Browsing by Subject "Environmental management"

A vast range of theoretical and empirical studies now suggests that MPAs can conserve marine biodiversity and, under some circumstances, increase fishery yields. However, despite the importance of pelagic apex predators to ecosystem function, the effectiveness of spatial management for the conservation of pelagic apex predator species is still unknown. I used fishery-dependent logbook and observer datasets to assess fishing effort and both the catch and size of pelagic apex predator species around five different MPAs. The US Hawaii-based deep-set or Atlantic pelagic longline fisheries fish the waters around these MPAs; both of these fisheries have experienced multiple management measures over time to protect species and maximize fishery yield. The MPAs selected for this study range in size, age, level of protection, and reason for establishment. I found that only two MPAs of the five appeared to be benefitting the pelagic apex predator species that I selected: the DeSoto Canyon and East Florida Coast MPAs, both in the Atlantic Ocean. The size of yellowfin tuna around the DeSoto Canyon MPA borders has increased over time, as has fishing effort. In contrast, the size of swordfish has decreased near the boundary of the East Florida Coast MPA, although the catch of swordfish has increased. The increase in catch of smaller swordfish was not a surprise because the East Florida Coast MPA was established around an area that is a nursery habitat for swordfish. These results are promising for the use of static MPAs for the conservation of pelagic apex predators, but three of the MPAs in my study did not show any indication of increased fishing effort, increased catch, or changes in pelagic apex predator size near their boundaries over time. Therefore, the characteristics of the DeSoto Canyon and East Florida Coast MPAs may provide a template for how to best design new MPAs for pelagic apex predators. Both of these MPAs were established with the specific intent of reducing pelagic apex predator bycatch, in areas where there were historically high catch rates. Both areas are relatively large (> 85,000 km2) and are also closed year-round. In combination, these characteristics may provide protection for pelagic apex predators.

There have been few efforts to evaluate the actual and perceived effectiveness of environmental management programs created by consensus-based, multi-stakeholder negotiation or negotiated rulemaking. Previous evaluations have used perceived success among participants as a proxy for actual effectiveness, but seldom have investigated the ecological outcomes of these negotiations. Fewer still, if any, have compared the actual and perceived outcomes. Here I evaluate and compare the social and ecological outcomes of the negotiated rulemaking process of marine mammal take reduction planning. Take reduction planning is mandated by the U.S. Marine Mammal Protection Act (MMPA) to reduce the fisheries-related serious injuries and mortalities of marine mammals (bycatch) in U.S. waters to below statutory thresholds. Teams of fishermen, environmentalists, researchers, state and federal managers, and members of Regional Fisheries Management Councils and Commissions create consensus-based rules to mitigate bycatch, called Take Reduction Plans. There are six active Take Reduction Plans, one Take Reduction Strategy consisting of voluntary measures, and one plan that was never implemented. It has been 20 years since marine mammal take reduction planning was incorporated into the MMPA. Early evaluations were promising, but identified several challenges. In the past decade or more, the National Marine Fisheries Service (NMFS) has implemented measures to set up the teams for success.

I used data from formal Stock Assessment Reports to assess and rank the actual ecological success of five Take Reduction Plans (Harbor Porpoise, Bottlenose Dolphin, Atlantic Large Whale, Pelagic Longline, and Pacific Offshore Cetacean) in mitigating the bycatch of 17 marine mammal stocks. In addition, I employed social science data collection and analytical methods to evaluate Take Reduction Team participants' opinions of the take reduction negotiation process, outputs, and outcomes with respect to the ingredients required for successful multi-stakeholder, consensus-based negotiation (team membership, shared learning, repeated interactions, facilitated meetings, and consensus-based outputs). These methods included surveying and interviewing current and former Take Reduction Team participants; using Structural Equation Models (SEMs) and qualitative methods to characterize participant perceptions across teams and stakeholder groups; and identifying and exploring the reasons for similarities and differences among respondents, teams, and stakeholder groups. I also employed SEMs to quantitatively examine the relationship between actual and perceived ecological success, and contrasted actual and perceived outcomes by comparing their qualitative rankings.

Structural Equation Models provided a valid framework in which to quantitatively examine social and ecological data, in which the actual ecological outcomes were used as independent predictors of the perceived outcomes. Actual improvements in marine mammal bycatch enhanced stakeholder opinions about the effectiveness of marine mammal Take Reduction Plans. The marine mammal take reduction planning process has all of the ingredients necessary for effective consensus-based, multi-stakeholder negotiations (Chapter 2). It is likely that the emphasis that the National Marine Fisheries Service places on empirical information and keeping stakeholders informed about bycatch, marine mammal stocks, and fisheries facilitated this relationship. Informed stakeholders also had relatively accurate perceptions of the actual ecological effectiveness of the Take Reduction Plans (Chapter 3). The long timeframes over which the teams have been meeting generally have increased cooperation. The professionally trained, neutral facilitators have produced fair negotiations, in which most individuals felt they had an opportunity to contribute. Participant views of fairness significantly influenced their satisfaction with Take Reduction Plans, which significantly affected their perceptions about the effectiveness of those plans (Chapter 2). The mandate to create a consensus-based output has, for the most part, minimized defections from the negotiations and facilitated stakeholder buy-in.

