontiguous domestic trades, the Maritime water transportation-related services also fall within Commission retained primary responsibility for ICC jurisdiction under various provisions of Part III water carrier regulation. All territorial trades were of the Interstate Commerce Act. Authority in this exempted from inclusion under ICC authority by area extends to such services as delivery, elevation, the 1940 Act itself, and, when Hawaii and Alaska transfer in transit, refrigeration,. storage, and similar became States, the authority of the Maritime Com- transportation-related services offered to the public. mission over these trades was preserved by the state- It is also important to note that ICC authority hood legislation. Regulation of these noncontiguous under the 1940 Act includes the regulation of the domestic trades continues to be governed primarily domestic portion of foreign trade water transporta- by the terms of the Intercoastal Shipping Act of tion services before or after trans-shipment in the 1933, as amended, subject to the trade practice pro- carriage, to or, from a foreign location. With the hibitions of the Shipping Act of 1916. growth of intermodalism in recent years, and the in- In addition to bringing the inland waterway sys- creasing use of through transportation rates, juris- tem under Federal regulatory authority, the Trans- dictional problems between ICC and FMC have portation Act of 1940 also extended domestic water become more and more common in this area. Since regulation to certain contract carriers, although regu- foreign trade-through rates may include in a single latory authority in this area has remained limited rate charges for both foreign trade and domestic and is primarily designed to protect common carriers trade services, it is often not clear which authori 'ty (of all modes) from unfair competition. Basically, should govern such rates. Hence, while a major regulated contract carriers are required to file with motivation for enacting the Transportation Act of the ICC only the lowest rates actually charged for their services and are free to charge higher rates as 40William L. Grossman', op. cit. note 29, p. 106. V-23 1940 was to eliminate jurisdictional overlaps in Fed- domestic commerce. Jurisdictional disputes in this eral regulatory authority, the growing use of through area are likely to continue until authority in this rates to cover a combination of foreign and domestic area is more precisely allocated either through judi- transport services is blurring the regulatory boundary cial interpretation of existing law or enactment of established by the 1940 Act between foreign and new legislation. Other Regulatory Responsibilities of [CC and FMC Beyond the activities carried out by the Interstate discrimination, file their rates in tariffs, etc. 1141 Al- Commerce Commission and the Federal Maritime though regulated domestic forwarders may employ Commission relating to the economic regulation of water carriers in the provision of line haul trans- water carriers, various additional regulatory duties portation services, it is much more common for are discharged with respect to other aspects and domestic forwarders to use rail or truck services. In components of the water transportation system. As the domestic trades, freight forwarders assume the indicated in the previous section, Part III of the responsibilities of a common carrier and are regu- Interstate Commerce Act grants authority to ICC lated as common carriers. to regulate many services provided in conjunction In foreign commerce and in the noncontiguous with water transportation in addition to the line haul domestic trades, FMC exercises Federal regulatory itself. In this same area, under the terms of the authority over so-called Non-Vessel Operating Com- Shipping Act of 1916, the FMC exercises extensive mon Carriers (NVOCC), which are business entities authority in the regulation of marine terminal opera- analogous to the domestic freight forwarders regu- tions carried out in conjunction with waterborne lated by ICC. Basically, an NVOCC can be de- common carriage in foreign commerce and in con- scribed as a person or firm which holds itself out junction with domestic interstate ocean and Great (by the establishment and maintenance of tariffs, Lakes commerce. In this capacity FMC promulgates by advertisement solicitation, or otherwise) to pro- rules and regulations governing the activities of vide' transportation for hire by water in commerce terminal operators and conducts surveillance, investi- subject to the jurisdiction of FMC; which assumes gates charges, and renders decisions relating to dis- responsibility or has liability imposed by law for the criminatory rates, practices, and other illegal activ- safe transportation of shipments; and which arranges ities..All U.S. terminal operators serving common in its own name with underlying water carriers for carriers by water must publish and file tariffs with the performance of such transportation whether or FMC specifying rates, charges, rules, and regula- not owning or controlling the means by which such tions governing their services. Furthermore, agree- transportation is effected. Although an NVOCC is ments between and among terminal operators and essentially the same kind of entity as the domestic common carriers which affect or limit competition freight forwarder regulated under Part IV of the must be filed with and approved by FMC before Interstate Commerce Act, FMC does not place receiving antitrust immunity under Section 15 of the special restrictions on NVOCC operations, as is the Shipping Act. case with ICC regulation of domestic freight for- Interestingly, it is ICC rather than FMC which warders. A non-vessel operating common carrier is has responsibility to help assure that offshore oil afforded the same status as a vessel operating com- ports and related storage facilities are operated mon carrier in terms of FMC regulation. as common carriers. Under Section 8 of the Deep- In addition to its regulatory authority over water Port Act of 1974, authorized offshore oil NVOCCs, FMC also licenses and regulates inde- facilities must be operated on a common carrier pendent ocean freight forwarders, which, unlike the basis subject to ICC regula 'tion in order to be eligible domestic forwarders regulated by ICC, assume no for a Department o "f Transportation license. If there common carrier responsibilities and therefore file no is reason to believe that a licensed facility is not be- tariffs or transportation rates. Independent ocean ing operated in compliance with this requirement, an freight forwarders serve merely as export agents for appropriate investigation and proceeding before ICC other persons. FMC authority in this area was pro- may be initiated. vided under the terms of a 1961 amendment to the Freight forwarders in domestic commerce (except Shipping Act, which authorizes the Commission to in the noncontiguous domestic trades) are also regu- license forwarders subject to its jurisdiction and to lated by ICC under the terms of Part IV of the regulate their activities to assure compliance with Interstate Commerce Act, which was added to the Federal shipping statutes. Ocean freight forwarders basic legislation in 1942. Under the provisions of are required to be licensed by FMC after a finding Part IV such forwarders are generally required to charge reasonable, rates, refrain from unjust "William L. Grossman, op. cit. note 29, p. 114. V-24 that they are "fit, willing, and able" to carry on the tions under this law are also assured by an FMC business of forwarding. The statute further provides certification program. Although this program has that no person may be licensed who is controlled been in effect since April 3, 1971, with respect to directly. or indirectly by an exporter from the United oil spills, it has not yet been expanded to cover spills States, or who has a beneficial interest in export of other hazardous substances. Before implementa- cargoes. Freight forwarders are also subject to the tion of the expanded program, the Environmental general regulatory provisions of the Shipping Act of Protection Agency must specifically.identify the sub- 1916, as "other persons" subject to the Act. stances to be included and establish various pollution In addition to responsibilities relating to the regu- standards for these materials. The development of lation of competition and trade practices, FMC is EPA standards in this area is reportedly now nearing also responsible for assuring the financial capability completion. of certain carriers to meet various legally-specified Special liability requirements are imposed on ves- liability requirements. Basically these responsibilities sels carrying Alaska North Slope oil under the terms relate to passenger vessels serving U.S. ports and, of the Trans-Alaska Pipeline Authorization Act of with respect to.pollution liability, to almost all ves- 1973 and assuring financial responsibility up to these sels over 300 gross tons using U.S. waters. Under the limits is also within FMC authority. In implementing terms of Public Law 89-777, owners, operators and this program, FMC has required carriers engaged in charterers of passenger vessels with accommodations the Alaska trade to maintain evidence of financial for 50 or more persons must establish and maintain responsibility to meet the liability requirements of with FMC evidence of their financial responsibility both the Federal Water Pollution Control Act and to meet liability obligations to passengers or others the Trans-Alaska Pipeline Authorization Act. for death, injury, or nonperformance on voyages to It is interesting to note that a similar requirement or from the United States. Certificates (required for relating to vessel financial responsibility for oil pollu- operation in the U.S. commerce) are issued to car- tion liability in conjunction with deepwater offshore riers that apply to the Commission and are found ports was vested with the Department of Transporta- financially responsible to meet these liability obliga- tion under the terms of the Deepwater Port Act of tions. 1974. Once one or more deepwater ports become Financial responsibility obligations are also im- operational, this provision will fragment Federal posed on the owners and operators of all U.S. and responsibility in this area unless new overriding foreign vessels of over 300 gross tons (except public legislation is enacted to deal comprehensively with vessels and certain non-self-propelled barges) under the provisions of Section 3 11 (p) ( 1 ) of the Federal the.oil spill liability issue. Comprehensive legislation Water Pollution Control Act. Financial responsibility on oil spill liability is now being considered by the in this area is designed to assure adequate resources Congress, but it is not yet clear where overall respon- to meet liability obligations associated with a spill sibility for assuring financial responsibility will be or other illegal polluting discharge. Carrier obliga- vested. Major Current Issues Jurisdictional problems relating to the authority of dictional disputes among the three parent agencies ICC and FMC are likely to continue as prominent has been limited. regulatory issues as containerization and other In the past the FMC and various marine confer- unitized cargo handling operations continue to ex- ence carriers have supported legislation which would pand. The increasing use of through bills of lading allow FMC to grant antitrust immunity under the and single rates for movements having both inter- Shipping Act to certain intermodal arrangements in national and domestic components will continue to order to facilitate intermodal development. Under' tax the traditional domestic trade/foreign trade divi- such legislation, arrangements receiving immunity sion of responsibility between these agencies. Both would be subject to FMC approval and regulatory agencies generally support the concept of intermodal authority. Both the Justice Department and ICC development, and both are represented, along with have opposed such legislation. Justice, which has the Civil Aeronautics Board, on the nonstatutory been a frequent critic of the U.S. policy of granting Interagency Committee on Intermodal Cargo antitrust immunity to shipping conferences, does not (ICIC). But despite this support for the concept of want to see this policy extended, and ICC feels that intermodalism, fragmented regulatory authority re- intermodal development has not been unduly re- mains an impediment. Although the ICIC has suc- tarded under existing law and, therefore, sees no ceeded in improving some of the commercial aspects need for new legislative authority. of intermodal carriage, progress in resolving juris- Another regulatory issue of growing importance is V-25 also closely tied to intermodal development. As indi- regulatory system has not been effective in controlling cated in the previous section, containerization and illegal practices gained considerable credibility with other unitized cargo handling techniques have placed the recent agreement by Sea-Land Services, Inc., to strong pressures on the traditional Federal port pol- pay a $4 million fine to FMC for extensive rebating. icy of non-discrimination. These pressures have activities between 1971 and 1975. Although investiga- found clearest expression in the regulatory process tions are still continuing, there are indications that where Federal decisions with respect to intermodal such rebating has been widespread in the U.S. trades operations can significantly affect port prospects. A in recent years despite its prohibition. number of intermodal operations are now being cbal- Supporters of the existing U.S. regulatory system, lenged before both FMC and ICC by ports that are seeing major problems in any attempt to extend U.S. losing traditional cargoes to these new services. antitrust laws to foreign-flag carriers, have urged a. Rate absorption is a fundamental issue in many of basic strengthening of the present regulatory system these port-related cases. In the past FMC has gener- to provide FMC with expanded authority to deal ally allowed ocean carriers to offer a through-single- more effectively with illegal rebating practices-par- rate service and absorb the cost of overland transpor- ticularly with respect to foreign-flag vessels. While tation from the port of call to another port region FMC authority over U.S. carriers is clear, its powers only in cases where adequate service was not available to investigate foreign-flag operations have proven at the second port or in certain other very limited more difficult to exercise. By simply refusing to sup- situations, such as emergencies. However, FMC policy ply subpoenaed records and information (frequently in this area is still evolving as the Commission attempts in compliance with laws at home) foreign-flag car- to balance the advantages of expanded intermodalism riers have often been able to thwart FMC rebating against the potential damage to specific ports and to investigations without fear of U.S. Government re- the traditional concept of non-discrimination. Ports prisal. This situation has prompted the Congress to damaged by new intermodal services can be expected consider amendments to U.S. shipping laws which to continue to argue to the FMC that they are being would impose new penalties on foreign carriers who discriminated against unfairly by the diversion of refuse to comply with FMC investigations. One sug- naturally tributary cargoes to other ports. gested approach would prohibit such uncooperative The port position is also being pursued before ICC, foreign lines from entering U.S. ports. Further con- which has authority to disallow domestic rates that sideration of how best to deal with the rebating prob- are noncompensatory. Because a through rate has a lem in the months ahead is likely to raise a variety of domestic portion that is subject to ICC jurisdiction, issues relating to the fundamental nature of the pres- damaged ports have sought ICC disallowance of ent U.S. shipping regulatory system. through rates on the grounds that the domestic por- Interest in reassessing Federal liner regulation has tion is illegally low. It seems likely that balancing port also been expressed by the Maritime Administration, considerations against the benefits of expanded inter- which recently signed a major contract with the con- modal carriage will be complicated by the involve- sulting firm Harbridge House for a 1-year study of ment of two Federal regulatory authorities. This is the outlook for the U.S. liner fleet, assuming three another manifestation of the growing jurisdictional alternative future regulatory environments. This problem which has accompanied the growth of inter- study will first assess the economic outlook for modal transportation. the U.S. fleet if the current regulated "open" con- In addition to the issues associated with regulatory ference system is retained. Second, the impact of a jurisdiction and intermodalism, even more funda- more competitive environment, such as the one urged mental concerns are likely to emerge in the next few by the Justice Department, will be analyzed. And years regarding the overall appropriateness and ade- finally, an assessment of the U.S. liner outlook will quacy of the present U.S. ocean shipping regulatory be made assuming a less competitive environment in system. As indicated, the Justice Department has which "closed" conferences are authorized in U.S. frequently criticized the granting of antitrust immu- commerce. The Chairman of the House Merchant nity to regulated shipping conferences and has re- Marine and Fisheries Committee has recently indi- cently released a major study that is highly critical of cated that his committee will soon consider legislation the present system. Basically the study concludes that to authorize some form of "closed" conference sys- conference abuses have not been effectively controlled tem. Hearings on such a measure are also likely to by either market forces or Government regulation and spawn a fundamental and thorough-going Congres- that major changes should be made to -current ship- sional reassessment of U.S. shipping regulation. As ping legislation with the aim of increasing competition has been the case in the past, U.S. fleet promotional in the shipping industry. 12 considerations are likely to figure prominently in The Justice Department allegation that the U.S. these deliberations and the findings of the Harbridge House study will, no doubt, be carefully considered 42U.S. Department of Justice, op. cit. note 36, p. 237. during such Congressional hearings. V-26 One final major regulatory issue which will con- provide FMC with new authority to deal with Soviet tinue to receive close consideration relates to the rate-cutting practices, were suspended to see how well problem of controlling the competitive practices of the new agreement would work. The suspension of state-owned shipping companies which, in recent years, these efforts, however, was temporary as Congres- have been aggressively seeking a larger role in the sional impatience grew over the slow pace of progress carriage of U.S. foreign commerce. Such carriers, pri- under the Leningrad Agreement. In May 1977, Chair- marily of Soviet registry, have been charged by their man Bakke himself suggested that progress had been competitors with cutting rates to levels which are not inadequate and urged the Congress to pursue a legis- fully compensatory in order to achieve rapid trade lative solution to the rate-cutting problem .43 penetration gains which, it is suggested, are motivated Legislative proposals which have thus far been more by political objectives than by commercial con- advanced to address the rate-cutting issue would amend siderations. The Soviets have, in turn, countered that the Shipping Act of 1916 to require nonnational, their rates are not lower if the extensive illegal rebat- third-flag carriers (vessels not registered under either ing activities of their competitors are taken into ac- U.S. flag or the flag of the U.S. trading partner in a count. As a result of these charges and counter- particular trade) to maintain rates with the FMC charges, the rebating and rate-cutting issues have which are no lower than the lowest rates filed by any recently become increasingly intertwined. national flag carri'er for the same services. FMC would In attempting to resolve the rate-cutting issue, be allowed to authorize lower rates only upon finding former FMC Chairman Karl Bakke met with Soviet such rates to be commercially compensatory. Under maritime officials in July 1976 and successfully nego- the terms of one legislative proposal in this area, only tiated an agreement concerning the terms of Soviet State-owned nonnational carriers would be subjected liner participation in the carriage of U.S. waterborne to these new requirements, while an alternative pro- foreign commerce. Under the provisions of the so- posal would extend this authority to all third-flag called Leningrad Agreement, Soviet officials basically vessels engaged in the carriage of U.S. liner commerce. agreed to adjust rates as quickly as possible in all U.S. In the face of continued Soviet expansion in the liner trades to at least the level of the lowest rate carriage of U.S. commerce and with the continued offered by other competing independent carriers and offering of liner services at what appear to be non- to begin negotiations for entry into the Atlantic and compensatory rates, pressure for Congressional action Pacific conference systems. in this area is likely to grow. As a consequence, the In the wake of the Leningrad Agreement, various third-flag rate-cutting issue promises to continue as a legislative initiatives, which had been undertaken to major regulatory concern. Promotion of U.S. Shipping and Shipbuilding Federal promotion and protection of the U.S. supported justification for Federal involvement in this merchant marine date from the beginning of our his- area. tory as a Nation. And while the scope and nature of The security requirement for a national merchant this support have varied from period to period, the marine is generally defined to include two compo- provision of Federal maritime assistance, in one form nents. The defense component consists of the ship- or another, has been a consistent U.S. policy. ping and shipbuilding capacity needed to assure rapid Over the years a number of justifications have been deployment and resupply of U.S. armed forces in advanced in support of Federal programs designed to time of wa'r, while the economic security component foster U.S. shipping and shipbuilding. These justifica- represents a broader requirement to assure the con- tions, which have assumed varying positions of rela- tinued viability of the economy under wartime or tive importance during different pe&ods of our his- other national emergency conditions. The growing tory, may be classified under three general headings dependence of the United States on foreign raw mate- -national security, international political considera- , rials has greatly increased the importance of this tions, and economic benefits. second component of national security in recent years. National security considerations have consistently Closely related to national security are certain inter- played a predominant role in shaping and justifying national political considerations which have also fre- Federal involvement in the promotion and protection quently been cited as motivations for Federal support of the U.S. merchant marine. The importance of for the U.S. merchant marine. Merchant ships, like maintaining a domestic shipping and shipbuilding capacity has been repeatedly demonstrated during 43 U.S. Department of Commerce, Maritime Administration, periods of war and other national emergencies, and Office of Policy and Plans, Division of Special Studies. Expan- sion of the Soviet Merchant Marine into the U.S. Maritime the security requirement for a U.S. maritime capacity Trades. Washington, D.C., Government Printing Office, August is today probably the most widely recognized and 1977, p. 43. V-27. naval vessels, may serve as visible expressions of the maintenance and expansion of U.S. foreign com- national power and prestige abroad and such vessels merce. National flag ocean transportation has also and citizen crews play a representational role that can been encouraged as a means of opening new markets help implement U.S. foreign policy. At an even more for our export products. This justification was of par- general level, it has been suggested that national ticular importance in the early period of our history prestige, national pride, and our commitment to eco- when merchant ships carrying goods around the world nomic competition demand participation by the provided the principal means of exposing potential United States in these internationally competitive customers to new products and to new sources of industries. In his message proposing legislation which supply. Finally, balance of payment savings have been was to become the Merchant Marine Act of 1936, cited as an important benefit of maintaining strong President Roosevelt included the following statement U.S. shipping and shipbuilding industries, especially of this political imperative: 44 during periods of high or chronic deficits in the "In such free competition, the American balance of payments. To the extent that U.S.-built people want us to be properly represented vessels and U.S.-owned and operated shipping services ... Their Government owes it to them to obviate part of the requirement for foreign vessels make certain that [American] ships are in and services, balance of payments savings accrue to keeping with our national pride and our the Nation. national needs." It is important to note that today, like many of the other benefits associated with Federal support for the Over the years, a variety of economic benefits have merchant marine, the balance of payments benefit is also been cited in support of Federal assistance for not generally cited as a major justification for Fed- the U.S. merchant marine. First, U.S. shipping and eral support, but rather as one of the many ancillary shipbuilding offer human and material resource em- benefits which derive from this policy. As suggested ployment opportunities which, in some circumstances, previously, it is probably national security that today might otherwise be unavailable. Such justifications provides the primary justification for Federal support have been particularly important during periods of for the U.S. maritime industries. Nonetheless, while high national unemployment and in regions of the the international political and economic benefits Nation which face chronic employment problems and associated with U.S. shipping and shipbuilding might in which the maritime industries provide many of the not individually warrant Federal support of these available job opportunities. industries, the collective value of these benefits is The regional employment argument has been par- substantial and represents a major offset against the ticularly persuasive in recent years with respect to cost to the Nation of maintaining the essential mari- Federal support for shipbuilding. As of December time resources needed for security purposes. Hence, 1977, for example, nine U.S. shipyards were engaged it is not surprising that the political and economic in the construction of merchant vessels with construc- benefits of a viable merchant marine continue to re- tion-differential subsidy assistance. All nine of these ceive prominent attention in the promulgation and shipyards are in areas classified by the Department of implementation of Federal maritime promotional Labor as having substantial unemployment. The ship- policies as programs are sought which minimize the building employment opportunity argument is further net cost to the Nation of maintaining this essential advanced by the relatively high proportion of minority national resource. workers in this industry. Such workers consistently Over the years, Federal maritime assistance has face greater employment difficulties than their non- been provided in many forms through programs of minority counterparts in the labor force and, in many both direct and indirect aid. Using the Federal sub- areas, shipbuilding has become a major source of jobs sidy classification scheme developed by the Joint and training for minority employees. Economic Committee of the CongresS,4' it is possible The other economic justifications most frequently to identify past or present maritime assistance pro- advanced in support of Government aid to the mari- grams that fall into each of the six Government aid time industries stem primarily from international trade categories described by that Committee. Direct cash considerations. It has been argued, for example, that payments in the form of ship construction and a U.S. presence in the carriage of our foreign com- ship operating subsidies have been a mainstay of merce helps assure the maintenance of a competitive Federal support since 1936. Tax assistance is pro- environment which, in turn, assures the continuation vided through special provisions allowing tax defer- of fair and reasonable ocean freight rates and reliable ral on income set aside for new ship construction. ocean transportation services. In this way, it is sug- Credit aid has been provided in the form of direct gested, U.S. shipping makes a direct contribution to 45 U.S. Congress, Joint Economic Committee. Federal Subsidy Programs. A staff study prepared for the use of The Subcorn- 44Message from the President of the United States, I-louse mittee on Priorities and Economy in Governmeni. Washington, Doc. 118, 74th Congress, Ist Session (1935), p. 31. D.C., Government Printing Office, 1974, p. 1. V-28 Government loans for ship construction and through Government buys goods and services at higher prices Federal loan guarantee programs. After major wars, than necessary, have been made available through Federally-owned vessels have been provided to pri- Government mail contracts and through U.S.-flag vate operators at bargain prices yielding a form of preference requirements associated with the trans- Federal aid identified by the Joint Economic Com- portation o2 Government-sponsored cargoes. mittee as a benefit-in-kind subsidy. Discriminatory Thus, while the motivations for Federal assistance duties on foreign-built vessels during our early his- to the merchant marine have been numerous and tory and the restriction of domestic waterborne com- varied, so have the programs through which such merce to carriage only by vessels registered and aid has been administered. In the rest of this section built in the United States are two examples of regu- many of these programs and activities are described latory subsidies which have been provided. And in greater detail in the context of their historical finally, purchase subsidies, which accrue when the development. Maritime Aid Before 193646 For much of the first century of our history, Fed- provided to the U.S. merchant marine, and, under eral aid to U.S. shipping and shipbuilding was con- these limited protections, the U.S. shipping and ship- fined primarily to indirect assistance provided building industries grew and prospered. During the through such devices as discriminatory duties on first half of the 19th century, the United States at- foreign-flag vessels and restrictions on U.S. registry tained a position of great prominence in shipping and trade participation eligibility. In 1789, for exam- which reached its peak with the introduction of the ple, legislation was enacted limiting U.S. registry famous clipper ships in the 1840s. But in the after- exclusively to vessels built in U.S. shipyards. This math of the Civil War the U.S. position rapidly law,'which was originally designed to protect the in- deteriorated with the conversion from sail to steam. fant U.S. shipbuilding industry, remained in force for During the war, many U.S. merchant vessels well over one hundred years before it was repealed were lost in action and many more were transferred in 1912. to foreign registry by their owners in order to avoid To aid the emerging ship operating industry in the involvement in the hostilities. Together these occur- early period, discriminatory tonnage duties. were im- renc 'es substantially diminished the U.S. merchant posed on all foreign vessels engaged in the U.S. fleet and, after the war, inflated U.S. prices and coastal trades. This form of limited domestic trade high taxes, seriously hampered U.S. fleet recovery. protection continued into the early 1800s, but it In this same period England attained a substantial was soon supplanted by more restrictive legislation technological lead in steamship development. The enacted in 1808, which, for the first time, excluded ready availability of abundant coal close to the sea foreign vessels altogether from participation in the and the availability of a substantial pool of skilled carriage of U.S. coastal commerce. Cabotage laws iron workers provided Great Britain with unique reserving U.S. domestic commerce exclusively for advantages as merchant shipping entered the steam vessels built in the United States and operated under age. Although it had been the U.S. vessel Savannah U.S. registry have since been a consistent feature which had made the first steam crossing of the Atlan- of U.S. shipping policy, although it was not until tic in 1819, England attained clear superiority in 1920 that the noncontiguous domestic trades were steam propulsion by mid-century, building iron and included in these restrictions. Under the terms of steel-hulled steam-powered vessels and replacing Section 27 of the Merchant Marine Act of 1920, paddlewheels with more efficient screw propellers. trade between the United States and its offshore To counter the U.S. shipping decline following the territories and possessions (except trade with the Civil War, a new federal subsidy program was in- Virgin Islands) was also reserved for vessels built augurated that authorized several U.S. lines to be in the United States and operated under U.S. flag. operated under Government contract. The program The 1920 Act, commonly referred to as the Jones soon collapsed, however, when it was learned that Act, is the legislative authority for contemporary one of the major Government contract holders had cabotage restrictions. expended large sums in lobbying for higher contract Before the Civil War, cabotage and U.S. registry payments. Although bribery was never proved, the restrictions were the primary forms of Federal aid distaste for direct Federal assistance to the shipping industry persisted for many years after the 1872 46 Samuel A. Lawrence. United States Merchant Marine Pol- scandal.17 icies and Politics. Washington, D.C., The Brookings Institution' By the turn of the century, U.S. shipping had 1966. This source has been used extensively in developing mate- rials for this section and many of those which follow. in many slipped to the point where ships of American registry respects much of the material presented here constitutes a summary of the detailed account presented by Lawrence of the history of U.S. shipping policy. 47 Ibid., p. 35. V-29 were carrying less than 10 percent of our foreign tion of the U.S. merchant marine. Higher U.S. crew commerce and only one U.S. trans-Atlantic line re- costs,50 the cost of registry transfer, and the absence mained in operation. During this period, three events of any real advantage to U.S.-flag operation con- focused sharp public attention on the need to revive tinued as major impediments to U.S. fleet expansion. the U.S. merchant marine .411 In 1913, the Congress attempted to rectify this First, in 1898 during the Spanish-American War, situation by including a provision in the Underwood the U.S. Navy found itself heavily dependent, at Tariff Act allowing a 5 percent tariff reduction on several critical points, on foreign merchant support dutied goods imported aboard U.S.-flag vessels. Al- vessels. This U.S. fleet deficiency imposed particular though this program proved to be a major aid to hardships on Naval operations in the Philippines and U.S. shipping, it was subsequently struck down by in maintenance of the Cuban blockade. the Supreme Court. In its 1915 decision, the Court Following the Spanish-American War the peace- ruled that the program conflicted with U.S. treaty time commercial adequacy of the U.S. fleet was also obligations, citing language in the Underwood Act found seriously wanting when, during the Boer War itself requiring U.S. treaty compliance. from 1899 to 1902, many British vessels were with- By the time World War I began in Europe, the drawn from U.S. service in order to support the U.S. fleet had declined to the point where its pres- British war effort. Shipping rates escalated rapidly ence in the carriage of U.S. foreign commerce was in the U.S. trades and the quality of service plum- virtually nil. As a consequence, after the war began, meted. As a consequence, U.S. exports suffered the withdrawal of European-registered vessels from major setbacks in world markets. the U.S. trades left the United States in a critical Finally, the voyage of the Great White Fleet in position. Two immediate steps were taken to ease 1907 and 1908 provided a highly visible expression this situation. First, legislation was passed author- of both our naval strength and our maritime weak- izing the Government to issue war risk insurance ness. Intended as a demonstration of U.S. sea- covering U.S.-owned merchant vessels in order to power, the 14-month voyage of 16 first-line U.S. allow such vessels to continue operating under war- battleships and other naval vessels was significantly time conditions. And second, legislation was enacted blemished when sufficient auxiliary shipping to sup- liberalizing the terms under which U.S.-owned, port the voyage could not be secured from the U.S. foreign-flag vessels could be transferred to U.S. regis- merchant fleet. As a result the Great White Fleet try. became dependent for its support on ". . . a motley Although these two actions yielded immediate re-- array of colliers, tankers and tenders bearing the sults, it was soon evident that these initiatives would flags of the world. " 49 not produce all of the tonnage needed to meet U.S. These three events provided fresh impetus for a commercial requirements. As a result, the Wilson thorough reconsideration of the appropriate Federal Administration initiated a drive for additional legis- role in the promotion and protection of the U.S. lation to authorize Government acquisition and op- merchant marine, and a lively public debate ensued eration of the merchant fleet. This initiative was regarding what the Government could or should do delayed in the Congress, however, and it was not to improve the maritime situation. The focus of this until 1916, with enactment of the Shipping Act, that debate quickly centered on one major issue-free this program was finally authorized. Although the trade versus protectionism. program embodied in the Shipping Act of 1916 was Essentially "free trade" Democrats urged removal designed to provide merchant shipping to meet com- of the 1789 restriction against U.S. registry of lower mercial requirements, implementation of the new cost foreign-built ships whereas "protectionist" Re- Government program had not really begun by the publicans wanted to retain the protection afforded to time the United States entered the war in April 1917. the shipbuilding industry under the 1789 law and Consequently, the program was quickly converted to provide the U.S. operating industry with direct Fed- an emergency shipping and shipbuilding program in eral subsidy assistance. Ultimately it was the free support of the war effort. trade position which prevailed, and in 1912, through As inTi-cated in the previous section of this'report, a provision included in the first Panana Canal Act, the Shipping Act of 1916 is today most notable for duty-free importation of foreign-built vessels for use its regulatory provisions. In 1916, however, the in U.S. foreign commerce was authorized and duties focus of attention was clearly on its emergency au- were removed from materials imported for ship- building, outfitting, and repair. Unfortunately, this 50 It is interesting to note that the higher U.S. crew costs in liberalization of U.S. import policies was soon this period were not generally traceable to U.S. citizen manning requirements on U.S. rekistered vessels. In this period, only found insufficient to improve appreciably the condi watch officers on ships in the U.S. domestic trades were required to be U.S. citizens. It was not until 1915 that the Seamen's Act was passed, becoming the forerunner of subsequent citizenship 48 Samuel A. Lawrence, op. cit. note 46, pp. 33-34. requirements by requiring that 75 percent of the crew on U.S. 49 Ibid., p. 34. ships speak the same language as the ship's officers. V-30 thority. The 1916 Act established a five-member private commercial operators. Under the terms of the independent Shipping Board with broad promotional, Merchant Marine Act of 1928, the Government was investigatory, regulatory, and administrative powers authorized to provide private U.S. operators with and authorized the Shipping Board to set up a Gov- lucrative mail carriage contracts which were in- ernment corporation (the Emergency Fleet Corpora- tended to offset the growing differential between U.S. tion) to build and operate merchant vessels. Under and foreign operating costs. The broad intent of the this legislation more than 3,000 ships were ulti- new program was to encourage U.S. fleet renewal mately authorized for construction although only and expansion, and facilitate the disposal of remain- about one-sixth of these vessels were completed be- ing Government-owned vessels. This Act, however, fore the end of the war.51 proved difficult to administer and the subsidy value I. The United States emerged from World War I of the mail contracts frequently bore little relation- with a merchant fleet representing 22 percent of total ship to actual U.S./foreign shipping cost differ- world capacity in terms of gross tonnage .52 This entials. Because of numerous controversies among fleet, which had five times the lift capacity of the pre- competing applicants for mail contracts, the program war fleet, was, however, more than half Government- failed to facilitate the sale of Government ships and owned, and many of the vessels, hurriedly built failed to encourage substantial private fleet expan- under wartime conditions, were ill-suited to peace- sion. Again, the search for a workable Government time commercial requirements. Because the Shipping program began. Act of 1916 authorized Government ownership and In addition to the promotional programs em- operation of merchant -vessels for only 5 years be- bodied in the Merchant Marine Acts of 1920 and yond the duration of the war, and because it con- 1928, there was also a minor retreat in the early tained no guidance for disposing of Government- 1920s from the free import policy which had been .owned shipping capacity, new legislative authority adopted as part of the 1912 Panama Canal Act. was clearly needed. Under the provisions of the Tariff Act of 1922, the . Congress responded with enactment of the Mer- U.S. shipbuilding industry regained a small part of chant Marine Act of 1920. Under the provisions of the protection it had lost in 1912 through the imposi- this legislation, the Shipping Board was directed to tion of a 50 percent ad valorem duty on all repairs, determine what shipping lines and services were parts, and equipment purchased abroad for a U.S.- needed to support U.S. foreign and domestic com_ registered vessel. Today this ad valorem duty re- merce and to sell or charter Government ships to mains in effect.09 U.S.C. 1466).54 establish and maintain such services. If necessary, The failures of the programs undertaken under the the Shipping Board was also authorized to operate provisions of the Merchant Marine Act of 1928 commercial services itself until other suitable private together with the onset of the depression, precipitated seIrvices could be arranged. Furthermore, inexpensive a great deal of criticism, in the early 1930s, of both Government loans were authorized in support of new the substance and administration of U.S. shipping private merchant ship construction. In this period policy. In response to this criticism, under authority many felt that, given the size of the postwar fleet, which had been provided by the 1933 Independent sufficient Government promotion, some loan assist- Officers Appropriations, the President reduced the ance, and, if required, temporary Government opera_ Sh.ipping Board in size to three members, relieved it tion of commercial vessels, private U.S. operators of its independent status, and reestablished the Board would have little difficulty in capturing and maintain- as a Bureau within the Department of Commerce. ing a large share of U.S. foreign trade with little At the same time three separate investigations of the additional direct Federal aid. However, almost imme- mail contract subsidy program were undertaken- diately after enactment of the 1920 Act, the shipping one by a select Congressional committee chaired by industry entered a major worldwide depression and Senator Hugo Black, a second by the Post Office by 1922, 17 percent of the tonnage in the world Department, and a third by the Department of Com- fleet lay idle. 53 The inability to sell ships to private merce assisted by an interdepartmental committee of operators on satisfactory terms led the Government staff experts. ' to undertake commercial operations itself, but large The Black Committee produced the strongest criti- deficits in the program created growing pressure for cisms of the mail subsidy system and called for repeal the Government to dispose of its merchant ships on of the 1928 Merchant Marine.Act and complete ces- whatever terms it could get. In 1928, additional legislation was enacted pro- 54 It is important to note that the Tariff Act of 1922 did not viding a new form of Federal assistance to U.S.-flag change the duty-free status of foreign-built ships, although, over the years the value of this free import status has been diminished by the provisions of various new government programs. Today foreign-built U.S.-flag vessels ai6 ineligible to receive operating 51 Samuel A. Lawrence, op. cit. note 46, p. 40. subsidies from the government and, for a period of 3 years, are 52 Ibid., p. 40. precluded from participation in the carriage of government 53 Ibid., 42. preference cargoes. V-3 I sation of further aid to U.S. operators. Essentially the The Commerce report emphasized the importance of position taken by the Black Committee was to urge maintaining a U.S. mcrchant marine through Govern- maximum Government involvement in both the acqui- ment aid, but recommended that future Federal assist- sition and operation of a merchant fleet of precisely ance be strictly tied to actual differences between U.S. the size and composition needed to achieve specifi- and foreign construction and operating costs. Upon cally identified national objectives. Although this receiving these reports, President Roosevelt forwarded approach was not adopted in subsequent legislation, them to the Congress together with a brief statement many of the specific proposals recommended by Black expressing his views on the importance of maintain- and his associates for protecting the Government ing a viable merchant marine. While the President interest were included in the new subsidy program expressed his support for the abolition of indirect sub- which eventually emerged in 1936. sidies and for the substitution of some.form of more The Post Office and Commerce reports, while direct construction and operating assistance based on critical of the mail contract subsidy system, urged U.S./foreign cost differentials, he left it to Congress far less sweeping reforms. The Post Office study to decide how large and what kind of shipping and basically recommended retention of the existing sys- shipbuilding capacity should be maintained and how tem with improvement of administrative procedures. it should be owned and operated. The Merchant Marine Act of 1936 During 1935 and 1936 Congress debated the issue on U.S./foreign cost differentials, were established of Government versus private ownership of merchant to replace the mail contract subsidies that were to be shipping and focused considerable attention on tech- phased out in compliance with Title IV of the Act. niques for maintaining an efficient U.S. foreign trade Through the operating-differential subsidy (ODS) fleet. Extensive consideration was also given to the program and the construction-differential subsidy technical issue of whether or not it would be possible (CDS) program, direct cash payments from the Fed- to determine accurately the parity requirements if a eral Government were to be provided to qualified subsidy system based on U.S./foreign cost differen- applicants to defray the higher cost of building ships tials were adopted. During these deliberations, how- in U.S. shipyards and the higher cost of vessel opera- ever, little attention was directed to establishing pre- tion under U.S. registry. Although many "free trade" cise maritime objectives and, as a consequence, when Democrats remained opposed to the provision of the Merchant Marine Act of 1936 emerged it did not direct subsidies to the shipping and shipbuilding in- specifically identify the size and kind of merchant dustries, the Roosevelt Administration lent its sup- marine which was sought through the programs it port to the concept, having become convinced that established. the best way to control maritime aid was to provide At the broadest level, the 1936 Act, which remains it directly, exposing the aid to regular and continuing the primary statutory authority for contemporary budget scrutiny. Federal subsidy programs, simply reaffirmed and re- The new law also established a new agency to fined the basic national policy of Federal support for administer its provisions and carry out various regu- a private merchant marine which had been embodied latory responsibilities under the Shipping Act of in the Merchant Marine Xcts of 1920 and 1928. Para- 1916 and the Intercoastal Shipping Act of 1933. phrasing Section 101 of the 1936 Act, it declared a Although Federal regulatory and promotional func- national policy of fostering the development and en- tions were retained within a single agency, the estab- couraging the maintenance of a merchant marine suffi- lishment of a new five-member, bipartisan, inde- cient to carry the domestic waterborne commerce and pendent U.S. Maritime Commission reflected a a substantial portion of the foreign commerce of the thorough displeasure by almost everyone with the Nation in essential trades; capable of serving as a operation of the Shipping Board Bureau and its naval and military auxiliary in time of war; owned predecessor. Hence, the new law sought not only a and operated insofar as practicable by citizens of the change of program, but a change in administration United States; and composed of the best-equipped, as well. safest, and most suitable types of vessels, constructed As a compromise to those who favored Govern- in the United States and manned by a trained and ment ownership and control of merchant shipping, a efficient citizen personnel. Beyond this broad state- separate title (Title VII) was included in the 1936 ment of national policy, however, little additional Act authorizing the Government to build and sell or guidance was provided in the law as to the size and charter vessels if necessary to achieve the broad type of merchant marine that would be needed to objectives of the Act. Furthermore, as indicated pre- achieve these broad maritime objectives. viously, many of the protective provisions recom- Under the provisions of the 1936 Act, new direct mended by Senator Black and his supporters were construction and operating subsidy programs, based also incorporated in the legislation. V-32 Under the terms of Title III of the 1936 Act, For subsidized ship operations the amount required strict U.S. crewing requirements were imposed on to be recapture was one-half of any profit in excess all vessels built or operated with Federal subsidy to be recaptured was one-half of any profit in excess assistance. All subsidized cargo vessels were required the subsidized operation and, for subsidized construc- to be manned entirely with native-born or fully tion, one-half of any profit in excess of 10 percent naturalized citizens. Some limited noncitizen man- of the construction contract price. The recapture .ning was authorized on subsidized passenger vessels, provisions of the construction subsidy program were but only in the steward's department. Citizenship subsequently supplanted by contract renegotiation requirements for non-subsidized U.S.-registered ves- procedures established to cover all Government work sels were also strengthened in 1936 with enactment at a particular shipyard and the recapture provisions of companion legislation requiring licensed officers of the operating subsidy program were repealed by and pilots on all U.S.-flag vessels to be citizens and the Merchant Marine Act of 1970. requiring 75 percent of the crew on such vessels to In addition to direct subsidy aids provided through be U.S. citizens. Both of these pieces of legislation the operating-differential subsidy and construction- also included other standards relating to seagoing differential subsidy programs, the 193.6 Act included working conditions, and together these laws greatly two other indirect assistance programs designed to expanded Federal responsibility for overseeing con- encourage U.S. fleet expansion. First, earnings set ditions of employment aboard all U.S.-registered asid e in capital reserve funds for new vessel con- vessels, particularly subsidized vessels. struction were relieved of income tax liability. As originally drawn, the 1936 Act was primarily Second, the Government lending program for ship devoted to providing Federal aid to the liner segment construction, which had been first authorized under of the U.S. fleet although it did authorize a study of the Merchant Marine Act of 1920, was retained, the need for subsidy assistance for U.S. tramp ship- although new restrictions were included on the allow- ping. Under the terms of the Act, subsidy was to be able interest rates for such loans. This latter provi- provided only for vessels operated on routes and in sion is a direct lending authority that remains in services which the Maritime Commission determined force, but has not been used for many years. Loan to be essential to the promotion of U.S. foreign com- assistance is, today, provided through the Title XI merce. This essential trade route concept, which to- Federal Ship Financing program, the basic authority day remains a major factor in assessing subsidy for which was added to the Merchant Marine Act eligibility for liner vessels, had been first elaborated in 1938. . in the Merchant Marine Act of 1920 in conjunction In recognition of the national security role of the with efforts to determine where commercial services U.S. merchant marine, a variety of defense and should be established after World War 1. security provisions were also incorporated in the In addition to the trade route essentiality require- 1936,Act. The U.S. Maritime Commission, in ap- ment associated with the new subsidy programs, the proving subsidized vessel designs, was required to 1936 Act also included a variety of other eligibility, coordinate such designs with the Navy. Any special monitoring, and reporting requirements which were noncommercial national defense features recom- imposed as a condition for receiving a subsidy. For mended by the Navy were to be included and fully example, subsidy recipients were required to file funded by the Maritime Commission. Vessels con- detailed reports specifying the nature of their cor- structed with subsidy assistance were made subject porate structure, the nature of any interests in to repurchase by the Government at cost-less-accu- foreign-flag shipping, information regarding domestic mulated-depreciation, and power was provided to carriage activities, and other information. Such in- requisition other private U.S.-owned vessels under formation was required to assure compliance with certain national emergency conditions, with provi- restrictions and prohibitions relating to interests held sions included,for "just compensation." (In 1954, in foreign-flag and domestic trade shipping opera- similar authority to requisition foreign-owned vessels tions. was extended under the provisions of the Emergency Another provision of the 1936 Act precluded the Foreign Vessels Acquisition Act.) Finally, under the payment of subsidy in support of any service in provisions of Section 503(f) of the Act, the Com- competition with another U.S. carrier except in cases mission was required to undertake an annual survey where service inadequacy could be demonstrated. of U.S. shipbuilding capacity in coordination with Another required that all operating subsidy recipients the Navy in order to assure the adequacy of the establish capital reserve funds to be used for vessel shipbuilding mobilization base in light of the Na- replacement. Annual contributions to such funds tion's security needs. were required. And finally, the 1936 law included In implementing the new Merchant Marine Act, subsidy recapture provisions under which certain the first order of business was to terminate existing excess profits from subsidized operation or construc- claims associated with the mail contract program. tion were required to be returned to the Government. Under -the terms of Title IV of the Act, a June 30, V-33 1937, deadline had been established for the termi- eral guarantees of up to 871/2 percent of vessel cost. nation of the mail contract program, and this dead- Vessels to be used in both the foreign and domestic line was met by the new Maritime Commission. trades are eligible for Title, XI aid. Today the types While the mail contracts were being settled, how- of U.S. vessels specifically eligible for mortgage ever, a thorough economic assessment of the mer- guarantee assistance include: cargo, passenger, and chant marine was also being'made by the Maritime combination ships, tankers, tugs, towboats, barges, Commission to serve as the basis for future program dredges, fishing vessels, floating drydocks, and execution. Based on the findings of its Economic oceanographic research and pollution abatement ves- Survey of the American Merchant Marine, which sels. Coverage has also been extended by legal inter- was published in November 1937, the Commission pretation to mobile offshore drilling rigs. Under announced its intention to build 50 merchant ships current arrangements, the National Oceanic and At- per year over a 10-year period. The announced pro- mospheric Administration administers the Title XI gram was designed simply to maintain existing U.S. program with respect to fishing vessels, and the fleet capacity through the replacement of obsolete Maritime Administration administers the rest of the tonnage and was not a fleet expansion program. Be- program. cause sufficient financing was not available to under- The program to build 50 ships per year had just take the desired construction privately, the program begun to show results when, in August 1939, war was begun under the provisions of Title VII and began again in Europe. Because of the hostilities, the ships were constructed for Government account. U.S. merchant ship construction program was rapidly By the end of 1939, 127 dry cargo vessels had expanded and by the time the United States entered been contracted for under the new 500-ship pro- the war about 6 million deadweight tons of shipping gram, but private buyers had been found for only 38 had been ordered from U.S., yards and a vessel of of these vessels. The success of the operating subsidy simplified design (the Liberty Ship) had been devel- program in this period was also limited and, because oped for mass production and export to Great of these developments, the Government continued to Britain." operate several older Govemment-owned services In 1941 the United States entered the war, and through charter arrangements with private firms. Dur- within a year and a half the United States was build- ing this period, the Maritime Commission also estab- ing ships faster than the enemy could sink them. lished a new Government-sponsored Good Neighbor From 1942 through 1945, U.S. yards produced service to South America. 5,592 merchant ships and during this period expendi- As indicated previously, a new Title XI was added tures for merchant ship construction exceeded $12 to the Merchant Marine Act in 1938, which author- billion. A work force of 4 million workers was in- ized the provision of Federal insurance on eligible volved in this effort, with 1.7 million employed in ship mortgages as a means of encouraging private the shipyards themselves. capital investment in U.S. ship construction. Over In February 1942 the Government took over di- the years this program, which is now the primary rection of ship operations with the establishment of program for ship financing and refinancing assistance the War Shipping Administration. The Chairman of carried out by the Government, has been revised the Maritime Commission also served as head of this many times and was completely overhauled in 1972. agency, and the two departments worked closely Today, the Title XI program is a financing guaran.. together. The new agency took over the fleets of both tee program (rather than a mortgage insurance pro- domestic and foreign trade operators, purchased gram) under which the Government guarantees foreign ships, and seized enemy shipping. New ways shipbuilding obligations sold to investors. Under the present program, such guarantees may be provided were devised to maximize vessel use, and thousands by the Federal Government covering up to 75 per- of merchant seamen were recruited and trained. Dur- cent of the construction cost of vessels built with ing the war four-fifths of the supplies for the war construction-differential subsidy assistance, and non- effort were carried on ships under the control of the subsidized construction projectsmay qualify for Fed- War Shipping Administration. Maritime Policy After World War 11 At the beginning of World War II, only 14 percent The War Shipping Administration was abolished in of world merchant tonnage was registered under U.S.- September 1946, and its remaining functions were flag. The United States emerged from the war with transferred to'the Maritime Commission. By the end 60 percent of total world capacity. Postwar recon- of 1947 all ships taken over from private interests had struction programs imposed heavy demands on mer- been returned to their owners. The great demand for chant shipping capacity, and efforts were begun im- mediately to restore private control of U.S. shipping. Samuel A. Lawrence, op. cit. note 46, p. 74. V-34 shipping to carry relief supplies and the inadequacy NDRF was undertaken in support of the war in Viet- of private shipping to meet this demand made it nam, during which 172 reserve fleet vessels were with- necessary to place large numbers of Government- drawn from the fleet and placed in active service owned ships under charter, but, as conditions im- under contracts with private operating companies. proved, this chartering operation declined. By the This operation, which ended in November 1970, was middle of 1950 fewer than 100 Government-owned motivated more by commercial considerations, how- vessels remained in the chartering program. ever, than by emergency necessity. By using NDRF To dispose of the hundreds of Government-owned vessels instead of commercial ships for this service, war-built ships, the Merchant Ship Sales Act was U.S.-flag commercial operations were not unduly in- enacted in 1946. This legislation authorized ship sales terrupted. Generally, it was felt that the diversion of not only to U.S. citizens, but to our allies as well, as U.S.-flag capacity from its usual trading patterns part of the postwar reconstruction effort. When the would have significantly damaged commercial opera- Merchant Ship Sales Act expired in 1951, 1,956 ships tions, because many regular U.S.-flag customers would had been sold (843 to U.S. operators and 1, 113 to have been forced to seek alternate services. Once lost, foreign flag operators) at a return of nearly $2 billion it was felt that such customers would be difficult to to the Government. recapture and that the long-term cost of this commer- Under the terms of Section I I of the Merchant Ship cial damage would greatly exceed the cost of NDRF Sales Act, the Maritime Commission was required to reactivation. Increasingly, this NDRF role in protect- establish and maintain a National Defense Reserve ing U.S. commercial shipping by providing a capacity Fleet (NDRF) of Government-owned merchant ships which may be used during limited emergencies has to be used in the event of future national emergencies. been cited as a major justification for the continued Ships for this fleet were selected after consultation maintenance of at least some reserve fleet capacity. with the Secretary of the Navy and were placed in 'During both World Wars American shipowners eight anchorages-three each on the East and West were provided with Govermnent-sponsored war risk Coasts and two on the Gulf Coast. On June 20, 1950, insurance, but at the end of each war this coverage the reserve fleet reached its maximum size of 2,277 was discontinued. In 1952, to meet Korean War re- ships. quirements, a new title XII was added to the Mer- Since establishment of the NDRF, vessels held in chant Marine Act of 1936 establishing what has the fleet have been activated on several occasions to become a more or less permanent war risk insurance meet emergency shipping requirements. In the early authority. 1950s, some 300 reserve fleet vessels were reactivated Under this program the Government is authorized in support of U.N. forces in Korea. At about the same to insure or reinsure vessels or other components of time, a critical commercial shortage of world shipping the U.S. foreign trade marine transportation system capacity also developed because of increases in Euro- against loss or damage due to war when it is deter- pean demand for American coal and the need to mined that such coverage is not commercially avail- transport large quantities of grain to India where a able on reasonable terms, and when it is determined series of natural disasters had severely limited agri- that without such coverage, U.S. waterborne com- cultural output. merce would suffer. Coverage authority extends to To reduce the detrimental impact of these commer- both U.S. and foreign flag vessels owned by U.S. cial shortages, additional ships from the NDRF were citizens and, if necessary, may be extended to foreign- activated and devoted to the carriage of grain to owned foreign-flag vessels engaged'in U.S. commerce. India. In January 1952, a peak of 725 NDRF vessels This war risk insurance authority includes an expira- in active service was attained in response to the com- tion date which has been periodically extended by the bination of these commercial requirements and the Congress. The statutory basis of the program lapsed military support requirements associated with the briefly from September 9, 1975, through October 17, hostilities in Korea. 1976, but the current authority runs to September 30, Ships from the NDRF were again activated in 1956 1979. when the Egyptian nationalization and closing of the The lapse of authority in 1975-76 was due prin- Suez Canal precipitated another worldwide shipping cipally to controversy surrounding the availability of crisis. The need to ship many goods over greater this coverage to foreign flag vessels. Many U.S. opera- distances resulted in a substantial commercial ship- tors sought an end to this program for foreign vessels. ping shortage and forced freight rates rapidly upward. Ultimately, foreign coverage authority was retained The shortage and higher freight rates placed a major but stricter eligibility requirements were imposed to burden on the United States, and, as a consequence, assure that such vessels are needed to meet national an extensive NDRF reactivation was undertaken. A security requirements. In addition, vessel location total of 223 dry cargo ships and 2§ tankers were reporting requirements were imposed on all foreign eventually activated in response to this crisis. vessels included in the program. The most recent reactivation of vessels from the Following the Korean hostilities, there was a V-35 dramatic decline in the demand for tramp shipping subsidized U.S. vessels are heavily dependent. (Such and, as a consequence, pressures began to emerge for foreign-built vessels, of course, are also ineligible for a greater- reservation of Government cargoes for operating subsidy as well as for participation in the private U.S.-flag vessels to aid this segment of the U.S. carriage of U.S. domestic commerce.) fleet. Although prior to 1954 a number of laws had Ultimate responsibility for compliance with U.S. been enacted which contained U.S. preference provi- cargo preference laws extends directly to each indi- sions for various Government cargoes, legislation was vidual Government agency, although the U.S. Mari- now sought which would yield a more comprehensive time Commission and its successors have served as preference program covering all Government-spon- general coordinators of this program. Today, the sored cargoes. The result of this effort was enactment, Maritime Administration is authorized to establish in 1954, of a new preference statute as an amendment administrative provisions governing cargo preference to the Merchant Marine Act of '1936. Under this pro- implementation with which shipper agencies must gram, 50 percent of virtually all Government-spon- comply. sored shipments must now be made aboard private Since the cargo preference statutes require only U.S.-flag vessels to the extent such vessels are avail- that the preference share be carried by U.S.-regis- able at fair and reasonable freight rates. tered vessels, it has frequently been argued that when Two of the pre-1954 preference programs, still subsidized U.S. vessels carry these cargoes they are retain special significance, because they impose preier- in effect receiving a "double subsidy." In 1970, this ence requirements beyond those contained in the 1954 issue was addressed by the Maritime Subsidy Board law. Under the Military Transportation Act of 1904 under Docket S-244. As a result of its ruling in this all supplies moved by sea for the U.S. armed forces case, which was subsequently sustained on appeal, must be carried by U.S. vessels if freight rates are not the Subsidy Board established a procedure for op- ". . . excessive or otherwise unreasonable." However, erating subsidy reduction in cases where subsidized since this law does not specify that such carriage be liner operators become excessively dependent on performed by private vessels, compliance before 1954 preference cargoes. Under this ruling liner recipients could be achieved by carriage exclusively aboard of operating differential subsidy (ODS) are allowed government-owned vessels. The joint application today to participate in the carriage of preference cargoes of both the 1904 and 1954 preference statutes means with no reduction of ODS so long as receipts from that 100 percent of military cargoes must be carried this preference carriage do not exceed 50 percent aboard U.S. vessels and that 50 percent of this require- of total revenues. If they should exceed 50 percent ment must be met by carriage aboard vessels owned of total revenues, ODS is reduced by a percentage by private operators. that is tied to the amount of revenue in excess of the The second pre-1954 preference program still in 50 percent ceiling. effect stems from Public Resolution 17, which was Although the 1970 ruling pertained only to liner passed in 1934 and expressed "the sense of Congress" operations, bulk carriers, which today receive ODS that cargoes exported from the United States as a under the provisions of the Merchant Marine Act of result of loans made to foreign purchasers should be 1970, are generally precluded, under the t&rms of shipped exclusively in U.S. vessels if available at their subsidy contracts, from participating in the reasonable rates. After World War 11, as a part of the carriage of the preference share of preference ship- U.S. reconstruction program, a general policy was ments. They are, however, free to compete with all adopted under which a waiver of up to 50 percent of other carriers (both U.S. and foreign) for carriage the U.S. carriage reservation would be granted in of the non-preference share of such cargoes. It favor of vessels of the recipient nation if that nation should be noted that there are currently no restric- did not discriminate against U.S. vessels in its foreign tions with respect to the carriage of preference car- trade. This policy remains in effect, and foreign recipi- goes imposed on any U.S. vessels that have been ents of Export-Import Bank credits regularly apply built with construction-differential subsidy. to the Maritime Administration for such "general Before World War II and in the early postwar waivers." period, the Government did not hesitate to use the In 1961 an amendment to the 1954 Cargo Prefer- provisions of Title VII of the Merchant Marine Act ence Act was.passed which raised an important bar- to build and sell or charter vessels in order to accom- rier to the redocumentation of foreign vessels in the plish the purposes of the 1936 Act. In the postwar United States. Under the terms of this amendment, period, the most significant title VII construction foreign vessels transferred to U.S. registry are excluded program was the program begun in 1951 under for a period of'3 years from participation in the pre- which 35 "Mariner" class vessels were built for ference trade established by the 1954 Act. Hence, Government account. These 20-knot, 13,000-ton, while foreign vessels may still be imported on a duty- general cargo ships were specifically designed to be free basis, they are precluded for 3 years from carry- highly adaptable to military use in the event of a ing the preference, cargoes upon which many non- national emergency. Ultimately, 29 of these vessels V-36 were sold to private operators, 5 were assigned to guided by promotional policies established by the the Navy, and I was lost at sea. Except for the con- Secretary. The Maritime Administration discharged tract to construct the nuclear ship Savannah, no its responsibilities strictly in compliance with De- construction has been initiated under Title VII partment of Commerce authority. authority since 1953 when the last of the Mariner Although this basic structure was retained construction contracts was signed. throughout the 1950s, it became an increasingly con- In the years following Wo 'rid War IT, three differ- fusing and cumbersome arrangement the longer it ent Federal organizational structures have existed remained in effect. As Lawrence has noted in his dis- for carrying out U.S. shipping policy. As noted cussion of this period, things had become so confused previously, upon abolition of the War Shipping Ad- by 1959 that the Chairman/Administrator of the ministration in 1946, administrative, promotional, Federal Maritime Board - Maritime Administration and regulatory responsibilities in this area were re- had adopted the practice of signing all documents in turned to the U.S.. Maritime Commission. Although both official capacities so that his actions could not this had been the arrangement of these functions be- be challenged for having been taken under the wrong fore the war, dissatisfaction with the intermingling authority.511 of these responsibilities soon emerged in the postwar In 1961 Presidential action was again taken in an period, and in 1950 the President's Reorganization attempt to rectify these organizational difficulties. Plan No. 21 abolished the U.S. Maritime Com- Under Presidential Reorganization Plan 7, the Fed- mission. eral Maritime Board was abolished and its regulatory In place of the independent Maritime Commission, functions transferred to a new independent five- two new agencies were established and located in member Federal Maritime Commission. The Mari- the Department of Commerce. A three-member Fed- time Administration was retained within the Depart- eral Maritime Board was constituted to carry out all ment of Commerce, and to its other responsibilities Federal regulatory functions and certain quasi-judi- were added the subsidy determination functions cial functions associated with the rendering of sub- previously exercised by the Federal Maritime Board. sidy determinations, and a Maritime Administration Subsidy rulings under this arrangement were to be was established to carry out the administrative re- discharged by a Maritime Subsidy Board consisting quirements associated with the implementation of of the Maritime Administrator, the Deputy Maritime various merchant marine promotional programs. Administrator, and the Maritime Administration Under this arrangement, the Chairman of the Fed- General Counsel. eral Maritime Board also served as ex-officio Ad- ministrator,of the Maritime Administration and the The organizational structure established in 1961 two bodies were served by a common staff. When for the first time completely separated the promo- functioning in a regulatory capacity, the Board was tional and regulatory functions of the Federal Gov- to be independent of the Secretary of Commerce, ernment and placed them in totally separate agen- but, in its quasi-judicial subsidy role, it was to be cies. This structure has been retained since 1961. The Merchant Marine Act of 1970 Because of the large number of Government- the amendments to the 1936 Act, which are known owned ships sold to private operators after World collectively as the Merchant Marine Act of 1970. War II, few new ships were constructed in the United At the broadest level, enactment of the Merchant States in the ppstwar period and during the 1950s Marine Act of 1970 represented a general reaffirma- and 1960s the U.S.-flag merchant fleet declined tion of the national policy of Federal support for the rapidly. In 1950, U.S.-flag vessels carried more than U.S. merchant marine. Although the 1970 act im- 40 percent of the country's total foreign commerce; plemented a number of major program adjustments by 1969 this figure had declined to about 5 percent, designed to increase the effectiveness of the Mer- and three quarters of the vessels in the U.S. fleet chant Marine Act of 1936, the fundamental policies were more than 20 years old and economically obso- embodied in the 193.6 Act emerged essentially unal- lete. Although a few new ships were added to the tered. The commitment to maintain a viable U.S. fleet each year, these were primarily breakbulk ves- merchant marine was reiterated, and the major pro- sels and total construction under the subsidy pro- grams of Federal aid, althoug Ih modified, were re- gram in this period was limited. tained. Direct construction and operating subsidies In an effort to reverse the decline of the 1950s remained central to the U.S. Federal assistance pro- and 1960s, and toprovide incentives for expansion gram, and additional aid was continued through of the U.S. bulk fleet, a comprehensive overhaul of such programs as construction fund tax deferment the Merchant Marine Act of 1936 was undertaken. On October 21, 1970, the President signed into law 56 Samuel A. Lawrence, op. cit. note 46, p. 251. V-37 privileges, Federal mortgage guarantees, and cargo the reasonableness of the price; the Secretary of Com- preference for Government-sponsored cargoes. merce was required to determine that the price was The Merchant Marine Act of 1970 did not insti- fair and reasonable; and the shipyard was required tute any truly fundamental changes in U.S. maritime to agree to be audited by the U.S. Comptroller Gen- policy, but it did include numerous major program eral. As an additional requirement, the Act specified changes that were intended to completely modernize special declining construction-differential subsidy Federal maritime assistance programs. These changes rate ceilings which could not be exceeded in conjun- emerged after months of study by the Administration tion with any negotiated CDS contract. and after extensive hearings before the Congress. Declining CDS rates (which were the same as The changes were based on a synoptic review of those imposed as a condition of negotiated procure- existing Government maritime policies and pro- ment) were also specified as objectives for all CDS grams. Hence, the 1970 Act, while not a new policy awards regardless of the type of contracting pro- initiative, constituted a comprehensive refinement of cedure used. These goals called for a maximum Federal maritime assistance activities. Many of the CDS rate of 45 percent in fiscal year 1971 and a program changes adopted in 1970 remain intact, reduction of this ceiling by 2 percentage points in and, in the paragraphs below, the most important of each subsequent fiscal year until a level of 35 per- the changes implemented will be briefly discussed. cent was achieved for fiscal year 1976. After 1976 In seeking ways to revitalize the declining U.S. the 35 percent CDS ceiling objective was to be re- merchant marine, a common view emerged early in tained. If at any time it was determined that these the process that, regardless of the specific types of specific annual objectives could not be met, the Government aid used to support the revitalization Secretary of Commerce was authorized to negotiate effort, an essential ingredient required for success with bidders in an effort to come *as close to the 'would be a firm and explicit long-term Government objectives for the period as possible. Hence, while commitment to the task. As a consequence, when the CDS rate objectives embodied in the 1970 Act the 1970 Act was passed, it included a specific constituted legal requirements for the purposes of pledge of Government support for a 10-year, 300- negotiated procurement, these ceiling rates were ob- ship construction program to be undertaken with jectives with respect to CDS paid in conjunction with Government-provided construction-differential sub- competitive procurement. Nonetheless, the 1970 Act sidies. This commitment, which was incorporated in made it clear that these goals were to be actively Section 209 of the Merchant Marine Act, included pursued for all CDS contracts. authorization to appropriate funds needed to ach 'ieve To encourage the construction and operation of this construction objective. The basic purpose of this badly needed bulk carriers, the Merchant Marine Act commitment was to encourage investment in and of 1970 included a number of provisions which were modernization of U.S. shipbuilding facilities in order specifically aimed at aiding the bulk segment of the to improve U.S. shipbuilding productivity and there- U.S. merchant fleet. Although the construction sub- by reduce U.S.-foreign construction cost differentials sidy provisions of the Merchant Marine Act of 1936 and subsidy dependence. had been revised in 1952 to authorize CDS for bulk Another construction-related initiative incorpor- carriers, by 1970 no bulk vessels had been built un- ated in the 1970 Act was the authorization it pro- der these provisions. Consequently, further changes vided to grant construction-differential subsidies were enacted in 1970 to provide additional govern- (CDS) directly to shipyards rather than limiting ment encouragement for bulk fleet expansion. CDS eligibility to ship purchasers only. This change Among the bulk shipping provisions of the Act, was designed to encourage greater shipyard partici- the one which implemented the most fundamental pation in vessel design. It was felt that shipyards change was the provision extending operating-differ- would be able to influence designs in. ways that ential subsidy eligibility to U.S.-built tankers and dry would ease construction, lower building costs, and bulk carriers. This was the first time such vessels had increase shipyard productivity. been authorized to receive operating aid. In addition, Negotiated contracting between shipyard and subsidy eligibility restrictions pertaining to U.S. com- purchaser, as an alternative to competitive bidding, panies or individuals who also owned foreign ship- was also authorized under the 1970 Act insofar as ping were liberalized with respect to bulk shipping certain conditions could be met. The negotiated con- operations in order to allow such owners to sys- tract procedures were included to help reduce ship- tematically replace foreign tonnage with. new U.S. building costs by eliminating expenses associated capacity. Finally, limits on foreign-to-foreign trading with bid preparation and as a means of encouraging were liberalized for sub@idized bulkers, in recognition shipyards to develop and market standard vessel de- that the nature of the bulk shipping industry was dis- signs. To take advantage of the negotiated contract- tinct from the liner industry. Together with the avail- ing procedure, the purchaser and builder were re- ability of Title XI mortgage guarantees and a 10- quired to submit backup cost data to demonstrate year Government commitment to fleet expansion, it V-38 was felt that these changes would, for the first time, so it is generally used only for accumulating funds make the construction subsidy provisions of the Act to construct vessels ineligible for the Capital Con- responsive to the needs of bulk shipping operators as struction Fund Program. well as liner operators. Under the Merchant Marine Act of 1970, the In an effort to keep operating subsidies to a mini- operating subsidy recapture provisions of the 1936 mum and encourage effective collective bargaining Act were repealed. As indicated previously, subsi- by ODS recipients, the 1970 Act revised the wage dized operators before 1970 were required to pay to subsidy provisions of the Merchant Marine Act by the government one-half of profits (averaged over a tying subsidizable U.S. wage expenses to a general 10-year period) in excess of 10 percent on capital U.S. wage index. Under this system, wage increases necessarily employed in subsidized operations up to ,in excess of the amount allowed by the index were no the amount of subsidy actually received. Elimination longer authorized for subsidy, and wage levels which of recapture was justified principally because much were kept below the index level would yield extra the same function was now performed by higher subsidy income for the operator. A limit was placed corporate tax rates and over the years the program on the extent to which true wage costs could vary had become expensive and difficult to administer. from the index-based "subsidizable wage cost," and In addition to the major program elements dis- every few years (not less than two or more than cussed above, the 1970 Act also contained numerous four) a new base period was to be established at other provisions affecting various maritime promo- which time actual wage rates would be used as a tion program's and their administration. The ceiling new starting point for subsequent years. Through on the amount of outstanding debt which could be this program ODS operators were given important guaranteed under Title XI was raised from $1 bil- .incentives to keep subsidizable wage cost increases lion to $3 billion. (Subsequent amendments have in- to a minimum. creased this ceiling to a current level of $7 billion.) The 1970 Act extended eligibility to establish tax The 1970 Act established a Commission on Amer- deferred Capital Construction Funds, under the ican Shipbuilding to study the U.S. commercial ship- terms of Section 607 of the Merchant Marine Act, to building industry and report within 3 years. A new virtually all U.S. vessel operators. Before 1970, position of Assistant Secretary for Maritime Affairs this program was available only to ODS recipients. was established in the Department of Commerce, al- Although all U.S. operators can now establish such though the new position was required to be occupied funds, the use to which these funds may be put is by the same person who serves as Maritime Ad- limited. Such tax deferred funds may be used only ministrator. The Act included a provision requiring for the construction or reconstruction of vessels for agencies subject to cargo preference to administer use in U.S. foreign commerce, for use on the Great their preference responsibilities in accordance with Lakes or in the non-contiguous domestic trades, or regulations promulgated by the Secretary of Com- for use in the fisheries of the United States. Hence, merce. And finally, the 1970 Act specifically identi- these funds may not be used for the construction of fied the Great Lakes as a fourth seacoast and re- vessels for the inland and intercoastal domestic quired that it be given equitable treatment under the trades. Merchant Marine Act with respect to its foreign Similar, although much more limited, tax deferral trade requirements. benefits are available, however, through the Con- These were the major provisions of the Merchant struction Reserve Fund program (Section 511), Marine Act of 1970, which were intended to provide which does not preclude the construction of vessels the legislative foundation for a'10-year program of intended for inland and intercoastal domestic serv- U.S. maritime renewal. In the next section a number ice. Basically, this program allows any U.S. operator of other general support activities carried out by the to establish a fund into which gains on the sale or Maritime Administration will be discussed and the other disposition of a vessel may be deposited on a following section will describe progress achieved to tax-deferred basis. However, this program does not date under the terms of the 1970 Act and the pro- allow other tax-deferred deposits (such as earnings) gram deficiences which have emerged. General Federal Maritime Support Activities Beyond the specific shipping and shipbuilding aid and development, maritime manpower, market de- programs carried out by the Maritime Administra- velopment, environmental protection, and national tion, a number of additional general support activi- security. Brief consideration will be given to the ties are conducted which are designed to further major developments in these areas since 1970. overall U.S. maritime policy objectives and provide Over the years, programs sponsored or conducted support for other broad national goals. Included in directly by the Maritime Administration and its this category are programs in such areas as research predecessors have spawned major technological ad- V-39 vances in marine transportation. It has been esti- sponsored R&D projects over this period were about mated that various provisions of the Merchant Marine $62.3 million, bringing the total program to about Act of 1936 have been responsible in whole or $189.3 million for the 6-year period. It should be in part for the production of about 9,150 vessels .157 noted that the industry cost-sharing percentage has In the course of this massive effort, the Maritime Ad- grown over the past 3 years. ministration and its predecessors have consistently Analyzing the 760 research and development proj- been in the forefront of naval architecture and ects undertaken since the beginning of fiscal year marine engineering and have contributed materially to 1971, the Maritime Administration estimates that the advancement of these disciplines. In World War these projects have already returned at least $84 mil- II these capabilities were directed to the mass pro- lion worth of benefits. Over the next 10 years, duction of merchant vessels of simplified standard MarAd estimates that the net present value of eco- design in support of the war effort in the largest ship nomic benefits expected to accrue from these same construction program ever undertaken. And in projects could aggregate more than $2 billion. peacetime these talents have been directed'to the To increase U.S.