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Series Editor's Introduction The world's coastal ocean waters continue to be degraded from unsustainable fishing practices, habitat degradation, eutrophication, toxic pollution, aerosol contamination, and emerging diseases. Against this background is a growing recognition among world leaders that positive actions are required on the part of governments and civil society to redress global environmental and resource degradation with actions to recover depleted fish populations, restore degraded habitats and reduce coastal pollution. No single international organization has been empowered to monitor and assess the changing states of coastal ecosystems on a global scale, and to reconcile the needs of individual nations to those of the community of nations for taking appropriate mitigation and management actions. However, the World Summit on Sustainable Development convened in Johannesburg in 2002 in recognition of the importance for coastal nations to move more expeditiously toward sustainable development and use of ocean resources, declared that countries should move to introduce ecosystem-based assessment and management practices by 2010, and by 2015, restore the world's depleted fish stocks to maximum levels of sustainable yields. At present, 121 developing countries are moving toward these targets in joint international projects supported, in part, by financial grants by the Global Environment Facility in partnership with scientific and technical assistance from UN parmer agencies (e.g. UNIDO, UNER UNDR IOC, FAO), donor countries and institutions and non-governmental organizations including the IUCN (World Conservation Union). Many of these projects are linked to ecosystem-based efforts underway in Europe and North America in a concerted effort to overcome the North-South digital divide. The volumes in the new Elsevier series on Large Marine Ecosystems are bringing forward the results of ecosystem-based studies for marine scientists, educators, students and resource managers. The volumes are focused on LMEs and their productivity, fish and fisheries, pollution and ecosystem health, socioeconomics and governance. This volume in the new series, "Sustaining Large Marine Ecosystems: The Human Dimension," recognizes the importance of economic activity as a driver of change in the world's LMEs. Human Dimensions, Market Economies and the Sustainability of LMEs This volume is the thirteenth in the Large Marine Ecosystem Series. It represents a state-of- art-focus on the new awareness by scientists, economists, resource managers and the marine academic community on the importance of strengthening links between science-based assessments of the changing states of marine ecosystems and the human dimension of actions to be taken for reversing the downward spiral of fisheries overexploitation, habitat loss, and coastal pollution. Using the case study method, innovative insights and methods are presented from the socioeconomic, governance, and policy perspectives of how to move forward in halting the downward spiral and advancing toward the recovery and sustainability of depleted fish stocks, restoration of degraded habitats, and reduction and control of pollution within the framework of an ecosystems-based approach. vi Series editor's introduction The authors propose actions consistent with market driven national economies and the need to underscore the enormous economic value of marine resources in relation to public and private ownership scenarios, long term and short term values of resources at risk, and serious deliberations on issues of equity with regard to allocation of resource benefits. Important policy issues are considered that acknowledge human needs for food, shelter and livelihoods at risk from management and governance decisions on the use of marine resources that are made daily and that influence the nearly 50% of the world's population who, since 2001, live within 200 kilometers of the coasts of the world's 64 Large Marine Ecosystems (see www.oceanatlas.org.) The volume addresses how ecosystem-based management in both economically developed and developing countries can and will contribute to building the institutional capabilities