State-federal relationships in the development of coastal zone management programs (final draft) a handbook for the coastal zones

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STATE-FEDERAL RELATIONSHIPS IN THE

DEVELOPMENT OF COASTAL ZONE MANAGEMENT PROGRAMS

(Final Draft)

A HANDBOOK FORTHE COASTAL STATES

Prepared By

Harold F. Wise, Project Director,
with David K. Hartley and John J. Bosley

September 23, 1974

A publication of the Office of Coastal Zone Management, National
Oceanic and Atmospheric Administration, U. S. Department of
Commerce.

FROM THE OFFICE OF HAROLD F. WISE A.I.P. Planning Consultant

(Final Draft)

STATE-FEDERAL RELATIONSHIPS

IN THE DEVELOPMENT OF

COASTAL ZONE MANAGEMENT PROGRAMS

Property of CSC Library

A Handbook for the Coastal States

U.S. DEPARTMENT OF COMMERCE NOAA
COASTAL SERVICES CENTER
2234 SOUTH HOBSON AVENUE
CHARLESTON, SC 29405-2413
Prepared By

Harold F. Wise, Project Director,
with David K. Hartley and John J. Bosley

September 23, 1974

A publication of the Office of Coastal Zone Management, National
Oceanic and Atmospheric Administration, U. S. Department of
Commerce.

21 Dupont Circle Washington, D. C. 20036 (202) 872-1422

CONTENTS

1. INTRODUCTION AND PURPOSE . . . . . . . . . . . I- I

A. Purpose of this Handbook on Federal/State Relations
Aid States in Preparing CZM Program for Approval by
Department of Commerce . . . . . . . . . . . . I- I

B. Standing, Modification, and Revision of Handbook . . . . 1-3

11. PROVISIONS IN THE COASTAL ZONE MANAGEMENT
ACT OF 1972 MANDATING FEDERAL-STATE COOPERATION II- I

111. SUBSTANTIVE ELEMENTS IN STATE MANAGEMENT
PROGRAMS OF PARTICULAR CONCERN TO FEDERAL
AGENCIES . . . . . . . . . . . . . . . . . III- I

IV. THE APPROACH OF THE U.S. OFFICE OF COASTAL
ZONE MANAGEMENT TO STATE-FEDERAL RELATIONS . . . . IV- I

A. OCZM Organization for Coordination . . . . . . . . IV- I

B. OCZM-Federal Agency Coordination . . . . . . . . IV- 3

C . Federal Agency-State Coordination . . . . . . . . . IV- 6

D . Assistance to States in Selected Areas of Opportunity . . . . IV- 7

E. The Unique Role of OMB Circular No. A-95 . . . . . . IV- 9

V. A CLASSIFICATION OF FEDERAL ACTIVITIES THAT
ARE RELEVANT TO A STATE CZM PROGRAM . . . . . . . V- I

A. Federal Grants, Loans and Guarantees in the
Coastal Zone . . . . . . . . . . . . . . . V- 3

1 . Grants for Planning and Management ... . . . . . V- 3
2. Grants for State, Local and Private Development . . . V- 6
3. Operational, Servie and Research Grants . . . . . . V- 6

CONTENTS (Continued)

B. Federal Regulatory and Licensing Responsibilities . . . . V- 6

C. Direct Federal Actions in the Coastal Zone . . . . . . V- 7

I . Direct Federal Development . V-10
2. Operational, Research and Service Functions V-10
3. Coordinative . . . . . . . . . . . . . V-1 I

VI. FEDERAL PROGRAMS AND ACTIVITIES THAT ARE RELEVANT
TO A STATE'S COASTAL ZONE MANAGEMENT PROGRAM VI_ 1

A. State Strategies for Dealing with Federal Programs in the
Coastal Zone . . . . . . . . . . . . . . VI_ I

I . Federal Grants, Loans and Guarantees . . . VI- 2
2. Federal Regulatory Programs . . . . . . . . . Vl- 2
3. Direct Federal Activities . . . . . . . o VI- 2

B. The Phases of the State's Program . . . . . . . . VI- 5

1 . Developing the State Program . . . . o VI_ 9
2. Incorporating Federal Agency Interests into the
State Program . . . . . . . . . . . . . VI-1 I
3. Approval of the State Program by the Secretary
of Commerce . * VI-15
4. Implementation of the State @anagement P`rograrn VI-20
5. Assuring Federal Consistency with the Approved
State Program . o . . . . . . . . . . . VI-23

C. Other Key Considerations in Dealing with Federal Progarms VI-25

I . Air and Water Pollution Control Programs . . . . . VI-25
.2. State Plans Under the Flood Insurance and Flood
Disaster Acts . . . . . . . o . . . . . VI-33

VII. FEDERAL ACTIVITIES IN THE WATERS OF THE COASTAL ZONE Vil- 1

A. Federal Marine Science . . . . . . . . . . . VII- 2

B. Development of the Outer Continental Shelf . o o Vil- 6

C. Deepwater Ports . . . . . . . . . . Vil- 9

CONTENTS (Continuted)

V-111. MANAGING STATE AGENCIES THAT ADMINISTER
FEDERALLY-AIDED ACTIVITIES . . . . . . . . . . . Vill- I

IX. TAPPING INTO EXISTING FEDERAL INTERAGENCY
COORDINATION MECHANISMS . . ... . . . . . . IX- I

A. Corps of Engineers and EPA Permits in Navigable Waters Ix- 1

B. Reviews of Water Projects for Effects on Wildlife . . . . IX- 4

C. Environmental Impact Statements . . . . . . . . . IX- 6

D. Water Resources Planning, River Basin Commissions and
Interstate Concerns . . . . . . . . . . . . . IX- 7

E. Regional Action Planning Commissions . . . . . . . IX-14

F. Federal Regional Councils . . . . ... . . . . . IX-1 7

APPENDIX I A List of Federal Programs and Activities to be Considered
in A State's Coastal Zone Management Program A- I

L INTRODUCTION AND PURPOSE

A. Purpose of this Handbook on Federal/State Relations---
T@idStates in Preparing CZM Program for Approval by Department of Commerce

This Informational Handbook has been prepared for the use of coastal states as they

develop and then administer their Coastal Zone Management Programs under the pro-

visions of the Coastal Zone Management Act of 1972 (P.L. 92-583).

A state's coastal zone management program is concerned with:

0 The definition and explication of the range of appropriate,

and therefore, permitted uses of the land and the water

within the zone; and

0 The development and application of management tools to

regulate and control the zone, in terms of permitted uses,

and in terms of:

- actions by private parties; and
- actions by public agencies.

In the development and administration of a state's coastal management program, the

standards and rationale applied by the state in determining:

what shal I constitute permissible land and water uses. . .

... areas of particular concern.. . "; and

... priority of uses in particular areas. . .

I/ See Section 305(6) of the Act.

should be basically the same whether the land is publicly held or privately held and

whether the use-triggering actions are public or private.

It is recogpized, of course, that there ara important exceptions to this general rule.

National defense and certain other constitutionally based Federal activities are given

overriding consideration, for example.

The Handbook is principally concerned with the state management of public actions

in the coastal zone and, most particularly treats with State-Federal relationships as these

relationships and inter-actions effect:

& state management program development;

0 program preview by OCZM during development process;

0 submission for Federal and Department of Commerce approval;

0 State implementation;

and

recyc I ing, certification and annual review of the program.

State-Federal relationships are of many types and wil I occur at various times:

-0 identification of Federal interests and activities and contact
by states

0 early, program development period, consultation

0 information --tec hn ical assistance --cooperation

0 incremental articulation of affected Federal interests

some Federal agency "early consistency" with state policy,
as management program is developing

substantive Federal agency participation in program
development

0 Federal agency management program "previews"

1-2

0 dispute amelioration-settlement

In short, it is intended that this Handbook to be used by coastal states'during their

program,.development phase, as a basis for Federal agencies previews of aspects of the

management program, for Federal agency review and for final Secretarial approval

B. Standing, Modification, and Revision of Handbook

This Handbook is advi sory only; it provides guidelines which represents suggestions

for assurance that proper national and Federal agency interests are reflected in a State

coastal zone management program. As such it is for the guidance and assistance of the

coastal states. As new experience is gained and as the basic Act continues to be

interpreted, it is intended that partial revisions or additions will be issued in order that

the most current information wil I be available to Handbook users.

1-3

11. PROVISIONS IN THE COASTAL ZONE MANAGEMENT ACT OF

1972 MANDATING FEDERAL-STATE COOPERATION

The whole thrdst of the Coastal Zone Management Act of 1972 (P. L. 92-583) is the
provision of Federal financial and technical assistance to the states so that the states may
develop management programs for their own coastal land, and water resources.

The Act contains several substantive requirements (in addition to procedural require-

ments) as to the concerns to be addressed by a state in the preparation and development of
its management program. Section 305(b) declares that a state management program will

include:

"(1) an identification of the boundaries of the coastal zone subject
to the management program;
(2) a definition of what shall constitute pen-nissible land and water
use<within the coastal zone>hich have a direct and significant impact
on the coastal waters;
(3) an inventory and designation of areas of particular concern
within the coastal zone;
(4) an identification of the means by which the state proposes to
exert control over the land and water uses ref erred to in paragraph
(2) of this subsection,, 0
(5) broad guidelines on priority of uses in particular areas,
including specifically those uses of lowest' priority;
(6) a description of the organizational structure proposed to
implement the management program, including the responsibilities
and interrelationships of local, areawide, state, regional, and
interstate agencies in the management process."

Under Section 306(d) and (e), the Act further deals with substantive requirements

to be set forth in the management program,. including the authority and power to:

a
m
d inister land and water, use regulations, control
development.in order to ensure compliance with the manage-
ment program, and to resolve conflicts among competi'ng uses; and
. . . acquire fee simple. and less than fee simple interests in lands,
waters, and other property through condemnation or other means
when necessary to achieve conformance with the management
program.

and, the provision for the control of land and water uses in the state's coastal zone

utilizing any one or a combination "of the following general techniques":

"(A) State establishment of criteria and standards for Iocal
implementation, subject to administrative review and enforce-
ment of compliance;
(B) Direct state land and water use planning and regulation; or
(C) State administrative review for consistency willh the manage-
ment program of all development plans, projects, or land and water
use regulations, including exceptions and variances thereto, proposed
by any state or local authority or private developer, with power to
approve or disapprove after public notice and an opportunity for
hearings. "

There is one further substantive requirement in the Act, namely, that a method be

developed, and included in the management program for-

"Assuring that local land and water use regulations within the
coastal zone do not unreasonably restrict or exclude land and
water uses of regional benefit."

While these provisions are mandates, and must be included in every state coastal

zone management program, there is every indication that each coastal zone state will

address these requirements in its own way, reflective of individual state institutional,
economic, social and legal history and traditions. However, each state must, one

way or another, address the need for building new governmental institutions and

relationships, including innovative approaches to the formulation and carrying out of state
coastal zone management goals and objectives. Few states, if any, have in place now
the complete institutional machinery necessary to administer the coastal zone manage-

ment process envisioned by the Act.
11-2

Some direction as to the range of concerns and content of a state management

program, within the framework of the substantive requirements outlined above,

are explicitly s;t forth in the Congressional "Declaration of Policy" contained in Section

303 of the Actl which declares that it is the national policy:

(a) to preserve, protect, develop, and where possible, to
restore or enhance, the resources of the Notion's coastal zone for
this and succeeding generations, (b) to encourage and assist the
states to exercise effectively their responsibilities in the coastal
zone through the development and.implementation of management
programs to achieve wise use of the land and water resources of
the coastal zone giving full consideration to ecological, cultural,
historic, and esthetic values as well as to needs for economic
development, W for all Federal agencies engaged in programs
affecting the coastal zone to cooperate and participate with
state and local governments and regional agencies in effectu-
ating the purposes of this title, and (d) to encourage the partici-
pation of the public, of Federal, state, 'and local governments
and of regional agencies in the development of coastal zone
management programs. . . . 11

Several key words, for the purposes of this handbook, are contained in this policy

statement:

all Federal agencies to cooperate and participate
in effectuating the purposes of this title. . ."; and

. . . encourage the participation of the public, of Federal,
state and local governments and . . . regional agencies in
the development of coastal zone management programs."