-flag foreign trade carnage and task of keeping U.S. construction and operating increase the use and efficiency of U.S. marine trans- costs as low as possible while at the same time setting portation services, the Maritime Administration con- high standards for the shipping and shipbuilding ducts a vigorous marketing program on behalf of industries. all U.S.-flag operators. Essentially, this program con- In recognition of the importance of U.S. technol- sists of two elements. First, extensive marketing in- ogical development to the success of the 1970 mari- formation and cargo data are maintained by the time program, Maritime Administration research and agency for use by U.S. operators in support of their development activities were expanded. One of the individual marketing efforts. And second, a major prominent objectives of the program begun in 1970 promotional program is conducted by the agency was to increase the relative efficiency of U.S. ship- itself to familiarize shippers with the advantages of ping and shipbuilding in order to diminish the de- transporting their cargoes on U.S.-flag vessels. In pendence of these industries on Federal assistance. support of this second component of the program, In pursuit of this goal, the Maritime Administration MarAd marketing representatives visit shippers and research and development program was significantly shipper associations around the country to promote enlarged and redirected to emphasize short-term de- patronage of U.S. carriers. velopment projects with early application potential. Another marketing initiative with which the Mari- This expanded Government-sponsored R&D effort time Administration has been extensively involved is has been of particular importance to the U.S. ship- the National Maritime Council (NMC), which was ping and shipbuilding industries, inasmuch as limited established in 1971 to develop and encourage indus- profitability has tended to minimize the resources try cooperation in the promotion of the U.S. mer- available within the industries themselves for R&D chant marine. Providing a forum for the exchange activi.ties. This program has made possible many re- of ideas and information, and the presentation of search projects aimed at improving the competitive opinions and problems, NMC has proven extremely position of the U.S. merchant marine, which could successful in maintaining intra-industry harmony in not otherwise have been undertaken. While MarAd pursuit of common goals. Today, NMC consists of R&D budgets averaged $6 to $7 million per year in 33 member organizations representing all aspects of the late 1960s, budgets from 1971 through 1976 the maritime industry. MarAd's Office of Market averaged between $20 and $25 million per year. Development serves as Executive Secretariat. The To increase the likelihood that research and de- cooperative spirit engendered by NMC is given a velopment results will be directed to meet industry large share of credit by MarAd for the stable labor- needs and subsequently adopted, industry participa- management relations which have prevailed in the tion in planning and carrying out research projects industry since 1970. has been actively encouraged. As a consequence of Under the auspices of MarAd's market develop- this effort, the present MarAd R&D program is char- ment program, a major national conference was held acterized by substantial industry participation ' and in 1976 at Hyannis, Mass., to consider the special cost sharing. From the beginning of fiscal year 1971 problems which have impeded expansion of the U.S. through the end of fiscal year 1976, funds authorized fleet in the carriage of dry bulk commodities. De- by Congress for MarAd R&D totaled about $127 spite increased Federal support available under the million. Additional industry contributions to MarAd- 1970 Act, this segment of the fleet has continued to decline, and, today, U.S. participation in this area E. Scott Dillon, Ludwig C. Hoffman, and Donald P. stands at less than 2 percent of the total U.S. foreign Roseman. "Forty Years of Ship Design Under the Merchant trade in dry bulk commodities. The Hyannis Confer- Marine Act, 1936-1976." Paper presented before the Annual ence brought together bulk shippers and leaders Meeting of the Society of Naval Architects and Marine Engi- neers, New York, November 11-13, 1976, p. 2. representing all segments of the maritime industry in V-40 an effort to identify specific impediments to U.S.-flag time Administration has played a major role in nego- expansion in the bulk trades,. to recommend initia- tiating and implementing the shipping agreements tives to improve performance in this area, and to governing these trades. On October 14, 1972, U.S. make known to those not fully familiar with the U.S. and Soviet officials signed a major 3-year maritime maritime program the aids already available tobulk agreement which provided a general framework and shipping. The conference generated 36 rec'ommenda- established a set of ground rules governing mari- tions, which have led to several administrative ac- time relations between the two nations. Modified and tions to improve the MarAd bulk shipping effort. In extended for another 6 years in 1975, the objec- addition, i package of legislative proposal relating to tives of both the original and extended agreement bulk shipping is being developed. . were to open the channels of maritime commerce To assure the availability of a well-trained work- between the two nations by opening major U.S. and force for the U.S. merchant marine, the Maritime Soviet commercial, ports to specified kinds of U.S. Administration conducts a number of programs for and Soviet-flag vessels and to provide vessels of each manpower training and development. In addition, country with an opportunity to participate equally MarAd assists in labor-management negotiations, and substantially in the carriage of all waterborne serving as a neutral source of information for both cargoes moving between the two nations. In defining labor and management, in an effort to facilitate the the substant 'ial share of cargoes to be carried by the peaceful settlement of disputes and avoid disruptive vessels of the Soviet Union and the United States, strikes.51 the agreement sets forth the intention of each coun- Under the provisions of Section 216 of the Mer- try to provide its vessels with an opportunity to chant Marine Act, the Maritime Administration carry not less than one-third of all cargoes moving maintains the U.S. Merchant Marine Academy -at in the trade. The remainder of the trade is available Kings Point, N.Y., which provides students with a to vessels of other flags. college education and the training necessary to as- In implementing this agreement, bulk carriage sume positions as officers in the merchant marine freight rates for the U.S.-flag share of agricultural upon graduation. In addition, Federal assistance is cargoes exported from the United States to the Soviet also provi 'ded to support training for merchant ma- Union have been periodically renegotiated to assure rine officers ai six State maritime schools. Authority that U.S. vessels carry the one-third share allotted for this program is contained in the Maritime to them at charter rates which provide a reasonable Academy Act of 1958. , , return to the U.S. operator (after receipt of operat- Beyond these officer training assistance programs, ing subsidy), but which do not impede U.S. grain the Maritime Administration also supports, several sales. Essentially, U.S. negotiators have sought rates other marine training activities. Five radar training equivalent to those which would have to be obtained centers are operated around the country under joint by foreign carriers in order to continue long-term MarAd-Coast Guard sponsorship and are available profitable operations. When an operating differential for use by qualified merchant seamen, inland water- subsidy, paid by the U.S. Government, is added to way, offshore drilling, and mining vessel operators, this revenue to offset the U.S./foreign cost differ- maritime academy students, and NOAA and Coast ential, the U.S. operator is assured an opportunity Guard personnel. Firefighting and fire damage con- for profitable participation. At the same time, the trol courses are given by MarAd and the Navy's Soviet Union pays a reasonable price for the ship- Military SeaLift Command. And finally, the recently- ping service. opened Computer-Aided Operations Research Facil- During periods when grain exports to the Soviet ity (CAORF) 51 at Kings Point, although primarily Union are large, this trade can provide a major a research facility, is expected to yield substantial source of employment for U.S.-flag bulk carriers. As auxiliary training benefits to the ship operating a primary participant in negotiations relating to the industry. terms governing shipping services in this trade, the In conjunction with the developing trade between Maritime Administration helps assure that U.S. op- the United States and the Soviet Union, the Mari- erators have a fair chance to take full advantage of "A principal service provided by MarAd during labor-man- this important trade opportunity. agement negotiations is access, by all parties, to the computer- In support of its national security mission, the based Maritime Contract Impact System (MCIS) which pro- Maritime Administration maintains the National vides rapid calculation and evaluation of the impact of changes Defense Reserve Fleet and carries out a variety of in base wages and fringe benefits. " CAORF, developed and operated under the MarAd research planning and readiness functions designed to assure and development program, provides a full-scale mockup of a the adequacy and timely availability of shipping and vessel bridge with computer equipment designed to simulate the operating characteristics of various vessels under a wide variety shipbuilding resources in the event of war or other of operating conditions. This facility is designed principally as national emergency. Over the years, the number of a research tool to test and analyze 'new operating procedures, port configurations, and eq@ipment, and to assess human re- ships maintained in the reserve fleet has declined actions under various normal and abnormal operating conditions. dramatically and, as of June 20, 1977, the NDRF V-4 I consisted of 344 Navy and MarAd vessels held in bility with the Navy. Planning activities in these three reserve fleet sites. The number of retention areas are fully coordinated with other relevant Fed- ships in the fleet (vessels which receive conventional eral agencies and with the appropriate elements of preservation treatment, dehumidification, and ca- NATO. thodic protection) now stands at 216, of which 149 Finally, a number of Maritime Administration are MarAd vessels and 67 are Navy-owned. The activities are carried out in response to growing remaining ships in the NDRF are either scrap candi- national concerns for environmental protection and dates or designated for special programs. energy development, transportation and conserva- As indicated previously, a major role now cited tion. In the area of environmental protection, the for the NDRF is to provide the United States with agency participates in a wide variety of domestic a surge capability in order to minimize the disrup- and international programs designed to minimize tion to regular U.S. commercial carriers in a limited the adverse environmental consequences of activities national emergency. To improve the responsiveness related to marine transportation. A primary concern of the NDRF to meet such requirements, a program of the Maritime Administration in this area is to was recently undertaken to place about 30 NDRF maximize marine environmental protection while at vessels in a special ready-reserve status that would the same time assuring that full advance considera- permit activation in as little as 5 to 10 days. So tion is given to the potential impact of various envi- far, seven vessels have been placed in ready reserve ronmental initiatives on U.S. shipping and trade. status and one additional vessel is now being modi- In the area of energy production, MarAd has fied for the program. become a major participant in supporting capital The Maritime Administration also coordinates investment in the rapidly expanding offshore drilling with the Navy Department through the Navy Sealift industry. For fiscal year 1976, about one-third of Readiness Program (SRP). Under this program, car- the total value of loans guaranteed under the Title riers in the regularly scheduled berthline trades who XI program was accounted for by loans for drilling wish to carry Department of Defense preference ships, platforms, and drilling service vessels.611 cargoes in peacetime must commit half of their ship- In the area of energy transportation, a number ping capacity to military support operations in the of special analyses have been made or are underway event of a nonmobilization emergency. Because they to assess anticipated future requirements for various are fully operational in peacetime, SRP vessels can types of energy carriers, ranging from tankers to be made available more quickly in an emergency liquefied natural gas carriers to propane and butane than most of the vessels in the Reserve Fleet. MarAd carriers. One recent example was a study released works closely with the Navy on this program to in October 1976 assessing the adequacy of the U.S. assure that the shipping capacity to meet emergency tanker fleet to meet oil carriage requirements for requirements will be available when needed, while the Alaska oil trade and to analyze expected require- at the same time assuring that the negative com- ments for the Strategic Petroleum Reserve.61 This mercial impact is minimized. study, and subsequent assessments, led to steps to Until July 1, 1977, the Sealift Readiness Program augment the U.S. domestic fleet by allowing tempo- required vessel callup for a minimum of 6 months rary employment of some subsidized tankers in the and a maximum of 12 months. Because a 6-month Alaska trade upon repayment of subsidy. Steps also diversion from normal trading patterns could result have been taken recently to authorize limited par- in substantial commercial damage, this provision ticipation by some ODS tankers in the carriage of was changed, reducing the minimum call up period preference oil destined for the Strategic Petroleum to 4 months and the maximum to 9 months. It is Reserve. While engaged in such carriage, however, now expected that SRP ships will be used to meet these tankers will not receive operating subsidy. initial emergency requirements and then released as With respect to energy conservation, the Maritime quickly as possible to their normal trades before Administration conducts a variety of research and foreign flag carriers can make significant inroads. promotional programs aimed at improving the en- In the meantime, reserve fleet vessels can be acti- ergy efficiency of the U.S. shipping and shipbuilding vated as necessary to provide sustained support. industries. In conjunction with efforts in this area, Other emergency preparedness activities carried close and continuous coordination is maintained with out by the Maritime Administration include the de- appropriate agencies of the Department of Energy. velopment of contingency plans for emergency-mobi- ' U.S., Department of Commerce, Maritime Administration, lization of ports, merchant shipping, and the ship- MARAD '76: The Annual Report of the Maritime Administra- building industry. Such planning is essential because tion for Fiscal Year 1976 and the Transition Quarter Ending September 30, 1976. Washington, D.C., Government Printing the Maritime Administration, in its capacity as the Office, April 1977, p. 83. National Shipping Authority, would be responsible "U.S. Department of Commerce, Maritime Administration, for port and merchant shipping operations during Office of Policy and Plans. The U.S.-Flag Tanker Fleet and Domestic Carriage Requirements--An Assessment of Fleet Ade- mobilization and would share shipbuilding responsi- quacy. October 21, 1976. V-42 Progress Under the Merchant Marine Act of 1970 Although the specific objective of initiating the struction demands associated with large new domes- construction of 300 merchant ships between 1971 tic trade requirements. Among these, the most not- and 1980 was included in the 1970 Act, it is now able has been the U.S.-flag tanker requirement asso- evident that this goal is not likely to be achieved. ciated with the delivery of Alaska oil. As of June 1, By mid-1977 construction-differential subsidy (CDS) 1977, the U.S. orderbook for new merchant ship had been awarded for a total of only 66 new ships, construction consisted of 69 vessels, totaling more -aggregating 6 million deadweight tons and valued than 6.2 million deadweight tons and valued at $4.2 at $3.3 billion. In addition, CDS contracts had been billion. Of these 69 ships, 46 are tankers. let for the reconstruction or conversion of 27 exist- In assessing progress under the Merchant Marine ing general cargo vessels to modem containerships. Act of 1970, it is interesting to compare various It is important to note that progress toward the 1982 trade penetration projections developed by 300-ship goal is somewhat understated by the raw MarAd shortly after enactment of the 1970 Act 11 with CDS construction figures alone. When the 300-ship the U.S. participation rates which have actually been objective was established,. it was predicated on the attained thus far. Although changes in the U.S. for- construction of vessels generally smaller than those eign trade outlook and changes in the construction which have actually been contracted for to date. mix have rendered these early projections largely Despite this partial distortion, however, it is none- obsolete, the comparison provides a useful indication theless clear that the level of new construction under of how far U.S.-flag trade penetration results are,, the program has fallen short of the objective. likely to vary from those originally expected under I A major factor impeding progress toward the 300- the 300-ship program. ship goal has been the worldwide shipping and ship- Overall, MarAd projected that the new program building recession which began after the 1973 Arab -could be expected to yield U.S.-flag foreign trade oil embargo. The tanker industry was particularly penetration of between 14 percent and 17 percent in .hard bit by this recession, and in April 1976 (the terms of tonnage by 1982. However, by 1976, U.S. peak of the recession's impact on the tanker fleet) foreign trade participation was only 4.9 percent by about 50 million tons of tanker capacity was idled tonnage, just slightly higher than the 4.6 percent around. the world. In addition, foreign trade gen- level that had been attained in 1969 before the new erally was hampered by the precipitous rise in oil program .113 While total U.S.-flag foreign trade car- prices following the embargo. As a consequence riage grew dramatically over this period, total U.S. of these events, commercial demand for new U.S. trade grew at an equal pace. vessels all but evaporated despite the availability of The 1982 expectation for liner trade penetration expanded Federal assistance under the 1970 Act. was set at 35 percent to 50 percent in terms of ton- Of course, since 1970, additional construction nage and 50 percent in terms of value. In 1976, beyond that supported by construction subsidies has U.S.-flag vessels transported more than 30 percent also been initiated under the expanded Title XI of the tonnage of liner cargoes in U.S. foreign trade mortgage guarantee program. While such mortgage and these cargoes represented more than 31 percent guarantees have been used extensively to secure of the total value of such cargoes. Comparable U.S. financing in conjunction with CDS-supported proj- penetration figures for 1969 were 23 percent by ects, the Title XI program also has aided in financ- tonnage -and 27 percent by value. The favorable ing an additional $2 billion worth of nonsubsidized trend since 1969 in this area reflects a substantial construction since 1970. Considering all U.S. mer- upgrading and modernization of the U.S. liner fleet chant ship construction from mid-1972 through the principally through the incorporation of intermodal end of 1976, U.S. shipyards delivered a total of 98 technology. Today the U.S. intermodal fleet is the new merchant vessels representing more than 5.2 million deadweight.tons of new U.S. capacity. 62 U.S. Department of Commerce, Maritime Administration, Thus, although the success of the 10-year building Office of Policy and Plans. New Maritime Program Progresq program has been mixed and while U.S. shipyards Analysis Report on the Objective: To Increase U.S.-Flag Par- ticipation in the U.S. Foreign Trade. Unpublished Maritime Ad- will clearly require additional contracts to sustain ministration Report, March 1972, p. 8. present production levels, the current shipyard order- 61 The 1976 trade penetration figures presented in these para- graphs are based on preliminary Census data as reported in book in the United States is substantial. It should U.S. Department of Commerce, Maritime Administration, Office be emphasized, however, that because new orders of Subsidy Administration, U.S. Oceanborne Foreign Trade have not kept pace with deliveries, this orderbook Report, December 1976, No. 3 Annual Recap. Washington, D.C., Maritime Administration, September 1977. Prior year penetration is expected to begin a serious decline by mid-1978. figures are from U.S. Department of Commerce, Maritime Ad- Over the past few years, U.S. shipyards have been ministration, MARAD '76: The Annual Report of the Maritime partially insulated from the full impact of the world Administration for Fiscal Year 1976 and the Transition Quarter Ending September 30, 1976. Washington, D.C., Government shipbuilding recession principally because of con- Printing Office, April 1977, P. 76. V-43 largest and most modern in the world and includes and, as the ceiling declined by 2 percentage points 105 containerships, 23 lighter or barge carrying ves- each year thereafter, these goals too were met sels, and 14 roll-on/roll-off vanships. It now appears through the end of fiscal year 1975, by which time that the expected tonnage penetration range in this the CDS ceiling had fallen to 37 percent. In part, area may still be achieved. However, the value pene- this early success was aided by the two dollar de- tration level originally expected is not likely to be valuations that occurred in December 1971 and Feb- attained. ruary 1973. In addition, however, improved ship- Under the 1970 program, it was originally ex- building productivity encouraged under the 1970 pected that the tankers to be built would yield capac- Act, also contributed significantly to this success. ity sufficient to carry about 10 percent of the liquid Since enactment of the 1970 Act, the shipbuilding bulk cargoes moving in, the U.S. foreign trade. The industry has invested more than $1 billion in mod- trade forecast upon which this expectation was ernization and capital improvements. based, however, did not anticipate the explosive Progress in reducing CDS rates ended abruptly in growth in U.S. dependence on foreign oil and on fiscal year 1976, however, as the recession in the more distant sources of foreign oil. As a conse- world shipbuilding industry became severe. In the quence, even though U.S. tanker construction has wake of numerous order cancellations, the competi- jueatly exceeded original estimates, trade penetration tion for replacement orders became acute and for- gains have not been large. eign construction prices plummeted. As a conse- In 1969, U.S.-flag tanker carriage represented 3.2 quence of these developments, the U.S./foreign percent of total tanker tonnage. In 1976, this pene- construction cost differential widened and the CDS tration was 4.2 percent, Because of the currently rate objective of 35 percent for fiscal year 1976 depressed state of the world tanker market and the became unattainable. unanticipated need to carry large quantities of Since authority to award competitive bid contracts Alaska oil to U.S. Gulf Coast markets via Panama, with CDS rates up to 50 percent was still available foreign trade penetration gains in the short term will under the 1970 Act, a contract for the construction remain difficult to achieve. Some U.S. vessels that of two vessels was awarded in fiscal year 1976 under would otherwise be expected to engage in foreign this provision at a CDS rate just under the 50 per- commerce if rates were stronger will be drawn to cent ceiling. Negotiated contracts, however, were not the protected domestic carriage of Alaska oil until such time as a pipeline is developed to transport the authorized at the higher rates because use of that West Coast surplus to other U.S. markets. As capac- procedure had been conditioned on meeting the spe- ity is released from the Alaska trade (after comple- cific CDS objectives. tion of one or more of the proposed West Coast . Only July 31, 1976, the declining construction pipelines), U.S. foreign trade penetration could im- subsidy rate goals were completely abandoned with prove substantially, depending on the level and enactment of a new amendment to the Merchant source of total U.S. oil imports, the condition of the Marine Act, which reinstated negotiated contracting world tanker market, and the ability of U.S. carriers authority without regard to CDS objectives. Under to compete for foreign trade cargoes. this authority, which extends through June 1979, the As noted previously, the dry bulk segment has 50 percent CDS statutory maximum rate still applies been the least responsive element of the U.S. fleet to as it does in the case of competitive bidding. All of the new expansion incentives provided under the the other requirements associated with negotiated 1970 Act. Only two ore/bulk/oil carriers have been contracting must still be met, but the lower CDS built under the program, and the U.S. dry bulk trade ceiling requirements previously imposed have been penetration level today is lower than the 1969 level. eliminated. It should be emphasized that the con- Originally, the construction of a substantial number struction of LNG vessels has been possible at CDS of dry bulk carriers was anticipated and the expected rates well below the statutory maximum. In fact, all 1982 U.S. penetration level was set at 14 percent of CDS-sponsored LNG construction to date has been total tonnage. It is evident that this level of penetra- at rates below the goals originally set in 1970. tion is not likely to be achieved, although MarAd is In looking at the total record of progress since actively investigating new initiatives in an attempt to enactment of the Merchant Marine Act of 1970, it improve performance in this area. is clear that while the pace of maritime revitalization During the first 5 years of the new maritime pro- has not been as rapid as originally hoped, and while gram, the construction subsidy rate objectives in- progress has been extremely disappointing in some corporated in the 1970 Act were met fully. All CDS areas, many significant gains have been made. For contracts awarded in fiscal year 1971 were held be- example, although the number of privately owned low the 45 percent ceiling established for that year vessels in the U.S. fleet declined from 793 in 1970 V-44 to 579 at the end of 1976, the aggregate cargo portion of intermodal vessels expanded substantially. capacity of,this fleet increased from 14.4 million to All of these factors have contributed to a steady in- 15.6 million deadweight tons, In addition, average crease in the aggregate delivery capacity -of the fleet speed increased, average age declined, and the pro- and to the reliability of U.S. commercial carriage. Major Current Issues Over the next few years several identifiable issues for such domestic carriage will be limited to 6 are likely to be of major concern in the development months in any given year and will require the repay- and execution of Federal maritime promotional pol- ment of a portion of any construction subsidy prev- icies and programs. This section considers these. iously received. Tankers in the authorized size range emerging issues. (100,000 dwt and over) do not receive operating First, a number of special demands for U.S. tanker subsidy. So far, several tankers have been granted capacity will be imposed on the U.S. merchant fleet Alaska trade eligibility under these special provi- as a consequence of Alaska oil trade requirements sions. In administering this program, careful consid- and preference requirements associated with estab- eration will be given to meeting the Alaska trade lishment of the Strategic Petroleum Reserve. These requirements while at the same time protecting the demands are likely to require continuing Federal at- interests of non-subsidized domestic operators. tention to assure the appropriate allocation of avail- Establishment of a National Strategic Petroleum able tonnage to meet these requirements. A brief Reserve (SPR) will present U.S. tanker operators discussion of these and other potential sources of with another important trade opportunity over the U.S.'tanker demand is included in the paragraphs next few years. Under the cargo preference pro- below. visions of the Merchant Marine Act, 50 percent of As Alaska pipeline production expands beyond the oil imported for the SPR must be carried by U.S. the 700,000 barrel-per-day level sometime early in tankers to the extent such vessels are available at 1978, the quantity of Alaska oil which will be surplus fair and reasonable rates. Preliminary MarAd as- to West Coast needs is expected to increase, signifi- sessments of SPR fill demand indicate that full 50 cantly. To dispose of this regional surplus, a large percent U.S. participation may not be possible in all number of tankers will be needed to transport this * oil periods of the fill cycle because of peaks in the FEA via Panama to other U.S. markets until such time as fill schedule, rising Alaska trade requirements, and, a pipeline to accommodate the surplus can be de- in the near term, the nonavailability of a number of veloped (probably not before 1980). Because this U.S. vessels still-under construction. is a domestic movement subject to the cabotage pro- Under the terms of their operating subsidy con- visions of the Jones Act, only U.S.-flag tankers will tracts, some 22 U.S. ODS tankers are precluded be eligibleto participate in this trade .64 Assessments from participating in the carriage of -preference car@ by the Maritime Administration indicate that the goes. However, in order to avoid losing part of the Alaska trade requirements (including surplus dis- petroleum' reserve preference opportunity, the Mari- position via Panama) will be within the aggregate time Subsidy Board has recently granted special eli- capacity of the U.S. fleet after full consideration of gibility to several ODS tankers to participate in the other domestic carriage requirements. However, carriage of SPR preference oil. Owners of these ves.- some augmentation of the non-subsidized tanker fleet sels have in turn agreed to forego ODS during per- will be necessary in order to meet fully theAlaska iods of such preference employment. trade requirements. An additional demand for U.S. tanker tonnage As a consequence of these findings, the Maritime would have been imposed had commercial oil cargo Administration published regulations in the Federal preference legislation been enacted. Under the pro- Register on June 29, 1977, specifying the terms and visions of the measure, which was defeated in the conditions under which certain large U.S. subsidized House of Representatives on October 19, 1977, a tankers may be authorized to temporarily engage in portion (rising to 9.5 percent by 1982) of U.S. com- the carriage of oil from Alaska to the western en- mercial oil imports would have been reserved for trance of the Panama Canal. In compliance with the carria ge by U.S. flag tankers to the extent such requirements of the Merchant, Marine Act, eligibility vessels were available at fair and reasonable rates. Although this is the third time that efforts to enact "Because the Jones Act does not currently apply to trade some form of legislation for commercial oil cargo between the U.S. and the Virgin Islands, it may be possible that preference have failed, proponents are not likely to some Alaska oil could be transported by foreign-flag vessel to be reflned in the Virgin Islands and the product subsequently abandon the issue. References have already been transported to the mainland via foreign-flag vessel. (See material made to another attempt at enactment. to follow for further discussion of this issue and the general issue of Jones Act applicability to other elements of the Virgin A final source of added U.S. tanker demand would islands oil trade.) follow enactment of legislation to bring petroleum V-45 imports from the Virgin Islands under the cabotage identified this component of U.S. sealift capacity as provisions of the Jones Act. Originally excluded from the segment in greatest need of attention. the Jones Act in order to aid the island economy In response to this concern, the Maritime Ad.- by keeping prices down on essential items imported ministration is assessing a variety of administrative from the mainland, the Virgin Islands in recent years and legislative initiatives to encourage the develop- has become a major Caribbean refining center. Be- ment and maintenance of an expanded U.S. dry bulk cause of the Jones Act exclusion, oil products refined capacity. The types of initiatives that have been in the Virgin Islands may be conveyed to the U.S. considered in this area include: East Coast in foreign flag vessels providing Virgin 0 Revision of certain regulations governing the oper- Islands refiners with a competitive advantage over ating-differential subsidy program to assure that Gulf Coast and Puerto Rican refiners who must use U.S. dry bulk vessels which are operated under higher cost U.S. vessels to carry their products to ODS contract achieve full U.S./foreign cost parity. market. If legislation is enacted extending Jones Act e Provision of greater trading flexibility through an requirements to the Virgin Islands, an immediate de- expanded allowance of foreign-to-foreign trading. mand for an estimated 750,000 deadweight tons of * Development of prototype and standard design nonsubsidized U.S. tanker capacity would be imposed. vessels that would be given preference over non- Pressures to extend the Jones Act to the Virgin standard designs in terms of Federal aid. Islands oil trade could increase substantially if ship- * Elimination of the ship replacement obligations ments of surplus Alaska oil are allowed to be made for bulk operators who enter operating subsidy aboard foreign-flag tankers when processed through contracts with new vessels. Virgin Islands refining facilities. The Treasury De- * Amendment of Section 804 of the Merchant Mar- partment (which is responsible for administering the ine Act 'to allow owners of subsidized U.S. dry Jones Act) has ruled that such shipments are not bulk vessels also to operate bulk carriers under subject to cabotage under current law. foreign flag providing safeguards are incorporated It is interesting to note that an incentive, which to prevent the diversion of subsidy to support the will assume greater importance in the years ahead, foreign operation. for using U.S. ships in the Virgin Islands oil trade Liberalization of the Capital Construction Fund already exists under the oil import fee program. Es- provisions of the Merchant Marine Act to allow sentially, this provision allows importers bringing oil American owners of foreign flag dry bulk shipping products in from the Virgin Islands to reduce their to deposit earnings from foreign operations into a import fee obligations if a U.S.-flag vessel is used. To tax-deferral CCF for the purpose of accumulating date, this provision has had little effect because most funds for building new dry bulk vessels in the of the oil now imported from the Virgin Islands is United States. imported without fee. The amount of oil subject to These and related considerations pertaining to the fee is expected to increase rapidly in the next few special problems associated with expansion of the years, however, making this U.S.-flag fee incentive dry bulk fleet are likely to remain important issues in far more important. the future both in administering existing programs The effectiveness of the fee incentive in encourag- and in considering possible new legislative initiatives. ing the use of U.S. ships will, of course, depend on Liquefied natural gas (LNG) carriers are fast be- the relationship between the U.S.-flag fee saving and coming a major factor in the outlook for U.S. ship- the transportation saving available by using a foreign ping and shipbuilding. This reflects the growing vessel. Furthermore, the applicability of the fee pro- importance of LNG as an energy source and the gram to the Alaska oil processing scheme is cur- prominent position attained by the U.S. shipbuilding rently unclear. Extension of the Jones Act to the industry in the development and construction of Virgin Islands oil trade would presumably eliminate LNG vessels. Currently, the world LNG fleet con- the fee incentive program altogether and simply re- sists of 37 vessels with an aggregrate capacity of quire exclusive carriage by U.S. vessels. more than 3 million cubic meters. An additional 34 The need to expand the U.S. dry bulk fleet can be ships, totaling about 4 million cubic meters, are now expected to be another major area of concern for the under construction or on order around the world, foreseeable future. Today the United'States has an and half of this additional capacity is on order from annual dry bulk trade (including both imports and U.S. yards. exports) of about 275 million tons, and it has been At the present time, eight U.S. liquefied natural gas estimated that under wartime circumstances a mini- carriers are being,built with construction subsidy and mum of 50 million tons of imported dry bulk mate- Title XI mortgage guarantees to bring foreign LNG rials would be required annually from outside North to the United States. (One additional vessel intended America to keep the American economy in opera- for the U.S. foreign trade has already been delivered.) tion. Because U.S.-flag dry bulk trade participation Seven LNG ships destined for foreign-to-foreign serv- currently stands at less than 2 percent, many have ice are also on order from U.S. yards with Title XI V-46 financing assistance. Finally, two more vessels are on alter the fundamental nature of the war risk insurance order (with no request for government aid to date) authority, they did offer clear evidence that it is the for potential use in the U.S. import trade. Orders intent of Congress that the War Risk Insurance Pro- could soon be forthcoming for as many as 16 more gram be used to provide access to needed shipping, LNG vessels to carry U.S. gas imports. resources in a national emergency-not simply to The prospects for U.S. shipping and shipbuilding protect U.S.-owned foreign shipping assets. in the LNG area will depend on future policy re- Another form of controversial foreign-flag assis- sponses to s *uch issues as the growing public concern tance is provided through the current tax treatment for the safety of LNG transport 135 and the concern of certain income earned by U.S. owners of foreign- over increased U.S. reliance on foreign energy flag shipping. Under the terms of Subpart F of the sources. One important potential source of LNG Internal Revenue Code, certain types of income of carrier employment was recently eliminated by the American-controlled foreign corporations must be President's decision to support the trans-Canada included as income to the U.S. shareholder in the pipeline option for transporting Alaska natural gas year it is earned by the foreign company even if it is to the "lower-48." Had the trans-Alaska option been not distributed in that year to the U.S. shareholder. adopted, it is estimated that from 8 to 11 LNG car- One such category of income subject to current taxa- rie.rs would have been used in the transportation tion is foreign base company service income which op ,eration from the liquefaction plant in Southern consists of income derived from the performance of Alaska to regasification facilities on the West Coast. services by a U.S. -controlled, foreign corporation for The issue of U.S. ownership of foreign-flag ship- a related person or corporation outside the country ping and the defense utility of such shipping has long in which the U.S.-controlled foreign corporation is been debated. It is likely that this issue will continue organized. In the Internal Revenue Code, however, to be argued, particularly in conjunction with discus- there is an express statutory exclusion of shipping sions of U.S. policies which tend to aid the owners income from these foreign base company income pro- of foreign tonnage. visions. It is due to this exclusion that the income of As indicated previously, the lapse in authority a U.S.-controlled foreign shipping corporation is gen- under the War Risk Insurance Program from Sep- erally not subject to U.S. taxation in the year in which tember 197S through October 1976 can be traced to it is earned, even though the ships may have been Congressional concern over the appropriateness of performing services for the U.S. parent corporation providing war risk insurance coverage to foreign-flag throughout the year. carriers. While foreign coverage authority was finally In 1975, with enactment of the Tax Reduction Act extended until September 1979, forei&-flag eligibility of 1975, the value of the foreign subsidiary shipping standards were tightened to require that specific con- income exclusion under Subpart F was somewhat sideration be given to the characteristics, the diminished. Effective January 1, 1976, the new law employment, and the general management of eliminated the income exclusion on foreign shipping any foreign-flag vessel seeking coverage in Iorder to income that is not reinvested in shipping operations. determine if extension of coverage would be ". . . in As a consequence of this change, the House of Rep- the interest of the national defense or the national resentatives Committee on Ways and Means esti- economy . . ." In addition, all insured vessels, both mated that additional tax revenues of $35 million U.S. and foreign, were made subject 'to strict location would be collected each year. Income reinvested in reporting requirementg. While these changes did not foreign shipping, however, remains eligible for tax def erral. U.S. Congress, Office of Technology Assessment. Transpor- Since the Subpart F shipping income exclusion tation of Liquefied Natural Gas. Washington, D.C., Govern- still provides a significant tax benefit to foreign-flag ment Printing Office, September 1977. This source provides an excellent recent summary of U.S. LNG policies and projects and shipping (Treasury estimates place the tax revenue is particularly useful in delineating the major safety issues asso- loss at between $90 million and $140 million per ciated with LNG transportation. year), it has been argued that it encourages foreign An issue closely related to considerations of LNG vessel safety registry and is therefore contrary to U.S. maritime which may assume importance in the near future relates to the policy. This issue will, no doubt, continue to be question of whether Government indemnification to a shipbuilder may be made available under Public Law 85-804 (or if such raised in conjunction with future deliberations relating indemnification authority should be provided) to cover LNG to both U.S., maritime policy and U.S. tax policy. vessel product liability claims. Public Law 85-804 grants the President the authority to authorize any department or agency Repeated demonstrations of the utility of the Na- of the Government exercising functions in connection with the tional Defense Reserve Fleet (NDRF) in times of national defense to execute or amend contracts whenever be national emergency and the continuing decline of this deems that such action would facilitate the national defense. Although shipyard indemnification for LNG vessels constructed national shipping asset have led to growing demands with CDS has not yet been decided, recent developments in for NDRF renewal. Under existing law, subsidized product liability law coupled with limited availability of ade- quate commercial insurance may necessitate consideration of in- operators have had the option, in conjunction with demnification in the near future. their vessel replacement obligations, to sell older mer- V-47 chant ships to the Federal Government at their gov- decline in employment. The loss of jobs in shipbuild- ernment-appraised value. Until recently, however, this ing and allied industries and in other sectors of the option was generally not exercised because prices economy could be substantial and would be concen- were better on the open market. As a consequence, trated in areas which already face serious employ- many opportunities to improve NDRF capacity were ment difficulties. According to Department of Labor missed. In the past few months, this situation has data, 16 of the Nation's 20 major shipyards are in improved dramatically and, since the beginning of areas which now have substantial unemployment. January 1977, five C-3 cargo ships have been acquired A major loss of jobs in the shipbuilding industry under this program and placed in the NDRF. In would also seriously affect theemployment levels of addition, three C-4 cargo ships have been contracted minorities and women in shipbuilding. A large por- for and will be added to the reserve fleet in 1979 and tion of the recent gains in this area would be lost be- 1980 when their replacements are delivered. Further- cause of the generally lower seniority of minorities more, it is now expected that eight more vessels may and women in a "last-in, first-out" labor environment. soon be contracted for under this authority. Because Productivity improvements resulting from the $1.3 the quality of vessels acquired to date under this billion of private capital invested in commerical ship- program has been high, all have been identified for yards since 1970 also would be jeopardized by a inclusion in the Ready Reserve Fleet program under declining orderbook. A stable or expanding workload which these vessels will be maintained in an advanced is needed to maintain productivity, efficient use of state of readiness. facilities, and the economic capability to compete Despite these improvements under the subsidized for new orders. vessel replacement program, it is likely that other A final area which will assume considerable im- initiatives will be required if a substantial NDRF portance over the next few years is the operating renewal is to be attained. One recently-enacted pro- subsidy program, as a number of long-term operat- gram will allow the Secretary of Commerce to ex- ing differential subsidy contracts for liner operations change NDRF scrap candidates for Mariner class come up for renewal. As the existing 20-year con- vessels and other suitable commercial ships destined tracts expire and operators apply for renewal, the to be scrapped by their owners. The basic purpose Government will have an opportunity to reevaluate of such a program will be to exchange equally valued and revise a substantial portion of the current ODS scrap ships in anticipation that the ships traded in program. will have greater emergency defense utility than the vessels traded out. Authority for a similar exchange In processing applications for ODS contract re- program covering only Mariner vessels expired in newal, particular attention will be directed to con- January 1977 without having been used. There are trolling rising costs while continuing to support the two major problems with this approach to NDRF U.S. ship operating industry in compliance with nenewal. First, there are only a limited number of ships national maritime policy objectives. Three categories remaining in the NDRF that could be traded out of subsidizable expense have been identified which under this program and, second, the quality of ves- probably could be reduced or eliminated without sels traded in is likely to be quite low if their only undue hardship to the U.S. operating industry. The remaining commercial value is as scrap. Hence, this maintenance and repair category, which in 1975 exchange program cannot be viewed as a major fleet accounted for about 6 percent of total ODS accruals, renewal effort, although it may yield some marginal has already been eliminated from several ODS con- improvement. tracts and is likely to receive careful consideration In the past, various proposals for NDRF revitali- in future contract assessments. Subsidy for hull and zation have been advanced which would allow the machinery insurance premiums (slightly less than 1 Government to continually purchase, from private percent of 1975 ODS accruals) also has been elimi- interests, a small amount of shipping which has nated from some contracts, and subsidy on premiums high defense utility, but which has reached the end for protection and indemnity insurance (about 2 per- of its commercial life. It is likely that as the NDRF cent of 1975 accruals) is considered a likely candi- continues to age, this type of program will again date for ODS reduction in the future. receive renewed attention. Without a major renewal The only other category of subsidizable expense initiative, at some point in the not too distant future, for liner cargo operations is the wage category,611 the NDRF decision is likely to be made by default. which, in recent years, has alone accounted for 90 Another very important issue that is likely to percent or more of total ODS accruals. Control of assume growing importance in the near future is the this item of expense since 1970 is considered to U.S. shipbuilding outlook in light of the lack of new orders in recent months. Unless new orders are re- 61 It should be noted that ODS is also available in support of ceived soon, the U.S. shipbuilding industry faces a officer and crew subsistence, but only on passenger ships. With the decline in passenger ship operations, this subsidy item is precipitous decline in business and an associated being rapidly phased out. V-48 have been fairly rigorous, because of the use of the ity. A principal focus of this study will be an exami- wage subsidy index system (which ties subsidizable nation of the appropriateness of the essential trade U.S. wage expenses to a general'U.S. wage index) route concept in light of the impediments it imposes and because of successful efforts to reduce total on operating flexibility. manning levels on U.S.-subsidized vessels. These then are some of the major specific issues In addition to the cost control expected to be which are likely to be of prominent concern over the achieved through the elimination of certain subsi- next few years with regard to the promotion of U.S. dizable expenses a thorough reassessment of the shipping and shipbuilding. In addition, of course, entire ODS program has been initiated recently by many of the infrastructure and regulatory issues dis- the Maritime Administration in an effort to identify cussed in the previous sections will also include im- changes which might enhance the efficiency of the portant promotional considerations. As a conse- ODS fleet -and thereby reduce future subsidy de- quence, it can be expected that careful attention will pendence. Essentially, this study will address the also be directed to many of these issues with respect possible productivity benefits to, be derived from to their potential effect on the future of the U.S. allowing subsidy recipients greater operating flexibil- merchant marine. V-49 Chapter VI: The Marine Environment The Ocean and the Marine Environment The marine environment includes the coastal zone, owners, a resource can be depleted or the environ- estuaries, shelf waters, and open ocean. These ment can be degraded for present benefits without oceanic regions are environmentally related and im- regard for the future. Protection of the environment pacts in one region can have profound effects on the and preservation of natural resources held in com- waters of another. The coastal environment and mon by the public are secondary to immediate profit land-based activities directly affect the health and since there is no assurance that other exploiters will productivity of coastal waters. not reap the. benefits. International cooperation and Offshore waters are common property resources. government regulation and control can be effective Unlike land, they belong to no individual. As such, tools for protection of common property resources. the ocean has suffered the "Tragedy of the Com- It is this feature that sets the ocean apart from land- mons." 1 Without the vested interests of property based, privately owned propert@. Environmental Pressures Pollution problems did not originate with the 20th Academy of Sciences-Assessing Potential Ocean century, but, the accelerated discovery of new sub- Pollutants-identified transuranic elements and hexa- stances and consumption of energy in this century chlorobenzene as potential problems, but did not have added to both the abundance and kinds of consider substances now being developed.. It is un-@ wastes that must be disposed. With the increasing certain what the nature of newer compounds will be, need to dispose wastes from human activities has but, based on past experience, it seems likely they come the realization will be more complex and will involve organic * that not only the amount, but the nature and be- species not previously used in commercial products. havior (fate and effects) of pollutants are cause The expanding use of nuclear power for the pro- for concern; duction of energy and the use of radioactive materials * that the ocean does not have an infinite capacity in industrial processing pose other problems. The for waste assimilation; and disposal of nuclear wastes, as use of nuclear power * that the problem of pollutants and their deriva expands, is a growing problem. Recent proposals in- tives, which are brought about by technological clude disposal of encapsulated nuclear wastes in the and economic development and demographic sediments of the deep seabed. change, is likely to worsen rather than improve. The absence of alternative methods for land-based Oceanborne transport of petroleum in increasing disposal of wastes from human activities has forced quantities holds greater potential for acute pollution man to turn to the ocean with increasing frequency. from discharges of oily ballast waters and tank wash- With the discovery and expanded use of derivatives ings and from oil spills caused by vessel accidents. of organic compounds, such as halogenated hydro- Added to these are the chronic cumulative effects of carbons and synthetic organic chemicals resistant to smaller operational and accidental discharges to the degradation, modern society has the potential to in- marine environment. In 1960, the United States im- flict more lasting effects'on the marine environment. ported about 1.7 million barrels of oil each day. The The use of toxic materials in industrial processes, amount doubled by 1970, and doubled again by and their presence in consumer products, continues 1976 to 7.3 million, barrels of oil per day. Projec- to expand. Many of industries' newly developed syn- tions for 1985 indicate the United States will receive thetic and organic chemicals, or their byproducts, an average of 12 million barrels of foreign oil per will reach the sea. A 1975 report of the National day. The marine transportation industry is shifting to fewer, but larger, carriers. Recent estimates indi- cate that ship casualties account for about 5 percent __@Garrett Hardin. "The Tragedy of the Commons." Science 162: 1243-1248, 1968. of the oceans' petroleum hydrocarbons. This could VI-1 increase as greater quantities of petroleum are trans- population density and societal affluence, which were ported; however, with fewer (although larger) ships, not accompanied by recognition of pollution as a the probability of an accident decreases and the net priority issue. The increasing production of energy results are uncertain. If there were a supertanker and conversion of materials to consumer goods are casualty, the potential spill could be of major pro- the basic causes of pollution. Thus, the industrially portions and affect both living and nonliving marine developed nations of the world, generally in the resources, as well as the recreational use of coastal Northern Hemisphere, are the prime sources of en- areas. vironmental pollution. In the past, man turned to the All pollutants are not chemical or particulate in oceans for waste disposal because costs of land and nature. Energy conversion is exothermic, and large transportation were rising and it was more economi- amounts of heat energy are transferred to the aquatic cal to dump wastes in the ocean, particularly the environment in the production of electrical energy wastes of coastal cities and industrial centers; be- and in other industrial activities. Coastal regions at- cause dumping in the ocean involved fewer political tract industries that require large quantities of cooling conflicts; and because people believed the ocean had water. If discharged into confined estuaries, the waste an infinite capacity to absorb such wastes. With our heat can be considered a pollutant to the extent that better understanding of the ocean's physical, chemi- it adversely affects the productivity of the marine cal, and biological processes-its interactions with environment. In some instances, thermal enrichment the atmosphere and adjoining lands, and its mechan- can prove beneficial by increasing marine pro- isms of mixing, transport, and exchange-we now ductivity. know that the ocean cannot accept unlimited pollu- The rate of ocean pollution has increased with tants without affecting our well-being (fig. 6-1). Fertilizers Weathering * Dissolved * Particulate Inorganic Organic Stream Sewer Outfalls * Industrial - Dissolved Atmospheric Deposition - Particulate * Municipal * Remote Sources - Dissolved - Natural - Particulate - Pollutant Estuary * Local Sources - Natural Ocean Dumping - Pollutant 0 Excavation el;> OX 0 Dredged Material 106,9r. Ocean 0 Sewage Sludge /C Re turn 0 Industrial Wastes - Solid - Liquid Figure 6-1-Chernical enrichment of the ocean VI-2 The Ocean as a System The processes of biological production and the apparent. Significant damage may have already oc- physical/chemical factors are so intimately coupled curred, and effective future control of the pollutant that perturbations in either the biotic or abiotic sub- might be extremely difficult or cause serious eco- systems can significantly affect the ocean environ- nomic dislocations. On the other hand, acute doses ment and living ocean resources. One of the most of toxic material can interfere with life processes dramatic examples of the linkages among the various sufficiently to cause a catastrophic impact on the sys- components that make up the ocean 'environment tem as a whole. is the sporadic occurrence of the El Nifio phenome- One of the underlying problems of dealing effec- non. When currents of warm water of lower salinity tively with ocean protection is the lack of understand- move from the North Pacific along the west coast ing. of the natural environmental processes against to South America displacing the normally cold, rich, which the effect of civilization must be measured. If upwelled water from the ocean depths, the produc- the ocean is to be managed for "use in perpetuity," tivity of.the ocean system is altered. In 1972, the El more fundamental knowledge must be developed Nifio phenomenon, in combination with overfishing, concerning the natural processes, currents, fluxes, had devastating effects on the anchoveta stock and transport phenomena, exchange rates, assimilation reduced the catch significantly. The economic im- rates, species tolerance, and population behavior and pacts of the failure of this fishery were felt through- dynamics. out the world. Fish meal production, a major source Similarly, the physical and chemical behavior and of chicken and livestock feed, was curtailed, and toxicity of the potential pollutants themselves must meat prices increased significantly. 2, 3 Secondary be evaluated. Finally, monitoring systems are re- impacts were further felt in the soybean market as quired to assess on a time-series basis the condition the demand for feed protein was transferred to the of the marine system and the levels of pollution and agricultural sector. compare them with baseline information .4 Marine organisms can accumulate certain chemi- . Warnings of pending disaster,have been made by cals in amounts far exceeding their concentrations Cousteau, Heyerdahl, Piccard, and many other popu- in seawater. Organisms may assimilate a chemical lar lecturers.,', 6 Local accounts of environmental directly from seawater or by way of the food chain. damage have added to the concern over the health Levels of bioaccumulation of certain chemicals tend of the ocean. In some instances the concerns have to magnify in organisms at the higher trophic levels arisen because of the effect of long-term environ- in the food web. Since we are at the highest trophic mental insults, as in the New York Bight .7,11 In other level, the potential exists for direct adverse impacts cases, local concern is voiced over one-time, some- to human health in addition to the indirect effects times spectacular, pollution events such as the we experience as a result of the continuous altera- breakup of the Amoco Cadiz. tion of the ocean. The limits to our use of the ocean may well be Bioaccumulation, however, differs for each chemi- imposed by our ability to maintain the sea as a cal and each organism and can vary within a species functioning system. The principles of "multiple use" from one habitat to another. The loss of one link in- and "sustained yield," which have become the basic the food chain resulting from pollution toxicity can tenets of natural resource management of terrestrial cause the collapse of an entire stock of fish that de- ecosystems, must also -be adopted as the guiding pends on a lost species as a source of food. principles for management of marine ecosystems. Although environmental r *esearch has been exten- Management of the ocean is predicated on three sive during the past decade, relatively little is known fundamental requirements: (1) adequate knowledge about the marine processes and functions of the of the natural properties; (2) an understanding of the ocean as an integral system. The marine ecosystem, however, is resilient. It can tolerate chronic levels of pollution for extended periods of time before 4 National Academy of Sciences. Assessing Potential Ocean cumulative harm results. Unfortunately, this resili- Pollutants. A report by the Study Panel on Assessing Potenti'al Ocean Pollutants to the Ocean Affairs Board, Commission on ency permits chronic pollution.to continue for ex- Natural Resources, National Research Council. tended periods of time without detection, and it may 'Jacques Cousteau. "The Perils and Potentials of a Watery be decades before the environmental impact becomes Planet," in Oceans: Our Continuing Frontier. H. Menard and J. Scheiber (eds.). San Diego, Calif., Publisher's Inc., 1976. 1 Thor Heyerdahl. "How to Kill an Ocean," in Oceans: Our Continuing Frontier. H. Menard and J. Scheiber (eds.). San P. Hughes, "El Nifio-Science Seeks to Fathom a Strange Cli- Diego, Calif., Publisher's Inc., 1976. matic Problem." NOAA Magazine January 1975. 1 U.S. Department of Commerce, NOAA. Marine Environ- 'J. Kolhonen. "Impact of El Nifio on World Fish Meal mental Protection-1976. Washington, D.C., Government Print- Trade," unpublished manuscript. NOAA National Marine Fish- ing Office, 1977. eries Service, Economic and Marketing Division, Washington, I Pollution Wrecking Inshore Fishery, New York Times, Sep- D.C., 1974. tember 8, 1977. VI-3 behavior, fate, and effects of potential pollutants; and seas, and waters over the continental shelves and (3) a system of control and regulation of the uses slopes. These waters are highly productive and repre- made of the sea and the cumulative adverse impacts sent the areas of greatest biological activity. Primary that may result from such uses. The first two require- production of organic matter in the coastal ocean ments are within the domain of the basic and applied forms the basis for food chains supporting fish, birds, sciences. The third is the purview of the Federal, and marine mammals. State, and local governments within the United States, Within the coastal ocean are isolated areas of and of the international community beyond national exceptionally productive waters-areas of upwell- sovereignty. ing-where a combination of strong offshore winds Although regulation and control of activities that and prevailing boundary currents bring nutrient-rich can harm the ocean environment is a function of deep water to the surface and move the warm coastal public law, regulatory programs depend on science waters seaward. Here, the primary productivity is to detect and measure pollutants and their harmful exceptionally high and leads to large fish stocks. The effects, to determine levels of concentration, and region between the littoral zone-the area just off to establish acceptable levels of release. Important the coastline-and the beginning of the open ocean parameters that must be known about a pollutant to over the continetal slope supports the most produc- implement an effective regulatory system include: 9 tive fisheries. * rates of release into the environment, The coastal ocean is affected directly by rivers, * lifetimes in the environment (or residence times in terrestrial runoff and drainage, and by domestic and contact with biological systems), industrial wastes. The coastal region contains most * concentration factors for various parts of the sys- of the Nation's major metropolitan areas and gener- tem (e.g., surface fills or estuaries) or in organisms ally continues to increase in population and expand (bioaccumulation), and in industrial activity (see Chapter IV). These trends * levels of toxicity. indicate a potential for increased impacts on the Tfieref6re, a balance must be maintained between environment of the coastal ocean. In addition, devel- substantive knowledge and legal processtin order to opment of oil and gas, mining of sand and gravel and achieve optimal'use of the resources, maintain eco- other mineral commodities on the continental shelf, nomic growth, and protect the ocean environment. installation of shoreside and offshore power gener- The world ocean has two major zones: the coastal ating stations, siting of other water-oriented industrial ocean and the open ocean. The latter comprises the activities, an increase in tanker traffic, and the expan- bulk of oceanic space found beyond the continental sion of oceanborne trade overall will continue to slopes. With few exceptions, such as some productive affect the environment in the coastal rqgion unless equatorial waters and recently discovered areas of carefully controlled. high productivity near the Galapagos Islands, the The marine environment of the coastal ocean is of open-ocean areas are characterized by much lower particular concern because: (I) it receives the great- productivity. Based on present knowledge, there is est infusion of pollutants from the coastal and inland little expectation that major developments and exten- regions, (2) it is economically the most important sive use will be made of the vast portion of the open oceanic region for the United States, and (3) to a ocean. Deep-seabed mining, for instance, would oc- large extent, the Federal Government and the States cupy but a small proportion of open-ocean @pace exert control over the activities and uses of the ter- when fully developed. ritorial seas. While pollution transport across inter- The coastal ocean, on the other hand, constitutes national borders with Canada and Mexico and from only 10 percent of the total oceanic area and includes more distant countries may occur, it is largely domes- estuaries, lagoons, inshore waters, many marginal tic activities that affect the coastal waters. The Oceans and Climate Within the world community, as well as within the biological environment and the economy.10,111 Con- United States, there is a growing awareness that our cerns regarding climate do not center around the economic and social well-being are profoundly in- extremely long-term shifts such as the coming of an fluenced by climatic variations. To some degree, "ice age," but rather focus on persistent changes in energy requirements, food production, freshwater supplies, transportation, and health are all climate- National Academy of Sciences-National Research Council, U.S. Committee for the Global Atmospheric Research Program. sensitive, and major climate changes would affect the Understanding Climate Change-A Program for Action, Wash- ington D.C., 1975, p. 1. " Federal Coordinating Council for Science, Engineering, and Technology, Committee on Atmosphere and Oceans. A United States Climate Program Plan. Washington, D.C., Government 'National Academy of Sciences, op. cit. note 4, p. 4. Printing Office, 1977. V1-4 present-day temperatures and rainfall patterns and variations; poleward air movement and release of the resulting impacts on food production, heat; wind stress and surface roughness; and circu- The oceans exert a powerful influence on the lating patterns. How pollution affects these factors Earth's climate, the productivity of the seas, and the that determine the climatic patterns is little under- changes that occur there, both naturally and as a stood. result of our activities. Oceanic waters are vital to There has been concern recently about the pos- the Earth's climate systems. They absorb, store, and sible effects of the increasing level of atmospheric redistribute most of the solar radiation absorbed by carbon dioxide and the corresponding capacity of the the Earth's surface. This heat capacity regulates ocean to absorb greater amounts in its role as a cyclical global climate shifts over time. carbon dioxide sink. Although we now understand With the significant and sometimes catastrophic the fundamentals of heat islands, albedo, and green- effect of -climate on human living conditions, the house effects, we have barely touched the surface of need for anticipating or predicting climatic changes understanding the climatic effects of our own activ- becomes more critical. This capability requires a ities. better understanding of the natural interactions Today, atmospheric and climatic information is among the oceans, atmosphere, and climate and of obtained from only 22 percent of the Earth's sur- the effects on climate of both oceanic and atmos- face and only 2 percent of this is gathered over the pheric pollution. 71 percent of the Earth's surface covered by the Development of a predictive capability requires ocean.12 No single nation has the resources or capa- time-series data on heat storage and stability of the bility to collect all the necessary information. The oceans; exchange between . the atmosphere and problem belongs to all nations and therefore the oceans; oceanic heating patterns and temporary and solution will hinge on organizing cooperative efforts long-term anomalies, mixing depth, rate and space at both national and international levels. Ocean Pollution Research and Monitoring At least 8 departments, 9 independent agencies, executed monitoring programs can provide. a basis and 37 agencies or subagencies administer Federal for managing those materials that are capable of ad- ocean research programs. These activities are carried versely affecting.the marine environment. Monitor- on without coordinated national objectives. Each ing is necessary for an effective regulatory program.'s agency pursues its own objectives and interests "Baseline studies" are a special form of monitoring based upon individual legislative mandates. There is that is conducted prior to an anticipated project to some coordination and knowledge among agencies provide information on the natural, "unperturbed" regarding other agency programs; however, in large environment. Baseline information provides a means part this depends on the individuals managing the to measure and compare the resulting impacts various programs. Indeed, in some instances, even through a continuous monitoring program. within a single agency one office is often unaware, Monitoring by the Federal agencies is generally in ameaningful sense, of another's efforts. Informa- done on a specific site for a specific purpose, yet tion gaps, duplicative efforts, and low-level account- time-series data on processes and pathways can be ability seem to characterize the Federal effort in used as an indicator of potential problems that may ocean pollution research and monitoring. appear in other sites. A national air and water moni- Environmental "research" is distinguished from toring system has been established as a result of the environmental "monitoring." The gray area between the two, however, is broad indeed. The objective of air and water pollution control legislation that has monitoring is to trace, gage, measure, or observe developed since the 1960s. A comparable system phenomena over time. The detail and kind of in- does not yet exist in the case of the marine environ- formation sought determines the monitoring tech- ment. Large-scale monitoring is extremely costly, niques and design to be used, e.g., remote sensing and there are practical limitations on the extent to to track oils spills or sophisticated bioassays to which the ocean can be effectively monitored. There- trace a heavy metal through the food web. Research, fore, it is imperative that the Federal agencies with on the other hand, is based on experimentation and monitoring programs coordinate their activities and investigation and is generally intended to gain knowl- share facilities and information. edge about a process, form, fate, or effect of an agent The international community is slowly recognizing in the environment. the need for a global program of monitoring selected Information from carefully designed and well- E. D. Goldberg. The Health of the Oceans, New York: Ibid. UNESCO Press, 1976, p. 172. VI-5 pollutants in the open ocean.", 15 Further concern is toring program will depend upon coordinated na- being shown for the chronic and slowly rising levels tional efforts, standardization of procedures, and free of contaminants in the open ocean and the potential 'information and data exchange. This goal has not irreversible damage to the marine environment if the yet been achieved in the U.S. environmental pro- worldwide trend continues. An effective global moni- gram. International Activities During the past two decades, the level of attention Food and Agriculture Organization directed toward problems of international marine (FAO), pollution has risen sharply. In June 1969, eight Inter-Governmental Maritime Consultative North Sea countries signed the Bonn Agreement of Organization (IMCO) and its Marine 1969, which required member states to promptly Environmental Protection Committee inform other member states when they became (MEPC), "aware of a casualty or the presence of oil slicks Intergovernmental Oceanographic Com- in the North Sea area likely to pose a serious threat mission (IOC), to the coast or related interests of any other Con- International Atomic Energy Agency tracting Party." In June 1970, Canada enacted the (IAEA), Arctic Waters Pollution Prevention Act, which estab- International Bank for Reconstruction and blished controls over the depositing of wastes into Development, the zone of arctic waters that extend 100 nautical International Labor Organization (ILO), miles north of Canada's shore. The Canadians have Organization for Economic Cooperation not claimed sovereignty over this area, but only the and Development (OECD), right to regulate pollution.'." In October 1971, 11 UN Development Program (UNDP), governments established a regional convention for UN Educational, Scientific and Cultural the Prevention of Marine Pollutiori by Dumping Organization (UNESCO), from Ships and Aircraft, known as the Oslo Conven- UN Environmental Program (UNEP), tion of 1971. It pledges the contracting states "to UN General Assembly and the Economic take all possible steps to prevent pollution of the and Social Council, sea by substances that are liable to create hazards to UN Institute for Training and Research human health, to harm living resources and marine (UNITAR), life, to damage amenities or to interfere with other UN Joint Group of Experts on the Sci- legitimate uses of the sea." 17 entific Aspects of Marine Pollution In May 1972, the United States and USSR signed (GESAMP), a bilateral agreement that established a Soviet- UN Scientific Committee on the Effects of American Joint Committee on Cooperation in the Atomic Radiation, Field of Environmental Protection."' In a related World Health Organization (WHO), and move, the United States and USSR joined 30 other World Meteorological Organization nations in a worldwide program related to studies of (WMO) ocean pollution that have been conducted during the Five regional and international agreements have 1970s under the auspices of the International Decade been concluded that relate to marine pollution by of Ocean Exploration (IDOE).111 radioactive materials. Two now in force prohibit the The following organizations within the United dumping of high-level radioactive waste at sea and Nations system have responsibilities related to vari- establish guidelines for the disposal of other types of ous aspects of marine pollution: radioactive material. They name the International Engineering Committee on Oceanic Re- Atomic Energy Agency (IAEA) as the agency re- sources (ECOR), sponsible for defining high-level waste and develop- ing recommendations for the at-sea disposal of other U.S. Department of Commerce, National Bureau of Stand radioactive material. The IAEA's recommendations ards. Marine Pollution Monitoring (Petroleum). Proceedings of Symposium Sponsored by IOC-UNESCO, WMO, and the De- are followed by the OECD's Nuclear Energy Agency, partment of Commerce, NBS Publ. 409. Washington, D.C., which supervises the only active at-sea disposal pro- Government Printing Office, 1974. 11 Joint Group of Experts on the Scientific Aspects of Marine gram for radioactive wastes. Pollution (GESAMP). Reports and Studies No. 1. Report of the The International Convention for the Prevention Seventh Session. London, 1975. of Pollution of the Sea by Oil, 1954, as amended, "U.S. Congress, Senate, Committee on Commerce. Eflects of Activities on the Marine Environment. 94th Cong. 2d sess. is the only convention now in force that is directly Washington, D.C., Government Printing Office, 1975, p. 31. related to the prevention of marine pollution from Ibid., p. 32. shipping. Amendments to the Convention, adopted Ibid., p. 33. Ibid., p. 35. in 1969, entered into force on January 20, 1978. VI-6 They establish certain conditions for the discharge Convention will require that ships be designed and of oil and oily mixtures. They also require that pro- equipped for pollution-free operations and that ade- vision be made in ports for reception facilities for quate reception facilities be provided in ports for residues and oily wastes from ships and that an oil ship-generated wastes. The flag state is required to record book be kept during any transfer of oil or prosecute all violations of its vessels wherever they oil-mixture. Competent authorities of a contracting occur. In addition, the port state is authorized to state are authorized to board a vessel for the purpose perform inspections of any vessel entering its port of inspecting the oil record book, but under the to ascertain that the condition of the ship corre- convention, enforcement remains with the flag state. sponds with the particulars of the international oil The. Torrey Canyon disaster prompted two 1969 pollution prevention certificate. Brussels conventions dealing entirely with oil pollu- Perhaps the most dramatic example. of interna- tion from ships. First, the International Convention tional cooperation on behalf of marine environmental Relating to Intervention on the High Seas in Cases protection is the successful conclusion of the Inter-' of Oil Pollution Casualties (known as the Interven- national Conference on Tanker Safety and Pollution tion Convention of 1969) was entered into force Prevention (1978 TSPP) held in London in Febru- May 6, 1975. This convention allows signatory states ary 1978. Precipitated by the Presidential Initiative to resort to self-help in emergencies to protect their of March 17, 1977, the international community, own interests from oil pollution damage. This is the under the aegis of IMCO, has agreed to an Inter- first international convention to apply the principle national Plenipotentiary Conference for the purpose of self-help on the high seas for the purpose of pro- of developing acceptable international standards in tecting the marine environment. The second Brussels response to the U.S. initiatives. This conference suc- convention dealt with civil liability. The International cessfully adopted a composite package of vessel Convention on Civil Liability for Ocean Pollution design and equipment requirements in the form of Damage (known as the Liability Convention of 1969, Protocols to the 1973 Marine Pollution Convention entered into force on June 19, 1975) establishes and to the 1974 Safety of Life at Sea Convention. rules and procedures for determining liability and Their -positions and the results of the Conference providing compensation for damage caused by oil will have worldwide impact. pollution from ships. This convention is primarily In addition to the international conventions and remedial rather than preventive, applying only to oil agreements that are now in force, the Third United pollution after it causes damage to a limited area Nations Conference on the Law of the Sea (UN- of the ocean.20 CLOS), which has been underway since 1973, is The Convention on Marine Pollution by Dumping seeking to arrive at a consensus on treaty provisions of Wastes and Other Matters of 1972 (entered into to protect the marine environment. The Informal force on August 30, 1975) has responsibility for ad- Composite Negotiating 'Text of 1977 contains the ministration centered in the Inter-Governmental Mari- following provisions : 2 2 time Consultative Organization. The convention is 9 establishes the unqualified general rule that "States aimed at achieving uniformity in regulations con- have the obligation to protect and preserve the trolling the disposal of waste at sea among the sig- marine environment;" natory nations. The regulation of ocean dumping e declares a positive legal duty not to cause damage within the terms of the convention applies to about by pollution to other states and their environment; 10 percent of the pollutants entering the ocean. As * establishes a new duty to give notice of imminent small as this fraction is, it is a positive step toward danger by pollution to other states and or i , gam- the goal of protecting the global marine resource." zations and requires that states maintain surveil- The International Convention for the Prevention lance over activities they engage in or permit; of Pollution from Ships of 1973 was adopted in 9 creates a duty to monitor the marine environment November 1973, and reduced further the maximum generally for pollution, and establishes an environ- permissible quantity of oil that may be discharged mental assessment procedure patterned after the by new oil tankers. The 1973 Convention (1973 environmental impact statement procedures of the MARPOV) will supercede the 1954 International United States; Convention for the Prevention of Pollution of the e recognizes land-based sources of pollution as be- Sea by Oil, as amended, 1 year after ratification by ing significant sources of marine pollution and 15 countries representing half of the world's mer- adds them to the international agenda; chant shipping. It contains provisions aimed at elim- 9 establishes an "International Seabed Authority" inating the intentional pollution of the marine to administer seabed mining under the treaty and environment by harmful substances and minimizing the accidental discharge of such substances. This U.S. Department of State, Office of Law of the Sea Negotia- tions. Third United Nations Conference on the Law of the Sea, 21 Ibid., P. 39. Informal Composite Negotiating Text. Washington, D.C., July 21 Ibid., p. 41. 1977, Part XII. VI-7 to develop environmental standards to govern the Environmental Program (UNEP), which was estab- operations, and would thus avoid the possibility of lished to initiate and coordinate environmental "flags of convenience"; projects undertaken by the UN agencies, drawing * establishes, in effect, a new legal rule that tech- where necessary on the "Environment Fund" (which nical international rules and standards on protect- is supported by voluntary contributions from gov- ing the marine environment will become binding ernments) to help finance international environ- on all states once they are generally accepted; mental activities.23A major component of the UNEP * establishes the principle that port states may program focuses on the marine environment, and it prosecute foreign flag ships for discharges in vio- has initiated a number of regional conventions to lation of applicable international standards, re- protect heavily polluted marine seas. The most ad- gardless of where the discharge occurred; vanced of these is the Convention for the Protection * expands the coastal state powers to enforce anti- of the Mediterranean Sea Against Pollution, which was brought into force in February 1978, 2 years pollution laws within the 200-mile zone consistent after it was signed at Barcelona, Spain. with International Conventions; and The solution to worldwide ocean pollution prob- * provides legal protection of arrested vessels by lems must come from cooperative action among the requiring prompt release of vessels, reasonable maritime and coastal nations. Uniformly stringent bond, avoidance of danger to the vessel, nondis- global standards are a goal of the future. Imple- crimination, a "statute of limitations on prosecu- mentation of the standards, however, will remain the tions," avoidance of multiple prosecutions for the responsibility of the sovereign states. It is unlikely same offense in different jurisdictions, "recognized that enforcement authority will be delegated to an rights of the accused," monetary penalties only, international organization in the foreseeable future. notice to the flag state and "any other state con- Some states that feel while uniformity among nations cerned" of measures being taken, and liability is a desirable goal, international agreements on pollu- of the state for enforcement measures which "were tion control and environmental standards tend to unlawful or exceeded those reasonably required seek the level of the lowest common denominator. in the light of available information." , The conventions administered through the Inter- In an attempt to address the significant global en- Governmental Maritime Consultative Organization vironmental problems the United Nations held a are cases in point. The effectiveness of the pollution Conference on the Human Environment in June convention, for example, has been criticized because 1972 in Stockholm. A product of the Stockholm the standards of the international agreement are less Conference was the "Declaration on the Human En- stringent than the U.S. standards .24 More recently, vironment," which included recommendations, some IMCO has formed a Marine Environment Protection of which address specifically the problems of marine Committee, which has improved its effectiveness. pollution. These included: (1) that governments Although international agreements are, by necessity, "accept and implement controls on marine pollu- compromise or consensus settlements, they are often tion"; (2) that governments support marine research, one of the most effective means of protecting the particularly the Global Investigation of Pollution in world's environment. Recent examples of effective the Marine Environment (GIMPE) and the Inte- international agreements regarding marine environ- grated Global Ocean Station System (IGOSS); (3) mental protection are the 1973 International Con- that the United Nations-sponsored Joint Group of vention for the Prevention of Pollution from Ships Experts on the Scientific Aspects of Marine Pollu- (1973 MARPOL), the 1974 International Conven- tion "evaluate the toxicity of potential marine pollu- tion for the Safety of Life at Sea (1974 ' SOLAS), tants and their sources and pathways in the marine and the Protocols to both of these Conventions environment"; and (4) that the governments support resulting from the 1973 International Conference on the 1973 Law of the Sea and the IMCO Marine Pol- Tanker Safety and Pollution Prevention. These lution Conferences. Among the achievements of the agreements were developed under the auspices of Stockholm conference was the creation of the UN IMCO. Governmental Efforts to Control or Mitigate Marine Pollution The United States was among the first nations to the Congress enacted the first pollution statute, the recognize the potential danger of marine pollution. Act of June 29, 1888, for the purpose of barring Congress acted early using the commerce clause of the Constitution to regulate and protect the public Ibid., p. 40. waters. Recognizing that the growth in urban areas 21Richard Frank. "Environmental Consequences of Deep-Sea during the 1870s and 1880s produced noticeable Mining," in Law of the Sea: Conference Outcomes and Problems Of Implementation, Edward Miles and John K. Gamble, Jr. pollution in the harbors of many northeastern cities, (eds.),. Cambridge, Mass., Bollinger Publishing Co., 1977, 452 p. VI-8 discharges in New York City's harbors .2r, An ex- theory of "navigational servitude," which requires tended version of the Act of 1888, the River and that waters be kept free of debris that would impede Harbor Act of 1899 (33 U.S.C. 401 et seq. (1964)), navigation. Prevention of visible pollution and im- popularly called the Refuse Act, outlawed the dump- pediments to navigation were the primary concerns ing of refuse material into any navigable water or of Federal law until the late 1940s when the first its tributary. This Refuse Act served as one of the primary water quality statutes protecting coastal actual water quality statute aimed at treatment was waters from 1899 until 1972. It was based on the enacted. Federal Marine Pollution Control Statutes Oil Pollution Act of 1924 (Public Law 68-238)- Reorganization Plan No. 2 of 1966 transferred the 33 U.S.C. 431 et seq. (Supp. 1970). This Act pro- FWPCA to the Secretary of the Interior. The Plan hibited oil disposal in navigable waters except in provided for an Assistant Secretary of the Interior emergencies or unavoidable accidents, or by regula- to assist the Secretary in carrying out the trans- tion. Authority was vested in the Secretary of the ferred functions. Army. (Act replaced by Sec. 11 Water Quality Im- The 1966 amendments (The Clean Water Resto- provement Act of 1970); ration Act of- 1966), (33 U.S.C. 431-437, 466a, Water Pollution Control Act of 1948 (Public Law 466-1, to 466e, 466q, 466j, 4661-466n) extended 80-845)-33 U.S.C. 1151 et seq. This Act was a the definition of coverage of the Act to include 5-year authorization and was the precursor of the specifically rivers, coastal waters, sounds, estu- present body of laws pertaining to water pollution. It aries, bays, and harbors. Massive Federal support established a technical assistance program to States was authorized for grants for the construction of for the development of water quality control facil- sewage treatment facilities. The 1966 amendments ities; also authorized a 3-year study of the pollution of Federal Water Pollution Control Act of 1956, as the Nation,s estuary system. amended in 1961, 1965, 1966, 1970, 1972, and 0 Title I of Public Law 91-224 (33 U.S.C. 1151, 1977 (Public Law 84-660)-33 U.S.C. 1151 et seq. 1152, 1155-1156, 1168, 1160-1175), the Water This Act serves as the basis for our national water Quality Improvement Act of 1970, further cleanup initiative. It- provides State and interstate amended the FWPCA Act. It repealed the Oil water pollution control agencies with construction Pollution Act of 1924 and renamed the FWPCA and other grants, enforcement procedures, and inter- The Federal Water Quality Administration. It state waters and research programs. It authorizes a provided for better control of oil pollution, con- 5-year grant program to municipalities for construc- trol of sludge from vessels, identification of haz- tion of sewage treatment plant facilities.26 ardous substances, grants for acid mine drainage * The 1961 amendments increased funding levels; control demonstration projects, training funds, and authorized seven field laboratory and research additional funding for national estuary studies. facilities; directed studies, research, and develop- 9 Reorganization Plan No. 3 of 1970 combined merit on the,quality of the Great Lakes; and ex- several a encies dealing with water pollution con- tended Federal enforcement authority to navigable 9 waters. trol within the Environmental Protection Agency * The 1965 amendment (The Water Quality Act of in the Water Quality Office. Today water pro- 1965 (Public Law 99-234), (33 U.S.C. 1151 et grams are combined with hazardous material con- seq.)) provided for Federal administrative reor- trols to form the Office of Water and Hazardous ganization and further grants for research, devel- Materials. opment, and construction of sewage treatment During the 92d Congress, awareness of the prob- works. It created the Federal Water Pollution lems of water quality continued to heighten, liti- Control Administration (FWPCA) in the Depart- gation increased, and the permit program insti- ment of Health, Education, and Welfare. It insti- tuted under- the Refuse Act of 1899. essentially tuted the program of mandatory water quality for broke down. Finally, the 92d Congress enacted interstate waters. the Federal Water Pollution Control Act Amend- ments of 1972 (FWPCA), which completely re- vised water pollution legislation. It based water "U.S. Congress, Senate, Committee on Commerce, Science pollution control primarily on effluent limitations and Transportation and the National Ocean Policy Study. Con, instead of on water quality standards. It empha- gress and the Oceans: Marine Agairs in the 94th Congress. 