In general, marine mammal take reduction planning is a good negotiated rulemaking process, but has produced mixed results (Chapters 1 and 2). Successful plans were characterized by straightforward regulations and high rates of compliance. Unsuccessful plans had low compliance with complex regulations and sometimes focused on very small stocks. Large teams and those in the northeastern U.S. (Maine to North Carolina) were least successful at reducing bycatch, which was reflected in stakeholder views of the effectiveness of these teams. Take Reduction Team negotiations have not always produced practical or enforceable regulations. Implementation of take reduction regulations is critical in determining plan success and identifying effective mitigation measures, but because of a lack of monitoring, has not been characterized consistently across most teams. Additionally, elements like the "Other Special Measures Provision" in the Harbor Porpoise Take Reduction Plan have undermined the negotiation process by allowing the National Marine Fisheries Service to alter consensus-based elements without consensus from the team, which has led to hostility, mistrust, and frustration among stakeholders.

The final chapter of this dissertation provides recommendations to improve the outcomes and make them more consistent across teams. I based these recommendations on the information gathered and analyzed in the first three chapters. They are grouped into four broad categories - team membership, social capital, fairness, and plan implementation. If the National Marine Fisheries Service implements these suggestions, both perceived and actual ecological effectiveness of marine mammal Take Reduction Teams should improve, allowing these teams to fulfill their maximum potential.

Despite decades of study, the question of how to achieve sustainable small-scale fisheries is unresolved. Because small-scale fishing is diverse and hard to control, one management approach places fishers at the center of decision-making. Common-pool resource theory has assembled a large body of evidence that resource users, without top-down state control, are able to devise and enforce rules that lead to long-term sustainable resource harvest. The social and ecological characteristics (“design principles”) are well known for systems where this collective action is predicted to spontaneously emerge. However, it is poorly known what precipitates collective action when these design principles are absent. This dissertation draws insights about this question from a seemingly successful case from Baja California Sur, Mexico, where fishers have voluntarily created no-fishing areas (“Fish Refuges” or “Zonas de Refugio Pesquero”) in collaboration with the government fisheries agency and a non-governmental organization, Niparajá, in the absence of the design principles. This work is based on an in-depth study of these Fish Refuges including 180 days in the field from 2016-2018, participant observation, informal interviews, journaling, and semi-structured interviews (n=66). First, I found that collective action was possible because stakeholders had three competing visions about what the Fish Refuges were, each associated with criteria and evidence of whether the Fish Refuges were effective. This implies that policy flexibility to accommodate competing goals and evaluation criteria could facilitate collaboration for fisheries management. Second, I found that fishers’ knowledge was integrated in a process that did not recognize its legitimacy though what I call “ping-pong hybridization”, where the locus of decision making moved between stakeholders who could draw on their own knowledge systems. This implies that policies may be able to integrate multiple knowledge systems if the locus of decision-making moves back and forth. Third, I found that the property rights regime change away from de facto open access was possible because fishers were able to trade formal fishing rights for informal management rights, closing a fishing area to gain government trust and partnership. This work implies that insecure, unofficial, and tenuous property rights may be a first step of property rights regime change to achieve sustainable fisheries. In conclusion, bottom-up approaches to fisheries management may benefit from processes where different stakeholders can define the goals and methods used, and draw on their own knowledge systems to assess success. Shifts away from open access may be precipitated when fishers demand decision-making rights, even if these rights are tenuous.

According to IPCC estimates, sea levels will rise between .18 and .6 meters by 2100. More recent estimates indicate that actual amounts of sea level rise may be much more, and that 1 meter of sea level rise by 2100 is likely a conservative estimate. These rising sea levels will result not only in more flooding during storm events, but also increased erosion and gradual inundation of coastal property. At the same time, coastal populations in the United States continue to increase rapidly: over half of all Americans live in coastal counties, and at least 25 million more people are expected to move to the coast by 2015. The end result is that human populations, coastal infrastructure, and coastal ecosystems will become increasingly vulnerable to the impacts of climate change. This study examines the political and legal constraints to and opportunities for adaptation to rising sea levels. Using legal and policy analysis and case studies from California, North Carolina and Texas, this study explores the ability of governments to use market tools, land use regulations, and property acquisition to promote adaptation to rising sea levels. Because of market dynamics and political factors including flaws in public risk perception, I conclude that governments who wish to avoid extensive coastal engineering, , can address coastal community vulnerability through a combination of regulations and incentives that spur state and local governments to engage in forward land use planning and other measures to reduce their exposure to sea level rise impacts.

Sustainable water management is needed to ensure quality supplies of our vital water resources in the face of growing human demand for water, high levels of pollution, and increasing spatial and temporal variability associated with climate change. An integrated approach to water management is recommended to address current water challenges, which are often interrelated with other environmental, economic and social issues. Universities and colleges have missions, resources, and contexts that could enable them to lead the process of developing and applying sustainable and integrated water resource management (IWRM). The opportunity to exemplify integrated water management has grown as institutions of higher education have made progress towards incorporating environmental sustainability into teaching, research, and campus operations. This dissertation examines the issue of campus water management at institutions of higher education through a review of campus sustainability literature, a survey of sustainability and facilities managers, and case studies of three campus water-related projects.