The thurst of this language is that although states prepare and administer their own

coastal zone management programs (i.e., they exercise their own constitutionally based

police powers to regulate and control, within their own definition of the public interest),

Federal and state and local public agencies are to cooperate fully.

Section 307(c) explicates this policy directive to Federal agencies, when it

indicates:

11-3

(1) "Each Federal agency conducting or supporting activities
directly affecting the coastal zone shall conduct or support those
activities in a manner which is, to the maximum extent practiable,
consistent with approved state management programs.

(2) "Any Federal agency which shall undertake any development
project in the coastal zone ofa state shall insure that the
project is, to the maximum extent practicable, consistent with
approved state management programs.

(3) "After final approval by the Secretary of a state's management
program, any applicant for a required Federal license or permit
to conduct an activity affecting land or water uses in the coastal
zone of that state shall provide in the application to the licensing
or permitting agency a certification that the proposed activity
complies with the state's approved program and that such activity
will be conducted in a manner consistent with the program." (Emphasis added)

Section 307(d) provides another directive to Federal agencies when it indicates:

"State and local governments submitting applications for Federal assistance
under other Federal programs affecting the coastal zone shall indicate the
views of the appropriate state or local agency as to the relationship of
such activities to the approved management program for the coastal zone.
Such applications shall be submitted and coordinated in accordance
with the provisions of title IV of the Intergovernmental Coordination
Act of 1968 (82 Stat. 1098). Federal agencies shall not approve projects
that are inconsistent with a coastal state's. management program, except
upon a finding by the Secretary t9at Zch project is consistent with the
purposes of this title or necessary in the interest of national security."
(emphasis added)

Thus, Sections 307(c) and (d) speak directly to Federal agencies that deal with a

variety of programs and activities that effect or operate in the coastal zone, including:

0 Activities conducted or supported by Federal agencies;

0 Direct Federal development actions;

0 Federally issued licenses and permits; and

& Federal programs which provide assistance to state or local activities.

11-4

The Act recognizes that the coastal zone contains a mixture of public and private
uses and ownerships. On the public side there are ownerships and activities,. including
regulatory activities, by a broad variety of Federal agencies, as well as state and local
general governments, regional organizations, and special purpose governmental units.
The Act, in requiring certification of applications f rom private developers for
Federal permits in the coastal zone for conformance with an adopted state Coastal Zone
Management Program, addresses a mixture of private and public actions.
A state's coastal zone management program must take into account pliblic activities,

To recapitulate this summary of the management aspects of the Federal low, the

Act..

0 mandates states to indicate proper and appropriate uses
for specific areas in their coastal zones;

0 directs that administrative machinery be established by each
State to carry out t*he elements of its management -program in
the coastal zone; and

M 0 indicates that Federal agencies will, for the most part,
conduct their activities in accordance with the state's
management program.

The above three broad mandates are to be undertaken within the spirit of the

purposes of the Act, which provides for "full consideration to ecological, cultural,

historic and esthetic values, as well as to needs for economic development."

This handbook is concerned with the identification of those public actions that a

state coastal zone management program should be cognizant of and the available range

of management techniques to deal with such public actions.

While the primary focus of the handbook relates to how a state should deal with

Federal agencies and when, the some principles, in general, apply to state agency actions

and local public actions in the zone.
11-5

This is the essence of the Federal Act. It calls for a sing le, unified and integrated

process that deals in the most comprehensive sense with the many and often complex
considerations ou;lined above.

In this context, coastal zone management is not another categorical Federal grant-

in-aid assistance program. It is not single purpose. It is, rather, a program to encourage

th e development and accomplishment of the management of al I the activities and resources

within the coastal zone, to decide between competing interests and resolve other similar

conflicts, tempered of course by the operation of the political and social forces involved

in any decision making process.

11-7

Ill. SUBSTANTIVE ELEMENTS IN STATE MANAGEMENT PROGRAMS

OF PARTICULAR CONCERN TO FEDERAL AGENCIES

The Act has as its foundation the development in our coastal states of a process

for making reasoned decisions for the management in the coastal zone. But it also

establishes certain substantive program elements that must be incorporated within the

management process. In turn, NOAA has promulgated performance standards under

which objective judgments can bemade by the Secretary of Commerce as to whether the

substantive program elements are adequately reflected in the state's management process.

Secretarial approval under Section 306 will provide a legal status to the management

program requiring adherence to it by the Federal government in carrying out its activities

and programs within the state's coastal zone. Moreover, such approval will make the

state's management entity eligible for continuing Federal administrative grants under

Section 306.

The formulation of state policies and programs in meeting these substantive programs

elements provide an opportunity for Federal/state coordination. Consultation at these

stages of evolving the management process should provide a better understanding of the

respective Federal/state interest and will emphasize the reciprocal nature of the

management process.

In most cases, Federal and state interest in coastal zone management will be

congruent. But in those few instances, where there is a potential for conflict, it can

best be reconciled by early identification and negotiation. One method of obtaining

this early warning approach to Federal/state coordination is to engage in a dialogue

with Federal officials when the state is developing policies and programs to meet the

requirements in Section 306.

Many of themandated program elements in Section 306 involve organizational and

process requirements.which will not affect substantively Federal agency interest, there

are certain other elements that will have a direct impact on Federal programs,. activities
and interests. Consequent I y,' without restating the regulations establishing performance

standards for complying with the Act, there is listed below the citation of regulations to

those mandated elements which ought to be developed with the full involvement of con-

cerned Federal agencies (15 CFR 923, published August 15, 1974, in the Federal Register):

Subpart A - General

923.4 Evaluation of Management Programs-General

Comment: In reviewing management programs submitted by a coastal
state, the Secretary will evaluate not only all of the individual program
elements required by the Act and set forth in the regulations but the
objectives and policies of the State program as well to assure that they
are consi;stent with national policies declared in Section 303 of the Act.

923.5 Environmental Impact Assessment

Subpart B - Land and Wa ter Uses

923.11 Bo ndary of Coastal Zone

923.12 Permissible Land and Water Uses

923-13 Areas of Particular Concern

923.14 Guidelines on Priorities

111-2

92115 National Interest in Siting Facilities

Comment: Obviously this element is of the highest priority and should

be devejoped with a maximum of Federal agency consultation. A manage-

ment program must evolve a policy on the siting of facilities having greater

than local concern. These decisions will,have regional and, in some cases,

statewide and national implications. It will be essential, therefore, to

develop a body of information relating to the national interest involved in

and such siting through consultation with cognizant Federal and regional

bodies, as well as adjacent and nearby states. The identification of national

interests is assisted in the regulations by a checklist for facilities and cogni-

zant Federal agencies which raise the question- of national interest in the

formulation of the state's management program. This list is reproduced

on the following page to provide a ready reference in securing Federal

agency involvement in this mandatory program element.

923.16 Areas Designated for Preservation and Restoration

923.17 Local Regulations and Uses of Regional Benefit

Subpart C - Authorities and Organization

923.21 Means of Exerting State Control Over Land and Water Uses

92a24 Authoratives to Administer Land and Water Uses, Control
DeveTopment and Resolve Conflicts

92326 Techniques for Control of Land and Water Uses

111-3

REQUIREMENTS WHICH ARE OTHER THAN LOCAL IN NATURE
AND IN THE SITING OF WH!CH THERE IS A CLEAR NATIONAL INTEREST
(With Associated Facilities.and Cognizant Federal Agencies)

Requirements

I . Energy production Oil and gas wells, storage and distribution Federal Energy Office, Fe4eral Power
and transmission facilities; refineries; nuclear, conventional Commission, Bureau of Land Management,
and hydroelectric power plants; deepwater ports. Atomic Energy Commission, Maritime
Administration, Geological Survey, Dept.
2. Recreation (of an National Seashores, Parksl Forests; large and of Transportation, National Park Service,
interstate nature) outstanding beaches and recreational water- Forest Service, Bureau of Outdoor
fronts, wildlife reserves. Recreation .

3. Interstate transportation Interstate highways, airports, aids to Federal Highway Administration, Federal
navigation, ports and harbors, railroads. Aviation Administration Coast Guard,
Corps of Engineers Maritime Administration,
7
Interstate Commerce Commission

4. Production of food Prime agric 'ultural land and facilities; Soil Conservation Service, Forest Servicel
and f i ber forest, mariculture facilities. NOAA.

5.' Preservation of life Flood protection facilities, Disaster warning Corps of Engineers, Federal Insurance Admin-
and property facilities. istration, NOAA, Soil Conservation Service

6. National Defense Military installations; defense manufacturing Department of Defense.
facilities.

7. Historic, cultural, Historic sites; natural areas; areas of unique National Register of Historic Places, National
esthetic and con- cultural significance; wildlife refuges; areas Park Service, Fish and Wildlife Service,
servation values of species and habitat preservation. NOAA's National Marine Fisheries Service.

Subpart D - Coordination

Comment: This entire subpart is completely relevant to the Federal

interest requirement in the Act. It does not reprasent a substantive program

element but its regulations are republished to emphasis that nature and scope of

the process for Federal interest and agency involvement.

923.31 Full Participation by Relevant Bodies in the Adoption of MaDagement
Program

(a) Requirement:

In order to fulfill the requirement contained in Section 306(c)(1),

the management program must show evidence that:

(1) the management program has been formally adopted in accord-

ance with Stata law or, in its absence, administrative regulations;

(2) the State has notified and provided an opportunity for ful I

participation in the development of its management program to al I public and
private agencies and organizations which'are liable to be affected by, or may

have a direct interest in, the management program. The submission of the

management program shall be accompanied by a list identifying the agencies

and organizations referred to in (2), the nature of their interest, and the

opportunities afforded such agencies and organizations to participate in the

development of the management program. These organizations should include

those identified pursuant to part 923.32, which have developed local,

111-5

areawide or interstate plans applicable to an area within the coastal zone of

the State as of January I of the year in which the management program is

submitied for approval; and

(3) the management program'will carry out the policies enumerated

in Section 303.

(b) Cbmment:

Statutory citation: Section 306(c)(1)

"Prior to granting approval of a management program submitted by a

coastal State, the Secretary shal I find that . . . the State has developed and

adopted a management program for its coastal zone in accordance with rules

and regulations promulgated by the Secretary, after notice, and with the

opportunity of full participation by relevant Federal agencies, State agencies,

local governments, regional organizations, port authorities, and other interested

parties, public and private, which is adequate to carry out the purposes of this

title and is consistent with the policy dec lared in Section 303 of this title. "

This requirement embodies the actual approval by the Secretary of

Commerce of a State's coastal zone management program pursuant to all of the

terms of the Act, plus associated administrative rules and regulations. As the

operative section, it subsumes all of the requirements included in this part,

which shall be considered the "rules and regulations promulgated by the

Secretary" mentioned in Section 206(c)(1).

The citation, however, also includes some specific additional require-

ments, for which guidance and performance criteria are necessary. These

additional requirements include:

111-6

(1) Adoption of the man.agement program by the State. The manage-

ment program must demonstrate that it represents the official policy and objectives

of the State. In general, this will require certification in the management

program that (1) the State management entity has formally adopted the manage-

ment prog@am in accordance with either the rules and procedures established

by statute, or in the absence of such law, administrative regulations.