95th sized comprehensive planning and addressed for Cong., Ist sess. Washington, D.C., Government Printing Office, 1977. the first time nonpoint source pollution. The ulti- 33 U.S.C. 1251(a), (P.L. 92-500, Sec. 101). mate goal ^as stated in the Act was "to restore and VI-9 maintain the chemical, physical, and biological litigated environmental statute enacted thus far.31 integrity of the Nation's waters." With its requirements for environmental impact Implementation of the Federal Water Pollution statements for major Federal actions significantly Control Act has been plagued with numerous affecting the environment, the clear intent of NEPA problems for Federal, State, and local administrators, is to force the involved agency to assess impacts of the courts, and the Congress .27,211 Among the prob- its actions before committing itself to them. Through lems encountered were restrictions on funds avail- the EIS process, NEPA also allows for other agency able (50 percent of the originally authorized monies and general public input to decision making, because were impounded during the fiscal years 1973, 1974, the EIS is one of the documents used by the decision and 1975), difficulties over the allocation of funds to maker. the States, problems of individual States and munici- The Marine Protection, Research, and Sanctuaries pal authorities in establishing charges for waste treat- Act of 1972 (Public Law 92-532)-33 U.S.C. 1401 ment, and debates that arose with relation to the et seq. This statute is popularly known as the Ocean application of FWPCA where States were discharg- Dumping Act. Title I provides for EPA regulation of ing partially treated sewage directly into ocean dumping activities, Title 11 for initiating a compre- waters. The rationale for coastal cities to use ocean hensive research program by the Secretary of Com- outfalls was that the bases for treatment and prac- merce in coordination with the Administrator of the tices were developed relative to the -protection of Environmental Protection Agency and the Secretary inland waste waters and that ocean waters had dif- of the department in which the Coast Guard is op- ferent absorption characteristics .29 erating, and Title III for designation of marine sanc- The Clean Water Act of 1977. This Act amended tuaries by the Secretary of Commerce. (For a de- FWPCA of 1972. It extended the deadlines for tailed discussion see section on Ocean Dumping achieving best practical and best available treat- which follows.) ment technology. The deadline for control of dis- The Coastal Zone Management Act-16 U.S.C. charges of toxic substances into waterways was ex- 1451-1464. This Act is aimed at ensuring effective tended to 1984. It provided for increased funding management, beneficial use, protection, and develop- of construction grants for sewage treatment plants. ment of the coastal zone. It gives authority to the The Act amended Section 404 permitting procedures Secretary of Commerce to provide planning and ad- and exempted Federally funded and constructed ministrative grants to encourage State and local gov- projects in navigable waters. The pollution control ernments to establish coastal management programs. zone of contiguous waters was extended to 200 miles (For a detailed discussion see Chapter IV.) under prescribed circumstances. Ports and Waterways Safety Act of 1972 (Public Oil Pollution Act of 1961-33 U.S.C. 1001- Law 92-340)-33 U.S.C. 1221-1227. The Act, in 1015. This act provided for regulation of vessel dis- order to prevent the damage or destruction of vessels charge of oil or oily mixtures. It also established or structures on or in the navigable waters of the construction standards for tankers and provided en- United States or area immediately adjacent to those forcement authority and penalties for violations. waters, and to protect these waters and resources Authority was vested with the Secretary of Trans- therein from environmental harm resulting from portation. vessel or structure damage, destruction, or loss, authorized the USCG to establish vessel traffic Estuarine Areas Act-16 U.S.C. 1221-26. This services applicable to all vessels, in order to prevent Act was intended to provide a means for considering damage or destruction of vessels or structures on or the need to protect, conserve, and restore estuaries in navigable waters. The emphasis is placed on ports, while maintaining a balance between protection and harbors, or other waters that are subject to con- development. It directed the Secretary of the Interior gested vessel traffic or are determined to be espe- to make an estuarine study and inventory. cially hazardous. Regarding vessels carrying certain National Environmental Policy Act (NEPA)- 42 cargoes in bulk, Title 11 authorizes regulations con- U.S.C. 4321-4347. NEPA is a general purpose en- cerning vessel design, construction, and equipment vironmental statute which requires that environ- for prevention and mitigation of damage to the mental impacts be assessed and considered for all marine environment. Federal activities that "significantly affect the quality Intervention on the High Seas Act (Public Law of the human environment." It is probably the most 93-248)-33 U.S.C. 1371-87,(Supp. IV 1974). This Act authorizes the Coast Guard(on the high seas) to prevent, mitigate, or eliminate harmful effects of an U.S. Congress, op. cit. note 25. 'U.S. Comptroller General. Implementing the National Water Pollution Control Permit Program: Progress and Problems. "Environmental Law Institute. The Evolution of National Washington, D.C., General Accounting Office, 1976, 187 pp. Wildlife Law. Prepared for the Council on Environmental Qual- 21 Ibid., p. 6. ity. Washington, D.C., 1977, 485 pp. VI-10 oil spill when it poses a threat to the coastline or ute also provides for an unusual but clearcut way related interests of the United States. of coordinating State and Federal viewpoints: no The Deepwater Port Act of 1974 (Public Law 93- Federal license shall be issued without the ap- 627)-33 U.S.C. 1501-1524. One purpose of the proval of the governor of each adjacent coastal Deepwater Port Act of 1974 is to "authorize and State. regulate the location, ownership, construction, and 9 Performance standards. The law sets forth the operation of deepwater ports in waters beyond the conditions that must be met before the Secretary territorial limits of the United States." In many ways of Transportation may issue a license (it must be it is a model of the "newer" approach to the siting- in the national interest, meet environmental cri- particularly the licensing component--of energy fa- teria, meet antitrust requirements, etc.) and also cilities. Some key features are: directs the Secretary to prepare environmental Coordination. The law designates the Department review criteria to be used in evaluating applica- of Transportation as the "lead agency". for licens- ing deepwater ports outside of the 3-mile zone. In tions. addition, it clearly lists the jurisdictions and re- 9 Public participation. The Act explicitly provides sponsibilities of the various Federal agencies for public access to information about the applica- involved and establishes specific procedures and tions, for public hearings, and for judicial review deadlines for coordinating their actions. The stat- and citizen civil action. Ocean Dumping During the 1950s and 1960s, ocean dumping trial wastes. It recommended that dumping of pol- reached proportions that caused considerable pub- luted dredge material be phased out as adequate lic concern. At that time, what limited regulation alternatives were developed. The report reempha- existed was carried out under the authority of the sized the Corps of Engineers' policy of dredging New York Harbor Act of 1888, which gave the heavily; olluted areas only when necessary and after 'p " Secretary of the Army power to prohibit disposal of weighing navigational benefits against potential envi- waste except for that flowing from streets and sewers ronmental d@mages. CEQ recommended that: (1) into the harbors of New York, Hampton Roads, and dumping of undigested sewage sludge be stopped, Baltimore. Also in effect was the Refuse Act of @ 1899, (2) dumping of digested and other stabilized sludge which prohibited dumping in navigable waters where be phased out, (3) no new sources be allowed, and it would impede navigation. The increasing use of (4) any necessary continued dumping in cases where the ocean for waste disposal during the past two substantial facilities and/or significant commitments decades is related to increasing coastal land values, existed be considered an interim measure until suit- growing population, industrial growth, and the trend able alternatives were developed and implemented. toward secondary and tertiary sewage treatment that With regard to industrial wastes, CEQ recommended result in large quantities of sludge and toxic residues. that dumping be stopped as soon as possible and The ocean was mistakingly viewed as a panacea- that dumping of toxic wastes be stopped immediately a "safe" disposal site totally capable of diluting and unless there are no alternatives less harmful to man absorbing harmful materials. and the environment. In 1970, the problem of indiscriminate waste dis- CEQ and the increasing public awareness of the posal in the marine environment was formally recog- potential undesirable effects of waste disposal in the nized as a growing problem. In that year the Council marine environment were largely responsible for on Environmental Quality (CEQ) reported to the the enactment of the Marine Protection, Research, President on environmental problems associated with and Sanctuaries Act of 1972 @(MPRSA). ocean dumping.31 Marine Protection, Research, and Sanctuaries Act of The report recommended a comprehensive policy 1972 on ocean disposal that would regulate dumping and prohibit disposal of certain materials harmful to the The MPRSA, Public Law 92-532 (33 U.S.C. 1401- marine ecosystem. The report included an inventory 44, as amended, 16 U.S.C. 1431-34), contains three of dumpsites, types of environmental effects, govern- major titles. Title 1 sets out the primary regulatory mental jurisdictions, and related international as- framework for ocean dumping. It authorizes EPA pects. CEQ specific 'ally addressed the disposal of to issue permits for ocean disposal of nondredged polluted dredged materials, sewage sludge, and indus- waste materials and the Corps of Engineers to issue permits for disposal of dredged material, and it pro- U. S. Council on Environmental Quality. Ocean Dumping: vides for penalties for violations of permit conditions. A National Policy. Washington, D.C., Government Printing The U.S. Coast Guard is directed to enforce * the Office, 1970, 45 pp. provisions of MPRSA. Under this title, all ocean VI-I I dumping is prohibited except when authorized by per- Guard's primary activities under MPRSA are di- mit, and disposal of certain types of wastes flatly rected at surveillance of toxic materials and spot prohibited (radiological, chemical, and biological checks of nontoxic dumps. Lowest priority exists for warf are agents, and high-level radioactive wastes). dumping associated with Federal dredging projects Permits for other substances are granted if it can be (not requiring permits), which represent more than determined that "such dumping will not unreason- 85 to 90 percent of all U.S. ocean dumping.33 Sur- ably degrade or endanger human health, welfare or veillance achievements have improved significantly amenities, or the marine environment, ecological sys- for each of the last 3 years.34 tems or economic potentialities." The question of Title 11 of the MPRSA deals with Comprehensive what constitutes unreasonable degradation is left to Research on Ocean Dumping and is largely in re- the judgment of EPA and the Corps. 32 sponse to the critical data gaps identified by the Section 102 authorizes EPA to issue several classes 1970 CEQ report. Section 201 requires the Secretary of permits, including general, special, emergency, in- of Commerce, in coordination with the Secretary of terim, research, and incineration at sea: general- the department under which the Coast Guard is oper- small quantities having minimal adverse environ- ating and the Administrator of EPA, to undertake a mental effects; special-dumping materials which research and monitoring program dealing with effects satisfy the criteria for a duration of 3 years; emer- of ocean dumping. An annual report to the Congress gency-materials posing an unacceptable risk to must include an evaluation of short-term ecological human health and for which there' is no disposal and socioeconomic effects. alternative; interim-may be issued up until April 23, Section 202 requires the Secretary of Commerce, 1978, for materials not in compliance with the cri- in consultation with other Federal agencies, to initi- teria and only from facilities with a history of ocean ate a research program dealing with long-term effects dumping; research-dumping when scientific merit of pollution, overfishing, and other man-induced outweighs potential environmental hazards; sea in- changes in ocean ecosystems, and also requires an cineration-such things as organic chloride wastes, annual report to the Congress. Section 203 calls for wooden materials, derelict vessels. research on ending or minimizing all ocean dumping The Corps permits issued under Section 103 for by 1978, and also is the responsibility of the Secre- dredged material disposal are subject to EPA criteria tary of Commerce. Title III authorizes the Secretary as well as an independent evaluation by the Corps. of Commerce, after consultation with the Secretaries EPA and the Corps have jointly developed an imple- of State, Defense, Interior, and Transportation and mentation manual for ecological evaluation of pro- the Administrator of EPA, to designate areas of the posed disposal of dredged material into ocean waters. Continental Shelf and the Great Lakes as marine The International Convention on the Prevention of sanctuaries in order to preserve or restore such areas Marine Pollution by Dumping of Wastes and Other for their recreational, conservation, ecological, or es- Matter, which was adopted in November 1972, is thetic values. closely alined philosophically with the intent of MPRSA. The Convention, fully effective in August Status of Ocean Dumping 1975, aims to regulate dumping from vessels, aircraft, Dredged Material and manmade structures. It prohibits dumping of cer- Dredge material by weight is the most significant tain persistent toxic materials, as well as high-level material being disposed of in the oceans. The amount radioactive wastes and biological and chemical war- dumped annually constitutes over 90 percent of total fare agents. Ocean dumping regulations issued by waste disposed of in the marine environment. The EPA are consistent with the Convention. amount of spoil requiring ocean dumping (about 30 Under Title 1, Section 107(c) of MPRSA, the Sec- to 40 percent) has increased over the years. It has retary of the Department under which the U.S. Coast been estimated that over the past years polluted Guard (USCG) is operating shall provide ocean dredged wastes constitute at least one-third of the dumping surveillance and appropriate enforcement total waste dumped. 35,36,37 activity to prevent unlawful transportation of mate- rial for dumping or unlawful dumping. Such enforce- "U.S. Congress, op. cit. note 32. ' Department of Transportation Report to Congress on Ocean merit includes safe transportation, handling, storage, Dumping Activities for 1976. stowage, and carriage. Section 108 authorizes the ' U.S. Department of Commerce, NOAA. Report to the Con- Secretary of the Army, the Administrator of EPA, gress on Ocean Pollution, Overfishing, and Offshore Development -July 1975 through September 1976, Washington, D.C., Govern- and the Secretary of the department under which the ment Printing Office, November 1977. USCG is operating to issue regulations for carrying 11 United Nations, Joint Group of Experts on the Scientific Aspects of Marine Pollution (GESAMP). Scientific Criteria for out their responsibilities under the Act. The Coast the Selection of Sites for Dumping of Wastes Into the Sea, Re- ports and Studies No. 3, 1975, p. 21. "U.S. Congress, Senate, Committee on Commerce. Ocean 11 National Academy of Sciences-National Research Council. Dumping Regulation: An Appraisal of Implementation. Wash- Disposal in the Marine Environment: An Oceanographic Assess- ington, D.C., Government Printing Office, 1976, p. 89. ment. Washington, D.C., 1976, p. 76. VI-12 In calendar year 1976, there were 32 active Sec- sued after a buildup of sewage sludge in tanks was tion 103 disposal permits and the Corps of Engineers declared a public health hazard. This permit expired undertook 72 authorized projects." The Corps' at the end of 1977 .43 dredging activities are exempted by MPRSA, al- Waters of the New York Bight region, already though it is required by regulation to apply the same under heavy daily pressure from municipal and in- criteria to its projects as required for the Section dustrial wastes as well as massive ocean dumping 102 permit applications. operations, have significantly declined in quality over In 1975, 95 permits were issued, of which 42 were the years. In addition to permitted sludge, New York holdovers from 1974. There were no denials of per- City discharges some 500 million gallons of raw mits by the Corps during fiscal years 1974 and sewage every day through Gateway Park, and about 1975.39 In calendar year 1976, 65.5 million cubic 35 percent of sewage solids for the year are flushed yards (93.8 million tons) of dredge material were out during rain and do not receive treatment.44 dumped in marine waters. While this represents a Industrial Wastes .decline over previous years, it probably does not in- dicate a long-term decreasing trend in the amount of Nine ocean sites are designated for industrial annual dredged material being deposited in the waste disposal. These sites receive industrial chem- oceans. In the last 4 years, the amount appears to icals, which include such things as hydrochloric acid remain fairly constant. The Gulf of Mexico (49 per- byproducts; inert ore slurry from-titanium dioxide cent of 1976 material) is the most active region over- pigments; residues from galvanizing and plating op- all; the Atlantic Region (33 percent) is the second erations; liquid wastes from textile manufacturing, most active. The New York Bight was the most etching and photographic processes; water solutions active site nationwide. Over 90 percent of 1976 of inorganic salts; and other byproducts from various material was dumped off the coasts of 10 States manufacturing processes .45 (Washington, Oregon, California, Texas, Louisiana EPA's annual report does not normally list actual Florida, Georgia, S. Carolina, N. Carolina, New Jer' constituents of the wastes, thus making it difficult'to sey) and over 55 percent of the material was depos- assess potential effects. Industrial dumping occurs ited beyond the 3-mile territorial sea .40 (For a dis- primarily off the Atlantic and Gulf.of Mexico coasts cussion of dredue and fill regulations under Section -a reflection of population and industrial concen- tra 404 of the Federal Water Pollution Control Act tion. In 1976, 2.7 million tons were dumped, with Amendments, see Chapter IV.) by far the largest amount going into the Atlantic. The amount of industrial waste dumped decreased Sewage@ Sludge and Ocean Outfalls by about I million tons from 1975 to 1976, because five of the seven original permittees found alternative Sewage sludge disposal presents a different pic- methods of disposal .46 ture. It is how limited to the Atlantic region, where Since the Ocean Dumping Act was enacted, EPA the amount disposed is increasing slightly. The in- has authorized dumping through interim permits crease is due to a rise in population as well as the where no feasible alternative existed. Most of EPA's requirement for secondary sewage treatment, which assessments have dealt with the avaii,:bility of alter- yields more sludge. The Atlantic area has failed to native disposal methods rather than the potential develop alternatives to ocean disposal and shows a adverse effects of all alternatives. One criticism has historical usage of this method of disposal due to been that the agency has forced adoption of alter- lack of availability of onshore dumpsites and cost natives to ocean dumping without weighing the ef- factors. The New York/New Jersey metropolitan fects. The other side of the issue is the criticism region, Philadelphia, and Camden are using three that issuing interim ocean dumping.permits allows active sites. One is in the New York Bight apex (7.2 discharge of wastes that may be harmful and that million cubic yards in 1974 11), one is 90 miles east may contain higher levels of toxic materials than of Cape May, and one is about 50 miles southeast of would normally be permitted .47 the mouth of the Delaware Bay.42 Philadelphia's third interim permit, issued in February 1975, con- - ,tains a mandatory phase-out to eliminate this ocean 41 US. Congress, op. cit. note 32. '2 U.S. Army Corps of Engineers, op. cit. note 38. dumping by January 1, 1981. New York City's " U.S. Congress, House, Committee on Merchant Marine and dumping is to end December 31, 1981. Camden, Fisheries. NACOA-Sea Grant-Ocean Dumping. Hearing be- fore Subcommittees of the House Committee on Merchant Ma- N. J., was operating under an emergency permit is- rine and Fisheries, 94th Cong., Ist sess. Washington, D.C., Gov- 6rnment Printing Office, 1977, p. 587. "U.S. Congress, op. cit. note 32. U.S. Army Corps of Engineers. 1976 Report to Congress on '5 U.S. Department of Commerce, NOAA. Report to the Con- Administration of Ocean Dumping Activities. Washington, D.C., gress on Ocean Dumping Research January through December Government Printing Office, 1977, p. 66. 1975. Washington, D.C., Government Printing Office, 1976, p. 33. "U.S. Congress, op. cit. note 32, p. 89. " U.S. Congress, op. cit. note 32, p. 49-52. U.S. Army Corps of Engineers, op. cit. note 39. 41 Ibid. VI-1 3 Before enactment of the Ocean Dumping Act, objective is to provide definitive information on en- organochlorine wastes were disposed of on land, in vironmental impacts of disposal operations and the the ocean, or by land incineration. The Act pro- development of disposal alternatives, including con- hibited ocean dumping except in trace amounts. As sideration of dredge material as a manageable re- a result, interest in incineration at sea has developed. source .51 The Maritime Administration is also in- Before 1974 EPA concluded that the Ocean Dump- volved in work related to Section 203-development ing Act did not apply to incineration, but in Septem- of a U.S. flag capability to incinerate toxic chemical ber 1974 the agency reversed itself and asserted wastes at sea. jurisdiction. In 1974, Shell Chemical Co. was issued NOAA's current program of ocean dumping re- research permits for ocean incineration. A subse- search has two major elements: (1) the National quent EPA report on the trials concluded that ocean Ocean Survey (NOS) Ocean Dumping Program and incineration was an environmentally sound disposal (2) the related research being conducted by the method, compatible with the Act, and is now being Marine Ecosystems Analysis (MESA) New York permitted .411,49 Bight Project. NOS carries out NOAA's responsi- bilities under the terms of the March 1975 EPA/ Research and Monitoring NOAA Interagency Agreement Regarding Ocean Under the Ocean Dumping Act Dumpsite Investigations. The 1970 CEQ report on ocean dumping indi- NOS is now involved in four major areas of in- cated serious information gaps. The areas of needed vestigations: (1) industrial waste deepwater dump- research were identified: sites in the Gulf of Mexico, (2) deepwater dumpsite pathways of waste materials in marine ecosystems; 106, (3) dumping of pharmaceutical waste off Puerto basic chemical and physical processes in the Rico, and (4) dredge material dumpsites in the Mis- oceans; sissippi River Delta area. identification of toxic chemicals and data on lethal, A NOAA/Corps of Engineers interagency agree- sublethal, and chronic long-term impacts on ma- ment is in preparation and should be completed rine organisms; early in 1978. The agreement will ensure that identification of marine pathogens; NOAA's efforts under Title II will also provide in- development of alternatives to ocean dumping; formation needed by the Corps for dumpsite evalu- development of national and international pollu- ation and management required under Title 1. tion monitoring systems.50 A third interagency agreement between NOAA The Ocean Dumping Act of 1972 provided au- and the Coast Guard will also be executed early in thority for undertaking the necessary research. 1978. It will ensure that NOAA's programs of NOAA and EPA are authorized under this Act to monitoring and research, while aiding in fulfillment conduct related research: of.NOAA's Title II mandate, will also provide in- NOAA. Section 201-Comprehensive and con- formation required by EPA for site evaluation and tinuing programs of monitoring and research on management, and will provide for a NOAA/USCG short-term ecological effects of dumping waste mate- coordination in a program of monitoring ocean dis- rials into the ocean and the Great Lakes, in coordi- posal sites. nation with the Secretary of the Department in which The MESA New York Bight Project began field the Coast Guard is operating and the Administrator work in 1973. Project objectives include descriptions of the EPA. Section 202-Long-range effects of pol- lof the New York Bight ecosystem. and areas near lution, overfishing, and other man-induced changes existing and proposed dumpsites, and determination to ocean ecosystems, in consultation with other ap- of the occurrence, fate, and effects of pollutants enter- propriate Federal departments and agencies. Section ing the Bight .52, 11 MESA long-term studies include: 203-Research aimed at ending or minimizing all *chemical and mineralogical composition of pollu- ocean dumping within 5 years of the effective date tants and their interactions with seawater; of the Act (alternative research). eseasonally occurring low-density, carbon mud EPA. Necessary research to provide for an ocean patches off Long Island-their derivation and dumping permit system. movement; The Corps of Engineers lacks legislative authority 0remote surveillance and monitoring; and for research under the Act, however, it is engaged in ousefulness of various sensing and interpretative related investigations under the 1970 Dredged Mate- techniques. rial Research Program, a provision of the Rivers and Harbors Act of 1970. Part of the Corps research "U.S. Army Corps of Engineers, op. cit. note 38. "U.S. Congress, op. cit. note 32. " U.S. Department of Commerce, National Oceanic and At- U.S. Congress, op. cit. note 32. mospheric Administration. Report to the Congress on Ocean U.S. Environmental Protection Agency, Ocean Dumping in Pollution, Overfishing, and Offshore Development, July 1975 the U.S., 1970. through September 1976. Washington, D.C., Government Print- 'U.S. Council on Environmental Quality, op. cit. note 31. ing Office, November 1977. VI-14 In 1975 the MESA project also assisted EPA in effect. Signed in March 1975, it delineates agency assessing alternative sewage sludge dumpsites in the responsibilities for the necessary evaluations.- Bight. Surveys are currently being made in 12 municipal Since 1971, NOAA's National Marine Fisheries and industrial dumpsites; 8 in the Atlantic; ' 1 off Service laboratory at Milford, Conn., has conducted Puerto Rico; and 3 in the Gulf of Mexico.56 Aside research on the behavior of heavy metals in seawater. from a few cooperative studies and one formal inter- Objectives are to determine how heavy metals affect agency agreement dealing with dumpsite surveys and several different organisms at various life stages, monitoring, both EPA and NOAA pursue dumping and under varying exposure times and environmental research independently within their owrf agencies' conditions. objectives. The management coordination for re- In addition, NOAA's Office of Sea Grant spon- search under the lead agency concept put forth in sors a very limited amount of marine research re- Title 11 has not been achieved or even attempted. lated to ocean dumping and disposal of dredge Progress and Issues material. (See Chapter VII, Marine Science and EPA has been criticized by some as being too Technology.) lenient and by others as being too stringent in admin- In support of the mandates of the Dumping Act, istering the Ocean Dumping Act. Progress has been EPA conducts research on ecological effects and made toward alleviating ocean dumping, but prob- alternative methods of disposal and is a participant lems still remain in the implementation of almost with NOAA in baseline and monitoring surveys of every aspect of the Act. The initial problem is with dumpsites. Research on ecological effects is focused the misunderstanding about the intent of the Act. on improving bioassay techniques and methods of Are we to phase out and discontinue ocean dumping, predicting and assessing impacts. In fiscal year 1976, or do we continue it as a viable alternative under Congress allocated additional money to EPA for adequate supervision and regulation? The uncertain- research in the area of ocean disposal; as a result, ties of this unanswered question are reflected new studies were initiated and the level of in-house throughout the program, both in regulation and re- support increased. In 1976, the agency was engaged search. either directly or by contracts in 13 separate projects There are those in the scientific community who on ocean waste management research. feel that from the standpoint of eutrophication the EPA conducts research on alternative disposal use of ocean outfalls for sewage discharge may be methods under legislative authorities other than the preferable to secondary treatment. 57 Dumping Act. Information on the effects of all vari- The Officer and Ryther study concludes that the able waste disposal alternatives is necessary to deter- eutrophication potential may be enhanced with sec- mine the optimum disposal method. Research on ondary treatment, since organic nutrients will be alternative disposal methods sponsored by EPA in- more readily available to phytoplankton than would cludes impact of alternative methods, resource reuse be the case with natural decomposition from sewage or recovery, detoxification, and ocean incineration. outfalls. Even so, use of outfalls would necessitate Some of the alternative methods being considered close attention to pathogens and trace contaminants. are sludge use, composting, and pyrolysis. Major revisions to the Ocean Dumping Regula- Since 1974, EPA's Office of Radiation Programs tions and criteria were promulgated in 1977. has surveyed three of the four radioactive waste Dredged materials are now governed by the same cri- dumpsites used from 1946 to 1970 in the Pacific teria as other substances, and an assessment of alter- and Atlantic, although the United States no longer native disposal methods is a part of the permit ap- disposes of these wastes in the ocean. The United plication evaluation. States is now evaluating all alternatives, including Environmental impact statements are@now being ocean disposal, for disposal of radioactive wastes. prepared for ocean dumping with the Gulf Ocean Survey data from the old sites are therefore quite Incineration Site as the first formally designated valuable .54 ocean dumping site.511 EPA requires baseline survey data and evaluations One of the controversies surrounding the pro- of existing and proposed disposal sites for assessing gram involve EPA's use of interim permits that allow and predicting environmental effects of ocean dis- the temporary dumping of harmful wastes that ex- posal, and for preparing Environmental Impact Statements under NEPA. In response to this need, EPA/NOAA Interagency Agreement concerning baseline surveys and evaluations of ocean disposal sites, under the an EPA/NOAA Interagency Agreement dealing MPRSA. with the conduct of dumpsite evaluations is now in ' U.S. Environmental Protection Agency, op. cit. note 49. 51 C. B. Officer and J. H. Ryther. "Secondary Sewage Treat- ment Versus Ocean Outfalls: An Assessment," Science 197: 1056-1060, 1977. U.S. Environmental Protection Agency, op. cit. note 49. " U.S. Environmental Protection Agency, op. cit. note 49. VI-15 ceed trace level requirements, e.g., dumping of sew- tion of effort remain obvious 5 years after enactment age sludge by New York City and Philadelphia. The of the Dumping Act. Research continues to be in- criticism is that the Act provides no basis for such cohesive and without coordinated national planning. a permit and that its use does not conform with the NOAA carries out some research on long-term ef- intent of Congress. Time may make this controversy fects of modifications to ocean ecosystems; however, moot since the Final Regulations and Criteria on this research is funded under various laws for pro- Ocean Dumping, issued by EPA in January 1977, grams predating MPRSA. As a result, no integrated state that interim permits will be phased out by program within NOAA addresses the concerns of December 31, 1981. It remains to be seen, however, Section 202. whether New York City and Philadelphia will have Through 1976, the Department of Commerce a viable disposal alternative by that time, or whether budget requests did not include Section 202 funding. the interim permit will simply be exchanged for an In 1978, the Department made a minimal request, "emergency permit" as was the case with Camden, but no funds were appropriated. Fiscal year 1979 N. J. The Congress might also choose to step in; budget requests again include funding for Section 1-1. R. 4715 would authorize interim permits until 202 implementation. December 31, 1981. This bill is expected to be con- NOAA is currently preparing a Program Develop- sidered during the second session of the 05th Con- ment Plan to be completed in 1978 for implementa- gress. tion of Section 202. The plan will propose a manage- A second problem involves the effectiveness of ment framework within which Federal research can EPA's criteria for assessing material to be dumped, be actively coordinated and oriented toward na- particularly the bioassay tests. EPA has revised its tional objectives on long-term effects. The program criteria and provided added opportunity for public will seek to eliminate duplication of effort and to input by way of the EIS process, but accurate and provide information in a problem solving mode. relevant knowledge from research, and correspond- Implementation of this plan depends on aggressive ing criteria revision, will be the only means of solving leadership and the ability to justify the expenditure this problem .59,60 of the needed resources. New legislation, S. 1617, Enforcement continues to be a serious concern. the Ocean Pollution Research and Monitoring Pro- The Coast Guard's objective is to monitor 75 per- gram Act, would provide for a coordinated program. cent of dumping activities at mixed industrial waste It has now become law. sites and 10 percent of the remaining operations. In Similar problems exist in Section 201 responsibil- 1977, 72 percent surveillance in the first area and ities. A Program Development Plan for implementa- 22 percent in the second area were achieved. Over- tion of Se6tion 201 was completed in August 1976 .62 all surveillance techniques still concentrate on vali- It integrated all NOAA programs related to ocean dating permits; examining logs, records, and geo- dumping efforts, specifying coordination of NOAA graphic position of the actual dumps; and investi- efforts as a key element of an effective program. gating failures to notify the Coast Guard in advance Owing to lack of resources, the plan has not been of departure (411 of the 422 violations in 1976 implemented as proposed. Instead, efforts have been were of this last type).61 EPA surveillance includes concentrated on fulfilling NOAA's responsibilities extensive sampling of representative dump loads. under the EPA/NOAA interagency agreement. Among the major problems confronting research In fiscal years 1974 and 1975, Section 201 funds related to the Dumping Act is the lack of resources were not requested by either NOAA or the Depart- and coordination. Section 202 of the Act gave ment of Commerce. In fiscal year 1976, NOAA's re- NOAA the lead responsibility for initiating a com- quested funds were cut by the Department-funding prehensive coordinated research program on long- was not-requested by the Administration, and none term effects of pollution in the oceans. To date, this was appropriated. Finally, funds were appropriated requirement has not been met, partly because re- in 1977 and 1978. sources were not available and partly because the Funds to implement Section 203 were requested lead agency mandate and the necessary authority to by NOAA, but deleted by the Department of Com- execute were not explicitly stated in the Act; nor, merce. In recent years, EPA and the Corps of En- until recently, has NOAA aggressively pursued the gineers have carried out research on alternatives implementation of the intent of Section 202. that has been responsive to requirements of the An overall coordinated program has not been Dumping Act. At the present time, Congress is structured, and, as a result, data gaps and duplica- considering the transfer of Section 203's authority from NOAA to EPA as proposed in H.R. 4715. "U.S. Congress, op. cit. note 32. "U.S. Congress, House, Committee on Merchant Marine and Fisheries. Hearings on Ocean Dumping Oversight. Washington, "U.S. Departmer@t of Commerce, NOAA. Program Develop- D.C., Government Printing Office, 1977. ment Plan for Ocean Dumpsite Research and Monitoring Pro- "U.S. Environmental Protection Agency, op. cit. note 49. gram, 1976. VI-16 Funding for alternative research by EPA and the to support the development of a U.S. flag capability Corps has not been a result of appropriations for to incinerate toxic chemical wastes at sea. A Final the Dumping Act, but from other legislative author- Environmental Impact Statement has been prepared ities. Although Section 203 specifies the Department describing this MarAd Chemical Waste Incinerator of Commerce as the lead agency, NOAA has de- Ship Project. This Project is in harmony with Section ferred this responsibility to EPA where facilities, 203 of the 1972 Ocean Dumping Act. Recently, expertise, and a history of this type of research exist. MarAd contracted out the preparation of "Study of The Maritime Administration (MarAd) is also in- the Economics and Environmental Viability of a volved in alternative research. There is a current plan U.S. Flag Toxic Chemical Incineration Ship." Oil and the Marine Environment Introduction leurn carriage requirements would be substantially Oil finds its way into the marine environment larger. through both natural pathways and human accidents. In response to the rapid expansion in both the The total annual input of petroleum hydrocarbons quantity of oil moving in international commerce to the world's ocean has been estimated to be as and the average distances involved, the world tanker much as 6 million metric tons. 63 Of this amount, over fleet registered a more than eight-fold increase in 35 percent results from ship and tanker operations; aggregate capacity over the 20-year period 1955-75. 1.9 million metric tons (31 percent) from river and From 1955 to 1965, the capacity of the fleet more urban runoff; 0.9 million metric.tons (13 percent) than doubled, rising from 42 million deadweight from coastal refineries, and industrial and municipal tons to 93 million deadweight tons. From 1965 to wastes; 0.6 million metric tons (9.8 percent) each 1975, aggregate capacity increased by more than from atmospheric fallout and natural seeps; and three and one-half times and at the end of 1975 0.08 million metric tons (1.3 percent) from offshore stood at 347 million deadweight tons. 6r- oil production. Over this'same period, average vessel size also Ship and tanker operations together with river and increased dramatically, reflecting the substantial urban runoff account for nearly two-thirds of the economies associated with large tanker operations, petroleum hydrocarbons entering the marineenviron- particularly on the longer voyages that have become ment. Tanker transportation will continue to play far more common in recent years. Today it is esti- an important role in the U.S. petroleum distribution mated that the cost of transporting a barrel of oil system, particularly in moving crude oil from Alaska from the Middle East to the United States aboard a and in moving oil products from Gulf Coast re- vessel in the 250,000 deadweight ton range is about fineries to East Coast consumers. In the foreign half the cost of transportation aboard a 50,000 dead- trade, regardless of the outcome of. the Federal weight ton vessel.17 In response to economic induce- government's efforts to reduce foreign energy de- ments of this magnitude, the average size tanker in pendence, U.S. waterborne petroleum imports are the world.fleet grew from 15,500 deadweight tons likely to remain substantial for some years to come. in 1955 to 27,100 deadweight tons in 1965 and to In 1975, more than 43 percent of the 749 million 58,200 deadweight tons in 1975 .68 Supertankers short tons (679.5 million metric tons) of U.S. water- now in service range from 100,000 to 500,000 dead- borne traffic was accounted for by petroleum and weight tons. More than 116 tankers over 200,000 petroleum products*.64 In 1975, U.S. oil import levels deadweight tons have been built since 1966. In averaged. slightly over 6.0 million barrels per day- 1976, supertankers of all sizes represented 55 per- the same level that is now the goal of the Administra- cent of the world's tanker capacity. tion's energy program to reduce oil imports. By Based on a review of 1973-76 data, about 1.2,400 1976, oil imports had increased to 7.3 million polluting incidents' are detected annually 'in the navigable waters of the United States, Of this total, barrels per day. Some energy analysts are of the opinion that the 6 *0 million barrels per day goal "U.S. Congress, Senate, Committee on Energy and Natural for 1985 is not likely to be attained and that 1985 Resources. Project Interdependence: U.S. and World Energy oil imports, even with optimistic assumptions, will Outlook Through 1990 (A Summary Report). 95th Cong., Ist likely be between 10 and 12 million barrels per sess. Washington, D.C., Government Printing Office, 1977, p. 2. Be Sun Shipbuilding and Dr y Dock Company, Bulk Ship day. 15 Under these circumstances, waterborne pqtro- Product Group. Analysis of World Tank Ship Fleet-December 31, 1975'Chester, Pa., November 1976, p. 1. 11 U.S. Congress, Office of Technology Assessment. Oil Trans- National Academy of Sciences. Petroleum in the Marine portation by Tankers: An Analysis of Marine Pollution and Environment. Washington, D.C., 1975, p. 6. 'Safety Measures. Washington, D.C., Government Printing Office, U.S. Army Corps of Engineers. Waierborne Commerce of 1975, pp. 23-24. the United States, Part 5: National Summary. Vicksburg, Miss., Sun Shipbuilding and Dry Dock Company, op. cit. note 66, 1975, pp. 3-11. p. 7. VI-17 3,338 originate with tank -vessels and barges. The abilities and extent of oil spills from offshore devel- quantity of spillage from vessels grew from 9,565.5 opment. One may assume, however, that expanded metric tons in 1973 to 27,462.7 metric tons in 1976. drilling and production activities off shore will in- The major causes of these accidents are structural crease the probability of oil spills as development in failures, collisions, and groundings, many due to the frontier areas and in deeper waters of the Con- human error. Tankers deliberately discharge 1 mil- tinental Shelf and Continental Slope proceeds. lion tons of oil each year worldwide, and some un- known quantity of that in waters off the U.S. coast, Vessel Source Pollution in routine operations of ballasting and tank clean- Although the River and Harbor Act of 1899 ing, although the law now prohibits such practices was originally intended to prevent the obstruction within 200 miles of the coast unless specifically of navigation by refuse, it was later held by the allowed bythe 1954 IMCO Convention." Tankers U.S. Supreme Court in 1966 to include petroleum accidently spill 181,440 metric tons of oil each year released in navigable waters .74 The first statutory en- worldwide (3.3 percent of total oil input to oceans). actment intended to prevent oil releases into the As the volume of oil in waterborne commerce in- marine environment was the Oil Pollution Control creases and larger tankers are constructed to take Act of 1924. This was followed by the Oil Pollution advantage of the economies of scale, a catastrophic Control Act of-1961 (which implemented the 1954 accident would result in a much larger spill, although International Convention for the Prevention of the supertanker casualties from collisions have not yet Pollution of the Sea by Oil), the Water Quality Im- produced an abnormal number of major spills. provement Act of 1970, Federal Water Pollution Offshore oil production, which now comprises Control Act Amendments of 1972, the Ports and nearly 20 percent of total domestic oil production, Waterways Safety Act of 1972, and the Clean. Water will probably grow in importance. Some studies have Act of 1977. indicated that total offshore production may com- Before 1970, public concern and consequently prise between 25 and 30 percent of total U.S. oil political interest over oil pollution was small. The production by 1985 .70 As conventional onshore pro- grounding and spilling of 72,576 metric tons of oil .duction peaked and has continued to decline, addi- by the Torrey Canyon off the coast of England in tional emphasis has been placed on the development 1967 and the Santa Barbara blowout from offshore of oil and gas in the Outer Continental Shelf to offset oil wells in January 1969 dramatically pointed out increasing domestic de .mands for energy. It is esti- the potential dangers of oil in the marine environ- mated that between 8 and 50 billion barrels of oil ment, as well as the inadequacy of the laws to deal and 28 to 199 trilWn cubic feet of natural gas may with cleanup and liability. exist as undiscovered recoverable reserves in offshore Federal activity aimed at developing a U.S. capa- areas .71 bility to prevent and mitigate the effect of such major Offshore oil production contributes between oil spills accelerated following these incidents. The 72,570 and 136,080 metric tons of oil per year. to Federal Water Pollution Control Administration the marine environment .72 The size of spills and an- (predecessor to EPA) and the Coast Guard assumed nual frequency vary considerably. Although spills the lead in this activity. Their earlier efforts resulted may vary from a few gallons to over 150,000, the in a division of effort wherein the Coast Guard ac- latter being the amount in the Santa Barbara blow- cepted responsibility for developing equipment to out, most oil spills are small. In 1972, 96 percent contain and clean up spills in the offshore areas, were less than 2.4 barrels (100 gallons). A few very while the FWPCA concentrated on cleanup tech- large spills accounted for most of the oil spilled. For niques in sheltered waters. example, in 1970 and 1972 three spills each year In response to the legislative mandate of the accounted for two-thirds of all oil spilled in the Water Quality Improvement Act of 1970, the Coast United States in those years." Changes in technology Guard promulgated pollution prevention regulations and operating procedures can also affect the prob- with the intent of reducing the probability of an accidental discharge of oil or oily waste during nor- U.S. Congress, Office of Technology Assessment. Coastal mal vessel operations, transfer operations, or as a Egects of Ofishore Energy Systems. Washington, D.C., Govern- result of certain vessel accidents. The vessel-related ment Printing Office, 1976, p. 76. portions of the pollution prevention regulations " U.S. Congress, Joint Committee on Atomic Energy. Towards Project Interdependence: Energy in the Coming Decade. 94th apply to all vessels in U.S. waters (except for vessels Cong., Ist sess. Washington, D.C., Government Printing Office, not engaged in commerce) and prohibit discharges 1975, p. 35. affecting natural resources of, pertaining to, or under "U.S. Congress, House, Ad Hoc Select Committee on Outer Continental Shelf. Eflects of Ofishore Oil and Natural Gas Development on the Coastal Zone. 94th Cong., 2d sess. Wash- ington, D.C., Goverrunent Printing Office, 1976, p. 7. " National Academy of Sciences op. cit. note 63. "U.S. vs. Standard Oil Company, 384 U.S. 224, 86 S. Ct. " U.S. Congress, op. cit. note 71, p. 135. 1427, 16 L. Ed. 2d 492, (1966). VI-1 8 exclusive U.S. management authority. Although described in detail for each polluting accident. Spill many aspects of the regulations relate only to tank response, cleanup activities, and penalty actions are ships and tank barges, these regulations also apply also described in detail for each polluting incident. to merchant ships, fishing boats, and recreational In 1976, the Coast Guard identified over 12,685 boats. Standards for bilge and ballast piping, oil discharges. Of a possible $67,600,000 in civil pen- transfer hoses, qualifications for the person-in- alties, $1,491,000 was assessed against illegal dis- charge of an oil transfer, and required tests and charges. To reduce the number of "mystery" spills, records are also set out in the regulations. the Coast Guard had -developed a series of scientific Section 311 of the Federal Water Pollution Con- techniques to "fingerprint" oil spills by chemical trol Act of 1972 prohibits the discharge of a harmful analysis in order to match them to their source. To quantity of oil and hazardous substances in any respond to major or unusu 'al discharges, the Coast form into or upon U.S. navigable waters, shorelines, Gaurd has developed the National Strike Force con- of contiguous zone (now encompassing the entire sisting of 55 highly trained personnel on the Atlantic, riverine system within the United States upstream to Gulf, and Pacific coasts to assist the spill cleanup the source), and seaward as may be included in the "On-Scene Coordinator." In addition to domestic Clean Water Act of 1977. The person in charge of pollution emergencies, the Strike Force has assisted the vessel or an onshore or offshore facility must foreign governments (upon diplomatic request) in notify the Coast Guard National Response Center several pollution incidents. in tbe'event of any discharge of a harmful quantity The Ports and Waterways Safety Act of 1972 of oil or hazardous substances. The penalty against gives the Coast Gaurd the statutory authority to deal an owner or operator for discharging a harmful with the increasing safety hazards of maritime trans- quantity of oil is a civil penalty of not more than portation and with pollution resulting from the op- $5,000 administered by the Coast Guard. The pen- eration of, and casualties to, vessels carrying oil or alty for failure to report a discharge is a criminal hazardous substances. The Coast Guard has promul- penalty of not more than $10,000 and/or 1 year gated regulations that apply to the design, equip- imprisonment. ment, and operation of U.S. tank vessels. Addi- . The owner or operator is liable to the U.S. Gov- tionally, regulations have been published that extend ernment for removal costs of an oil discharge. An those rules to U.S. tank vessels carrying oil in inland oil barge owner is limited in liability to the foreign trade and foreign tank vessels entering the greater of $125,000 or $125 per gross ton of the navigable waters of the United States. barge and, in the case of any other vessel, $150 per Title I of the Ports and Waterways Safety Act of gross ton, or for a vessel carrying oil or hazardous 1972 authorizes the Coast Guard to implement Ves- substances as cargo, $250,000 or $150 per gross sel Traffic Services (VTS), which include strengthen- ton, whichever is greater. Facilities are liable up to ing navigation regulations, establishing limited $50 million. Where the United States can show navigation areas, And providing basic traffic separa- that the discharge was the result of willful negligence tion schemes for both ocean and coast. Vessel Traffic or willful misconduct within the privity and knowl- Services have been established in five major port edge of the owner, then there is no limit to the areas using advanced systems of surveillance and liability for cleanup; the owner or operator must pay communications to regulate navigation. The effec- all the costs. No liability exists for discharges caused tiveness of VTS is manifest in the improved safety solely by acts of God or war, negligence on the part record of the ports operating with traffic separation of the U.S. Government, an act or omission by a schemes .75 third party, or any combination of these causes. Violations of the pollution prevention regulations Oil Spill Liability and Compensation or any other regulations governing oil pollution is- sued pursuant to the Federal Water Pollution Control In recent years, with increasing public concern Act, as amended, carry a civil penalty of not more over marine oil pollution, Federal and State govern- than $5,000. ments began enacting laws pertaining to liability for A Pollution Information Response System was vessels and handling facilities. In each instance, they placed in operation in 1973. This provides spill have attempted to clarify and expand liability stand- analysts with complete pollutant discharge histories ards, impose preventive requirements, and ensure and data for analysis of spill occurrences. The system some type of compensation. includes data relating to the time, specific location, source, primary cause, secondary cause, tertiary cause, material spilled, and volume of all polluting 75 U.S. incidents. The'weather and sea condition at the time Congress, Senate,' Committee on Commerce. Ports and Waterways, Safety.' 94th Cong., 2d sess. Washington, D.C., of the spill and resources affected by the spill are Government Printing Office 1976, p. 60. VI-19 The Federal Water Pollution Control Act of 1970, difficulty of resolving the issue of liability and com- as amended (33 U.S.C. 1321), was the first to pro- pensation. vide specifically for recovery from damages resulting Today, in response to the need for resolution of from unintentional spills. The owner or operator is this issue, various bills have been introduced in both liable for the costs of spill cleanup and removal the House and the Senate which provide for a com- operations involving navigable waters or contigu- prehensive system of liability and compensation for ous zone waters unless the spill results from an act oil pollution. of God, war, U.S. Government negligence, or an There are three "Superfund" bills now before the act of omission of a third party. The Act established Senate (S. 1187, S. 2083, and H.R. 6803). These liability limits. It also established a $35 million con- bills provide for liability for several different types tingency fund to cover spill cleanup by governments of damages, recognize claims from nongovernment (Federal, State, and local) in cases where the source entities, and provide for a more comprehensive and of the spill cannot be ascertained or where cleanup effective system of compensation. H.R. 6803, which is not being made by the responsible party. has passed the House (September 12, 1977), is The Trans-Alaska Pipeline Act (43 U.S.C. 1653) closely alined with the Administration bill, S. 1187; and the D6epwater Port Act of 1974 (33 U.S.C. the major difference being that it lacks the provision 1502 et seq.) both impose liability for all discharges for fund payment of the cost of oil spill damage by the vessels and facilities covered in the Acts. Both assessment. It establishes a $200 million revolving Acts establish liability funds that may vary with the Treasury fund for payment of liability resulting from source of the spill and whether or not it resulted oil pollution damage. Claims may be made for: from negligence or willful misconduct. * removal, The OCS Lands Act of 1953 (43 U.S.C. 1331 e loss or injury to or destruction of real or personal et seq.) also covers oil pollution liability. It does property, not specifically establish liability for damages, but * loss of use of natural resources, does- authorize the Secretary of the Interior to 9 loss of profits or impairment of earning capacity promulgate regulations for items referred to in the due to injury or destruction of real or personal Act, including conservation and protection of natural property or natural resources, and resources. Current regulations hold the lessees liable * loss of tax revenue for I year resulting from injury to the Federal Government for cleanup and removal to real or personal property. costs resulting from spills relating to exploration and The President is the trustee for U.S. natural re- development activities. sources. The fund is to be coadministered by the The Federal statutes, though pertaining to differ- Department of Treasury and the Department of ent sources of oil, are still somewhat overlapping, i.e., Transportation. Liability limits are established for vessels covered by the Alaska Pipeline Act and the different class vessels and facilities and require the Deepwater Port Act could also fall within the scope owner or operator to prove financial responsibility. of the Water Pollution Control Act, for instance. Differences in standards and liability limits among S. 2083 was developed by the Senate Commerce the Acts could then result in controversies. 16 Committee. It differs in its specific approach to A further complication arises with regard to the several issues regarding the liability and compensa- relationship between State and Federal laws.,States' tion proposals, and it directs the Secretary of Com- efforts have ranged from codifying the remedies in merce and the Secretary of the Treasury to jointly common law to legislatively imposing strict liability. administer the fund. Some State statutes list defenses for relieving strict In summary, the bills create a system of strict liability with proof of acts of war or God, third party liability of damage and cleanup costs, set liability negligence, intentional acts, and 'State or Federal limits for owners and operators, and establish a Government negligence. Other State statutes estab- compensation fund for damages above owner/ lish the no-fault liability. Sources of oil pollution operator liability limits. They also preempt State covered, liability limits, financing of funds, etc., vary laws, thereby establishing one uniform compensation among States. All of these factors contribute to the program. Authority rests with the Secretary of Trans- portation. If such legislation passes, it would super- "U.S. Congress, Senate, Committee on Commerce and the cede the liability and compensation provisions of National Ocean Policy Study. Methods and Procedures for Im- other legislation, including the proposed OCS Lands plementing a Uniform Law Providing Liability for Cleanup and Act Amendments, which provide procedures for Damages Caused by Oil Spills from Ocean Related Sources: A compensation for cleanup costs and damages occur- Study by the Department of Justice. 94th Congress, Ist sess. Washington, D.C., Government Printing Office, 1975. ring as a result of OCS activities. VI-20 Oil and Gas Operations on the Outer Continental Shelf (OCS) Legislative Authorities of Mexico and the program was subject to.. Jiffle In 1953, in response to the increa .sing agitation national scrutiny. This changed with the major blow- among coastal States, the Congress enacted two out in the Santa Barbara Channel in 1969. As a pieces of legislation establishing jurisdiction over result of this oil spill, the OCS leasing program offshore resources. These were: moved into the national limelight and as a result of The OCS Lands Act of 1953. The U.S. Depart- the 1973 energy situation has remained there ever ment of the Interior was-designated by this legis- since. Lawsuits against the Federal Government lation as the responsible agency for the majority became more frequent, as the Arab oil embargo of the Act's provisions regarding mineral leasing brought the OCS to previously undeveloped areas. and development of offshore resources beyond In December 1974, suit was brought against the States' jurisdictions. The Bureau of Land Man- Interior Department in an atte *mpt to forestall a pro- 9gement. and the U.S. Geological Survey have posed lease sale off Alabama, Florida, and Missis- . . The been assigned responsibility for resouTce develop- SIPPI. plaintiffs maintained among other things ment, safety, resource evaluation, and environ- -that there was insufficient environmental information. mental protection. Other Federal agencies have The court, however, ruled that an adequate assess- responsibilities under the Act. The U.S. Coast ment based on available information had been made. Guard is responsible for enforcing regulations Even so, as a result of this case the Department of on warning devices,.safety equipment, and safety the Interior made a commitment to begin environ- of life and property. U.S. Army Corps of Engi- mental studies in the area, and out of this has grown neers issues one of the permits required for con- the present Bureau of Land Management studies struction (including pipelines) on the OCS and program. in other navigable waters. The Corps' jurisdiction In January 1974, the President announced that was extended to artificial islands and fixed struc- 10 million acres were to be leased in 1975-equiva- tures on the OCS. lent to the amount leased since 1953. The decision The Submerged Lands Act of 1953. This Act to accelerate leasing in combination with Interior's granted coastal States responsibility over sub- previous history of little or no substantive consulta- merged lands seaward to 3 miles. A greater area tion and coordination with affected coastal States was granted Florida and Texas. It reaffirmed brought increased pressure on the agency." The Federal jurisdiction beyond the State seaward Department of the Interior took steps toward involv- boundaries. ing components outside the Federal Government in Additional Federal responsibilities and authorities the following ways: related to OCS oil and gas activities are vested in a 0 Requests for comments on the 17 potential OCS number of agencies: leasing areas. * Environmental Protection Agency @(EPA). Is . re- 0Establishment of the OCS Research Manage- sponsible for pollution control and waste disposal. ment Advisory Board (now the OCS Environ- * Federal Power Commission (now FERC). Grants mental Studies Advisory Committee)."" This Com- certificates for public convenience and necessity mittee is composed of both Federal and State and determines amounts of OCS gas purchased representatives. and transported; 0Issuance of the draft and final programmatic EIS * Interstate Commerce Commision. Grants approval for the accelerated program. of tariff rates for common carrier pipeline oil 0Participation of States in the tract selection proc- transport; ess, including attendance at BLM-GS briefings * Department of Transportation, Materials Trans- and deliberations. This participation was initiated portation Bureau. Establishes standards for pipe- in 1975. line construction, operation, and maintenance; and eParticipation by States in developing lease stipu- * Department of Commerce, NOAA. Protects ma- lations involving special environmental protection rine fisheries resources through consultation with 'requirements and other mitigating measures. the Corps in its issuance of permits in navigable water. "U.S. Congress, Committee on Commerce. Outer Continental Shelf Oil and Gas Leasing Off Southern California: Analysis of Issues. Committee Print. S. Res. 222 National Ocean Policy Evolution of the Offshore Leasing Program Study. 93rd Congress. 2d Sess. 1974, 100 pp. In the early years of the program, OCS leasing "As of December 1977, it was reorganized to be the Na- tional OCS Scientific Advisory Council, separate from the OCS aroused concern only in some.local areas of the Gulf Advisory Board (policy). VI-21 * Commitment by the Secretary to the preparation controversial almost since its beginning. One criti- of environmental statements on development plans cism has been that the information from the studies in- frontier areas. has not been effectively tied to leasing decisions. * Establishment by the Bureau of Land Manage- Critics charge that the purpose of the studies has ment of the Intergovernmental Planning Program not been defined fully, and that there has been no for Leasing and Transportation of OCS Oil and program development plan for the complete program Gas. This program" in addition to formalizing and no overall policy statement. According to the existing pre-leasing coordination, sets up a Federal- Office of Technology Assessment, the nature of the State-industry partnership for planning for trans- relationship between the studies and the leasing portation of oil and gas from the OCS to shore. decision process is the primary issue. These and * Endorsement by the Secretary of proposed amend- other concerns have been voiced by both the OCS ments to the OCS Lands Act, designed to increase Advisory Board and the OCS Environmental Studies State and public participation in the leasing deci- Advisory Committee. sionmaking process, to alter the bidding system, In the past 2 years, dissatisfaction with the pro- and otherwise improve the management of the gram has increased, even within the Department of program. Administrative procedures to implement the Interior itself. 79 During the June 1977 meeting many of the proposed changes have already been of the OCS Advisory Board, Guy Martin, Assistant put into effect. Secretary for Land and Water Resources, stated that Following the decision to accelerate leasing numer- there was a need to reexamine the OCS environmental ous bills that would am6nd the OCS Lands Act were studies program to determine if the proper type of introduced in the 94th Congress. None were enacted. information existed for the different decision points in Largely because of strong State objections and the leasing program. He further suggested that the DOI's efforts to provide more meaningful public and Advisory Board determine the policy for the OCS State involvement, the OCS leasing timetable has Environmental Studies Advisory Committee to been slowed down since 1975. In May 1977, Interior implemenf.10 announced a revised leasing schedule for sales through Recent indications from the Assistant Secretary's 1978. The 1977-78 leasing plan included sales in office reflect the view that the baseline program has the less sensitive areas and did not include areas in been misdirected and that the information collected Alaska, California, and the South Atlantic. In late has not been as useful as it could be to the leasing summer 1977, Interior published its new 5-year leas- decision-maker. The suggestion is that specially ing schedule. designed mission-oriented studies would be of more Several factors in the past have contributed to value. the conflicts surrounding the OCS program. Among At the request of BLM, the National Academy of the most significant are: Sciences made a detailed assessment of the overall * The Santa Barbara oil spill, OCS environmental studies program. The conclu- * Growing knowledge of the importance of OCS sion was that the program had not been based on oil to offset our dependence on foreign supplies, research appropriate to answer environmental con- * President Nixon's accelerated leasing decision and cerns for offshore oil and gas leasing and that the Interior's attempts to implement it, program "does not now effectively contribute to * Increasing public concern over the impacts of leasing decisions or-to the accrual of sound scientific expanded OCS production, information adequate for OCS management, both * Increasing State and local government concern offshore and onshore." "I Recommendations were over their past lack of participation in leasing made concerning program design, implementation, decisions, and utility. It should be noted that there are those * Growing awareness of the potential for oil in the in the scientific community who feel that the import- frontier areas, and ance of long-term baseline measurements of living * Increasing use of OCS oil as a short-term solu- resources should not be minimized and that these, tion to the Nation's energy problem. coupled with process-oriented studies, should provide the principal thrust of the BLM-OCS studies. OCS Envirommental Studies The following activities have been undertaken Since the OCS studies program began, the Bureau recently by the Interior Department in an attempt to of Land Management (BLM) has contracted for over alleviate some past public Poncerns: $125 million in baseline and special marine studies. In 1974, BLM and NOAA entered into an arrange- U.S. Department of the Interior. Record, Meeting of the OCS Environmental Studies Advisory Committee. July 19, 1977. ment for BLM funding of work performed by NOAA Ibid. for the Alaska OCS Environmental Assessment Pro- National Academy of Sciences-National Research Council. gram. OCS Oil and Gas: An Assessment of the Department of the In- terior Environmental Studies Program. A report to the Depart- The Bureau's OCS studies program has been ment of the Interior, 1977, p. 107. VI-22 9 The Bureau of Land Management has proposed eIn September 1977, the U.S. Geological Survey a planning program for the acquisition and published in the Federal Register proposed regu- evaluation of management information and for lations for the Outer Continental Shelf Oil -and coordinated intergovernmental management plan- Gas Information Program .113 The proposed regu- ning regarding leasing and transportation of OCS lations describe policies, procedures,,ind require- oil and gas. The proposal would establish Regional ments for specifying relevant oil and gas data and Working Groups in each leasing area composed information resulting from OCS activities that may of representatives from the affected States, BLM, be made available to affected States and local NOAA, Fish and Wildlife Service, Geological governments. Survey, the U.S. Coast Guard, industry, and other On the same date, the Bureau of Land Manage- interests as appropriate. ment piI@blished its proposed rules for an OCS leas- e In July 1977, BLM published proposed regula- ing oil and gas information program .84 These rules tions for OCS Leasing Environmental Studies.82 also deal with the release of information to the These regulations formalize the current program which began-;: in 1972. The regulations govern the, States for their.use in determining impacts and timing and nature of the BLM studies as needed planning accordingly. for assessment and management of impacts on In. the same month, Geological Survey published marine and coastal environments of the OCS proposed regulations for oil and gas and sulphur resulting from oil and gas leasing. NOAA will be operations on the Outer Continental Shelf (a used to the extent practicable. revision of existing operating regulations for ex- o On October 4,, 1977, U.S. Geological Survey ploration, development, and production on the regulations were established for OCS oil and gas OCS).8-1 The proposed regulations provide policies, operations-suspension procedures. The regula- procedures, and requirements for affording States tions detail the'procedures for suspension of oper- timely access to information related' to onshore ations due to threat of significant irreparable and offshore activities. They also prescribe mech- damage to life, property, or natural resources. anisms for review and comments on OCS deci- 9 On the same day, October 4, 1977, BLM pro- sions. They deal in specific terms with exploration posed regulations for OCS oil and gas lease- and development plans and environmental reports suspension and the 5-year term, were also com- to-be submitted by the lessee. The regulations pro- pleted. The proposed rule clarifies the way in vide items to be assessed for determining whether which the term of an OCS oil and gas lease runs or not an environmental impact statement is re- when it is subject to a suspension. The purpose quired for a development and production plan. of this rule-making was for consistency with the They further list criteria for determining when a Geological Survey suspension regulations. general area statement will be required. Deep Seabed Mining Introduction detailed exploration and prototype equipment testing The deep seabed areas of the oceans, ]beyond the _ leading toward full-scale production. continental margins, contain mineral deposits'known Today, ocean mining stands on the threshold of as manganese nodules. These mineral resources, becoming a reality. But the continuing absence of a some of which are found in water depths greater stable legal and political framework in which these than 15,000 feet, contain cobalt, copper, manganese, activities may occur results in serious questions as nickel, and other metals, Commercial interest in to whether this transformation will take place in a timely manner or be indefinitely delayed. The un- manganese nodules has been increasing since the certainty arises from the location of proposed ocean 1960s in the United States, as well as in a number @.mimng operations-beyond the national jurisdiction of other industrialized countries. Millions of research of any country. While the international community and development dollars have been committed by has been attempting for many years to create a new private industry to the discovery of prime-quality legal framework for minerals exploitation in the deposits, the design and testing of mining recovery. deep seabed, no agreement has yet been reached. systems, and the development of metallurgical proc- Recent developments have increased the uncertainty essing techniques for extracting the key metal com- that the negotiations can be successfully concluded. ponents from the nodule ores. The technological lead- ers in this new industry have established commercial operating plans requiring several years of additional 197,71.Federal Register, Vol. 42, No. 186, Monday, September 26, 84 Ibid. Federal Register, Vol. 42, No. 187, Tuesday, September 27, "Federal Register, Vol. 42, No. 133, Tuesday, July 12, 1977. 1977. VI-23 The United States, therefore, has recognized the need Doherty laboratories have already participated in this for interim domestic legislation so that ocean mining research. Detailed prospecting and exploration have "M,ay-proceed. been made by industrial concerns, both U.S. and Tfi@_- recovery of nodules from the deep seabed foreign, but this information is generally not in the presents a unique natural resource problem. The con- public domain. servation principles of protecting the environment From a resource standpoint, the depth zones be- and providing for the orderly development of the tween 3,000 and 6,000 meters have the most poten- resource must be met. In addition, there is another tial. Estimates of resources for the Pacific Ocean principle of recognizing the international nature of have been reported by Mero (1965)81 at 1,700 billion these resources and creating a mining environment metric tons, later revised (1967),to 1,500 billion, and consistent with international obligations. This prin- by Zenkevitch and Skornyakova (1961)"' at 90 ciple adds a unique complexity-to this naural re- billion metric tons. Mero's figures are based on meas- source problem and makes achievement of the other urement from 101 photographs and cores and grab principles more difficult. samples; most of the calculations concerning manga- nese nodule tonnages are admittedly speculative Nature and Extent of the Resource and have little meaning in an economic sense. More The origin of the deep-sea deposits of hydrous data are available now, and compilations of resources ferromanganese oxides or manganese nodules has have been published by others. These reports sug- been under debate for some time. Several theories gest that the extent of nodules in the Pacific Ocean is have been cited, including introduction of manganese about 1,500 billion metric tons. from land drainage and subsequent precipitation on Less is known about nodules in other oceans. For the sealloor, introduction from submarine volcanism. the purpose of world resource estimates, a total of with subsequent precipitation in an oxidizing envir- 1,700 billion metric tons, as reported by Mero onment, and dissolution from hemipelagic sediments (1965) " and cited by MeKelvey et al. (1969) 92 under reducing conditions and reprecipitation near may be assumed. This estimate includes 1,500 billion the oxidizing sediment/water interfaces .116 It is likely metric tons in the Pacific, 150 billion metric tons in that any one of these mechanisms may dominate, the Indian Ocean, and 50 billion metric tons in the depending on the local environment. A somewhat Atlantic. Estimates for the Arctic or small ocean more controversial theory is that nodule growth and basins have not been made. dissolution is controlled by bacterial action. Both Data available on the worldwide distribution of theoretical and experimental evidence for this have potential mine sites were summarized in a 1976 been presented. 87 staff study by the Department of Interior's Ocean The nodules are widespread, but unevenly dis- Mining Administration." The richest concentrations tributed. In some large areas they may cover 100 apparently are in the Pacific north of the Equator, percent of the seafloor and in other areas be entirely extending from the Hawaiian Islands to the west absent. The reported range of concentration varies coast of Mexico. a region about 2,600 miles long widely, growth rates also vary, and nodule size may and 500 miles wide. not be a direct function of age. Mineral content The Bureau of Mines is developing a comprehen- apparently correlates with other nodule parameters sive computerized data base on nodule location, and environmental factors. For example, depth cor- analyses,' and sample information; data have been relates directly with cobalt and copper content in the entered for more than 5,000 samples from more than Pacific."" 2,700 stations in the Pacific and Indian Oceans. The Data available on worldwide distribution of information is compiled under contracts and grants manganese nodules and other subsea resources were with universities and other oceanographic, institu- consolidated into a set of maps and published by the tions, including company data where available. These U.S. Geological Survey in 1970 as map 1-632. data are being incorporated into a series of mineral Subsequently, considerable work has. been done in resource and bathymetric maps to be published. the northeast equatorial Pacific Ocean under the Based on these data, nodule units are being identified manganese nodule project of the National Science 11 J. L. Mero. The Mineral Resources of the Sea. New York: Foundation and under various academic investiga- Elsevier Publishing Company, 1965, p. 312. tions under Sea Grant programs. Scripps & Lamont 91 N. Zenkevitch and N. S. Skornyakova. "Iron and Manga- nese on the Ocean Bottom" Natura (U.S.S.R.), 1961, p. 47-50. E. Bonatti, "Authigenesis of Minerals-Marine," in En- "I J. L. Mero, op. cit. note 89. cyclopedia of Geochemical and Environmental Sciences, S. V. 12 U.S. Department of the Interior, Geological Survey, Sub- Hill (ed.). Volume IV A, 1972, pp. 45-56. sea Mineral Resources and Problems Related to Their Develop- 87 H. L. Ehrlich, The Microbiology of Manganese, Nodules. ment, by V. E. McKelvey, J. I. Tracy, G. E. Stoertz, and J. G. Final Technical Report, Task No. NR 137-655, Office of Naval Vedder, USGS Circular 619. Washington, D.C., Government Research, U.S. Department of Defense, 1970, pp. 1-17. Printing Office, 1969. 'A. M. Ehrlich. Rare Earth Abundances in Manganese I U.S. Department of the Interior, Ocean Mining Administra- Nodules. Ph.D. Thesis: Massachusetts Institute of Technology, tion, Manganese Nodule Resources and Mine Site Availability, 1968, pp. 3-216. by A. Holser, Professional Staff Study, August 1976. VI-24 in specific localities for tonnage, grade, and opera- investment decisions for full-scale commercial pro- tional costs. duction systems would be made. In support of the NOAA DOMES Program, the Major shortcomings in the technology of _@jeep_ U.S. Geological Survey is continuing basic scientific seabed mining can only be resolved by actual opera- studies on details of nodule characteristics, sedi- tion. They include the ability to match the seabed ments, sedimentary water, plume dispersions, and equipment to the physical characteristics of the settling rates and associated. geologic investigations. seabed and the ability to forecast environmental dis- turbances caused by the operations. It is likely that State of Technological Development any major technical problems would involve equip- The state of technology in the developing deep- ment reliability under the stress of continuous opera- seabed mining industry is quite well advanced. Pros- tion. Transportation And unloading requirements should present few technological surprises, and pecting and exploration activities have been carried standard procedures can.be adapted to these tasks. out by a number of companies since the early 1960s. The technology of processing the ore to extract Th 'e basic methods of exploration have advanced the metals has been well developed. Public state- from random tracking and sampling with 'wire line ments by U.S.-connected companies and develop- buckets and drop corers or grabs to well designed ment work by the U.S. Bureau of Mines indicate exploration using precision depth 'recorders, deep that there are several potentially economic options towed instrument platforms with subbottom profilers, in this regard. Unquestionably, improvements in side scan sonar, T.V., stereo-color photography, and processin free fall boomerang box corers and grabs. Real-time g technology will be sought as full-scale data reduction using computers is becoming standard plants come on stream, but it does not seem at this procedure. Bulk sampling for metallurgical purposes 'ti.me that there are any major technological deficien- has continued to rely on primitive, but adequate, cies to be overcome. bucket dredges. Major gaps in exploration technol- In summary, the technological development of ogy are found in the very slow rate of exploration ocean mining systems i 's. well advanced for first coverage (2 to 5 knots with towed platforms) and generation systems, although the reliability of ma- in the testing of large areas of engineering properties, terials and design has yet to be tested under con- a slow and unreliable process with results that are tinuous operational stress. The next 2 to 3 years difficult to confirm. Navigational and positioning should be significant in the confirmation or rejection capabilities are fully in line with the accuracies of the present, partially developed, concepts. needed for exploration and, probably, for commer- cial production needs. Potential and Importance to the United States The mining process involves gathering the nodules Importance of the Minerals from the seabed in dep@ihs up to 6,000 meters and The. four metals of principal interest contained in lifting them to a surface platform. Two basic meth- manganese nodules are copper, cobalt, manganese, ods for co:'ection and lift'have been tested at sea. and nickel. Of these four metals, the United States One is a continuous bucket line which involves an imports about 98 to 99 percent of annual cobalt .endless rope looped to. surface platforms and ro- and manganese consumption, over 70 percent of tating slowly so that buckets attached to the line nickel consumption in an average year, and 25 per- will drag across the bottom at predetermined inter- cent or less of annual copper production. Table 6-1 vals as the platforms move across the nodule field. compares annual consumption, mine output, reserves, All the mechanical problems for this system, which involves some 9 kilometers. of line and hundreds Of Table 6-l.-Statistics for value. metals obtainable buckets, have yet to be resolved fully, and it may from manganese nodules' take several years to perfect the system. Unverified In thousands of short tons. cost advantages are claimed for the bucket line over the hydraulic system, which has also undergone at- Annual sea tests using a gathering device which is towed at consumption Annual Reserves as the end of the hydraulic pipe. Pump suction or air (primary and mine years of lift methods have both been tested, but not at full secondary) output Reserves consumption scale. Four major consortia now plan tests under actual mining conditions, though at less than pro- Copper 2,350.0 1,610 93,000 39.6 duction capacity. One'of these will introduce a con- Cobalt 10J 0 0 0 Manganese 1,307.0 0 0 0 trolled gathering device which will traverse'the bot- Nickel 227.6 17 200 0.9 tom under its own power instead of under tow by the surface platform. The testing and evaluation of 'U.S. Department of t .he Interior, Bureau of Mines. Com- these systems may take 2 to 3 years. At that time, modity Data Summaries-1977. pp. 42, 46-7, 98, 112-13. VI-25 nd reserves indicated in years of -consumption for producer of manganese and cobalt and not likely to -1976. have significantly increased production of nickel in '-@@J though these data oversimplify the U.S. posi- the foreseeable future. Our copper reserves are large, tion in-ihe-short term, as stockpiles, increased re- but imports constitute an important share of con- cycling, or demand reductions are not considered, sumption. the long-term position is more clear. The United The interest in developing a new source for these States has little, if any, potential for significant pro- metals is not because of threats of shortages, cartel duction of cobalt or manganese. U.S. copper re- actions, or embargoes. Rather, the interest is in serves are large, and the United States is the largest diversifying the sources of these important metals copper producer in the world. However, imports so that the United States will not depend on only as a percentage of consumption have increased over one or a few sources for any of them. recent years. Domestic nickel production is not sig- nificant, and is unlikely to become so until techno- Economic Potential of the Resource logical advances make deposits economic.94 The four metals most likely to be recovered from Manganese nodules are a marginal resource now. nodules are important to the U.S. economy. About The best estimates of cost and return on investment two-thirds of nickel consumption goes into the manu- publicly available 99 indicate that, with current tech- facture of capital goods. Consumer durables are the nology, deep sea deposits can compete with land- largest end use of the remaining one-third, with based mineral deposits in the foreseeable future. automobiles being the largest single element. Nickel A manganese nodule mine will produce at least is often used as the principal alloying ingredient in three metals: cobalt, copper, and nickel. As mining high-performance steels. An example is jet engine and processing techniques become perfected and turbine blades .95 their costs are better estimated, some potential pro- Manganese is also an important ingredient in steel- ducers are indicating that manganese will be pro- making. There is no acceptable substitute for man- duced to assure profitability. Given that all four ganese as a toughening agent and as a sulphur- metals may be produced, the potential importance removing or fixing agent. 