Findings from the review of campus sustainability literature and websites suggests water is less of a campus management priority than issues such as energy and climate change; furthermore, where water is addressed, the focus is on water conservation, while water quality management is overlooked. IWRM is not explicitly discussed in the campus sustainability literature reviewed, though principles relevant to IWRM are included in some campus sustainability declarations and programs. Results from the survey substantiate the findings from literature review that water management is less of an institutional priority than energy management and water quality management is often underemphasized in campus management. According to the survey respondents, campus water management at the institutions represented was on average just adequately managed and institutions were minimally prepared to deal with several types of future water problems. Facilities managers tended to rate their institution's water management as slightly more effective compared to sustainability coordinators. Many campuses relied on top-down, engineering based water management approaches, rather than integrated and interdisciplinary water management. Individual initiatives, municipal codes and policies, campus community sustainability awareness, and campus environmental projects served as drivers for more sustainable water management, while budget constrains were a common barrier. Logistic regression analysis of the survey data revealed that institutions featuring stream and wetland restoration projects had greater odds of being described as having a developed watershed plan and taking into consideration multidisciplinary approaches to water management.

Case studies showed that wetland creation and restoration projects can serve as effective teaching and research laboratories for institutions of higher education, but that none of the studied cases fully exemplified IWRM in their operation. Of the three cases studied, the Stream and Wetland Assessment Management Park project at Duke University most closely demonstrated a campus project designed and developed to address water problems in the campus watershed, while also offering an effective outdoor teaching and research laboratory for hundreds of students, professionals, and researchers. The Olentangy River Wetland Research Park case at Ohio State University exemplified the potential for wetland creation and restoration projects to serve as a facility for educating thousands of students and visitors, training dozens of water experts, and influencing wetland and water resource management beyond the campus. The Radford University Stormwater Treatment Wetland Project case illustrated the potential for institutions with limited space and resources to establish effective outdoor teaching laboratories using environmental features already present or in development on campus.

Findings from the review, survey and case studies all point toward the need and opportunity for institutions of higher education to make greater efforts at implementing and promoting sustainable and integrated water resource management. Literature review and survey findings reveal that water is frequently overlooked as environmental resource at universities and colleges, while other environmental issues such as energy, climate change and recycling are prioritized in sustainability plans and efforts. Universities and colleges have made progress addressing water conservation, while water quality and stormwater need further attention and an integrated approach for more effective management.

Estuaries interfacing with the land, atmosphere and open oceans can be influenced in a variety of ways by anthropogenic activities. Centuries of overexploitation, habitat transformation, and pollution have degraded estuarine ecological health. Key concerns of public and environmental managers of estuaries include water quality, particularly the enrichment of nutrients, increased chlorophyll a concentrations, increased hypoxia/anoxia, and increased Harmful Algal Blooms (HABs). One reason for the increased nitrogen loading over the past two decades is the proliferation of concentrated animal feeding operations (CAFOs) in coastal areas. This dissertation documents a study of estuarine eutrophication modeling, including modeling of major source of nitrogen in the watershed, the use of the Bayesian Networks (BNs) for modeling eutrophication dynamics in an estuary, a documentation of potential problems of using BNs, and a continuous BN model for addressing these problems.

Environmental models have emerged as great tools to transform data into useful information for managers and policy makers. Environmental models contain uncertainty due to natural ecosystems variability, current knowledge of environmental processes, modeling structure, computational restrictions, and problems with data/observations due to measurement error or missingness. Many methodologies capable of quantifying uncertainty have been developed in the scientic literature. Examples of such methods are BNs, which utilize conditional probability tables to describe the relationships among variables. This doctoral dissertation demonstrates how BNs, as probabilistic models, can be used to model eutrophication in estuarine ecosystems and to explore the effects of plausible future climatic and nutrient pollution management scenarios on water quality indicators. The results show interaction among various predictors and their impact on ecosystem health. The synergistic eftects between nutrient concentrations and climate variability caution future management actions.

BNs have several distinct strengths such as the ability to update knowledge based on Bayes' theorem, modularity, accommodation of various knowledge sources and data types, suitability to both data-rich and data-poor systems, and incorporation of uncertainty. Further, BNs' graphical representation facilitates communicating models and results with environmental managers and decision-makers. However, BNs have certain drawbacks as well. For example, they can only handle continuous variables under severe restrictions (1- Each continuous variable be assigned a (linear) conditional Normal distribution; 2- No discrete variable have continuous parents). The solution, thus far, to address this constraint has been discretizing variables. I designed an experiment to evaluate and compare the impact of common discretization methods on BNs. The results indicate that the choice of discretization method severely impacts the model results; however, I was unable to provide any criteria to select an optimal discretization method.

Finally, I propose a continuous variable Bayesian Network methodology and demonstrate its application for water quality modeling in estuarine ecosystems. The proposed method retains advantageous characteristics of BNs, while it avoids the drawbacks of discretization by specifying the relationships among the nodes using statistical and conditional probability models. The Bayesian nature of the proposed model enables prompt investigation of observed patterns, as new conditions unfold. The network structure presents the underlying ecological ecosystem processes and provides a basis for science communication. I demonstrate model development and temporal updating using the New River Estuary, NC data set and spatial updating using the Neuse River Estuary, NC data set.

The protection of global biodiversity and the conservation of the earth’s natural resources are paramount to future wellbeing of mankind. Humans are a hugely influential part of the global ecosystem, and the ways in which we use, create, and change global biodiversity patterns are as important to understand as the ways in which those patterns function without our interference. Of more specific importance is an understanding of the ways in which human values, behaviors and practices (especially those surrounding leadership, management, and finance) relating to biodiversity management can be helpful or harmful as we attempt to meet our self-determined goals of global conservation.