(2) Opportunity for full participation by relevant Federal agencies,

State agencies, local governments, regional organizations, port authorities,

and other interested parties, public and private. A major thrust of the Act is

its concern for ful I participation and cooperation in the development and imple-

mentation of management programs by all interested and affected agencies,

organizations and individuals. This is specifically included in the statement

of national policy in Section 303(c). The State must provide evidence that

the listed agencies and parties were, in fact, provided with an opportunity for

ful I participation. It wil I be left to the States to determine the method and

form of such evidence, but it should contain at a minimum:

(a) a listing, as comprehensive as possible, of all Federal and State

agencies, local governments, regional organizations, port authoritives and

public and private organizations which are likely to be affected by, or have a

direct interest in, the development and implementation of a management

program (iincluding those identified in part 923.32), and

(b) a listing of the specific interests of such organizations in the

development of the management program, as well as an identification of the

efforts made to involve such. bodies in the development process.

111-7

"Opportunity for ful I participation" is interpreted as requiring

partici pation at all appropriate stages of management program development.

The assistance which can be provided by these public and private organizations

can often be significant, and therefore contact with them should be vi ewed not

only as a requirement for approval, but as an opportunity for tapping available

sources of information for program development. Early and continuing contact

with these agencies and organizations is both desirable and necessary. In many

cases it may be difficult or impossible to identify all interested parties early in

the development of the State's program. However, the public hearing require-

ments of part 923 Al should afford an opportunity to participate to interested

persons and organizations whose interest was not initially noted..

(3) Consistency with the policy declared in Section 303 of the Act.

In order to facilitate this review, the State's management program must indicate

specifically how the program will carry out the policies enumerated in Section

303.

923. 32 Consultation and Coordination with Other Planning

(a) Requirement:

In order to fulfill the requirements contained in Section 306(c)(2),

the management program must include:

(1) an identification of those entities mentioned which have plans

in effect on January 1 of the year submitted [paragraph (a)],

(2) a listing of the specific contacts made with all such entities in

order to coordinate the management program with their plans [paragraph (B)],

111-8

(3) an identification of the conflicts with those plans which have

not been resolved through coordination, and continuing actions contemplated
to attempt to resolve them (paragraph W], and

(4) indication that a regular consultive mechanism has been established

and is active, to undertake coordination between the single State agency

designated pursuant to part 923.23, and the entities in paragraph (B).

(b) Comment:

Statutory citation: Section 306(c)(2)

"Prior to granting approval of a management program submitted by a

coastal State, the Secretary shall find . . . that the State has:.

(A) coordinated its program with local, areawide and interstate plans

applicable to areas within the coastal zone existing on January I of the year in

which the State's management program is su@rnitted to the Secretary, which plans

have been developed by a local government, an areawide agency designated

pursuant to regulations established under Section 204 of the Demonstration
Citiesand Metropolitan Development Act .of 1966, a regional agency, or an

interstate agency; and

(B) establish an effective mechanism for continuing consultation

and coordination between the management agency designated pursuant to

paragraph (5) of this subsection and with local governments, interstate agencies,

regional agencies and areawide agencies within the coastal zone to assure the

ful I participation of such local governments and agencies in carrying out the

purposes of this title.

111-9

Relevant background information on this requirement appears in

15 CFR 920.45(f), and is incorporated by reference herein.

While the State wil I exercise its authority over land and water uses

of Statewide significance in the coastal zone by one or more of the techniques

set forth in part 923.28, the State management program must be coordinated

with existing plans applicable to portions of the coastal zone. It should be

noted that this section does not demand compliance of the State program with

local plans, but the process envisioned should enable a State not only to avoid

conflicts and ambiguities among plans and proposals, but to draw upon the

planning capabilities of a wide variety of governments and agencies. Coordina-

tion implies a high degree of cooperation and consultation among agencies, as

well as a mutual willingness on the part of the participants to accommodate their

activities to the needs of the others in order to carry out the public interest.

Percepti ons of the public good will, of course, differ and it is recognized that

not all real or potential conflicts can be resolved by this process. Nevertheless,

it is a 'necessary step. Effective cooperation and consultation must continue as

the management program is put into operation so that local governments, inter-

state, regional and areawide agencies can continue to participate in the carrying

out of the management program.

The "plans" referred io in (A) shall be considered those which have

been officially adopted by the entity which developed them, or which are

commonly recognized by the entity as a guide for action.

The list of relevant agencies required under part 923.31 will be

of use in meeting this requirement. It will enable the State to identify those

entities mentioned in (A) which have such plans and to provide evidence tho t

coordination with them has taken place.

The process envisioned should not only enable a State to avoid con-

flicts between its program and other plans applying within its coastal zone,

but to draw upon the planning capabilities of a wide variety of local govern-

ments and other agencies.

In developing and i mpl ementi ng 'those portions of the program dealing

with power transmission lines, pipelines, interstate transportation facilities and

other facilities which wil I significantly impact on neighboring States of a region,

particular attention should be paid to the requirements of this section.

Subpart E - Miscellaneous

923.41 Segmentation

Comment: This is not a substantive program element. However, it is

a critical decision that in many cases could have immediate and direct

implication on the Federal interest. Consequently, it is suggested that

a decision to proceed with applying the management program on a

piecemeal basis should be a subject of Federa!/state coordination.

IV. THE APPROACH OF THE U.S. OFFICE OF

COASTAL ZONE MANAGEMENT TO STATE-FEDERAL RELATIONS

The initiative for coordinating Federal activities in a state's coastal zone rests with the

state. Given this view it then follows that one of the principal missions of NOAA's

Office of Coastal Zone Management is that of assisting the coastal states as they seek to,

arrange with Federal agencies for their participation in the state's coastal zone management

program.

A. OCZM Organization for CoordinationL/

Chapter 11 of this Handbook detailed the provisions in the Coastal Zone Management

Act of 1972 that require interagency and intergovernmental coordination.

Carrying out the coordi native provisions of the Act, and the regulations that are

based on the statutory provisions, will be the responsibility of all components of the

Office of Coastal Zone Management. Two organizational steps, however, have been

taken specifically to deal with coordination matters.

A State Liaison Officer has been established in OCZM Washington headquarters,

assisted by four Regional Coordinators. The Regional Coordinators wil I provide day-to-

day liaison with the states in their regions (Northeast, Southeast, Gulf and Pacific).

Complementing the State Liaison Office is the Federal Interagency Office which is to inform:

0 Federal agencies as to the nature of the coastal zone management

program, and their role in such state developed programs; and

I/ Much of this discussion is based on Draft Work Program for Interagency and Inter-
governmental Coordination (OCZM, August 1974, processed).

IV-1

0 States as to the nature of Federal programs and the role of

programs in state coastal zone management activities.

The development of this Handbook, as a matter of fact, is a part of

to State-Federal liaison needs.

The purposes of OCZM's work program for interagency and intergovL.., ... uviumu-

tion include:

(1) To clarify in workable language the major steps involved in

developing the "coordination "processes of the Act;

(2) To identify coordination priorities by agency, and by programs

where possible, in light of statutory and program development

requirements;

(3) To define major coordination objectives, milestones, tasks and

anticipated products;

(4) To develop measures, the means to display them, and the

approximate timing of coordination progress; and

(5) To begin to define individual--and more usually shared--OCZM

responsibilities foe coastal zone management coordination.

Thus interagency coordination, in service of assisting states in their CZM activities,

is considered to be a major responsibility of the Office of Coastal Zone Management.

These responsibilities will be organized in two ways:

(1) By levels of government; and

(2) by agency or program function.

IV-2

Two of the categories based on governmental levels involve Federal agencies--

OCZM-Federal Agency Coordination, and Federal Agency-State CZM Coordination.

B. OCZM-Fedeial Ag- ncy Coordination

Thisfunction is being pursued through five activities during fiscal year 1975:

(1) Contact at the Washin gton and field levels with "all Federal agencies

engaged in programs affecting the coastal zone.

(2) Distribution and exchanges of program information, including regional-

state administration.

(3) Development of OCZM-Federal agency priorities, based upon:

0 Requirements in the Coastal Zone Management Act of 1972;

6 State program designs and 305 regulations;

0 Identified key issuesand "national interest" considerations;

0 Problems and "natural affinities"; and

0 Timing of development-approval needs.

(4) Consultation with Federal agencies, based on:

0 Functional groupings and program activities;

0 Direct effects of CZM development;

0 Anticipated 306 review and adoption processes; and

9 Early conflicts or "consistency" issues.

(5) Institution and maintenance of working relationships with Federal agencies

through:

0 Staff level;

0 Policy level;

IV-3

� Formal (i.e., memos of agreement);

� Informal (ad hoc working groups);

Existing interagency structures (such as those outlined in Chapter IX

of this Handbook); and

0 New mechanisms created by OCZM.

Referring to the third activity listed above, OCZM recognizes that immediate in-

depth contact cannot be made with all the Federal agencies that administer programs

affecting the coastal zone. OCZM has -therefore identified a tentative ordering of such

agencies:

First Priorit

(1) Environmental Protection Agency

0 Office of Federal Activities

0 Transportation and Land Use Work Group

0 Policy Planning Division

0 Bilateral Programs Division

0 Water Planning and Standards

9 Washington Research Center

(2) Department of the Army, Corps of Engineers (Civil Works)

e Legislation and Administration Branch

0 Policy and Analysis Division

0 Regulatory Functions Branch

0 Coastal Engineering Research Center.

I V-4

(3) Department of the Interior

0 Bureau of Sport Fisheries and Wildlife

0 Office of Land Use and Water Planning

Bureau of Land Management

(4) Federal Energy Administration

0 Federal Programs Division

0 Intergovernmental Re lotions Division

(5) Department of Housing and Urban Development

0 Federal Insurance Administration

0 Planning and Management (701)

Second Priority

(1) Department of Agriculture

0 Soil Conservation Service

(2) Department of the Interior

Bureau of Outdoor Recreation

(3) Department of Commerce

0 National Oceanic and Atmospheric Administration

(4) Department of Transportation

0 Intermodal planning group

0 Coast Guard

IV-5

Third Priorit

(1) Defense Department agencies other than Corps Civil Works

(2) Atomic Energy Commission

(3) Federal Power Commission

(4) Federal Coordinating Agencies

While every attempt is being made to notify all agencies of their new responsibilities

and opportunities under the Coastal Zone Management Act of 1972, the above ordering

it expected to affect the manner in which the agencies deal with coastal states.

C. Federal Agency-State Coordination

This function is more directly focused on specific arrangements between particular

Federal programs, as they affect the coastal zone, and the management program of each

state. A major instrument of this coordination will be the OCZM Regional Coordinators,

who will be devoting a good deal of their time to fostering contact between relevant

Federal agencies and the states. While OCZM will clearly be tailoring its approach to

individual state styles, institutions and work programs, it will also be attempting to

regularize relations between Federal agencies and states. OCZM's activities are expected

to include the following:

(1) Identify Federal agencies that are "principally affected by the develop-

ment and approval of state programs"; also identify potential sources of

Federal assistance.

(2) Foster Federal-OCZM Contact on a reciprocal basis:

0 through Washington;

0 in regions; and

0 at the local or Office/laboratory level .

IV-6

(3) Develop the means to secure (or provide the opportunity for) exchange of

information between Federal agencies and coastal states on such matters

as planning and regulation.

(4) Initiate and suggest means to guide "consultation" in such areas as:

0 policy, standards, law;

0 procedures and regulations;

problems and issues;

0 shared interest, duplication, overlap;

0 consideration of Federal views; and

0 Federal cognizance of evolving state views.

(5) Support the establishment of working relationships with regard to:

0 Federal agency involvement in program development;

0 Assessment of state needs and directions;

0 Early identification of serious disagreements between a state and a

Federal agency;

0 Initiation of approval process;

0 Federal review of a state's program and its possible modification;

0 Dispute mediation;

0 Secretarial approval; and

9 OCZM Administration.

D. Assistance to States in Selected Areas of Opportunit

In addition to the incremental and continuing work on the "coordination" elements

discussed above, there wil I be concerted one time tasks that demand OCZM attention.