to reconcile economic activities derived from the oceans with the recovery and sustainability, of structure and function of the natural state of Large Marine Ecosystems. The contributions have been peer reviewed. They have been selected for inclusion in the series as a contribution toward a continuing assessment and evaluation of the changing conditions within the World's LMEs as scientists and ocean stewardship agencies move ahead toward ecosystem improvement targets endorsed by world leaders at the Johannesburg Summit. Production of this volume was supported in part by financial assistance of the United States Sea Grant Program of NOAA. Kenneth Sherman, Series Editor Narragansett, Rhode Island vii stnemegdelwonkcA The editors are indebted to the willingness of the contributors to take time from their normal schedules to prepare the expert syntheses and reviews that collectively serve to move us forward toward ecosystem-based assessment and management of the world's Large Marine Ecosystems. We are pleased to acknowledge the interest and financial support of the Office of Sea Grant, the International Union for the Conservation of Nature (World Conservation Union), the U.S. National Oceanic and Atmospheric Administration, and the U.S. National Marine Fisheries Service. This volume would not have been possible without the capable cooperation of many people who gave unselfishly of their time and effort. We are indebted to Dr. Sally Adams, North Scituate, Rhode Island for her extraordinary dedication, care and expertise in technically editing and preparing the volume in camera-ready format for publication. Also, we extend our thanks to Dr. Marie-Christine Aquarone for her meticulous review of each of the chapters to ensure that the volume was free of any inadvertent omissions or misrepresentations. Further, we extend thanks to our Elsevier editors, Ms. Mara Vos-Sarmiento, Administrative Editor of Agricultural and Biological Sciences and Dr. Christiane Barranguet, Publishing Editor for Aquatic Sciences, for their care in the final production of this volume. The Editors ix Contributors Ronald Baird Thomas A. Grigalunas NOAA, Sea Grant (OAR) Environmental and Natural Resource Silver Spring, Maryland, USA Economics Kingston Coastal Institute Jung-Hee Cho University of Rhode Island Korea Maritime Institute Kingston, Rhode Island USA Seoul, KOREA Timothy M. Hennessey Patricia Clay Marine Affairs and Political Science NOAA, NMFS, EASC University of Rhode Island Silver Spring, Maryland USA Kingston, Rhode Island USA Jerry Diamantides Porter Hoagland David Miller and Associate: Marine Policy Center Rochambeau .tS Woods Hole Oceanographic Institution Providence, Rhode Island USA Woods Hole, Massachusetts USA Christopher L. Dyer Di Jin The School for Field Studies Marine Policy Center 01 Federal Street Woods Hole Oceanographic Institution Salem, Massachusetts USA Woods Hole, Massachusetts USA Alfred Duda Lawrence Juda GEF Secretariat Marine Affairs and Political Science Washington, District of Columbia USA University of Rhode Island Kingston, Rhode Island USA Steven E Edwards USDOC, NOAA, NMFS, NEFSC Andrew Kitts Narragansett Laboratory NOAA, NMFS, NEFSC Narragansett, Rhode Island USA Woods Hole, Massachusetts USA Frank J. Gable Jason S. Link NRC fellow at NEFSC NOAA, NMFS, NEFSC Narragansett Laboratory Woods Hole, Massachusetts USA Narragansett, Rhode Island USA Philip Logan John M. Gates NOAA, NMFS, NEFSC Kingston Coastal Institute Woods Hole, Massachusetts USA University of Rhode Island Kingston, Rhode Island USA X Contributors Meifeng Luo Department of Environmental and Natural Jon G Sutinen Resource Economics Department of Environmental and Natural Kingston Coastal Institute Resource Economics University of Rhode Island Kingston Coastal Institute Kingston, Rhode Island USA University of Rhode Island Kingston, Rhode Island USA James J. Opaluch Department of Environmental and Natural Erie M. Thunberg Resource Economics NOAA, NMFS, NEFSC Kingston Coastal Institute Social Sciences Branch University of Rhode Island Woods Hole Laboratory Kingston, Rhode Island USA Woods Hole, Massachusetts USA John J. Poggie, .rJ Harold Upton Department of Sociology and Anthropology Oregon Department of Fish and