To that end, the first chapter of this dissertation focuses on the potential influence of leadership and management on outcomes in wildlife reintroduction programs. Wildlife reintroductions and translocations are statistically unlikely to succeed. Nevertheless, they remain a critical part of conservation because they are the only way to actively restore a species into a habitat from which it has been extirpated. Past efforts to improve these practices have attributed the low success rate to failures in the biological knowledge (e.g., ignorance of social behavior, poor release site selection), or to the inherent challenges of reinstating a species into an area where threats have already driven it to local extinction. Such research presumes that the only way to improve reintroduction outcomes is through improved biological knowledge. This emphasis on biological solutions may have caused researchers to overlook the potential influence of other factors on reintroduction outcomes. I employed a grounded theory approach to study the leadership and management of a successful reintroduction program (the Sea Eagle Recovery Project in Scotland, UK) and identify four critical managerial elements that I theorize may have contributed to the successful outcome of this 50-year reintroduction. These elements are:

(i) Leadership & Management: Small, dedicated team of accessible experts who provide strong political and scientific advocacy (“champions”) for the project.

(ii) Hierarchy & Autonomy: Hierarchical management structure that nevertheless permits high individual autonomy.

(iii) Goals & Evaluation: Formalized goal-setting and regular, critical evaluation of the project’s progress toward those goals.

(iv) Adaptive Public Relations: Adaptive outreach campaigns that are open, transparent, inclusive (esp. linguistically), and culturally relevant.

This study represents an initial, but valuable inquiry into the ways in which leadership and management can impact programmatic (and therefore, biodiversity) outcomes.

The second chapter of this dissertation explores the potential relationship between financial mechanisms and outcomes in non-governmental biodiversity conservation programs. Although local laws, trends, and markets forces often shape the specific laws and market conditions under which conservation transactions occur, focusing analysis on the broader mechanisms of transfer may provide new opportunities to identify patterns, improve efficiency, and link transfer mechanisms to conservation outcomes.

Through a series of seven brief, descriptive case studies built around interviews with senior officers at US non-governmental organizations, this chapter seeks to highlight potential linkages between inflows of conservation dollars, financial mechanisms used to transfer them to conservation actors/entities/organizations, and eventual outflows of conservation dollars into measurable outcomes. This chapter also presents a preliminary framework for categorizing mechanisms and predicting their impacts on availability and outflow of conservation dollars. Although the framework fails to predict all outcomes, its failure highlights several emergent themes in the impact of financial mechanism, including:

(i) longer time horizons of funding availability can decrease the value of conservation investments, but increase accountability

(ii) time-bound (or time-limited) funding mechanisms can create uncertainty and decrease investment in program outcomes

(iii) mechanisms granting greater control to donors/investors can decrease the autonomy and adaptability of conservation organizations, and can skew outcomes toward donor biases

We hope that these results are useful as a first step toward the greater consideration of financial mechanisms in conservation planning and financial analysis.

The third chapter of this dissertation applies principles of the first two chapters as part of an in-depth look at one conservation initiative: the Anne K. Taylor Fund’s Boma Fortification Program, taking place in Narok County, Kenya. In the pastoral steppe of East Africa, lions (Panthera leo) kill livestock. The subsequent lethal retaliation by livestock owners has helped reduce lion numbers by more than 80% and driven it from most of its historic range. This conflict is especially intense along the western edge of the Maasai Mara National Reserve in Kenya, where some of the densest lion and livestock populations in Africa overlap.

We evaluated the efficacy and cost-effectiveness of implementation for one proposed solution – the Anne K. Taylor Fund’s subsidized construction of fortified, chain-link livestock fences (‘bomas’) – in reducing livestock loss to depredation. We collected 375 predation reports from 308 semi-structured household interviews and predation records. We used these data to study the impact of subsidised boma fortification on the depredation of cattle, sheep and goats. Of 179 fortified bomas, 67% suffered no losses over one year; of 60 unfortified bomas, only 15% had no losses over one year. Furthermore, losses of greater than five animals per year occurred at only 17% of fortified bomas, compared to 57% of unfortified bomas. The overall reduction in losses to predation at fortified bomas equated to savings of more than $1,200 USD per household per year, but with a return on investment of 778%, partially fortified bomas are vastly more cost effective than fully fortified bomas (return on investment = 349%).

However, the broad applicability of the boma fortification approach is uncertain, as its financial structure relies heavily on a single large donor to act as subsidizing entity. This single-supplier approach introduces cost inefficiencies, as well as supply chain vulnerabilities. Future fortification programs should consider alternative decentralized approaches to strengthen supply lines and scale the solution.

These chapters collectively represent a thorough examination of the human dimensions of conservation – and the ways in which leadership, management, finance, and valuation can contribute to harmful or helpful outcomes in the effort to preserve global biodiversity.

The rise of the twenty-first century has seen the further increase in the industrialization of Earth’s resources, as society aims to meet the needs of a growing population while still protecting our environmental and natural resources. The advent of the industrial bioeconomy – which encompasses the production of renewable biological resources and their conversion into food, feed, and bio-based products – is seen as an important step in transition towards sustainable development and away from fossil fuels. One sector of the industrial bioeconomy which is rapidly being expanded is the use of biobased feedstocks in electricity production as an alternative to coal, especially in the European Union.

As bioeconomy policies and objectives increasingly appear on political agendas, there is a growing need to quantify the impacts of transitioning from fossil fuel-based feedstocks to renewable biological feedstocks. Specifically, there is a growing need to conduct a systems analysis and potential risks of increasing the industrial bioeconomy, given that the flows within it are inextricably linked. Furthermore, greater analysis is needed into the consequences of shifting from fossil fuels to renewable feedstocks, in part through the use of life cycle assessment modeling to analyze impacts along the entire value chain.