IV-7

Although they generally relate to the goal of state program approval, these tasks can be

considered sufficiently distinct to warrant specialized attention. Some of the projects

that now might fall into this category include:

(1) Development of the substantive and procedural means by which the Air

and Water requirements of EPA are "incorporated" into State CZM

programs.

(2) Development and implementation of the o ther elements contained in

Section 307 of the Act.

(3) Consideration, design, and testing of a process by which Federal

agencies would "preview" a state's CZM program prior to its formal

submission for approval by the Secretary of Commerce.

(4) Definition of approaches to and utilization of Federal Regional

Councils and other field structures of Federal agencies.

(5) Supplementary language to the Council on Environmental Quality Guide-

lines to strengthen its provisions for consultation by state CZM entities in

preparing and reviewing Environmental Impact Statements.

Through these activities and officers, OCZM seeks to act as an expediter on behalf

of the states as they develop their relationships with the elements of the Federal establish-

ment which conduct or support activities in the coastal zone.

States should feel free to utilize these liaison mechanisms as they seek to wrap Federal

activities into their coastal zone management programs. Questions and requests for

guidance can be addressed to the Regional Coordinators or OCZM's Interagency Coordinator.

IV_8

VI. FEDERAL PROGRAMS AND ACTIVITIES THAT ARE

RELEVANT TO A STATE'S COASTAL ZONE MANAGEMENT PROGRAM

A. State Strategies for Dealing with Federal Programs in the Coastal Zone

The degree of interaction between states and Federal agencies in the coastal zone

will relate directly to the detail of the state's coastal zone management program as it:

0 defines what shal I constitute permissible land and water uses;

0 designates areas of particular concern;

0 determines priority of uses in particular areas, including uses of
lowest priority; and

0 identifies the means by which the state proposes to exert control.

Each state coastal zone management program, when it is submi tted to the Secretary

of Commerce for approval, must address the four requirements detailed above.

Section 307(c) of the Act is directive to Federal agencies when it says:

"Each Federal agency conducting or supporting activities directly
effecting the coastal zone shall conduct orsupport those activities
in a manner which is, to the maximum extent practicable, consistent
with approved state management programs. "

Hence, Federal agencies and their activities in the coastal zone must, to the maximum

extent practicable, be consistent with state determined permissible and priority (including

lowest priority) land and water uses and in accordance with state designated areas of

particular concern.

Chapter V of this Handbook, and Appendix I , displays and discusses Federal activities

and programs within three broad categories, and a series of sub-categories, as follows:

VI-1

I . Federal Grants, Loans and Guarantees

a. Grants for Planning and Management

b. Grants for State, Local and Private Development

C. Operational, Service and Research Grants

2. Federal Regulatory and Licensing Responsibilities

3. Direct Federal Actions

a. Direct Federal Development

b. Ope rational, Research and Service Functions

c. Coordinative

In the development of a state strategy for dealing with the elements and programs of

the Federal Establishment, states would be well advised to determine the means of con's-act,

control, and cooperation for each of these three categories. Sections 307(c) and 307(d) of

the Act provide legal directives to Federal agencies within each of these categories as

fol lows:

For the most part, these requirements for Federal agency compliance and consistency

with state management programs relate directly to the state's determination as to permissi-

ble land and water uses.

There are two distinct periods of time that will determine the nature of a state-

Federal relationships strategy; i.e., the program development phase under Section 305

and the program management phase under Section 306. It is to be expected that states

will update and revise their management programs while they are in the management

phase and as they resubmit their program annually to the Secretary of Commerce for

recertification and refunding.

There is no real substitute for knowledge of the nature and extent of Federal

program activity in a state's coastal zone and, further, no real substitute for personal

contact with Federal program managers. Hence, an initial comprehensive inventory of

Federal activities in the coastal zonel and the identificatio n of key Federal program

managers, is an essential step.

In the development of such an inventory, the organization and cataloguing of

Federal activity in accordance with the classification system contained in !4mrotrrml
and ChapterkVof handbook should prove to be useful . One of the products of such an

inventory should be an evaluation of the relative significance of each activity and the

identification of areas of possible conflict.

e areas of possible conflict, negotiation is going to be necessary. T+M-

1 5-11-5 1-UUy 10 U4515T Tne-sL-=,,.
liege e 115f
In Section 304 (a),-tke Act- deRne-,, ffie-cogs-tai zone and includes the following
1ja
r

the

language:

VI-3

"Excluded from the coastal zone ore lands the use of
which is by low subject solely to the discretion of or
which is held in trust by the Federal Government, its
officers or agents."

Although some Federal lands may be excluded from the state designated coastal zone,

per se, there continue to be a separate mandate for Federal-state coordination or activities

on Federal lands as a matter of Federal law. Such coordination is the policy enunciated
in Title IV of the Intergovernental Cooperation Act of 1968 and its implementing regu-

lotions contained in Part 11 of 0 B Circular No. A-95. As discussed earl` in this
Handbook, Congressional policy req ires Federal government projectS and activities to
be consistent with state, areawide and local plans to the greatest extent possible.
During the program development phase, state coastal zone personnel would be well
vised to develop a working liaison with local and regional planning agencies and, most

particularly, with the state's A-95 clearinghouse in order that they might be advised of

pending Federal activities.

The A-95 process envisions the establishment of an "early warning system" so that
comprehensive planning agencies (and coastal zone manage ent entities) can be forewarned
of a proposed action priorto the actual submittal of 'an application or plan for final review

and comment by the Clearinghouse, These processes can be most seful in the management
program development phase to assist the state coastal zone entity in becoming familiar with

what is going on.

During the management phase of the program, A-95, through Parts I an 11 can and

will providethe mechanism through which the state's coastal zone management entity will
be informed will be able to comment directly on pending Federal activities under the

provision of Sections 307(c) and (d) of the Act.

VI-4

In the past, state and regional clearinghouses established under the terms of A-95

have not necessarily been even in their responses, as they review proposed Federal

actions in relation to locally developed plans and policies. To a large extent this has been

due to the unevenness of local planning and policy determination. It is to be expected that

the A-95 process, as a means of communication and review, will reflect the level of

particularity, concern, and control reflected i1n state developed and Department of

Commerce approved, coastal zone management programs. In other words, the A-95

pr*ocessf as means of communication and flow of informationl will, in terms of the coastal

zone management program, reflect directly and perform to the degree that its processes

are built directly and consciously into the state's coastal zonemanagement program

itself.

State strategies for dealing with Federal interests and Federal activities during the

development phase and the management phase of a state's coastal zone management

program must be developed by each state, individually, depending on how it views its

own coastal zone'r the activities to manage in the zone and the goals to be achieved by

the state in its management program. All of these things should be consciously and

thoughtfully worked out and put together as the state develops and applies its management

strategies.

B. The Phases of the State's Program
The distinction in Chapter MV between Federal grants, regulatory activities and direct

development is a standard one. To maximize the utility of t hese Federal activities to

state coastal zone management programs, however, each must be related to the appropriate

phase of the state's CZM program:

VI-5

@
I Developing the State Program.

2. Incorporating Federal Agency Interests into the State Program.
Apploval of the State Program' by the Secretary of Commerce.

4. Implementation of the State Management Program.

5. Assuring Federal Consistency with the Approved State Program.

There is a good deal of overlap between the five phases. Federal agencies--

particularly regional offices of agencies that are especially concerned with the coastal

z6ne--will be partners with the states in all phases.

Appendix I should help in determining at what juncture the Federal activities wl I I

intervene in the state's management process. This information should also be valuable in-

meeting the consultation requirements with affected Federal agencies provided in Section

307(6) of the Act, and should assist in identifying the nature of the agencies' interest,

and the bl impact, if any, on the state management. proqra@
a e - T.

To he p the state and affected Federal agencies to identify the Federal interes
---- ------ pr
ts and

their place in the state management program, the attached form (Federal Agency Contact*

and Approval Log) is suggested for adaptation and incorporation into the state's manage-

ment program. This form can provide in summary fashion the Federal agency concerns that
have been identified, evaluated. and made a part of the management program. Examples

would include consultation on status of military establishments in the coastal zone (Office

f the Secretary, Department of Defense); Air and Water Quality Standards (Environmental

Protection Agency); and status and procedures for permits for solid wastes disposal in coastal

waters and rivers (Corps of Engineers, Department of the Army and EPA).
2

VI-6

FEDERAL INTERESTS IN STATE
COASTAL ZONE MANAGEMENT PROGRAM

A Federal Agency Contact and Approval Log

(To be attached to (1) applications for second and third-year 305 grants; (2) submission
of state program for Federal approval; and (3) applications for 306 grants.)

State

Reference in State Federal Agency Federal Officials
Federal Interest Management Responsible for Consulted During
Program the interest Development of the
State Program(Dates)

To be accompanied by summaries of consultation and results when state program is submitted
for approval; together with any Federal comments.

Date
VI-7 Official Responsible for State Program

The state's entries on its "Federal Agency Contact and Approval Log" wil I constitute

a summary and index of state-Federal agency contacts, arrangements and understandings

arrived at and incorporated into the state's coastal zone management program. The Log

wil I indicate, from the state's point of view, that there has. been "opportunity of ful I

participation by relevant Federal agencies" in the development and adoption of a state

Coastal Zone Management Program, as provided for under Section 306(c)(1) of the Act.

(Each state will want to adapt this form to meet their.own needs.)

I The form wil I be useful as a cumulative record of the contacts* between state and

Federal agencies as the management program evolves. As such, the form would be

attached to continuing applications for Federal assistance and reviews:

I . Second- and third-year applications for development grants
under Section 305.

2. Requests for approval of completed state management programs.
3. Notifications of amendments to approved state progra'ms.

Federal agency comments on state programs could be attached to the Log at the time

the state submits its management program to the Department of Commerce for approval .

The comments will have the effect of certifying that serious disag reements between the

state and any Federal agency have been resolved before submission for approval .

Federal agency review of tke adequacy of state consideration of Federal agency

interest in the management program proposed for Secretarial approval at the Washington

level should be facilitated if the procedures and processes suggested above have been

carried outf with the documentation indicated. In other words, Federal agency involve-

ment should be considered as an integral part of the program development process.

VI-8

C. Other Key__Considerations in Dealing with Federal Programs

1. Air and Water Pollution Control Programs

Section 3#7(f) of the Act specifically references the Federal Water Pollution

Control Act and the Clean Air Act, and provides:

... nothing in this title shall in anyway affect any require-
ment (1) established by the Federal Water Pollution Control
Act, as amended, or the Clean Air Act, as amended, or (2)
established by the Federal Government or by any state or
local government pursuant to such Acts. Such requirements
shal I be incorporated in any program developed pursuant to
this title and shall be the water pollution control and air
pollution control requirements applicable to such program."

The application of air and water act requirements must be understood in terms of

other mandatory requirements of the Coastal Z3ne Management Act.

The CZMA requires a state, under Section 305(b), to determine:

what shal I constitute permissible land and water uses...

... areas of particular concern ... ; " and

... priority of uses in particular areas, including specifically
those uses of lowest priority. "

The water and air requirements would, then, be applied in accordance with state

determined uses, concerns and priorities. During the process of making such determinations,

the state coastal zone management program development entity, should, of course, deter-

mine State and Federal water and air requirements to ascertain what effect such require-

ments would exercise on the basic determination of permissible and priority uses and

area of particular concern

Air and water requirements, of course, are going to vary as betweent for example,

coastal areas designated for intensive recreation use and development, and wetlands areas

set aside for no use to preserve ecological systems.