96 About 95 percent of of nodules as a source of metals is shown in table world manganese output is used in steel production. 6-:2 for various levels of production. One deep-sea Cobalt metal is used principally in alloys, perma- mining operation is likely to process about 3 million nent magnets, and cemented carbides. Superalloys short tons of dry nodules per year. containing from 36 to 65 percent cobalt can with- Clearly, an ocean mining industry wilI not be stand severe stress at temperatures up to 1,600 de- able to operate profitably unless it can produce grees F. Although for some uses, cobalt and nickel manganese, nickel, and cobalt at prices low enough are nearly interchangeable, and other alloying metals to capture a large share of future growth. As low- are substitutes in other uses, cobalt is clearly superior cost nickel deposits are exhausted and production for many specialized uses such as carbides and some becomes concentrated in higher cost lateritic deposits, tool steelS.97 deep-sea output can gain a place in the market. Over one-half of copper consumption is for elec- Inasmuch as lateritic deposits are energy intensive, trical uses. In 1976, copper consumption was esti- steadily rising energy prices will improve the com- mated by use as: electrical, 58 percent; construction, petitive position of deep-sea deposits. However, if 14 percent; transportation, 9 percent; ordnance, 2 several oper 'ations produce simultaneously, it is pos- percent; and miscellaneous, 5 percent.'31, Although sible that world prices of manganese, nickel, and many other metals and materials may be substituted cobalt may be reduced. for copper in specific uses, such as aluminum for With neither operating history nor firm cost esti- electrical purposes, or plastic for plumbing, copper mates, the economic importance of manganese nod- often provides superior performance. ules is necessarily speculative. Recent reports 100,1011 Of the four principal metals of interest in manga- do indicate that investments in ocean mining are nese nodules, the United States is not likely to be a likely to be at least as attractive as investments in lateritic nickel deposits in the short term with higher U.S. Department of the Interior, Bureau of Mines. Mineral risks offset by a higher potential rate of return. The Facts and Problems, 1975 Edition. Washington, D.C., Govern- ment Printing Office, 1976, p. 747. long-term outlook is even more optimistic as long 'Arthur D. Little, Inc. "Technological and Economic Assess- as world prices bold at predicated levels. ment of Manganese Nodule Mining and Processing," contract report for U.S. Department of the Interior, Office of Minerals Policy and Research Analysis, Cambridge, Mass., November 1977, pp@ 62-64. - 11 Arthur D. Little, Inc., op. cit. note 95. Ibid., pp. 74-76. 101 Arthur D. Little, Inc., op. cit. note 95. U.S. Department of the Interior, op. cit. note 94, p. 276. 101U.S. Department of the Interior, Ocean Mining Administra- "U.S. Department of the Interior, Bureau of Mines. Com- tion. Ocean Mining-An Economic Evaluation, by Rebecca L. modity Data Summaries-1977. pp. 46-A7. Wright, Professional Staff Study, March 1976. VI-26 Table 6-2.-PotentiaI importance of manganese nodules as a gource of metals United States Free World-" Manga- Manga- Nickel Copper nese Cobalt Nickel. Copper nese Cobalt 1975 consumption 145 1,540 1,130 6.4 470 000 6,0.00 20 in thousand shorttons2 Production from nodules as a percentage of 1975 consumption 3 for: 2 20 1.6 38 59 6.1 0.4 7.2 19 Million short tons of dry 4 40 3.3 77 118 12.0 0.8 14.0 38 nodules per year 6 60 4.9 115 177 18.0 1.3 22.0 58 8 79 6.5 154 236 25.0 1.7 29.0 76 'U.S. Department of the Interior, Ocean Mining Administration. Ocean Mining-An Economic Evaluation, by Rebecca L. Wright, Professional Staff Study, March 1976. 'Commodity Data Summaries, U.S. Bureau of Mines; Metallgesellschaft AG; and ADL estimates. '90 percent recovery of metals; grades: Ni = 1.6%, Cu =1.4%, Mn = 24%, Co 0.21%. United Nations Law of the Sea Conference Council of the Authority. The major -issues left The manganese nodules on the deep seab&d lie unresolved were the composition and voting mech- outside the jurisdiction of any country and are con- anism of the Council of the Authority and the sta- sidered the "common heritage of mankind." For this tutes of the Enterprise and the Seabed Tribunal.101 reason, they have been the object of extensive nego- At a later session in 1976, the developing coun- tiations under the auspices of the Third United Na- tries insisted on returning to basic issues and nothing tions Law of the Sea Conference. To date the Con- more was resolved. In the 1977 session, a new nego- ference has been unable to reach agreement on who tiating text was introduced that was described by the has the right to mine the nodules and what interna- U.S. Ambassador to the Conference, Elliot Richard- tional controls should be placed on those miners.' son, as "fundamentally unacceptable to the United- The 'Uncertainty of international legal and political States." "103 Ii his testimony to the Se n2atein October developments bears directly on investments in ocean 1977, Ambassador Richardson enumerated the prob- mining. Private companies are unwilling to advance lems of the latest deep seabed text: "I ocean mining operations until the legal situation is It does not give the reasonable assurance of acdess' clarified. -It is7 generally recognized that a long'-term, that'is necessary if the United States and others stable climate for investment. can best be accomp- are expected to help finance the Enterprise and to lished through an international -regulatory regime accept a "parallel system" as a basis of compro- under a new law of the sea treaty. mise. . . In 1?75, after two substantive sessions of the It could be read to' make technology transfer by Third United Nations Conference on Law of the contractors a condition of access to the deep Sea, a single negotiating text was drafted as the basis seabed, subject, at least in part, to negotiation in for future negotiations. This text was unacceptable the pursuit of A contract. to the United States because it contained no assur@ It could be read to give the Seabed Authority the ance that U.S. interests in maintaining access to these power to effectively mandate the Authority as a resources would be protected. A revised text devel- condition for access. oped in spring 1976 contained a number of improve- * It fails to set clear and reasonable limits on the ments from tho U.S. point of view. A two-part financial responsibility of contractors, possibly parallel system of development of deep seabed re- creating an obstacle to seabed development. sources was devised. The first provided for mining * It sets an artificial limit on seabed production of by States and their nationals, which would be author- minerals from nodules, which is not only objec- ized through contracts with the International Seabed Authority under reasonable terms and conditions; the 112 U.S. Department of the Interior. Mining and Minerals second provided for developments directly by the Policy-1977 Annual Report under the Mining and Minerals Pol- icy Act of 1970. Washington, D.C., Government Printing Office, Authority through its operational arm, the Enter- 1977, pp. 135-6. prise. This revised text attempted to balance and 11:1 E. Richardson, Ambassador to the U.N. Law of the Sea Conference, Testimony before the Senate Committees on Com- separate the powers and functions -of the plenary merce and Energy and Natural Resources, October 4, 1977. organ, the Assembly, and the executive organ, the 104 Ibid. VI-27 tionable in principle, but also far more stringent tions with those of reciprocating states so as to than necessary to protect land-based producers avoid conflict; from possible adverse effects. 0 Provide for resource conservation, including envi- * It gives the Seabed Authority extremely broad, ronmental protection; open-ended power to regulate all other mineral 0 Provide that seabed mining by U.S. companies production from the seabed "as appropriate." produce financial benefits for the international * It could be read as giving the Authority unaccept- community. able new -power to regulate scientific research in * Not require that processing plants be located in the area. the United States; * It fails to adequately protect minority interests and 0 Not offer U.S. mining companies financial protec- would, accordingly,. allow the abuse of power by tion against adverse effects of a treaty concluded an anomalous "majority." subsequent to the passage of legislation and ex- penditures by those companies; and * It allows the distribution of benefits from seabed 0 Assure that all provisions of the legislation leave exploitation to peoples and countries not parties undisturbed the concept of freedom of the high to the Convention. seas. * It seriously prejudices the long-term character of In 1977, the Congress considered several bills that the international regime by requiring that, if agree- would establish a domestic authority for deep seabed ment to the contrary is not reached within 25 mining. Two of these bills, H.R. 3350 and S. 2053, years, the regime automatically be converted into are likely to be considered further in 1978. The a "unitary" system, ruling out direct access by Administration is proposing amendments to H.R. contractors, except to the extent that the Author- 3350 which, if adopted, would bring the bill into ity might seek their participation in joint ventures alinement with the criteria listed above. with it. Under the terms of the proposed deep seabed For a system that would manage half of the mining acts, the United States would issue licenses Earth's surface, these are serious deficiencies. They for exploration and permits for mining manganese would unnecessarily inhibit, and perhaps even pre- nodules on the deep seabed. The acts would provide vent, deep seabed development. The next session of for development of deep seabed mining technology the Law of the Sea Conference is scheduled for and regulation of operations of U.S. citizens con- spring 1978. Ambassador Richardson feels that the sistent with sound resource conservation principles. next session will reveal finally whether a compre- These operations would be conducted in accordance hensive treaty is possible in the near future. with the doctrine of Freedom of the High Seas. The Federal Role and Congressional Initiatives Licenses and permits would be issued to qualified U.S. citizens under regulations to be promulgated While the United States continues to pursue a by an administering agency. All provisions of the satisfactory international resolution in the Law of National Environmental Policy Act of 1969 would the Sea Conference, the Administration also supports be adhered to in the licensing and permitting oper- the enactment of interim legislation that would au- ation. ithorize U.S. seabed miners to move forward. U.S. Licensed operators and permit holder's would be legislation establishing a domestic regime for'seabed required to follow resource conservation regulations, ,mining will be needed, whether there is an inter- including environmental controls, established by the national treaty or not, to regulate U.S. seabed mining administering agency after suitable public hearings. in accordance with sound conservation p;-'nciples, These operations would be subject to continuing in- Additionally, in the absence of a treaty, tbz United spections and monitoring. States will need assurance that existing international rights in the areas beyond national jurisdiction are Environmental Aspects of Seabed Mining protected. Today, the broader major potential problems cen- If there is to be any meaning to the concept of ter around the following: a "common heritage of mankind," those with the * The Law of the Sea (LOS) negotiations and in- technology and resources to make seabed mining dustry and the U.S. Government concerns; a reality must be allowed to move forward. In the * U.S. seabed mining legislation vs. Law of the Sea Administration's view, legislation should meet the negotiations; following criteria: '105 * The lack of information on environmental effects * Be interim in nature, providing for its own suc- in areas with new technology; and cession by a treaty; 0 Environmental regulation in an international * Contain provisions for harmonizing U.S. regula- arena. This discussion will focus on those problems specific- Op. cit. note 103. ally involving environmental concerns. VI-28 Environmental Regulationin an International Arena Phase I of DOMES officially began in 1976 with The United States will not be alone in deepsea de- some re'lated research conducted in 1974 and 1975. velopment; therefore, our domestic controls will not In addition to providing a quantitative baseline, the ensure environmental protection. Other nations' en- first phase was to identify major processes.controlling vironmental values are often not as advanced as our the distribution and abundance of marine organisms own. This is no new problem, and history illustrates and to provide information for development of pre- the problems for environmental regulation in this dictive models on the environmental effects of ocean type of situation; e.g., the International Whaling mining. The guidelines resulting from this study, now Commission, the Intergovernmental Maritime Con- in preparation, will suggest means of minimizing ad- sultative Organization (IMCO), and so on. The list of verse mining impacts. Phase I field operations ended factors signalling problems for environmental regula- in November 1976, and the final interpretation of the tion is lengthy indeed. studies was completed in January 1978. In the Until the international community demonstrates an meantime, an analysis of potential 'mining impacts, intention for strict environmental regulation, one pro- using information available through mid-July of cedure for the United States is through our own legis- 1976,-was published in April 1977. Baseline studies lation, thereby extending the reach of our control in of Phase I have been carried out at three sites within the environmental area. As previously mentioned, an area of the Pacific currently considered a primary U.S. national controls would not ensure environ- industry target. mental protection, but they could be effective. Proper .P.hase II.-is designed to monitor the prototype U.S. controls could result in tighter environmental mining equipment tests and to refine the guidelines standards for U.S. industry techniques and tech- resulting from Phase I. It will also provide data for nology. Established, successful U.S. standards could refinement of our predictive capability. Phase 11 possibly strengthen our position in international began in 1978; the, mining industry began its proto- negotiations for environmental regulations .106,197 type testing early in 1978. In international negotiations, the United States In 1975, the Congress directed NOAA to include should place emphasis on the right of participating assessment of processing facility impacts on land or countries to establish their own standards; higher, if at sea. Contract reports have been prepared for desirable, than those of the Authority. NOAA.110 The reports, based on existing available A closely related question and one of concern information, identify and describe production facil- deals with enforcement authority for international ities that will likely be required by the first-generation standards. Traditionally, international agencies have nodule mining industry and possible transportation not been vested with enforcement powers. Mecha- and waste disposal alternatives. Information in these nisms and procedures should be clearly spelled out. reports will help in assessments of impacts on land and at sea and will be used for followup impact assess- Lack of Environmental Effects Information ments. The possibility exists for some processing at Deep-sea mining has loomed over the horizon long sea, at least in the second-generation efforts. This is enough for environmental assessment to have been another opportunity to assess first and thereby guide well underway. A unique opportunity was offered for development of techniques and sites; the result re- assessment and environmental guidelines, to precede mains to be seen. Research on environmental effects technological development and operational activities. will no doubt continue to be less than maximally The entire environmental effort, prior to 1976, effective until agency jurisdiction is established and however, was largely unsatisfactory. The Deep a cohesive program adequately funded and imple- Ocean Mining Environmental Study (DOMES) by mented. NOAA (officially begun in fiscal year 1976) has State of Knowledge Concerning Possible Impacts involved close coordination with industry and should provide sound information for future decisions. There are three broad areas of impact to be dealt DOMES is a component project of NOAA's Ma- with: rine Ecosystems Analysis (MESA) Program. 108,109 It e Benthic environment-the seafloor and the life was designed to identify potential marine environ- dwelling on it, mental impacts to be expected from commercial 0Pelagic environment-the water column and the mining of deep ocean manganese nodules. organisms associated with it, and 9Site processing-at sea or on land. E. Richardson, op. cit. note 103. 101 Richard Frank, op. cit. note 24. Dames and Moore and EIC Corp. Description of Manganese ... Richard Frank, op. cit. note 24. Nodule Processing Activities for Environmental Studies, Vol- "' U.S. Department of Commerce, NOAA. Management Plan ume I, Processing Systems Summary; Volume 11, Transportation for Marine Ecosystems Analysis (MESA) Program. Environ- and Waste Disposal Systems; a contract report prepared for the mental Research Laboratories' MESA Program Office, Boulder, U.S. Department of Commerce, NOAA Office of Marine Min- Colo., 1977. erals, August 1977. VI-29 IMPACTS ON THE BENTHIC ENVIRONMENT lower water column and their subsequent settle- Mining will have both direct and, indirect effects ment. Unfortunately, the physical processes con- on the sea bottom and associated organisms. With trolling the redistribution are not well understood. the hydraulic system, assuming a unit production of At least a portion of the particulate matter will 5,000 metric tons of dry nodules per day, 1.9 square likely remain in the lower column and may settle kilometers per day of the seafloor will be mined. A out many kilometers from the disturbance site. much larger area (25 percent larger) will be required, The extent of this redistribution is unknown. however, because of unminable topography and areas Localized sedimentation rate will certainly be one of low nodule concentration. The mechanical system to several orders of magnitude higher than normal. (continuous line bucket) will directly affect the sea- We may, therefore, assume that many additional floor along a narrow swath parallel to the ship's benthic organisms will die as a result. Some will be track."" suffocated as a result of clogging of the respira- Dredging tory system, others will starve as'. a result of in- crease in sediment cover and their inability to bur- An obvious direct impact on marine organisms row to the surface. Many of the smaller fragile will be the destruction of a large percentage of forms will be destroyed by even a thin layer of those in the path of the nodule retrieval mecha- sediment (1 to 2 MM);114 nism. The significance of this impact will be de- Resuspension and resettling of bottom sediments termined by the extent of the ocean floor that is could incr*ease trace metal content of the sediment mined. If a large enough area is affected, it is pos- surface and adjacent water column. Direct effects sible that species with slow reproductive cycles will probably be negligible. Indirect effects, how- could be lost (some are thought to require 200 ever, could be significant. There is evidence in the years to reach maturity) from the community in literature to indicate that heavy metals accumulate the mined area or even become' extinct. This im- in organisms at the various trophic levels. The pact could be partially mitigated if mining is long biological half-life and the high concentration strictly regulated so that intermediary patches are factors found in many marine species suggest that left intact between dredge tracts .111.2,11113 food web magnification can occur'. If this is the The value of protection of these deep-sea orga- case, toxic effects on consumers could then result nisms is not measured in economic terms or even from feeding on organisms further down in the in terms of their importance in the food web. food web. Their value lies in the fact that they represent a An additional potential effect is the transportation unique assemblage of relict and seldom seen fauna of spores or other dormant life forms by means of important to the understanding of evolutionary sediment resuspension. There is initial information biology. Negligent extinction of these faunal com- on the possible occurrence of dormant photosyn- ponents through our mining efforts would be inex- thetic organisms in deep-sea sediments 115,11r, and cusable, and careful preventive measures must be some evidence for activation of these organisms taken. with surface exposure .117 The implication of this Benthic Discharge Plume impact is little understood, but it is likely to be In addition to the eff ect of the Iactual dredging, relatively insignificant. The survival success of the benthic fauna will be affected by the release of these previously dormant species will depend particulates in the near-bottom water column as a largely upon their ability to.compete with the result of washing. The hydraulic system will create a already well-established species. It has been specu- specific benthic discharge in the form of a plume con- lated that they could indeed outcompete the local taining resuspended bottom sediments, nodule frag- populations to the detriment of the community and ments, interstitial water, and benthic biota. Impacts even that they may possess some harmful char- are as follows: acteristics. Again, this seems unlikely; however, 9 The principal direct effects of this discharge will data should be generated concerning the behavioral result from the resuspension of particulates in the nature of these long dormant forms both to in- crease our understanding of food web stability and to ensure that we avoid speculations characteristic "'U.S. Department of Commerce, NOAA. Progress Report- Deep Ocean Mining Environmental Study-Phase 1, NOAA Tech- 114U.S. Department of Commerce, op. cit. note 111. nical Memorandum ERL MESA-15, August 1976, 178 pp. u5T. C. Malone, et a]. "The Possible Occurrence of Photo "I Richard Frank. Deep Sea Mining and the Environment. Synthetic Microorganisms in Deep Sea Sediments of the North American Society of International Law, Studies in Transnational Atlantic," Journal of Phycology 9: 482-483, 1973. Legal Policy No. 10, 1976, 54 pp. lic Op. cit., NAS. note 113. '" National Academy of Sciences. Mining in the Outer Con- "I U.S. Department of the Interior, Draft EIS-Proposed tinental Shelf and in the Deep Sea. Panel on Occupational Involvement in Law of the Sea Negotiations Governing the Safety in Marine Mining. Marine Board, National Research Mining of Deep Seabed Hard Mineral Resources Seaward of the Council. Washington, D.C., 1975,119 pp. Limits of National Jurisdiction, 1974. VI-30 of the andromeda syndrome. Assuming no harmful further than a few tens of kilometers from the drill competition, a new phytoplankton bloom could ship.: The significance of this impact will depend contribute to reoxygenation of surface waters where upon dispersion and settling rates, the extent of oxygen will be used in oxidation of discharged the mining operation, and its duration. Any large- sediment."" scale reduction in productivity could obviously Benthic organisms may also be indirectly affected have ramifications throughout the ecosystem. by events taking place within the midwater column Depending upon the above occurrences, there could and in the surface layers. Necessary nutrient accumu- be a reduction in zooplankton standing stock since lation in the deep-sea environment originates from changes in the phytoplankton community will have the surface layers. corresponding effects on higher trophic levels. The In summary, there will be gross mortality of magnitude and significance of this effect are un- benthic fauna near the disturbance area. The signifi- known at the present time. Baseline data in the cance of this impact will depend -upon the extent and DOMES area indicate a near steady condition for duration of the disturbance and the thickness and relatively long periods of time between phyto- rate of resedimentation. Deep-sea -faunal succession ' plankton production and zooplankton feeding. Be- and recovery rates need. further study to enable pre- cause of this,' it is possible that a reduction in dictions of long-term effects on the system as a whole. productivity will result in a reduction in zoo- plankton numbers, possibly affecting higher trophic IMPACTS ON THE PELAGIC ENVIRONMENT levels. 125Bathypelagic and deeper living fish could When the sediment and near-bottom' water is dis- also be affected since they probably depend, at charged, either at intermediate depth 's. or at.the sur- leastin part, upon the organic matter generated in face, it will form a discharge plume. Characteristics 'the upper layers .116 of this plume'have been cited as potential cause for concern .1119,120,121,12.2 Behavior and Toxicity Productivity Behavior of organisms in response to environ- mental signals is always of concern in areas where Surface plume models for assessing "worst case" interference' may occur .as a result of man's activities. situations have been developed by'DOMES. The It is a well-established fact that many marine species worst case." evaluation includes situations where respond. to changes in light intensity. For example, all discharged sediment remains in the surface mixed many adjust their position in the water column in layer as well as those cases where particles settle response to ambient light changes. Little information through the layer. In this situation: exists regarding behavior in terms of deep-sea mining * Maximum initial direct effects on temperature and impacts. Current information indicates the following: disolved solids would be so insignificant that they e Little zooplankton vertical migration occurs in the would be difficult to measure and any resulting biological impacts inconsequential. upper zone of,the study area so that decreases in * Increases in the concentration of plant nutrients light as a result of surface discharge will not sig- nificantly affect migration patterns. Behavioral (P04, S104, and N03) would be almost too slight impacts are in need of further study. 12T to even measure, therefore, will likely be insig- nificant in the. long term .123,124 ' . .. . . * , Incre'ased sediment concentration can affect respi- * The increased particulate concentration may be of. ration and feeding of zooplankton by increasing more concern. In the "worst case," without sedi- energy expended by filter feeders to capture and ment sinking, light penetration will be greatly re- assimilate food, by increasing sinking rates of or- duced in the area of the discharge plume and this ganisms, and by increasing likelihood of trace in turn will reduce productivity by as much as one- metal accumulation. Quantitative evaluation of half in 24 hours. If one takes sediment settling into these impacts is not possible with available in- account, the above effect is diminished. In an@ - formation. case, there will likel' Preliminary results from work done by Southwest y be a decrease in standing stock, the extent of which is unknown, but is ex- Fisheries Center (NMFS) Honolulu Laboratory petted to be a localized effect not extending indicates tuna aversion to traversing areas of algal blooms, possibly to avoid turbidity which again "8 Ibid. raises the question of changes in behavior result- "'National Academy of Sciences, op. cit. note 113. ing from alteration of the environment. Down- U.S. Department of Commerce, op. cit. note I 11. Richard Frank, op. cit. note 112, p. 54. - 112 U.S. Department of the Interior, op. cit. note 117. 121 U. S. Department of Commerce, op. cit. note 111. 121 U.S. Department of Commerce, op. cit. note 111. 121 M. Blackburn. Review of Existing Information of Fishes in 121 W. H. Thomas. "Phytoplankton Nutrient Enrichment Ex- the DOMES Area of the Tropical Pacific. Final Report NOAA periments Off Baja, California and in the Eastern Equatorial Contract No. 03-6-022-35125. Institute of Marine Resources. Pacific Ocean," Journal of the Fisheries Resource Board of University of California, La Jolla, Calif., 1976. Canada 26:1133-1145, 1968. 121 U.S. Department of Commerce, op. cit. note I 11. VI-31 current plumes could therefore interfere with tive effects on benthic and pelgaic biota as a result migrating fish. The degree of impact will depend of deep-sea mining. Our ability to assess impacts will on the size of the plume and its duration. It should improve as additional data from the DOMES effort be noted that tuna are characteristic of clear become available. It should be emphasized that the water and are seldom found under turbid condi- value of biological information does not lie in the tions. 128,129,130 This could, therefore, indicate a ability to say "some organisms will die as a result of possible effect on the efficiency of longline fishing, these activities." The value to the decision maker lies although the likely extent is not known at this time. in the ability to provide an assessment of the signifi- Highly mobile fish should, for the most part, be cance of this destruction to the long-term health of able to avoid high turbidity areas unless they are the ecosystem. extremely widespread. The result would be indi- It is likely that the most significant unanswered vidual deaths from respiratory clogging and inter- questions center around the effects of the resus- ference with feeding behavior. The significance of pended sediment in the surface plumes at the pyc- this impact is unknown, but the effects will likely nocline and in the benthic plume. be short term and localized. There will also be possible effects from subsurface IMPACTS OF PROCESSING turbidity plumes, which may form in association Little or no information is available on the poten- with the pyncocline. The impacts in this instance tial environmental effects associated with transpor- would involve deeper epipelagic fish including the tation and processing of manganese nodules. In view tuna taken by longlining down to 200 meters. of this, and to complement the DOMES at-sea re- Mobile epipelagic fish would move away from the search, NOAA has contracted for studies to char- layers with little mortality. Vertically migrating acterize possible onshore and offshore processing mesopelagic, fish will encounter these turbidity methods and likely transportation and waste disposal layers and may not pass through them in which activities. These descriptive works were published case they would tend to move out of the area of in August 1977.111 Followup phases of the NOAA their occurrence. The presence of these turbid program will use data from these reports to analyze layers will result in some mortality, but the overall potential environmental impacts. effect on populations and community structure is Impacts from land transportation will depend unknown. upon the method used. Potential modes include the * Both benthic and pelagic filter feeding organisms haul system, conveyor, slurry pipeline, and trucking. will ingest sediment particles and incorporate them Resulting impacts will likely be slight, barring acci- into fecal pellets. It is not known to what extent dents. The major environmental problems will cen- this will be beneficial in clearing the water and in- ter,around 'waste treatment and disposal. The largest creasing settling rates minimizing impacts on other portion of mineral process wastes consist of finely organisms, nor is it known what effects, if any, this ground rock slurried with liquid waste (tailings). Six will have on the food web. It is, however, another alternative disposal methods have been described.112 avenue into the system for toxic substances. Of these, three are felt to be the most likely for * Increased sediment will provide additional sub- first-generation activities. These are disposal in a strata for bacterial growth that could then use the landfill, disposal in a conventional slurry tailings dis- dissolved organic matter in seawater. Studies posal system, and disposal by deep-ocean dumping. are underway (DOMES) to investigate bacterial Careful impact evaluation will have to be done on all growth on the particles using dissolved organic viable alternatives in order to ensure selection of an matter. If bacterial growth resulted in greater use environmentally sound method and strict environ- of the dissolved organic matter, this, in combina- mental and safety regulation. tion with discharge of bottom water in the lower dissolved organic matter concentrations, could be- At-Sea Processing come limiting. Whether or not this is a potential Though indications are that first-generation opera- problem is little understood, and opinion is divided. tions will use onshore processing, the possibility The studies should provide some insight. still exists for these activities to take place at sea. The above has been a description of the qualita- There are three general options for processing at sea: 12s H. Yabe, Y. Yabuta, and S. Ueganagi. "Comparative Dis- 0 Physical benefication. tribution of Eggs, Larva, and Adults in Relation to Biotic and *Partial processing to produce an intermediate Abiotic Environmental Factors, FAO Fish Report 6(3):979-1009, product, and 1963. 12P G. W. Bane. The Distribution of Abundance of Tunas and Full at-sea treatment to finished products. Tuna Bait Fishes in the Gulf of Guines. Thesis: Cornell Univer- sity, Ithaca, N.Y., 1961, 119 pp. 130 G. 1. Murphy. "Effect of Water Clarity on Albacore U.S. Department of Commerce, op. cit. note I 11. Catches," Limnology and Oceanography 4:86-93, 1959. 112 U.S. Department of Commerce, op, cit. note Ill. VI-32 Incentives that may stimulate mine site processing nomic viability. This will require careful environ- are: mental regulation.@ * Savings in transportation costs, that is, shipping a Impact assessment should focus on waste disposal, more concentrated product. discharge or accidental spillage of* caustic reagents, * Cost and siting of waste disposal for land-based and the energy source, whether it be fossile fuel or processing facilities. nuclear. 133,13 .. 4,13'5 The first of these alternatives, physical benefica- Onshore Processing tion, would be economically attractive. Tailing wastes Impacts from onshore processing will differ con- would be disposed of at sea, and the upgraded nodule siderably. Potential impacts will be associated with material further processed on land. Tests have transportation from the mining site to seaports, in- demonstrated, however, that manganese nodules do cluding transfer from mining ships to transport vessel, not lend themselvesto this method without additional and return of fuels and supplies from shore to mining chemical treatment. The third alternative would like- ship. There will be impacts in the area of the port wise require the development of new technology. facilities for receipt of nodules, storage, and the start Partial processing, therefore, seems to be the only of inland transportation. This could involve onshore option likely in the near future. and/or offshore terminals with their attendent effects. There are several possible methods of partial proc- The type of terminal will depend upon whether the essing at sea. They would involve production of an nodules are in slurry, whole, or dried and ground. impure metal precipitate at sea with the following purification and final production on land. At-sea dis- U.S. Department of Commerce, op. cit. note 109. Richard.Frank, op. cit. note 24. posal of wastes would likely be necessary for eco- Richard Frank, op. cit. note 112. VI-33 Chapter VII: Marine Science and Technology Often referred to in tandem, marine science and might have returned to the comparatively small-scale technology are separate but closely-coupled proc- privately funded efforts of the prewar era had it esses. Scien@e provides the key to understanding the not been for the initiation of a Navy program to pro- oceans and contributes, with engineering, to the vide support for research and development in areas development of technology. Technology is the key to of Navy interest. The availability of this funding expanded marine operations, and its elements are was responsible for continued rapid growth of the used in scientific investigations as well as in eco- marine sciences in the postwar period. nomic and other activities unrelated to science. In the 1950s, Navy support of science, including Before World War 11, U.S. marine science was the marine sciences, leveled off. From 1947 to 1957, largely the province of the universities. Through the the Navy increased its funding of basic research by 1920s, the bulk of the marine research effort was 50 percent, about the same percentage that the cost carried out at a few small coastal laboratories used of support per scientist increased. Although additional by university biologists and their students. Then, in the support became available from the Atomic Energy late 1920s, the National Academy of Sciences began Commission, the Department of the Interior's Bureau calling attention to a research deficiency in ocean- of Commercial Fisheries, and the National Science ography. In 1930, the Rockefeller Foundation re- Foundation, the growth rate of the marine sciences sponded with $6 million in grants for the construc- declined in the 1950s. tion of oceanographic laboratory facilities. As a In 1957, the International Geophysical Year and result, three major centers of ocean science were the launching of Sputnik I by the Soviet Union pro- developed: the Scripps Institution of Oceanography, vided a new impetus for U.S. science efforts, includ- the Oceanographic Laboratories of the University of ing those directed to understanding and making use Washington, and Woods Hole Oceanographic Insti- of the oceans. In the decade that followed, Federal tution. support of oceanography expanded rapidly. The Until World War 11, endowments, funds from major emphasis of these efforts, however, continued foundations, and other private sources, as well as to be on research, both basic and applied, and on allocations from State university budgets, sustained such supporting elements as instrument development the research of these three laboratories plus the and the construction and maintenance of ships and oceanographic work of a few small biological sta- shore facilities. Surveys and other use-oriented serv- tions. The oceanographic activities of the Federal ices accounted for only 15 to 25 percent of the en- Government were, at that time, limited almost en- tire Federal ocean program at that time.' After 1966, tirely to fisheries investigations and to surveys for a number of services and engineering and technology mapping and charting. activities, as well, were added to the Federal ocean The character of U.S. science was drastically agenda. Since 1970, additional ocean functions that altered during World War 11 by the infusion of Fed- emphasize management and conservation of ocean eral funds into scientific projects having military resources have been undertaken by the Federal applications. When the wartime organization of sci- Government. ence was disbanded, marine science and technology Trends in the National Scientific Effort The development of marine science and tech- estimates of achievement. nology must be considered in the context of the The National Science Foundation (NSF), how- trends in U.S. science policy in general. Expenditures ever, uses a series of useful indices that track the and obligations for the funding of science and engi- neering activities have commonly been used as indi- 'Interagency Committee on Oceanography of the Federal catois of national scientific commitment. It should be Council for Science and Technology. National Oceanographic remembered, however, that they are measures of Program for Fiscal Year 1962, and fiscal years through 1967. ICO Pamphlet numbers 2, 3, 11, 15, 17, and 24. Washington, D.C., input rather than output, and as such are imperfect U.S. Navy, annually 1961-66. VII-1 general course of science and technology develop- tunately, the level of integration of the data used by ment and reflect the changing character and com- NSF in Science Indicators prohibits the identification parative stature of U.S. research and development of marine science and engineering as a functional (R&D) in the context of worldwide trends.' Unfor- entity. National and International Trends in R&D Funding Historically, total national R&D expenditures grew Federal funds for R&D increased in current dollars at a steady linear rate of approximately one-half in all but two of the years between 1960 and -1976, billion dollars annually from World War 11 through reaching their highest level, over $20 billion, in 1976; 1956.3 In 1957, the annual rate of expenditure in- funding in constant dollars, however, peaked in creased significantly (fig. 7-1). Since that time, -a 1967, had declined 20 percent by 1974, and then 40 rose 3 percent to the 1976 level (fig. 7-1): In the meantime, 1960-76 R&D funds provided by industry rose more rapidly than those of the Fed- eral Government, reaching $16.5 billion in current Total current dollars in 1976; these funds in constant dollars were 35 - dollars at their highest level in 1976, although there had been a rise of only 1.5 percent since 1973. Total constant The proportion of the Gross National Product 1972 dollars (GNP) expended for research is regarded as a uni- 30 - versal index of the national commitment to science And technology. According to this indicator, the 25 - 3.5 U.S.S.R. 20 - 10/ Federal to nstant .4 40 So."'. 1972 dollars M % 3.0 4010 0 * It 15 - I Federal current .04 10 - dollars 2.5 - 40P @f U.S. #40, WEST G E RMAN Y 1954 . '56 '58 '60 '62 '64 '66 '68 '70 '72 '74 '76 2.0 JAPAN tures 1954-76 (billion dollars). Source: Science Indicators 1976, National Figure 7-1-National R&D expendi Science Board, 1977, p. 206, p. 208. strong commitment to the national science effort has continued, with a steady increase in R&D funds. 1.5 10 ot Inflation, however, has eroded the purchasing power FRANCE of the research dollar so that in terms of constant dollars, i.e., current dollars adjusted by GNP'implicit price deflators, R&D has been level-funded since 1967 or has slightly declined. 1.01 1 1960 '62 '64 '72 '74 '76 2National Science Foundation, Science Indicators, 1967: Re- port by the National Science Board. Washington, D.C., Govern- ment Printing Office, 1977. Figure 7-2.-R&D expenditures as a percentage of gross 3 "Research and Development" as used herein means basic and national product 1961-76 (percent). Source: Science In- applied research and development activities. dicators 1976. National Science Board, 1977, p. 184. V11-2 fraction of the U.S. GNP devoted to R&D has The' implications of R&D funding based on the diminished steadily over the last decade, falling NSF indicators suggest continued strong general nearly 25 percent from its peak in 1964, although support for R&D activities. However, if general ex- the United States still leads all of the major R&D- penditures for R&D continue to decline in terms 'of performing countries with the exception of the Soviet constant dollars, it may be necessary to make some Union. The U.S. decline is largely due to the reduced difficult decisions respecting research priorities. Dis- growth of expenditures by the Federal Government regarding the massive commitments to "glamour" for R&D in defense and space exploration .4 While programs, such as space exploration and nuclear the proportion of the GNP spent for R&D by the energy, Federal R&D funding has been more or less United States has declined significantly during the proportionately distributed among competing research past 14 years, the percentage increased substantially activities.5 Significant commitments of Federal funds in the USSR, West Germany, and Japan (Fig. 7-2). to energy R&D in an all-out effort to develop alter- In 1974, the proportion of GNP directed to R&D native energy sources could again result. in an ex- was 2.3 percent in the United States, compared with panded R&D budget skewed toward energy applica- 3.1 percent in the Soviet Union, 2.2 percent in West tion. Nonscience priorities, on the other hand, could Germany, and 2.0 percent in Japan. France is the co-opt potential Federal growth funds, thus either only other industrial country evaluated that has maintaining the status quo or heightening the com- shown a long-term decline in percent of GNP de- petition for an even smaller piece of the constant- voted to research. dollar Federal budget. Trends in Marine Science and Technology Funding For data on ocean-related R&D expenditures, one must rely on the data included in the National 230 Oceanographic Program, which was compiled by the Interagency Committee on Oceanography (ICO) through 1966; the data subsequently provided in Marine Science Aftirs, which was published by the 210 - Marine Science Council until its termination in 1971; and the data now included annually in the Federal Ocean Program. Unfortunately, inconsistencies in the 190 - definition of marine science and engineering pro- grams in the Federal budget and changes in the ac- counting procedures of Federal agencies prevent exact comparability among the time series data. 170 - During the period 1968-77 national R&D expen- Curr:nt ditures in terms of constant dollars continued their doll rs general decline .(fig. 7-1); ocean-related R&D, on the other hand, remained steady over the same 150 - period (fig. 7-3). The activities identified in the "ocean research" and the "ocean engineering" cate- gories of the budget tabulations in the Marine Science Aflairs and Federal Ocean Program reports (fig. 130 - 7-3) are assumed to approximate, but not wholly reflect, Federal expenditures for marine science and technology. Because ocean-related R&D is but a small subset 110 of the total Government-wide R&D program, oscil- lations in year-to-year funding are more pronounced. The surge of funding which spanned the 2-year 90 ........... ....... period between 1970 and 1972 coincided with in- Constant 1967 dollars creased expenditures by NSF for the International Decade of Ocean Exploration (IDOE) and additional obligations for expanded research facilities and cap- 70 ital equipment, The inclusion of capital outlays in 1967 '69 '71 '73 '75 '77 4 NSF, op. cit. note 2, p. 4. Figure 7-3-Fedeml expenditures for marine-related R&D 5 NSF, op. cit. note 2, p. 41. 1967-77 (million dollars). VII-3 the aggregate expen ditures for marine science and For practical purposes, funding for ocean-reiated technology tend to mask the trends in long-term R&D in terms of constant 1967 dollars has been R&D financing. Similarly, the logistical costs of re- nearly level since 1968 if the short-term increase in searcL, e.g., expenditures for the maintenance and funding in 1971-72 is discounted (fig. 7-3). Ex- operation of ships and facilities, while they contribute penditures for all activities included in the Federal to the research effort, are fixed costs that tend to in- Ocean Program followed a similar trend, with fund- crease over time, but which cannot be considered ing in terms of constant 1967 dollars increasing legitimately as increases in research effort. slowly over the past decade (fig. 7-4). Structure of Marine Science and Technology-Perspectives of the Field Science is often categorized in quasi-independent, cost effectiveness of university-based research is elements: "basic" and "applied"; "mission-oriented" greater or smaller than Federal laboratory-based re- and "nonmission-oriented"; "big" and "little." Sci- search. Equally difficult to decide is: what kind and ence is also categorized by performer. Each cate- how much research and development should be un- gory has a constituency, each has its patronage, and derwritten by the private sector vis-a-vis the Federal each plays an important role in the R&D continuum. Government? Much of the controversy over the distribution of 1.0 support between basic and applied science arises from the persistent concern by the general academic community that basic science is not receiving a fair share of the total R&D budget. If indeed there is a 0.8 - Current mismatch between the basic science budget and the dollars total science budget, it may be partly because poten- tial applications often underlie the private and public 0.6 - support of basic science, yet the value of any given piece of work often does not become fully apparent until years after it is published. A comparison of total R&D expenditures (fig. 7-1) 0.4 - .... Consi:'n't", ... with basic research expeditures (fig.7-5) reveals that 1967 both rose continually during the 1960-76 period as dollars measured in current dollars; in constant dollars, funds for both in 1975 were at about the 1965 level. 0.2 - This level for basic research was 12 percent lower than the peak year of 1968; for all R&D, the 1975 level was 7.5 percent below 1968. In 1976, basic research expenditures rose 1.6 percent in constant 1967 '69 '71 '73 75 7 dollars, while total constant dollar R&D expenditures rose 2.9 percent (fig. 7-1). Figure 7-4.-Expenditures for the total Federal Ocean The Federal component of R&D expenditures Program 1967-77 (billion dollars). follows a pattern similar to the national. The Federal pattern, however, is somewhat more favor- The high cost of equipment, ships, and laboratory able to basic research. In constant dollars, total facilities have created a situation where only the Fed- Federal expenditures for R&D peaked in 1967, eral Government and industry can afford to support dropped 20 percent to a 1975 low, and then rose marine science and technology. But industry re- 3 percent in 1976. Federal constant dollar support sources are directed toward profit-making activities, for basic research peaked in 1968, dropped 16 per- and there are limits to Federal funds available for cent to the 1975 low, but rose only I percent in R&D. Thus, the issues in Federal support of ocean- 1976. The difference between the trends for all R&D related R&D often hinge on the allocation of the and for basic research reflects the fact that industry, Federal ocean R&D budget among competing but which provides over 40 percent of total R&D sup- complementary scientific activities. There are few port, continued to expand its activities in the applied C." ...................... benchmarks to determine how much basic or applied sciences and engineering. Meanwhile, the share of science is enough. Similarly, there are no precise the R&D dollar allocated to basic research by the performance standards to determine whether the Federal Government, which contributed over two- V11-4 5000 nology to lay the basis for long-range development. The need for a broad base of ocean technology, not Total Current directed to specific applications but useful to a wide 4500- dollars spectrum of ocean development activities, has been recognized by a number of Government advisory Total constant groups representing industrial and academic interests. 4000- 1972 dollars While the responses of Government, academe, and industry are to some extent self-serving, it is funda- mental to the development of consensus on the 3500- optimal apportionment of resources and responsi- bility within the U.S. research establishment. The relative roles of each sector in the support and con- 3000- Federal current duct , of marine science and technology are not dollars mutually exclusive, they tend to overlap throughout the R&D process (table 7-1). The Stratton Commission cautioned that "it is 200 - 0 "'o ........ essential that the distinction be clearly made between. Federal constant what private industry should do for itself under 1 72 dollars profit motivation and what the Government should 2000 do to assist. 11 6The distinction between governmental function and private function is unfortunately not that clear. A'fuzzy line of demarcation separates 1500- their respective roles. If the process of innovation is short-circuited too soon by terminating Government involvement before industry is capable of nurturing 1000 the innovation, the economic return on the Govern- ment's R&D investment may not be realized. 500 There are three instances where the Federal 1960 '62 '64 '66 '68 '70 '72 '74 '76 Government has extended its role into the techno- logical development process beyond the frontier that Figure 7-5.-Basic research expenditures 1960-76 (million normally divides governmental activities from private dollars). Source: Science Indicators 1976, National activities: (1) in the case of disaggregated industries, Science Board, 1977, p. 211. e.g., agriculture, fisheries, and medicine, where the structure of the private sector sometimes discourages applied R&D because of lack of capital and exper- thirds of all basic research funding, has remained tise, or where industry has no incentive to develop about the same. new information that would be available equally to Industry, like the academic community, has ex- competitors as well as sponsors of the research; pressed concern about the role of the Federal (2) where the Government is the consumer of the Government in R&D. Industry's concern is that technology, e.g., defense systems, space technology, Federally sponsored projects may transcend the and undersea technology; and (3) in instances where imaginary line that separates nonmarket-oriented sLpport of long-range, high-risk, high-priority tech- technological innovation from market-oriented com- nology is clearly in the national interest, e.g., nuclear mercial development. On the other hand, industry is technology and ocean thermal e nergy conversion. also concerned that Federal regulatory actions may be based on limited technological expertise. As in marine science, which includes both applied G Report of the Commission on Marine Science, Engineering, and basic research, ocean technology includes both and Resources to the President of the United States and the short-term development for application to immediate U.S. Congress, by Julius A. Stratton, Chairman. Our Nation and the Sea-A Plan for National Action. Washington, D.C., Gov- problems and general purpose engineering and tech- ernment Printing Office, 1969, p. 39. Federal Marine Science and Technology Establishment Marine science and technology efforts are sup- sibilities of individual agencies. This tendency reflects ported by 21 organizations in 6 departments and 5 the recognition that marine science and technology independent agencies. The unstated policy of the is important in meeting agency operational require- U.S. Government has been to couple specific R&D ments. activities to the management and regulatory respon- VII-5 Table 7-I.-Cuffent roles of the Federal, academic, and industrial sectors in marine science and technology Federal Academic Activity Government institutions Industry Research; Lead and support the Nation's overall Provide an academic atmosphere, Support and conduct sufficient marine science and technology program. scholarly competence, and infrastruc- basic research to achieve en- ture for research and education. trepreneurial goals. Fund basic and applied research at aca- demic institutions. Initiate and perform basic research Perform applied research funded with Federal and nongovern- necessary for commercial Provide "big science" facilities, including mental funds. purpo@es. support of the oceanographic fle 'et and Undertake a balanced proportion of national laboratory facilities. appropriate applied, problem-oriented Conduct problem-oriented applied and R&D. basic research within the mission agencies. Promote interdisciplinary research with problem-focus and provide managerial leadership for major problems of national interest. Innovation of technology: Develop scientific, exploratory, and sur- Address appropriate multidisciplinary, Develop technology through vey information. regional R&D problems that are less processes of innovation to than national in scope. produce a commercially mar- ketable commodity or service. Undertake appropriate engineering devel- opment in certain high-risk, high-priority areas that are in the national interest and where private sector probably would not invest. Disseminate information, including map- ping and charting products and data, and transfer technology to appropriate users. Provide limited technological and advisory services, including mapping and charting, to promote innovation and development in the private sector. Education: Provide support to academic institutions Provide graduate and undergraduate for ocean-related R&D that serves a dual training in the ocean-related sciences function for graduate and undergradute and engineering. training. Fund programs for developing acader.nic capabilities in marine R&D. Commercialization: Supply entrepreneuHal factors to implement the commercial use of the product. IL NOTE: This table outlines the more important roles of the Federal Government, academic institutions, and industry. The natural roles of the three sectors are neither as limited nor compartmentalized as shown. The States are minimally involved in R&D, but omitted from the table. They use research findings and technological developments in management and regulatory decisions. VII-6 National Research Facilities The agencies of the Federal Government are orga- centrally identifying ih-housd research and develop- nized to provide services and regulate activities that ment resources and activities. Since l9r@6, the annual achieve national goals. In agencies whose missions management analysis of the Director of Defense require a high degree of science and technology, Research and Engineering has included compre- research and development is a major component of hensive data on fundin , manpower, and facilities, 19 many programs. Many of the agencies having ocean- as well as brief descriptions of each activity's mis- related missions are in this category. sion, current problems, functions and equipment While no clear distinction can be made between capabilities.' In contrast, the Appropriations Com- the research objectives of the Federal mission agen- mittee staff found that neither the Department of cies and the university research enterprise, their Commerce nor. the National Oceanic and Atmos- respective roles have been described in terms of the, pheric Administration (NOAA) had long-range dichotomy between applied research-the role of facility planning mechanisms.9 the Federal laboratories-and basic research-the In response to the findings of the House Appro- primary role of the universities and academic re- priations Committee investigation, NOAA formu- search institutions. Actually, the basic and applied lated a long-range plan for its laboratory facilities. functions tend to be commingled in Federal, univer- The Facilities Master Plan, completed in January sity, and industrial laboratories, and each contributes 1975, describes the condition of the physical plant to the "whole" of science and technology, notwith- and equipment of each facility and assesses the need standing their traditionally described roles. Thus, to update or otherwise improve the operation, in- it is neither useful nor accurate to attempt to define cluding time and cost factors involved. the respective roles of the Federal, university, and . Problems similar to those raised by the Appropri- private sectors on the basis of either basic or applied ations Committee investigation were identified by the research. Stratton Commission, which concluded that many -Federal Research Laboratories in-house laboratories were "too srsall to mount effective programs" and recommended "strengthen- Established to support the mission research of the ing them by adequate funding and staffing." The Federal agencies, Federal research laboratories are Commission ' suggested that there be a "selective the focal point for the in-house research programs of consolidation of marginal laboratories." "I Since the ocean agencies (table 7-2). Federal laboratories that time, NOAA's National Marine Fisheries Serv- range from small, single-purpose research facilities ice (NMFS) and the Navy, the two organizations associated with academic institutions, to regional operating the greatest number of laboratories, have field facilities focusing on local problems. Some, consolidated several laboratories and closed others. such as the national laboratories operated by the Department of Energy and the NASA laboratories, NOAA Laboratories are vast research complexes with broad research The most extensive agency network of marine missions that require sophisticated equipment and science laboratories. is that of NOAA, whose NMFS high capital cost. has 26 laboratories distributed along all the Nation's The number of Federal laboratories increased coasts. Four of these laboratories are engaged in the dramatically during World War II, and in the post- improvement of fishery products technology, and war period as the Nation undertook a massive R&D one is involved in developing techniques for aqua- program and sought to solve its environmental prob- culture. The remaining laboratories, coupled with lems. Although some Federal laboratories conduct the NOAA fisheries research fleet, perform basic basic investigations in areas of agency interest, most biological and environmental research as well as of their Work is problem-oriented to meet mission applied fisheries investigations. requirements. In addition to the NMFS laboratories, 14 labora- In 1974, the investigating staff of the House Com- tories are managed by six other NOAA mission mittee on Appropriations cited, a number of ex- elements: The Environmental Research Laboratories amples of laboratory management that "clearly (ERL), the National Ocean Survey (NOS), the depict the underutilization, overbuilding, and dupli- National Environmental Satellite Service (NESS), cation of facilities and programs plaguing the the Office of Ocean Engineering (OOE), the National Government's research efforts ." 7The staff singled Weather Service, and the Environmental Data out the Department of Defense as the only agency Service. Seven of the fourteen are ERL laboratories. ERL facilities are, in most instances, located at 7 U.S. Congress, House Committee on Appropriations. Utili- zation of Federal Laboratories. Hearings before the Subcom- Ibid., p. 6. mittee on Agriculture-Environmental and Consumer Protection Ibid., p. 28. 93d Congress, 2d Session, Pt. 6 p. V. Ill. 10 Our Nation and The Sea, op.cit. note 6, P. 29. VII-7 Table. 7-2,-Federal laboratories conducting research related to marine science and engineering Department or agency facility and location Function DEPARTMENT OF COMMERCE (DOC) National Oceanic and Atmospheric Administration (NOAA) National Marine Fisheries Service (NMFS) Northwest and Alaska Fisheries Center Research on living marine sources in temperate and subarctic North- Seattle, Wash. east Pacific Ocean. Northwest and Alaska Fisheries Center@ Research on northern fur seal of Pribilof Islands. Marine Mammal Division, Seattle, Wash. Auke Bay Fisheries Laboratory Research directed toward establishing limits and biological productiv- Auke Bay, Alaska ity of living marine resources in waters adjacent to Alaska. Kodiak Laboratory, Kodiak, Alaska Studies on problems related to fish and shellfish processing and qual- ity and studies of parameters affecting mortalities during live holding of crab. .Seattle Laboratory, Seattle, Wash. Research and development on improved use of marine resources. Southeast Fisheries Center, Miami, Fla. Conducts fishery, biological, oceanographic, and chemical research. Pascagoula Laboratory, Pascaguola, Miss. Conducts resource surveys and biological fisheries research to assess underutilized fisheries resources. National Fisheries Engineering Advance fishery technology. Laboratory, Bay St. Louis, Miss. Galveston Laboratory, Galveston, Tex. Shrimp aquaculture research and technology. Panama City Laboratory, Research on biology and ecology of coastal marine fishes. Panama City, Fla. Port Aransas Laboratory Biology and ecology of coastal marine fishes. Port Aransas, Tex. Beaufort Laboratory, Beaufort, N.C. Resource evaluation of Atlantic and Gulf menhaden and marine fishes of natural and artificial reefs. College Park Laboratory, Research in fishery technology. College Park, Md. (relocating to Charleston, S.C. 3/78) Northeast Fisheries Center Research and development relating to stocks of fish supporting sport Woods Hole, Mass. and commercial fisheries in Northwest Atlantic. Narragansett Laboratory, Basic research in larval fish and invertebrate physiology and taxonomy Narragansett, R.I. and gamefish ecology. Milford Laboratory, Milford, Conn. Determine effects of environmental factors on marine resources of New England waters. oxford Laboratory, Oxford, Md. Fishery biology and management; diseases, pathology, ecology and life history. Sandy Hook Laboratory, Highlands, N.J. Research in marine fisheries, biological oceanography and estuarine ecology. Gloucester Laboratory, Gloucester, Mass. To improve quality, quantity and variety of marine products reaching the consumer. National Systematics Laboratory Research on taxonomy of selected kinds of marine and aquatic or- Washington, D.C. ganisms. Atlantic Environmental Group Conduct marine environmental studies, provide oceanographic and Narragansett, R.I. meteorological data, and interpret data and interrelationships for use in fisheries and environmental forecasting. V11-8 Table 7-2.-Federal laboratories conducting research related to marine science and engineering (continued) Department or agency facility and location Function DEPARTMENT OF COMMERCE (DOC) National Oceanic and Atmospheric Administration (NOAA) Southwest Fisheries Center, La Jolla, Calif. Research and management studies for commercial and sport fisheries. Honolulu Laboratory, Honolulu, Hawaii Study of high-seas tropical pelagic fishery resources. Tiburon Laboratory, Tiburon, Calif. Conducting studies on living resources and their environment of coastal waters of Southwest Region of NMFS. Pacific Environmental Group Conduct marine environmental studies, provide oceanographic and Mon.terery, Calif. meteorological data, and interpret data and interrelationships for use in fisheries and environmental forecasting. National Seafood Quality and Inspection Conduct and coordinate chemical, physical, microbiological, public Laboratory, Pascagoula, Miss. health, nutritional, engineering, and food-processing research studies to provide measurements and standards of seafood quality and sanitary handling. Environmental Research Laboratories (ERL) Boulder Environmental Research Research related to lower and upper atmosphere, space environn@ent, Laboratories, Boulder, Colo. and solid earth. Pacific Marine Environmental Laboratory Research toward a fuller understanding of ocean basins and borders. Seattle, Wash. Joint Tsunami Research Effort Research on transfer of earthquake energy to tsunami energy and Honolul, Hawaii propagation. Atlantic Oceanographic and Meteorological Research on ocean basins and borders, oceanic processes and ocean- Laboratories, Miami, Fla. atmospheric interactions. Geophysical Fluid Dynamics Laboratory Investigations of dynamics and physics of geophysical fluid systems. Princeton, N.J. National Hurricane and Experimental Mete- Develops experimental methods to change atmospheric processes art,i- orology Laboratory, Miami, Fla. ficially and in a reproducible manner. Great Lakes Environmental Research Define present condition of Great Lakes. Laboratory, Detroit, Mich. National Ocean Survey (NOS) Geodetic Research and Development Carries out research and development in geodesy in support of opera- Laboratory, Rockville, Md. tions directed towards improving accurate determination of earth's configuration and distributing of mass. Enginering Development Laboratory-Ocean Development of ocean structures and platforms in support of data Engineering Branch, Miami, Fla. acquisition of NOAA. Engineering Development Laboratory Provides design, development, and test of data acquisition and process- Rockville, Md. ing systems for use in ocean environment. Office of Ocean Engineering (OOE) NOAA Data Buoy Office Research, development, test and evaluation of a spectrum of data Bay St. Louis, Miss. buoys with sensors, power supplies, hull sizes, and data processing and communications systems. National Environmental Satellite Service (NESS) Spacecraft Oceanography Project Research and development in application of aerospace remote sensing Suitland, Md. techniques to oceanography. V11-9 Table 7-2.--Federal laboratories conducting research related to marine science and engineering (continued) Department or agency facility and location Function DEPARTMENT OF COMMERCE (DOC) National Oceanic and Atmospheric Administration (NOAA) National Weather Service (NWS) Techniques Development Laboratory Hurricane ocean surge research and development. Silver Spring, Md. Environmental Data Service (EDS) Center for Experiment Design and Data Provides data management, interpretation, and analysis to meet na- Analysis (CEDDA), Washington, D.C. tional and international needs for atmospheric and marine environ- mental assessment. Maritime Administration (MarAd) National Maritime Research Center Support of Maritime Administration through test and evaluation of Kings Point, N.Y. systems and components. DEPARTMENT OF DEFENSE (DOD) U.S. Army Coastal Engineering Research Center Provides research and development assistance in accomplishment of Washington, D.C. civil works programs of Corps of Engineers. Waterways Experiment Station Conduct models of estuaries and other seashore areas for the study Vicksburg, Miss. of local water processes. Chesapeake Bay Hydrolic Model Study Chesapeake Bay water processes. Kent Island, Md. U.S. Navy Civil Engineering Laboratory The principal Navy research, development, test, and evaluation center Port Hueneme, Calif. for shore and sea floor facilities and support of Navy and Marine Corps construction forces. Naval Research Laboratory Conduct scientific research and development in physical sciences and Washington, D.C. related fields directed toward new and improved materials, equipment and techniques, and systems for the Navy. Naval Ship Research and Development The principal research, development, test, and evaluation center for Center, Bethesda, Md. Naval vehicles; also provides support for the Maritime Administration and the maritime industry. Naval Coastal Systems Laboratory Application of science and technology associated with military opera- Panama City, Fla. tions carried out primarily in coastal regions. Naval Submarine Medical Research Conducts medical research and development a:; it relates to sub- Laboratory, Groton, Conn. marine, shipboard, and diving environments. Naval Underwater Systems Center Principal Navy research, development, test, and evaluation center for Newport, R.I. underwater weapons systems. Naval Arctic Research Laboratory Provide facilities and services for accomplishing those programs of University of Alaska Barrow, Alaska basic and applied research which contribute to successful Navy opera- tions in arctic regions. U.S. Naval Oceanographic Office Collect, analyze and display oceanographic data in support of fleet Bay St. Louis, Miss. operations and -shore establishments; improve methods of ocean- ographic pre"diction, data collection, and data analysis; perform other related research, development, testing, and evaluation. Naval Ocean Research and Development Provide a full spectrum of ocean science support for Navy research Activity, Bay St. Louis, Miss. and development programs; provide ocean science program manage- ment in oceanographic research and development; develop and recom- mend an annual Navy plan in ocean science; conduct related research and development programs. V11-10 Table 7-2.-Federal laboratories conducting research related to.marine science and engineering (continued) Department or agency facility and location Function DEPARTMENT OF DEFENSE (DOD) U.S. Navy Naval Environmental Prediction Research Ocean environmental prediction modeling research. Facility, Monterey, Calif. Navy Medical Research Institute Environmental health effects studies and analyses; contributes to Navy Bethesda, Md. underwater operations. Naval Air Development Center Engineering research, development, and testing in support of weapons Warminster, Pa. systems., Naval Ocean Systems Center Conducts research, development, testing, and evaluation of systems San Diego, Calif. and techniques to improve the.effectiveness,of Navy ocean operations. Naval Ordinance Laboratory, Studies hardware responses to environmental factors in support of White Oak, Md. weapons. systems. Applied Research Laboratory Research and development in underwater systems for torpedos, hydro- Pennsylvania State University dynamics, and acoustics. University Park, Pa. (not Navy-owned; under continuing Navy. contract) Applied Physics Laboratory Research, development, test, and evaluation in areas of acoustics, University of Washington, Seattle targets and training devices, acoustic lenses, ocean physics and ocean (not Navy-owned; under continuing Navy engineering. contract) ENVIRONMENTAL PROTECTION AGENCY (EPA) Western Fish Toxicology Field Station To develop toxicology data for anadromous fishes and their food Corvallis, Ore. organisms indigenous to Pacific Northwest Region, with major em- pha§is placed on measuring safe levels for salmon. National Marine Water Quality Laboratory To determine water quality requirements for use of marine waters Narragansett and West Kingston, R.I. and to recommend water quality criteria. Gulf Breeze Environmental Research ;To` conduct and manage research on ecological effects of pesticides Laboratory, Gulf Breeze, Fla. and other hazardous organisms. DEPARTMENT OF HEALTH, EDUCATION,. AND WELFARE (HEW) Food and Drug Administration (FDA) Gulf Coast Technical Services Unit Provide technical assistance to States and regional offices and conduct Dauphin Island, Ala. research on public health aspects of shellfish sanitation. DEPARTMENT OF THE INTERIOR -(DOT) Fish and Wildlife Service (FWS) Fish Pesticide Research Laboratory Research on effects of pesticides on fishes. Columbia, Mo. Ashland Biological Station, Ashland, Wis. Lake trout assessment, lake trout-sea lamprey relationships, life his- tory studies on brown trout, and limnology studies. Sandusky Biological Station, Sandusky, Ohio Research on heavy metals in Lake Erie fishes, age and growth studies on walleye. Fish population assessment in.Lake Ontario. Tunison Laboratory of Fish Nutrition Research on Atlantic salmon and lake trout toward development of Cortland, N.Y. improved diets for production of better fish. Western Fish Disease Laboratory Research on nature and prevention of communicable diseases in west- Seattle, Wash. ern salmon and trout. V11-1 1 Table 7-2.-Federal laboratories conducting research related to marine science and engineering (continued) Department or agency facility and location Function DEPARTMENr OF THE INTERIOR (DOI) Fish and Wildlife Service (FWS) Great Lakes Fishery Laboratory Research to delineate physical and biological parameters of Great Ann Arbor, Mich. Lakes, including fish population dynamics. Southeastern Fish Control Laboratory Develop analytical methods for determining residues of fish control Warm Springs, Ga. agents in fish. Toxicity studies on lamprey larvicide TFM. Hammond Bay Biological Station, Research on sea lamprey control, utilizing both chemical and bio- Millersburg, Mich. logical methods. Western Fish Nutrition Laboratory Research on nutritional needs of western salmon and trout. Cook, Wash. Abernathy Salmon Culture Development Develop improved method of culturing fish (primary emphasis on Center, Longview, Wash. Pacific salmon). U.S. Geological Survey (USGS) National Center, Reston, Va. Performs surveys, investigations, and research covering topography, geology, and mineral and water resources of the United States. Geologic Division, Office of Marine Geology, Investigations of marine geological resources and environment. Reston, Va. Branch of Atlantic - Gulf of Mexico Investigations of the geological resources and environments of the Marine Geology, Quissett Campus, Atlantic continental shelf. Woods Hole Oceanographic Institution, Woods Hole, Mass. Field Office, Corpus Christi, Tex. Investigations of the geological resources and environments of the Gulf of Mexico continental shelf. Branch of Pacific - Arctic Marine Geology, Investigations of the geological resources anad environments of the Menlo Park, Calif. Pacific and Arctic continental shelf. Conservation Division, Reston, Va. Classification @and evaluation of mineral resource potentials of offshore Federal lands. Supervision of offshore mineral development and ex- traction operations on leased Federal lands. Eastern Region, Washington, D.C. Classification and evaluation of mineral resource potentials of Atlantic offshore Federal lands. Supervision of Atlantic offshore mineral de- velopment and extraction operations on leased Federal lands. Gulf of Mexico Region, Metarie, La. Classification and evaluation of mineral resource potentials of Gulf of Mexico offshore Federal lands. Supervision of Gulf of Mexico off- shore mineral development and extraction operations on leased Fed- eral lands. Western Region, Menlo Park, Calif. Classification and evaluation of mineral resource potentials of Pacific offshore Federal lands. Supervision of Pacific offshore mineral de- velopment and extraction operations on leased Federal lands. DEPARTMENT OF TRANSPORTATION (DOT) U.S. Coast Guard (USCG) Research and Development Center Research and development, test and evaluation of techniques, equip- Groton, Conn. ment, systems and materials in support of Coast Guard operational missions. Fire Test Facility, Mobile, Ala. Test and evaluate commercial and recreational boating safety equip- ment and methodology. VII-12 Table 7-2.-Federal laboratories conducting research.related to marine science and engineering (continued) Department or agency facility and location Function DEPARTMENT OF ENERGY (DOE) Knolls Atomic Power Laboratory Performs engineering, research and development work relatea to de- Schenectady, N.Y. sign, improvement and operation of nuclear power plants suitoble for naval vessels. Brookhaven National Laboratory Research in the physical and biological sciences and engineerir Upton, N.Y. Lawrence Livermore Laboratory Fundamental and applied research and development related to nu%-Iear Livermore, Calif. sciences and use of atomic energy. Hollifield National Laboratory Conducts an interrelated program in nuclear medical research. Oak Ridge, Tenn. Pacific Northwest Laboratory Energy technology, materials research and development, ph@ ;ical Richland, Wash. sciences, life sciences, environmental research and nuclear wea ions development. Savannah River Laboratory Research and development in support of present and future Savannah Aiken, S.C. River products. Argonne National Laboratory Applied and basic aspects of nuclear research. Argonne, Ill. NATIONAL AERONAUTICS AND SPACE ADMINISTRATION (NASA) Goddard Space Flight Center Development and demonstration of applications of visible, infrared, Greenbelt, Md. and passive microwave aerospace remote sensing technology to, sea ice, living marine resources, and coastal zone processes monitoring. Jet Propulsion Laboratory Development and demonstration of applications of active microwave Pasadena, Calif. aerospace remote sensing technology to measurements of sea state conditions and sea ice. Langley Research Center, Hampton, Va. Research and development of multispectral. visible aerospace remote sensing technology for applications to surveys of living marine re- sources and the quality of the coastal water environment. Lewis Research Center, Cleveland, Ohio Demonstration of, and transfer of active microwave aerospace ice cover remote sensing technology to Federal agencies for operational use in obtaining ice conditions in the Great Lakes and Alaska coastal waters. National Space Technology Laboratories Demonstrate to, and train other agency personnel in the use of Earth Resources Laboratory, Bay St. Louis, multispectral visible and infrared aerospace remote sensing technology Miss. for coastal zone land utilization and wetlands mapping. Wallops Flight Center, Wallops Island, Va. Development and demonstration of applications. of aerospace radar altimeter technology to mapping of ocean surface topography and measurements of sea state conditions. leading universities and perform research in oceanog- uated the quality of research done by NOAA labora- raphy, limnology, meteorology, upper atmosphere tories and assessed the effectiveness of the labora- and space physics, and remote sensing of the atmos- tories in terms of equipment, facilities, personnel, phere and ocean. In-house activities are supple- management, and quality of research. The academy mented by research sponsored through contracts report, released in late 1977, included analyses of and grants. the strengths and weaknesses of each laboratory At the request of the NOAA Administrator, the visited and recommendations to improve their effec- Ocean Sciences Board of the National Academy of tiveness." Sciences reviewed NOAA's R&D program. From 11 National Academy of Sciences, The Quality of NOAA's May 1975 to May 1976, review teams were sent to Ocean Research and Development Progra"is-An Evaluation, a number of NOAA laboratories. These teams eval- Washington, D.C., 1977. VII-13 The Board found a great deal of variability among Agency is required, by statute, to establish labora- the laboratories. The research, for example, at the tories near universities with research programs. Other larger fishery laboratories was largely of excellent mission agencies have also located in-house facilities quality whereas the quality of the research at some of in the vicinity of or in conjunction with university the small fishery laboratories was disappointing, programs to encourage the infusion of academic often as a result of isolation from other scientists talent and resources into their problem-oriented doing similar work. The quality of research at ERL marine science programs. The Stratton Commission laboratories was generally good-to-excellent by com- noted that this trend often works to the benefit of parison with the rest of the ocean science commu- both the Federal and the academic laboratories and nity. However, the Board concluded the application suggested that the trend should be encouraged. 12 of ocean science results to operational programs All of the mission agencies support university within NOAA could be improved. The Board also research to supplement the work of their in-house found that, at some ERL and other nonfishery laboratories. Most of these contract studies are laboratories, ties with universities and other ocean- problem-oriented, although discipline-oriented re- ographic institutions were frequently deficient and search is funded by some agencies in scientific areas that the quality of some of the research at several relevant to their missions. The National Science laboratories suffered because the efforts of research- Foundation, the Navy, NOAA, and the Department ers were spread too thinly to be effective. NOAA is of Energy support the largest discipline-oriented pro- now considering the recommendations of the Ocean grams. Sciences Board.- A wide variety of large and small State and private universities participate in Federally-supported ma- Laboratories of Other Ocean-Related Agencies rine science programs. Some 100 colleges and uni- Although NOAA operates the greatest number of versities offer graduate programs in the marine laboratories, most of the other agencies involved in sciences, ocean engineering, or closely related sub7 marine science and technology maintain in-house jects .13 Most, if not all, of these institutions are in- laboratories as well (table 7-2). After NOAA, the volved in marine research, but many of their pro- agencies operating the most laboratories involved in grams are of modest scale. maritime R&D are the Navy, NASA, the Depart- The Stratton Commission, in reviewing the progress ment of Energy, and the U.S. Fish and Wildlife of the marine sciences, noted the outstanding contri- Service @(FWS) of the Department of the Interior. butions of a few large oceanographic laboratories. FWS laboratories are committed to research on This preeminence was attributed to the multidiscipli- Great Lakes ecology, coastal ecosystems, and the nary nature of ocean science investigations, which re- culture and ecology of Atlantic and Pacific salmon quire broad institutional support to research in distant and other anadromous fish. The Department of waters and rely on sophisticated and complex facil- Energy has eight contractor-operated laboratories in ities. The Commission concluded that a small num- research and development relating to energy technol- ber of geographically distributed, large marine ogy and nuclear research. science centers was needed. It recommended that In cooperative ventures with other Federal agen- these centers be established and equipped with the cies having major ocean programs, NASA supports facilities necessary for global and regional marine the conduct of marine-related research activities at research programs and that they be "assured of ade- several of its Field Centers. This work is directed to quate institutional funding for continuity and main- the development, testing, and demonstration of aero- tenance of both programs and facilities." 14 space remote sensing technology applications and to Although not on the scale envisioned by the Strat- the acquisition of information on dynamic ocean ton Commission, a type of institutional funding of processes and phenomena. marine science laboratories for deep-ocean research Navy in-house laboratories have a variety of re- is provided by NSF and the Navy through their ship search, development, test, and evaluation projects support programs. The amounts received by insti- to improve materials, equipment, techniques, and tutions, however, are closely tied to the ship require- operational engineering and weapons systems needed ments of research projects funded by these agencies. in naval operations. Much of the Navy's R&D is Additional university support, part of it institutional, dedicated to acoustical research or engineering devel- is provided by the NOAA Sea Grant Program .15 opment of seafloor facilities, submersibles, and man- 12 Our Nation and The Sea, op.cit. note 6, p. 29. in-the-sea technology. 13 U.S. Interagency Committee on Marine Science and Engi- neering of the Federal Council for Science and Technology. University-Related Laboratories University Curricula in the Marine Sciences and Related Fields- Academic Years: 1975-1976, 1976-1977. Doc/Kaufman DeBell To capitalize on the mutual benefits that can ac- Printing, Inc., Syracuse, N.Y., 1975. crue from cooperation between the Government and 14 Our Nation and the Sea, op.cit., note 6, p. 27. 15 National Sea Grant College and Programs Act, 33 U.S.C. academic institutions, the Environmental Protection 1121-1124. VII-14 Over 150 institutions are engaged in some 700 then that "underinvestment in the capital. structure different Sea Grant projects. Many of these institu- needed for marine . . . research of the next decade tions, however, are involved in Sea Grant-supported could mean losing ground which could be costly to socioeconomic and legal research (maritime affairs) regain in later years." 