To assess the emerging nature of the industrial bioeconomy, three objectives are addressed: (1) quantify the global industrial bioeconomy, linking the use of primary resources with the ultimate end product; (2) quantify the impacts of the expaning wood pellet energy export market of the Southeastern United States; (3) conduct a comparative life cycle assessment, incorporating the use of dynamic life cycle assessment, of replacing coal-fired electricity generation in the United Kingdom with wood pellets that are produced in the Southeastern United States.

To quantify the emergent industrial bioeconomy, an empirical analysis was undertaken. Existing databases from multiple domestic and international agencies was aggregated and analyzed in Microsoft Excel to produce a harmonized dataset of the bioeconomy. First-person interviews, existing academic literature, and industry reports were then utilized to delineate the various intermediate and end use flows within the bioeconomy. The results indicate that within a decade, the industrial use of agriculture has risen ten percent, given increases in the production of bioenergy and bioproducts. The underlying resources supporting the emergent bioeconomy (i.e., land, water, and fertilizer use) were also quantified and included in the database.

Following the quantification of the existing bioeconomy, an in-depth analysis of the bioenergy sector was conducted. Specifically, the focus was on quantifying the impacts of the emergent wood pellet export sector that has rapidly developed in recent years in the Southeastern United States. A cradle-to-gate life cycle assessment was conducted in order to quantify supply chain impacts from two wood pellet production scenarios: roundwood and sawmill residues. For reach of the nine impact categories assessed, wood pellet production from sawmill residues resulted in higher values, ranging from 10-31% higher.

The analysis of the wood pellet sector was then expanded to include the full life cycle (i.e., cradle-to-grave). In doing to, the combustion of biogenic carbon and the subsequent timing of emissions were assessed by incorporating dynamic life cycle assessment modeling. Assuming immediate carbon neutrality of the biomass, the results indicated an 86% reduction in global warming potential when utilizing wood pellets as compared to coal for electricity production in the United Kingdom. When incorporating the timing of emissions, wood pellets equated to a 75% or 96% reduction in carbon dioxide emissions, depending upon whether the forestry feedstock was considered to be harvested or planted in year one, respectively.

Finally, a policy analysis of renewable energy in the United States was conducted. Existing coal-fired power plants in the Southeastern United States were assessed in terms of incorporating the co-firing of wood pellets. Co-firing wood pellets with coal in existing Southeastern United States power stations would result in a nine percent reduction in global warming potential.

Environmental non-governmental organizations are now major players in environmental science and conservation. The largest now produce applied conservation science and work on local, national, and international scales and across scales to conserve marine and terrestrial ecosystems and connect local level environmental issues to international economic and political processes. However, despite the growing role of these organizations, there is still a lack of comprehensive examinations of their programs with a full analysis of programmatic design, structure, processes, and outcomes.

To fill this gap in both conservation practice and academic theory, I conducted a multi-scalar examination of Conservation International's Marine Management Area Science initiative. This $12.5 million initiative, lasting from 2005 until 2010 and funded by the Gordon and Betty Moore Foundation, had four main nodes of research and conservation work: Fiji, Belize, Eastern Tropical Pacific Seascape, and Brazil. Using non-governmental organization and science and technology studies literature as a theoretical framework, I endeavored to determine what factors affect how environmental non-governmental organizations manage the boundaries across multiple scales and between science and policy in international marine management area science initiatives. Drawing upon methodological approaches in multi-sited ethnography and participant action research, I conducted qualitative field research at each of the initiative's four main node sites and at Conservation International's headquarters, while simultaneously engaging with Conservation International so to return results back to the organization for adaptive management and learning.

My results are consistent with theoretical predictions and lend lessons learned to conservation practice. My research shows that managing the boundaries across scales and between science and policy in international marine management area science initiatives depends on how the program was initiated, the use of networks, partnerships, and coalitions, the level of programmatic participation, the degree of accountability and the ability to learn, the translation of scientific knowledge, and the assessment context. Future research on other environmental non-governmental organization programs has the potential to extend these findings.

While property rights-based management is theoretically purported enhance economic efficiency in fisheries by reducing over-capitalization and extending fishing seasons, the social and economic empirical outcomes are less comprehensively understood. International adoption of rights-based management to manage pollution, fisheries, and water-quality increasingly modifies these management approaches to achieve a wider set of policy goals. Argentina, in particular, interjected economic, social, and ecological objectives into a fisheries individual and transferable quota (ITQ) program through a use-it-or-lose-it penalty, a unidirectional quota transfer restriction between coastal and offshore processing vessels, and a social quota reserve.

The present dissertation utilizes historical data, including legislative documents from 1998 to 2016, monthly fisheries effort and landings data from 2007-2016, and annual data on quota allocation and transfers from 2010-2016, to evaluate the process through which Argentine designed its ITQ program and its social and economic outcomes.

The first chapter is an institutional analysis of the ITQ program in Argentina and lends insight to how and why configurations of rights-based managed differ across socio-economic contexts. The next two chapters build on the results of the first chapter to evaluate to what extent it achieved social and economic objectives through two specific policy modifications: a use-it-or-lose-it penalty and a social quota reserve.