VI-25

The following summaries of the principle provisions of the Federal Water Pollution

Control Act and the Clean Air Act are set forth to assist state in the development of

their coastal zone management program. It should be noted that both acts have strongly

mandated planning requirements. It is during the planning and program development

phase that coastal zone planners and administrators should maintain close working

relationships with air and water planners and administrators. As a matter of principle,

coastal zone managers should determine the location and extent of uses to be permitted

in coastal areas. Such uses would then be subject to air and water requirements.

a. Federal Water Pollution Control Act

The Federal Water Pollution Control Act of 1972 (FWPCA) relates to the

management and control of two sources of pollutants: point sources and non-point sources.

Point sources have an obvious and relatively easily managed impact on the quality

and use of water in coastal areas, while non-point sources are less manageable. Generally,

point sources and related controls are defined by the Federal government through the

permit system and through effluent limitations which are applied to the development and

operation of sewage treatment works. Procedures for control of non-point sources have

not been totally formulated t& date but will be developed largely through land use and

management regulations.

The primary barrier to active regulatory responsibilities for non-point sources is the

lack of management techniques for pollutant abatement. It is difficult to control a

pollution source which can not be specifically identified. Negligent land and water use

are the major causes of non-point source pollutants. NPS's include such activities as poor

construction practices, urban storm water run-off, sedimentation, and erosion. To control

VI -26

these sources, regulations must be broad in application. Water quality managers will

find it necessary to specifically define those activities which must be regulated, and
the appropri at@'terms of the regulations.

The EPA Water Quality Strategy Paper of March 15, 1974, states:

NPS control is a cooperative, intergovernmental responsibility,
with 'a'uthorities divided among EPA, other Federal agencies, and State
and local units. Principal authoritZ for a full control program is vested',
under the Act, in the States and areawide management agencies.

"Additionally, numerous Federal agencies have power to include
NPS measures as an aspect of various programs. Finally, EPA is
charged with conducting research and demonstrations, developing
guidance and supply support, to further NPS awareness and abate-
ment at al I levels of government and in the private sector."
(Emphasis added) (p. 62)

EPA recognizes its responsibility to guide the states and areawide agencies in NPS

control . Information relating to control of seven non-poin't sources was published in EPA

in October 1973, and is available at EPA Regional Offices. However, this publication

does not address the institutional framework, or specific use of land use and management

controls for regulation of non-point sources. Info rmation on these aspects of NPS control

are to be published in the future.

The planning structure of the FWPCA and a brief explanation of the primary elements

of the statute is included at the end of this section. Within this structure, the state is

responsible for the State strategy, which includes the goals, standards, priorities and

foundation for action by the areawide planning agencies. The role of the state in point

source control is apparent in the rules and regulations published by EPA.

VI-27

Planning Structure of the FWPCA

Federal Framework for Action
Section 402
National Pollutant Title III Other Statutory
Discharge Elimination Guidelines for effluent standards Goals and
System Requirements

Section 106 Section 303: Section 402:
State Work significantly Continuous Optional State
Program interrelated State Planning administration
Process of the NPDES

Section 208:
Areawide Water
Quality Planning
and management

Section 201:
Public Facilities
Planning and
Construction

Explanation

Federal Role: The Federal Government provides the guidelines and funds for state

and areawide fulfillment of its responsibilities under the FWPCA. Additional functions
include: 0 Publication of -an annual National Water Quality Strategy Paper which
sets forth the policies for implementation of the FWPCA.

0 Approval of all plans submitted by states or designated areas under FWPCA.

0 Administration of the NPDES unless the state develops the necessary
capabilities to assume the responsibility.

0 Assurance that all Federal grants and activities are consistent with
adopted 208, areawide, or 201,facilities, plans.

VI-28

Section 106: The state is required to provide an annual work program for achieve-

ment of water quality standards. The findings, priorities, and expectations of the 303(e)

planning process are reported in this annual program.

Section 303(e): Initial planning and problem definition is conducted under this

section for river basins and sub-basins within a state. The state investigates the problems
and potentials, and subsequently develops a water strategy. This water strategy and
background information is the foundation for areawide (208) planning. Effluent standards
for water segments are also established. These standards must be updated every three years.

Section 201: This section focuses primarily on the 1977 goals of secondary treatment

facilities, and is oriented toward the problems of public treatment plans. All facilities

planning must be in acc ordance with the priorities set forth in the 303(e) plan. Upon

implementation of the 208 plan, all 201 planning activities will be absorbed into the

208 planning process.

Section 208: This section dealing with areawide, intergovernmental water quality

management planning, focuses on the 1983 water quality goals which address al I levels of

water quality management. Major responsibilities of goal attainment, planning, and pro-

gram management are shifted to the designated 208 planning and management agencies.

Federal and state water quality activities must be consistent with the adopted 208 plan.

Section 403 : This section requires the establishment of discrete water quality
standards for coastal zone waters by the EPA, and incorporation of such standards by the

states into the water qual ity control program . Obviously, these requirements wi I I establ ish

absolute constraints on development and use of both land and waters in the state's coastal
zone. VI-29

As the preceding description of the pla nning structure relates, planning and pro-

gramming under the FWPCA is phased over the years until 1983. Initially general plan-

ning and problem definition is focused at the State and Federal level . Throughout the

process, all levels of the public sector are expected to develop a certain level of

expertise in water quality management.

b. The Clean Air Act

The Clean Air Act addresses land use regulation through direct and indir ect

sources controls. Indirect sources are developments or facilities which will attract

sufficient traffic to impede attainment of air quality goals. Therefore, the impact of

direct sources can be ameliorated through regulation of development location and design,

and/or the mode of access.

A discussion of selected clauses from the statute and guidelines which relate to

indirect source/transportat ion regulations follows. The program elements which imple-

ment these requirements must be included as part of the CZMA regulatory program.

All indirect sources which will begin site gra ding or construction after January I ,

1975, are subject to regulation. These regulations must ensure that large scale facilities,

highways, and airports will Ke designed in accordance with air quality standards. The

State may develop its own indirect source regulations and procedures, or utilize those

promulgated by EPA. The Administrator published the initial review procedures as of

January 1, 1974. The EPA timetable requires review procedures to be implemented for

proposed facilities in July 1974, and actual regulation of sites and construction in

January 1975.

VI-30

A 10-Year Air Quality Maintenance Plan (AQMP) must be prepared for all areas

designated as a "potential problem area" by the EPA Administrator.
The AQtXP must include a land use analysis, and a transportation plan analysis

as part of the indirect source control strategy. If such an area is located within the

Coastal Zone, this control strategy mustbe included in the CZMA program.

The following table indicates the indirect sources which require approval accord-

ing to Federal regulations. States have the option of utilizing these regulations, or

preparing their own requirements.

Indirect Sources Requiring Approval

Location Sources Minimum size for review

Urban area New roads and highways 20,000 vehicles per day (average)
(SMSA)

Modified roads and highways 10,000 vehicles per day over existing
traffic (average

New airports 50,000 scheduled operations or 1 .6
million passengers per year

Modified airports 50,000 scheduled operations per year
over existing level, or of 1 .6 mi Ilion
passengers per year

Other indirbct sources, new Parking for 1 000 cars or more

Other indirect sources, Parking for 500 cars or more over
modified existing number

Nonurban areas Airports Same as in urban areas

Other indirect sources, new Parking for 2,000 cars or more

Other indirect sources, Parking for 1 000 cars or more over
modified existing number

Source: 40 CFR 52.22 (b) (2), (February 14, 1974).

VI-31

Pursuant to designation of Air Quality Maintenance Areas and analysis of existing'r'

potential, and projected air quality problems, the state must develop alternative

11maintenance strategies. " The strategies are to be developed in cooperation with relevant

State and local agencies (see "Guidelines for Preparation of a 10-Year Air Quality

Maintenance Program," published by EPA, March 1974):

"A partial listing of the types of agencies that must be consid-
ered includes those engaged in water planning pursuant to sections
201 f 208, and 303 of the Federal Water Pollution Control Act
Amendments of 1972; solid waste planning; comprehensive and
environmental health planning; transportation planning; coastal
zone management; environmental impact statement preparation;
'109(j)' review-procedures; comprehensive (p. 16) land-use plan-
ning; and other planning activities at the State and local level

The "Guidelines" generally encourages coordination among the different

environmental quality programs:

"2. Basic Considerations

The AQMP shall be designed to yield the maximum possible
integration with other State pollution control activities. The
plan shall define these relationships.. As an aid to States, EPA
will publish guidelines for the coordination of the air quality
maintenance activities with other environmental protection
activities in April 1974.

"The plan shal I describe the relationship between air quality
maintenance activities and the State land-use and transportation
planning process. " (p. 5-6)

Cooperation with these agencies must also be instituted in the process of evaluation

and selection of a maintenance strategy. "Maintenance requisites, institutional structure,

economic resources, human resources, existing legal authority, and existing land use

and transportation plans are some of the factors that must be considered in the selection
process. " (p. 19) VI-32

The selected strategy is then included in the AQMP. The final plan will indicate

who, what, when, where, and how the strategy will be implemented. Internal review

of the plan by the relevant State and local agencies is conducted prior to public

hearings and Federal review.

2. State Plans Under the Flood Insurance and Flood Disaster Acts

State coastal zone program managers should be particularly aware of the

provisions of the Flood Insurance and Flood Disaster Acts as they relate to disaster

prone areas in the state's coastal zone.

The Flood Disaster Act of 1973 was conceived as a means of adding mandatory pro-

visions to the Flood Insurance Act of 1968. The 1968 statute made flood insurance avail-

able on a voluntary basis to residents of disaster prone areas. The two principal objectives

of the 1968 Act were to make flood insurance available at reasonable rates, and to

encourage local jurisdictions to regulate land use in disaster prone areas. Despite the

intent of this Act, it was recognized that without creating statutory requirements with

great disincentives to non-participation, the objectives would not be attained. As will

be evidenced by the discussion below, the 1973 Act remedies many of the inadequacies

to the Flood Insurance Act of 1968.

The major purpose of the Flood Disaster Act of 1973 is to:

� alleviate the distress of mudsl ides and floods, and subsequent
reconstruction;

� encourage the use of land use controls to regulate construction
in disaster prone areas.

The Act provides a national flood insurance program which will make insurance avail-

able for personal and real property to all interested persons in designated disaster prone

VI-33

communities. In accordance with Section 201, the Administrator is responsible for

the designation of these communities not later. than six months fol lowing enactment

of this statute:

"Notification to Flood Prone Areas

"Sec. 201. (a) Not later than six months following
the enactment of this title, the Secretary shall publish
information in accordance with subsection 1360 (1) of the
National Flood Insurance Act of 1968, and shall notify
the chief executive officer of each known flood-prone
community not already participating in the national flood
insurance program of its tentative identification as a com-
munity containing one or more areas having special flood
hazards.

"(b) After such notification, each tentatively identified
community shal I either (1) promptly make proper application
to participate in the national flood insurance program or (2)
within six months submit technical data sufficient to establish
to the satisfaction of the Secretary that the community either
is not seriously flood prone or that such flood hazards as may
have existed have been corrected by floodworks or other
flood control methods. The Secretary may, in his discretion,
grant a public hearing to any community with respect to
which conflicting data exist as to the nature and extent
of a flood hazard. If the Secretary decides not to hold
a hearing, the community shall be* given an opportunity
to submit written and documentary evidence. Whether
or not such hearing is granted, the Secretary's final deter-
mination as to the existence or extent of a f I ood hazard
area in a particular community shall be deemed conclusive
for the purposes of this Act if supported by substantial
evidence in the record considered as a whole.

"(c) As information becomes available to the
Secretary concerning the existence of flood hazards in
communities not known to be flood prone at the time of
the initial notification provided for by subsection (a) of
this section he shall provide similar notifications to the
chief executive officers of such additional communities,
which shall then be subject to the requirements of sub-
section (b) of this section.