117 As a result, the,then Secre- or in marine education and training projects. Thus, tary of Commerce, Frederick Dent,, requested the not all of them participate in marine science re- Federal Council for Science and Technology (FCST) search. to undertake a study of the capital structure available Twelve universities, university systems, or con- for marine science. sortiums have been designated "Sea Grant Colleges." The study was performed under contract by the In addition, 18 university programs have been desig- Center for Naval-Analysis (CNA) and sponsored by nated "Institutional Programs;" and 10 have been the agencies participating in. the Interagency ' Com- designated "Coherent Programs," as distinguished mittee on Marine Science and Engineering. Based on from single project support. Institutions that do re- 5-year projected needs of the ocean-related agen cies, ceive institutional support have strong interdisci- CNA considered four classes of capital assets: (1) plinary research programs and offer regional advisory ships, (2) aircraft, (3) submersibles/ habitats, and services to transfer information and technology to (4) high-capacity computers. The major focus.of the users. They cooperate in areas of mutual interest study, however, was on. the oceanographic fleet. with other universities; Federal, State, and local CNA analyzed the adequacy of investment during government agencies; and with private industry. Sea the 1975-79 fiscal years by using agency 5-year Grant Colleges are chosen on the basis of the quality program projections as the basis for determining and productivity of their programs in research, edu- requirements. Projections for available assets were cation/training, and marine advisory services. Sea based on current inventory and agency plans for Grant College status entitles these institutions to a future procurements and retirements. The study large degree of autonomy in developing and manag- found that there would be a shortfall in shipdays- ing their programs. at-sea under several different assumptions about Among the Stratton Commission recommenda- future inventories and requirements. However, the tions was one for the establishment of coastal zone number of shipdays-at-sea would be adequate if re- laboratories to conduct research and advise States on quirements remained constant and retirements from coastal zone management. The Sea Grant Program the ship inventory were limited to those planned at was to provide institutional support to these labora- the time of the study.18 tories.16 Although not in the form proposed, Sea The Interagency Committee on Marine Science Grant has implemented the Commission's recom- and Engineering (ICMSE), in its comments on the mendations. The Sea Grant program has assumed study, noted that fleet inadequacies could become major responsibility for the funding of coastal zone serious in the 1980s, as aging ships are dropped research and has made contributions to the from the inventory, and that a renewed shipbuilding knowledge of coastal regions. In 1976, the legislation program in fiscal year 1978 or later would not rem- for the Sea Grant College Program was significantly edy the situation in the early 1980s because of the altered by the removal of the statutory prohibition lead times required. Agencies would then have to against contributing to ship support costs with Sea lease more @ship-time or convert existing hulls to Grant funds and by establishing fellowships and ocean science purposes. Neither of these steps result national and international programs. in ships as well suited for ocean science as those The Oceanographic Fleet specially designed for that purpose, although leased ships may be appropriate.to fill the needs of many Marine science and technology is limited by the short-duration programs. ability of scientists and engineers to work on the sur- 1CMSE also commented that both short- and long- face, in the water column, and on the seafloor. term projections suggested that the greatest need for Therefore, surface vessels, submersibles, buoys, air- new ships would be for small, light-displacement craft, and satellites are as necessary for the advance- vessels for use in basic and mission-oriented research ment of ocean science as particle accelerators and as well as environmental monitoring in coastal research reactors are to particle physics. waters.10 The projections cited by ICMSE, are ap- The U.S. National Advisory -Committee for Oceans and Atmosphere (NACOA), in its 1973 re- 17U.S. National Advisory Committee for Oceans and Atmos- port, observed that the oceanographic fleet had been phere, Annual Report: 1973, Washington, D.C., Government reduced by 25 percent over the years as a result Printing Office, 1974, p. 3. 18U.S. Interagency Committee on Marine Science and Engi- of bud-et reductions for ship support. It cautioned neering of the Federal Council for Science and Technology. The Capital Structures'f@r Ocean Science. Arlington, Va., Center 16H.R. 8470, 90th Congress, Ist Session (1967); H.R. 17590, for Naval Analyses, 1975, p. v. 91st Congress, 2d Session (1970); H.R. 9492, 92d Congress, Ist 19 Ibid., Appendix A'to foiwarding letter for ICMSE Chair- Session (1971). man to FCST Chairman. VII-15 parently being fulfilled. In 1977, NACOA observed, reduction of five ships, partly as a result of insuffi- with regard to the academic fleet, that "Federal cient increases, in funds available to meet rapidly funds for mission-oriented research, largely within a inflating operating costs. The shortage of operating few hundred miles of the U.S. Coast, have grown funds was especially severe in 1976, but improved much more rapidly than those for more basic re- somewhat in 1977. search on the high seas and in distant waters." 11 Nonetheless, the age of the U.S. fleet (table 7-3) NACOA stated that this, and other trends, "have remains a matter of serious concern. Forty-four of already caused an occasional surplus of available the 71 ships-over 60 percent-are more than 10 time on the larger research vessels and an increasing years old, and 16 of them are over 20 years old. demand for the smaller vessels better suited for re- The impact of the fall-off in the construction of new search in coastal waters .11 21 CNA, in 1974, also ships since the 1960s is illustrated by the fact that, found underutilization of some ships, ascribed at of the 28 ships built in the last 10 years (11 of them that time to a lack of operating funds rather than a in the academic fleet), only 5 (all academic vessels) lack of requirements. are less than 5 years old. As a result of the declining support for basic Maintaining the material condition of this fleet research on the high seas, there has recently been a will, according, to NACOA, require sizeable expen- "heavy use of academic ships by the Bureau of Land ditures in the years ahead. For example, major re- Management and other mission-oriented Federal fits of five university vessels, aged 12 to 15 years, are agencies and their contractors .11 21a This type, of projected to cost $5 to 6 million over the next 5 activity, however, is generally of short duration and years. Upgrading the scientific capability of the fleet when the requirements for such work diminish, or will require additional expenditures .2.1 new more specialized vessels are brought into service University National Oceanographic to accomplish mission agency objectives, the under- Laboratory System utilization of the larger ships will become more severe. Although a successor program to the Inter- In recommending the establishment of university national Decade of Ocean Exploration may generate national laboratories, the Stratton Commission sug- limited, new demand for the larger research vessels, gested that' Federal guidelines for their operation there is little indication of significantly higher re- include formal provisions for making the facilities quirements for their use in the 1980s. of the laboratories available to outside investigators, The relative strength of the United States ocean- and for exchanging advice and assistance with other ographic capability compared to other maritime na- institutions .24 With this recommendation before it, tions such as the Soviet Union is another indicator and in recognition of the need for better use of of United States research capacity. U.S. superiority existing ships and facilities in the face of rising costs, in terms of oceanographic vessels was overwhelming the National Science Foundation and the Navy en- in the 1950s and early 1960s. By 1971, the United couraged the formation of the University National States had 39 research vessels of over 1,000 tons; Oceanographic Laboratory System (UNOLS) in the USSR had 70 such ships. Counting all Federal 1971 to foster the cooperative use of ships and and non-Federal oceanographic vessels, including facilities by marine science institutions. small coastal ships, the United States had 120 ships UNOLS' membership consists of institutions and with a displacement of 180,000 tons and the Soviet laboratories that operate or use Federally supported Union had 200 with an aggregate displacement of national facilities, including research vessels. The 320,000 tons in 1974. These comparisons, however, organization includes an advisory council made up mean little in terms of research quality and adequacy of both operators and users to assure that effective to meet current requirements. U.S. ships spend more use is made of Federally supported facilities and time at sea, and are better equipped than those of that scientists from all academic institutions have the Soviet oceanographic fleet .22 access to them. The advisory council also evaluates A major problem in the maintenance of the fleet the need for new ships and facilities, and for the from 1974. to the present has been the rapid rise of replacement of outmoded ones and determines operating costs. From 1975 to 1977, there was a net whether research resources exceed current needs. The Research Vessel Operator's Council, consisting 20 U.S. National Advisory Committee on Oceans and Atmos- of marine engineering personnel from ship-operating phere. Annual Report No. 6. Washington, D.C., Government institutions, works to exchange ship operating and Printing Office, 1977, p. 48. 21 Ibid. technical information among members, and addresses 21a ]bid, p. 46. questions of shipboard engineering, inspection, and 22 U.S. Congress, Senate, Committee on Commerce. Soviet Oceans Development. 94th Congress, 2d session, Washington, safety. The UNOLS staff, located at Woods Hole D.C., Government Printing Office, 1976, p. 546; See also Mark W. Janis and Donald C. F. Daniel, The U.S.S.R.: Ocean Use and Ocean Law. Law Sea Inst. Occas-ional Paper No. 21, 2." NACOA, op.cit. note 20, p. 47. Kingston, R.I., University- of Rhode Island, 1974, p. 6. 24 Our Nation and The Sea, op.cit. note 6, p 27. VII-16 Table 7-3.-Federal oceanographic fleet A. Federally supported oceanographic fleet by operator Number Operating agency of ships Academic ........................................................................................... 28 National Oceanic and Atmospheric Administration .................................... .................... 23 U.S. Navy .......................................................................................... 12 Department of Energy ................................................................................ 3 National Science Foundation .......................................................................... I U.S. Coast Guard ................................................................................... 2 U.S. Geological Survey ............................................................................... 2 Total: ................................................................ I ................. 71 B. Academic fleet Operating institution Ship Year built University of Alaska Acona 1961 Scripps Institution of Oceanography Alpha Helix 1965 Scripps Institution of Oceanography Thomas Washington 1965 Scripps Institution of Oceanography E. B. Scripps 1965 Scripps Institution of Oceanography G. W. Melville 1970 Lamont Doherty Geological Observatory Robert D. Conrad 1962 Lamont Doherty Geological Observatory Vema 1921 Duke University Eastward 1964 University of Georgia Blue Fin 1972 University of Hawaii Kana Keoki 1967 University of Hawaii Moana Wave 1973 Johns Hopkins University Ridgeley Warfield 1967 Johns Hopkins University Maury 1950 University of Miami James M. Gilliss 1962 University of Miami Columbus Iselin 1972 University of Miami Calanus 1970 Oregon State University Wecoma 1975 Oregon State University Cayuse 1968 University of Rhode Island Endeavor 1976 University of Southern California Velero IV 1948 Texas A&M University Gyre 1973 University of Texas Longhorn 1970 University of Washington Thomas G. Thompson 1965 University of Washington Hoh 1943 University of Washington Onar 1954 Woods Hole Oceanographic Institution Knorr 1969 Woods Hole Oceanographic Institution Oceanus 1975 Woods Hole Oceanographic Institution Atlantis 11 1963 1 Includes only those ships with predominantly Federal funding. Oceanographic Institution, is jointly funded by the counting in ship operations, drafted a long-range National Science foundation, the Office of Naval plan for university ships, prepared a report on re- Research, the Department of the Interior (USGS and search vessel safety standards, sponsored a study of BLM), National Oceanic and Atmospheric Adminis- marine insurance and risk planning, and generally tration, the Department of Energy, and the Environ- kept its members informed on matters of concern mental Protection Agency. to them. A major part of the UNOLS function is UNOLS has been concerned mainly with co- to coordinate the preparation and publication of ordinating the scheduling and utilization of univer- reports on annual university ship operating sched- sity research ships. This task includes the scheduling ules. These reports include information on oper- and use of the research ship, Alpha Helix, and the ational areas, studies to be made during the cruises, submersible, Alvin, both of which have been desig- names of the chief scientists, and ports of call. The nated National bceanographic Facilities. Alvin is schedules are updated several times each year to supported by a 'tripartite agreement among NSF, assist in the use of University-operated oceanographic Navy, and NOAA. UNOLS has also reviewed the vessels by informing potential users of scheduled need for ship design studies and uniform cost ac- cruises that might have space for add-on experiments. V11- 17 Underwater Habitats and Submiersibles Bahamas, from 1972 through April 1975. It per- The Stratton Commission made a number of formed almost 20 missions during that period and recommendations for deep ocean exploration and the logged 1,602 man-days of saturated diving, almost establishment of seafloor laboratories and facilities. all under MUS&T sponsorship. These missions have It recommended sponsorship of a program "to de- included diverse studies in the ecology and environ- velop and construct exploration submersibles with mental characteristics of coral reefs. In late 1977, ocean transit capabilities for civil missions to 20,000- NOAA bought HYDROLAB. The MUS&T office is foot depths .11 2' The Commission also proposed a soliciting scientific proposals for its use. Navy/NOAA study "of the feasibility of mobile The MUS&T office ha's also used the PRINUL undersea laboratories and large stable ocean plat- (Puerto Rico International Undersea Laboratory) forms which would be used in conjunction with fixed facility, "La Chalupa," for underwater research in ocean stations .11 26 Puerto Rico. PRINUL is designed to operate in up to The Commission Panel on Marine Engineering 100 feet and accommodate four divers, supported, and Technology recommended the development of as in the HYDROLAB, by a self-contained utility buoy. three types of undersea laboratories: one, fixed; one PRINUL performed nine missions between Novem- portable; and the third, mobile. The mobile under- ber 1972 and May 1974 in water depths ranging sea support laboratory would provide services to the from 60 to 100 feet and logged 700 man-day satu- fixed and portable laboratories and would supple- rated dives of which 504 were sponsored by MUS&T. ment their functions. It would consist of a nuclear- Projects included ecological and environmental stud- powered submersible, operating to 1,000-foot water ies, including assessments of fish food resources, fish depths and transporting submersible modules to the behavior, engineering investigations on water jet laboratories for docking. 17 Preliminary planning for insertion of seafloor anchors and testing of vertical the International Decade of Ocean Exploration excursion tables, and physiological studies of divers. ,(IDOE) similarly called for the development of a In 1975, the German habitat HELGOLAND, was shallow (1,000 ft) support submarine with its own transported to the United States and used by laboratories and diving systemS.211 German, Polish and U.S. divers at a depth of about Although the Stratton Commission's ambitious 105 feet off the coast of Massachusetts. None of the proposals for continental shelf laboratories and sub- three operational U.S. habitatS-AEGIR, HYDROLAB, mersible development were not implemented, NOAA PRINUL-was considered capable of operating in has purchased a habitat and is studying specifica- the harsh underwater environment off New England. tions for a mobile underwater laboratory. In late 1975, in response to a Congressional re- In 1971 NOAA's Manned Undersea Science and quest, the MUS&T office prepared a concept paper Technology Office (MUS&T) was established to sup- for the development and use of an American mobile, port NOAA's activities in manned underwater oper- underwater laboratory called OCEANLAB. Funds were ations. Since that time, the MUS&T office, which appropriated for the project in fiscal year 1977 and was incorporated into the Office of Ocean Engineer- a systems program definition contract was awarded ing in 1976, has been responsible for the adminis- to the General Electric Company to develop system tration of NOAA's undersea habitat program. configuration requirements and specifications. Habitat and Diving Activities The OCEANLAB concept conforms closely to the recommendations of the Stratton Commission for The most active habitat project has been the a mobile underwater facility that can function as a Bahama bank research program performed in HY- manned engineering and science laboratory at vari- DROLAB by the Perry Foundation under a MUS&T ous depths and locations. contract. The HYDROLAB facility is capable of ac- To develop the specifications for OCEANLAB commodating three to four divers in 100 feet of MUS&T is seeking input from the scientific diving water through an umbilical life support system con- community. An operational diving program is being nected to an unmanned surface support vessel .21 planned by MUS&T to ensure that the proposed HYDROLAB operated at a depth of 45 feet moored facility will be used for productive marine science I mile offshore at Freeport, Grand Bahama Island, and technology in an experimental science program. '25 Our Nation and The Sea, op.cit. note 6, p. 32. 26 Ibid., p. 178. Submersible Technology 27 Panel Reports of the Commission on Marine Science, Engi- neering, and Resources. Volume 2, Industry and Technology- The experimental development of submersibles, Keys to Oceanic Development, Part VI, Report of the Panel on mobile undersea vehicles, began in the 1950s and Marine Engineering and Technology. Washington, D.C., Govern- continued through the early 1960s. Interest in deep ment Printing Office, 1969, pp. VI-224-229. 2-S National Research Council. An Oceanic Quest. Washington, D.C., National Academy of Sciences, 1969, p. 94. .30 Excerpted in part from, U.S. Congress, Senate, Committee 29 U.S. National Oceanic and Atmospheric Administration, on Commerce. Congress and the Oceans: Marine Affairs in the Manned Undersea Science and Technology Fiscal Year 1974 94th Congress, 95th Congress, 1st Session. Washington, D.C., Report. Washington, D.C., Government Printing Office, 1975. Government Printing Office, 1977, p. 263 at seq. VII-1 8 submergence technology intensified with the tragic the Navy's own submersibles met most of its needs loss of the nuclear submarine Thresher in April for such vehicles. The consequent lack of Navy sub- 1963. The Navy's inability to deal effectively with mersible leasing significantly undercut the market for deepsea search and rescue in the instance of the industry-owned research submersibles. As a conse- Thresher resulted in reappraisal of the Navy's under- quence smaller, more economical vehicles appeared: sea programs. As a result, the deep submergence Neckton Beta and Gamma, which leased for system review group recommended development of $1,000/day, replaced vehicles requiring $6,000 to deep submergence rescue vessels (DSRV), deep $14,000/day. submergence search vehicles (DSSV), and deep The Navy received delivery on the first deep sub- ocean survey vessels (DOSV). In June 1964, the -mergence rescue vehicle (DSRV-1) in 1970, and Navy's deep submergence system project was initi- what was originally to be a 12 DSRV fleet under the ated. Under this project, two DSRVs were con- post-Thresher plans, stabilized at 2 vehicles with the structed, a man-in-the-sea program produced the delivery of the DSRV-2 in 1971. The recommenda- technology for saturation diving, and a deep ocean tions to build OSSVs and DOSVs were never im- salvage program was initiated 'to develop the tech- plemented because of projected high costs and the nology to cover objectives from depths. Concur- lack of supportable requirement. rently, independent Navy engineering programs were The Navy, however, continues to have a major involved in submersible development, which resulted interest in manned undersea operations. As the first in a number of vehicles coming on line in subsequent Federal agency to develop an interest in the use of years. submersibles, the Navy remains today as the prin- An additional boost was given to submersible cipal Federal owner and operator of these vehicles technology development in 1966 when a midair col- (table 7-4). As noted earlier, the Navy submersible, lision over the c'oast of Spain resulted in the loss of Alvin, operated by the Woods Hole Oceanographic an undetonated H-bomb in 2,000 to 3,000 feet of Institution, is considered a national oceanographic water. Three manned submersibles were deployed facility and is available for scientific investigation for the search. Alvin discovered the projectile at through UNOLS. 2,800 feet and the Navy unmanned vehicle, CURY The vehicles built in the early 1970s were de- (controlled underwater research vehicle) was de- signed for shallow dives at 1,000- to 2,000-foot ployed for the recovery. The investment decision to depths. Most were built for foreign customers, and accelerate development of subme rsibles after the most of them (13 out of 20) were fabricated over- Thresher incident was credited as making the suc- seas. The foreign market was spurred by the needs cessful recovery of the bomb possible.-31 of the oil companies to develop the North Sea Con- Industry saw an investment potential for commer- tinental Shelf. Large American companies, once the cial and military use of submersibles in the middle leaders in submersible technology, have all but 1960s and responded to the market with updates of stopped construction; and unleased, commercial earlier prototypes. Interest in submersible develop- vehicles have beeri drydocked for lack of market ment continued to expand in the late 1960s, and a potential. The Federal Government now has only number of new submersibles were launched in 1967- a modest leasing program for scientific and environ- 68. In 1969, the Navy advanced submersible tech- mental research through NOAA's Manned Undersea nology significantly with the launching of the NR-1, Science and Technology (MUS&T) program. 33 using nuclear power, which 'provided virtually un- The present U.S. submersible fleet has 30 vehicles. limited range. Of these, perhaps only one-half perform missions Overcapitalization in submersibles, extraordinarily during any single year .34 Despite the prospects for high operating expenses, and reductions in the Navy increased oil and gas activity on the Outer Conti- R&D budget after 1968 ended the period of acceler- nental Shelf, there is little indication that submersible ated growth in submersible technology'.32 In 1970, use will increase significantly in the near future. Ocean Engineering and Technology Development Federal ocean engineering and technology pro- objectives, rather than laying the basis for meeting grams encompass a wide gamut of activities as di- long-term ocean engineering requirements. verse as the missions of the sponsoring agencies. The importance of general purpose technology While these efforts include basic technology develop- was recognized by the Stratton. Commission,35 which ment, they are largely directed to specific short-term 3-3 U.S. National Oceanic and Atmospheric Administration. Manned Undersea Science and Technology Fiscal Year 1975 31R. Frank Busby. Manned Submersibles. Washington, D.C., Report, Washington, D.C., Government Printing Office, 1976. Government Printing Office, 1976, p. 52. 34 Ibid. 32 Ibid., p. 58. 15 Our Nation and The Sea, op.cit. note 6, p. 31. VII-19 Table 7-4.-Specifications of U.S. submersible vehicles-1976 Length Vehicle Operator Depth Crew beam Weight Payload ft ft lb lb Sea Ranger Verne Engineering, Inc. 606 4 17.8 19,000 2,200 Nemo Southwest Research Institute 600 2 6.6 2,000 850 PC-3B International Underwater Contractors 600 2 22.4 6,350 1,000 Sea Explorer Sea Line Inc. 600 2 15.5 3,600 300 PRV-2 b Pierce Subs Inc. 600 3 19.8 15,500 1,000 Margenaut Margen International 600 8 44.9 108,000 6,000 Nekton Alpha General Oceanographics 1,000 2 15.4 4,500 300 Nekton Beta General Oceanographics 1,000 2 15.4 4,700 460 Nekton Gamma' General Oceanographics 1,000 2 15.4 4,700 460 Johnson Harbor Branch Foundation 1,000 4 23.8 21,000 1,200 Sea-Link b Snooper Undersea Graphics 1,000 2 15.4 4,500 200 Guppy Sun Shipbuilding & DryDock 1,000 2 11.8 5,000 400 OPSUB Ocean Systems 1,000 2 18.8 10,400 400 Sea Ray Sub. R&D Corp. 1,000 2 20.5 9,000 350 Mermaid II International Underwater Contractors 1,000 2 17.6 14,000 1,000 Nemo I Seaborne Ventures 1,000 3 12.8 20,000 1,200 Diaphus Martech International 1,200 2 13.5 10,000 225 PC-14C-2 Kentron, Hawaii 1,200 2 13.5 10,000 225 Star 11 Deepwater Explorations, Ltd. 1,200 2 17.5 10,000 500 PC-17 b c Perry Oceanographics, Inc. 1,500 4 34.8 38,000 500 Deep View Southwest Research Institute 1,500 2 16.6 12,000 500 Johnson Harbor Branch Foundation 2,000 4 23.8 21,000 1,200 Sea-Link b Beaver MK IV b International Underwater Contractors 2,700 5 25.8 34,000 2,000 DSRV-1 U.S. Navy 5,000 4 50.8 75,000 4,300 DSRV-2 U.S. Navy 5,000 4 50.8 75,000 4,300 Sea Clig U.S. Navy 6,500 3 26.12 42,000 700 Turtle U.S. Navy 6,500 3' 26.12 42,000 700 Deep Quest Lockheed Ocean Systems 8,000 4 40.16 115,000 7,000 Alvin Woods Hole Oceanographic Institution 12,000 3 23.8 32,000 1,500 Trieste II U.S. Navy 20,000 3 78.19 180,000 2,000 a Source: NOAA. International Status and Utilization of Undersea Vehicles 1976 (1976). b Diver lockout. c Construction. recommended that the proposed National Oceanic In 1974, the National Advisory Committee on and Atmospheric Agency "initiate a dynamic and Oceans and Atmosphere (NACOA) proposed the comprehensive fundamental technology program." 36 establishment of an "Institute for Engineering Re- General purpose technology has also been the sub- search in the Oceans" within NOAA. The purpose of ject of recommendations by the Marine Board of the the Institute was: 38 National Academy of Engineering and NACOA. In ". . . to stimulate and support engineering 1972 the Marine Board recommended that "any or- research (advanced development) in the ganizational arrangement established for maitne af- oceans to meet civilian needs by using fairs in the U.S. Government should insure that all seed-money to get good work started, but long-range engineering development is accorded ade- not supported indefinitely . . . It would quate budgetary priority, continuity, and stability be to support work and act as a catalyst without separating the effort from its professional in any new areas of special materials and tie with the interests of mission-related marine activ- techniques which would serve a multi- ity.11 Z7 plicity of marine activities. It would have a While emphasizing that long-range, engineering central responsibility for improving pro- development undertaken by the Federal Government fessional communications and encourage should be able to meet its own requirements as a user the development of standards." of technology, the Board suggested that the Govern- In September 1976, NOAA established the Office ment should also support high-risk engineering de- of Ocean Engineering (OOE). Its mission is to exer- velopment for use by the private sector in meeting cise functional review over, and recommend policy broad national needs. plans for, NOAA's ocean engiheering and instru- 3r Ibid., p. 37. mentation programs; conduct an integrated program 37 National Academy of Engineering. Toward Fulfillment of .38 U.S. National Advisory Committee on Oceans and Atmo- a National Ocean Commitment. Washington, D.C., National sphere. Engineering in the Ocean. Washington, D.C., Government Academy of Sciences, 1972, p. 9, Printing Office, 1974, p. 3. VII-20 ' ' of research, technology development, and services nology programs. These facilities include deep ocean related to ocean engineering and undersea operations; simulation and pressure test chambers, material test- and serve as. a national focal point for knowledge, ing laboratories, test model facilities, pier facilities, a catalyst for industrial development, and a mechan- hydrodynamic shock simulators, and fluid phenom- ism for technology transfer, relative to civil ocean ena laboratories; The diversity of the Navy ocean engineering. OOE originally reported directly to the engineering program can be inferred from the list of NOAA Administrator, but, under a recent reorgani- ocean engineering facilities at Navy laboratories zation, OOE, Sea Grant, ERL, and a newly-created (table 7-2). Although the Navy program is directed Office of Climate Research report to an Assistant to the development of weapons and systems in sup- Administrator for R&D. port of Naval operations, its unclassified develop- Although the formation of the Office of Ocean ments can often be.applied in the civil sector. Engineering in NOAA, appears to be in accord with One of the engineering re commendations of the the recommendations of the Stratton Commission, Stratton Commission was for the "construction of the NAE/Marine Board, and NACOA, it does not high pressure test facilities for testing equipment have the resources needed to provide the central (and) biomedical pressure chambers for testing and focus for civil ocean engineering recommended by, evaluating rn an in undersea work . . . ". 40 The Navy's these groups. Even within NOAA itself, OOE is not new Ocean Simulation Facility, at the Naval Coastal yet providing a comprehensive engineering service. Systems Laboratory in Panama City, Florida, imple- The Office does not have the responsibility for pro- ments the, Commission's recommendation for a test viding engineering and instrumentation services for facility. Housing the world's largest hyperbaric NOAA scientific or environmental monitoring activi-@ chamber complex, the facility is certified for testing ties, and provides minimal services to investigators and evaluating;. diver and equipment performance outside NOAA. At present, more than 95 percent to a depth equivalent of 2,250 feet of seawater. 6f the resources of OOE are committed to established Nearly all environmental conditions found in the programs which were transferred to NOAA under ocean can be simulated under laboratory control at Reorganization Plan No. 4: instrumentation, data the facility. It serves as a national center available buoy program, manned underwater support, and, to Government, academic, and industrial labora- most recently OCEANLAB. tories for research, development, testing, and eval- In its Sixth Annual Report, NACOA observed uation of systems and hardware used by divers in the that NOAA's Office of Ocean Engineering has poten- ocean environment. @A complementary facility used tial for evolving into a leader for ocean engineering in medical research relevant to diving is the Navy among the nondefense Federal agencies and private Environmental Health Effects Laboratory in groups. NACOA, recommended that the Secretary Bethesda, Maryland. This laboratory also has hyper- of Commerce foster and selectively support programs baric chambers used to assess conditions hazardous within industry, the universities, and the. Federal to divers. agencies to: 311 The engineering aspects of NASA's Ocean Ap- e identify and correct deficiencies in civil ocean plications Program largely evolve around the devel- engineering and technology; opment and use of remote sensing systems to observe 0 assure the availability of technical datarieeded by ocean phenomena from aircraft and Earth-orbiting the ocean engineering community; spacecraft. The Geodynamics Experimental Ocean 0 develop technical ocean engineering criteria and Satellite (GEOS-3), launched in 1975, has success- material assessments and standards for use by in- fully demonstrated the global acquisition of ocean dustry and the Federal Government; and geoidal data and techniques for measuring sea state. 0 encourage the cross-utilization of military and SEASAT-A, to be launched in 1978, will be in a civil engineering laboratories and facilities. near polar orbit and will carry an array of custom- The question of its potential for leadership in gen- ized remote sensors to scan the oceans. These sen- eral-purpose technology aside, NOAA is only one sors will measure average wave height and sea- among a number of agencies involved in ocean tech- surface temperature, and provide information on nology programs oriented to meet mission require- windspeed and direction over the ocean surface, ice ments. The Navy program is the largest and most cover, and cloud cover. The SEASAT-A program, diversified of these efforts. The Navy Technical and use of data from the program, is being under- Facility Capability Register, published in 1973 by taken as a joint effort involving NOAA and the the Navy Material Command, indicates an invest- Navy. ment of over $260 million by the Navy in laboratory Two Federal agencies, the Department of Com- facilities for ocean engineering and related tech- merce's Maritime Administration (MarAd) and the Department of Energy (DOE), have ocean technol- -;-U.S. National Advisory Committee on Oceans and. Atmos- phere. Sixth Annual Report to the President and the Congress. Washington, D.C., Government Printing Office, 1977, p. 43. 40 Our Nation and The Sea, op.cit. note 6, p. 38. VII-21 ogy programs directed to commercial development. ocean waters; specifically, the project is aimed at MarAd's program is designed to develop advanced using temperature differences between near-surface technology to rebuild the U.S. merchant fleet so that and deep ocean waters to generate electrical power. it can compete effectively with foreign shipping in- Present plans call for the demonstration of a com- terests. The program is designed to address the total mercial prototype system by 1984. spectrum of industry's technology needs pertaining The OTEC concept calls for warm surface water to both ship construction and operation-over the to be pumped through a heat exchanger-evaporator short, medium, and long term. The primary emphasis and expelled to the sea. A working fluid would be of the program, however, is on short-term projects vaporized in the heat exchanger by the heat of the likely to pay off within 5 years. ocean surface water. The vaporization would drive A unique function of MarAd's R&D program is a turbine coupled to an electrical generator. Re- that industry, the ultimate user of the technology, liquefaction of the working fluid would occur in a participates on a cost-sharing basis in the technology heat exchanger-condensor where the vapor would be development. The current R&D program supports a cooled by the temperature of cold deep-ocean water. 10-year merchant marine expansion plan inaugu- The working fluid would then be recirculated. rated in 1970. In the first 5 years of the program, The DOE approach includes technology develop- 760 R&D projects were initiated at a cost of $189 ment, assessment of the effect of the environment on million. The maritime industry contributed $62.3 materials used in the powerplant, and the impact million of these costs, almost one-third of the total. of the powerplant on the environment. Additional MarAd's R&D program is organized in two major studies are directed to analyzing the potential mar- development areas: advanced ship development and ket for OTEC applications. advanced ship operations. Advanced ship develop- A number of component designs have been de- ment includes projects to improve ship design and veloped, and some equipment has been tested for shipyard operations as a means of increasing the use in an OTEC plant. However, a number of critica 'I efficiency and competitiveness of ship construction. problems must be solved, especially in the develop- Other ship development projects aim at producing ment of heat exchangers and the prevention of more efficient powerplants and other advanced ship biofouling, which can significantly affect the per- machinery. One phase of this work is directed to formance of the heat exchangers. To solve these the development of second-generation, high-powered problems, successive generations of heat exchangers auclear engines feasible for use in the commercial are being developed for testing to evaluate perform- fleet. ance and ability to withstand the effects of bio- The advanced ship operations program is concen- fouling and corrosion. trated in three major areas. The first is the develop- A panel of the Marine Board of the National ment of a computerized shipping operation informa- Academy of Sciences undertook a review of the tion system to facilitate ship management by making project for ERDA in 1976. It concluded that information readily available to reduce shoreside "OTEC is technologically feasible with the invest- costs and permitting ship operators to monitor con- ment of considerable financial and technological re- tainer inovement and ship availability. The second is sources." The review panel found, however, that the the improvement of ship automation systems and estimated costs of the project were overoptimistic. equipment for handling cargo more efficiently and Among its recommendations were that "prototype safely. The third is the development of advanced production and tests should be deemphasized in communication and navigation systems with the ulti- favor of increased basic experimental and develop- mate objective of making global fleet management mental work" and that the program "be reoriented operations possible. to emphasize assessment of the various basic system In support of these two major programs, MarAd and subsystem alternatives." funds marine science research to obtain information The ocean engineering program of the U.S. Army needed for engineering development and makes tech- Corps of Engineers is categorically different from the nology studies designed to 'reduce energy consump- engineering programs described above. Whereas tion in shipping and to prevent pollution from mari- those programs address problems in observing or time operations. making use of the oceans, the Corps' program con- The Department of Energy's ocean thermal energy sists of coastal engineering for the improvement of conversion (OTEC) program provides an excellent coastal waterways and harbors and the protection example of high-risk, high-cost development for of beaches and seashores. The larger Corps studies commercial application undertaken by the Federal are multidisciplinary, encompassing the physical, Government to meet national needs. The OTEC biological, and sometimes social sciences as well as project was initiated by NSF in 1972 and transferred engineering development. to ERDA (now incorporated into DOE) in 1975. Engineering projects are based on studies of exist- OTEC is an attempt to use solar energy, stored in ing conditions at the sites of small-craft harbors and VU-22 deepwater ports, in estuaries and channels, and along Geological Survey (USGS) includes the regulation of seashore areas threatened by erosion. The influence OCS oil and gas operations. To facilitate inspection and effectiveness of shore structures or other coastal procedures required by this function, USGS has ini- engineering construction are then assessed in terms tiated a new contract research and development pro- of local shore processes. The data gathered in this gram involving universities, private industry, and work are used in engineering and design studies for Government laboratories to provide improved tech- the planning of navigation, flood control, and shore nology for detecting problems in offshore oil produc- protection projects. These and other data are also tion systems. The program includes studies relating used in evaluating the impact of construction in U.S. to the detection of incipient cracks.in offshore struc- navigable waters prior to issuing construction per- tures and leaks in offshore pipelines. It also includes mits. a project concerned with the development of an un- Each of the Corps' engineering studies is Con- manned, free-swimming, inspection vehicle. gressionally mandated. Project studies are performed The U.S. Coast Guard also supports an active by Corps of Engineers' district offices, while support- program in marine science and engineering in order ing coastal engineering research is conducted at the to be able to fulfill its peacetime responsibilities for Coastal Engineering Research Center in Washington, search and rescue, marine environmental protection, D.C., and at a number of universities. Other Corps aids to navigation, icebreaking, merchant vessel and facilities are used in studies entailing the use of recreational boating safety, marine law enforcement, models of estuaries and other shore areas. With two port security, and licensing and regulating the con- exceptions, these models are at the Waterways Ex- struction and operation of deepwater ports. During periment Station in Vicksburg, Miss. The exceptions any given year, the Coast Guard has about 100 re- are the San Francisco Bay model in California and search and development projects underway targeted the Chesapeake Bay model on Kent Island, Md. The towards solving immediate problems facing the mari- most ambitious model project is the 9-acre Chesa- time community or towards upgrading the maritime peake Bay hydraulic model, constructed for studies infrastructure of the Nation, including the regulatory of tidal elevation, salinity, current speed and direc- functions associated therewith. Particularly note- tion, sedimentation, and temperature. Hydrodynamic worthy at this time are research and development studies at this facility are useful in environmental efforts directed towards improving vessel traffic quality assessment as well as for navigational and services, reducing hazards created by the transport other purposes. of hazardous cargoes in congested waters, enhancing Under Section 404 of Public Law 92-500, the safety practices and plaftform designs for offshore Corps of Engineers is responsible for granting per- drilling operations, assisting commercial traffic mits for dredge and fill activities, including the dis- through ice-infested rivers and lakes, and the p .re- posal of dredge spoil. This subject is treated in vention, detection, control and cleanup of oil spills. greater detail in chapter IV. About 20 percent of each year's Coast Guard Acad- In addition to the Corps of Engineers, two other emy graduating class of 200-plus cadets have ma- Federal agencies with regulatory responsibilities sup- jored in marine science or ocean engineering. Their port ocean technology programs to assist them in skills are used to achieve the Coast Guard's multi- their regulatory missions. The mission of the U.S. mission responsibilities. Technology and Information Transfer An important factor in the effectiveness of ocean project. In addition to these efforts, the Freedom of programs is the transfer of information and technol- Information Act ensures that Government-developed pgy from one Federal agency to other Federal agen- technology is made available to the private 'sector cies, Sta te and local governments, and industry for and that the Federal agencies involved in technol- application. Government-industry transfer, however, ogy development are active in promoting the trans- is a two-way street, especially where industry devel- fer of information and technology to non-Federal ops technology under government contract. In many interests. countries difficulties in government-industry transfer The Navy has been a leader in developing proc- of technology have been minimized by nationalization esses for transferring technology to the outside. of industrial enterprises or by the extensive partici- Navy-developed technology was made available to pation of government in furthering industrial and civil agencies and to non-Federal users on an ad hoc commercial developments. This latter situation is basis until 1972. In February 1972, Navy technol- especially notable in Japan. ogy transfer policy was formalized when the Secre- In the United States,. such cooperative interac- tary of the Navy issued an instruction on "Military- tion is rare, but two examples are found in the area . Civilian Technology Transfer and Cooperative De- of ocean technology: the Maritime Administration velopment. " 4:1 .R&D program and the Department of Energy OTEC 41 SECNAVINST 5700.15 (February 28, 1972). VII-23 "It is the policy of the Department of the In addition to its membership in the Consortium, Navy to promote military-civilian tech- the Navy operates a widespread information system, nology transfer and cooperative develop- maintains direct communication between researchers ment on a systematic basis. It will encom- and users, and prepares exhibits and demonstrations .pass (1) transfer of technology developed to make its technology known. Fifteen Navy hand- by the Department of the Navy for na- books on various aspects of ocean technology have tional defense purposes to the civilian been issued for public distribution. There are still sector where such technology can be problems, however, involving the transfer of classi- profitably utilized in nonmilitary applica- fied material relating to ocean technology. These tions, and (2) identification of coming problems have been the topic of Navy and NOAA technologies in both military and civilian discussion and will be considered on an individual interest and exploration of feasibility from basis. cooperative funding and/or development DOD requires that all scientific and technical work of such technologies." by defense agencies and contractors be reported to In March 1972, the Chief of Navy Material was the Defense Documentation Center,(DDC). Unclassi- assigned responsibility "for the execution of mili- fied and declassified reports (not subject to other dis- tary civilian technology transfer and cooperative tribution limitations) deriving from this work are development matters. 11 42 A Director of Military- regularly transferred to the National Technical In- Civilian Technology Transfer and Cooperative De- formation Service (NTIS) of the Department of Com- velopment was designated by the Chief of Navy merce, where they are available to all agencies and Material to administer the program under the guid- to the general public. Classified planning documents ance of the Assistant Secretary of the Navy (R&D). or those which are "for official use only" are placed Coincident with these developments, 11 Depart- only in the DDC system where some degree of con- ment of Defense (DOD) laboratories had been meet- trol can be maintained, but where interested agencies, ing informally to coordinate their efforts in the industry, or individuals can have access in accord- transfer of military-related technology to civilian ance with their "need to know." Many of the civil users. In June 1972, these efforts resulted in the agencies similarly require that their work products establishment of .the Technology Transfer Labora- be distributed routinely through the Department of tory Consortium, authorized by the Deputy Secre- Commerce NTIS system. tary of Defense, "for the purpose of coordinating The Departments of Commerce and Energy, interaction with other Federal agencies and technol- NASA, and other civil agencies are also active in ogy users in Federal, State and local levels, and the transfer of technology. The Maritime Adminis- coordinating civil-sector work being performed for tration program, with its industry participation (see others .11 43 above), is a major conduit for technology transfer. In 1974, this group was expanded to include other The entire purpose of MarAd R&D is to produce Federal agencies and was renamed the Federal Lab- technology for industry use. In addition to the formal oratory Consortium for Technology Transfer. At this transfer of technology between MarAd and industry, time, the National Science Foundation assumed the MarAd's Maritime Research Information Service task of coordinating Consortium activities with DOD (MRIS) provides comprehensive information on support. Currently, the Consortium has a member- maritime R&D. The MRIS is a system for the ship representing 74 Federal laboratories, both DOD acquisition, selection, storage, retrieval, and dissemi- and civil. While the work of the Consortium is not nation of references on proposed, ongoing, or com- confined to the transfer of marine technology, the pleted R&D. The system also processes technical re- transfer of Navy ocean-engineering and marine tech- ports and journal articles and provides abstracts on nology development is facilitated by the Consortium. request. Members of the Constorium act as "technology In NOAA, the Sea Grant Program maintains an brokers" by bringing together groups that have a advisory service at each Sea Grant college to provide problem or need with those who have already solved information to users in the coastal region and in the it or are working in pertinent areas. These activities fishing industry. The National Marine Fisheries Serv- are especially useful to locaf governments that are ice (NMFS) is responsible for providing technological frequently unaware of the assistance they might re- support to the fishing industry. The Office of Ocean ceive from Federal laboratories. The Consortium Engineering is developing technology transfer proc- publishes a variety of pamphlets and other material esses for the dissemination of information on ocean on its activities. instrumentation, diving technology, and other aspects of ocean engineering. OOE also is working with the Navy to make unclassified information contained in 420PNAVINST 5700.12 (March 17,1972). 430perating Policy of the Department of Defense Tech- classified Navy reports available for civil use, and nology Transfer Laboratory Consortium (June 21, 1972). with DOE in the development of OTEC. Other VII-24 NOAA elements, particularly the Environmental agencies, the National Academy of Sciences, the Na- Data Service, are similarly active in technology and tional Academy of Engineering, and coastal-oriented. information transfer. industries. The program seeks to evaluate the scien- The Department of Energy's OTEC program, like tific benefits and commercial utility of ocean satellite the MaiAd R&D program, is directed entirely to pro- data, and to transfer remote-sensing technology to viding industry with new technology. In addition to the usercommunity. NOAA and the Navy will the technology development itself, however, OTEC process SEASAT-A data for their own use and dis- includes studies to identify marketable applications tribute data. to other Government and nongovern- of OTEC. Legal, institutional, and political analyses ment users. of OTEC utilization are also underway. This work Laboratories of both DOE and NASA are mem- is designed to maximize the potential for commercial bers of the Federal Laboratory Consortium. Con- application of OTEC technology. sortium membership also includes laboratories of the NASA has made technology transfer a major com- U.S. Geological Survey, Army Corps of Engineers, ponent of its SEASAT Program. The program has U.S. Coast Guard, and Environmental Protection been planned in collaboration with other Federal Agency. Marine Research Programs Federally supported marine science activities, as The basic ocean research program of NSF provides noted earlier, are performed at Federal agency lab- the broadest support for academic marine science and oratories and at academic institutions. Most basic is the major supporter of university research. ONR and applied marine research performed by non- and the Department of Energy sponsor mulfipurpose Federal research institutions is sponsored by four research in areas related to their missions. The Sea agencies: the National Science Foundation (NSF),; Grant Program in NOAA supports a broad spectrum the Office of Naval Research (ONR); Department of of ocean-related research performed by academic Energy; and the Department of Commerce's National institutions. Oceanic and Atmospheric Administration. National Science Foundation NSF:issued its first grant for ocean' research'in The NSF program is administered primarily 195 1, only a year after the agency came into being. through the programs of its Division of Ocean Sci- The NSF marine research program grew rapidly and ences and Division of Earth Sciences, in the Direc- through the 1960s was second only to that of ONR. torate for Astronomical, Atmospheric, Earth, and In 1970, with the inauguration of the -International Ocean Sciences. On a lesser scale, marine research is Decade of Ocean Exploration (IDOE), 'the NSF ma- also supported in the Division of Polar Programs, rine research budget, for the first time, exceeded and Division of Atmospheric Sciences. In addition ONR's. to this work the Directorate for Biological, Behav- NSF support of basic marine research is based on ioral, and Social Sciences supportsa few small marine proposals from members of the oceanographic re- biology studies and the Directorate for Research search community. Specialists from appropriate fields Applications has been involved in estuarine studies of science critically evaluate these proposals, in peer- and research on the feasibility of offshore, multipur- panel reviews, for scientific merit, feasibility, and pose structures. potential for advancing fundamental knowledge about some feature of the marine environment. A]- Division of Ocean Sciences though about 100 academic institutions support re- In the Division of Ocean Sciences, a basic research search and education in some aspect of the marine program supports projects of individual scientists at sciences, the high cost of operating research ships, the oceanographic institutions; a second supports a submersibles, and other special facilities like piers limited number of large, managed projects; and a and self-contained laboratory vans, has resulted in third provides funds for the acquisition and operat- the concentration of a significant part of the research ing costs of the ships and other oceanographic facili- effort at some 15 major coastal laboratories (table ties needed to carry out these programs. Support for 7-2). The research community's size and concentra- individual research projects includes more than 300 tion in these locations accounts for the fact that well grants each year. These are made through academic over three-fourths of NSF-sponsored oceanographic and research institutions, to individual scientists, or research is done by scientists at these major labora- to small groups for development of knowledge about tories. the oceans, their resources, and the sea floor. Inves- VII-25 tigations concentrate on physical oceanography, ma- POLYMODE, and NORPAX are funded jointly by rine chemistry, submarine geology and geophysics, NSF and ONR. and biological oceanography. To support its research The objective of the "Seabed* Assessment Pro- program, NSF, in recent years, has become the major gram" is to compile information about the seabed direct source of funding for operation of the 29 ships which will contribute to the exploration, use, and of the academic fleet. sound management of the seabed resources. Empha- The International Decade of Ocean Exploration sis has been placed on surveys of the continental (IDOE) supports large-scale, multi-disciplinary proj- margins and the processes which occur there, 'on ects focused on the role of the oceans in climate, midocean ridges, and in deep ocean basins. Projects food production, pollution, energy, and natural re- included are: studies of the continental margins of sources, with multi-national participation in some of western Africa and eastern South America (South the projects. Funding of the IDOE has, from its Atlantic Margins) and studies of metalogenesis and inception, remained below $20 million per year-far plate tectonics, which centered on the Mid-Atlantic short of the $ 100 million recommended by the Na- plate and the Nazca plate in the eastern South Pacific tional Academy of Sciences-National Academy of and determination of the global distribution of man- Engineering. It should be acknowledged, however, ganese nodules. that IDOE is not the sole international oceanographic Projects in the "Living Resource Program" are program in operation. Others include the Interna- aimed at understanding the processes governing the tional Geodynamics Project, International Phase of distribution and abundance of marine life. This work Ocean Drilling,(IPOD), Circum-Pacific Map Project, includes investigation of the physical and biological and the Global Atmospheric Research Program aspects of coastal upwellings (Coastal Upwelling (GARP). International participation in IDOE has Ecosystems Analysis--CLTEA) and exploration of not always been as strong as it might have been; the role of seagrasses in coastal ecology, their life however, NACOA, in its midterm review of the cycles, and influence on ocean productivity (Sea- program, noted that the IDOE made a systematic grass Ecosystem Study-SES). effort to "develop truly international projects. 11 44 IDOE has concentrated on processes and the en- The four-area format outlined in An Oceanic vironment of the open ocean rather than diffusing its Quest has continued to guide the U.S.-IDOE: (I) limited resources on estuarine and coastal systems. environmental quality, (2) environmental forecasting, Large, integrated projects have been favored, and (3) seabed assessment, and!(4) living resources .45 IDOE has avoided funding small projects which are Efforts in the "Environmental Quality Program" normally funded by other NSF offices or the mission to date have concentrated on the determination of agencies. marine pollution baselines (Geochemical Ocean Sec- NACOA's appraisal of the 5-year effort of IDOE tions Study-GEOSECS), movement of pollutants in was generally laudatory in view of the restricted the ocean (Transfer Processes), and biological effects funding of the program. The NACOA panel con- of pollutants (Controlled Ecosystems Pollution Ex- cluded that: 46 periment-CEPEX). "On balance, we believe that the IDOE has The "Environmental Forecasting Program" is successfully addressed serious deficiencies aimed at developing interactive, predictive mathe- in the present understanding of ocean matical and physical models of the ocean and atmos- processes and ocean resources, has fos- phere to improve forecasting atmospheric and ocean tered interinstitutional cooperation efforts behavior. Studies initiated to date include: inves- required to tackle these deficiencies, and tigation of mesoscale eddies in the deep ocean has done much to generate a spirit of in- (Mid-Ocean Dynamics Experiment-MODE, and ternational cooperation in this area where subsequend .y its Russian-American successor- little had existed previously." POLYMODE), impact of ocean-atmospheric inter- Because IDOE is programed to terminate in 1980, actions over the North Pacific on the climate of NACOA emphasized the importance of supporting North and South America (North Pacific Experiment "long-term, multi -disciplinary, multi- institutional -NORPAX), development of historical climatic oceanic studies" and recommended, as one alterna- information from oceanic data (Climate: Long-range tive, that NSF may consider an Office of Ocean Investigations, Mapping and Prediction-CLIMAP), Exploration to continue the momentum of the Dec- and the dynamics of the Southern Ocean (Interna- ade. In response to the NACOA recommendation, tional Southern Ocean Studies-ISOS). MODE, the NSF Office for the International Decade of Ocean Exploration convened a series of five work- 44 U.S. National Advisory Committee on Oceans and Atmos- shops in 1977 to explore the directions that a con- phere. International Decade of Ocean Exploration. Washington- tinued program may take after 1980. A sixth plenary ton, D.C., Government Printing Office, 1975, p. 8. 45 National Research Council. An Oceanic Quest. Washington, D.C., National Academy of Sciences, 1969, 40 NACOA, op.cit. note 44, p. 2. VII-26 workshop was convened in 1977 to integrate the of Germany, Japan, and the United Kingdom. plans for continuation of an international research program in the next decade. A sequel to the pre- Division of Atmospheric Sciences IDOE planning document, which was compiled by The Division of Atmospheric Sciences participates the National Research Council in 1969 .(An Oceanic in interdisciplinary studies of air-sea interaction to Quest), will be released in the summer of 1978. determine the influence of the ocean on local weather Division of Earth Sciences conditions and on global climate. A major part of The most prominent NSF marine program outside this program has consisted of investigations in sup- port of the Global Atmospheric Research Program the Division of Ocean Sciences is the Deepsea Drill- (GARP). These experiments have included the ing Project (DSDP), part of the NSF Sediment Cor- GARP Atlantic Tropical Experiment, a large-scale, ing Program of the Earth Sciences Division. Scientific multinational project to assess related oceanic and advice and planning are provided by the Joint atmospheric processes in the tropical Atlantic, and Oceanographic Institutions for Deep Earth Sampling the Indian Ocean Experiment, a study of the struc- (JOIDES). Nine U.S. and five foreign research insti- ture of the circulation in the Western Indian Ocean. tutions are members of JOIDES. Project operations A successor to this last project is now in the plan- are managed for NSF by the University of California, ning stage. The new project,'the Monsoon Experi- through the Scripps Institution of Oceanography, ment, to be conducted in 1978-79, will involve which is responsible for accomplishing the project's scientific objectives: determining the composition, research on the eastward-flowing, eqqatorial under- structure, and geological history of bottom sediments current. and upper basement rocks of the world's ocean Division of Polar Programs basins. The University of California subcontracts with Global Marine, Inc., to perform the actual drill- The Division of 'Polar Programs supports ocean ing and coring operations using its ship the Glornar science studies in its Antarctic and Arctic research Challenger. By February 1978, a total of 679 holes programs. Among these projects is a study, begun in at 446 sites had been drilled in all the major deep- the late 1960s, to assess the northward flow of Ant- water ocean basins and seas of the world. arctic bottom water formed in the Weddell Sea. The The fourth phase of the project, the Interna- Division of Polar Programs has also supported recent tional Phase of Ocean Drilling,(IPOD), is being con- research in the Scotia Sea to obtain information ducted with increased international support. In about the formation of, sea floor features. The Arctic January 1974, the Soviet Union signed a Memo- program is analyzing data collected in a 14-month randum of Understanding with NSF, agreeing to joint U.S. and Canadian study of air-sea interaction contribute $1 million per year to the project for 5 in the Arctic Ocean northeast of Point Barrow, years. Since the beginning of fiscal year 1976, agree- Alaska. The objective of the study was to under- ments to contribute $1 million each per year to stand how Arctic processes affect climate and to IPOD were signed by France, the Federal Republic improve techniques of ice forecasting. The Sea Grant College Program The Sea Grant Program was established under the development of marine resources, 34 percent is di- National Sea Grant College Program Act passed by rected to marine technology development, and 35 the 89th Congress in 1966 .4' The program is pat- percent to marine environmental research. The Sea terned on the century-old Land Grant Program, the Grant research program is not limited to marine purpose of which was to provide support to colleges science, however. Sea Grant devotes almost. $3 mil- and universities to promote agricultural development. lion to research in marine socioeconomics and law For 4 years, 1966-70, the Sea Grant Program re- (marine affairs). Moreover, this research program is sided in the National Science Foundation. In 1970, supplemented by educational activities and advisory it was transferred to the newly formed National services. Each of these aspects of the Sea Grant Pro- Oceanic and Atmospheric Administration by Reor- gram complements the others. Historically, Federal ganization Plan No. 4. funds and contracts made available under the Sea The Sea Grant research program is directed to- Grant program may not exceed two-thirds of the ward the development, conservation, and manage- total cost of the project. At least one-third of the ment of ocean and coastal resources. About 41 per- cost, therefore, must be paid for in matching funds. cent of the $12.94 million allocated in fiscal year Amendments to the Sea Grant Act, passed in 1977 to Sea Grant scientific research focuses on the 1976, added an international element to the Sea 47 National Sea Grant College Program Act, 33 U.S.C. Grant Program. Under these amendments, grants and 1121-1124. contracts may be negotiated with any Sea -Grant VU-27 college, Seat Grant regional consortium, or any other recreation, offshore oil, and other marine-related institution of higher education in the United States, industries. Deficiencies in the Sea Grant Program, to enhance the research and development capabilities however, were identified by NACOA in its. Sixth of developing foreign nations, and promote the inter- Annual Report published in June 1976. One of these national exchange of information and. data with was that while Sea Grant has been useful in respond- respect to ocean and coastal resources. This program ing to local and regional needs, its resources were will encourage the research and development of, and not available to assist in solving broader national and technology transfer to, developing countries. The international problems. NACOA also expressed the Congress enacted the amendment to improve scien- view that there was often a lack of coordination tific cooperation between developing foreign nations, between Sea Grant programs and other elements of and their institutions of higher education, with those NOAA and other Federal agencies. NACOA raised of the United States. questions about the Sea Grant advisory and pro- The Sea Grant Program has been innovative in posal review structures, and it recommended that, in providing institutional support to universities having addition to funding increases required to keep pace, the capabilities to deal broadly with marine and with inflation, the Sea Grant budget be increased coastal zone issues and in providing information from $23 million in fiscal year 1976 to $40 million needed by States, local governments, and the fishing, within a few years. Other NOPA Marine Research Programs The NOAA system of Environmental Research in these efforts: the Marine Ecosystems Analysis Pro- Laboratories and other NOAA elements are involved gram and the Outer Continental Shelf Environmental in a variety of research activities. These projects in- Assessment Program. Both of these programs are clude studies of coastal and deep-oce 'an physical, discussed in chapter VI. NOAA fisheries research is chemical, geological, and biological oceanography. discussed in chapter III. Two major multidisciplinary programs are included Navy Ocean Science Program The Navy Ocean Science Program is the oldest gram is discipline-oriented and encompasses physical Federal program supporting basic marine research at and chemical oceanography, marine ecology and geo- the universities. Throughout the 1950s and much of physics, oceanic biology, ocean technology (described the 1960s, Navy support of university ocean research earlier), and underwater acoustics. exceeded that of NSF. Today, it remains the second The purpose of the physical oceanography program largest program supporting university R&D. The goal is to improve the understanding of open-ocean of the Navy Ocean Science Program is to provide the physical processes. This work is of fundamental inter- basis of knowledge needed about the oceans to sup- est to the scientific community and, necessary to en- port the Navy's national defense mission. The Navy vironmental prediction needed for a wide variety of has long recognized the value of basic research in civil activities as well as for Naval operations. Physi- areas of Navy interest and the contribution 'such re- cal oceanographers have now identified the major search can make to the continued improvement of factors affecting oceanic variability such as western the Navy's defense posture. Consequently, Navy ef- boundary currents, mesoscale eddies, and internal forts in ocean science contribute not only to the waves. The Navy research program is now concen- Navy's primary mission, but add to the fund of basic trating on studies of the processes whereby energy knowledge used to advance toward broad social, enters the ocean, generates ocean variables, and is economic, and scientific goals. transferred through the water before being dissipated. Navy ocean science responds to long-range require- An understanding of these processes and of energy ments determined by the Director for Defense Re- transfer rates is essential in progress towards the search and Engineering. University research in the ability to make accurate oceanic forecasts. ocean science program is supported primarily by the The chemical oceanography program is closely Office of Naval Research (ONR). The content of the linked to the Navy's fundamental research in oceanic program is reviewed annually and adjusted in accord- biology, marine geology, and acoustics. Chemical ance with projected Navy requirements. Contracts for oceanography is concentrated in three general prob- research are awarded in response to unsolicited pro- lem areas: (1) assessing processes and mechanisms posals. Such proposals are evaluated on their rele- that govern the inorganic composition of seawater; vance to Navy needs, scientific quality, the compe- (2) determining chemical fluxes through the marine tence of the investigator, and the facilities available@ environment, including air-sea and sediment-sea ex- for the proposed research. The Ocean Science Pro- changes; and (3) gauging the impact of life processes VII-28 on the chemistry of the ocean. 'Curr6htly*, 'studies 6f the physical, chemical, geological, and biological the inorganic: and physical chemistry of seawater are programs. being deemphasized because of advances made in . In 1976, the Marine Board of the National Academy previous years. Conversely, studies of chemical fluxes of Engineering and the Ocean Sciences Board of the are being accelerated to determine the routes and National Academy of Sciences completed a joint study rates of transfer of chemical elements among the of the Navy's oceanographic program. The emphasis major repositories of these elements: the ocean, of this study, initiated at the request of the Assistant atmosphere, crystalline rock, Earth mantle, rivets, and Secretary of the Navy for Research and Development, sediment. The program is also increasing its emphasis was on projected Navy needs in order to provide the on organic chemical studies to obtain more knowl- basis for planning i Its future ocean science and engi- edge of the interrelationships between the chemistry neering programs. In reviewing the recent history of and the biology of the ocean. the Navy ocean program, the study noted that the The configuration and properties of the ocean floor funds- expended for basic ocean science research have influence a number of Navy activities including remained virtually constant since 1965, but owing to acoustic and nonacoustic submarine and antisub- inflation, 'have declined in absolute termS.411 The marine operations; surveillance system design, in- Academies attributed the decline to strict measures stallation, and maintenance;' search and recovery instituted by Secretary of Defense McNamara "to operations; and inertial navigation, guidance, and insure that military research and development would trajectory calculations. Navy research in rriarine be mission -oriented." The funding for some parts of geology and geophysics is directed to understanding ONR's research program was cut back in subsequent seafloor properties and is concentrated in studies of Navy budgets. This effect was compounded in 1969 the processes that control bathymetric, gravity, mag- after enactment of the Mansfield Amendment to the netic, and acoustic variability' of the ocean basins. 1970 Appropriations Act, requiring that all Navy The primary emphasis of this work is on seismic/ research be relevant to the Navy's mission .411 acoustic studies of the layering, variability, and trans- Although the Mansfield Amendment had the effect mission characteristics of the deep-sea floor. A second of law for only -1 year, it has had a lasting impact on major research area is concerned with understanding naval research programs. The 1971 Appropriations the sources and location of. bathymetric, gravity, and Act required that research have a potential relation- magnetic anomalies. A third program element ex- ship to a military activity as determined by the Secre- amines the dynamics of'sediment transport. tary of Defense. Since 197 1, there have been no legis- Navy oce 'anic biology studies are concerned with latively' enacted restrictions on Navy research, but the biofouling and deterioration of underwater equip- the constraints* of the 1970 and 1971 Acts have been ment and structures, protection of swimming and regarded as guidelines for research. , diving operations, and acoustics. This program en- The steering group noted that "projects dropped compasses research in biochemistry, physiology, from Navy programs as not being mission-oriented, ecology, behavior, taxonomy, zoogeography, micro- or those appearing to duplicate work in other agen- biology, and microacoustics. cies often would not turn up on other agency pro- Navy acoustics studies seek to contribute to under.- grams in a form that could be useful to the Navy."511 sea surveillance, target localization and detection, and The group noted that the Navy may have too strictly underwater communications. The acoustics program interpreted the term "relevance". It recommended consists of three categories of research. These three that "mission relevance" be more broadly defined categories focus on the effects of the water column, for ocean scien .ce and engineering." surface, and bottom on acoustic propagation. The current emphasis of the program is on the effects of 48 National Academy of Sciences. Directions for Naval Ocean- internal waves, currents, and mesoscile eddies on ography. Washington, D.C., 1976, p. 111. 4 9 Ibid., p. 110. acoustic signals. In additi6n to' these studies, the - Ibid. acoustics research program relies on' the findings of 51 Ibid., p. 113. Department 'of Energy The marine science program of the Department preventing pollution of the sea by radionuclides in of Energy (DOE), originates from the Atomic Energy amounts that would adversely affect man and the Act of 1954, which established the former Atomic marine resources used by him. Energy Commission (AEC). AEC was charged with The AEC marine science research program was VII-29 directed toward determining those environmental fac- leased during petroleum exploration and develop- tors that influence the movement of radionuclides ment by particle absorption, desorption, and suspen- through the marine environment, the possible paths sion in the water column. and rates of return of radioactivity to man through DOE supports a program to assess the ecological food webs, and basic ecological processes. Within effects of water-cooling systems for use in ocean this broad program were studies on biological, thermal energy conversion (OTEC), floating nu- physical, and chemical oceanography, and studies clear plants for the generation of electricity, and related to operational activities such as the effect of conventional power plants. This program is directed waste heat on local ecosystems at nuclear power to the development of validated models permitting stations. quantitative estimates of how cooling systems affect When AEC was divided into the Energy Research mortalities in representative freshwater, brackish and Development Administration (ERDA) and the water, and marine populations; the determination of Nuclear Regulatory Commission (NRC) in 1975, its the identity, quantity, and environmental effects of research program was inherited by ERDA. ERDA's persistent compounds formed through chlorination marine program became concerned not only with or other biocide treatment of cooling water and the the fate, transport, and effects of radionuclides, but evaluation of alternatives to chlorination; the devel- with all energy-derived products, including thermal opment of alternative designs for intake structures energy, that might affect the marine environment. to reduce or eliminate the mortalities associated with In 1977, ERDA was incorporated into DOE. The. conventional structures and procedures; and the primary focus of the marine program is now on assessment of the effects of cooling system effluents understanding dynamic systems and processes in on organisms. order to predict how energy-related activities will Another DOE program is aimed at providing en- affect the environment. The nature of such work is vironmental, health, and safety data for use in the generally long-range since it involves natural, long- development of offshore nuclear powerplants and term fluctuations in the ecosystem, which must be establishing criteria for the safe disposal of high- determined and distinguished from short-term or level radioactive wastes in the ocean. This program anomalous events. These studies are important to focuses on characterizing the processes and mechan- all energy-related activities in the ocean, whether isms governing the movement, geochernical behavior, they involve biomass production, ocean thermal and effects of radionuclides in the marine environ- energy conversion, Outer Continental Shelf develop- ment, including their transmission through the food ment, floating or onshore powerplants, petroleum chain. In a complementary project, EPA is studying development, or the transportation of energy-related low- and intermediate-level radioactivity at nuclear materials. waste disposal sites used between 1946 and 1970. . Other priorities of the DOE marine program are (See discussion of EPA program in chapter VI.) directed toward understanding specific energy- DOE does not conduct inhouse research, per se. related processes such as hydrocarbon cycling The program is based on research contracts to both through sediments and biota, the fate of atmo- on-site (the four contractor-operated National Labo- spheric trace metal pollutants from combustion ratories) and six off-site (primarily university) insti- sources, the deposition rate of radionuclides, and the tutions. To integrate environmental research projects effects of powerplant effluent discharges on the eco- with the activities of other Federal agencies, and system. with personnel in the field, regional scientific coordi- The DOE oil and gas program is developing in- nators have been designated for the South Atlantic dices for determining the health of the ecosystem by Bight; the Northeast, particularly the Mid-Atlantic studying changes in behavior, photosynthesis activ- Bight; and the Northwest. ity, immune responses, and fertility of marine organ- DOE's multidisciplinary programs are organized isms when subject to. chronic and accidental oil on a regional basis. The three largest regional proj- release; determining flushing rates and current pat- ects are: (1) physical and biological studies in the terns of shelf areas to know what areas will be Mid-Atlantic Bight to define movement of water affected by petroleum releases and the length of time masses, particularly across boundary layers, and the pollution conditions will remain in the marine their influence on biomass production (Brookhaven system; evaluating initial and continuing damage and National Laboratory); (2) food chain studies in the recovery rates of biological systems affected by dif- South California Bight to determine the influence of ferent-sized spills of crude and refined oil for varying climate and physical and chemical factors on bio- lengths of time; identifying compounds in crude and mass production (Scripps Institution of Oceanog- refined petroleums that are potentially damaging to raphy); and (3) radionuclide cycling in deep and the ecosystem and determining pathways of chemical shallow oceanic systems (Woods Hole Oceano- and biological transformation of toxic compounds; graphic Institution). determining bioavailability of toxic compounds re- VII-30 Interagency Coordination of Marine Science and Technology Government support of marine R&D is predicated cumulative process. Seldom are major breakthroughs on the value of marine science and technology in realized in a one-time effort. Some degree of re- achieving broad political, economic, social, and cul- dundancy in national R&D programs is not categor- tural goals. Responsibility for the pursuit of these ically bad, providing it is known and is part of objectives has been assigned to the mission agencies. overall ocean R&D strategy. A greater potential for On the other hand, there are compelling reasons to error exists where lack of coordination results in treat science and technology as a whole in order to omissions, lost research opportunities, or inadequate provide a mech 'anism to overview governmental sci- emphasis on specific areas of inquiry. ence activities and ensure a balanced, efficient use GAO did not undertake an analysis of agency and development of the nation's intellectual and duplication but it noted that a number of agencies technological resources. The problem of govern- were involved in similar areas of research. Seven mental involvement in science and technology is departments and agencies were administering 15 pro- complicated further by the nature of the R&D proc- grams to assess the structure and composition of the ess itself. Research and development is a continu- ocean floor. Six supported 14 different programs on ous, integrated process, beginning with basic research marine biology and ecology. Five had nine separate and extending through applied research and devel- programs to investigate the effects of pollutants on opment. Thus, responsibilities among Government marine ecosystems. In technology development, five agencies, academic institutions, and industry are dif- departments and agencies were identified as working fuse. The scientific disciplines do not separate among on at least 13 programs to develop, test, and evaluate the agencies to the extent that coordination can be oceanographic instruments." achieved easily. The programs of a single agency Although GAO's findings imply overlap and dupli- often interact with a variety of disciplines and insti7 cation, the differences in the sponsoring agencies' tutions. Furthermore, the dynamics of science itself mission requirements must be considered. Comment- constantly present new and changing problems to ing on the GAO report, several agencies noted that Government. 12 the programs@cited by GAO in each of the four cate- Federal programs in marine science and technol- gories were conducted for agency missions that dif- ogy are pluralistic; a number of agencies may be fered in substance and purpose. The Federal Council performing or supporting similar and related tasks on Science and Technology noted that many of the relevant to their missions. This pluralism is consid- activities of the agencies are similar and require com- ered by many as a strength of the system. According parable experimental facilities. These agencies share to the proponents, diversity in funding and sponsor- available ship time and a common data base by stor- ship ensures that good ideas and pioneering research ing the data produced in a central depository, the proposals can find support somewhere in the Federal National Oceanographic Data Center, administered system. In 1975, however, GAO observed that "it is by NOAA's Environmental Data Service. All agen- doubtful that the resources of the 11 departments cies and many foreign scientists have access to these and agencies are being applied to best serve national files .51 It should be noted that this system also pro- purposes. " 5313etter coordination among the agencies vides U.S. scientists with access to foreign data. conducting and sponsoring ocean R&D is frequently Interagency coordination of marine science and called for. To improve coordination, proposals have technology depends largely on an informal commu- been made to: (1) consolidate research functions nication system. The need for a formal review or through reorganization, (2) re-establish a govern- clearance system among the agencies funding marine mental entity in the Executive Office of the President science and technology must be determined by fur- similar to the Marine Science Council, or (3) re- ther examination. Scientists caution, however, that a vitalize the interagency coordinating mechanism formal system of review must be leavened with rea- through the intervention of the Office of Science and son and not be permitted to encumber scientific Technology Policy (OSTP). @ initiative. It is difficult to define or detect duplication in The marine science community has its own peer areas of Government-sponsored ocean R&D. Scienti- communication system that encourages coordination fic and engineering knowledge is developed as a at the bench-science level, but this in itself does not address the problems of interagency research admin- 52 Ronald Brickman. "Interagency Coordination in Science istration and the allocation of @ research resources Policy: A Comparative Study of Theory and Practice." The American Political Science Association, Sept. 1-4, 1977, Washing- among the agencies. The scientific community is ton, D.C., p. 2. 53 U.S. General Accounting Office. The Need for a National Ocean Program and Plan. Report to the Congress GGD-75-97, 54 Ibid., pp. 17-22. 1975, p.J. 55 GAO, op.cit. note 53, p. 65. V11-3 1 chary of any centralization of science funding, or new ones. Examples of such projects include Bureau centralized review and approval. This reflects both a of Land Management/Department of Energy studies concern for the "big brother" image of the Federal of the dynamics of petroleum cycling in the oceans, Government, which could impose unwanted direc- Bureau of Land Management/NOAA environmental tion and governmental objectives on academic re- assessment studies relevant to Outer Continental search through funding restrictions, and a desire to Shelf oil development, NOAA /Department of Energy maintain flexibility for "selling" research projects to studies on sediment transport, ONR/IDOE research a multiplicity of agencies with alternative sources of on scafloor assessment and pollutant transfer, ONR/ Federal research funds. USGS cooperative studies in sediment dynamics, and Three possible levels of science coordination may Coast Guard/NOAA cooperation in the data-buoy be.adopted as public policy: (1) Collegial communi- program. This last project includes arrangements cation-where agency representatives and the science for the detailing of Coast Guard personnel to data- community informally exchange information about buoy projects of NOAA's Office of Ocean Engineer- their respective programs in the absence of a formal ing. The Coast Guard also provides shore and ship review system; (2) Agency mutuality-where a for- support for the placement, servicing, and mainte- mal framework for review of agency R&D through nance of data buoys. rational and technical criteria operates to avoid du- Other interagency coordination occurs in such plication, subdivides responsibilities, and integrates forums as the National Advisory Committee on mutually supportive efforts and resources; and (3) Oceans and Atmosphere (NACOA), the Univer- Federal planning and direction-which involves set- sity National Oceanographic Laboratory System ting Government-wide goals and policy objectives in (UNOLS), and the Interagency Committee on Ma- R&D and structuring programs across agency lines rine Science and Engineering (ICMSE). ICMSE con- to conform to an overall design. sisted of representatives of -all of the agencies The coordination of Federal marine science and participating in the Federal Ocean Program. Estab- technology programs has relied upon a combination lished in 1971, when the Marine Science Council of "collegial communication" and "agency mutual- was terminated, ICMSE reviewed agency programs ity," focused through the Interagency Committee and occasionally made recommendations to OMB on Oceanography before 1966, the Marine Science for budget adjustments. Seldom, however, were Council between 1966 and 1971, and the ocean- ICMSE's reviews stringent and critical, and there is related interagency committees subsequent to that little indication that its funding recommendations to time. Moreover, as in all Federal programs, coordi- OMB had any effect on the marine science budget. nation occurs in the budget process. ICMSE also participated in a number of studies for Coordination of agency programs is achieved by the Senate's National Ocean Policy Study and co- agency'participation in a number of formal and in- operated with GAO on other matters of interest to formal interagency committees and by agreements the Congress. ICMSE's most important role, how- among agencies on the conduct of cooperative pro- ever, was its function as a forum for the exchange grams. These arrangements have been effective in of information among the agencies, thus enabling facilitating the exchange of information about agency them to maximize the mutual use of program re- programs and providing a basis for cooperative ef- sources. fort. In addition to cooperation in a number of joint The Federal Council for Science and Technology projects, agencies collaborate by: (1) sharing ship was replaced in 1976 by the Federal Coordinating time and specialized facilities; (2) making data avail- Council for Science, Engineering, and Technology able to other Federal and non-Federal interests (FCCSET). FCCSET established a new committee, through data centers such as NOAA's Environmental the Committee on Atmosphere and Oceans (CAO), Data Service and the Smithsonian Oceanographic to replace the old FCST committees, ICMSE, and Sorting Center; (3) participating in special advisory the Interdepartmental Committee on Atmospheric groups to review each other's program plans, and Sciences (ICAS). FCCSET and the Office of Science (4) commenting on research proposals received by and Technology Policy (OSTP) were reorganized in other agencies. 