In the second chapter, I develop a two-stage empirical model to evaluate how ecological and economic uncertainties influence intra-seasonal production decisions in an ITQ fishery. The results demonstrate that fresh catch fishing vessels are disproportionately impacted by this policy, relative to offshore processing fishing vessels. This unintended consequence of a policy meant to protect small and medium sized vessel owners could be due to an interaction with the unidirectional trading restriction or the substitution of fishing effort into the more lucrative shrimp fishery.

Finally, I estimate determinants of fishing vessel exit from an ITQ-regulated fishery and evaluate to what extent additional social quota allocation extends the expected lifespan of coastal, fresh catch fishing vessels in that fishery. The results demonstrate that both social quota allocation and participation in the shrimp fishery extend a fishing vessel’s participation in the ITQ-regulated hake fishery.

Together, these results suggest that policy modifications to rights-based management regimes can influence social and economic outcomes, although whether the intended outcomes are achieved depends on the heterogeneity of the fishery, the ability of fishing vessels to substitute effort into non-regulated fisheries, and macroeconomic conditions, such as fuel and export prices.

In 2004, a report from the U.S. Commission on Ocean Policy documented a broad range of ecological problems in U.S. ocean waters, including declining fish stocks, changes in marine biodiversity, coastal habitat loss, and hypoxic "dead zones," as well as related governance problems, such as uncoordinated and contradictory laws, underfunded programs, and conflicts between local, state, and federal priorities. The Commission's recommendations for improvement revolved around the themes of ecosystem-based management, improved agency coordination, and regional flexibility.

One recommendation in particular stated that, "Congress ... should establish a balanced, ecosystem-based offshore management regime that sets forth guiding principles for the coordination of offshore activities." Five years later, President Obama instructed an interagency taskforce to develop a "framework for effective coastal and marine spatial planning" to help achieve the goals of that recommendation and, in 2012, nine Regional Planning Bodies were established to begin the planning process.

Not everyone has embraced marine spatial planning (MSP) as a desirable next step in ocean management. Some ocean industries worry that MSP could interfere with economic priorities. New users, such as offshore windfarm developers, fear that extended planning will further delay their activities. Members of Congress have complained that MSP policy lacks adequate legislative underpinnings. Still others worry

that MSP may be a solution in search of a problem, diverting money and attention away from more immediate ocean challenges. Equally worrisome, the policy research community has yet to provide solid theoretical or historical support for the presumed efficacy of MSP in U.S. ocean waters. In light of the recent, rapid adoption of MSP and the questions surrounding it, more rigorous examination is in order.

This study contributes to that examination in two ways. First, it places MSP within the broader context of research and practice in fields such as policy analysis, common-pool resource theory, institutional analysis, planning and design, community engagement, and conflict resolution. Second, it looks at the history of U.S. public lands--a public space that has been accommodating multiple uses and conservation for over a century--as a comparative model.

This approach results in three research questions:

1) Are U.S. public lands and the U.S. EEZ sufficiently similar, based on characteristics most relevant to policy analysis, that successes and failures in one arena might be relevant to the other?

2) If so, has over a hundred years of active public land management in the U.S. produced any lessons for success that might be applicable to the more recently developing field of ocean management, particularly with respect to multiple-use planning and management? and

3) If the settings are similar in meaningful ways, and if lessons can be distilled from public lands management, how might these be transposed, or operationalized to inform the current drive for more integrated ocean management, particularly through the tool of marine spatial planning?

A critical review and synthesis of U.S. public land studies, particularly regarding the history of the National Forests, comprises one important element of the study. This is supplemented with case studies, site visits, detailed analyses of government documents related to both land and ocean management, and extensive formal and informal interviews with key informants in the National Forest and ocean management communities.

The study results answer the first two questions in the affirmative and conclude that sustainable, multiple-use management of government-controlled spaces and resources inevitably requires tradeoffs between numerous competing objectives. These tradeoffs can rarely be resolved through objective decision analysis and will rely implicitly or explicitly on value judgments. Using forest history as a model, it appears that the most significant choices to be made by ocean policy makers will revolve around: 1) the scale of problem definition and resolution; 2) the relative emphasis on political, technocratic, judicial, or participatory decision-making; and 3) the extent of flexibility allowed. Specific suggestions are made for how elected officials, agency staff, environmental organizations, industry, and academia can approach ocean management in a way that reflects a variety of interests, advances understanding, and achieves sustainable and productive ocean ecosystems.

More companies are beginning to manage the environmental impacts of their supply chain in addition to their own operations. Supply chain pressure has been shown to be generally effective at increasing practices with lower environmental practices (sustainable practices) in suppliers. However, questions have been raised about exactly how small and medium-sized enterprises (SMEs) in supply chains respond to pressure from business customers for sustainable practices and what factors influence their response. This study develops a framework for understanding what factors influence how SMEs respond to a variety of drivers of sustainability, which is then adapted to guide an empirical study of how SMEs respond to supply chain pressure for sustainable practices. A survey of 100 companies across North Carolina found suppliers generally comply with or exceed requirements from business customers. The role of supply chain pressure in suppliers' decisions to exceed requirements needs further research. The study also found evidence that supply chain pressure can act as a ceiling on what practices companies adopt by causing suppliers to abandon practices that exceeded customer requirements and were not recognized or rewarded. Care needs to be taken in designing supply chain management strategies to avoid supply chain pressure being counterproductive at increasing proactive SME sustainability.