VI-34

"(d) Formally identified flood-prone communities that
do not qualify for the national flood insurance program within
one year after such notification or by the date specified in
section 202, whichever is later, shall thereafter be subject
to the provisions of that section relating to flood-prone com-
munities which are not participating in the program. "

Designated communities which do not take the necessary steps to participate in this

program will be denied Federal financial assistance within the diaster prone areas:

"Effect of Nonparticipation in Flood Insurance Program

"Sec. 202. (a) No Federal officer or agency shall
approve any financial assistance for acquisition or con-
struction purposes on and after July 1, 1975, for use in
any area that has been identified by the Secretary as an
area having special flood hazards unless the community
in which such area is situated is then participating in the
national flood insurance program.

"(b) Each Federal instrumentality responsible for the
supervision, approval, regulation, or insuring of banks,
savings and loan associations, or similar institutions shall
by regulation prohibit such institutions on and after July 1 ,
1975, from making, increasing, extending, or renewing
any loan secured by improved real estate or a mobile home
located or to be located in an area that has been identified
by the Secretary as an area having special flood hazards,
unless the community in which such area is situated is then
participating in the national flood insurance program.

Originally in the 1968 statute, disaster relief was denied to persons who could have

purchased flood insurance for a year or more and did not do so. This was considered a

disincentive for participation in the program as well as inequitable since only those

persons living in participating communities would be penalized. This section (1314) was

repealed and replaced with section 202 of the 1973 statute cited above. In essence, the

penalty is the denial of Federal assistance for the acquisition of land or buildings within

non-participating communities. However, non-participating communities are still

entitled to disaster relief assistance.

VI-35

Any potential program participant must have adopted adequate land use and con-

trol measures prior to participation in the flood insurance program. The land use

measures (with effective enforcement provisions) must be consistent with the compre-
hensive criteria for land management and use in accordance with section 1361 (c).Y

These criteria for land management as currently set forth by the Secretary are

"to encourage, where necessary, the adoption of adequate state and local measures

which to the maximum extent feasible , will

(1) constrict the development of land which is exposed to flood
damage where appropriate,

(2) guide the development of proposed construction away from
locations which are threatened by flood hazards,

(3) assist in reducting damage caused by floods, and

(4) otherwise improve the long-range land management and use of
flood-prone areas, and he shall work closely with and provide
any necessary technical assistance to State, interstate, and
local governmental agencies, to encourage the application of
of such criteria and the adoption and enforcement of such
measures. (Sec. 1361 (c)).

Regulations for implementation of this program were published in: Title 24 of the

Department of Housing and Urban Development, Chapter X - Federal Insurance Adminis-

tration, Subchapter B - National Flood Program. Minimum standards for land use and

control measures for flood and mudslide prone areas are stated in part 1910 of these

regulations.

These standards difFer in their application among communities in which:

0 The administrator has not identified the hazard areas.

I/ This information received from HUD staff member, Joe Coughlin on September 18
1974.

VI-36

0 The Administrator has identified the hazard areas but not supplied
supporting data and land characteristics.

0 The Administrator has identified the hazard areas and supplied
varying amounts of supporting data.

As the terms of these different standards do not differ substantially, only the major

elements of the standards are listed below. A reproduction of the detailed standards

follows this discussion. The principal elements include:

0 building permit requirements;

0 review procedures for building and subdividing;

0 regulation of new construction and non-conforming uses;

0 water and sewer system replacement;

0 coordination with other hazard area management programs.

The regulations further explicitly address this last element. Section 1910.26 relates

that participating communities should coordinate their flood control programs with other

relevant programs:

-"j1910.26 Loedl-Coordination.-::...

"(a) Local flood plain and mudslide area management,
flood forecasting, flood and mudslide emergency preparedness,
and flood and mudslide control and damage abatement programs
should be coordinated with relevant Federal, State, and
regional programs.

"(b) A locality adopting land use and control measures
pursuant to these criteria should arrange for coordination with
the appropriate State agency of its program of information and
education designed to promote public acceptance and use of
sound flood plain and mudslide area management practices."

Although this coordination is not mandatory, it should facilitate coordination with

the statutory requirements and land use controls under Federal resource management

VI-37

programs, with particular relevance to the CZMA and FWPCA programs. In addition,

state leadership is encouraged in the flood control program. This will further enhance

coordination among related programs. The states role in the application and adminis-

tration of the flood control program should include:

11910.25 State coordination.

"(1) Enacting land use and control measures which regulate
flood plain and mudslide area land use;

"(2) Enacting where necessary, legislation to enable counties
and municipalities to regulate flood plain and mudslide area land
use;

(3) Designating an agency of the State government to be
responsible for coordinating Federal, State, and local aspects
of flood plain and mudslide area management activities in the
State;

"(4) Assisting in the delineation of mudsl 'Ide areas, riverine
floodways, and coastal high hazard areas and providing all relevant
technical data to the Administrator;

"(5) Establishing minimum State flood plain and mudslide
regulatory standards consistent with those established in this
part;

"(6) Guiding and assisting municipal and county public
bodies and agencies in developing flood plain and mudslide in
developing flood plain and mudslide area management plans
and land use and control measures;

"(7) Recommending priorities for ratemaking studies among
those communities of the State which qualify for such studies;

"(8) Communicating flood plain and mudslide area infor-
mation to local governments and to the general public;

"(9) Participating in flood and mudslide warning and
emergency preparedness programs;

"(10) Assisting communities in disseminating information
on minimum elevations for structures permitted in flood plain
and mudslide areas having special hazards;

VI -38

"(11) Advising public and private agencies (particularly
those whose activities or projects might obstruct drainage or
the flow of rivers or streams or increase slope instability) on the
aVoidance of unnecessary aggravation of flood and mudslide
hazards;

"(12) Requiring that proposed uses of flood plain and
mudslide-prone areas conform to standards established by State
environmental and water pollution control agencies to assure
that proper safeguards are being provided to.prevent pollution;
and

"(13) Providing local communities with information on the
i
program, with particular emphasis on the coordination of State
and Federal requirements pertaining to the management of
flood-prone and mudslide-prone areas.

"(b) For States whose flood plain management program substantially
encompass the activities described in paragraph (a) of this section, the
Administration will -

"(1) Give special consideration -to State priority recommen-
dations before selecting communities for ratemaking studies from
the register described in �1909.23 of this subchapter; and

"(2) Seek State approval of local flood plain and mudslide
area land use and control measures before finally accepting
such measures as meeting the requirements of this part.

As most subdivision, construction, and house purchases today receive some form of

Federal financial assistance, there is sufficient incentive for state and local participation

in the program. This will consequently result in the regulation of all land uses in

recognized disaster prone areas of the nation. Such regulation will be most effective as

a part of the land and resource management programs established under the Federal water,

air and coastal zone statutes. Assuming effective program implementation, and integration

with these relevant regulatory programs, the greatest merit of this program is the deterrence

of continuted construction which is destined to risk the lives and property of citizens.

VI-39

Title 24 of the Department of Housing and Urban Development, Chapter X -

Federal Insurance Administration, Subchapter B - National Flood Program sets forth

the following Requirements for Land Use and Control Measures:

11910.3 Required land use and control measures for flood-prone areas.

"Minimum standards for communities are as follows:

H(a) When the Administrator has not defined the special flood
hazard areas within a community, has not provided water surface
elevation data and/or has not provided sufficient data to identify the
floodway or coastal high hazard area, the community must

"(1) Require building permits for all proposed construction
or other improvements in the community;

"(2) Review all building permit applications for new con-
struction or substantial improvements to determine whether
proposed building sites will be reasonably safe from flooding.
If a proposed building site is in a location that has a flood
hazard, any proposed new construction or substantial improve-
ment Cincluding prefabricated and mobile homes) must (i) be
designed (or modified) and anchored to prevent flotation,
collapse, or lateral movement of the structure, (ii) use con-
struction materials and utility equipment that are resistant to
flood damage, and (iii) use construction methods and practices
that will minimize flood damage;

"(3) Review subdivision proposals and other propsed new
developments to assure that (i) all such proposals are consistent
with the need to minimize flood damage, (ii) all public utilities
and facilities, such as sewer.. gas, electrical, and water systems
are located, elevated, and constructed to minimize or eliminate
flood damage, and (iii) adequate drainage is provided so as to
reduce exposure to flood hazards; and

"(4) Require new or replacement water supply systems and/or
sanitary sewage systems to be designed to minimize or eliminate
infiltration of flood waters into the systems and discharges from
the systems into flood waters, and require on-site waste disposal
systems to be located so as to avoid impairment of them or con-
tamination from them during flooding.

(6) When the Administrator has identified the flood plain area
having special flood hazards, but has produced neither water surface
elevation data nor data sufficient to identify the floodway or coastal
high hazard area, the minimum land use and control measures adopted
by the community for the flood plain must--

VI-40

"(1) Take into account flood plain management programs,
if any, already in effect in neig hboring areas;

"(2) Apply at a minimum to all areas identified by the
Administrator as flood plain areas having special flood hazards;

"(3) Provide that within the flood plain area having special
flood hazards, the laws and ordinances concerning land use and
control and other measures designed to reduce flood losses shal I
take precedence over any conflicting laws, ordinances, or codes;

"(4) Require building permits for all proposed construction
or other improvements in the flood plain area having special
flood hazards;

"(5) Review buidling permit applications for major repairs
within the flood plain area having special flood hazards to
determine that the proposed repair (i) uses construction materials
and utility equipment that are resistant to flood damage, and
(ii) uses construction methods and practices that will minimize
f lood damage;

"(6) Review building permit applications for new construction
or substantial improvements within the flood plain area having
special flood hazards to assure that the proposed construction
Cincluding prefabricated and mobile homes) W is protected
against flood damage, (ii) is designed (or modified) and anchored
to prevent flotation, collapse or lateral movement of the structure,
(iii) uses construction materials and utility equipment that are
resistant to flood damage, and (iv) uses construction methods and
practices that will minimize flood damage;

"(7) Review subdivision proposals and other proposed new
developments to assure that (i) all such proposals are consistent
with the need to minimize flood damage, (ii) all public utilities
and facilities, such as sewer, gas, electrical, and water systems
are located, elevated, and constructed to minimize or eliminate
flood damage, and (iii) adequate drainage is provided so as to
reduce exposure to flood hazards; and

"(8) Require new or replacement water supply systems and/or
sanitary sewage systems to be designed to minimize or eliminate
infiltration of flood waters into the systems and discharges from
the systems into flood waters, and require onsite waste disposal
systems to be located so as to avoid impairment of them or con-
tamination from them during flooding.

VI-41

"(6) When the Administrator has identified the flood plain area
having special flood hazards, and has provided water surface elevations
for the 100-year flood, but has not provided data sufficient to identify
the floodway or coastal high hazard area, the minimum land use and
control measures adopted by the community for the flood plain must-

"M Meet the requirements of paragraph (b) of this section.

"(2) Require new construction of substantial improvements
of residential structures within the area of special flood hazards
fo have the lowest floor Oncluding basement) elevated to or
above the level of the 100-year flood;

"(3) Require new construction or substantial improvements
of non-residential structures within the area of special flood
hazards to have the lowest floor (including basement) elevated
to or above the level of the 100-year flood or, together with
attendant utility and sanitary facilities, to be floodproofed
up to the level of the I 00-year flood; and

"(4) In riverine situations, provide that until a floodway
has been designated, no use, including land fill, may be per-
mitted within the flood plain area having special flood hazards
unless the applicant for the land use has demonstrated that the
proposed use, when combined with all other existing and
anticipated uses, wi I I not increase the water surface elevation
of the 100-year flood more than I foot at any point.

"(d) When the Administrator has identified the riverine flood plain
area having special flood hazards, has provided water surface elevation
data for the 100-year flood, and has provided floodway data, the land
use and control measures adopted by the community for the flood plain
must -- "(1) Meet the requirements of paragraph (6) of this section;

"(2) Require new construction or substantial improvements
of residential structures within the area of special flood hazards
to have the lowest floor (including basement) elevated to or
above the level of the 100-year flood.