1977. Their functions have only recently been deter- The Navy's Office of Naval Research, the Na- mined within the Executive Office of the President. tional Science Foundation, NOAA's Office of Sea As a result of the reorganization, CAO has been Grant, and the Department of Energy all convene less active than ICMSE. The interaction between special workshops or review panels of researchers FCCSET and OSTP is unclear, but assuming OSTP in pertinent fields from other Federal agencies and support, the CAO may evolve into an effective co- universities to review their research projects, Formal ordinating mechanism. Even if it does, the need for and informal meetings also are called among the other formal and informal coordination systems will agencies to review progress on existing cooperative continue. The need to establish stronger mechanisms research studies and to examine requirements for will require further appraisal. VII-32 Chapter V111: Marine Employment, Education, and Training Introduction Today over 2 million people work in the marine terested in policy matters. and maritime fields, almost as many as in agriculture. Overall, the marine and maritime training and They represent a variety of occupations and, not education system in this country is decentralized and surprisingly, are trained and educated in a variety dive'rse, with the State, local, and private roles usu- of ways. ally larger than that of the Federal Government. The degree of Federal involvement in their train- Yet, significant Federal involvement has been a nat- ing varies. Federal aid to universities is crucial in ural development, given both the emphasis that the training of marine scientific and engineering pro- Americans attach to all forms of education and the fessionals, though this role is limited to financial vital importance of trained personnel to the. national assistance and does not include direct Federal opera- oceans' effort. Furthermore, while the Federal Gov- tion of the schools. Federal programs play a large ernment is only one of many governmental and role in the training of merchant marine officers, private organizations which are involved in marine though many officers continue to be trained other education, its funds greatly influence who is trained than through the Government-supported maritime and for which occupations. Thus, Federal policies academies. The Federal role in the vocational train- affect the entire marine education effort in this ing of skilled workers and maritime seamen generally country. is limited to providing financial assistance to States There appears to be little political controversy and private schools, which are responsible for the either about the basic Federal role or about national actual training. Several Federal programs deal with marine personnel and education policies in general. marine education for the general public, ranging from Some specific issues have been raised, but most ob- curriculum development assistance for elementary servers feel that the basic system is functioning and secondary schools to public information and satisfactorily and meeting the Nation's marine and public participation programs for those citizens in- maritime personnel needs. Present and Projected Employment Total marine and maritime employment was esti- paring the 1975 estimates with those for 1980. A mated to be slightly over 2 million in 1975 and reasonable rate of growth can be expected in all according to one set of projections is expected to parts of the ' field, while the largest expansion, in be almost 2.4 million by 1980 (tables 8-1 and 8-2; absolute numbers, will occur in the. largest em- fig. 8-1).1 In addition to this civilian workforce, in ployment settings (fig. 8-1). However, these 1980 1975, the U.S. Navy had 549,000 uniformed person- estimates may be overly optimistic, particularly re- nel, the Coast Guard some 38,000, and the NOAA garding growth for longshoremen and the ship con- Corps about 380. struction industry. In fact, shipbuilding jobs may Some basic conclusions can be drawn by com- decrease sharply after 1978, Developmen t of the Federal Role The Federal role in marine and maritime educa- the result of both certain deeply-held beliefs and tion should be discussed in the context of Federal several important historical developments. education policies in general. And those policies are Two beliefs are most important: One is the strong traditional American faith in the value of education. 'Edward F. Mackin and Roger D. Anderson. "Marine Man- In part, this reflects the view that some Government- power: An initial Assessment." Marine Technology Society Journal 10, May 1976, p. 36. The authors emphasize that these sponsored education is needed if the Nation is to numbers are only estimates, especially the 1980 figures. have the trained personnel necessary for both na- Table 8-1.-Marine employment by industry and occupational family 19751 Marine Recreation Marine Science Marine Resources Marine Technology Marine Operations Re- watch Aquaria Education Regulatory and Mining Marine Waterway PC" and Bo@t Sport Advisory and and devel- Aqua- Commercial and Seafood construc_ engineering Ship Merchant Inland and Offshore Total museums building Marinas fishing services training environmental opment CkIllUre fishing P"role". Processing tion and ocean building marine operations harbor support Scientific 27,250 480 310 20 530 7,000 4,790 870 3,460 1,530 860 260 3,800 630 10 40 150 230 Engineering 44,900 60 3.640 70 so 400 1,500 ' 4,950 5,920 260 1,050 2,460 250 4,840 4,100 12,300 80 1,510 660 800 Technical 46,010 120 2,680 190 150 430 3,000 5,390 4,490 1,750 670 3,650 2,040 4,390 6,080 7,510 70 1,170 840 1,400 Managerial 243,220 2,160 83,530 9,120 14,250 940 500 11,680 780 2,200 19,050 5,550 17,660 25,400 9,250 9,840 1.040 18,490 11,230 450 Communications 8,950 300 430 50 130 2,960 50 910 90 650 300 30 1,050 560 50 1,110 230 40 Supportive 343,070 17,400 69,750 4,750 12,830 5,640 3.950 70,210 5.390 2,070 11,920 6,580 19,420 14,430 10,960 32,210 2,010 35,050 16,090 1,800 Sales 176,680 1,220 105,340 810 16,720 10 50 140 60 240 1,390 160 39,01JO 600 270 790 46 720 8,900 140 Electrical 33,940 60 3,280 1,140 520 140 1,730 30 30 so 1,110 940 10,660 l,A50 10,030 50 1,130 210 970 Filters 93,750 20 20,040 1,440 660 160 2,120 30 30 190 240 1,300 5.470 430 60,250 60 1,000 210 100 Craftsmen 284,280 33,940 17,180 8,806 540 100 6,550 230 1,560 9,050 6,440 92,510 10,740 88,520 280 5,020 2,630 190 Mechanics 157,870 180 55,610 35,340 17,340 630 250 7,790 130 180 1,050 1,990 7,000 5,010 3,320 11,130 220 3,900 6,020 780 Seamen 185,190 370 540 2,090 80 500 990 170 1,940 11,780 2,580 480 4,940 4,300 510 43,900 81,310 6,840 21,870 Longshoremen 107,590 4,740 270 4,050 120 1,530 270 1,630 690 9,640 8,970 1,150 2,t4O 2,080 6,020 63,970 420 Fishermen 197,420 240 3,050 3,190 420 1,280 1,810 9,010 157,380 21,040 Laborers 116,880 16,090 4,050 4,200 3,950 8.260 1,620 27,070 34,490 2,700 9,580 90 2,930 1,040 810 TOTAL 2,067,000 22,000 400,000 78,000 85,000 13,000 17,000 124,000 20,000 23,000 225,000 36,000 147,000 212,000 60,000 246,000 50,000 160,000 119,000 30,000 Source: Edward F. Mackin and Roger D. Anderson. Marine Manpo-er: An Initial Assessment. Marine Technulogy Society Jountal 10(4):26-37, May 1976. Table 8-2.-Marine employment by industry and occupational family 1980 Marine Recreation Marine Science Marine Resources Marine Technology Marine Operations It, search Aquaria Education RegLdatory . and M i ning Marine Water,ay Pc,rt and 13.at Sport Advisory and and devel- Aqua- Commercial and Seafood constrLIC- and ocean Ship Merchant Inland and Off shore Total to uleu ro, hu,lding Marinas fishing services training environmental opment Culture fishing petroleum processing tion engineering building marine operations harbor support Scientific 30,950 550 340 20, 610 7,400 5,560 1,000 3,760 1,700 2,530 890 320 4,940 740 10 50 160 390 Engineering 52,860 70 3,930 80 50 460 1,590 5,750 6,810 280 1,170 2,730 250 5,910 5, 330 14,500 90 1,840 690 1,330 Technical 54,110 140 2,890 230 160 500 3,180 6,250 5,160 1,900 740 4,060 2,080 5,360 7,900 8,850 80 1,420 880 2,330 Managerial 273,670 2,450 90,210 11,110 15,090 1,090 640 13,560 900 2,390 21,170 6,170 18,020 31,030 12.020 11,000 1,140 22,530 11,800 750 Communications 10,460 340 460 60 140 3,420 50 1,060 100 720 310 40 1,370 660 70 1,350 240 70 @E Supportive 390,940 19,770 75.340 5,790 13,580 6,510 4,190 81,520 6.210 2.250 13,240 7,310 19,820 17,630 14,250 37i970 2,210 43.450 16,900 3,000 Sales 188,500 1,390 113,770 990 17,700 10 50 160 70 260 1,540 180 39,790 730 350 930 40 880 9,430 230 Electrical 40,560 70 3,540 1,390 550 160 2,010 30 30 60 1,230 960 13,020 2,400 11,820 70 1,380 220 1,620 Filters 108,570. 20 21,640 1,750 700 180 2,460 30 30 210 270 1.330 6.680 71.030 70 1,220 - 220 170 Craftsmen 335,260 36,660 20,920 9,320 620 110 7,610 260 1,700 10,050 7,150 113,020 13,960 104,370 310 6,120 2,760 320 Mechanics 178,740 200 60,060 43,040 18,360 730 260 9,050 150 200 1,170 2,210 7,140 6,120 4,320 13,120 240 4,750 6,320 1,300 Seamen 227,050 400 660 2,210 90 530 1,150 200 2,110 13,090 2.870 490 -6,040 5,540 600 48,280 99,100 7,190 36,450 Longshoremen 116,780 5,120 330 4,290 140 1,780 290 1,810 770 9,840 10,960 1,@0'0 2,520 2,290 7,340 67,100 700 Fishermen 217,550 260 3,720 3,380 480 1,490 2,080 9,800 174,870 21,470 Laborers 133,000 17,380 4,930 4,450 4,590 9,180 1,800 27,620 42,140 3,510 11,290 100 3,570 1,090 1,350 TOTAL 2,359,000 25,000 432,000 95,000 90,000 15,000 18,000 144,000 23,000 25,000 250,000 40,000 150,000 259,000 78,000 290,000 .55,000 195,000 125,000 50,000 Source: Edward F. Mackin and Roger D. Anderson. Marine Manpower: An Initial Assessment. Marine Technology Socieiv Journal 10(4):26-37, May 1976. 500 Marine Recreation. 1980 (Projected) 1975 400 Marine Technology 300 Marine Resources Marine Operations 200 Marine Science 100 0 CJ) C,> QJ N 4? _zi 'S @y 4 @$ 44@ CO' A Ir.) 4:@ 4Q@ C-3 4z; CIP 'IV 4CI' ki @ 4, lc@ C-3 4@- 4@ rd Figure 8-1-Marine employment by industry in 1975 and projected for 1980. Employ- ment in thousands. Source: Edward F. Mackin and Roger D. Anderson. "Marine Manpower: An Initial Assessment." Marine Technology Society Journal 10(4): 26-37, May 1976. Ci s@ 1P VIII-4 tion,al defense and economic development. Trained Then, in 1871, President Grant signed a bill es- manpower-marine and otherwise-has seemed par- tablishing an Office of Commissioner of Fish and ticularly important both because of the rapid growth Fisheries, creating an important source of employ- of the country, with the accompanying labor short- ment and further training for early fisheries special- ages, and because of continuing changes in both ists. In 1885, the Commissioner established his military and civilian technology. This belief also headquarters at Woods Hole, Mass., creating the reflects the idea, voiced most forcefully by Thomas nucleus for a center of marine research and edu- Jefferson, that widely available education is vital cation .5 to the development of a free society. Education is A second aspect of the Federal role in education seen as the main vehicle for ensuring equal oppor- goes back to the beginning of the 19th century and tunity, as well as one way to produce the informed the need for trained military officers. Since national and "enlightened" citizenry that is seen as vital for defense was a Federal responsibility under the Con- a healthy democracy. This idea of an informed and stitution, President Jefferson was able to persuade active citizenry is still very much with us, as seen Congress, in 1802, to establish a United States Mili- in the recent public participation movement, which tary Academy at West Point. This was the first time is affecting the marine field as well as elsewhere. that Federal funds were used in direct support of Americans thus have long supported the concept higher education. The Naval Academy was estab- of public education .2 In addition, education policies lished in 1845, and the Coast Guard Academy in also have reflected a second strong belief-the prin- 1876, confirming a national policy for training a ciple that public education primarily should be the sea-going officer Corps. Later naval reserve officer responsibility of State and local governments and training programs were started at civilian colleges not the Federal. This has been partly for pragmatic and universities. reasons, particularly that State and local efforts can The research and training done by armed forces meet local needs better than the central Government and their academies helped meet civilian as well as in Washington, and partly for philosophical reasons military needs. Among other things, West Point was based on the idea of federalism-a belief that edu- the Nation's first engineering school, and in 1824 the cation should be controlled at the lowest govern- Army Civil Works Program was established for mental I'evel practical. Yet, there have long been river and harbor projects. In the 1830s a young important qualifications to this principle of State and , naval officer, Matthew Maury, made pioneering local control, and over the years they have led to a studies of winds, currents, and hydrology while on strong Federal role in.several parts of this Nation's ocean voyages. In 1842, he was placed in charge of educational system. the Depot of Charts and Instruments, out of which One important early theme was the role of the grew two important centers of marine study and Federal Government as an employer and often fur- training, the U.S. Naval Observatory and the Hy- ther trainer of the professionals needed to staff the drology Office. Today the Navy continues to train Federal agencies. The new Nation was large, un- , marine specialists; many of the people now in the developed, and in many places even unexplored, and civilian ocean agencies, universities, and private from the earliest days of the republic the Federal companies at one time or another received training Government was involved in surveys, public works, or experience while working with the Navy. and other activities related to national development .3 A third major theme of the Federal role in edu- The Coast and Geodetic Survey (now the Na- cation also developed around 1800-the principle that tional Ocean Survey within NOAA) was the first limited Federal assistance to States and localities is important such agency in the marine field. As early appropriate in certain cases where State resources as 1795, the Third Congress found that large sec- are lacking. First, the Ordinance of 1787 reserved tions of the Atlantic Coast were inadequately sur- a plot of land in every prospective township west veyed. After further debate, the Coast and Geodetic of the Alleghenies for the support of education, a Survey was created by the Ninth Congress in 1807. step that'became a precedent for national educational The National Ocean Survey continues to hire and aid. Then, in 1862 the Morrill Act granted public help train marine scientists and other professionals .4 land to every State establishing a public agricultural college' While the aim was to support agriculture and mechanics, the Act not only set a precedent for Encyclopedia Britannica, 1974 edition. "Education, History Federal support of civilian higher education, but also of," by Adolphe E. Meyer and others. Macropedia 6: 365-367, provided the model for the Sea Grant Program of 381-383. ' See chapter V, Marine Transportation, for a discussion of a century later.6 early Federal involvement in the development of the Nation's marine transportation infrastructure. ' U.S. Department of Commerce. Annual Report of the Secre- tary of Commerce. Washington, D.C., Government Printing 5 Ibid., pp. 108-109. Office, 1976, p. 102. ' Adolphe E. Meyer and others, op cit. note 2, p. 365, VIII-5 Federal assistance to State maritime academies orientation toward research for military applications. began in 1874, initially in the form of Federally Today Federal funding of research-and the research supplied ships. assistantships which help support and train many The idea of limited Federal assistance to voca- graduate students-is a central feature of American tional education was incorporated in the Smith-Lever higher education. Act of 1914 and subsequent acts leading up to to- In the 1950s and 1960s new programs were added day's Vocational Education Act of 1963, as amended as the Federal Government took on further respon- in 1967 and 1976. sibilities. The creation of the National Science Foun- While most of the themes of Federal involvement dation (NSF) in 1950 reflected a new emphasis on in education were in place by the early years ot basic research and the training of resear 'chers, both the 20th century, it was the First and Second World seen as important not only to military innovation, Wars that modified and extended these ideas and but also to the general advancement of knowledge led directly to today's Federal programs. and economic growth. Today NSF is the Nation's Maritime officer education was the first area af- largest single source of funding for basic oceano- fected. The importance of a strong merchant marine graphic research and associated graduate student to national defense had long been a major theme education. Then in the 1960s, the space program and of American policy.' and the shortage of trained health research programs reflected a new emphasis merchant marine officers during and after World on the value of mission-oriented civilian research. War I was considered serious. The result was a 1938 Enacted in 1966, the National Sea Grant College decision to extend the service academy concept and and Program Act established a similar system of create a national merchant marine academy at Kings support for applied research and education in ocean Point, N.Y. Later, in 1958, the Federal role was fields, based on what the Morrill Act did for agri- expanded still further with the decision to provide cluture. (See chapter VII, Marine Science and Tech- financial assistance te State maritime academies. nology.) Then during World War 11 the theme of general By the late 1950s, NSF had expanded its pro- aid to higher education was expanded dramatically. grams to improve science education to the elemen- Rapid changes in military technology and the in- tary and secondary levels, starting a precedent for creasing importance of scientific research on weap- Federal assistance in improving precollege curricu- onry made military research an important part of lum and teaching. Today, the Sea Grant Program the national defense effort. The Nation's civilian and others engage in similar activities to improve universities became a major focus for this research, precollege marine education. as well as the main training grounds for the scientists Finally, the marine area has been affected by the and engineers who performed such work. Large new theme of public participation in Government amounts of Federal money began going to universi- decisionmaking, a theme which has grown to ties, though as before, the Federal Government's prominence largely as a result of the environmental role was one of financial assistance, not direct opera- movement. Ocean agency programs have gone be- tion of the schools. Marine education, like other yond providing information to seeking new ways to fields, became highly science oriented, with a heavy involve the public in policy formulation. Organization of the Chapter The following sections will examine these Federal (4) Federal activities for educating the public, in- marine. and maritime policies for education and em- cluding precollege marine education as well ployment. U.S. policy on these subjects is divided as public information and public participation into four broad categories of Government activity: programs. (1) Federal policies toward higher education and Each section includes a consideration of the back- the training of marine professionals; ground and major justifications for Government (2) maritime officer education; involvement, an assessment of current policy, and (3) marine and maritime vocational training; and a description of the present policymaking system. In addition, a brief discussion of some of the major See chapter V, Marine Transportation. contemporary policy issues in each area is included. VIII-6 Education and Training of Marine Professionals Present Federal Policy Today Federal policy on the training of marine The Sea Grant College and Program Act of 1966 professionals seems guided by three general ideas.8 also mentioned the importance of trained profession- First, Federal programs are intended to help ensure als. Section 1121(b) of the Act stated "that it is the that the Nation has the professionals it needs, par- national interest of the United States to develop the ticularly scientists and engineers to perform research skilled manpower, including scientists, engineers, and important to national defense and general economic technicians, and the facilities and equipment neces- development. Second, the Federal effort has been sary for the exploitation of these [marine] re- tailored to fit within the existing, largely decentralized sources. . . ." framework of American higher education. It has not Historically, this emphasis on linking education to been Federal policy to take over the operation of research has resulted in young science and engineer- State and private schools or to establish alternative, ing professors being trained more as researchers than nonuniversity centers for the training, though some as teachers, though since *1952 NSF has operated advanced training of professionals is still provided some summer institutes for the advanced training of within the Navy, the Coast Guard, and the civilian college teachers."' Today the program is known as ocean agenies. Third, a more recent development in the NSF Chautauqua-Type Short Courses for College the marine fields, as elsewhere, is the,new emphasis Teachers, conducted by the American Association for on training public policy specialists, including marine the Advancement of Science with support from NSF. lawyers, economists, analysts, and planners. In the 1960s, there was concern about the perceived It is important to note that the Federal Govern- lack of good marine science teachers. For example, ment is only one of several groups which determine in 1969 the staff of the Stratton Commission's Panel the Nation's marine education policies. Others in- on Education, Manpower, and Training observed:12 clude the professional societies of scientists and engi- "In the past, most funds in marine science neers, State governments, and the universities them- and technology went into research; not selves. However, the Federal role is central, because enough have gone into teaching, with the of the importance of its financial support. resul .t that the Nation is now short of com- Federal Support petent teaching personnel." The importance of ensuring adequate numbers But in recent years there has been little discussion of scientific and technical personnel first was articu- of teacher shortages, perhaps because graduate school lated in the creation of the Office of Naval Research programs expanded in the late 1960s, producing addi- and later in the National Science Foundation (NSF) tional teachers as well as more researchers. Also, Act of 1950. The 1950 Act, among other things, over the years the Sea Grant program has improved authorized NSF to provide fellowships and training college-level marine education through its curriculum grants to graduate students. A key assumption behind development efforts. this policy is the presumed connection between trained scientific manpower and the national R&D Role of the Universities capability. One of NSF's major responsibilities "is to Until the Second World War, almost all Govern- assure an adequate supply of highly trained young ment-sponsored research-and much advanced train- scientists to maintain the strength of the Nation's ing associated with it-went on in Government labo- scientific research capabilities . - ." 9 Research, in ratories; to this day large laboratory systems are turn, has been supported because of the role applied maintained by the National Oceanic and Atmospheric research can play in meeting civilian and defense Administration (NOAA), the Navy, and other Fed- needs and because of the role basic research plays in eral agencies ranging from the Department of Agri- laying the groundwork for applied efforts.10 Most, culture and NASA to the Veterans Administration. though not all, Federal assistance to graduate stu- Yet, for many years the Government has relied on dents comes indirectly, in the form of research assist- outside institutions to provide the basic training for antships rather .than direct fellowships or loans. 11 U.S. Congress, House Committee on Science and Technology. The National Science Foundation and Pre-College Science Edu- This section discusses scientists, engineers, and policy special- cation: 1950-1975. 94th Congress, 2nd Session, Serial T, Wash- ists. Maritime officers, another important group of marine pro- ington, D.C., Government Printing Office, 1976. fessionals, are discussed in the next section. 12 Panel Reports of the Commission on Marine Science, Engi- I U.S. National Science Foundation. National Science Founda- neering, and Resources, Volume 1, Science and Environment, tion Annual Report 1975. Washington, D.C., Government Print- Part IV, Report of the Panel on Education, Manpower, and ing Office, 1975, p. 83. Training. Washington, D.C., Government Printing Office, 1969, See chapter VII, Marine Science and Technology. P. IV-8. VIII-7 its scientific and technical professionals, a policy There is also some concern that an overemphasis reinforced by this century's emphasis on formal on research exists, at the expense of undergraduate higher education and degrees and by the post-World teaching.15 War 11 use of the universities as large-scale centers Some other observers are concerned about the for both research and the training of researchers. present health of the university-based educational The American concept of the university played a system. Professor Alyn Duxbury of the University of major role in this development. American higher edu- Washington has voiced concern about the lack of cation has long been flexible and willing to start new standardization in the marine science programs which programs. During and after World War 11 the uni- now exist around the country, especially the fact that versities were able to expand their graduate programs there are two kinds of programs. One is essentially to meet the Nation's personnel needs. Furthermore, based on traditional disciplines, e.g., physics, chem- American universities were well prepared to produce istry, and biology, the other is marine science- what the Government needed most: researchers. Un- oriented, and students from one sometimes have like some other countries, for example France, Ameri- difficulty in applying to the other. He suggests, "that can universities have long combined research and an inter-institution academic group rise to the chal- graduate education in the same institution. This goes lenge of bringing order and guidance to those pro- back to 1867 and the creation of Johns Hopkins grams of marine science and to establish rules for University. Inspired by the scholarly accomplishments standardizing course work programs in this field .1116 of German universities, Hopkins put its emphasis on In addition, some professors in the marine field research, a precedent which greatly influenced the share the concern of their colleagues in other fields early graduate school programs that were created in about the general problems now facing American the late 19th century.13 universities. In particular, they feel that financial This emphasis on combining research and educa- support is eroding and beginning to affect build- tion in the same institution has certain implications. ing maintenance and laboratories, problems that do One is that many of the Nation's best scientists-the not show up immediately but can do harm in the university professors-are not involved in full-time long run. There also is concern that applied research research, because they spend some time teaching. is being overemphasized at the expense of basic work Yet, it is an advantage from the Government's point (See Chapter VII, Marine Science and Technology.) of view that this also means that young scientists are These are not strictly issues of Federal policy, because well trained and active in research while still in school. university funding comes from a variety of Federal, The number and types of assistantships supported State, and private sources. But because Federal re- by the Government's research programs have impor- search policies play such an important role in uni- tant implications for'professional education. One is versity life and education, this concern does raise that students are trained in those specific areas where questions about the adequacy and course of present funding is available during their graduate years. This Federal policy. The marine scientific community is is beneficial in the sense that they are prepared for likely to raise this matter in the future. 17 research in areas of interest to the Government and There are also other implications of relying on where there may be jobs in the future. Problems re- universities to provide both research and personnel. sult, however, if Government priorities exclude some One is that while academic departments are often important area, or if the agencies shift funding pri- isolated from each other, universities nonetheless orities rapidly, thus training people in fields where offer opportunities both for interdisciplinary research subsequently they may not be employable. (and the training that goes with it) and for inter- There is concern that some marine areas are being disciplinary courses. This point is especially relevant neglected. For instance, in ocean engineering some in light of the third, and still developing, policy feel that Federal research programs have funded re- objective in the field of marine professional training. search and education adequately in certain areas (ship hydrodynamics) and not in others (ship structures Marine Affairs and marine propulsion and control systems). Be- Growing concern about environmental damage to cause post-masters degree studies usually can be sup- the oceans and increasing use of the ocean's food, ported in an academic institution only if the related energy, and mineral resources has affected both ocean research is externally funded, these research policies affect education SignifiCantly.14 Federal research poli- Ibid., pp. 225-226. Alyn C. Duxbury. @'Marine Science Education-Some In- cies and priorities continue to influence greatly what equities," in Marine Technology Society and Institute of Elec- kinds of marine professionals are trained in this trical and Electronics Engineers, Oceans '77 Conference Record country. 1: 2213-1 to 2213-2. 11 For a statement of general concerns about the health of U.S. basic research, see National Science Board, Science at the Bicen- Adolphe E. Meyer and others, op. cit. note 2, pp. 366-367. tennial-A Report from the Research Community. Washington, "T. Francis Ogilvie. "Education for the Marine Industry," D.C., Government Printing Office, 1976. See also P. M. Boffey, Marine Technology Society Journal 14: 225, July 1977. Science, 22 October 1976, pp. 409-410. V111-8 policy in general and marine education in particular. new tasks of environmental protection and manage- The general effects can be seen in the new legislation ment'of marine and coastal resources. The other is to on environmental protection and resource manage- train marine scientists and engineers so they can ment passed during this decade, including the Coastal deal with these new problems which involve policy Zone Management Act of 1972 and the Fishery considerations as well as scientific factors. Conservation and Management Act of 1976. The emphasis on training in marine affairs is re- A parallel result is an emphasis on research and flected in the Sea Grant legislation. For instance, the education in "marine affairs." This takes two forms. Senate Committee report on the.1976 revision of the One is the training of marine lawyers, economists, Sea Grant Act called for the program to help "equip analysts, planners, and managers who can handle the the United States for leadership in the oceans." Present Marine Education System Today, some 160 colleges and universities have a sudden rise in the demand for civilian marine per- programs in marine science, ocean engineering, and sonnel,' defense contractors and their skilled marine related fields.19 pro ,fessionals can be called upon. While it is difficult to get precise enrollment and The result is that the marine personnel system has budget statistics, it is clear that there is now a sub- strengths that help it keep the supply of professionals stantial U.S. network of marine education programs. balanced with demand. Some observers, noting this, It is estimated that the number of students enrolled have concluded that the present educational system at any given time in marine graduate programs has will be sufficient to meet the needs of any major new been over 1,000 for the past two decades .20 ocean efforts. For instance, the Stratton Commission The marine educational network trains not only said this in 1969 when discussing manpower needs American professionals, but also significant numbers for its proposed national ocean program : 22 of students from abroad, making the United States "The ICommission appreciates that its pro- a leader in world marine education. Twelve schools posed national effort will require large are now designated as Sea Grant Colleges. While this numbers of well-educated, well-trained title is largely honorary and carries no guarantee Of eop continued funding by NOAA's Office of Sea Grant, le. The majority view among those it does indicate that the Nation now has a series of whom the Commission has consulted on established marine research and education centers. manpower problems is that an exciting, In addition to the marine education programs, the broad-scale marine program will generate marine field also draws upon scientists and engineers its own personnel. The personnel will come trained in the traditional disciplines of biology, engi- principally through transfer from land- neering, geology, etc. This "transferability" of pro- based scientific, engineering, and technical fessionals between the marine and nonmarine fields specialties, but also through increased en- has important implications. One is that the marine rollments in marine education and training personnel system has considerable flexibility. People programs. can move in and out of the field relatively easily "The Commission does not imply that sup- during times of either high marine unemployment or port for ocean-related education and train- shortages of marine personnel .2-1 ing is unnecessary-only that it. may be un- Two other factors add to the flexibility of the sys- wise to 'tailor large new education and tem. Within certain limits, universities and colleges training programs to our present limited have the ability to contract, expand, or modify their perception of future needs. Certainly some enrollments as the job potential-and student inter- programs to extend the national capability est-in a given field rises or falls. Also, if there is for production of manpower are required, and such capability should be expanded or "U.S. Coniress, -Senate,-Sea Grant Improvement Act of 1976, created. But, until it is possible to develop S. Report 94-848 to accompany S, 3165, 94th Congress, 2d a better conception of future manpower session, 1976, p. 4. needs, care must be taken not to overpro- "U.S. Interagency Committee on Marine Science and Engi I- duce manpower, particularly in fields in neering, Federal Council for science and Technology. University Curricula in the Marine Sciences and Related Fields: Academic which transfer from land to sea activities Years 1975-1976, 1976-1977. 'Dale F. Leipper. "Ocean Education: Where Now?" in Ma- is relatively simple." rine Technology society and institute of Electrical and Electronic Engineers, Oceans '77 Conference Report 1: 22D-2. Report of the Commission on Marine Science, Engineering, " National Academy of Sciences-National Research Council, and Resources to the President of the United States and the U.S. Panel on Ocean Science Manpower Data. Ocean Science Man- Congress, by Julius A. Stratton, Chairman. Our Nation and The power Data and Their Interpretation. Washington, D.C., 1971, Sea-A Plan for National Action. Washington, D.C., Government pp. 3-6. Printing Office, 1969, p. 44. V111_9 The Commission did recommend increased fund- for educating marine professionals. There is concern ing for the Sea Grant program and NSF educational about funding, of course, and sometimes about spend- activities of that time, but it proposed no new large ing priorities, but there are few serious proposals to marine education efforts. change either the organization of the universities or Detailed information on marine manpower supply the way the Federal Government participates in and demand is lacking (a point to be discussed later), marine education. One indication of this is that but today there appear to be few complaints about despite the concerns mentioned earlier and despite either shortages or surpluses of marine professionals. periodic amendments to existing legislation, this field Perhaps because of this, there seems to be little has had no major new laws since the creation of the major criticism of the present university-based system Sea Grant Program in 1966. Three Major Federal Programs Several Federal agencies have higher education Table 8-3.-Estimates of expenditures by Federal programs which affect marine training as well as agencies for marine education in colleges and education in other fields. For instance, the Office of universities Education in the Department of Health, Education, and Welfare administers the Higher Education Act, Estimated by fiscal year: 1974 1975 1976 which provides fellowships, loans, and other assist- million dollars ance to college students. The Veterans Administra- tion operates the GI-Bill program. Education .............. 10.1 11.3 11.3 Of the several agencies involved in higher educa- Department of Commerce . 5.0 5.8 5.8 tion, historically three have supported the marine Department of Defense field through major Federal programs: The Navy's Military .............. 4.1 4.5 4.6 Office of Naval Research (ONR), the National Sci- National Science ence Foundation (NSF), and the Department of Com- Foumdation2 . . . . . . . . . .0.7 0.7 0.6 merce's National Oceanic and Atmospheric Admini- stration (NOAA), which now operates the National Department of Sea Grant Program. Also, the Department of Trans- Transportation ........ 0.3 0.3 0.3 portation. funds a small program for graduate work Source: Science and Technology Policy Office, National Sci- for Coast Guard officers. Table 8-3 gives estimates ence Foundation. The Federal Ocean Program. Washington, D.C., of expenditures b these agencies for marine educa- Government Printing Office. April 1975, p. 87. y 'NSF figures do not include university research assistantships tion in recent years (FY 1974, 1975, and 1976). Not financed through Foundation grants and contracts. included in the table are extensive Navy and NOAA programs of graduate-level education for their per- ment. It provided a timely infusion of money into sonnel. The Department of Commerce figure is for American postwar science, and gave its university Sea Grant educational activities, which include both researchers a substantial amount of independence. research assistantships and efforts to develop college It was willing to fund basic research and was sensi- and pre-college curricula. The Department of De- tive enough to scientific norms to allow virtually all fense figure is primarily for research assistantships of the research it supported to be published in the related to ONR contracts with universities. The NSF open scientific literature .21 figure is for fellowships and training grants to stu- The Navy's role in university research and attend- dents in the marine sciences; it does not include re- ant training was reduced in 1970, however, when the search assistantships related to NSF grants and con- Congress passed the so-called Mansfield Amendment. tracts. This directed the military to stop financing any projects or studies in basic science unless they are Office of Naval Research (ONR) closely related "to a military function or opera- ONR was created to support research-both at tion." 14 ONR's mission and budget were sharply universities and within the Navy's own laboratories. cut as a result, and NSF took on the responsibility However, over the years many graduate students of being the main Federal sponsor of basic research. have worked on ONR-sponsored projects, gaining Yet ONR continues to fund applied research projects training and experience in the process. ONR was the first major Government research "Daniel Greenberg. The Politics of Pure Science. New York and Cleveland, The World Publishing Company, 1967, pp. 134- organization established after World War 11. It not 138. only has had an'enormous impact on marine science, "Milton Lomask. A Minor Miracle: An Informal History of but also has served as the model for other Federal the National Science Foundation. Washington, D.C., Govern- ment Printing Office, 1975, p. 240. See also Chapter V11, Marine programs funding university research and develop- Science and Technology. VIII-10 at universities-some $26 million worth in fiscal - All three programs cover the full range of the sci- year 1978.'5 ences and basic engineering, including marine topics. There are no reliable statistics on the number of While the university marine community would marine-oriented graduate students who have received like more funding for these marine training and re- part of their training-and financial support as well search programs, there appears to be little criticism -by working on ONR-sponsored projects. Nor is of how NSF organizes and operates them. To the there any quantitative information on the degree to extent that there are. political controversies, they deal which ONR work has helped professors keep up with with NSF operations in general, such as criticisms of new developments, a factor which sometimes helps the Foundation's peer-review system.for judging and improve teaching and education. While ONR no awarding funds. longer plays the pivotal role it once did, its contri- Sea Grant bution continues to be significant. The Sea Grant program was created in 1966 by National Science Foundation (NSF) the National Sea Grant College and Program Act Created in 1950 as a result of the postwar -faith (Public Law 89-688), which authorized programs in the value of basic research and a desire for a for education, research, and advisory services related civilian focus for such work, NSF is assigned the task to the development of marine resources. The pro- of improving both science and science education. gram was created to,meet atperceived need for fur- Managed jointly by a National Science Board and a ther applied research and education in the marine Director, NSF is now the Nation's major source of field. The 1966 Act assigned Sea Grant to NSF, but basic research support and non-biomedical fellow- the program was transferred to the National Oceanic ships and traineeships. In fiscal year 1978 the Foun- and Atmospheric Administration (NOAA) when dation will spend about $14.7 million on the fellow- NOAA was created in 1970 by Presidential' Reor- ship and traineeship programs, supporting about ganization Plan No. 4. The basic Sea Grant Act was 1,800 graduate and postdoctoral students .26 There rewritten and updated by the Sea Grant Program Im- is no "quota" regarding how many of these fellow- provement Act of 1976 (Public Law 94-64 1).211 , ships go to marine students or indeed to people in Sea Grant is a matching funds program, where any particular field. Yet, historically, less than $1 Federal money is matched by State and private'sup- million a year of this money has gone to students port. It also provides funds to institutions rather than working on marine studies. directly to individual researchers, as NSF and most NSF research programs, however, are aggregated other Federal research agencies do. Schools which by the various scientific fields. Marine programs are have developed as centers of excellence in marine administered by the Foundation's Office of Astrono- matters can be designated "Sea Grant colleges;" mical ' Atmospheric, Earth and Ocean Sciences. With while this designation does not guarantee a School an estimated fiscal year 1978 budget of $58.9 million, continued funding from the national office, in . practice the Office's Ocean Sciences Program is the principal these schools have received relatively steady funding, supporter of academic basic oceanographic research, enabling them to establish stable long-term opera- U.S. participation in the International Decade of tions. Ocean Exploration (IDOE), and the Nation's acad-, . During its early years, the,program grew steadily emic research fleet. The, general oceanography and both in terms of budget and number of participating IDOE programs supported 298 graduate students institutions. Estimated Federal funds for fiscal year in FY 1972, 298 in FY 1973, 326 in FY 1974, 401 1978 are -$27,767,000 which will provide about 60 in FY 1975, and 389 in FY 1976.27 percent of the funds for Sea Grant 'efforts around In addition to these programs oriented toward the country; States and private groups will provide research and graduate training, NSF also operates the reSt.29 a program for undergraduate student-originated To date, 12 institutions have been designated as studies, one for undergraduate participation in uni- Sea Grant colleges: Oregon State and Texas A&M versity research, and the Chautauqua-type courses universities; the universities of California, Delaware, for upgrading the teaching skills of college professors. Hawafi,. North Carolina, Rhode Island, Washington, U.S. Department of commerce, NOAA, Sea Grant Annual Telephone conversation with the Office of the Naval Ocean- Rip6rt, July 1, 1975 to September 30, 1976. Washington, D 'C., ographer, November 18, 1977. Government Printing Office, '1977. For an introduction to Sea ' U.S., National Science Foundation. FY 1978 Budget in Brief Grant see: National Advisory committee on oceans and'At- to the Congress, in U.S. Congress, House, Department of Hous- mosphere. The National Sea Grant Program: A Review. Wash- ing and Urban Development-Independent Agencies Appropria- ington, D.C., Government Printing Office, 1976. tions for 1978, Hearings before subcommittee of Committee. on 29 U.S. Congress, House, Committee on Appropriations. De- Appropriations, 95th Congress, Ist session, 1977, part 1, pp. partments of State, Commerce, Justice, and the Judiciary, and 813-814. Related Agencies Appropriations for 1978, Hearings Before a I Personal communication with Lauriston R. King, NSF, Subcommittee of the Committee on Appropriations. 95th Con- November 23, 1977. gress, lst session, part 4, p. 220. VIII-1 1 and Wisconsin; the State University of New York "We find that Sea Grant, as it has*devel- (including Cornell); the State University System of oped during its first 10 years, has been Florida; and the Massachusetts Institute of Tech- responsive to its legislative charter, and nology. has contributed significantly to the Nation's In addition to applied research activities, Sea marine offort. We foresee a continuing Grant also provides marine advisory services (dis- need for the kind of service it provides. cussed later) and educational programs, including We strongly recommend that the program two types related to the training of marine profes- be continued." sionals: (1) research assistantships and (2) the A number of issues dealing with the program's development of new curricula and course materials management and direction did arise during the dis- for science and engineering students and for marine cussions that led to the 1976 amendments to the affairs students. An example of the latter is the Sea Grant Act. As a result of those discussions, marine law program at the, University of Wash- the 1976 Act specified administrative and mana- ington.10 gerial provisions in more detail, modified the advis- Figure 8-2 shows the numbers of professors, ory committee which reviews the program, and made students, and others who have been involved in the other managerial changes. It also authorized three Sea Grant program in recent years. new programs, one to provide fellowships, a second Sea Grant also has programs dealing with pre- of nonmatching grants to. study specific national college marine education and general public educa- policy issues, and a third to improve the marine tion; these are discussed later in this chapter. science and technology capabilities of developing In general, the Sea Grant programs are respected countries and to encourage the international ex- and supported by the ocean community. Typical of change of information. These programs are being this viewpoint is the conclusion of the 1976 study funded in fiscal year 1978 for the first time. by the National Advisory Committee on Oceans and Atmosphere: 31, Management of the Federal Marine Education Effort This Nation's basic arrangements for training Data and Information marine professionals are seldom criticized. In fact, v The Panel and its staff became aware of the data there seems to be general agreement that sufficient question when it tried to investigate personnel supply numbers of marine scientists, engineers, and others and demand and found "that reliable data were in- are being trained; that the educational system which adequate or non-existent for many aspects of its trains them is soun 'd; and the basic Federal role in task.' ' 3P They could not estimate future supply and higher education is appropriate. demand or even find out if th@re was a marine man- However, in addition to the concerns mentioned power problem at the time they were preparing their earlier, there is also some discussion about the overall report. In 1969, the Panel recommended the creation management of the Federal marine education @ffort. of a "Marine Statistics Center." This has not been Two specific issues have been raised over the past done. decade and are still being debated: (1) data collection During the 1960s, there were a number of oceano- and (2) interagency coordination. graphic personnel surveys, but by the mid-1970s The Stratton Commission's Panel on Education, almost all had been discontinued.-" Manpower, and Training discussed both issues, and No Federal agency looks at marine employment as concurred in this finding by its staff: 32 a whole. In a sense, then, tht Federal Government does not know in detail what the civilian needs are "[O]ne of this study's major conclusions is or what impact its policies have. Several new efforts that a stronger mechanism is needed for are now underway, however. The Social Science Data obtaining and analyzing data on education Center of the University of Connecticut is now mak- and training programs and manpower needs ing "The 1977 Survey of Academic Marine Scien- and for coordinating federal activities to tists." While it is collecting data on a wide range of support the education and training of, ma- subjects, the survey asks the respondents for details rine personnel." about their education and jobs. However, this survey " Panel Reports of the Commission on Marine Science, Engi- Sea Grant Annual Report, op. cit. note 28, p. 29. neering, and Resources, op. cit. note 12, p. IV-2. National Advisory Committee on Oceans and Atmosphere, " Robert B. Abel. "The Government's Responsibility in Edu- op. cit. note 28, p. 2. cation," in Marine Technology Society and Institute of Electrical 11 Panel Reports of the Commission on Marine Science, Engi- and Electronics Engineers, Oceans '77 Conference Report 1: neering, and Resources, op. cit. note 12, p. IV-13. 19A-1 to 19A-4. VIII- 12 5000 4254 1887 4000 3899 1789 3797 3779 1752 3535 1770 1463 3048 3000 1233 920 2000 851 07 788 1000 0 FY 1971 FY 1972 FY 1973 FY 1974 FY 1975 FY 1976 Faculty and Professionals Undergraduate Student s Graduate Students Others (including Clerical, Technicians, etc.) Figure 8-2.-Participants in Sea Grant Program. Source: Sea Grant Annual Report, July 1, 1975, to September 30, 1976. Washington, D.C., Government -Printing Office, 1977, p. 62. VJII-13 focuses on current personnel; it does not attempt to most use to the highly decentralized marine education project the future demand and possible supply of system. academic oceanographers. In addition, education and employment trends in marine sciences ate being stud- Coordination ied by a new Manpower and Curricula Panel estab- Historically, the main interagency coordination lished under the National Research Council's Ocean mechanism in the marine field was the Interagency Sciences Board. It is not yet decided when this panel Committee on Marine Science and Engineering will report its findings. It has received no specific (ICMSE), now -replaced with the Committee on Government funding to support the activity. The Atmosphere and Oceans (CAO) of the reConstituted Council's Maritime Transportation Research Board Federal Council on Science and Technology. ICMSE has done considerable work concerning seagoing had some interest in marine education and published personnel and recently has begun a new study on an annual listing of marine programs in colleges and "Manpower and Skills for a U.S. Seagoing Work- universities around the Nation." CAO, as yet, has force." not looked at marine employment and education, nor Also, the National Academy of Engineering's Ma- does it appear likely to resurrect any of the now rine Board is considering undertaking a study of largely defunct data-gathering mechanisms of the general marine personnel supply and demand, in 1960s. 37 0 cluding the need for technicians and skilled craftsmen Again, the Stratton Commission manpower panel as well as professionals. No formal study has yet recommended a new organizational mechanism, both been begun or funded, though, to collect marine statistics and to be "a central co- A number of people are concerned about the lack ordinating body to study total needs, balance Federal of good marine personnel data, but the general agency funding activities, and prepare and admini- marine community appears to feel little sense of ster a national marine education and training pro- urgency about this issue. Perhaps a major reason is gram consistent with changing needs in the marine that some of the same studies that have called for environment." The panel recommended creation of improvements in data collection also have pointed an Office of Marine Education, Training, and Man- out that there is no major problem in balancing sup- power. None has been established. ply and demand. This is partly because of the ease' Today, such ideas still are proposed occasionally, with which professionals can enter or leave the but the issue apparently is not considered urgent by marine field as the employment picture situation either the Federal agencies or the general marine changes, and partly because the need for new per- community. Perhaps this is because there is little sonnel has not expanded as rapidly as was predicted opposition to the present system of several different during the 1960s. 35 There is also the question of bow agencies funding marine research and education, accurate or useful marine personnel projections can perhaps partly because the relevant agencies stay in be, given both the unpredictability of the field and touch informally and perform the necessary program the fact that informal communication among educa- coordination. tors, government officials, and industry may turn out Recently, however, another kind of coordination to be more timely and more trusted than statistics mechanism-the interagency agreement-has been gathered by a central office in Washington. More used in the related area of precollege marine educa- formal studies could help highlight special problems tion. During the summer of 1977, Sea Grant and the and opportunities warranting the attention of edu- Office of Education signed an agreement to consult cators, students, government, and others. The policy with each other and keep each other informed .38 issue, however, is whether something beyond the Whether such an agreement could improve the co- existing informal communications network really is ordination of college level marine education pro- needed and, if so, what. form it should take to be of grams is an unanswered question. Major Current Issues To summarize, while there now appear to be no issues, most of which already have been mentioned, major policy controversies in this area of training are discussed briefly below. marine professionals, several issues have been raised The broadest issue probably will be whether sup- which are likely to be part of future discussions about port of university education and research is declining marine education. In turn, how these issues are re- solved will affect the operation and direction of the Interagency Committee on Marine Science and Engineering, Federal Government's marine education effort. These op. cit. note 19. Robert B. Abel, op. cit. note 34, p. 19A-2. "Memorandum of Agreement Between the United States National Academy of Sciences-National Research Council, Office of Education and the Nationai Oceanic and Atmospheric op. cit. note 21. Administration," signed August 25, 1977. VIII-14 seriously, whether this affects marine edu cation, sionally to appeal to Federal agencies for action and, if so, what can and should be done. If there related to these matters. indeed is a deterioration in laboratory equipment, an The employment data question will continue to be erosion in support for basic research (in inflation- debated. Proponents of more data collection, and corrected dollars), and other shortcomings, the qual- analysis will argue that better information.is vital if ity of education as well as research can be expected the Federal Government is to know where current to decline in the years ahead. Critics of more spend- and future marine personnel needs are.1 Critics of ing are likely to emphasize the fact that hard evi- new efforts may argue that they are unnecessary@ dence of such a decline is lacking, whereas educators given the lack of any major marine employment are likely to maintain that because research is closely problems, and unfeasible, largely because no one can linked to graduate education, a decline in the one reliably predict future needs in this diverse and fast- will affect the other. changing field. The -marine education community will continue The interagency coordination issue also will con- to discuss issues related to university teaching: issues tinue, though probably at a low level. Critics of more such as the balance between teaching and research, coordination; procedures will point-to the present in- how to make today's diverse marine science programs formal coordination and to statutes which define more compatible so that students can move easily each agency's specific role and seem to prevent un- from one to another, and how best to teach marine desirable overlap and duplication. They also will affairs. These are essentially issues of university ask what improvements greater coordination would .operation, not Federal policy. However, one @can ex- make. pect proponents of one viewpoint or another occa- Maritime Officer Training For many years' the Federal Government has ing personnel are seen as important to the efficiency played a significant role in the training of deck and and safety of the merchant marine during peacetime engineering officers for the U.S. merchant marine, and to its viability during war or other national though even today Federal and Federally supported emergencies. Maritime education programs are ad- schools supply only part of the Nation's maritime ministered by the Department of Commerce's Mari- .officers. The Federal Government also licenses all time Administration (MarAd). The licensing func- merchant marine officers. tiofig are 'carried out by the Coast Guard with the Providing Federally supported training and licens- Department of Transportation. Present Federal Policy Four main policy objectives guide the Federal 101 of the Act is the declaration of policy. In part, it Government's maritime officer programs. One is to says this: - ensure that the Nation @as sufficient numbers of ,It Js necessary for the national 'defense trained officers to meet national defense requirements and development of its foreign and*domes- and to promote commerce. Second, for safety reasons tic commerce that the United States shall the Government licenses maritime officers and deter- have a merchant marine . . . composed of mines the minimum number each ship must have. the best-equipped, safest, and most suitable Third however, Federal programs avoid directing the types of vessels, constructed in the United merchant marine about which particular personnel States and manned with a trained and effi- to hire and under what circumstances. Finally, the cient citizen personnel . . Government also has left considerable autonomy to the Federally supported State merchant marine acad' 'Section 216, which deals with personnel in more emies, which train many of the Nation's officers. detail, was added to the Act in 1938. Subsection (a) MarAd helps set basic curriculum standards for the authorizes 'and directs the Secretary of Commerce schools and influences enrollment levels by setting "to establish and maintain the United States Marl- the number of students who receive Federal subsidies. tim'e Service as a voluntary organization for the train- But the schools receive funding from a number of ing of citizens of the United States to serve as li- sources and have great autonomy in deciding how censed and unlicensed personnel on American many students to train. merchant vessels." Operating as a large training or- The Federal policy of ensuring sufficient numbers ganization during and after World War II, the Mari- of maritime officers has its origins in the Merchant time Service became inactive during the 1950s, Marine Act of 1936'(46 U.S.C. 1101 et seq.). Section as personnel needs shrank as the size of the U.S. VIII-15 merchant fleet grew smaller. Subsection 216(b) cre- each State academy, though the actual fiscal year ated the U.S. Merchant Marine Academy at Kings 1978 appropriation was $75,000 per school, and Point, N.Y. federally-owned training vessels are provided to the 216(c) authorizes the Secretary of Commerce to five "salt-water" schools .40 establish extension and correspondence courses to A major concept behind these policies is the con- supplement the training of both maritime officers and nection between transportation and national security seamen. Today, under this authority, the Maritime -the premise that U.S.-flag vessels are needed in Administration has established five regional training time of emergency-plus the attitude that private centers at which short courses are offered on the use sources alone cannot guarantee a sufficient number of radar, loran, and gyrocompass. These centers are of maritime officers. There is also the long, tradi- located in New York City, New Orleans, San Fran- tional view that Government support of commercial cisco, Seattle, and Toledo. A fee is charged for most maritime operations is warranted. (See chapter V, courses. In addition, firefighting training is offered Marine Transportation.) A related principle is that free of charge on a not-to-interfere basis at the maritime academy students should be familiar with Navy's Military Sealift Command (MSC) firefighting Navy procedures. It is reflected in the naval sci- school at Earle, N.J. and at the Navy Training Cen- ence courses taken by subsidized students at Kings ter, Treasure Island, Calif .39 Point and all the State academies except Michigan. According to MarAd officials, the agency funds However, one criticism of the present arrangements such exte *nsion courses only where a critical safety is that many maritime officers-particularly the 80 need exists and it is impractical or too expensive for percent who are not academy graduates-have not the industry to fund them. been given detailed training in such Navy procedures In addition to operating Kings Point, MarAd also as convoy tactics . 41 provides financial assistance to the six State maritime At the same time, Federal policy also is influenced academies in California, Maine, Massachusetts, by the idea that while the Government should license Michigan, New York, and Texas. The authority for officers, the commercial merchant marine operates this Federal aid is the Maritime Academy Act of best with a minimum of Government involvement in 1958 (46 U.S.C. 1381 et seq.). Under this Act, pay- day-to-day operations. For instance, there is no ments of $1,200 ($600 before FY 1978) per year legally enforceable requirement that maritime acad- per student are provided to defray the cost of uni- emy graduates serve some minimum amount of time forms, books, and subsistence. Since fiscal year 1974, at sea, because the Federal Government cannot re- MarAd has limited the Federal payments to 673 quire private shipping companies to hire them. How- students per entering class, in an effort to keep down ever, Kings Point students are required to sign a the number of students at the State academies. Also, paper making a "moral commitment" to seek seafar- payments of $100,000 per year are authorized for ing employment upon graduation. Sources and Employment of Merchant Marine Officers There are four major sources of new merchant likely) scenario are valid. Another key point re- marine officers: (1) U.S. Merchant Marine Acad- flected here is that academy graduates are hired not emy, (2) the six State maritime academies, (3) the only for deep sea shipping but also for work on the Calhoon MEBA Engineering School 4' and (4) the Great Lakes, in the Government, in offshore mineral "hawsepipe. 11 43 and oil exploration ("M&O"), and for inland ship Table 8-4 shows the enrollment and appropriated and barge operations. Federal funds for each of these sources, except for One significant feature of the U.S. merchant ma- the "hawsepipe." rine is the strong role of the maritime unions. The Tables 8-5 and 8-6 contain MarAd's estimates of principal ones for maritime officers are the Interna- present and future demand for deck and engineering officers graduating from the Nation's maritime acad- U.S. Congress, House, Committee on Merchant Marine and emies. The main conclusion is that while there is a Fisheries, op. cit. pp. 2-3. surplus of new graduates now, there may be short- 11 U.S. Congress, General Accounting Office. The Federal Role in Merchant Marine Officer Training. Report FPCD-77-44, ages of deck and engine graduates in the near future June 15, 1977, pp. 13-17. if the assumptions in MarAd's "best estimate" (most "The Calhoon School in Baltimore trains maritime engineering officers. It is operated by the engineers' union, the Marine Engi- neers Beneficial Association, District 1. The school is named for "U.S. Congress, House, Committee on Merchant Marine and the union's president, Jesse Calboon. Fisheries. Report of the Ad Hoc Select committee on Maritime "Hawsepipe is a nautical term used by the maritime industry Education and Training of the Committee on Merchant Marine to refer to unlicensed seamen who, through self-study and on-the- and Fisheries on Fiscal Year 1978 Budget Requests for Maritime job training, work their way up through the ranks, meet the Education and Training, 95th Congress, Ist session, March 21, Coast Guard's licensing criteria, and receive their initial deck 1977, p. 3. or engineering officer's license. VIII-16 tional Organization of Masters, Mates, and Pilots control most U.S. maritime officer jobs. In 1975 (MM&P) and the Marine Engineers Beneficial As- testimony before the Congress, MarAd estimated that sociation (MEBA). An officer must belong to a of licensed seagoing jobs on U.S. vessels displacing, union-or be an approved "applicant"-and meet 1,000 gross tons and over, MM&P controlled 77 per- union employment criteria if he or she is to get a job cen of the deck officer jobs and MEBA controlled onboard a ship under union contract. These unions 79 percent of the engineering officer jobs .44 Controversy Over Maritime Manpower In general, there has been little criticism of the should play in trying to balance the demand and the ways officers are trained for work on the Great supply of maritime personnel. Lakes and in the offshore and inland operations. The controversy occurred because maritime em- And there is little controversy about the number of ployment dropped sharply around 1970, the result of people being trained for this work, since the supply a general decrease in the number of U.S. ships and of officers seems balanced with supply. jobs and an end of the extra employment associated This has not bee the case for the deep sea mer- with the Viet Nam conflict. The two principal officer chant marine, however. Since around 1970 there has unions, anxious to ensure that remaining jobs went been a controversy over who should train officers and to their senior members, largely closed their rolls to in what numbers, and especially whether engine of- new academy graduates. Yet the academies-and ficers should be trained by the academies or by MEBA's Calhoon School-continued to turn out of- MEBA, the engineers union. The debate has -died ficers, and a major surplus developed. down somewhat in the last year, but the key issue of MarAd has limited authority to resolve the con- who should do the training remains unresolved. An troversy. Present laws have made it difficult for the associated issue is what role the Federal Government Federal Government to ensure that the supply of new officers matches the demand-a demand that fluctu- ates over time and which was quite low during the Table 8-4.-EnroRment and appropriated Federal early 1970s. funds for the four sources of new merchant MarAd does prepare plans and can limit the num- marine officers ber of students who receive Federal ;ubsidies, which allows some control of enrollments. But at the same Fiscal year 1976 time the States rarely have acted to control enroll- Source of merchant ments, and, moreover, the academies possess con- marine officers Average Federal siderable autonomy from both the Federal agencies enrollment funds and their State governments. With several sources of funding, plus an American tradition of keeping gov- million ernment influence to a relative minimum, the acad- dollars emies are at liberty to continue training large num- U.S. Merchant Marine Academy.. 1,052 12.7 bers of graduates if they wish-and some of them State University of New York have.45 Maritime Academy ........... 832 1.2 Similarly, MarAd cannot exercise control over the Massachusetts Maritime Academy. 768 1.2 union schools, even if it somehow wanted to. The schools are funded by the companies through arrange- Maine Maritime Academy ....... 513 1.1 ments specified in union-management contracts. California Maritime Academy .... 331 .7 As a result of all this, MarAd has. taken the roles of information-gatherer and forecaster, in order to Texas Maritime Academy ........ 93 .4 inform the maritime community of possible future Great Lakes Maritime Academy.. 81 .1 developments and of a mediator who attempts to Calhoon MEBA bring the responsible parties together during times of Engineering School .......... 300 .0 b either manpower shortage or surplus. Total: ................ 3,970 17.4 U.S. Congress, House, Committee on Merchant Mar -ine and Fisheries, Maritime Education and Training, Hearings before 'Source: U.S. Congress, General Accounting Office. The Fed- the Subcommittee on Merchant Marine of the Committee on eral Role in Merchant Marine Officer Education, Report FPCD- Merchant Marine and Fisheries on H.R. 1626 and H.R. 9864 77-44, June 15, 1977, p. 3. [and] H.R. 10413 and H.R. 10500, 94th Congress, lst session, I The $12.7 million consists of $8.7 million for normal operat- 1975, p. 14. ing costs and about $4 million for the modernization program. " For a discussion of the autonomy of the academies, see Wil- l Federal funds flow directly to the school through contribu- liam R. Rosengren and Michael S. Basis. The Social Organization tions made to the MEBA training fund by Federally subsidized of Nautical Education. Lexington, Mass., Lexiton Books, 1976, shipping companies. pp. 5-7. VIII-17 Table 8-5.-Maritime Administration's estimate of supply and demand-for deck officers graduating from U.S. maritime academies, 1976-85 [Table must be read with accompanying footnotes.] 1976 1977 1978 1979 1980 1981 1982 1083 1984 1985 Academy graduates' 259 238 274 280 282 282 282 282 282 282 Deep-sea demand 65 60 103 226 297 388 484 475 418 418 Net surplus or (deficit)' 194 178 171 54 (15) (106) (202) (193) (136) (136) Academy graduates 194 178 171 54 - - - - - - Academy graduates' 65 60 69 70 71 71 71 71 71 71 Total academy graduates available' for employment in sectors other than deep sea 259 238 240 124 71 71 71 71 71 Less Great Lakes demand' 0 0 0 0 0 0 0 0 5 18 Net surplus or (deficit)' 259 238 240 124 71 71 71 71 66 53 00 Less Government demand' 29 29 29 29 29 29 29 29 29 29 Net surplus or (deficit) 230 209 211 95 42 42 42 42 37 24 Less M&O and towing demand 190 190 190 190 190 190 190 190 190 190 Net surplus or (deficit) 40 19 21 (95) (148) (148) (148) (148) (153) (166) Less Inland' Net surplus or (deficit)' Total academy graduates ".surplus or (deficit) for maritime sectors 40 19 21 (95) (163) (254) (350) (341) (289) (302) 1 Represents 80 percent of academy graduates that are assumed to seek jobs in the deep-sea-sector (excluding Great Lakes Maritime Academy). Potential demand for academy graduates after employment of hawsepipe and industry school output. 'Surplus or (deficit) of academy graduates in the deep-sea sector. 'Surplus of academy graduates fromthe deep-sea sector. 'Represents 20 percent of the academy graduates that are assumed to seek jobs initially in other than the deep-sea sector (excludes Great Lakes Maritime Academy). 'Rep- resents total of rows 4 and 5. 1 Great Lakes demand for academy graduates in each year after employment of hawsepipe, industry school, and Great Lakes Academy output. 8Cumu- lative surplus or (deficit) of academy graduates in each year, 9Potential demand for academy graduates each year. "Total surplus or (deficit) of academy graduates for that given year for both deep-sea and other sectors (excluding Great Lakes Maritime Academy), includes deficit of row 3. Source: U.S. Department of Commerce, Maritime Administration, Office of Maritime Manpower. Deck and Engine Officers in the U.S. Merchant Marine: Supply and Demand, 1976-1985. Washington, D.C., May 1977, pp. 103-104. Table 8-6.--Maritime Administration's estimate of supply and demand for engine officers graduating from U.S. maritime academies, 1976-85 [Table must be read with accompanying footnotes.] 1976 1977 1978 1979 1980 081 1982 1983 1984 1985 Academy graduates' 250 241 264 258 262 262 262 262 262 262 Deep-sea demand' 63 60 160 191 238 337 414 365 259 230 Net surplus or (deficit)' 187 181 104 67 24 (75) (152) (103) 3 32 Academy graduates' 187 181 -104 67 24 - - - 3 32 Academy graduates' 63 60 66 64 65 65 65 65 65 65 Total academy graduates available' 250 241 170 131 89 65 65 65 68 97 for employment in sectors other than deep sea Less Great Lakes demand' 0 0 0 0 0 29 35 32 42 44 Net surplus or (deficit)' 250 241 170 131 89 36 30 33 26 53 Less Government demand' 29 29 29 29 29 29 29 29 29 29 Net surplus or (deficit)' 221 212 141 102 60 7 1 4 (3) 24 Less M&O and towing demand' 115 115 115 115 115 115 115 115 115 115 Net surplus or (deficit)' 106 97 26 (13) (55) (108) (114) (111) (118) (91) Less Inland' 30 30 30 30 30 30 30 30 30 30 Net surplus or (deficit)' 76 67 (4) (43) (85) (138) (144) (141) (148) (121) Total academy graduates 67 (4) (43) (85) (213) (296) (244) (148) surplus or (deficit) for maritime sectors Represents 80 percent of academy graduates that are assumed to seek jobs in the deep-sea-sector (excluding Great Lakes Maritime Academy). Potential demand for academy graduates after employment of hawsepipe and industry school output. I Surplus or (deficit) of academy graduates in the deep-sea sector. 4 Surplu3 of academy graduates from the deep-sea sector. I Represents 20 percent of the academy graduates that are assumed to seek jobs initially in other than the deep-sea sector (excludes Great Lakes Maritime Academy). I Rep- resents total of rows 4 and 5. 1 Great Lakes demand for academy graduates in each year after employment of hawsepipe, industry school, and Great Lakes Academy output. 8 Cumu- lative surplus or (deficit) of academy graduates in each year. 11 Potential demand for academy graduates each year. " Total surplus or (deficit) of academy graduates for that given year for both deep-sea and other sectors (excluding Great Lakes Maritime Academy), includes deficit of row 3. Source: U.S. Department of Commerce, Maritime Administration, Office of Maritime Manpower. Deck and Engine Officers in the U.S. Merchant Marine: Supply and Demand, 1976-1985. Washington, D.C., May 1977, pp. 103-104. To examine this controversy and MarAd's situa- the schools and their enrollment levels should be tion, the House Merchant Marine and Fisheries Com- judged not only because they contribute to the deep- mittee established a special Ad Hoe Committee on sea fleet, but also because their graduates do valuable Maritime Education and Training. It and the Com- work in shore-based maritime jobs, in inland and mittee's Merchant Marine Subcommittee held a offshore operations, and in the Navy. Others argue series of bearings on the subject during 1974 and that a college education is good preparation for an 1975 .46 officer and, moreover, is beneficial because it gives a During these hearings MEBA argued that it should young graduate a wide range of future job options. play a major role in training new engine officers, and Recently, some also have argued that academy en- the academies argued that they should play the rollments should be maintained because of the pos- major role. Each group blamed the surplus of officers sible future shortages of young officers. If it is true on the other. There were also other criticisms. The that the era of surpluses is ending, they say, then academies accused MEBA of hiring discrimination, this is not the time to reduce the academies' role in saying not only that the union was taking few new supplying both deck and engine officers. members, but also that its rules enabled Calhoon Others disagree with these points. Critics point School graduates to get the few new jobs that existed. out that these colleges are the only instances of the MEBA in turn argued that the academies had no Federal Government providing education in support business turning out large numbers of new officers of a private civilian industry, and argue that Federal when there were no seagoing jobs for them. support is justified only to the extent that they train It appears that the academies and MEBA each had people who will be available in case of national a point. The Calhoon School was intended to meet emergency. Some proponents respond that in an era the perceived Viet Nam era shortage of engine offi- when Federal and State governments spend large cers, but was continued after the war and now sup- amounts of money on higher education, some $17 plies about one hundred new officers each year. The million a year is not an excessive amount to spend school receives Federal money, albeit indirectly. Its in support of valuable schools with a long tradition funds come from the shipping companies, as deter- of Government involvement. mined by labor contracts. Many of these companies In 1975, the House Ad Hoc Committee issued a receive MarAd operating differehtial subsidies and set of conclusions.and recommendations based on since 1974 have been able to receive subsidies to its investigations. The main finding was: 49 cover much of these training expenses . 41 "[T]he cyclical nature of the maritime in- Most importantly, MEBA gave employment prefer- dustry requires the imposition of quantita- ence to Calhoon School graduates over academy tive controls on the flow of licensed officers graduates. The General Accounting Office has de- scribed how this worked.48 Essentially, MEBA cre- into the maritime labor market. Basic-prin- ated a category for new engineers with a certain ciples of fairness'demand that such quanti- amount of training at sea on MEBA-controlled ships; tative controls be developed through a sound those in this category got jobs, whereas those not in system of prospective planning. This type of it rarely did. Calhoon School graduates met this re- planning has been seriously lacking in the quirement, academy students trained on academy past. It is therefore recommended that the ships did not. Maritime Administration be directed to hold At the same time, however, it is also true that a meeting each year of representatives of all generally the academies did not cut back their en- maritime schools which train individuals for rollments and continued to graduate large numbers initial licensing as officers for the purpose of .of officers, even though the deep-sea employment establishing Federal support levels by dis- situation was bleak and MarAd had imposed a ceil- cussing and relating incoming enrollment ing on the number of Federally subsidized students. levels of these institutions to the future Being semiautonomous, they continued to operate numerical requirements of the U.S.-flag largely as before. In fact, in the late 1960s there was merchant fleet for licensed officers." some expansion of the student bodies, particularly Beyond acknowledging the problem, this state- at the Massachusetts school. ment by the Committee also recognizes two other In the debate over who should train officers and in factors. One is that the main leverage that MarAd what numbers, academy proponents made several has is setting "support levels," mainly the number arguments. One-made now as well as then-is that 11 U.S. Congress, House, Ad Hoc Committee on Maritime Ibid., which covers most of the basic issues and arguments Education and Training. Report of the Ad Hoc Committee on involved in the controversy. Maritime Education and Training on Principal Institutions in the Ibid., pp. 12-13. United States Which Train Individuals for Initial Licensing as U.S. Congress, General Accounting Office, op. cit. note 41, Merchant Marine Officers. 94th Congress, lst session, Serial pp. 18-19. No. 94-1), 1975, p. 21. VIII-20 of students who will be subsidized each year. At the academies and the unions is balanced with demand. same time, the report seems to note implicitly that But for the moment, the debate had died down. this is an imperfect lever of control at best, and that Today, there appears to be enough sea-going em- mediation and discussions among the involved parties ployment for all who want it, largely because of are equally important. Legislative proposals based on increasing retirements among merchant marine of- this and other recommendations were introduced, but ficers. One result of this improved job situation is were not acted upon by the 94th Congress. These that MEBA now has rewritten its shipping rules to issues now are being examined by a new House Ad allow new academy graduates into the union on a Hoc Select Subcornmittee created in the 95th Con- more equal footing with graduates of the union's gress. school. Whether this present demand for officers con- Today the underlying issues remain unresolved: tinues depends on many things, including future the question of who should train maritime officers, Federal policies regarding cargo preference, shipping and the associated question of whether MarAd or subsidies, and manning and safety requirements. Yet perhaps others should be given a larger role in en- in any,case, the issues of how to train officers and suring that the supply of officers trained by the in what numbers are likely to remain. 'Licensing and Retraining In recent years ships around the world 'have been port the panel's contention that certain steps, such as sinking at an alarming rate, an average of about one additional physicals, actually will improve ship safety. a day. In the judgment of a National Research Coun- While the -education, licensing, and qualification of cil (NRC) study of the problem, human error is merchant mariners are an international problem, often a contributing if not fundamental factor in these any discussion of U.S. Merchant Mariner qualifica- sinkings. and other maritime accidents. The NRC tions and documents usually starts with the require- study concluded: 50 ments of the U.S. Coast Guard. To qualify for an "Marine casualties and their effects, includ- original license as a Merchant Marine officer for ing loss of life as well as ecological and service on U.S. flag merchant vessels, an applicant cost considerations, are far more serious must present qualifying sea service or be a graduate than is realized; this is especially disturbing of a Coast Guard-approved licensing program, and must pass a physical and professional examination. since at least 80 percent of casualties are In addition, these licenses must be renewed every 5 related to human error." years. Upon renewal a deck officer must show re- The NRC work on this question of human error cency of service under the authority of his license has helped to make it a significant maritime per- within the preceding 3 years, complete an open book sonnel policy issue. It is also a controversial one. In exercise on rules of the road and pollution abatement, 1975 hearings before the House, the maritime unions pass a color sense test, and take a written examina- disagreed among themselves about this subject, espe- tion for "radar observer." To renew his license, an cially the idea of requiring periodic physical exami- engineering officer must complete an open book nations for U.S. maritime officers. The representative exercise on pollution abatement. of the International Organization of Masters, Mates, To sail in an unlicensed capacity aboard a U.S. and Pilots (MM&P) had no objection to a require- flag merchant vessel of over 100 gross tons, all sea- ment for physical examinations, but two other unions men must obtain a U.S. merchant mariner's document felt otherwise. Jesse Calhoon of the Marine Engineers issued by the Coast Guard. Applicants for the "entry stated that MEBA members already undergo a bi- ratings" or ordinary seaman, wiper, and member of ennial physical examination and was against Govern- the steward's department must present a letter of ment examinations. He also opposed another idea, commitment of employment for service on U.S. flag that of reexamination to ensure that basic skills have merchant vessels to be eligible for a merchant ma- been maintained. The radiomen and radio officers' riner's document. Applicants for "qualified ratings" unions, which also opposed requirements for physical such as able seaman and qualified member of the examinations and reexamination of skills, were clearly engine department must present qualifying sea service worried about the impact these might have on jobs.