Wildlife University of Rhode Island Salem, Oregon USA Kingston, Rhode Island USA John B. Walden Barbara .P Rountree NOAA, NMFS, NEFSC USDOC, NOAA, NMFS Woods Hole, Massachusetts 02543 USA Northeast Fisheries Science Center Woods Hole, Massachusetts USA Hanling Wang Center for International Law Kenneth Sherman Chinese Academy of Social Sciences USDOC, NOAA, NMFS, NEFSC Hai Dian District Narragansett Laboratory Beijing, P.R. China Narragansett, Rhode Island USA Dong-Sik Woo Mark Soboil Department of Environmental and Natural Department of Environmental and Natural Resource Economics Resource Economics Kingston Coastal Institute University of Rhode Island University of Rhode Island Kingston, Rhode Island USA Kingston, Rhode Island USA Scott Steinback Social Sciences Branch NMFS, NEFSC Woods Hole Laboratory Woods Hole, Massachusetts USA Large Marine Ecosystems, Vol. 31 T.M. Hennessey and J.G. Sutinen (Editors) (cid:14)9 2005 Published by Elsevier B.V. 1 The Large Marine Ecosystem Approach for Assessment and Management of Ocean Coastal Waters Kenneth Sherman MOVEMENT TOWARDS ECOSYSTEM-BASED ASSESSMENT AND MANAGEMENT During the 10-year period between UNCED in 1992 and WSSD in 2002, advances were made in introducing ecosystem-based assessment and management of natural resources and their environments. A significant milestone in the marine ecosystem assessment and management movement was achieved in the mid 1990s by the Ecological Society of America' s Committee on the Scientific Basis for Ecosystem Management. The Committee concluded that the overarching principle for guiding ecosystem management is to ensure the intergenerational sustainability of ecosystem goods (e.g. fish, trees, petroleum) and ecosystem services or processes including productivity cycles and hydrological cycles (Christensen et al. 1996). From a fisheries perspective, the National Research Council (NRC 1999, 2000) concluded that sustaining fishery yields will require maintaining the ecosystems that produce the fish. These reports are supportive of a paradigm shift from the highly focused, single-species or short-term sectoral thematic approach in general practice today to a broader, more encompassing multi-thematic ecosystem-based approach that moves spatially from smaller to larger scales, and from short-term to longer-term management practices. Included in this approach is a movement away from the management of commodities toward maintaining the sustainability of marine resources to ensure benefits from ecosystem goods and services for the future (Table 1.1). Table 1.1. Movement toward desab-metsysoce tnemeganam (from ocnehcbuL )4991 From I Individual species Ecosystems Small spatial scale Multiple scales Short-term perspective Long-term perspective Humans: Independent of Ecosystems Humans: Integral Parts of Ecosystems Management Divorced from Research Adaptive Management Sustaining Production Potential Managing Commodities for Goods dna Services 4 ehT Large Marine Ecosystem Approach for Assessment and Management of Ocean Coastal Waters LARGE MARINE ECOSYSTEMS (LMES) The paradigm shift depicted in Table 1.1 is presently emerging in the applications of ecosystem-based assessment and management policies within the geographic boundaries of large marine ecosystems (LMEs). On a global scale, 64 LMEs produce 90% of the world's annual marine fishery biomass yield (Sherman 1994; Garibaldi and Limongelli 2003). Most of the ocean pollution and coastal habitat alteration also occurs within the boundaries of LMEs. LMEs are regions of ocean space encompassing coastal areas from river basins and estuaries to the seaward boundaries of continental shelves, enclosed and semi-enclosed seas, and the outer margins of the major current systems as shown in Figure 1-1. They are relatively large regions on the order of 200,000 km 2 or greater, characterized by distinct bathymetry, hydrography, productivity, and trophically dependent populations (Sherman 1994). with Linked sdehsretaW [ ~ I ~ 1 I _1 _L: [el l i ........ .1 EmlBe~n0See .41 I:~agonlonSl,~f 27. CarwyCurrent .04 N0~hemlAuelNll 53. WmtBer~gSu 2. Gulf of ~Jmlm l& Sou~hBrazllShe~ .82 Gu~fJ~Ct~w~t 4t. E m t ~ ~ 54. ChulcchiSm 3. CatJo~aC, mn le. EmlSrm~She~ 29. eee~pJe~C,rrent 42. So~'uost.