"(3) Require new construction or substantial improvements of
nonresidential structures within the area of special flood hazards
to have the lowest floor (including basement) elevated to or above
the level of the 100-year flood or, together with attendant utility
and sanitary facilities, to be floodproofed up to the level of the
100-year flood;

VI-42

"(4) Designate a floodway for passage of the water of the
100-year flood. The select-ion of the floodway shall be based
on the principle that the area chosen for the floodway must be
designed to carry the waters of the 100-year flood, without
in'breasing the water surface elevation of that flood more than
I foot at any point;

"(5) Provide that existing noncomforming uses in the flood-
way shall not be expanded but may be modified, altered, or
repaired to incorporate floodproofing measures, provided such
measures do not raise the level of the 100-year flood; and

"(6) Prohibit fill or encroachments within the designated
floodway that would impair its ability to carry and discharge
the waters resulting from the 100-year flood, except where the
effect on flood heights is fully offset by stream improvements.

(e) When the Administrator has identified the coastal flood
plain"area having special flood hazards, has provided water surface
elevation data for the 100-year flood, and has identified the coastal
high hazard area, the land use and control measures adopted by the
local government for the flood plain must

"(1) Meet the requirements of paragraph (b) of this section;

"(2) Require new construction or substantial improvements
of residential structures within the area of special flood hazards
to have the lowest floor Oncluding basement) elevated to or
above the level of the 100-year flood;

"(3) Require new construction or substantial improvements
of nonresidential structures within the area of special flood
hazards to have the lowest floor (including basement) elevated
to or above the level of the I 00-year flood or, together with
attendant utility-and sanitary facilities, to be floodproofed up
to the level of the 100-year flood;

"(4) Provide that existing uses located on land below the
elevation of the 100-year flood in the coastal high hazard
area shall not be expanded; and

"(5) Provide that no land below the level of the 100-year
flood in a coastal high hazard area may be developed unless the
new construction or substantial improvement (i) is located land-
ward of the reach of the mean high tide, (ii) is elevated on

VI-43

adequately anchored piles or columns to a lowest floor level
at or above the 100-year flood level abd securely anchored
to such piles or columns, and (iii) has no basement and has
the space below the lowest floor free of obstruction's so that
t6 impact of abnormally high tides or wind-driven water is
minimized.

11910.4 Required land use and control measures for mudsl ide areas.

"Minimum standards for communities are as follows:

(a) When the Administrator has determined that a community
is sub"ject to mudsl ides but has not yet identified any area within the
community as an area having special mudslide hazards, the community
must--

"(1) Require the issuance of a permit for any excavation,
grading, fill, or construction in the community; and

"(2) Require review of each permit application to deter-
mine whether the proposed site and improvements will be reasonably
safe from mudslides. If a proposed site and improvements are in a
location that may have mudslide hazards, a further review must be
made by persons qualified in geology and soils engineering; and
the proposed new construction, substantial improvement, or grad-
ing must (i) be adequately protected against mudslide damage and
(ii) not aggravate the existing hazard.

"(b) When the Administrator has delineated the mudsl ide areas
having special mudslide hazards within acommunity, the community
must (I) meet the requirements of paragraph (a) of this section and (2)
adopt and enforce as a minimum within such area or areas the pro-
visions of the 1970 edition of the Uniform Building Code, sections
7001 through 7006, and 7008 through 7015. The Uniform Building
Code is published by the International Conference of Building
Officials, 50 South Los Robles, Pasadena, Ca. 91101

VI-44

VII. FEDERAL ACTIVITIES IN THE WATERS OF THE COASTAL ZONE

While a state might well put major emphasis on the land-use di mensions of its program

for managing its coastal zone, the water side is significant as wel I .

Indeed, the def initi on of coastal zone in the Coastal Zone Management Act of 1972

clearly includes a water dimension:

"Coastal zone" means the coastal waters (including the lands
therein and thereunder) and the adjacent shorelands (including the
waters therein and thereunder), strongly influenced by each other
and in proximity to the shorelines of the several coastal states and
includes transitional and intertidal areas, salt marshes, wetlands,
and beaches. The zone extends, in Great Lakes waters, to the
international boundary between the United States and Canada
and in other areas, seaward to the outer I imit of the United States
territorial sea. The zone extends inland from the shorelines only to
the extend necessary to control shorelands, the uses of which have a
direct and significant impact on the coastal waters. Excluded from
the coastal zone are lands, the use of which is by law subject solely
to the discretion of or which is held in trust by the Federal Govern-
ment, its officers or agents. " [Section 304(a)]

There is an inevitable interaction between coastal lands and coastal waters--both

constituting the coastal zone--and the purpose of the Coastal Zone Management Program,

as stated in the Congressional Findings section of the Act, is "to encourage the states to

exercise their full authority over the lands and waters in the coastal zone by assisting the

states, in cooperation with Federal and local governments and other vitally affected

interests, in developing land and water uses programs for the coastal zone. . . " [Section

302 (h)] .

Federal agencies are to cooperate with the states in managing the coastal waters.

There is, of course, a certain amount of controversy between some states and the Federal

VII-1

government as to jurisdiction over some coastal waters. Some states, for instance are

claiming their jurisdiction extends 200 miles from the coastline. However, the Act

delimits the boundary for the purpose of the Act to international boundaries of the coastal

waters. This in effect delimits the water portion of the zone to the three mile limit.

It is certainly true that the Federal government has a long-standing and deep interest

in coastal waters, an interest that is being intensified with searches for energy and the

dangers of pollution of the ocean environment.

Within the Federal government, too, there is a good deal of overlap as between

agencies in their responsibility for aspects of coastal waters. Just as their is no single

Federal interest or overarching program on the land side of the coastline, so different

laws and agencies represent different approaches to regulating the use of coastal waters.

A coastal state that wishes to participate in the Coastal Zone Management program

must thread its way through uncoordinated Federal policies in coastal waters in sufficient

detail to (1) assure Federal approval of its management program, and .(2) facilitate Federal

agenc.y compliance with that management progr am.

The brief description of Federal coastal-water programs that follows is designed to

help states in this task. These Federal programs may be divided into those research

activities that wil I help a state prepare its management program, and those direct Federal

activities that will influence the coastal zone over which the state hopes to consolidate

its management responsibilities.

A. Federal Marine Science

One of the most helpful documents is the Annual Report to the President from the

Office of Science and Technology, The Federal Ocean Program, which is prepared in

VII-2

accordance with the Marine Resources and Engineering Development Act of 1966. The

April 1973 report describes a representative number of Federal activities in the field of
marine sciences from which the following discussion is derived. I/

The Environmental Protection Agency (EPA) is presently designing a National

Coastal Water Quality Monitoring Network integrating existing capabilities at the

Federal, state, and local levels of government. NOAA's National Marine Fisheries

Service, working in cooperation with EPA, maintains 190 coastal stations to establish

'baselines and examine trends in areas where pesticide residues may be accumulating.

Preliminary results from EPA contracts indicate that, of more than 3,000 coastal

and Great Lakes public beaches surveyed, some 300 were closed in 1972. In most

instances these closings were directly attributable to sewage treatment system break-

downs. The effect of pollution on shel If ish -growing areas in the coastal zone was also

reviewed by EPA. The results of these surveys will be published as a series of National

Ocean Survey charts.

The Department of the Interior's National Water Data Program continues to provide

multipurpose water data to agencies at al I governrrfental levels responsible for managing,

developing, improving, or protecting the coastal environment. In 1972, data on long-

term fresh water inflow were obtained at more than 600 gauging stations in the Nation's

estuaries, with water quality data available from about 30 stations.

The Naval Civil Engineering Laboratory in 1972 continued development of the Navy

Environmental Protection Data Base, which will serve over 240 major naval activities in

the continental United States and foreign countries. The pollutants to be monitored will

be based upon the results of a two-year pilot program conducted at three representative

I/ The Federal Ocean Progra (Washington: U.S. Government Printing Office, April 197"3).

VII-3

sites--a naval fleet activity, a naval air station, and a naval munitons depot. The major

aim of the program is to enable the Navy to evaluate the effects of its operation on the

environment, as well as the success of pol I ution -abatement programs. Additionally,

the Navy will compile an inventory of appropriate Federal, state and local laws to insure

that its po I I ution -abatement program meets legislative requirements.

The Corps of Engineers' conducts on-going research into general coastal engineering

problems. This research supports the Corps' extensive civil works programs and regulatory

responsibilities in the coastal zone and on the Outer Continental Shelf. The results are

widely disseminated and are extensively used by the private sector, local and state

governments, and other Federal agencies as well as the Corps.

A national assessment of the shores and beaches of coastal and Great Lakes waters

is available in maps and reports which show shore erosion, ownership and use, shoreline

characteristics and erosion effects, and the location of shore parks and protective works.

This is part of the National Shoreline Study of the Corps, which has been transmitted

to Congress.

Research in coastal zone regions is emphasized in the National Science Foundation's

(NSF) Research Applied to National Needs (RANN) program. The RANN program in

1972 included studies of the effects on estuaries of waste discharge and dumping, effects

of engineering activities, management strategies for ecologically important areas, and

methods for restoring damaged areas. The goal of RANN is to define workable strategies

for resolving conflicts between regional growth and development, and environmental

quality.

VII-4

NOAA's Marine Ecosystem Analysis (MESA) program presents a major effort to describe

in a systematic way the significant features of marine environmental interrelationships.

Estuarine and coastal zone research is being carried out on both coasts and in Alaska

with support from the Atomic Energy Commission (AEC).

The marine sciences research program of the AEC is directed toward determining

those environmental factors which influence the movement of radioelements through the

marine environment, the possible means and rates of return of radioactivity to man through

marine food webs, and basic ecological processes. Within this broad program are studies

of biological, physical, and chemical oceanography, and studies related to operational

activities such as the impact of waste heat from nuclear power stations on the local

ecology at such sites.

As nuclear power-plant siting in the estuarine and coastal areas increases, studies

must be accelerated on trace-element cycling, modeling of water circulation and sedi-

mentation, productivity at various levels of the food web, and the effects of waste beat

and other non-nuclear discharges on the general ecology of the region. Insight into the

physical and biological dynamics of the system is essential in order to predict the response

of the marine ecosystem to man-induced stresses - The AEC is accelerating portions

of its marine research program toward increasing present understanding of effects on the

marine environment of nuclear power-plant operations. The U.S. Coast Guard, in 1972,

collected periodic temperature -so I ini ty-d epth profiles at 12 stations on the continental

shelf as part of the light-ship/light-station sampling program. In addition, monthly maps

showing sea surface temperature variations and certain biological phenomena were pre-

pared from airborne radiation thermometer coverage of Atlantic and Pacific shelf areas.

VI 1-5

Prediction of tides and tidal currents by NOAA's National Ocean Survey is the

Nation's oldest marine environmental service. In 1972, 125 permanent tide gauges were

in operation along the coasts and within major embayments of the United States, Puerto

Rico, and other territories and possessions. The National Ocean Survey also operated

51 permanent water-level gauging stations and 60 to 80 temporary ones in the Great

Lakes area last year.

While there is an Interagency Committee on Marine Science and Engineering (chaired

and staffed by NOAA), there is no single place for a state to secure information about

these Federal research activities. Contact must be maintained in most cases with each

Federal agency and its state research counterpart.

There would appear to be two major current areas of direct Federal activity that

affect a state's coastal management: offshore drilling for minerals, and deepwater ports.

B. Development of the Outer Continental Shelf

There is no question but that offshore drilling will assume greater proportions as the

search for new energy sources is accelerated, and the major responsibility is the Federal

government's.