-" or complete a Coast Guard approved course of in- Others question whether the available data fully sup- struction, and pass a physical and professional examination. Panel on 'Human Error in Merchant Marine Safety, Mari- Retraining for officers and seamen is available now time Transportation Research -Board. Human Error in Merchant through MarAd's training centers and a series of Marine Safety. Washington, D.C., National Research Council, union schools. For instance, MM&P operates a highly June 1976, p. v. 11 U.S. Congress, House, committee on Merchant Marine and regarded . Maritime Institute of Technology and Fisheries, op. cit. note 44, pp. 125, 160-161, and 176. Graduate Study near Baltimore, Md. VIII-21 The NRC panel's overall conclusion is that this tion, fatigue, and abuse of alcohol and drugs; estab- system of licensing and retraining can and should be lish new standards regarding radar; and work with improved. The panel found 15 factors that are either the Coast Guard to improve navigation aids and actual or potential causes of casualties or near-cas- markers.,53 ualties.12 They are: The maritime safety issue took on a new urgency during the winter of 1976-77, when the Argo Mer- ( l) inattention, chant and a number of other tankers were involved ( 2) ambiguous pilot-master relationship, in major accidents off the U.S. coast. President Car- ( 3) inefficient design of ships' bridges, ter discussed these accidents in a March 18,.1977, ( 4) poor operational procedures, statement announcing actions to reduce maritime ( 5) poor physical fitness, oil pollution. This statement called for new crew 6) poor eyesight, standards and training, as well as stricter construc- 7) excessive fatigue, tion and operating standards for tankers and stricter 8) excessive alcohol use, Coast Guard enforcement of such standards. Speci- 9) excessive personnel turnover, fically, the President directed the Departments of (10) high level of calculated risk, Transportation and Commerce to review the draft (11) inadequate lights and markers, agenda for Inter-Governmental Maritime Consulta- (12) misuse of radar, tive Organization's 1978 Conference on Standards (13) uncertain use of sound signals, of Watchkeeping and Training and consider possi- (14) inadequacies of the rules of the road, and ble additional requirements. Furthermore, the (15) an inadequate data base regarding marine President directed Transportation to take immediate casualties. regulatory action to improve standards for U.S. crews, including requirements based on class and size The report also makes recommendations on each of vessel and more emphasis in licensing examina- factor. These include suggestions that the Coast tions on demonstrating important skills, such as radar Guard require periodic physical examinations, man- operation and interpretation. These requirements will date new equipment to prevent collisions and acci- apply to both issuance and renewal of licenses for dents, and improve rules of the road. They also shipmast6rs, mates, and federally-licensed pilots." suggest that MarAd improve education, training, and Both the Coast Guard and MarAd now are taking retraining programs; develop a system for qualifying steps based on these orders. At the same time, the crew members by vessel type; study of job satisfac- controversy over present Federal policy continues. Major Current Issues It is likely that some debate regarding both mari- pressed, it is likely that the old debates that plagued time safety and the supply of maritime officers will the maritime manpower community during the first continue. For despite recent actions dealing with these part of the 1970s will reappear. I It is also likely that issues, some observers believe that the underlying both MarAd and others will continue to find it diffi- problems have yet to be addressed fully. cult to resolve the problem, given the fragmented For the moment, the maritime academies and the nature of the system that both trains and hires mari- maritime unions appear to be at peace on the time officers. question of who should supply merchant marine offi- Maritime safety will continue to be an issue. Of cers and how they should be admitted to the unions. course, it involves questions of ship construction and The reason, however, is that there appear to be maintenance as well as personnel, but these person- enough jobs for everyone now, not that underlying nel questions will be debated further because human questions about the roles of the academies and the error continues to be a major cause of marine acci- unions have been resolved. If present officers con- dents. In 1978 it is likely that the focus will shift tinue to retire in large numbers and employment op- from national policy to the international discussions portunities for new officers continue, as MarAd at the meetings of the Inter-Governmental Maritime predicts, then the debate probably will simmer at a Consultative Organization (IMCO). low level. However, if the job market becomes de- ` Ibid., pp. 15-18. ' See the President's March 18, 1977, message to the Congress Panel on Human Error in Merchant Marine Safety, op cit. regarding actions to reduce maritime oil pollution, as well as note 50, pp. 7-11. the accompanying "fact sheet." VIII-22 Vocational and Technical Training Traditionally, the vocational training system in to 2-year college certificate programs for certain this country has been decentralized and the Federal highly trained technicians. These points apply to ma- role limited. Some vocational training is done through rine and maritime as well as land-oriented occupa- high schools, private vocational schools, community tions. colleges, and a few programs run by colleges and The Federal role in vocational education goes universities. Much is done outside the regular public back to the early part of this century, but generally and private schools, through on-the-job training, has been limited to providing financial and other apprenticeship programs, and industry and labor assistance to the States and industry, rather than schools. The armed services also have large train- operating Federal schools. Exceptions have been the ing programs; many skilled laborers, now in the civil- military training programs and some programs in the ian workforce were trained in the military. Alto- civilian agencies. Along with this financial assistance, gether, the programs available both in and out of the Federal agencies also encourage planning. Both the military are incredib *ly diverse, ranging from in- the money and the planning are seen as necessary to formal advice from extension agencies and special ensure the Nation has the proper balance between training and retraining courses lasting a few days employment supply and demand. Present Federal Policy Two levels of Federal policy affect marine and of Education in the Department of Health, Education, maritime vocational education. And the Federal role and Welfare. Its goal is to help provide "ready access in both has been shaped by the twin objectives of to vocational training and retraining which is of high helping to assure sufficient supplies ofmanpower quality." It provides Federal grants to the States to while also limiting the Federal role in the operation help them develop new, programs and maintain ex- or administration of schools. isting ones. On one level, some programs deal specifically with The third objective-reducing unemployment and marine and maritime training. The Sea Grant pro- underemployment-is reflected primarily in two acts. gram is one; among other functions, it trains techni- One is the Comprehensive Employment and Training cians and provides advice to people in marine busi- Act of 1973 (CETA), as amended. Its purpose is to nesses. The previously mentioned MarAd training create jobs through both public employment jobs and schools are another example. These federal programs training programs. As elsewhere, the Federal program help support and supplement the Nation's large is intended to assist State and local efforts. In this State and private training efforts, such as the net- case, CETA provides job and training money to over work of union schools which train merchant seamen 400 "prime sponsors"-state and local agencies-to and various other schools specializing in divers, tech- design and manage operations. Several other activi- nicians, and other marine workers. ties under CETA are run directly by the Labor De- Second, there are Federal programs which deal partment, which administers the Act. The Job Corps with vocational education in general. While only a is one of them. small number. of the people they train ever work in While CETA programs are premised on the notion the marine or maritime fields, they nonetheless must that the Federal Government should be the employer be considered because the vocational schools they and trainer of last resort, the programs of the De- support supply many of the skilled workers of the partment of Commerce's Economic Development ocean industries. In addition to the two general ob- Administration (EDA) award funds to private com- jectives of assuring manpower but limiting the Fed- panies, often construction companies, in order to eral role, some of these programs also have a third increase employment in high unemployment areas. objective: reducing unemployment and underem- In the process, EDA stimulates some on-the-job ployment. training and also creates additional demand for peo- Basic Federal vocational policy has resulted from ple with formal vocational training. a long line of vocational education acts passed by The general result of this increasing number of Congress, starting with the Smith-Lever Act of 1914. Federal programs is two-fold: to fragment Federal The main law today is the Vocational Education Act manpower efforts further and to reinforce the Na- of 1963, recently revised by the Education Amend- tion's present decentralized system of vocational ments of 1976. The Act is administered by the Office education. VIII-23 Federal Programs Neither CETA nor EDA plans its programs in The vocational bureau of the Office of Education terms of providing a given amount of manpower for began to work on the problem, as did MarAd and a given field, such as marine and maritime. Instead, the Department of Labor. Even here, though, the it is left to the individual CETA "sponsors" or ap- Federal agencies did not begin any new special train- plicants to EDA to decide which types of persons ing programs; instead, they gathered detailed infor- are employed or trained. As a result it is difficult mation and distributed it to State directors of'voca- to obtain statistics on the number of marine-related tional education in order to notify them about the people and projects supported by the programs. For job opportunities and personnel needs in this field .57 instance, EDA is funding a number of aquaculture Apparently this position reflected the attitude that projects, but details are not readily available. How- actual training is best left to the States and in- ever, presumably these programs could be directed dustry and that the appropriate Federal role in ship to focus more on the marine field, if this were to be construction personnel is to assist these efforts.511 a principle of national policy. And, indeed, the ship construction industry has ex- The Office of Education does look at the person- panded its own network of training schools. nel needs for specific sectors of the economy, but This pattern of industry meeting its own man- usually only on a selective basis, examining special power needs--often with help from the States, some- problem areas. This appears to reflect a general feel- times with special help from Federal agencies-is ing in the vocational field that most manpower needs repeated throughout marine industries. One offier can be met through a combination of private efforts, example is the commercial diving industry. Some State programs, and some general financial assistance years ago the need for trained divers became acute, from the Federal Government. largely because of expanded offshore oil operations. @ Certainly, this is true in the marine area. For In response, existing schools expanded and new instance, while there are special Federal programs programs were started, and the industry's manpower for training merchant marine sailors, training in situation is better today.59 other fields, such as the offshore oil-drilling industry, All of this notwithstanding, there have been cases operates without direct Federal involvement. In the where Congress has established special Federal pro- offshore drilling area, training is provided through grams to meet the perceived special training needs of private schools and through a network of special pro- particular fields. In the marine area, the largest are grams sponsored by the industry trade association those of the Navy and Coast Guard where special and operated by college extension programs. Further- training commands were established to meet the more, the industry considers these training courses- service's manpower needs. The main civilian Federal usually 2 days to 4 weeks-to be supplements, not program training vocational personnel is 'Sea Grant. replacements, for the more important on-the-job Sea Grant has two vocational training efforts, in training. However, it is also true that a recent survey the broad sense of that term. One helps support the of the industry indicated that most would cooperate training of technicians, most of whom receive 2 years and participate in a joint Government-industry pro- of training in community colleges. During fiscal year gram to help deal with the shortage of well-trained 1976 and the transition quarter, Sea Grant supported drilling hands.,55 23 projects in technician training with about The drilling company executives, who traditionally $400,000 in Federal funds; matching funds from have been content to run their own programs, but States and private sources totaled more than $1 now may ask for Federal help, reflect a general atti- million. Two projects produced oceanographic tech- tude in the vocational field: That special Federal nicians for research vessels, two trained commercial programs to meet the training needs of a particular divers, and others emphasized commercial fishing, industry usually are requested only when the indus- marine applications, welding, marine electricity and try feels it cannot perform the training on its own. electronics, and repair and maintenance of diesel It is in such circumstances that the Office of Educa- and gasoline engines. The National Sea Grant Office tion pays special attention to the manpower needs encourages the schools involved to maintain close of a particular sector of the economy. A marine example comes from the shipbuilding industry, which was hit by a major labor shortage in the early 1970s, Wm. Paul Gray, Memorandum to Regional Office Personnel on "Needed Information on Manpower for the Shipbuilding largely due to simultaneous expansion of both com- Industry," Office of Education, March 31, 1976. mercia.1 and Navy shipbuilding. The increase was ' However, for many years the Federal Government has sup- complicated by unusually high employee turnover.511 ported apprenticeship programs which train workers at the public shipyards. I Glen H. Egstrom. "Industry Programs for Marine Education The Oil and Gas Journal, September 19, 1977, pp. 149 ff. and Manpower," in Marine Technology Society and Institute of Edward F. Mackin and Roger D. Anderson. op. cit. note 1, Electrical and Electronics Engineers, Oceans '77 Conference Re- p. 34. port 1: p. 37A-1. VIII-24 contact with marine industries and other potential legislation called for Sea Grant versions of these employers of the graduates." agents. In 1976 there were more than 225 such The other Sea Grant program is the Marine Ad- agents around the country, most of them attached to visory Service. When the original Sea Grant legisla- Sea Grant Colleges, and some attached to State tion was being drafted, there was concern about how agencies. During fiscal year 1976 and the transition to transfer research results into the hands of people quarter, $8,627,000 in Federal funds and $4,755,- who could use it, such as fishermen and ocean engi- 000 in matching funds were spent on Marine Ad- neering firms. The model turned to was the county @isory Service activities .61 agricultural extension agent, and as a result the Major Current Issues There appears to be little controversy about the date, these debates have focused on Government ef- basic organization of marine vocational training Sys- forts to regulate operations, not training. The con- tems or.about the Federal role. Nor is there much troversy over proposed Coast Guard and Occupa- controversy concerning the Federal policy on voca- tional Health and Safety Administration (OSHA) tional education in general. Perhaps this is because regulation of the commercial diving industry is an the present marine education system generally pro@ example. It is possible, however, that the debat 'e may vides the personnel that the country needs. One expand into discussions over whether to set inini- reason may be that most areas of marine employ- mum standards for such personnel as divers. ment are growing only slowly, though steadily. There is some concern about the lack of detailed Another may be that many marine jobs require little data on marine manpower supply and demand, an specialized training, such as sales personnel; or skills issue discussed earlier in the section on marine pro- readily available from the land-oriented workforce, fessional manpower. Some pilot studies of the marine such as those of secretaries and other support per- manpower situation for given regions have been sonnel; or the kinds of skills learned primarily on completed recently .62 Proponents of these studies the job, such as in the case of fishermen and long- consider the reports to be necessary if educators and shoremen. students are to have a full understanding of current However, there are several issues that have been and projected manpower needs. They would like to discussed., One, previously mentioned, is -whether see more@ studies performed, perhaps with Federal the Federal Government should become more in- financial support. Critics of the reports are likely to volved in the training of workers in such fields as question the reliability of the methodology and pro- offshore oil-drilling and ship construction-indus- jections. They also will ask whether existing informal tries where there, are not only personnel shortages, communication among educators, industry officials, but also strict Government regulation and increas- and policy makers is not sufficient to meet the needs ingly sophisticated technology which require work- of the relatively small, close-knit oceans field. ers to be more skilled than ever. Proponents of a There appears to be little Federal interest at the larger Federal role argue that increased involvement moment in gathering detailed marine personnel is necessary to ensure that the country has the skilled statistics. The Bureau of Labor Statistics, the main workers it needs in these fields. Critics argue not only agency involved in collecting employment data, does that the traditional Federal role in this area has not not generally make a distinction between marine and been large, but also that the present decentralized land-oriented employment. However, there is some system appears to be functioning reasonably well. new interest in vocational personnel statistics in They may ask for evidence of any case-even in the general: the Education Amendments Of 1976 di- shipbuilding industry-wbere personnel shortages rected the Office of Education to establish a new have been so bad that major projects were seriously National Occupational Information Coordinating delayed. It is likely that any new Federal initiatives Committee to help vocational educators and others in this area will be joint Government-industry efforts, seeking information. with industry and local public and private schools administering the programs and the Federal Govern- "Sea Grant Annual Report, op. cit. note 28, pp. 35-41. C2 Olympus Research Corporation. The New England Region ment providing special financial assistance and sup- Marine Manpower Situation, 1974-1985. Boston, Olympus Re- port services. search Corporation, February 28, 1977. This report is part of There has been some recent controversy about the Marine Industry Education Project supported by the New new Federal efforts to regulate marine personnel. To England Regional Commission. See also: South Atlantic and Gulf Marine Manpower Project. Survey of Current and Future Manpower Requirements, 1977-1980. Jacksonville, Florida Junior College, July 1977. This is a report to the Coastal Plains Com- "Sea Grant Annual Report op. cit. note 28, pp. 30-32. mission. VIII-25 Public Education Public education includes three activities: (1) pre- grams in nonrnarine areas. One of course is to help college education for students, who may become, both educate students and inform citizens. Second, specialists in marine science, marine affairs, or re- like other Federal education efforts, these programs lated fields; (2) general precollege, college, and are designed to minimize Federal involvement in the adult education for people interested in studying actual management of schools and other institutions marine topics, but not in becoming marine special- that inform citizens, such as the press and political ists; and (3) public information programs intended organizations. The aim is to reduce the risk of a to foster citizen awareness and aid public participa- Federally dominated "monopoly" of information or tion in Government decision-making. Small, but sig- ideas. The tension between these two objectives has nificant efforts now exist in all three areas, although led to the creation of Federal public education pro- they are recent developments. grams, but with strong public and Congressional Two general objectives appear to guide Federal wariness about them. marine public education programs and similar pro- College Preparatory Programs The goal of Federal assistance in college prepara- is the Pre-College Materials Development, Testing, tion-marine and otherwise-is reflected in the and Evaluation Office, part of the Division of Sci- philosophy And operation of the National Science ence Education Development and Research in NSF's Foundation (NSF). Along with summer institutes for Directorate for Science Education. The fiscal year college teachers and the development of new college 1977 budget for this program was $1,540,000. An- curricula, NSF has long been involved in parallel other is the Information Dissemination Program of efforts at the precollege level. However, none of the the Directorate's Division of Science Education Re- major precollege curriculum development projects sources Improvement. Budgeted at $400,000 during has dealt with marine science. Instead, NSF has ad- fiscal year 1976, this program uses workshops and hered to a policy of developing new materials for the conferences for secondary school officials and teach- traditional science and social science disciplines, ers to inform them about new classroom materials, such as physics, biology, and econornics. NSF seems practices, and technologies. This Division also has a to feel that high school training in the basic disci- number of programs to assist undergraduate science plines is the proper background for students, whether education. Finally, there is a Secondary School they are going into a traditional field or an inter- Student Science Training program, funded at $2 disciplinary one such as marine science. Whereas million in fiscal year 1977, which operates summer the Office of Sea Grant funds the development of programs for high school students. Of the approxi- general precollege marine curricula, it is NSF that mately 150 courses held during the summer of 1977, continues to be the major Federal agency supporting six focused on marine-related topics.'13 the development of precollege science education. One other rnarine-related precollege effort is the Today, three NSF programs have the major re- Navy's "junior ROTC" program for high schools. sponsibility for precollege science education. One General Marine Education Present Federal Policy involved is the newer idea that marine subjects The objective of assisting education-in this case, should be taught in the schools, partly because ma- general marine education for precollege students, rine resources are becoming more important to the college students, and adults-is reflected primarily in country's prosperity and well-being, and partly be- the Sea Grant program, which has long had a mis- cause the associated Government programs and pol- sion much broader than science and science educa- icy issues are becoming more complex. tion per se. Several ideas underlie the notion that the The notion of limiting Government involvement Federal Government should help promote general in education applies here as elsewhere. As a result, education for nonspecialists in such fields as the the NSF-type concept of a Federal program to de- marine area. One is the older notion that people velop new curricula, sponsor special teacher training, should have a broad education, and not simply be or provide general lecture activities often is used as a model for the general marine education efforts of specialists in their field of employment; this is partly for reasons of personal enrichment, and partly be- Sea Grant and others. cause of a belief that the citizens of a democracy " Budget information from U.S. Congress, House, Committee should be informed about a range of matters. Also on Appropriations, op. cit. note 29, pp. 846-847, 835-836, 816. VIII-26 Federal Programs Recent Developments While NSF has not developed precollege cur- In the past 2 years, both the Sea Grant Office and ricula that deal with marine topics per se, the new the Office of Education have been developing new marine science college courses that it has helped to policies for general marine education. They have develop have benefited nonspecialists as well as also been in contact with each other, a step which students who plan to go into marine science or engi- recently led to an agreement between the two agen- neering, or related fields. In addition, the Foun.da- cies to share information and coordinate programs. tion's Public Understanding of Science Program is Both agencies seem to be influenced by growing involved; recently it funded a traveling lecture series public interest in marine education. One indication entitled "Voyages Into Ocean Space." of the interest is an increasing number of marine The Office of Education administers the Envi- courses around the country. Another is the recent ronmental Education Act (Public Law 91-516). creation of a Journal of Marine Education. This Some of the activities of the Office under this trend appears to be influenced by the general na- Act deal with the marine environment. The fiscal tional interest in the environment, and in fact "the year 1978 budget for the entire program is $3.5 new approach" in marine education is concerned with million. Of. this, about half goes to the support of more than just marine science. elementary and secondary education, mostly for the The Office of Education's interest in the marine development of new curricula. About 30 percent of environment is reflected in its support of the pre- it goes for adult community education, and the viously mentioned University of Delaware project on remaining portion supports research and develop- curriculum development. However, the Office also is ment contracts .114 ' interested in developing new material's to inform The. Coast Guard coordinates a national boating students about marine careers; this is part of its safety education program in cooperation with all overall "career education" program. A 1975 study the States and various safety organizations. Finan- funded by the Office examined general marine educa- cial as well as technical and administrative assist- tion, particularly the career-oriented part, and ap-' ance is p rovided. The 46,000-membe-r volunteer pears to have stimulated much of the current Federal Coast Guard Auxiliary also is active in boating interest in the subject.136 safety education. One ongoing program,is to intro- At about the same time, people from the various duce boating education into the public school sys- Sea Grant colleges began discussing what Sea Grant's tems and to certify instructors. The Coast Guard also role should be in precollege marine education. An distributes boating safety information to the media April 1976 workshop at the Virginia Institute of Ma- to build public awareness about safety. rine Science (VIMS) at Williamsburg, Va., exam ,ined However, the Office of Sea Grant is the main the possible need for a redefinition of the Sea Grant agency in the field of general marine education. role in this field. The result was an agreement that These activities are conducted through both the the oceans are increasingly important; that there is regular Sea Grant college programs and workshops need for a "marine-literate" society as well as for and other programs of the Marine Advisory Service. programs which train marine professionals, techni- During fiscal year 1976 and the transition quarter, cians, and public managers; and that Sea Grant the "Other Education" category included 55 projects should be a catalyst in developing a new approach to supported by more than $2 million in Federal funds marine education. and $1.3 million in matching funds. Most of this A quasi-official rationale for this new approach money goes for traineeships and the development of was developed after the conference by Harold Good- new marine courses and curricula on both college win, formerly associated with the Office of Sea and precollege levels. One major program is at the Grant.67 University of Delaware, where curricular materials In a related document, Goodwin mentions that in marine subjects for kindergarten through high NSF, the Office of Education, and State and local school have been developed and evaluated. Its set agencies are involved in marine education. Then he of 75 learning units relating to the marine and adds, "But to other Federal agencies, marine educa- coastal environment'have- been distributed nation- tion activities of any kind are peripheral to their main wide.6-5 concerns, and Sea Grant remains the home and focus for marine education." 11 Goodwin and others are "U.S.. Congress,, House, Committee on Appropriations. De- WU.S. Department of Health, Education, and Welfare, Office partments of Labor and Health, Education, and Welfare Appro- of Education. Marine Education: Guidelines for Curriculum De- priations for 1978, Hearings before subcommittee of*Committee velopment. Boston, Olympus Research Corporation, June 1975 on Appropriations, 95th Congress, lst session, part 5, p. 45. 17 Harold L. Goodwin. "An Introduction to Marine Education.'; " Sea Grant Annual Report, op. cit. note 28, pp. 32, 39-40, Newark, Del., University of Delaware Sea Grant College Pro- The University of Delaware program also has been supported gram, April 1977 draft for comment. by the Office of Coastal Zone Management, the Office of En- "Harold L. Goodwin. "Perspective on Sea Grant Marine Edu- vironmental Education, and others. cation." Waimanalo, Hawaii, The Oceanic Institute, August 1975. VIII-27 still formulating ideas about the exact role Sea Grant part of the Sea Grant Program, and in fiscal year should play in this field; early recommendations 1977 Sea Grant increased its spending in this area focus on a liaison and coordination role for the na- by 300 percent. On August 25, 1977, the U.S. Com- tional Sea Grant office and curriculum development missioner of Education and the Administrator of and liaison roles for the Sea Grant colleges. NOAA signed. a "memorandum of agreement." In In stating the position of the Office of Sea Grant the words of an accompanying press release, its pur- on precollege education, Director Ned A. Ostenso pose is "to help develop a coordinated marine en- wrote to directors of Sea Grant Colleges, Institutions, vironmental education program at Federal, State, and Programs in March 1977: regional, and local levels." Under the agreement, the "The Office of Sea Grant strongly endorses agencies will share information and the Office of the position that marine topics are an im- Education will encourage State departments of edu- portant element of a balanced pre-college cation, educational organizations, and colleges to educational program and recognizes that work closely with existing marine-oriented institu- no single curriculum or program is ade- tions and programs such as the Sea Grant colleges. quate to the needs of the Nation. Special emphasis will be placed on Sea Grant projects dealing with the marine education of inner-city. and "The expertise and infrastructure of the minority children." Sea Grant system can and should con- Sea Grant officials emphasize that this will not tribute to improving the marine content result in a new spending program, but rather is aimed of pre-college education through coopera- at redirecting existing programs and improving co- tion with and support of local, regional, ordination between the two agencies. State, and national organizations and agen- At this point, it is unclear what specific direction cies that foster and are responsible for pre- these efforts will take or what will result. To date, college education. the proponents of the new approach in general ma- "These Sea Grant-sponsored activities sup- rine education have focused on developing a rationale porting pre-college marine education will and a basic strategy; we will have to wait for the be conducted through existing administra- details. In addition, if proponents want increased tive procedures. No special guidelines will Federal funds for this effort, they will have to con- be promulgated." vince the Government that there is a pressing need for a larger Federal effort and that it deserves higher Precollege education now is considered an integral priority than other educational programs. Public Information Federal Policy requests from the public, and issuing some general Two basic concepts underlie the public informa- brochures or providing speakers that describe the tion programs of the ocean agencies. One is the agency and the importance of its mission. One vari- traditional concept that the Government should make ation on this theme is the Sea Grant Communica- tions program which uses radio and other media to information on its programs available to help inform distribute educational materials. the citizenry. However, there are certain difficulties However, in recent years another, often contro- here, reflecting tension between the overall objectives versial, concept has influenced the agencies. This is of providing Federal assistance while at -the same the notion that Government offices should help, or at time assuring that the Federal role remain limited least not hinder, efforts by the public to participate and controlled.' There is the question of who should in Government decision making. This concept itself present this information to the public; by-and-large, is a reflection of citizen awareness of the size the traditional American approach has been to let and impact of new Government programs, such as intermediate institutions such as the press filter the those in the marine field, coupled with what one Government-supplied information. There is also ten- author calls "the primary purpose of citizen par- sion over the related question of when the legitimate ticipation-increasing the responsiveness and ac- efforts of an agency to publicize its actions become countability of Government to the citizens affected an effort to propagandize. In general, the present by public decisions." ',o American answer to this dilemma again is to let the The concept of Government aid to public par- press and others select what they 'will and will not ticipation appears to have two parts: increasing ac- be passed on to the public. Results of the first concept are the traditional U.S. Department of Commerce. "NOAA, Office of Education public information programs of the agencies, which Sign Marine Education Pact," News Release -NOAA 77-281, focus on issuing press releases, facilitating interviews November 15, 1977. 11 Nelson M. Rosenbaum. Citizen Involvement in Land Use and giving other assistance to the press, answering Governance. Washington, D.C., The Urban Institute, 1976, p. 1. VIII-28 cess to information and structuring decision-making matters really are- small in the grand scheme of processes so that citizens actually can affect deci- national issues, orboth. sions. The latter is a matter of organization. But the At the.same time, though, general public interest emphasis on more information has led to major in the oceans has increas *ed in recent years, as evi- changes in the way agency public information pro- denced, for example, by the popularity of the Jacques grams. operate. The Freedom of Information Act has Cousteau television specials, the National Geographic required agencies, including ocean agencies; to be Society series, and by the amount of press coverage more open. The environmental impact 'statements given to@ such ocean matters as the tanker accidents required under the National Environmental Policy of the winter of 1977. Also, several recent innovative Act of 1969 in effect require agencies to inform, attempts have aimed to make the public more aware before decisions are made, what the proposed action of the oceans and of Government programs. Two is, what impacts it is likely to have, and what the al- examples may give a flavor of these efforts. ternatives are. More recently, some agencies, such One was tfie "oceans course by newspaper" effort as the Nuclear Regulatory Commission, have pro- of 1977. Entitled "Oceans: Our Continuing Fron- vided technical assistance to citizens "intervening" in tier," this series of articles was carried by some 350 adjudicatory hearings. There is now a debate over newspapers, and about 200 colleges and universities whether agencies such as NOAA also should provide offered "Oceans" as credit and noncredit courses in financial assistance* to such "interveners" in order to conjunction with the newspaper series. The series enable them not only to participate* in proceedings, covered literature and art as well as science and but also afford access to researchers arid experts who policy. It was produced by the University Extension, can provide them with information. University of California at San Diego, with funding from the National Endowment for the Humanities .12 Programs and Recent Developments Second, NOAA's Office of Coastal Zone Manage- Nearly all Federal agencies operate information ment has a "coastal awareness program." It differs offices. The public information role is recognized from traditional public information programs, be- as a legitimate function of the agencies. There is a cause it not only distributes its materials, but also risk, however, that well-intentioned agency informa- contracts with various groups to have them prepare tion programs can be used as promotional tools to information packages. To date, the League of advance the parochial interests of the agency. This Women Voters, the Natural Resources Defense accusation was made by several groups who watched Council, and several industry groups have been the Energy Research and Development Administra- involved. tion's activities during the 1976 nuclear power refer- The Office of Coastal Zone Management also con- endum campaign in California. tains some of the newer programs oriented toward Whether enough effort is being expended to make facilitating public participation. The Coastal Zone marine programs "visible" has been questioned from Management Act requires that States involve the time to time. The lack of an "ocean constituency," public when developing their coastal zone plans, and that is, a public understanding of the importance of the Federal office advises the States about developing the -ocean and its role in the economic, social, and both the information and organizational sides of strategic future of the Nation, has been cited -'as a their public participation programs. The Office also problem which makes it difficult to. seek support for advises the general public about how to participate in ocean initiatives .71 coastaFzone programs; this information is presented Much of the impetus for more-precollege marine as part of'the "coastal awareness program." Also, education comes from these. same concems.-What the Oceans Program of the Congressional Office of is not entirely clear, however,, is whether lack of Technology Assessment has developed new ways to public attention to ocean matters is real, and if so, inform the public about policy issues and choices; whether it is the result of insufficient Government OTA has a public participation project that carries effort, or a feeling among the public that ocean on these activities. Major Current Issues In the future, several issues are likely to dominate issues could affect significantly not only the Federal discussions about general marine education and pub- role in these areas but how much the public under- lic information programs. In turn, resolution of these stands and supports ocean programs. 11 U.S. Congress, Senate, Committee on Commerce, Sci- " George A. Colburn. " 'Oceans: Our Continuing Frontier,' A ence and Transportation. Nomination-Administrator, National National Oceanic Educational Program Prepared by Courses by Oceanic and Atmospheric Administration, Hearing before the Newspaper,"- in Marine Technology Society and Institute of Committee on Commerce, Science and Transportation, 95th Con- Electrical and Electronics Engineers, Oceans '77 Conference Re- gress, lst session, July 12, 1977, p. 91. port 1: lIA-1 to 11A-3. VIII-29 There probably will be no major issues dealing increasingly seems to be accepted, in some cases even with the precollege training for those who will be- mandated by law, there is still controversy about come marine specialists. There has been some con- what agencies should do to facilitate such participa- troversy over the National Science Foundation's tion. Debate about organizational arrangements will science education programs, and that may continue, focus both on the structure for hearings, advisory but will not particularly affect marine science. committees, and so forth, and on the proper role for In general marine education, the major issue the environmental and public interest groups which will continue to be what role the Federal Gov- claim to represent the public. Debate about the ernment should play, given, on the one hand, ap- information side of agency programs is likely to focus parently increasing interest in the oceans and, on the less on the public's legal right to information and other, not only traditional concerns about limiting more on possible ways to help public groups find and the Federal role in education, but also present-day use this information. budget limitations. Proponents of a larger Federal One present controversy that will continue is the role continue to encourage Sea Grant and the Office question of whether NOAA should provide financial of Education to enlarge their marine education ef- assistance to intervenors, enabling them not only to forts, especially curriculum development, now that participate in hearings, but also to afford researchers the two agencies have signed an interagency agree- and expert advisers, or whether, as some argue, the ment highlighting the importance of the subject. agency simply should improve public education and Critics demand clear evidence of the need for a provide more information to special interest groups. larger Federal role as well as detailed plans before If proponents of financial aid prevail, public partici- supporting any significant new effort. Since large pation will become more institutionalized in NOAA, budget allocations are unlikely, the issue may focus though the agency will face the question of who is to on whether Sea Grant colleges should concentrate be selected to represent "the public." their limited general education funds on curriculum In any case, the very fact that this and similar development or on hiring liaison people to work with debates now occur is further evidence of the changes State education departments. and issues which now appear throughout the whole While the basic concept of "public participation" field of marine manpower and education. VIII-30 Chapter IX: Organizing the National- Ocean Effort Introduction In 1969, the year that Our Nation and the Sea General Accounting Office (GAO) estimates that was issued by the Stratton, Commission, Federal only 7.9 percent of the total Federal budget relate,] ocean programs were located in 6 departments, 4 to marine science activities and oceanic affairs dur- independent agencies, and 17 agencies or sub- ing the period t hrough 1974 was budgeted to agencies within the departments. Ocean programs in NOAA.1 At the game time, it has to be acknowl- 1977 were administered by 9 departments, 8 inde- edged that proliferation of related functions among pendent agencies, and 38 agencies or subagencies Federal agencies is common. Many agencies have (fi& 9-1 on pages IX-36 and IX-37). educational activities, many are involved in recrea- Since 1972, Congress has enacted eight laws- with tion or environmental protection, and many perform major implications on ocean matters, including the related research functions. Federal Water Pollution Coastal Act Amendments Whether the proposals for organizing around the of 1972, the Marine Mammal Protection Act, the ocean as a resource have merit must be evaluated Marine Protection, Research and Sanctuaries Act, in light of the increased use and importance of the the Coastal Zone Management Act of 1972, the En- ocean, the domestic and international economic set- dangered Species, Act, the Deepwater Port Act of ting, and the ranking of ocean resources and the 1974, the Fishery Conservation and Management ocean environment among other national priorities. Act of 1976, and the Coastal Zone Management Possible reorganization of the U.S. ocean effort must Act Amendents of 1976. The nature of this legisla- be considered in the context of other national goals. tion emphasizes the management and conservation Reorganization is essentially politics itself, and of the ocean and coastal resources, in contrast to as such can be used to redistribute political influence, legislative authority existing prior to 1970, which alter the substance of public policies, and signal the was largely directed toward providing ocean-related intention of the Government to place priority on a services, education, and marine science and en- national goal. Creation of a Department of Energy gineering. This shift can be attributed in part to a was in part a statement by the current Administra- change in the national mood in the early 1970s in tion of the importance it attaches to the topic. Al- which concern for environmental values came to the though generally justified on the basis of increased fore. Many of the legislative actions by Congress in efficiency and improved administration, reorganiza- the early 1970s dealing with ocean matters were tion is not necessarily the most promising means to designed to protect the marine environment or a achieve efficiency and reduce cost.2 Therefore, the component of it. central question with regard to possible reorganiza- 69 Failure of. the United States to adopt an explicit tion of ocean programs may depend less on the frag- national ocean policy," the alleged lack of coor- mented nature of ocean responsibilities among the dination among agencies administering ocean pro- Federal agencies, with the possible loss of efficiency, grams, and the absence of what advocates term an than upon the pragmatic question of: Is the ocean a ocean commitment have been attributed to lack of sensible integrating theme around which to organize? a single ocean focus within the Federal structure. And the corollary: Is the ocean important enough Although the National Oceanic and Atmospheric to justify reorganization? Also, are the deficiencies Administration,(NOAA) was created by Reorganiza- perceived in the administration of ocean-related pro- tion No. 4 in 1970 in response to the recommenda- grams best cured by reorganization or other means? tions of the Stratton Commission, it fell far short of the powerful comprehens'lve, independent ocean U.S, General Accounting Office. Federal Agencies Adminis- agency conceived by the Commission. While the. tering Programs Related to Marine Science Activities and Oceanic Aflairs, GGD-75-61, Washington, D.C., GAO, 1975, center of civilian ocean activities is perceived by p. 3. many to be in the Department of Commerce's 'Herbert Kaufman. "Reflections on Administrative Reorgani- NOAA, a major share of the actual functional activ- zation," in The 1978 Budget: Setting National Priorities, Joseph A. Pechman (ed.). Washington, D.C., Brookings Institution, 1977, ity is located in other line departments. In fact, the p. 392. IX-1 This chapter, discusses the organization of the offs of reorganization, and the historical development Federal ocean program in the context of organiza- of ocean-related Government organization, and in- tional theory, the importance of organization in cludes an analysis of proposals that have been ad- developing effective "functional policy," the trade- vanced to reorganize the Nation's ocean effort. More Effective Administration: An Elusive Goal of Government Trends in Governmental Organization Since Congressman Albert Gallatin sought to en- tendency toward bigness as a series of tradeoffs force the limits of appropriations against the Secre- between: good policy-making on one hand and good tary of the Treasury, Oliver Wolcott, in 1795, both management on the other; management by narrow the Congress and the President, like Diogenes in the objectives contrasted with the difficulty of having to quest for an honest man, have searched for better respond to mixed constituencies, and flexibility of ways to conduct the business of Government. management being substituted by layered, hierarchial Administrations for decades have sought to re- management .5 Responding to broad constituency organize the executive branch for one or more of interests and to multiple congressional committees the following reaso 'ns: (1) to deal with specific prob- places added burdens on large composite organiza- lems, d.g., energy, housing, or social programs; (2) tions. On the other hand, smaller independent sub- to improve efficiency and reduce waste; or (3) to Cabinet-level agencies are limited in effectiveness by: recoup power from the bureaucracy. Congress, (1) potential for parochial response to narrow con- wherein the power to shape and form the Govern- stituent groups; (2) inability to influence high-level ment resides .(and from which the Presidency must policy decisions at the Cabinet level; (3) difficulties obtain its comprehensive reorganizational powers), in coordinating policy among numerous small units; has also periodically sought reorganization for dif- and (4) lack of critical mass to undertake large tasks ferent reasons-.often in dissatisfaction with the way in a comprehensive manner. the Executive Branch administers the laws. Clearly there is no panacea. Good organization- The reports of the Dockery-Cockrel Commission whatever form it may be-does not ensure successful (1895), Keep Committee (1909), Taft Commission policy and program execution, nor does poor organi- (1913), Joint Committee on Reorganization (1923), zation preclude them. The key is to coalesce related Byrd Committee . (1938), Brownlow Committee functions into a unit of government that has a critical (1939), First and Second Hoover Commissions mass sufficient to influence high-level policy, yet is (1949 and 1955), and the Ash Council (1970) com- small enough to pursue identifiable objectives and prise the remains of earnest attempts to reorganize flexible enough to adapt to changing needs. the executive branch.3 Virtually every reorganiza- The organization of government is in itself an art tion proposal heretofore has been based on the as- and not a science. The possible combinations and sumption that (1) administrative organizations should permutations for organizing governmental functions be structured by like functions and purpose, (2) are almost infinite; moreover, organizational theory overlapping functions should be minimized, and,(3) is of marginal value because of the reality of politics, control, should be unified .4 the constraints imposed by governmental customs, Reorganization trends invariably lead to proposals traditional operating procedures, and established for larger Cabinet-level departments as a strategy to budgeting and accounting procedures. Like policy- unify control and consolidate authority. As a conse- making itself, the design of organizations must bal- quence, prescriptions for reorganization have sug- ance conflicting objectives, The appropriateness of gested the creation of "superdepartments" with organizational arrangements depends on the nature mixed constituencies that cut across the lines of of the policy problems with which they must deal .6 statutory responsibility and' congressional commit- The question of atmosphere, setting, and environ- tee jurisdictions. While consolidation is the current ment in which the decisions and execution of policy vogue in Government organizations, a small number are made is an oft-neglected quality of organization. of commentators in public administration see the I Warren G. Dennis. Changing Organizations: Essays an the Development and Evolution of Human Organization. New York: U.S. Congress, Senate, Committee on Interior and Insular McGraw Hill Book Co., 1966. See also: 1. C. Davies. "Reor- Affairs. Federal Energy Reorganization: Historical Perspective. ganization of Federal Agencies." Conservation Foundation 20 94th Con., 2d sess., Ser. 94-46, 1976. October 1976, Washington, D.C. ' Pefi E. Arnold. "Reorganization and Politics: A Reflection ' U.S. Commission on the Organization of the Government for on the Adequacy of Administrative Theory." Administrative Re- the Conduct of Foreign Policy. Final Report, Organization for view May-June 1974: 206. Foreign Policy, June 1975, p. 1. ]X-2 Failure to recognize that executive administration is change more difficult than'ii was before. If the net a political process as much as is enacting legislation result of reorganization is to pile administrative tends to lull reorganizers into thinking of organiza- echelon upon administrative echelon in an unre- tion mechanically. In fact, administration has been mitting quest for coordination, symmetry, logic,. and referred to as the "eighth political process .11 7 Reor- comprehensive order, the lines of communication ganization is thus more than the mere drafting of may be stretched, morale lowered, and administra- uncluttered organizational charts. tive entropy increased. Thus, there are negative It must also be recognized that no matter how the factors associated with reorganization as well as Government is organized, it is impossible to define positive potentials. Lest the result be a zero-sum and design programs in such a way as to eliminate game, the advantages and disadvantages must be all overlaps and potential conflicts among agencies- weighed carefully. Because of this, reorganization .should that objective be considered desirable. At is seldom implemented unless there is an obvious best, we can achieve no more than a less than op- discontinuity or dysfunction in achieving a primary timal solution under any reorganizational scheme. national goal. Of the eight attempts at wholesale Reorganization can even be counter-productive un- reorganization of the Federal Government since the less the net gains in efficiency offset the losses that turn of the century, only incremental changes were inevitably result from reestablishing group dynamics, made in each case, and those were generally in areas restructuring agency loyalties, and overcoming psy- of major Government commitment, e.g., energy, chological impacts on personnel. housing, transportation, space, welfare, and environ- Although reorganization is ultimately aimed at ment. In other words, reorganization does not breed changing the character and behavior of an organiza- importance-importance breeds the need to reor- tion, it can work in a negative manner by making ganize. The Trilogy of Organization Too often reorganization of the executive branch Government in allocating the use of and protecting is discussed as though governmental processes are the Nation's ocean and coastal resources. an undifferentiated continuum from enactment of Nor can the linkages between the Congress be legislation through execution. There are actually ignored in any organizational scheme. Congress both three distinct executive functions to be considered: establishes policy through legislative authority and (1) formulation of policy, (2) implementation of participates in setting priorities through appropria- programs, and (3) establishment of priorities. The tions. The evolution of objectives and the statement first, formulation of policy, is centered in the White of purpose is requisite to the development of national House within the executive branch. The second, policy 'and often results from spirited interaction implementation, involves execution by the agencies. between the Executive and the Congress. Organiza- The third, priority, is established by the budget tion of the Federal Government's administrative process. framework to pursue national goals is a responsi- Government reorganization is most frequently dis- bility,.shared by the President with the Congress, cussed in the context of agency implementation, yet through its oversight and investigative activities, and this might not be the weakest link in the chain of is an important factor in ensuring the' effectiveness "functional policy." Ocean policy, for instance, is of public policy. Budget requests and appropriations made at every step in the governmental process from serve as.indicators of relative priorities among ocean enactment of legislation through administration of the programs in the field. The whole can be more programs as well as between ocean activities and than the sum of the parts. Each of the three govern- other budgetary items competing for finite Federal mental functions must be considered separately and funds. In the aggregate, these three processes deter- jointly with respect to the effectiveness of the Federal mine functional ocean policy. Formulation of Ocean Policy "Policy," by definition, is the goals, plans, and a conscious process. Although consensus on tra- procedures of a government body. It embraces, ditional values is common, agreement on specific therefore, both substance and procedure. Although policies that government should follow is extremely the point of departure for developing national policy rare." In the conventional sense, however, national is the identification of "national goals," this is an ocean policy is set by the interaction of the legis- optimistic concept that in reality seldom evolves as 'Michael N. Davidson, Alan M. Hershy, and John M. Bayne. 'Paul Appleby. Policy and Administration. Montgomery: Uni- One Nation, So Many Governments. New York: Lexington Book, versity of Alabama Press, 1949. 1977, p. 141. IX-3 lative, executive, and judicial branches of the Federal weighed against the development of Outer Continen- Government through the identification of goals and tal Shelf oil and gas, deepwater ports, water pollu- the development of procedures and organizations to tion control, ocean dumping, fishery management, use the ocean's resources and protect its environ- and port development and use to be impressed with nient. the close connection among these Federal resource The United States, being a pluralistic society and management policies and the impacts they may have operating through a representative government, is on each other. pursuing a number of sometimes conflicting, societal The setting in which ocean policy is established goals, simultaneously. Balancing the objectives of under the present organizational system tends to society is the essence of the political process. U.S. favor diversity at the expense of consistency. With ocean policy is an integral part of legislative en- ocean programs scattered throughout more than 50 actments dealing with natural resources, environ- Federal governmental agencies, and with jurisdic- ment, national security, science and technology, tion for ocean-related legislation shared by 39 sub- energy, education, labor, marine transportation, and committees in 12 standing committees of the House commerce. Our national ocean policy is complex of Representatives and 36 subcommittees in 10 and sophisticated and has not been, nor can it be, standing committees of the Senate, the policy-making reduced to a simple statement of goals and pro- machinery is diffused in both the executive branch cedures. and the Congress. "National goals," although often referred to as if To achieve consistency of purpose in public they are tangible items, are generally no more than policy, however, there must be a mechanism to pe- broad, ambiguous generalizations. Goals are the riodically review the course of governmental actions wellspring of governmental policy and are derived and analyze both the effectiveness and currency of from collective reasoning and public debate, often the policies as well as the interactions of the various not in an institutional framework but in the value programs. The responsibility for this review is shared system of contemporary society. However, multiple by both the Congress and the Executive, but neither goals often interact and even conflict with one an- have adequate means for reviewing and formulating other. Energy production and preservation of en- comprehensive and consistent ocean programs at this vironmental values are frequently in conflict. Energy time. The task is made even more difficult because conservation and economic growth may similarly ocean affairs range broadly from energy policy work in opposing directions unless the Gross Na- through environmental protection to international tional Product can be decoupled from energy use. diplomacy. To ask for complete consistency would Within the context of competing demands on the be to hold out false hopes. How the rational devel- Federal budget, almost every goal is competing in opment of ocean policy and the maintenance of some sense with a subset of related and unrelated consistency among the Federal ocean programs can goals for available funds. One need look no further be ensured presents a major challenge to both the than the goal of protecting certain coastal resources, Congress and the President. Role of the White House in Ocean Policy Many observers in the ocean community believe ternational and national security programs.' The that the White House should play a more active scenario follows a set pattern: (1) establishment of role in the development and oversight of ocean an interagency committee chaired by an agency head policy. These conclusions are based in part on the with no staff; (2) designation of a "neutral" chair- historical role that the Executive Office of the Presi- man who is provided a staff; (3) transfer of coordi- dent has played in ocean affairs from time to time nating functions to the White House or Executive and in part on the concern that ocean matters do Office of the President and reconstitution as a Presi- not receive sufficient attention on a consistent basis, dential advisory council.9 In the case of oceans, this Some also see what is perceived as a failure to coor- circuit has been completed once and has started dinate the several Federal mission agencies which over again. The trend toward proliferation of special deal with disparate parts of ocean programs as a White Flouse policy groups, which began with the reason for White House intervention in the admin- creation of the National Security Council (NSC) istrative process. T 'hese observers have to recognize, shortly after the conclusion of the Second World however, that all issue areas of national importance War, was reversed by Reorganization Plan No. I cannot and should not receive individual attention of 1977 which eliminated nine of the specialized from special policy groups within the White House. policy units in the Executive Office of the President, The prescription for a coordinating mechanism seems to take the same form whether dealing with Harold Seidman. Politics, Position, and Power. New York: oceans, poverty, science, telecommunications, or in- Oxford University Press, 1970, p. 165. IX-4 transferred the coordinative and operational func- grams through reorganization of the ocean effort tions of special units to mission agencies, and re- within the responsible executive departments might structured those units which remained in the White improve coordination among ocean programs. How- House."' ever, the proponents of a White House-centered Coordinating machinery is necessary only when effort to oversee ocean affairs see benefits in the coordination cannot be achieved by sound organi- added stature and influence caused by association zation, good management, and formal and informal with the Executive Office of the President or the cooperation among agencies engaged in related and White House staff. mutually, supporting activities. Consolidation of pro- Historical Role of the White House in Ocean Policy Marine Science Council by most and bypassed by subsequent events. It re- The National Council on Marine Resources and flects the emphasis at the time of passage of the Act Engineering Development-known , as the Marine on the potential seen in using ocean resources. The Science Council-was created concurrently with the policy objectives emphasize accelerated development, Stratton Commission by the Congress in 1966.11 encouragement of private enterprise in ocean re- The Council was established as a temporary Cabinet- source use, and development of technology for vari- level interagency group in the Executive Office of ous ocean uses. Resource protection is not men- the President. The Vice President was chairman as tioned. designated by statute and had the responsibility to The only remaining vestige of the policy focus on develop and advance a comprehensive program deal- marine science is the report mandated by the Act, ing with all aspects of marine science activities. titled Federal Ocean Programs. The document re- Under the chairmanship of Hubert H. Humphrey, flected the status of ocean activities in the Federal the Council was visible, and according to observers, Government when produced by the staff of the at least partially successful and active in exercising Marine Sciences Council, but since then has dimin- leadership in ocean science and technology policy. ished in quality and quantity and has been released However, 3 months before its expiration, the author- as much as a year-and-one-halfvbeyond the required izing legislation for the Council was terminated in statutory date. For several years, the Federal Ocean 1971 allegedly for "lack of interest" of the Adminis- Programs report has been compiled piecemeal as an tration at that time. 12 interagency effort rather than by an integrated staff. Since then, ocean science policy coordination has Its contents vary in quality among the sections, little been relegated to lower sub-Cabinet level inter- marine science policy guidance is provided in the agency coordinating committees of various kinds. document, and its usefulness is impaired by the un- The reporting requirement of the Marine Resources even treatment given the sections by agencies that and Engineering Development Act continues to be clearly consider it to be an onerous chore. The White fulfilled annually under the auspices of the Federal House has shown little concern for the report, which Council for Science and Technology with the assist- helps explain the extended delays in its issuance. ance of various science-related policy groups that have tended to appear and disappear over time. Science Advisory Structure First, the Office of Scie *rice and Technology (OST), At one time marine science and technology were then the Science and Technology Policy Office of the major focus of ocean policy. Subsequent to the the National Science Foundation (NSF), and cur- spectacular space achievements of the Russians in rently the Office of Science and Technology Policy the late 1950s, Federal priorities were shifted to (OSTP). space technology. Other scientific areas, including Title I of the Marine Resources and Engineering oceanography, were also the beneficiaries of the Development Act, the authority for both the Marine major emphasis on science. Thus, the Stratton Com- Science Council and the Stratton Commission, is mission and the Marine Science Council which were essentially dormant although it still remains in the created during the "grand period of science" were U.S. Code. The declaration of ocean policy for the similarly oriented toward research and development. nation in the 1966 act does remain, although ignored Before the establishment of the Marine Science Council, there were efforts in the 87th Congress in the early 1960s to give the then-existing Office of 10 U.S., President, "Presidential Message to the Congress Trans- Science and Technology (OST) responsibility for pre- mitting Reorganization Plan No. 1 of 1977," 18 July 1977. Presi- dential Documerits, 13:1007-1016. siding over a coordinated national program of ocean- " Marine Resources and Engineering Development Act, 33 ography to be aided by an Advisory Comrhittee on U.S.C. 1101-1108. Oceanography. It is not surprising, therefore, that "Edward Wenk, Jr. The Politics of the Ocean. Seattle: Uni- versity of Washington Press, 1972, p. 163. the science advisory functions within the Executive IX-5 Office of the President have significantly influenced With the termination of the Marine Science Coun- national ocean policy over the years. - cil in 1971, the responsibility for marine science A special assistant to the President for Science oversight within the Executive Office of the Presi- and Technology was appointed, and in March 1959 dent was shifted to the Office of Science and Tech- the Federal Council for Science and Technology nology (OST) until its dismantlement in 1973. Since (FCST) was formed, followed by the creation of the that time, and until the creation of the Office of Interagency Committee on Oceanography (ICO) Science and Technology Policy in 1976 '13 the Execu- within the FCST. The expression of interest by the tive Office of the President was without in-house Administration in ocean science and technology has counsel for marine science and ocean affairs. During been cited by commentators as the catalyst which the interim, the science advisory role was served by prompted the Congress to create formally the Marine the Director of the National Science Foundation Science Council in 1966. A bill to this effect was (NSF), through the staff of the Science and Tech- pocket-vetoed upon adjournment of the 87th Con- nology Policy Office. However, that Office had no gress, allegedly for administrative rather than sub- special unit to track the developments in ocean sci- stantive reasons. ence policy. Present White House Policy Organization Policy Councils by the National Security Act of 1947 (50 U.S.C. The policy formulation system within the White 402), remains as originally constituted. Its function House generally reflects the styl'e and character of is to advise the President with respect to the integra- the President. Some Presidents have relied on the tion of domestic, foreign, and military policies re- advice of cloistered associates, others have developed lated to national security. a collegial atmosphere among Cabinet members, and This new system of policy integration within the some prefer to rely on staff analysis and trusted White House places the responsibilities for coordi- senior staff within the White House for policy guid- nating ocean policy upon the Domestic Policy Staff ance. and the National Security Council. Additional input However, each modern President has inherited a to policy formulation comes from the Office of Sci- number of special policy councils that have been ence and Technology Policy and the Council on established in the Executive Office of the President Environmental Quality, which reside in the Execu- by statute, reorganization plan, Presidential merno- tive Office of the President. randum, and executive order. Before Reorganization Emphasis of the new policy process and organiza- Plan No. 1 of 1977, under which the Executive tion in the White House is placed on Presidential Office of the President was restructured, 19 policy decision-making. The departments and agencies units dealt with general and specialized issue areas. must, therefore, assume the major responsibility for Nine of these units were eliminated by the Reorga- reviewing the state of ocean policy on a continuing nization Plan and earlier executive action. basis and provide policy initiatives for consideration . Before reorganization, various aspects of ocean by the White House. This places an added burden policy were considered by four Cabinet-level coun- on the White House staff to ensure that agency ef- cils that were responsible for formulating general forts are properly coordinated and evaluated. policy: (I) Domestic Council, (2) National -Security The Presidential decision-making process will use Council, (3) Energy Resources Council, and (4) a system of Presidential Review Memorandum Council on International Economics Policy. In real- (PRM) similar to that which has been developed by ity, these entities operated less like true councils in the National Security Council. The PRM process the sense of collegial decisions being,made through is a mechanism for developing a decision document interaction among Cabinet officers and more like through interaction of the White House staff and the specialized staff operations, but the councils did agencies. It is an interactive process that uses inter- serve as a forum for resolving conflicts among com- agency working groups coupled with staff input to peting domestic, international, economic, and energy produce a decision memorandum upon which the policies. President can implement policy directions through Reorganization Plan No. I eliminated both the directives and other appropriate means. The process Energy Resources Council and the Council on Inter- described in figure 9-2 would be used for the national Economics Policy. The Domestic Council's most complex policy issues.'An abbreviated version functions were melded into a Domestic Policy Staff of the PRM process will normally be used for less within the White House Office and given responsibil- complex policy decisions. The President plays an ity for managing the processes that coordinate the development of domestic and economic policy. Tfie' National Science and Technology Policy, Organization, and National Security Council (NSC), which was created Priorities Act of 1976, 42 U.S.C. 6601 et seq. (Supp. 1976). IX-6 President Senior Staff Issue Agencies Identification Policy Staff Draft Presidential Interagency Policy Review Coordination President Staff Memorandum, and/or Senior Staff Review Lead PRM Policy Staff Transmittal PRC/ Aoencv Memo SCC* *Policy Review Committee Special Coordinating Committee Interagency Review Working Interagency PRC/SCC Discussion I nteragency Group Report Recommendation Tasking Memo Policy Staf f (Coordination) Policy Staff PRC/SCC Interagency and Annotated Reportand Senior Staff Decision Decision R evi ew Memo Draft Coordination 1/-P-licy Presidential and Review by --.00 @Prsident Staff If Cf =Y)I,,,,-* Directive Senior Staff Presidential -V Polic Distribution 0 irective Staf f and Monitoring f rimsm,tta@IPR,@/ 0 O@e@ SC 'teragency port rit-rag eni;Xy;@ 2e , g E,ask n _0 (Coordination) --@P"IicY St f L R C"C C Report - n@d 0eision M raft @re s@,dntial D, rct've Lres,@den ia@l t Pol" r ctve Staf Figure 9-2.-Policy Staff management system. IX-7 integral part of the PRM process from beginning to Enactment of the National Science and Technol- end. To this extent, the Presidential Review Memo- . ogy Policy, Organization, and Priorities Act of randum serves as a means to develop a working 1976 1-5 by the 94th Congress reinstated a science knowledge of the issue under review in advance of policy mechanism within the Executive Office of the the final decision. The success of the PRM process White House. The Office of Science and Technology will depend on the skill of the White House staff in Policy (OSTP), which was established by the Act organizing and directing the interagency efforts. The and whose operations were subsequently modified by performance record of interagency task groups is Reorganization Plan No. 1, is responsible for pro- mixed, at best. Strong leadership is required to over- viding input to the Presidential decision-making come the potential for interagency conflict and pos- process for science policy and budget decisions. The turing. three advisory and coordinating bodies established The-four-Council system that operated during the by the Act-the Intergovernmental Science, Engi- period 1970 through 1977 was criticized for its lack neering, and Technology Advisory Panel (ISETAP); of focus on specific ocean problems. The overlap in the President's Committee on Science and Technol- Cabinet membership among the Presidential coun- ogy (PCST), which was charged by the Act with cils, which resulted in redundancy and cross-mem- examining and analyzing the entire Federal R&D bership, was considered a strength of the system by effort, including ocean science and technology; and some because the same Cabinet Officers and advisors the Federal Coordinating Council for Science, Engi- were required to approach common problems from neering and Technology (FCCSET)-were altered different points of emphasis--7-domestic, interna- by Reorganization Plan No. I of 1977. In lieu ef tional, economic, and national security.14 To the FCCSET, which served briefly as the umbrella orga- extent that the former system encouraged cross- nization for the ocean-related interagency coordinat- fertilization in the development of ocean policy, the ing activities, the Committee on Atmosphere and new system of staff integration and NSC review must Oceans .(CAO), was reconstructed as a sub-Cabinet engender the same multifaceted thinking in the PRM working. group chaired by the science advisor. CAO process. The strength of the new Domestic Policy incorporated functions of the former Interagency Staff /NSC decision system is its ability to deal with Committee on Marine Science and Engineering individual issues in a comprehensive manner and (ICMSE) and the Interagency Committee on Atmos- present well-reasoned and well-researched options to pheric Sciences (ICAS). TCMSE had served as a the President for final consideration. sub-Cabinet level coordinating committee to improve. The National Council on Marine Resources and communication among the ocean-related agencies. It Engineering Development (Marine Science Council), was chaired throughout its 6-year history by the which was abandoned in 1971, was basically similar administrator of the National Oceanic and Atmos- to the model of the National Security Council. Dur- pheric Administration. ICMSE served as an inter- ing its operation, the Council provided a focus on agency forum with a focus on marine 'science and ocean science policy 6bjectives. The National Secu- technology and was a coordinating body, but it rity Council differs from the defunct Marine Science played no formal advisory role in the development of Council in that NSC considers foreign and domestic ocean policy within the White House. issues in light of its overriding concern for national The director of the Office of Science and Tech- security and foreign affairs. Cabinet-level representa- nology Policy serves as the President's science ad- tion on the NSC is limited to the Secretary of State visor for a broad range of science-related govern- and the Secretary of Defense. mental issues. The assistant director for Natural Resources and Commercial Services is responsible Office of Science and Technology Policy for the activities within OSTP concerning marine With the dismantling of the science advisory struc- science and technology. Given the active role that ture within the White House in 1973, there was a the science advisory structure has played in the de- hiatus in top-level concern over science policy. velopment and articulation of ocean policy, it is While the director of NSF served in the capacity of anticipated that the OSTP will assume responsibility Science Advisor, his remoteness from the President's for continuing the analysis and development of office and lack of access reduced his effectiveness in ocean-related R&D policy. influencing White House policy, according to some observers. Furthermore, no specific ocean science and Council on Environmental Quality technology effort was developed within NSF for The Council on Environmental Quality (CEQ) oversight of ocean science policy. was established by the National Environmental Pol- icy Act of 1969 (NEPA) to formulate and recom- 14 U.S. Congress, House, Committee on Merchant Marine and Fisheries. National Ocean Policy, Hearing before Subcommittee 'National Science and Technology Policy, Organization, and on Oceanography. 94th Cong., 2d sess., Ser. 94-43, 1976, p. 7. Priorities Act of 1976, 90 Stat. 459. IX-8 mend national policies for improving the quality of ments. It has dealt with issues involved in OCS oil the environment.16 and gas leasing both onshore and offshore, ocean CEO consists of three members appointed by the pollution questions and coastal zone management. President with the advice and consent of the Senate In the past, CEO has had considerable influence and was modeled after the Council of Economic Ad- over the functional environmental policy of the visors which was created by the Employment Act of agencies through the review of environmental impact 1946. The Council and its support staff are attached statements required by Section 162(2)(C) of the Na- to the Executive Office of the President. The advis- tional Environmental Policy Act. Reorganization ory role of CEO is aimed at providing independent Plan No. I of 1977, however, transferred the re- assessment of environmental policy. Emphasis is sponsibility for review of the adequacy of agency placed on analysis of long-term trends and condi- impact statements to the Environmental Protection tions in the environment. Based on such analyses, Agency @(EPA), thereby eliminating the most direct the Council develops and recommends to the Presi- leverage that CEO had to influence functional policy. dent national policies to protect and enhance the However, CEO will continue to assert its opinions quality of the environment. on the quality and substance of the individual impact CEO differs from the prototype of other policy statements. councils within the White House policy advisory Because of the complexity and interactions in- structure in that the three members of the Council volved in the White House policy process, it is im- are full-time appointees like the Council of Eco- possible to accurately evaluate the effectiveness of nomic Advisors, rather than representatives of the CEO as a policy-formulating body. To the extent executive departments and agencies. This serves to that CEO's track- record has been evaluated, its insulate the Council from parochial views bom of weaknesses in the policy process have been ascribed vested interests in organizational attitudes. It casts to: (1) the limited size of CEO, which has com- the Council in the role of honest broker. Its effective- pelled it to concentrate on immediate problems at ness as a coordinating mechanism depends largely the expense of comprehensive, long-range policy; on the skill and ability of the Council and its staff (2) absence of mission-agency authority to direct in persuading the mission agencies to pursue policies and implement policy; and (3) lack of control over which will ensure adequate protection of the en- development and initiation of legislative environ- vironment. Its influence is proportional to the em- mental initiatives. 18 phasis that the President, and consequently the Implementation of the presidential review memo- White House staff, places on CEO's advice .17 randum process as a component of the White House The broad environmental mission of the Council policy staff management system may provide a more involves it in virtually every governmental program even-handed and less adversary atmosphere in which dealing with natural resources and energy. As a con- CEO can play a significant role in formulating ocean sequence, CEO has devoted considerable attention policy with regard to protection of the marine en- to matters affecting the marine and coastal environ- vironment. Ocean Policy Unit for the White House: An Enduring Proposal The quest for an improved process for developing search and development. Since termination of the and assessing national ocean policy repeatedly leads Council in 1971, ocean policy, including marine sci- back to proposals for recreating a Cabinet-level ence, has been determined in the context of func- White House policy unit to oversee ocean affairs. tional problems within the framework of the domes- Between 1966 and 1971 the National Council on tic and foreign policy councils remaining in the Marine Resources and Engineering Development- White House. Coordination, on the other hand, has known as the Marine Science Council-served as a been relegated to the Interagency Committee on focus for national ocean science policy.19 Marine Science and Engineering (ICMSE), which up The Marine Science Council was as much a sym- to its recent abolition provided a modicum of coordi- bol of national commitment to the oceans as it was nation through committee communications, but an effective policy mechanism.. It existed during a served no formal policy-making role. Thus a symbol period of rapid growth in the budget for ocean re- of national commitment to a comprehensive ocean program has not existed in the White House since National Environmental Policy Act of 1969, 42 U.S.C. 4321 1971. Some maintain that such a symbol is not et seq. " U.S. Congress, Senate, Committee on Interior and Insular needed and that ocean issues can be successfully Affairs. The Council on Environmental Quality-Oversight. 94th dealt with as they arise or are perceived within the Cong., 2d sess., 1977, p. 34. present decision structure. There is little disagree- ' Ibid., p. 42. " Marine Resources and Engineering Development Act, 33 meni among observers that during the interim, 1971 U.S.C. 1101-1108. through 1976, the Congress has taken the initiative LX_9 in determining the course of U.S. ocean policy. A de- 0 Review all marine service activities annually. tailed discussion of the role of Congress in develop- 0 Administer a grant program to foster participation ment of ocean policy, as well as its organization for in the overall Government marine program. dealing with ocean questions, is beyond the scope of this discussion. The Humphrey proposal, if enacted, would consti- The need seen by some for policy direction at the tute in effect a reenactment of the Marine Resources Presidential level has prompted a number of sugges- and Engineering Development Act of 1966, since tions that an institution similar to the former Marine S. 709 and the Act differ only in detail. A principal Science Council is again needed within the Executive difference would be the creation of an Advisory Office of the President.20 To succeed, such proposals Panel on Marine Science, Engineering, and Resource must demonstrate that there are significant issues Development proposed by S. 709 which would in- requiring the attention of the President that are not corporate the National Advisory Committee on adequately handled now. These specific proposals Oceans and Atmosphere (NACOA), supplemented have been advanced in recent years-two in the by congressional members, to review and make form of legislation, and another as * an academic recommendations on ocean affairs to the council. concept-which would reinstate a policy council in The statutory mandate of NACOA would remain the Executive Office of the President: (I) A National unaffected. S. 709 also would reinstate the respon- Council on Marine Science, Engineering, and Re- sibility for publishing a detailed report of national source Development (S. 709, 94th Cong., Senator marine programs-the report prepared through the Humphrey 14. Humphrey), (2) A Marine Affairs science advisory structure and ICMSE since 1971. Council (Professor John Norton Moore, 1976) and, The emphasis placed on marine science and,tech- (3) an Office of Maritime Affairs Coordinator @S. nology in the Humphrey proposal contradicts, to 3580, 94th Cong., Senator Robert Taft, Jr.). some extent, the developing consensus that national Marine Science or Marine Affairs Council ocean policy transcends the once-popular concept that marine science and engineering is the umbrella Senator Hubert H. Humphrey, the first chairman for all ocean policy. While the implied focus of the of the former Marine Science Council by virtue of council proposed by S. 709 is weighted toward sci- his tenure as Vice President during its existence, in- ence and engineering, there would probably be no troduced S. 709, the Marine Science, Engineering, legal constraints for such a council, if staffed by and Development Act of 1975, which proposed to aggressive professionals, to confront problems ex- establish a National Council on Marine Science, tending beyond the traditional limits of marine sci- Engineering, and Development along with a coor& ence and technology. native advisory panel. Like the Marine Science Professor John Norton Moore proposed the crea- Council, the proposed council would be a Cabinet- tion of a Marine Affairs Council as part of a com- level group chaired by the Vice President. Authority prehensive plan to reorganize the Federal ocean ef- would be provided for employing a professional staff fort." The Marine Affairs Council, a variation of under the direction of an executive secretary to be the Marine Science Council concept, would similarly compensated at a level not to exceed Executive be chaired by the Vice President and serve as a Level 11. Cabinet-level forum for developing and coordinating The responsibilities of the proposed councii under national ocean policy. Its coordinative functions the Humphrey proposal would include: would be executed through an Interagency Task * Survey significant marine science activities. Force on Oceans Policy chaired by the Executive * Develop a comprehensive long-range program of Director of the Marine Affairs Council, who would marine activities. be supported by a professional staff. Reflecting the broader reorganization thrust of the Moore pro- * Evaluate the conduct of the Federal marine sci- posal, the Marine Affairs Council would deal with ence activities. maritime transportation policy and merchant marine * Insure cooperation and resolve differences among affairs in addition to what is customarily considered Federal departments and agencies. ocean policy. * Undertake comprehensive study of marine-related legal problems. Office of Maritime Affairs Coordinator * Study benefit/cost of marine resources, engineer- Maritime transportation has generally been treated ing, and science to the United States. in isolation from other ocean policy issues. It has been considered primarily as an economic tool of Edward Wenk, Jr., op. cit. note 12, p. 200 et seq. See this reference for an analysis of the role played by the. Marine Sci- 'John Norton Moore. "The Crisis in Ocean Policy: Time for ence Council in formulating and advancing such legislative con- Change." Marine Technology Society Journal 10 October- cepts. November 1976: 3-10. IX-10 commerce and secondarily as a factor in national member of the National Security Council. Member- security. The maritime statutes, primarily the Mer- ship in the NSC, according to the proposal, would chant Marine Act of 1936 and amendments, are provide for the maritime industry's input to national administered by the Maritime Administration defense matters. The present membership of NSC is (MarAd) within the Department of Commerce. restricted to the Departments of State and Defense. The national security element of U.S. maritime The Maritime Affairs Coordinator proposed by S. policy is vital to the Nation's defense posture. Lines 3580 would: of communication are necessary to project power to 0 Develop and recommend to the President and potential points of conflict throughout the world. It the Congress a national maritime strategy pro- is questioned by some experts and Government offi- gram, including a civil-military shipbuilding pro- cials whether the current status of the merchant gram, and necessary legislation to effectuate such marine could support the logistics of a major mili- program. tary action .22 The merchant marine also supports 0 Coordinate all Federal civil and military mari- .defense activities in peacetime and may play an ex- time research programs. panded role in such areas as towing and salvage. 0 Coordinate all other Federal maritime- activities In June 1976, the Transportation Institute, an and make appropriate recommendations to in- organization representing U.S.-flag carriers, released sure adherence to the provisions of existing laws a study in which it defined the need for beter coordi- relating to domestic and foreign trade. nation of maritime and defense affairs." The study 0 Represent maritime interests in national trans- recommended creating the post of "Maritime Affairs portation planning. Coordinator," which would be responsible for (1) establishing and developing specific legislation for a If the Office of Maritime Affairs Coordinator were national maritime strategy; (2) coordinating U.S. modeled after the prototype recommended by the maritime research programs; (3) designing and co- Transportation Institute, the maritime affairs coor- ordinating an overall naval-merchant shipbuilding dinator would work directly with the following agen- program, and (4) ensuring adherence to the provi- cies to insure coordination of national naval-maritime sions of the various existing laws relating to domes- interests: (1) Navy, (2) Coast Guard, (3) Maritime tic and foreign trade, and increasing the merchant Administration, and (4) National Oceanic and At- marine's support of national defense objectives. mospheric Administration. The coordinator also Senator Robert Taft, Jr.