~JstuU8 55. 8eeuru'tSeo 4. GuIfofC4dRonm .71 Nof~Bra~l SI,,~ 30, AglJIhss~ 43. SotJlllwut/~mlnlla 56, E~t~aWllmSeo 5. Gulf of Mexlo~ .81 WoslGroenlandSN@ 31. Som~Coesl~Cummt 44. W~Ausl~la 57. ~See 6. SmdhomlU,S, Cor~mmlalShelf 1tt, Eml~She@ .23 ,f~'ol~See 48. N ~ A ~ O 58, KlmSee 7. ~O.S, Ccmllner~Shelf 20. BerentsSee .33 RodSeo 46. NewZeeW~ShoW 60. k~ma:3helf 8. Sr 21. Nommg~nSl'~f 34. Bey of Bongel .74 EmtChlneSw e0. FamePfmtmu 9. @ehS 22. NmlhSes .63 Gu@ofThdard 48. YeiiowSee 61. ANan:k ,01 I n m . d e r ~ 23. ElSIe See 3~ ~t,~l'~(~'~In~ .94 Kuro~o,l~ 62. m~,.k:m191 .11 P e d l l r 24. ~ S h e l f 37. SuI~So8 50. SeeofJapon 63. Hudson88y i2. ~nSee 25. Ii~xlanCom~l 38. hldlmleelanSea .15 Oya~ltoCum~ 64. An:~Oceen .31 I-lun,~:~Cummt 26. Med~,~-,een .93 N~rlhAustneile 52 Sm~fOklmlsk ................................. . ................................................................................ Figure 1-1. Large Marine Ecosystems era areas of the ocean characterized by distinct bathymetry, hydrography, productivity, and trophic interactions. They annually produce 09 percent of the world's fish catch. They are national and regional focal areas of a global effort to reduce the degradation of linked watersheds, marine resources, dna coastal environments from pollution, habitat loss, and over- fishing. Sherman 5 For 40 of the LMEs, studies have been conducted of the principal driving forces affecting changes in biomass yields. Changes in biodiversity among the dominant species within fish communities of LMEs have resulted from: excessive exploitation, naturally-occurring environmental shifts in climate regime, or coastal pollution (Jackson et al. 2001). For example, in the Humboldt Current, Benguela Current, and California Current LMEs, the primary driving force influencing variability in fisheries yield is the influence of climate- forced changes in upwelling strength; fishing and pollution effects are secondary and tertiary effects on fisheries yields. In several continental shelf LMEs, including the Yellow Sea and Northeast United States Shelf, excessive fisheries effort has caused large-scale declines in catch and changes in the biodiversity and dominance in the fish community. In these ecosystems, pollution and environmental perturbation are of secondary and tertiary influence. In contrast, significant coastal pollution and eutrophication have been important factors driving changes in fisheries yields of the Northwest Adriatic, Black Sea, and the Baltic Sea. Following peer review, the results of these LME case studies were published in twelve volumes, listed in Table 1-2. ROLE OF THE GLOBAL ENVIRONMENT FACILITY )FEG( Following a three-year pilot phase (1991-1994), the Global Environment Facility (GEF) was formally launched to forge cooperation and finance actions in the context of sustainable development that address critical threats to the global environment including: (1) biodiversity loss, (2) climate change, (3) degradation of international waters, (4) ozone depletion, and (5) persistent organic pollutants. Activities concerning (6) land degradation, primarily desertification and deforestation as they relate to these threats, are also addressed. GEF projects are implemented by UNDP, UNEP, and the World Bank and expanded opportunities exist for participation by other agencies. The only new funding source to emerge from the 1992 Earth Summit, GEF today counts 171 countries as members. During its first decade, GEF allocated $US 3.2 billion in grant financing, supplemented by more than $US 8 billion in additional financing, for 800 projects in 651 developing countries and those in economic transition. All six thematic areas of GEF, including the land degradation cross-cutting theme, have implications for coastal and marine ecosystems. Priorities were established by the GEF Council in its Operational Strategy (GEF 1995) adopted in 1995. The international waters focal area was designed to be consistent with both Chapters 71 and 81 of Agenda 21. In 1995, the GEF Council included the concept of LMEs in its GEF Operational Strategy as a vehicle for promoting ecosystem-based management of coastal and marine resources in the international waters focal area within a framework of sustainable