The President's Council on Environmental Quality, however, in a 1974 environmental

impact evaluation of drilling in the outer continental shelf for petroleum, observed:

The Department of the Interior administers oiT and gas leases on the ou e
shelf. Within the Interior, the Bureau of Land Management (BLM) administers the leasing

1/ OCS Oil and Gas ---An r-_nvironmental Assessment, A report to the President by the
Council on Environmental Quality (Washington: CEQ, April 18, 1974), p. 8-9.

VI 1-6

provisions of the Outer Continental Shelf Lands Act, and the U.S. Geological Survey

oversees development of a tract once it has been leased and provides technical infor-

mation to BLM.-

Within the Department of Defense, several agencies operate upon or have jurisdiction

aver parts of the outer continental shelf and the superiacent waters. The Army Corps of.

Engineers issues permits for any use of navigable waters, including dredging and filling,

which may affect navigation. The Secretary of Defense has the power, with the approval

of -the President, to withdraw any area of the shelf from exploration and development if

there is a national defense need, although he must "avoid interference with the explora-

tion and exploitation of mineral resources of the Outer Continental Shelf ... to the maximum

extent practical

In addition to his responsibilities under the Coastal Zone Management Act and under

the Marine Protection, Research and Sanctuaries Actthe Secretary of Commerce may

designate marine sanctuaries as far seaward as the edge of the outer continental shelf for

the preservation or restoration of recreational, ecological, and aesthetic values. He may

issue regulations applicable within such sanctuaries, and no permit or license may be

granted for an activity within a sanctuary unless he certifies that it is consistent with

the act and his regulations. -

Within the Department of Transportation, the U.S. Coast Guard has general juris-

diction to "enforce or assist in the enforcement of all applicable Federal laws upon the

high seas and waters subject to the jurisdiction of the United States" and to

"promulgate and enforce regulations for the promotion
of safety of life and property on the high seas and on
waters subject to the jurisdiction of the United States
covering all matters not specifically delegated by law
to some other executive department.

VII-7
A

The Outer Continental Shelf Lands Act charges the Coast Guard with regulating structures

on the shelf to ensure safety and to protect navigation. The Coast Guard inspects and

certifies drilling rigs, maintains surveillance for oil spills, and enforc.es provisions of

international conventions relating to vessels and fisheries.

The Atomic Energy Commission has recently indicated interest in licensing nuclear

generating plants offshore. The Federal Power Commission and the Interstate Commerce

Commission have specific authority over pipelines in interstate commerce, the FPC over

-gas lines and the ICC over common carrier oil lines.

Under the Federal Water Pollution Control Act, the Environmental Protection Agency

has comprehensive regulatory authority over discharges of pollutants into U.S. navigable

waters, including the territorial sea, and into the high seas from U.S. point sources

other than vessels. The Act prohibits the discharge of a pollutant into U.S. waters or

the ocean (except from vessels) without a prior permit from EPA.

Geophysical information indicates the existence of favorable geological structures

for future discovery of petroleum at many places beneath the U.S. Outer Continental

Shelf (OCS). Federal leasing of OCS tracts, which permits exploratory drilling and

subsequent production from the favorable structures, has been limited chiefly to the Gulf

of Mexico and selected areas off the southern California coast. Altogether the leased

areas, which amount to almost 8 million acres, constitute but a small fraction of the

total area,of the shelf. Of the leases, about one-third are sites of present production,

one-third are sites of continuing exploration or development, and one-third have been

terminated following failure to find commercially producible reserves.

VII-8

The President has directed the Secretary of the Interior to take steps which would

triple the annual acreage leased on the OCS by 1979, beginning with expanded sales in

1974 in the GuV of Mexico and including areas beyond 200 meters in'depth under con-

ditions consistent with the President's Ocean Policy statement of May 1970. By 1985,

this accelerated leasing rate could increase annual production of hydrocarbons by an

estimated 1 .5 billion barrels of oil and 5 trillion cubic feet of natural gas.

There are legitimate concerns over the threat of environmental. damage. The

Council on Environmental Quality, working with the Environmental Protection Agency

and in consultation with the National Academy of Sciences and appropriate Federal

agencies, has completed a study of the environmental impact of oi I and gas production on

the Atlantic OCS and in the Gulf of Alaska.

The President has asked the Secretary of the Interior to develop a long-term leasing

program for all energy resources on public lands, based on a thorough analysis of the

nation's energy, environmental, and economic objectives.

CEQ has recommended that the Secretary of Commerce require that state coastal zone
plans consider refineries, transfer and conversion facilities, pipelines, and related develop-
ment as a condition of approval . It states that state coastal zone management agencies and
concerned Federal agencies should jointly participate in developing these portions of the plans.

C. Deepwa ter Ports
The expanding fleet of supertankers that now serv es Europe, Japan, and other
foreign areas having deepwater ports has demonstrated the economy and other benefits
of transporting oil by this means. Using supertankers rather than smaller vessels to

VII-9

deliver oil from the Middle East to the Atlantic and Gulf coasts of the United States

would allow major savings in transportation costs.

The waterway system of the United States consists of about 24,000 miles of navigable

rivers, canals and coastal waterways. About 16 per cent of domestic inter-freight ton

miles moves by water, with approximately 100 billion ton miles on the Great Lakes and

200 billion ton miles on the inland waterway systems, much of which is in the coastal

zone. About 1800 companies operate about 21 000 barges and over 4000 towbars on the

inland waterways. These operations represent an extremely efficient use of energy.

Traffic on the St. Lawrence Seaway--which is part of the Great Lakes portion of the

coastal zone--although at a record high, has been leveling off in recent years. Future

traffic trends are unclear as trade patterns and cargo-carrying technologies continue to

change, although some growth in overall volumes seems most likely. In the long run,

however, successful efforts to increase the Seaway system season, increase the use of

containers, and provide uninterrupted shipper/receiver service, combined with a more

stable world charter market, should provide for increasing traffic through the St. Lawrence

Seaway. Its capacity can easily be raised many-fo Id.

America's 130 deepwater ports (those with channels of 25 feet or more)--including

those on the Great Lakes--are a vital link between land and sea transportation. Respon-

sibility for transportation to, from and through these ports is divided at the Federal level

among:

Corps of Engineers, channel and harbor projects;

Maritime Administration, promotion of maritime commerce; and

0 Department of Transportation (primarily through the Coast Guard),
safety, navigation and security in ports, plus a general role in the
coordination of the transportation system.

VII-10

The principal port problems, according to a March 1974i/statement by the Secretary

of Transportation, are: (1) the need to provide off-loading facilities for very large crude
carriers (VLCC'si; (2) the dislocations being produced by the rapid shift of general cargo

from general cargo ships to container and barge-carrying ships; and (3) concern about

environmental impacts of port activities in the coastal zone.

There are at present approximately 600 active ocean-going U.S. flag ships aggregat-

ing slightly more than 13.5 million deadweight tons. As a result of 1970 legislation,

U.S. shipyards now have their greatest volume of business for large ocean-going ships in

any peacetime year. Eighty-eight ocean-going vessels are under construction or on order

valued at more than $3.4 billion. The fleet now contains highly specialized cargo carriers
such as containerships, roll-on/roll-off ships, and very large crude-carrying tankers.

A major cause of inefficiency in both passenger and freight transportation is'the lack

of close coordination among the various modes. This problem is compounded by the ,
historical development of separate systems of terminals by each of the modes. A priority

program is needed to lift unneeded restraints to intermodal cooperation and to encourage

the joint use of terminal and other facilities by all transportation modes.

Establishing the feasibility of deepwater port systems involves not only economic,

engineering, environmental, and operational factors for the offshore terminal itself, but

also such other considerations as distances to markets, availability of sites for storage or

refining facilities, and routes for interconnecting pipelines. Past and continuing activities

within the Federal marine science and engineering program have provided much essential

basic data for relevant studies.

1/ Statement by Claude S. Brinegar, Secretary of Transportation, before the House
Appropriations Subcommittee on Transportation, March 5, 1974, pp. 32-38, 49.

VII-11

The Corps of Engineers was authorized by Congress to conduct regional deepwateri/

port studies on the North Atlantic, Gulf, and Pacific coasts to determine efficient,

economic, and logical means of developing facilities to accommodate very large bulk

cargo carriers. This authorization resulted from the growing concern over the adequacy

of present U.S. harbor and channel facilities to accommodate the future needs of our

waterborne commerce, much of which will be moving in these supersize ships.

Prior to the initiation in FY72 of the regional deepwater port studies, the Corps of

Engineers undertook two major research efforts to provide an overal I appraisal of U.S.

deepwater port needs. The first research, completed in December 1971, provided an

assessment of foreign experience with deepwater port development. The second major

research, completed in August 1972, examined the overall need for deepwater ports. It

concentrated on identification of the factors critical to U.S. deepwater port decisions,

on development of the engineering, economic, and environmental criteria appropri ate

to the evaluation of deepwater port policies, on analyses of the development options

available at this time and the critical issues surrounding each, and an identification of

the critical issues which need further analysis.

Interim reports for the re gional deepwater port studies are nearing completion and

will be concerned with unique conditions in the respective regions under study. Each

report will strive to achieve two common objectives:

(1) Demonstrate the net advantage or disadvantage to the employment of

supership technology, and

I/ This section based on discussion in the Federal Ocean Program, op . pit. , pp. 26 ff.

VII-12

(2) In the event of adequate net advantage, identify the most likely

or most feasible sites or locations for the employment of supership

tec h rto Iogy within the respective regions under study; or conversely,

identify the most likely transportation system alternatives and

associated problems in the absence of deepwater port facilities.

Other Federal and state agencies, and industry, have contributed to coordinated

studies with the Corps to establish the most feasible solutions to the need for deepwater

ports. The Maritime Administration has supported a study of concepts and potential sites

for artificial islands along the Atlantic and Gulf coasts. The Coast Guard has undertaken

analyses of the anticipated effects of deepwater ports and use of supertankers on manage

ment of vessel traffic, incidence of accidents, and control of potential oil spillage. The

Department of the Interior assembled pertinent environmental, engineering, and operational

data for offshore oil plat forms and pipelines as a guide to the analysis of deepwater port

impacts.

Results of studies undertaken for other purposes have also proved useful . Studies of

offshore airports, powerplants, and waste disposal, or of wave effects on offshore structures,

have obvious relevance. Others, such as offshore cities, aquaculture, and seafloor

habitation, may seem less perfinent but have led to results and interpretations that also

apply to deepwater port considerations.

Academic institutions, industry, and the public have also contributed to agency and

interagency studies of deepwarter port concepts. The Sea Grant Program of NOAA, under
the guidance of the Council on Environmental Quality, supported investigations of

potential environmental impacts of offshore terminals. With direct interest in constructing

VI 1-13

and using the offshore facilities, various industry groups, especially those of the

petroleum industry having extensive foreign experience, have made independent studies

and contributed advice on all aspects of deepwater facilities. Oil industry groups are

at present in advanced stages of planning for monobuoy facilities on the Gulf coast and

elsewhere.

All of these efforts, together with appropriate inputs from an interagency group of

legal experts and from the Council of Enconomic Advisers, were coordinated in a White

House-sponsored study which resulted in the President's recent legislative proposal for

Federal licensing of offshore deepwater ports beyond the jurisdiction of the states. The

proposed legislation, which emphasizes environmental protection and requires compliance

with applicable laws and regulations of adjacent coast states, is consistent with U.S.

policies on law of the sea. The construction and operation of deepwater ports with

appropriate safeguards is deemed to be a reasonable use of the high seas and not to imply

national sovereignty in such areas.

It should also be mentioned that there is some competition between states in offshore

drilling and superports. Some states want such activity in their coastal waters and others

do not; and in some cases, ad jacent coastal states are vying for the same investment.

The point is that Federal activities in coastal waters do significantly affect a state's

coastal management.

Perhaps the Federal Energy Administration, in its liaison with the National Governors

Conference and with each Governor's office, will be the most appropriate place for

current information about direct Federal activities in the coastal waters.

VII-14

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