-who was the author of would conduct continuous liaison with other Govern- a white paper on defense in which he identified the ment agencies, as appropriate (e.g., Department of Navy's need for cargo ships, oilers, and ammunition State, Department of Defense, and the Office of ships in the context of the U.S. Merchant Ma- Management and Budget), and the relevant executive rine `-introduced S. 3580 in the 94th Congress, a committees. Under the proposal, however, the Office proposal to establish an Office of Maritime Affairs of the Maritime Affairs Coordinator would be an Coordinator in the Executive Office of the President. advisory/consultative organization and would neither Patterned after the recommendations of the Trans- preempt nor directly affect the line responsibilities of portation Institute, the office would be directed by a MARAD for administering the maritime programs maritime affairs coordinator, who would serve as a authorized under the maritime acts. White House Councils: Concept in Perspective The need for a White House Council to formulate the White House will assure commitment and direc- and coordinate ocean policy at the highest level of tion in Federal ocean policy. the executive branch is considered to be axiomatic Whether a White House Council would meet the by most in the ocean community. The persistence expectations of the ocean community, however, of the concept is attributable to the logical rationale depends upon a subset of external considerations. of the proposal, the perceived success of the former First, there is little chance that such a council which Marine Science Council, and faith that presence in is ordained by the Congress would be influential unless the President fully concurred in its creation U.S. Congress, House, Committee on Merchant Marine and or unless it was formed at his initiative. White House Fisheries. National Ocean Policy, Hearings before Subcommittee on Oceanography. 94th Cong., 2d sess., Ser. 9"3, 1976, p. 35, councils are of limited value if they deal with sub- Testimony of William Middendorf 111, Secretary of the Navy. ject areas that are not perceived as crucial by 13 Transportation Institute. An Analysis of the Direct Impact of the Merchant Marine on National Security. Washington: Presidents. Second, Stephen Hess points out that Transportation Institute, 1976. the use of the Vice President for chairing advisory " Robert H. Taft, Jr., assisted by William S. Lind. White Paper on Defense: A Modern Military Strategy for the United councils runs the risk that the President may ulti- States (processed). Washington: 1976. mately have to reject the advice of his Vice Presi- IX-1 1 dent publicly, thereby risking the appearance of dis- Trends in the Carter Administration are contrary cord within the Administration .21 Third, the relative to the concept of centralizing power in the Executive success of the Marine Science Council, which has Office of the President. Noting that the tendency in been used as a model for proposed new organiza- the past has been to put programs that cut across tions, must be reexamined carefully to determine its many departmental lines in the Executive Office on functional effectiveness. Edward Wenk's Politics of the theory that "the closeness of the President is the Ocean remains the only analysis of the perform- supposed to add stature to their influence and . . . ance of the Council. Notwithstanding this scholarly permit them to deal with several departments simul- analysis, the Council and its counterpart, the Stratton taneously," President Carter has moved to reduce Commission, were riding the crest of a wave during policy council and special coordinative units in an a period of faith in science; thus, the cause and effect effort to "strengthen Cabinet government." 27 Presi- of what transpired in Government during that period dent Carter has, therefore, opted for a collegial is difficult to assess objectively. The frailty of the Cabinet approach to guiding and managing national Council as an institution, however, is well docu- policy. In moving to abolish all Cabinet-level policy mented by Dr. Wenk, who shows that it was wholly councils save the National Security Council (NSC), dependent upon the initiative of the Vice President proposals for a White House policy council to over- and the receptivity of the President to ocean pro- see ocean affairs or maritime policy are not in keep- grams .211 ing with present reorganizational trends. Advisory Commiftees Federal advisory committees have proliferated created by the Congress in 1971 to provide advice during recent years. In the quest for public par- to the President and the Congress on national marine ticipation in the governmental decision process, and atmospheric affairs .21' The original NACOA Act, departments and agencies have created many gen- which was adopted in response to recommendations eral and specialized advisory groups to counsel by the Commission on Marine Science, Engineering, administrators on the execution of government pro- and Resources (Stratton Commission), in 1969 '31 was grams. At the end of calendar year 1976, there repealed by the 95th Congress and reconstituted with were 1,159 committees in existence, involving 27,000 18 members instead of the original 25.11 persons and costing $59.7 million.211 Of these ad- Members of the Committee are appointed by the visory committees, councils, and commissions, 75 President, and under the new authorizing legislation dealt with ocean-related matters (table 9-1). Advisory must be qualified by knowledge and expertise in committees are widely used within the executive marine or atmospheric affairs. NACOA, therefore, is branch at all levels of administration. To some extent more accurately characterized as a "blue-ribbon" they have become a symbol of participatory democ- committee than as a- citizen advisory committee as racy, and have been skillfully used by some public used in common parlance. administrators to dull the edge of criticism of "closed NACOA serves as a comprehensive oversight decision-making." There are, unfortunately, no ob- committee for all Federal ocean and atmospheric jective measures of the effectiveness of advisory programs. While the enabling legislation explicitly committees since the policy agenda is formed from requires NACOA to serve as an advisory body to diverse participants over an indefinite time span. the National Oceanic and Atmospheric Administra- Some advisory committees, however, serve a higher tion within the Department of Commerce, its broader order of purpose and play a significant role in pro- legislative mandate makes it advisory to both the viding insights and policy options for highly complex legislative and executive branches. The Committee and technical areas of policy to the President and the is housed within the Department of Commerce, al- Congress. though it operates entirely independently with its own staff and budget authorization. Under the Act, National Advisory Committee on NACOA's responsibilities are to: Oceans and Atmosphere One such committee is the National Advisory Undertake a continuing review of national ocean Committee on Oceans and Atmosphere (NACOA), policy, coastal zone management, and-the status ImSteven Hess. Organizing the Presidency. Washington: Brook- '933 U.S.C. 857-6 to 857-12; amended in the 94th Congress, ings Institute, 1976, p. 186. Public Law 94-69, 89 Stat. 384. "Edward Wenk, Jr., op. cit. note 12, p. 163. 'Report of the Commission on Marine Science, Engineering, U.S., President, "Remarks to Reports on Transmitting a and Resources to the President of the United States and the Reorganization Plan to the Congress." 18 July, 1977. Presidential U.S. Congress, by Julius A. Stratton, Chairman. Our Nation and Documents 13: 1007. The Sea-A Plan for National Action. Washington, D.C., 11 U.S. General Services Administration. Federal Advisory Government Printing Office, 1969. p. 245. Committees-Fifth Annual Report to the President. March 17, 1 National Advisory Committee on Oceans and Atmosphere 1977, pp. 1-2. Act of 1977, Public Law 95-63, 91 Stat. 265. IX-1 2 Table 9-I.-Federal advisory conunittees, cOmnlissions, and councils related to ocean affairs Presidential Committees, Commissions, and Councils Council on Environmental Quality Marine Mammal Commission National Advisory Committee on Oceans and Atmosphere National Transportation Policy Study Commission United States Water Resources Council Department of Commerce Advisory Board to United States Merchant Marine Academy Caribbean Fishery Management Council Advisory Panel for the Caribbean Fishery Management Council Scientific and Statistical Committee Coastal Zone Management Advisory Committee Gulf of Mexico Fishery Management Council Billfishes/ Pelagic Sharks Advisory Council Groundfish Advisory Council Migratory Coastal Pelagic Fishery Advisory Panel Reef Fish Advisory Panel Scientific and Statistical Committee Shallow Water Shrimp Fishery Advisory Panel Marine fishery Advisory Committee Mid-Atlanti6 Fishery Management Council Scientific and Statistical Committee New England Fishery Management Council Scientific and Statistical Committee New York Bight MESA Advisory Committee (Marine Ecosystems Analysis) North Pacific Fishery Management Council Advisory Panel for the North Pacific Fishery Management Council Scientific and Statistical Committee Pacific Fishery Management Council Anchovy Advisory Panel Groundfish Advisory Panel Jack Mackerel Advisory Panel Sablefish Advisory Panel Salmon Advisory Panel Scientific and Statistical Committee Sea Grant Review Panel South Atlantic Fishery Management Council Scientific and Statistical Committee Western Pacific Fishery Management Council Scientific and Statistical Committee Department of Defense Naval ResearchAdvisory Committee Shoreline Erosion Advisory Panel Underwater Sound Advisory Committee U.S. Army Coastal Engineering Research Board Department of the Interior Canaveral National Seashore Advisory Commission Cape Cod National Seashore Advisory Commission Gateway National Recreation Area Advisory Commission Golden Gate National Recreation Advisory Commission Gulf Islands National Seashore Advisory Commission Indiana Dunes National Lakeshore Advisory Commission Outer Continental Shelf Advisory Board Outer Continental Shelf Environmental Studies Committee Pictured Rocks National Lakeshore Advisory Commission Sleeping Bear Dunes National Lakeshore Advisory Commission Department of State Advisory Committee on the Law of the Sea Advisory Committee to the United States National Section of the International Commission for the Conservation of Atlantic Tunas Advisory Committee on the United States Section of the Inter American Tropical Tuna Commission Advisory Committee to the United States Section, International North Pacific Fisheries Commission Ocean Affairs Advisory Committee Shipping Coordinating Committee IX-13 Table 9-I.-Federal advisory committees, commissions, and councils related to ocean affairs (continued) Department of Transportation Coast Guard Research Advisory Committee National Boating Advisory Council New York Harbor Vessel Traffic System Advisory Committee Rules of the Road Advisory Committee Saint Lawrence Seaway Development Corporation Advisory Board Ship Structure Committee Towing Industry Advisory Committee Environmental Protection Agency Science Advisory Board Federal Communications Commission Radio Technical Commission for Marine Services RTMC Special Committee No. 69/WARC (World Administrative Radio Conference) Advisory Committee for Maritime Mobile Service National Aeronautics and Space Administration Ocean Dynamics Advisory Subcommittee National Science Foundation Advisory Committee for Division of Atmospheric Sciences Advisory Committee for Division of Earth Sciences Advisory Committee for Division of Environmental Biology Advisory Committee for Division of Ocean Sciences Advisory Committee for Division of Polar Programs Marine Mammal Commission Committee of Scientific Advisors on Marine Mammals of the marine and atmospheric science and serv- mittee members frequently act as program mis- ice programs; sionaries and serve as a kernel of grass-roots sup- * Advise the Secretary of Commerce with respect port for mobilizing efforts to influence Congress and to the carrying out of the programs administered promote a program within the executive branch. by the National Oceanic and Atmospheric Ad- Because specialized advisory committees have the ministration; potential for representing special interests at the * Submit an annual report to the President and expense of the general interest of the, public, the the Congress setting forth an assessment of the impact of advisory committee recommendations is status of the Nation's marine and atmospheric substantially undermined. activities; and * Submit such other reports as may be requested National Academies of Sciences and Engineering by the President or the Congress. The quasi-governmental committees operating under the National Academies of Sciences (NAS) NACOA has submitted six annual reports. Em- and Engineering (NAE) through the National Re- phasis changes from year to year, however, NACOA search Council (NRC), although not official govern- has reviewed and made recommendations concerning mental advisory bodies, stand in a special relation- fisheries, coastal zone management, Law of the Sea, ship to the Government because of the stature of marine transportation, marine science and engineer- their membership. Membership in the academics is ing, and reorganization of Federal ocean programs. by peer election from among distinguished members Special reports have been issued on the Sea Grant of the science and engineering disciplines. The Na- Program, ocean engineering and other subjects re- tional Research Council (NRC) was organized as a quested by the Congress and the Executive. NACOA subsidiary to the academies in order to broaden the has concentrated on evaluating Federal programs representation among scientists and technologists in within the executive branch, although it has also the furtherance of science and technology for the dealt with legislative questions. benefit of the public. Participation in NRC studies Seidman has observed that "what the Government and panels does not require membership in the NAS basically wants from advisory committees is not or NAE as a prerequisite. NRC has become- the expert advice. . . . but support." 32 Advisory com- operational arm for the NAS/NAE, while the latter "Harold Seidman, op. cit. note 9, p. 239. function more as honorary organizations and provide IX-14 management services for their assigned functions. "Oceanography 1960-1970 ... .. Oceanography 1966: Although chartered by the Federal Government, no Achievements and Opportunities," and "Toward Federal funds are appropriated directly for the oper- Fulfillment of a National Commitment" were.land- ation of the academies. The principal funding source marks in evaluating the status of marine science and is through negotiated contracts with Federal agencies. t.echnology. Much of the work of 'the NAS/NAE Within the National Research Council there are panels, however, is targeted at specific problems or four permanent entities which deal with ocean- narrow mission areas in response to studies commis- related science and technology: the (1) Marine sioned by executive agencies or, occasionally, con- Board, (2) the Maritime Transportation Research gressional committees. The close alliance between Board, (3) the Ocean Policy Committee, and (4) the Ocean Sciencd Board. These organizations and their NAS/NAE activities and the Federal agencies which predecessors have significantly influenced the devel- are their primary customers has caused congressional opment of ocean policy since the late 1950s and caution with regard to accepting the conclusions of earlier. Three 1972 studies by the academies, Academy studies. Organization of Federal Ocean Prograrn@ Organization of the Executive Branch to execute an accelerating trend toward creating more independ- the policies developed in the legislative process has ent agencies with specific missions, such as @the provided fertile grounds for debate among students Environmental Protection Agency (EPA), National of public administration and political science. Aeronautics and Space Administration (NASA), and The 5 original departments which were created the two energy-oriented agencies, Federal Energy, under the Constitution have since grown to 12 Administration (FEA) and the Energy Research and Cabinet-level departments; 58 agencies, commissions, Development Administration (ERDA) which have independent regulatory agencies, administrations, recently been incorporated into the new Department authorities, corporations, boards or services; and 3 of Energy. quasi-Federal agencies. The expansion has come as Although some programs in separate agencies or a result of temporal need: The Department of the departments complement and support one another, Interior was established in 1849 to deal with the these organizational trends tend to diffuse responsi- disposition of Federal lands in the West; the Depart- bility, introduce redundancy and overlap, and im- ment 'of Agriculture was established in the 19th pair lines of communication. Such problems are not century at a time when the overwhelming majority unique to government organizations. They are more of the population was involved in agriculture; the a function of the size of organizations and may be Department of Commerce and Labor was estab- expected in any large enterprise. Similar deficiencies lished in the early 20th century as a result of rapid exist in many large corporations. industrial growth, but by 1913 the Department of Fragmentation of responsibility is blamed for a Ldbor was made a separate entity in response to number of governmental dysfunctions. The Office of the labor movement. More recently, the Department- Management and Budget (OMB), reporting on the of Housing and Urban Development w *as established findings of the Ash Council, identified some of the in response to national trends toward urbanization problems: @33 and away from rural areas. Increased use of the family automobile and the consequential decline in * It is difficult to solve complex problems when the use of conventional mass transit modes Jed to responsibilities for related programs are located establishment of the Department of Transportation. in different departments or agencies. The Department of Energy was created in 1977 in * Problems are defined to fit the jurisdiction of an response to a major national problem having serious agency rather than the solutions being sought. implications for the socioeconomic values of the 0 Results are sometimes gauged on the degree of Nation. . activity within each program, rather than on the The large number of non-Cabinet agencies is a overall impact of all related activities. relatively recent phenomenon that reflects the in- a A department's role can be skewed and com- creased complexity and technical nature of current promised by the way its mission is described. problems. Beginning in the 1920s and 1930s with the creation of the initial independent regulatory agencies-the Federal Trade Commission @(FTC), "U.S. Office of Management and Budget. Papers Relating to he President's Departmental Reorganization Program: A Refer- Securities and Exchange Commission(SEC), and the, tnee Compilation. Washington, D.C., Government Printing Of- Federal Power Commission (FPQ-there has been fice, 1971, p. 7. IX-15 * Narrow missions lead to advocacy for narrow 0 Originality and boldness are sometimes sacrificed points of view. in the quest for intra-governmental harmony. * Divided responsibility can overlook some prob- o Decisions are appealed to the White House, lems; everybody's business becomes nobody's thereby centralizing decision-making, but caus- business. ing delays and consuming the time of the White * Interdepartmental competition over jurisdictional House staff. matters reduces e 'ffectiveness. 0 A layer of interagency bureaucracy has evolved * Duplication can result. to fill the need for interagency coordination. * Policies can be at cross-purposes. 0 Fragmentation of responsibility at the Federal * Negotiations to minimize interagency conflicts level also affects the efficiency of.State and local are time-consuming. governments. Present Organization: A Point of Departure To some extent, the syndrome described by OMB and, development to the United States, the President with regard to fragmented responsibility is manifest observed that: 34 in the administration of Federal ocean programs "Scattered through various Federal depart- which are now dispersed among 9 departments, 8 ments and agencies, we already have the independent agencies, and 38 agencies or subagen- scientific, technological, and administra- cies within Cabinet-level departments. Responsibility tive resources to make an effective, unified is shared by two or more agencies in most major approach possible. What we need is to ocean activities and roles assigned to the executive bring them together. Establishment of branch (table 9-2). Research is widely dispersed NOAA would do so." among the ocean agencies by virtue of the diverse nature and indefinite boundaries of research activities The consolidation of ocean programs into NOAA that are needed to support development and manage- under Reorganization Plan No. 4, however, fell far ment, while the development and management roles short of the proposal for an independent ocean for ocean activities tend to be more consistently agency made by the Stratton Commission in its final assigned to a single lead agency. report, Our Nation and The Sea, released in 1969. Regulatory activities are a patchwork quilt. Al- The plan was a compromise between Congressional though regulatory decisions are often closely related supporters of a strong NOAA and a reluctant Ad- and frequently affect decisions on the marine and ministration. The components transferred to NOAA coastal environment or on other resources, the included: ocean-related regulatory scheme is shared by a num- ber of agencies that make unique decisions on a * The Environmental Science Services Administra- case-by-case basis. The need for regulatory reform tion, already within the Department of Com- in ocean-related development is as obvious as it is merce; for land-based development. The monitoring and 0 The Bureau of Commercial Fisheries from the other services provided by numerous ocean agencies Department of the Interior; generally are conductd in conjunction with responsi- 0 Elements of the Bureau of Sport Fisheries and bilities for regulation or management. Wildlife (the migratory marine sport fish pro- The National Oceanic and Atmospheric Adminis- gram) from the Department of the Interior; tration (NOAA), within the Department of Com- 0 The Marine Minerals Technology Center of the merce, was intended by its proponents to provide a Bureau of Mines from the Department of the central focus for development of civil ocean-related Interior; affairs within the Federal Government, yet its budget 0 The Office of Sea Grant Programs from the is less than 10 percent of the total civilian "ocean National Science Foundation; budget." 0 Elements of the U.S. Lake Survey from the NOAA was created pursuant to Reorganization Department of the Army; Plan No. 4 of 1970 and Executive Order 11564. Its 0 The National Oceanographic Data Center from functions and role, as described in President Nixon's the Department of the Navy; and message accompanying the reorganization plan, strongly suggested a lead role for NOAA in the U.S. Congress, House, Committee on Government Opera- administration of the Nation's civilian ocean affairs. tions. Reorganization Plan No. 4. Hearings before a subcom- mittee of the House Committee on Government Operations. 91st After defining the importance of ocean exploration Cong., 2d sess. 1970, p. 6. IX-16 Table 9-2.-Division of responsibilities for.ocean activities among Federal agencies DEVELOPMENT FISHERIES SCIENCE AND EDUCATION AND TECHNOLOGY TRAINING Commerce NOAA: hatcheries, economic Defense Commerce utilization, fisheries Navy: technology transfer, NOAA: Sea Grant programs technology, aids to ship design, subsystems MARAD: U.S. Maritime Academy, industry, allocation engineering, advanced State maritime academies of resources ships and craft Defense Interior NSF Navy: training and education Fish and Wildlife Service: Technology transfer programs, Navy Postgraduate hatcheries, habitat School, U.S. Naval enhancement, technical assistance TRANSPORTATION Academy., NROTC Bureau of Indian Affairs; EPA Indian fisheries Commerce Treatment plant NOAA: marine weather operators training COASTAL RESOURCES forecasts and reports NBS: time standards for HEW navigation and regional Office of Education Commerce weather Economic Development MARAD: construction and Administration operating subsidies, port Transportation Regional Development development, advanced ship Coast Guard: U.S. Commissions systems, advanced ship Coast Guard Academy MARAD: port development machinery, shipping NOAA: coastal energy, operations information. impact grants NASA Interior Navigational satellites Bureau of Outdoor Recreation: land and water conservation Transportation programs Coast Guard: maintenance of navigation aids OIL, GAS, AND MINERALS Commerce Industry and Trade Administration: metals, minerals, and commodity Abbreviations: opportunities BLM, Bureau of Land Management, Interior Energy CEQ, Council on Environmental Quality Rate of leasing OCS lands EPA, Environmental Protection Agency FDA, Food and Drug Administration, HEW Interior FMC, Federal Maritime Commission USGS: offshore geological. FPC, Federal Power Commission , surveys HEW, US Department of Health, Education, and Welfare Bureau of Mines: potential ICC, Interstate Commerce Commission of seabed minerals HUD, US Department of Housing and Urban Development MARAD, Maritime Administration, Commerce NASA, National Aeronautics and Space Administration ENVIRONMENT NOAA, National Oceanic and Atmospheric Administration, Commerce NSF, National Science Foundation EPA NIH, National Institutes of Health, HEW Treatment plant construction OSHA, Occupational Safety and Health Administration, Labor grants USGS, U.S. Geological Survey, Interior IX-17 Table 9-2.-Division of responsibilities for ocean activities among Federal agencies (continued) MANAGEMENT FISHERIES SCIENCE AND TECHNOLOGY Commerce NOAA: fishery conservation Commerce and management, NOAA: Sea Grant Colleges marine mammals Interior Defense-NSF University National Fish and Wildlife Service: Oceanographic Laboratory management in Federal System waters NSF State Support of laboratory Governing international facilities fisheries agreements, Law of the Sea Conference TRANSPORTATION COASTAL RESOURCES Commerce MARAD: National Maritime Commerce Research Centers NOAA: Coastal Zone Management Program, estuarine sanctuaries, EDUCATION AND beach access,: barrier TRAINING islands Defense Management of coastal military lands Interior National Park Service: national seashore Fish and Wildlife Service: wildlife refuges OIL, GAS, AND MINERALS Interior BLM: OCS oil and gas leasing ENVIRONMENT Commerce NOAA: marine sanctuaries EPA Area-wide waste treatment planning, oil spill contingency plans IX-1 8 Table 9-2.-Division of responsibilities for ocean activities among Federal agencies (continued) REGULATION FISHERIES OIL, GAS, AND MINERALS SCIENCE AND TECHNOLOGY Commerce Commerce NOAA: fishery conservation and NOAA: aspects of deepwater Commerce management regulations, ports NOAA: permits for research enforcement and regulation in marine sanctuaries of incidental catching of Defense mar me mammals Corps of Engineers: TRANSPORTATION permits for offshore EPA structures Fish and shellfish Commerce protection Interior MARAD: shipbuilding USGS: OCS operations requirements HEW FDA: Shellfish Sanitation Labor FMC Program OSHA: Safety regulations Regulation of shipping on offshore operations rates Justice Prosecution of Transportation ICC violators Office of Pipeline Safety: Regulation of shipping offshore pipelines rates in intermodal Transportation Office of Deepwater Ports: transportation Coast Guard: Enforcement of licensing of deepwater ports fishery conservation and Coast Guard: aspects of NRC management regulations deepwater ports, safety Licensing nuclear power regulations on offshore systems COASTAL RESOURCES structures Transportation Commerce ENVIRONM[ENT Coast Guard: safety inspection and licensing, vessel NOAA: Coastal Zone traffic control Management Commerce NOAA: sign-off on fishery FPC and wildlife coordination EDUCATION AND Siting energy facilities actions TRAINING NRC Defense Transportation Siting nuclear facilities Corps of Engineers: dredge Coast Guard: licensing HUD and fill permits operating personnel Federal Disaster Assistance EPA Administration: Flood Ocean dumping permits, Disaster Program National Pollution Discharge Elimination System, air Transportation pollutiorl control, review of Coast Guard: Port Safety.and environmental impact Security Program statements Transportation Coast Guard: enforcement of oil spill regulations, ocean dumping enforcement, marine sanitation device enforcement IX-19 Table 9-2.-Division of responsibilities for ocean activities fflnong Federal agencies, (continued) RESEARCH FISHERIES ENVIRONMENT SCIENCE AND Commerce TECHNOLOGY NOAA: biological and ecological CEQ investigations, fisheries Impact assessment on marine Commerce technology, aquaculture environment NOAA: oceanographic research instrumentation and development, Commerce Sea Grant research, ocean EPA NOAA: ocean dumping impacts, circulation, marine ecosystems Pollution impact on fisheries environmental eff ects of analysis, remote sensing and marine mining, oil in the marine prediction, manned HEW ecosystem, -effects of energy undersea science and technology FDA: shellfish sanitation facilities siting MARAD: pollution prevention Defense Smithsonian ship systems Navy: oceanographic science, Oceanography, limnology, and ocean engineering salvage, biological research Energy diving technology, and ship Environmental impacts of technology COASTAL RESOURCES energy production Advanced Research Projects Agency: stable platforms, EPA undersea power systems, CEQ Ocean pollution research, underwater detection, advanced Coastal impact studies oil spill and hazardous submersibles materials research, Great Commerce Lakes water quality Energy NOAA: coastal zone studies, Reactor research and power coastal mapping services Interior systems Office of Water Resources Defense Research: protection of HEW Corps of Engineers: coastal fresh water supplies NIH: basic biological research on studies, beach erosion studies, human and animal physiology navigation in coastal region NSF fundamental research of source, Interior EPA fate, and impact of pollutants Office of Saline Water: Estuaries and coastal zone on marine systems desalination research research Bureau of Reclamation: subsea Smithsonian conveyance of fresh water Interior Chesapeake Bay environmental USGS: topographical mapping of studies NASA coastal areas, coastal resources Satellite applications research appraisal Transportation Coast Guard: pollution prevention NSF NSF and cleanup International Decade of Ocean Coastal-zone and land-use Exploration, ocean sediment studies, regional environmental coring program, Arctic and systems Antarctic research OIL, GAS, AND MINERALS TRANSPORTATION Commerce Commerce NOAA: marine mining processing EDUCATION AND MARAD: shipbuilding technology technology, ship systems, TRAINING nuclear vessels, shipboard Interior automation USGS: OCS resource evacuation, Commerce offshore geological surveys NOAA: Sea Grant Transportation Coast Guard: search and rescue NSF NSF techniques, vessel pollution Seabed resource assessment Science Education Program abatement systems IX-20 Table 9-2.-Division of responsibilities for ocean activities among Federal agencies (continued) MONITORING AND SERVICES FISHERIES ENVIRONMENT TRANSPORTATION Commerce Commerce Commerce NOAA: fishery resource NOAA: Great Lakes data, ocean NOAA: nautical chart service, monitoring assessment and dumpsite survey and marine weather forecasts prediction, industry statistics, monitoring, environmental and reports economic and marketing satellite service, environmental information data and information services Defense Defense Mapping Agency: Interior Interior nautical charts and sailing Fish and Wildlife Service: Fish and Wildlife Service: directions monitoring fish populations monitor construction activities Bureau of Indian Affairs: fishery on navigable waters Transportation statistics and information Coast Guard: operation of related to Indian fishing rights EPA LORAN, radio beacons and Great Lakes water quality, navigation aids, publications, COASTAL RESOURCES assessment of pollutants in oil spill surveillance and estuaries and coastal waters monitoring, search and rescue, Commerce - port safety/security NASA surveillance NOAA: coastal mapping, data Remote sensing of on use of coastal region, oceanographic features EDUCATION AND coastal and ocean satellite imagery TRAINING Smithsonian Defense Oceanographic and marine Corps of Engineers: beach sorting centers Commerce erosion, information, coastal NOAA: Sea Grant marine use information, water levels SCIENCE AND advisory service in Great Lakes TECHNOLOGY Interior Commerce USGS: coastal region resource NOAA: ocean mapping information and monitoring, investigations, data buoy system, topographic mapping for data sensing, atmospheric and oceanographic information, NASA ocean circulation, structure and Monitoring land resources motion of ocean, environmental satellite service, oceanographic OIL, GAS, AND MINERALS data center Energy Defense Monitoring OCS oil and gas Navy: bathymetric and development geophysical measurements, tactical systems survey, Interior hydrographic surveys BLM: compile statistics on OCS oil and gas operations USGS: compile information on offshore minerals The National Data Buoy Project from the De- "I expect that NOAA would exercise lead7 partment of Transportation. ership in developing a national oceanic and In defining the role to be played by NOAA in atmospheric program of research and de- oceanic affairs, the President's memorandum cir- velopment. It would coordinate its own cumscribed the agency's functions primarily to re7 scientific and technical resources with the search and development 35 technical and operational capabilities of other Government agencies and private I Ibid, p. 8. institutions." IX-21 Additional responsibilities were assigned to NOAA a clear decision on what the Nation's priorities by the Coastal Zone Management Act of 1972 (and should be, and how they should be accomplished expanded under the 1976 amendments), Deepwater in the needed time frame. Ports Act of 1972, ocean dumping responsibility Few argue that the Nation's ocean programs are under the Marine Research and Sanctuaries Act of well coordinated; however, in rebuttal to the pro- 1972, Marine Mammals Protection Act, of 1972, posals for broadscale reorganization of the ocean and the Marine Fishery Conservation and Manage- effort, the opponents see a need only for limited ment Act of 1976. All of the recently assigned ad- consolidation of programs and an interagency coor- ministrative responsibility, with the exception of dinating mechanism to facilitate the formulation of ocean dumping, is regulatory or developmental rather high-level policy and ensure collaboration among the than research in nature. Thus, the character of responsible agencies.311 NOAA's mission, is slowly changing, as are the Organizational effectiveness cannot be gauged demands on its administrative framework. objectively; thus conclusions tend to be based on Those arguing for reorganization of the ocean- casual observations or subjective opinions. The need related functions in the agencies cite lack of coor- for reorganization is frequently placed on the logic dination among the ocean programs as evidence of of inherent faith that things can be done better. .the consequences of dispersed and frag mented re- Whether integration and. consolidation of the ocean sponsibilities under the present organizational scheme. programs into larger unit operations can achieve The relative lack of communication between the better administration is similarly accepted or re- research support activities in NOAA, NSF, EPA, jected as an article of faith. and the Department of the Interior is one example The fundamental question is whether the way we cited in support of this argument. The absence of have divided the responsibility for ocean-related pro- close coordination, they conclude, results in an in- grams among the departments is the best way to capacity to bring about cohesive national policies, conduct the Government's business. The answer reduces administrative efficiency, and promot -es lack depends on the standards used in judging, the nature of accountability. Advocates of this view believe that of the evidence considered, and agreement on the divided responsibility for ocean activities prevents overall policy objectives. Split Jurisdiction: A Special Organizational Problem One group of ocean programs presents unique Department of Transportation, Corps of Engineers organizational problems that stand above the general and EPA. concern for overall program coordination. These are Notwithstanding a self-proclaimed spirit of coop- the programs that split the responsibility for imple- eration among the responsible agencies, many ob- mentation among two or more agencies in different servers have related "hoiror tales" of interagency departments. Several ocean programs are of this squabbling and "bureaucratic paralysis" in certain character. shared programs .37 If the assigned responsibilities Responsibility for the protection of marine mam- are complementary, i.e., the tasks to be performed mals is shared by the Department of Commerce, are uniquely matched to the respective capabilities Department of the Interior, and the Marine Mammal of the agencies, shared responsibility can be imple- Commission. mented effectively. Thus, the administration of the The Endangered Species Act of 1973 assigns the Deepwater Port Act of 1974 has progressed satis- responsibility for enforcement to the Department of factorily under the authority of the Coast Guard the Interior and the Department of Commerce. (and the Department of Transportation) with the Regulation of ocean dumping is jointly adminis- requirement for consultation with NOAA. tered by NOAA, EPA, and the Corps of Engineers. However, where the division of responsibility is Although the management of marine fisheries is based on an artificial separation, such as species or the responsibility of NOAA within the Department habitats bearing little relationship to the problems as of Commerce (through regional fisheries councils), found in nature, implementation is often impeded or responsibility for management of anadromous spe- confused and the chances of omissions and over- cies, which inhabit both fresh- and saltwater during portions of their life cycle, is divided between 'U.S. Congress, House, Committee on Merchant Marine and NOAA, the Fish and Wildlife Service of the Depart- Fisheries. An Overview of National Ocean Policy Problems, Issues, and Administration, Based on Hearings before the ment of the Interior, and the Department of State. Oceanography Subcommittee. - Set. 94-L, 94th Cong., 2d sess., Placement of structures in navigable waters off- 1976-a general discussion of the need for ocean reorganization. "U.S. Congress, Senate, Committee on Commerce. Ocean shore with pipelines ashore can involve the Depart- Dumping Regulation: An Appraisal of Implementation. 95th ment of Energy, Interstate Commerce Commission, Cong., 2d sess., 1976. IX-22 sights are increased. This has resulted in a curious NOAA responsibility for the turtles if they are partitioning of authority under the Marine Mammal swimming and the Fish and Wildlife authority if they Protection Act. For example, NOAA in the Depart- are on land. Anadromous fish similarly come under ment of Commerce is responsible for such mammals two management regimes, administered by NOAA as whales and seals; whereas the Fish and Wildlife and the Fish and Wildlife Service on the basis of Service in the Department of the Interior is responsi- whether the fish are in fresh- or saltwater and ble for sea otters and walruses. whether they are indigenous to Pacific waters, the Further complications arose in the case :of the Great Lakes, or the Atlantic. The jointly adminis- threatened green sea turtle, which, under the En- tered programs clearly need special attention, whether dangered Species Act, required a Memorandum of considered in the context of overall ocean reorgani- Understanding between the Department of Com- zation or as an incremental measure to consolidate merce and the Department of the Interior giving the most troublesome coordination programs. Organizational Options and Principles No magic formulas exist for organizing Govern- to ensure ihat the recipient agency has the necessary ment functions. Theories abound, but the problems programs to make it an effective administrative unit. of organization are not wholly structural. The , or- Organizational problems are often less "struc- ganizational options are limited by a number of tural" than they are "people problems." The human practical considerations and external factors that dimension must be considered in any organizational influence or constrain the final outcome: scheme. It is well proven that good faith, compe- tence, professionalism, and dedication can overcome * Statutes and congressional enactments establish many organizational deficiencies. Proper organiza- the top and bottom line of authority-executive tion can -minimize the administrative barriers that agencies can neither expand nor contract the.re- tend to impede'communication and reduce adminis- quirements of the statutes. trative effectiveness. However, this is a passive * Agencies are collective fiefdoms, generally pre- quality of organizational structure. Leadership and sided over by competitive and aggressive ad- initiative provide the active quality. To the end that minis trators-tidy organizational charts f re- . organization can provide the proper mix of talent quently fail to depict accurately the power struc- and resources at an appropriate level of visibility in ture and decision path. order to attract those with leadership ability, or- * Constituents of a Federal program often make ganization can contribute to the active and respon- more difference in the operation of an agency sive qualities of good government in an indirect way than does the organizational locus within the Agencies with closely related and interacting re' Government. sponsibilities often compete for new authority and * Agency jurisdiction should be matched to con- vie for common aspects of existing programs. Dy- gressional committees' jurisdiction to the extent namic tension among the competing agencies can possible in order to avoid future program frag- serve to improve general performance in Govern- mentation. ment. However, good administration can suffer when Any reorganization of the Federal ocean effort, interagency competition becomes merely self-serving while simple in concept, would be complex in prac- or where duplication and confusicin result. The line tice. Federal agencies do not exist in isolation; they between the extremes is narrow and ill-defined. Com- are highly interdependent. To take programs from petition is inherent in any organization and within one department can significantly affect the donor its subunits. The factor of interagency and interunit agency to the extent that its organizational integrity competition not only should be acknowledged in an and operational efficiency are impaired. A critical organization scheme, but should be skillfully used mass must be maintained in the organizations from by administrators to improve the performance of the which programs are transferred. Also there is a need organization as a whole. Organizational Structure and Status Whether the Federal ocean program should be re- If reorganization is to be undertaken, four ques- organized is a question that must be determined on tions are to be answered. (1) Should the entity be the basis of its relative benefits and costs; A decision independent or part of an existing department? @(2) If that Federal ocean activities are of sufficient impor- independent, should the organization be an agency, tance to warrant a consolidation of the present administration, or a Cabinet-level department? (3) separate agencies is obviously a critical policy judg- Should the organization be based upon functional ment. lines, resource objectives, disciplines, or regional IX-23 services? (4) How should responsibility for develop- nation of an independent agency than over the in- ment, regulation, and research be allocated to the ternal workings of a Cabinet-level department. new entity? Public accountability has always played an impor- Independent Agency or Cabinet-Level Department? tant part in the U.S. governmental system at all levels of administration from the President down. The Stratton Commission strongly recommended Administrators of independent agencies, as well as the creation of an independent agency to manage Cabinet officers, are equally accountable to the press the Nation's ocean affairs. The National Advisory and the public, and are subject to 'congressional Committee on Oceans and Atmosphere (NACOA), oversight. which recommended an ocean agency 5 years later, was less definite in its recommendations, concluding Integration by Function or Resource" that, "the form is less crucial than the need to take Whether Government organizations should be pre- action now."-311 The Ash Council concentrated on dicated on functional lines, e.g., energy, food, trans- building the natural resource functions (including portation, and labor, or whether they should be the oceans) into an expanded Department of the organized on the basis of resources, e.g., land, water, Interior." people, and oceans is a fundamental question. To The debate on the form that a new ocean organi *- some extent this is merely another way to ask the zation should take often turns on how much influ- question: Is the ocean a sensible theme for integrat- ence or "clout" an independent agency could muster ing the functions of Government? as compared to a Cabinet-level department. Often Gulick recognized four basic organizational themes the influence depends less on the rank of the admin- around which governmental activities can be classi- istrator than on his personal influence in the Admin- fied: Purpose (function), Process (discipline), Per- istration. However, it is generally believed that sons/Resources (clientelelmaterials), and Place (re- Cabinet-level officers have greater access to and are gional) .40 The present governmental structure of more influential with the President and other Cabinet ocean-related activities is a mixture of each of these officers than are administrators of independent organizational themes (table 9-3). To some extent, agencies or sub-Cabinet-level administrations. Ac- the classification of Government programs within this cording to some persons, the proliferation of inde- framework is arbitrary and the separations between pendent agencies also has tended to weaken the functions and resources is contrived and artificial. impact that such agencies have on high-level policy, Societal problems and organizational solutions do or has compounded the problem of interagency coor- not segregate as neatly as organizational theorists dination. Generalities frequently break down, how- would presume. In the balance, however, it appears ever, and notable successes, such as the National that present governmental organization favors the Aeronautics and Space Administration, and the En- "functional" or "purpose" approach, although or- vironmental Protection Agency are cited to rebut ganization around "resources" or "clientele" is pre- the presumption of Cabinet-level superiority. dominant in a number of ocean activities. The question of a Cabinet-level or sub-Cabinet- level agency borders on the esoteric because there Organization by Function is no explicit authority in the United States Constitu- Organization by purpose or function brings to- tion or in the statutes for a "Cabinet." It is a creation gether the programs, capabilities and services needed of the Presidency. Anyone whom the President may to achieve the objectives of identified societal goals. select-be it an administrator of an independent Functional organization, therefore, is structured agency or a White House aide-can be a member around classes of governmental activities such as of the Cabinet by designation. What is implied by food, energy, health, housing, environment, science the advocates of Cabinet-level rank for an ocean and technology, defense, and transportation. The administrator is the need for access to the President, functional classification of the ocean and coastal influence in the White House, and the stature and activities is shown in figure 9-3. The Council on Ex- visibility to ensure that ocean programs are given ecutive Reorganization .(The Ash Council) in 1971 priority in the consideration of pending issues and recommended that the Executive Branch be or- in the budget process that they feel ocean matters ganized around the "goals" of natural resources, merit. communities, human resources, and economic affairs. It is a matter of conjecture whether the Office of This represented organization by function at a higher Management and Budget (OMB) and other centers level of generality.41 of power exercise more control over the self-determi- The advantages of functional organization are: (1) IsNational Advisory Committee on Oceans and Atmosphere. "Luther Gulick. "Notes on the Theory of Organization," Third Annual Report to the President and the Congress. Wash- Papers on the Science of Administration, Luther Gulick and L. ington, D.C., Government Printing Office, 1974, p. 15. Urwick (eds.) New York: 1937, p. 15. "U.S. Office of Management and Budget, op. cit. note 33. "U.S. Office of Management and Budget, op. cit. note 33. IX-24 Table 9-3-Classification of Federal agencies by organizational approach to ocean activities Purpose Process Persons/Resources Place (Function) (Discipline) (Clientele/Materials) (Regional) Department of Agriculture Department of Justice Department of Agriculture Department of Commerce Agricultural Research Service Soil Conservation Service Economic Development Department of State Administration Department of Commerce Department of Commerce Regional Development National Bureau of Standards NOAA: Commission NOAA: National Marine Fisheries NOAA National Ocean Survey Service Office of Coastal Zone Manage- Environmental Research Labs. Sea Grant ment National Weather Service Maritime Administration Department of the Interior Department of Defense Department of Energy Office of Territorial Affairs Navy Defense Mapping Agency Federal Maritime Commission Defense Advance Federal Power Commission Research Projects Agency Corps of Engineers Department of the Interior Military Sealift Command Fish and W;Idlife Service Military Traffic Management National 1*:@-_ Service Command Bureau of Indian Affairs U.S. Army Transportation Center Bureau of Land Management Environmental Protection Agency Interstate Commerce Commission Department of Health, Education, Marine Mammal Commission and Welfare Department of Transportation National Institutes of Health Federal Drug Administration Office of Pipeline Safety Office of Deepwater Ports Department of the Interior Bureau of Reclamation Office of Water Resources Research Office of Saline Water Bureau of Outdoor Recreation U.S. Geological Survey National Aeronautics and Space Administration Department of Labor Occupational Safety and Health Administration National Science Foundation Department of Transportation U.S. Coast Guard Smithsonian Institution 9z-xl m 2E r- -n m m r- = p 0 w co G@ w a) CD 0 < = W 0 CA n * a !" (5 a Cc CC3 - Ct) :3 -0 cu m a=) Fr =r W 0 cc CL F, a) cn !@v r-L a c CD CD C') CD co E CL CD = -Z a a - < CD CD !g = Cl) CO) cn = CD r-L , S. co 0 0 ET = EA co CD 3> co en cr CD c-, CO a CO C, CD CO CD 4fa/./@a 49, ft Of 0 oe^l er 0 1/0 /? 1/000" coatal es 017,Stc?/,'Oro/ I. ose aflo cs 0, IS &st, 0 m > 0 0 0 0 le A/ ocea r" CL 0 4 10 0 1* 1 0 0 Ole is c ov.6 at 0 0 Aofe -- 4f SVC? 0 yolk Iolve't m (A Administration is direct and the necessary interdis- source activities through an organizational focus on ciplinary skills and capabilities to achieve govern- a single resource; @(3) Constitutent groups with a mental objectives are under the span of control of stake in a particular resource may be able to unduly a single responsible official; (2) Functions are easily influence an organization which is responsible only identifiable to the public, and the goals of Govern- for a single resource -base; and (4) Parochialism can merit are visible and obvious; and (3) Energies and develop over time if an organization deals solely loyalties of the employees are focused on a given with one resource and is remote from the considera- objective. tion of other natural resources. The disadvantages and problems associated with Singling out the ocean as an integrating theme for functional organization are: (1) It is impossible to a resource-oriented organization tacitly implies that cleanly divide all the programs and work of Govern- there are characteristics and factors which distin- merit into a few major functional categories with guish ocean resources from land and other resources. discrete responsibilities; (2) There is danger that sub- There have been no comparable proposals that there ordinate and related activities will be inadvertently be a "land" agency as such, and clearly such a suppressed or lost sight of because of the singleness suggestion would. be considered nonsense. Elliot of purpose; (3) Unity of control and direction over Richardson ide@tified four unique factors that dif- a functional area can lead to centralization of au- ferentiate ocean-based efforts from land-based ef- thority, monolithic attitudes, and constrained debate, forts : 42 thus reducing the benefits derived from constructive disagreement; and (4) A functional organization that 0 Ocean resources are common property resources is staffed and equipped from top to bottom to, per- and are therefore wholly in the public domain. form the necessary activities without outside assist- Decisions o 'n allocation of ocean resources and ance can easily drift into an attitude of complete resolution of conflicting usage are public policy independence and indifference to external considera- decisions for governmental institutions to deal tions. with in the public interest. Organization by Resource Ocean activities interact and impact one another in a more direct way than comparable land- Organization by resource is predicated on as- based activities. Remote uses may have a per- sembling governmental capabilities into a single unit vasive influence on a corresponding use some that can accomplish the -multiple objectives of a distance away; thus a different kind of inter- single target resource or target groups. Thus, disciplinary and interjurisdictional management Resource/Person organization is based upon orient- effort is needed. ing administration around classes of natural -re- * Technology needed for development of marine sources or identifiable public groups, e.g., veterans, resources is significantly different from that as- labor, farmers, business -(commerce), banks, forests, sociated with similar land-based resource de- fisheries, marine mammals, ocean shippers, and v0opment. truckers. Under a "resource". organizational scheme, 0 The ocean constitutes an area in which U.S. in- some if not all of the functional activities are in- terests butt up against the interests of other cluded under a comprehensive management system countries. Therefore, there is an important inter- that embraces all of the program objectives that use, national ingredient involved in resolving ocean impact, or directly affect the resource base. problems. Advantages of organizing by resource include: (1) Use and protection of a resource is simplified Whether the ocean, as a resource, is a sensible when all functional activities re 'lating to the specific integrating theme for organizing the Federal ocean resource are in one organization; (2) Proficiency is effort must be determined on the basis of these dis- gained through knowledge of the resource base as a tinguishing characteristics weighed against the or- result of in-depth involvement with the resource; and ganizational options of "function" versus "resource" (3) Coordination of resource use and protection and modified by other reorganizational efforts in the activities is easier when functional activities are Federal Government that may affect any possible focused through a resource-oriented organization. reorganization of Federal ocean activities. . Disadvantages of organizing by resource include: (1) The same organization must perform a number Separation of Development and Regulatory Activities of specialized functions; therefore, a resource or- Governmental functions can be classified generi- ganization with multiple missions may not be capable cally as: (1) development (promotion), (2) regula- of matching the proficiencies of an organization tion, (3) research, and (4) monitoring/services. How based on a single function; (2) Achievement ' U.S. Congress, House, Committee on Merchant Marine and of functional goals may be made more difficult by Fisheries. National Ocean Policy, Hearings before Subcommittee emphasizing ono resource's values over other re- on Oceanography. 94th Cong., 2d sess., Set. 94-43, 1976, pp. 8-9. IX-27 these functions are separated or combined in a new organization by building safeguards in the regulatory organizational scheme significantly affects agency system in order to maintain an arms-length relation- behavior. Since the: Atomic Energy Commission ship between promotional activities and regulatory (AEC) was divided ,into the Energy Research and practices. The current acceptance of the coexistence Development Administration (ERDA) and the Nu- of these two functions in the same department is clear Regulatory Commission (NRC) by the 93d based on a distinction between the two types of regu- Congress, most reorganizational proposals have sug- latory activities: (1) that which is to control the gested that responsibilities for promoting or develop- economics, production, and competition within the ing a resource should be separated from the'respon- industry, and (2) that which is to protect other sibilities for regulating the industry involved. This values, e.g., environment, health and safety.43 The premise, however, is neither a categorical imperative former, it is suggested, can safely be integrated with nor an article of faith. promotion, while the latter should remain separate. The recently created Department of Energy (DOE) Therefore, it is the quality of the regulatory activity has blended the resp 'onsibility for development and that determines the compatibility rather than the regulation of energy production -and delivery into the mere regulatory label. Recommendations for Reorganization A number of recommendations for executive reor- suggested changes in the organization of the Depart- ganization have been made by study panels, com- ment of State's Bureau of Oceans and International missions, advisory committees, academicia its, and Environmental and Scientific Affairs, and creation legislators in recent years. Those of the Stratton of a Cabinet-level Marine Aff airs Council in the Commission and NACOA concentrated on Federal White House. Senator Ernest F. Hollings, on the ocean programs. The Ash Council, with a mandate other hand, introduced S. 3889 in the Second Session to look broadly at programs related to natural re- of the 94th Congress in which he proposed the crea- sources, proffered recommendations that would en- compass all natural resource, ocean, atmosphere, and tion of a Department of Environment and Oceans earth sciences. Professor John Norton Moore ad- (DOE). These efforts represent the conventional wis- dressed not only the problems of organizing Federal dom. on reorganizing the Government to execute the ocean programs within the Federal agencies, but also Nation's ocean policy (fig. 9-4). Stratton Commission Recommendations (1969) The Stratton Commission's report. Our Nation 9 Marine and anadromous fisheries functions of the and the Sea '44 concluded that: Bureau of Sports Fisheries and Wildlife within the national ocean program recom- the Departmeht of the Interior. mended by this Commission can be Because many of the,new Federal ocean programs achieved only by creating a strong civil enacted since 1969 were rooted in recommendations agency within the Federal Government by the Stratton Commission-coastal zone manage- with adequate authority and adequate re- ment, ocean dumping, fisheries management-it was sources. No such agency provides an ade- implied by the Commission that such programs quate base on w1iich to build such an when implemented would be centered in the inde- organization." pendent ocean agency. It proposed the creation of an independent ocean The rationale upon which the Commission base-] agency, the National Oceanic and Atmospheric its organizational recommendation can be summar- Agency (NOAA), which would include: ized as follows: * United States Coast Guard. 0 A major and diverse effort is required in the * All of the entities'included in NOAA except the oceans, and the size and scope of such an effort National Oceanographic Instrumentation Center, cannot be fitted into an existing mission agency. National Data Buoy Development, and the Ma- rine Minerals Technology Center. 0 An independent agency would bring a fresh out- look and institutional freedom which are difficult U.S. Congress, House. The Organization of Federal Energy to achieve in an old line agency. Functions. H. Doc. 95-43,: 95th Cong., Ist sess., 1977. 0 It would be visible and draw greater public inter- " Report of the Commission on Marine Science, Engineering, and Resources, op. cit. note'30, p. 229. est and support by developing a constituency. IX-28 DEPARTMENTS -9+ AND AGENCIES 0 4 0& *0 C1, 0 04, DEPARTMENT OF COMMERCE Maritime Administration X National Oceanic and Atmospheric Administration X X X X Environmental Data Service X X X X National Oceanographic Data Center' X X X X X- Marine Minerals Technology Center2 X X X X National Environmental Satellite Service X X X X National Marine Fisheries Service3 X X X I X National Ocean Survey X x X x U.S. Lake Survey4 X Nationgh-Sea'Grant Programs x x X X x- National Weather Service6 X- X X X -X Office of Coastal Zone Management X X X Office of Ocean Engineering X National Data Buoy Pro6e,t7 X X X X National Oceanographic Instrumentation Center X X X X DEPARTMENT OF INTERIOR 8 X Bureau of Land Management Ocean-Related Activities but Not OCS Leasing X OCS-Related Activities Including OCS Leasing X X OCS Environmental Baseline Studies x Bureau of Reclamation JOcean and Atmospheric Prograrnsl X Fish and Wildlife Service 9 X X Anadromous Species and Marine Mammals X X National Park Servide X Ocean Mining Administration X U.S. Geological Survey X X x JMapping, OCS Regulation and Selected Research Functions) X DEPARTMENT OF DEFENSE Corps of Engineers Civil Marine and Coastal Programs X X Dredge and Fill and Ocean Dumping Function X Selected Civil Activities Related to Regulation and Studies X U.S. Lake Survey 10 X DEPARTMENT OF TRANSPORTATION U.S. Coast Guard X X X X ENVIRONMENTAL PROTECTION AGENCY All Functions X Ocean Research and Monitoring X NATIONAL SCIENCE FOUNDATION Ocean Research and IDOE X X X National Sea Grant Program" X I Formerly Navy (DOD) 7 Formerly National Buoy Development Project (DOC) 2 Formerly DOI 8 Transferred to National Marine Fisheries Service (DOC) 3 Formerly Bureau of Commercial Fisheries (DOI) 9 Formerly Bureau of Sports Fisheries and Wildlife IDOI) 4 Formerly Corps of Engineers (DOD) 10 Transferred to National Oceanographic and Atmospheric 5 Formerly NSF Administration (See DOC) 6 Formerly Environmental Science Services Administration 11 Transferred to National Oceanographic and Atmospheric Administration (See DOC) Figure 9-4.-Major reorganization proposals to execute the Nation's ocead policy, 1964-76. An "X" indicates inclusion of the agency in a new organization. IX-29 * The Administrator of the agency would be better instrumental in motivating the Administration to able to organize and devote attention to ocean create NOAA within the Department of Commerce activities than a Secretary of a large department in 1970. Although the Commission saw an independ- which has other missions. ent NOAA as one with regulatory, enforcement, * Direct access to the President for coordination developmental, management, and research authority, of Government-wide ocean actitivities would be NOAA as now constituted is predominantly research f acilitated. and development-oriented, within the exceptions The Stratton Commission's report in 1969 was noted above. President's Advisory Council on Executive Reorganization-The Ash Council (1971) The Ash Council-the President's Advisory Coun- NOAA and the U.S. Geological Survey. The modest cil on Executive Reorganization-was created by proposal, as far as ocean programs were concerned, President Nixon in 1969 as a one-shot advisory fell far short of the Stratton Commission recommen- group within the Executive Office of the President. dations. The rationale for the Ash Council proposal Its report was submitted in May 1970 and released was based on the similarity of functions between in February 1971, followed closely by a reorganiza- NOAA and USGS in scientific data acquisition and tion message to Congress outlining the proposal for mutuality in earthquake, hydrologic and cartographic a Department of Natural Resources.15 Among the activities. Hearings were held in the 92d and 93d five major components identified for consolidation Congress on the Department of Natural Resources was "marine resources and technology." The internal (DNR) and Department of Energy and Natural Re- structure of the department would have included an sources (DENR) approaches, but no further legisla- Oceanic, Atmospheric, and Earth Sciences Adminis- tive action was taken, The proposals did not resur- tration which would have been formed by merging face in the 94th Congress. National Advisory Committee on Oceans and Atmosphere: Third Annual Report (1974) The National Advisory Committee on Oceans and 9 Assisting the commercial fishing industry; Atmosphere (NACOA) concentrated on ocean orga- 0 Stimulating and supporting sport fishing and nizational problems in its Third Annual Report, recreation; issued in 1974. Not unlike the Stratton Commission, 0 Assessment and management of nonliving marine it recommended a broadly based ocean agency, but resources; left the question open as to whether it could best 0 Assisting energy and mineral industries operating function as an independent agency, within an exist- in the marine environment; ing department, or in a new multi-purpose depart- 0 Coordinating marine, atmospheric, and coastal ment, such as the Department of Energy and Natural zone affairs; Resources (DENR) which was under consideration 9 Regulating and enforcing ocean activities; at that time. In effect, the proposal was for an ex- * Advising and counseling other Federal agencies panded NOAA which would be augmented by the and States on ocean affairs; additional functions of: 0 Planning for comprehensive use of the marine resources and environment; and U.S. Geological Survey (USGS); 0 Coordinating weather modification activities. Corps of Engineers' marine and coastal pro- NACOA's recommendations for reorganization grams; were in response to the Ash Commission's recom- Bureau of Land Management (BLM) OCS min- mendations for consolidating all natural resource eral leasing program; functions into a DNR or DENR. Oceans were to be Marine fisheries program of the Bureau of Sport included under the broad rubric of natural resources. Fisheries and Wildlife; and NACOA saw four major deficiencies in the DENR U.S. Coast Guard (USCG). proposal : 4 6 NOAA's responsibilities were to include: "First, they lack a suitable marine affairs policy statement which would draw atten- Assessment and management of fisheries and tion to the uniqueness of the problems of marine mammals; marine resources management ... Second, U.S. Office of Management and Budget, op. cit. note 33, 'National Advisory Committee On Oceans and Atmosphere, pp. 153-223. op. cit. note 38, p. 15. IX-30 the bills are inadequate with regard to the functions will not be the responsibility of functions we feel must be carried out by a marine affairs administrator . . . Fourth, DENR to implement marine affairs pol- the function of marine multiple-use co- icy . . . Third, their deficiency is the failure ordination and regulation was not recog- to specify which functions will and which nized at all." The Moore Proposal (1976) Professor John Norton Moore, Director, Center 0 Ocean and atmosphere activities of the Bureau of for Oceans Law and Policy at the University of Reclamation; and Virginia, recently advanced a three-pronged reor- 0 Some ocean-related activities of the Fish and ganization proposal which would (1) create a Cabi- Wildlife Service, particularly programs for net-level Marine Affairs Council, (2) centralize non- andromous species and marine mammals. military ocean programs under a strengthened and independent NOAA, and (3) strengthen and recog- The proposal is significantly different from its nize the existing State Department Bureau of Oceans predecessors. By including the Maritime Administra- 47 and Environment. tion (MarAd), which is now in the Department of Under the Moore proposal, the following func- Commerce, in an up-graded independent NOAA, tions would be transferred to the new ocean adminis- the Moore proposal recognizes the importance of tration: maritime transportation to our national ocean pos- ture. The proposal also would transfer the ocean * The Coast Guard; pollution functions of EPA to the expanded agency * The Maritime Administration (MARAD); and bring the entire program of ocean pollution * The Outer Continental Shelf pro rams of the control into -a single entity, thereby avoiding the pit- .9 falls of split jurisdiction. Bureau of Land Management and the Geological Reorganization of the Bureau of Oceans, Environ- Survey; ment, and Science within the Department of State is * The Ocean Mining Administration of the De- aimed at giving the oceans more'prominence and partment of the Interior; attention in international affairs. The Bureau was * Marine and coastal zone activities of the Army created at the initiative of Congress, and, in the Corps of Engineers; process of implementation at the department level, * Most ocean research programs of the National was merged with other disparate programs including Science Foundation (including the International science and environment. This, according to some Decade of Ocean Exploration); observers, has diminished the effectiveness of the * Most ocean research and monitoring programs Bureau in dealing with international ocean affairs, of the Environmental Protection Agency; particularly the Law of the Sea negotiations. The Hollings Proposal: Department of Environment and Oceans (1976) The Department of the Environment and Oceans 0 Minimize the unnecessary duplication and over- Act, S. 3889, was introduced September 30, 1976, lap which now exists; too late in the 94th Congress for further action, but 0 Provide the type of organizational setting where its introduction served as a means for developing coherent national policies for managing and pro- discussion and debate for the 95th Congress. It is the tecting the environment, the oceans, and their first congressional attempt to create an independent resources can and will be carried out, and where ocean agency since the flurry of proposals that a new sense of direction can develop in the emanated immediately after the release of the Strat- executive branch; ton Commission report in the 91st Congress .411 0 Increase the accountability by fixing responsi- In the statement ot introduction for S. 3889, the bility squarely, and remedying the present situa- bill's sponsor, Senator Ernest F. Hollings, chairman tion where no one is in charge and thus no one of the Senate National Ocean Policy Study, cited five is held accountable; major goals of the proposal : 411 0 Unify the now myriad permit processes which confuse the Federal Government and burden in- 47 John Norton Moore, op. cit. note 21. dustry and State and local governments with enor- I See, generally, H.R. 3848, 4838, 15147, 15233, et al., S. mouse amounts of unnecessary redtape; and 2054 and 2204, 91st Cong., Ist sess. (1969); approximately 15 0 Bring ocean and environmental affairs into the reorgarri'z@tion bills for creating an independent ocean agency were introduced in the 91st Congress. Cabinet, where they can get the high-level atten- "U.S. Congress, Senate. Senator Ernest F. Hollings in state- tion they deserve in this era of increasing de- ment of introduction for S. 3889. 94th Cong., 2d sess., I October 076, Congressional Record 122: S 17854. mands on these resources. IX-31 Senator Holling's proposal would establish a De- mental baseline studies with respect to the ..partment of Environment and:Oceans (DEO) which Outer Continental Shelf; ,would combine the, activities: of the Environmental (2) Bureau of Reclamation (Department of the Protection Agency (EPA), an independent regulatory Interior) functions relating to modification of agency in function, with the National Oceanic and the -weather; Atmospheric Administration (NOAA), an administra- (3) Bureau- of Outdoor Recreation (Department tion within the Department of,Commerce, the U.S. of the Interior); Coast Guard, a component -.of the Department of (4) U.S. Coast Guard (Department of Transpor- Transportation, and , certain programs @ under the tation); jurisdiction of the Corps of Engineers..,The rationale (5) Corps of Engineers (Department of the Army) for coalescing environment and ocean affairs into a - research and regulatory functions relating to single Cabinet-level department is grounded on three marine and coastal affairs, including activities organizing principles according to its sponsor: @(1) for regulation of ocean dumping, protection of Responsibility- for managing-the Nation's common wetlands, permitting of offshore structures, property resources-those that belong to no single and research on and control of erosion and person or group of persons;,(2) separation- of respon- -other -coastal processes; sibility for Government functions, to: avoid conflicts (6) Environmental Protection Agency; caused by pursuing'differing'goals -for regulation, (7) Fish and Wildlife Service (Department of the enforcement, research,, and economic development, Interior); and (3) dynamic -organization that would. develop (8), Geological Survey (Department of the Interior) the internal struct&e of DEO after its creation.511 functions relating to topographic surveys and Organizationally, DEO @ would cornprise six futic- mapping; regulation of exploration, develop- tional administrations:@ and the U.S. Coast - Guard, ment and production activities on the Outer each directed by an Assistant Secretary: Clean Air Continental Shelf; research in support of regu- Administration, Wa-ter.:Ouality Administration, Na- lation; land information and analysis; and re- tional Oceans Administration, Recreation and Parks search on earthquake hazard reduction; Administration ) EnvironmentalHazard§ Control Ad- (9) National Oceanic and Atmospheric Adminis- ministration, and the National Atmospheric Service tration (Department of Commerce; and Administration. Rat-her than transfer functions identi- (10) The National Park Service (Department of the fied with an organizational entity, as has been the Interior). practice with executive reor dnization plans, S. H89 9 transfers the programs by reference to the authoriz- The DEO concept goes beyond any recommen- ing legislation and makes conformii.jg,.@Tend ,ments... -dations made previously by advisory groups in the to the environmental and ocean-related statute-s*to-'r:e*- community of ocean professionals. However, by flect the transfer of authority and revest the' powers coupling environment and oceans in a Cabinet-level of the Secretary of the Environment- @and Oceans. Components'of DEO would include ihe'follo@ving ..department, the vulnerability of a relatively small organizational entities and/of pr .ograms::" independent ocean agency with limited clout would be traded for department-level status that would put (1 ) Bureau -of Land Management. (De partment of ocean and environment on a par with energy and the Interior) functions relating to environ- other resource considerations. Multipurpose Reorganizational Proposals (94th Congress): Department of Natural Resources-Energy-Environment Reorganization bills that would consolidate nat- ocean functions into the general Interior-oriented ural resources,, energy, and environmental groups programs. This tendency is significant because of its have been introduced in every Congress since 1971. implication that ocean resources and programs have The early bills of the 9..2d and 93d Congress, which unique qualities that may require them to be ap- proposed the. creation of a Department of Natural proached in a specific rather than functional manner. Resources or a Department of Energy and. Natural The Department of Energy and Natural Resources Resources would. have transferred NOAA and other Act (S. 3339), while not transferring any ocean- ocean-related programs to.what, in effect, would be related programs to the DENR, instructs it to "ex- an expanded Department of the Interior. Recent bills plore.and survey the earth, the atmosphere, and the with their genesis in the old DNR/DENR concepts, oceans."51 such as S. 3339, and a propos al announced by . Presumably, such functions would be those nor- Senator Charles Percy, .,but not formally introduced mally embodied in the activities of the U.S. Geolog- in the 94th Congress, move. away from melding U.S. Congress, Senate. Department of Energy and Ibid. p. S 178.55. Resources Act. 94th Cong., 2d sess., 1976, S. 3339, Sec.'@(4). IX-32 ical Survey and the Bureau of Land Management, "Oceanic, Atmospheric, and Earth Sciences Admin- which -have responsibilities for the administration istration," such an administration is not created by of the Outer Continental Shelf Lands. This bill, Section 203, which sets out the internal organization having been introduced by Senator Abraham Ribi- of DNR. Because of this inconsistency one is not coff, Chairman of the Senate Committee on Govern- able to comprehend fully how ocean programs would ment Operations, is considered to be the stalking be administered within the proposed organization. horse for the generic class of energy-natural resource It is reasonable to assume, however, that ocean reorganization legislation that preceded the crea- functions would be under the cognizance of the tion of the Department of Energy in 1977. Earth Sciences Administration created in Section Senator Charles H. Percy announced his inten- 203. tion to introduce a bill in the 95th Congress to create A comprehensive reorganization proposal was a Department of Energy Supply and Natural made in S. 27, a bill which would create a Depart- Resources (DESNR) .52 Like the Ribicoff DENR ment of Natural Resources and Environment. The proposal, the Percy DESNR concept would affect bill proposed a Cabinet-level department which the ocean programs lying outside the Department of would encompass the functions of the Department of the Interior very little. the Interior (except the Bureau of Indian Affairs and Two bills introduced in the 94th Congress pro- the Office of Territories), NOAA, civil functions of posed to merge ocean activities into a broad-based the Corps of Engineers, Board of Engineers for natural resources agency similar to the original DNR Rivers and Harbors, and related coastal engineer- concepts of the 92d Congress. The Resource Policy ing activities as well as the U.S. Forest Service, Soil Reorganization Act of 1975 (S. 2726) proposed both Conservation Service, and resource components of a sweeping reorganization of Federal resource and the Agricultural Research Service and Economic energy programs and legislative reorganization to Research Service of the Department of Agriculture, create a joint committee for oversight and policy. functions of the Pipeline Safety Office of the Depart- Under the scheme of S. 2726, all of the functions of ment of Transportation, Water Resources Council, NOAA, the civil functions of the iCorps of Engineers ERDA, NRC, and FEA. To the extent that DNRE and the Board of Engineers for Rivers and Harbors, would combine the functions of oceans and environ- would be transferred to a newly created Department ment in a single agency, the proposal parallels the of Natural Resources. While Section 213 of the bill proposal for a Department of Environment and refers to transfer of organizational entities into an Oceans (DEO) in S. 3889. Outer Continental Shelf Management Reorganization Far-reaching revisions of the Outer Continental Outer Continental Shelf matters within the Depart- Shelf Lands Act of 1953 have been introduced in ment of the Interior. All functions within the De- each Congress from the 92d through the 95th. Each partment of the Interior dealing with the Outer Con- of these would invoke major changes in the bidding tinental Shelf with the exception of cartographic system on OCS oil and gas leases and would signifi- and surveying functions of the USGS, would be cantly change the administration of offshore resource transferred to the Assistant Secretary. Other func- management. However, the bills would not affect the tions dealing with the placement or use of artificial inherent authority of the Bureau of Land Manage- islands, fixed structures, or pipelines in the naviga- ment (BLM) to administer the leasing program in tional waters or within the coastal zone which are the Outer Continental Shelf lands, nor would the performed by the Department of Energy. Interstate internal organization of the Department of the In- Commerce Commission (ICC), Department of Trans- terior be affected. portation (DOT), and the Corps of Engineers, would Some observers have proposed the creation of a also be transferred to the Assistant Secretary's Office. 44wet leasing" agency which would assume the au- The bill provides for the establishment of an thority for administering OCS lands and establish a Outer Continental Shelf Council consisting of the center of expertise for administering Federal sub- Assistant Secretary, the Administrators of EPA and merged lands. A proposal which would go part way ERDA, the Chief of Engineers, a representative of toward accomplishing this was introduced in H.R. the Secretary. of Commerce and, in the case of de- 15527 of the 94th Congress, the "Outer Continental cisions affecting other agencies, the head of the Shelf Management Reorganization Act." The bill affected agency or governor of an affected State. would establish an Office of Assistant Secretary for The OCS Council could review any decision made by. the Secretary of the Interior which would affect 41 U.S. Congress, Senate. Senator Charles Percy announcing an agency from which a function was previously his intention - to create a Department of Energy Supply and Natural Resources'. 94th Cong., 2d sess., 28 September 1976, transferred. . Any agency or department taking an Congressional Record 122: S 16944. action which would "directly and significantly" IX-33 affect the Outer Continental Shelf or its development 'local governm ents through a Division of State and would be required to report such action to the Secre- Local Liaison. . tary -of -the Interior, who makes 'amendatory recom- To.a limited extent, the infrastructure proposed in mendations to the Council for final determination. the bill (H.R; 15527) is responsive to the need for The Office of the Assistant Secretary for Outer an ocean management capability in the Federal Continental Shelf Matters would also serve as Government.to regulate the growing use of offshore clearing-house and focus for liaison with State and areas and resolve use conflicts. Need for Long-Range Resource Planning Comprehensive resource management requires 94th Congress proposed the creation of an "Agency continued future planning. Functional management for Economic and Natural Resources Planning" within the departments and agencies often fails to within the Executive Branch. The responsibility for provide the integrated long-range planning necessary resource and economic planning would be divided to promote wise resource use. H.R. 233.2 of the between two Assistant Administrators. Setting Priorities: The Budget Process While congressional authorizations, in a sense, mental review process depends on the department's determine the "qualitative" characteristics and con- operating procedures. Nevertheless, policy decisions tent of Federal programs, it is the budget process are made in the process of budget review from pro- and appropriations that determine the "quantitative" posal to final submission of the President's budget to aspects of such programs. Priorities of Government the Congress and the process does not stop there. are set by the budget process. In a real sense, the Congress imposes its set of priorities through the budget process is also a major determinant in estab- budget resolution-authorization-appropriation pro- lishing ocean policy. Budget decisions not only serve cess. to allocate funds among major governmental activi- The politics of the budget in the Executive Branch ties, but decisions must also be made among alterna- are similar to the politics of appropriations in the tive programs within each major budget category. legislative branch. Enactment of the Congressional The outcome of such decisions influences the mag- Budget Control and Impoundment Act of 1974, nitude and direction of the Federal programs, hence which requires the Congress to set a congressional the impact of functional policy. The budget process ceiling on Government spending just as the Presi- also plays a significant role in coordinating and re- dent must do, has made the congressional budget solving key issues that filter through the agencies into process even more similar to the executive budget the Office of Management and Budget via the budget process. 53 process. Balance may thus be maintained among The organization of OMB for budget purposes competing agencies; and duplication and overlap reflects a modified functional breakdown of govern- can be controlled. mental activities. Ocean affairs are fragmented The Office of Management and Budget (OMB), among eight divisions: International Affairs; Energy created pursuant to Reorganization Plan No. 2 of and Food; Economics and Government; Natural Re- 1970, superseded the old Bureau of the Budget. sources; National Security; Human Resources; Sci- OMB's functions embrace a broad set of activities ence, Space and Energy Technology; and Community dealing with budget formulation, policy planning, and Veterans Affairs. On the surface of the OMB policy assessment, and policy coordination. As part budget organization there is even less consolidation of the Executive Office of the President, it is con- in dealing with ocean-related budget items than there sidered to be an extension of the President himself, is in the overall organization of ocean programs in and therefore is protected by executive privilege, the agencies. The OMB budget organization is, in although the Director of OMB must now be con- part, dictated by the organization of the President's firmed by the Senate. budget document and, in part, by the jurisdictions of The budget process is not wholly internal to the appropriations subcommittee in the Congress. OMB. Departmental review of agency budget pro- While the divisional organization of OMB parallels posals during the budget process involves a series of a logical functional breakdown, ocean programs are budgetary decisions on programs and directions as assigned among the budget divisions according to the the proposals pass from agency submission to final organization in which they reside. Thus, while secretarial approval. Offices compete actively to NOAA, MarAd, and the U.S. Coast Guard pro- "sell" their programs in the budget process. Whether grams are reviewed by the Economics and Govern- policy decisions are consciously part of the depart- Public Law 93-344; 88 Stat. 297. IX-34 ment Division, most Department of the Interior and whether it can be done for ocean agency budgets programs, @. including those - of the @ U.S. Geological without disruptive effects on other agency reviews. survey, are reviewed in the Natural Resources Di- The budget process, from program to agency to vision; and programs of the Bureau of Mines. are department and OMB, and through the President, is considered by the Interior Department Branch. To a quasi-adversarial proceeding of endless negotiations. the extent that the responsible budget analysts coor- Budget offices at all levels are cast in the role of .dinate with their counterparts in other budget divi- critics... Appeals of budget decisions to higher au- sions, the fragmentation of the budget for ocean- thorities are- available at all stages in the budget related activities can be partially overcome. process, including the ability of Cabinet Officers to Although it would be a difficult task, it is. entirely - appeal; OM-B. decisions to the President for final possible to reassign budget respons ibi.lities among resolutio n, although this is rarely done. the functional divisions of OMB to improve the com- Whether: budget decisions drive the policy, or prehensiveness of the "ocean budget" review. This whether policy decisions drive the budget is an im.- could be achieved even 'in the absence of general portaInt unknown.: In any event, the budget is an governmental reorganization. The question obvio:'U'sly imperfect decis'lon. mechanism. Zero-based budget- is whether the improved examination would be worth ing, however, has :the potential for bringing policy- the difficulty in bringing about the reorganization, making and the budget into closer correspondence. IX-35 DVI!ORY ORGANIZATIONS AT COU AND MOSPHERE A NATIONAL RESEARCH 'TAL AlVI11Ry NCIL NASINAE TEE 'C N F- HEALTH, AGRICULTURE COMMERCE DEFENSE EDUCATION INTERIOR JUSTICE I I AND WELFARE SOIL NATIONAL OCEANIC ARMY CORPS FOOD GEOLWCAL CONSERVATION AND ATMOSPHERIC OF ENGINEERS AND DRUG SURVEY SERVICE ADMINISTRATION ADMINISTRATION AGRICULTURAL MA% ME NATIONAL FISH AND RESEARCH ADM N!STRATION NAVY INSTITUTES WILDLIFE SERVICE I I I OF HEALTH SERVICE COOPERATIVE ECONOMIC DEFENSE OFFICE OF BUREAU STATE RESEARCH DEVELOPMENT MAPPING EDUCATION OF MINES SERVICE ADMINISTRATION ArFNr.Y REGIONAL DEFENSE FEDERAL BUREAU PLANNING ADVANCED DISASTER OF LAND COMMISSIONS RESEARCH ASSISTANCE MANAGEMENT PROJECTS ADMINISTRATION AGENCY HERITAGE CONSERVATION AND RECREATION SERVICE NATIONAL PA SE OFFICE OF WATER RESEARCH AND TECHNOLOGY BUREAU OF RECLAMATION BUREAU OF INDIAN AFFAIRS OFFI'EOF TERRITORIAL AFFAIRS WATER RESOURCES COUNCIL IX-36 PRESIDENT EXECUTIVE FFICE OF THE PRESIDENT OFFICE OF MANAGEMENT IC POLICY OFFICE OF SCIENCE Y DUN L ON Y V AND BUDGET AND TECHNOLOG POLICY I FENIFCIINMENTAL DUAL COMMITTEE ON ATMOSPHERE AND OCEANS ENVIRONMENTAL NUCLEAR NATIONAL LABOR STATE TRANSPORTA ION PROTECTION NASA EGULATORY SCIENCE AGENCY L COMMISSION I FOUNDATION BUREAU OF OR 0 NS AND COAST '@L FO EA C TT2 @AZL@ INTERNATIONAL GUARD ATMOSPHERIC, ENVIRONMENTAL EARTH AND AND SCIENTIFIC OCEAN SCIENCES AFFAIRS OFFICE OF PIPELINE SAFETY DIRECTORATE BUREAU OF FOR SCIENCE INTERNATIONAL EDUCATION ORGANIZATION OFFICE OF AFFAIRS DEEPWATER PORTS DIRECTORATE AGENCY FOR FOR RESEARCH INTERNATIONAL APPLICATION DEVELOPMENT Figure 9-1. - Departments and agencies administering ocean programs in 1977. 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