development. The Report of the Second Meeting of the UN Informal, Open-ended Consultative Process on Ocean Affairs (UN General Assembly 2001) related to UNCLOS recognized the contribution of the GEF in addressing LMEs through its science-based and ecosystem-based approach. Since the mid- 1990s, developing countries have approached the GEF in increasing numbers for assistance in improving the management of Large Marine Ecosystems (LMEs) shared with neighboring nations. Processes being undertaken as part of GEF projects are focusing on Large Marine Ecosystems (LMEs) to foster country-driven commitments to policy, legal, and institutional reforms for changing the way human activities are conducted in the economic sectors that place stress on coastal ecosystems. LMEs serve as place-based, ecologically-defined areas 6 The Large Marine Ecosystem Approach for Assessment and Management of Ocean Coastal Waters Table 1-2. Peer reviewed and published large marine ecosystem studies LME Vol. Author(s) LME Vol. Author(s) Somali Coastal Current 7 Okemwa East China Sea 8 Chen & Shen Bay of Bengal 5 Dwividi Yellow Sea 2,5,12 Tang 7 Hazizi et al. Kuroshio Current 2 Terazaki East Bering Sea 1 Incze & Schumacher Sea of Japan 8 Terazaki 8 Livingston et .la Oyashio Current 2 Minoda West Greenland Shelf 3 Hovg~ird & Buch Okhotsk Sea 5 Kusnetsov et .la 5 Blindheim & Skjoldal Gulf of Mexico 2 Richards & McGowan 01 Rice 4 Brown et .la Barents Sea 2 Skjoldal & Rey 9 Shipp 4 Borisov 9 Gracia & Vasquez Baden 5 Skjoldal Southeast US Shelf 4 Yoder 01 Dalpadado et .la Northeast US Shelf 1 Sissenwine 21 Matishov 4 Falkowski Norwegian Shelf 3 Ellertsen et .la 6 Anthony 5 Blindheim & Skjoldal 10,12 Sherman North Sea 1 Daan Scotian Shelf 8 Zwanenburg et .la 9 Reid Caribbean Sea 3 Richards & Bohnsack 01 McGlade Patagonian Shelf 5 Bakun 21 Hempel South Brazil Shelf 21 Ekau & Knoppers Iceland Shelf 01 Astthorsson East Brazil Shelf 21 Ekau & Knoppers &Vilhjalmsson Faroe Plateau 01 Gaard et .la North Brazil Shelf 21 Ekau & Knoppers Antarctic 1 Scully et .la Baltic Sea 1 Kullenberg 3 Hempel 21 Jansson 5 Scully et .ia Celtic-Biscay Shelf 01 Lavin California Current 1 McCall Iberian Coastal 2 Wyatt &Perez-Gandaras 4 Mullin 01 Wyatt & Porteiro 5 Bottom Mediterranean Sea 5 Caddy 21 Lluch-Belda et .la Canary Current 5 Bas Pacific American Coastal 8 Bakun et .la 21 Roy & Cury Humboldt Current 5 Bernal Guinea Current 5 Binet & Marchal 21 Wolffet .la 11 Koranteng & McGlade Gulf of Thailand 5 Piyakarnchana 11 Mensah & Quaatey 11 Pauly & Chuenpagdee 11 Loveli & McGlade South China Sea 5 Christensen 11 Cury & Roy Indonesian Sea 3 Zijlstra & Baars 11 Koranteng Northeast Australian Shelf 2 Bradbury & Mundy Benguela Current 2 Crawford et .la 5 Kelleher 21 Shannon & O'Toole 8, 21 Brodie Black Sea 5 Caddy 21 Daskalov Vol. 1 1986. Variability and Management of Large Marine Ecosystems. Sherman & Alexander, eds. AAAS Symposium 99. Westview Press, Boulder, CO. 319p Vol. 2 1989. Biomass Yields and Geography of Large Marine Ecosystems. Sherman & Alexander, eds. AAAS Symposium 111. Westview Press, Boulder, CO. 493p Vol. 3 1990. Large Marine Ecosystems: Patterns, Processes, and Yields. Sherman, Alexander and Gold, eds. AAAS Symposium. AAAS Press, Washington, DC. 242p Vol. 4 1991. Food Chains, Yields, Models, and Management of Large Marine Ecosystems. Sherman, Alexander and Gold, eds. AAAS Symposium. Westview Press. Boulder, CO. 320p Vol. 5 1992. Large Marine Ecosystems: Stress, Mitigation and Sustainability. Sherman, Alexander and Gold, eds. AAAS Press, Washington, DC. 376p. Vol. 6 1996. ehT Northeast Shelf Ecosystem: Assessment, Sustainability and Management. Sherman, Jaworski and Smayda, eds. Blackwell Science, Cambridge, MA. 564p Vol. 7 1998. Large Marine Ecosystems of the Indian Ocean: Assessment, Sustainability and .tnemeganaM Sherman, Okemwa and Ntiba, eds. Blackwell Science, Malden, MA. 394p Vol. 8 1999. Large Marie Ecosystems of eht Pacific Rim: Assessment, Sustainability and .tnemeganaM Sherman and Tang, eds. Blackwell Science, Malden, MA. 455p Vol. 9 1999. ehT Gulf of Mexico Large Marine Ecosystem: Assessment, Sustainability and .tnemeganaM Kumpf, Steidinger and Sherman, eds. Blackwell Science, Malden, MA. 736p Vol. 10 2002. Large Marine Ecosystems of eht North Atlantic: Changing States and Sustainability. Skjoldal and Sherman, eds. Elsevier Science, N.Y. and Amsterdam. 