Sustainable management of marine natural resources, and the social-ecological systems in which they are embedded, presents one of the most significant challenges in contemporary environmental policy. Despite improvement in the ecological sustainability and economic performance of fisheries in the United States, these trends are not universal and management remains highly contentious. With fisheries moving towards more collaborative and participatory policy processes, understanding how social and economic relations among stakeholders may influence institutional change is critical to supporting democratic and effective resource management. This dissertation builds on research from common-pool resource theory and political economy to explore the incentives and processes of self-governance in fisheries embedded in global commercial supply chains and state management institutions. It contributes to our understanding of participatory policy-making by addressing the research questions: Why and how do resource users self-govern through the policy process? How are policy preferences and negotiations shaped by market structures and social relations of production?

These questions are investigated empirically by tracing market and policy changes over time in a commercial, small-scale, U.S. fishery. This dissertation examines origins and evolution of regulations, cooperative management institutions, and commercialization processes in the California sea urchin fishery, where harvesters and processors have seen major shifts in market geography and structure, and have initiated self-governance through the state’s policy process. Using a multi-level governance framework and institutional analysis tools, this dissertation draws on document archives, interviews and participant observation of policy and commercial production processes to construct a detailed policy history. It incorporates micro- and macro-level trade data and employs global value chain analyses to examine shifting seafood market geographies over time, and uniquely synthesizes the parallel economic and political timelines to explore dynamic interactions between them, focusing on how markets and other social and ecological factors shaped motivations in crafting policy.

Overall, this research reveals a diverse set of values and incentives at the heart of policy choice and change in the fishery. Cooperative management can be a tool to meet the costs of regulating (time, money, information and political leverage), evolving as participants learn and build social capital through the collective action experience, and adjust collective goals in response social and ecological change. States can empower effective producer collective action through particularly forms of institutional support, such as oversight to hold leaders accountable to members. Findings also reveal complex dynamic linkages between markets, harvesting strategies, and policy choice. Regulations are crafted to match market conditions, equitably distribute costs among divers, processors, and the state, and achieve other social objectives such as intergenerational access and individual freedom. They are also adjusted in response to changing markets, outcomes of previous regulations, and state policy agendas. Together, these findings can inform ongoing efforts to move towards participatory and cooperative fisheries management, particularly in the U.S. and similar contexts, by revealing the specific ways that commercial seafood markets shape, and are shaped by, the policy process and regulatory outcomes.

Plastic pollution is ubiquitous in the ocean. Researchers are actively determining how plastic pollution harms marine animals and which measures should be used to reduce pollution. I use the four pathways to global sustainability (created by Folke et al., 2021) as a guiding framework for this dissertation because this framework outlines how society can develop sustainable practices to address environmental challenges, in this case, plastic pollution. I identify risks posed by plastic pollution to marine animals and characterize government and corporate responses to plastic pollution. My overarching goal is to use these results to inform stakeholders of gaps or mismatches in plastics governance and chart a path toward global plastics sustainability. In Chapter 1, I investigate plastic consumption in marine animals, using the sea anemone as a model animal. I find that anemones readily consume plastic (polyethylene and polyvinyl chloride) pellets and can extract metallic additives, specifically lead and tin, from plastic. More broadly, this research suggests that plastic pollution may be a novel pathway for heavy metals to enter the marine food web. In Chapter 2, I examine government responses to plastic pollution by qualitatively analyzing public policies at all levels of government, from local to international, adopted between the years 2000 and 2019. I show that governments are increasingly adopting policies over time. Policies frequently target plastic bags and macroplastics and infrequently target microplastics. In Chapter 3, I qualitatively analyze voluntary commitments to reduce plastic pollution made by the world’s largest companies. I report that most companies are aware of the unsustainability of plastic and responding, albeit insufficiently given the scope of the challenges. Company commitments often lack concrete deadlines and frequently focus on recycling, despite low global recycling rates, which obscures corporate accountability. In Chapter 4, I provide insight into the role that emerging technologies may play in plastics sustainability. I synthesize literature on the use of plastic waste in road construction and highlight key knowledge gaps such as plastic additive leaching, microplastic and nanoplastic generation, and road recyclability at end-of-life. The dissertation closes with Chapter 5, which summarizes articles from the special issue “Emerging Challenges and Solutions to Plastic Pollution,” published in Frontiers in Marine Science, and contextualizes my dissertation findings in the broader scientific literature. I close Chapter 5 by synthesizing key dissertation findings and suggesting areas of future research. I highlight that societal responses to plastic pollution have not prioritized addressing the plastics that pose the greatest risks to aquatic ecosystems, resulting in negative environmental consequences. This dissertation contributes to the field by demonstrating the harms posed by plastic pollution to sea anemones and qualitatively characterizes public and private sector measures aiming to reduce plastic pollution. More broadly, I highlight the role of interdisciplinary research in environmental problem-solving and charting a path toward global plastics sustainability.