449p Vol. 11 2002. Gulf of Guinea Large Marine Ecosystem: Environmental Forcing and Sustainable Development of Marine Resources. McGlade, Cury, Koranteng, Hardman-Mountford, eds. Elsevier Science, Amsterdam and NY. 392p Vol. 21 2003. Large Marine Ecosystems of eht World: Trends ni Exploitation, Protection and Research. Hempel and Sherman, eds. Elsevier Science, N.Y. and Amsterdam. 423p Sherman 7 for which stakeholder support for integrating essential national and multi-country reforms and intemational agency programs can be mobilized into a cost-effective, collective response to an array of conventions and programs. Site-specific ocean concerns, those of adjacent coastal areas, and linked freshwater basins are being addressed in LMEs through GEF assistance. Operation of joint management institutions is being supported and tested in order to restore biomass and diversity to sustainable levels to meet the increased needs of coastal populations, and to reverse the precipitous declines in ecosystem integrity currently being caused by over- fishing, habitat loss, and nitrogen over-enrichment. At risk are renewable goods and services valued at $10.6 trillion per year (Costanza et al. 1997). The geographic area of the LME, including its coastal area and contributing basins, constitutes the place-based area for assisting countries to understand linkages among root causes of degradation and for integrating needed changes in sectoral economic activities. The LME areas serve to initiate capacity building and to bring science to pragmatic use in improving the management of coastal and marine ecosystems. The GEF Operational Strategy recommends that nations sharing an LME begin to address coastal and marine issues by jointly undertaking strategic processes for analyzing factual and scientific information on transboundary concerns, finding their root causes, and setting priorities for action on transboundary concerns. This process has been referred to as a Transboundary Diagnostic Analysis (TDA) and it provides a useful mechanism to foster participation at all levels. Countries then determine the national and regional policy, and the legal and institutional reforms and investments needed to address the priorities in a country-driven Strategic Action Program (SAP). This allows sound science to become the basis for policy-making and fosters a geographic location upon which an ecosystem-based approach to management can be developed. This engages stakeholders in the geographic area so that they contribute to the dialogue and in the end support the ecosystem-based approach that can be pragmatically implemented by the communities and governments involved. Without such participative processes, marine science has often remained confined to the marine science community or has not been embraced in policy-making. Furthermore, the science-based approach encourages transparency through joint monitoring and assessment processes (joint cruises for countries sharing an LME) that build trust among nations over time and can overcome the barrier of false information being reported. MODULES FOR LME ASSESSMENT AND MANAGEMENT A five-module approach to the assessment and management of LMEs has proven useful in ecosystem-based projects in the United States and elsewhere because the approach relies on scientific information from the ecosystem under discussion The transboundary diagnostic analysis (TDA) process and the strategic action plan (SAP) development process are customized to, and then agreed upon by, all levels of the affected society. These processes integrate science into management in a practical way and establish governance regimes appropriate for the particular situation. The Large Marine Ecosystem approach engages stakeholders, fosters the participation of the science community, and leads to the development of adaptive management institutions. The five modules consist of three that are science-based activities focused on: Productivity, Fish/fisheries, and Pollution/ecosystem health. The other two modules, Socioeconomics and

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