The need for effective multi-level governance arrangements is becoming increasingly apparent because of the high functional interdependencies between biophysical and socioeconomic factors in the realm of natural resource governance. Such arrangements provide a basis for the exchange, discussion, and deliberation of information, knowledge, and data across diverse user groups and entities. Multi-level governance is operationalized by using a microinstitutional analysis that links decision-making arenas across three distinct levels: operational, collective-choice, and constitutional. Within this context, I argue that the effectiveness and success of actors' participatory processes across these three levels depend on the amount of social capital among actors within the governance system. I assessed the concept of social capital using two different models: (1) a structural approach focused on resources embedded within an individual's network, and (2) a combined structural-cultural approach that incorporates various aspects of group membership with relations of trust, rules, and norms. To explore the effects of social capital on participatory processes related to the implementation and management of natural resources, I analyzed different small-scale fisheries governance regimes from the Gulf of California, Mexico. I collected data using surveys (n=371), interviews (n=82), and participant observation techniques conducted among the residents of four small-scale fishing communities that live adjacent to marine protected areas along the Baja California, Mexico, peninsula. Data analysis included both quantitative (logit regression model), and qualitative (narrative analysis) approaches. Overall, my results suggest that both social capital models reveal the multidimensional nature of social capital where none of its individual types form a consistent and statistically significant relationship with the six outcomes that I measured. However, these types are related in different ways to fishers engagement in participatory processess across the three levels. The extent of fishers' engagement in participatory processess across different levels was not high. Qualitative analysis revealed that participatory processes related to fisheries conservation and management, although present do not reach their full potential and are stymied by a historical context and a lack of general participatory culture.

Sustainably managing marine ecosystems has proved extremely difficult, with few success stories. Traditional approaches to managing ocean-borne activities, including the structure of the governance systems themselves, have had difficulty keeping pace with the dynamics of coupled human, ecological, and oceanographic systems. In essence, our governance systems for ocean resources and environments have had difficulty keeping pace with advances in ocean use and exploitation technologies.

In the United States today there are over twenty federal agencies and thirty-five coastal states and territories operating under hundreds of statutory authorities shaping coastal and ocean policy. For years, among marine ecologists and policy experts there has been consensus that a major overhaul in U.S. ocean governance is necessary. This dissertation broadly suggests the public trust doctrine--an ancient legal concept that is already incorporated in U.S. state coastal laws--could uniquely provide a critical legal foundation for a new era in U.S. federal ocean governance.

Though the public trust concept can be located in the legal systems of many countries, it robustly manifests in the United States, where it has historically protected the public's rights to fishing, navigation, and commerce in and over navigable waterways and tidal waters. In its most basic form, the doctrine obliges governments to manage common natural resources, the body of the trust, in the best interest of their citizens, the beneficiaries of the trust. Today the public trust doctrine is integral to the protection of coastal ecosystems and beach access in many states and has even made its way into state constitutions. It would be simple, and seemingly logical, to assume that the same fiduciary responsibility of states to protect public trust uses of their waters extends to all marine resources within the United States' 200-mile Exclusive Economic Zone (EEZ). However an artificial line has been drawn around state waters, and the legal authority and responsibility of the U.S. government to protect public trust resources in the vast space of its EEZ (the largest of any country on earth) have never been fully and expressly established. The second chapter in this dissertation outlines the development of states' public trust doctrines; discusses the expansion of U.S. sovereignty over its neighboring ocean waters during the twentieth century; analyzes possible avenues for expanding the doctrine to federal waters; and considers how a federal public trust doctrine could clarify some specific issues in U.S. oceans management. At the heart of this chapter's analysis lie three questions: (1) does a federal public trust doctrine exist; (2) if so, can it be rightfully extended to include the entirety of the U.S. ocean waters; and (3) could the doctrine provide the missing catalyst for federal agencies to manage the use of U.S. ocean resources in a coordinated, sustainable fashion?

The third chapter asks how the public trust doctrine could inform marine spatial planning in US waters. It argues that in the absence of a statutory mandate for agencies to collaborate in their management of ocean-borne activities, the public trust doctrine could provide a framework for restructuring the way the US federal government regulates ocean uses. The forth chapter examines the blowout of the Deepwater Horizon oil rig on April 20, 2010, and surmises that regulatory capture of the Minerals Management Service aided by a balkanized ocean governance regime in the pre-Deepwater Horizon era provided a potent source of systemic risk in the U.S. offshore oil and gas industry. It discusses the factors contributing to MMS' susceptibility to capture in the pre-Deepwater Horizon era, as well as examples of decisions it made that suggest dynamics of regulatory capture were at play. The chapter then explores the reform of offshore oil and gas regulation under BOERME and the National Ocean Council to understand the how these new governmental structures might be less susceptible to capture. Lastly, the chapter considers the added value of extending two alternative versions of a clear federal public trust mandate - a foundational US natural resources doctrine - to offshore oil and gas regulation and, more generally, to coastal and marine spatial planning under the National Ocean Council.

The final substantive chapter of this dissertation concerns the US Interagency Ocean Policy Task Force and reports the results of a case study analysis that I conducted to explore how and why the Task Force designed the National Ocean Policy and interagency governance structure, the National Ocean Council, like it did. I found that the recommendations of the Task Force drew heavily from previous studies of US federal ocean policy and the Committee on Ocean Policy, which lasted from 2004-2009. Additionally I sought to understand the Task Force within the context of other US interagency collaborative efforts and theories concerning collaborative governance. I found that the Task Force process was characterized by several characteristics that policy scholars have previously identified as important to promoting collaboration among agencies. I also found support for the theoretical proposition that often external and political factors have major impacts on the level of success attained by interagency efforts. Lastly, via interviews with Task Force staffers and content analysis of public comments submitted to the Task Force, I determined that - though not included in the National Ocean Policy - there remains interest in the principles of the public trust doctrine as underpinning for the policy, which seeks "[t]o achieve an America whose stewardship ensures that the ocean, our coasts, and the Great Lakes are healthy and resilient, safe and productive, and understood and treasured so as to promote the well-being, prosperity, and security of present and future generations."