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Open Access 2024 | Open Access | Book

Area-Based Management of Shipping

Canadian and Comparative Perspectives

Editors: Aldo Chircop, Floris Goerlandt, Ronald Pelot, Claudio Aporta

Publisher: Springer Nature Switzerland

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About this book

This open access book fills a gap in the literature on shipping in a number of cross-cutting fields (including marine transportation law and policy, law of the sea, Indigenous rights, marine environmental management, and risk and safety studies). Moreover, the book includes a focus on the consideration of Indigenous rights in shipping, a topic of emerging importance.

There are, to our knowledge, no directly competing titles with the same interdisciplinary approach to conceptualize, understand, and describe best practices for area-based management approaches. There are, however, related titles which cover some aspects of area-based management, usually from narrow disciplinary perspectives.

Area-based management in the governance of shipping has become a useful and effective approach to promote maritime safety, maritime security, and pollution prevention and to mitigate the adverse impacts of shipping on the marine environment and coastal communities. Based on the results of a research project and a major workshop convened at Dalhousie University in Canada, this book consists of multidisciplinary studies and analyses of major issues pertaining to area-based management in shipping from a comparative perspective, but with the principal focus on Canada. The book contains both theoretical and empirical contributions.

Table of Contents

Frontmatter

Open Access

Chapter 1. Introduction
Abstract
This chapter introduces area-based management (ABM) in shipping against the historical and policy backdrop of control of international navigation in defined areas of ocean space, culminating with the development of the international law of the sea in the twentieth century. The problematique of ABM in shipping is set out as a deliberate and scientifically supported exercise guided by multiple factors, including how risks posed by ships and risks posed to ships are scientifically assessed and perceived by regulators, rightsholders, stakeholders, and the public at large. Finally, the chapter describes the book’s purposes, approach, research context, structure, and chapters.
Aldo Chircop, Floris Goerlandt, Claudio Aporta, Ronald Pelot

Principles and Frameworks

Frontmatter

Open Access

Chapter 2. Understanding Area-Based Management in Shipping
Abstract
This chapter discusses area-based management (ABM) in shipping in view of developing an understanding of the broad range of tools used and how they are informed by risk and justified by social license. Their purposes are varied and include safety, environmental, security, and public health functions. The chapter first explores shipping-specific and non-shipping-specific ABM tools that have an impact on shipping and proposes an approach to taxonomy and classification. Subsequently, a risk perspective on ABM tools and processes is provided, addressing aspects of risk assessment, management, and governance. Connected especially to the latter, the importance of social license in the context of ABM tools and measures is examined closely. While at first blush the various ABM tools leave an impression of complexity and fragmentation, a closer look demonstrates flexible, nimble, multilevel, and multi-sectoral, problem-solving and management practices operating at the international and domestic levels that inform or guide each other.
Aldo Chircop, Floris Goerlandt, Ronald Pelot, Claudio Aporta

Open Access

Chapter 3. Addressing the Cumulative Effects of Marine Shipping Through Area-Based Management Approaches
Abstract
Canada’s Oceans Protection Plan (OPP) is a comprehensive initiative launched by the Government of Canada to enhance marine safety, protect marine ecosystems, engage with coastal communities, and improve evidence-based decision-making. The OPP focuses on safeguarding Canadian coasts and waterways by implementing measures to prevent and respond to marine incidents, supporting research and innovation, and establishing stronger Indigenous partnerships to address maritime concerns and promote sustainable marine practices. Under the Oceans Protection Plan, Transport Canada’s Cumulative Effects of Marine Shipping (CEMS) initiative has been working in seven regions of Canada to assess and address the regional cumulative effects of marine shipping, in partnership with Indigenous peoples and guided by the principles of reconciliation. The goal of this chapter is to showcase how area-based management (ABM) is applied in the CEMS initiative by first providing background on the CEMS initiative from a broad perspective and then examining linkages between the initiative and ABM approaches. A case study is described from one regional CEMS assessment being conducted along a section of the Northwest Passage in southern Victoria Island, Nunavut, which resulted in the development of a voluntary measure using an ABM approach to mitigate the impacts of icebreaking activities on caribou migration and hunter safety.
Paula Doucette, Samuel Mansfield

Open Access

Chapter 4. The International Legal Framework for Area-Based Marine Management Tools
Abstract
Area-based management tools (ABMTs) for the marine realm can comprise a multitude of different concepts. They have in common that their main purpose is the conservation of the marine environment and the balancing of different ocean uses. Although marine protected areas (MPAs) are a widely discussed concept and part of ABMTs, the latter term goes further. This is exemplified by the Agreement under the United Nations Convention on the Law of the Sea on the Conservation and Sustainable Use of Marine Biological Diversity of Areas beyond National Jurisdiction (BBNJ Agreement) that includes a definition of ABMTs. Many such tools address specific human ocean uses in a geographically defined area, for example, shipping, fisheries, seabed mining, and other resource extraction. Others are designed to be cross-sectoral and pursue a broader objective such as balancing (all) relevant uses as part of marine spatial planning or more comprehensive protection of biological diversity. This chapter focuses upon international legal agreements that employ area-based management which addresses or potentially affects shipping to explore and compare their scope and purposes. This includes treaties with a global scope (e.g., UNCLOS, MARPOL, SOLAS, BBNJ Agreement) but also some regionally limited instruments (e.g., regional fisheries agreements). One of the leading questions is to what extent the international legal framework on ABMTs is set up in a coherent manner or whether—due to different purposes of ABMTs from different agreements and disconnection—it places burdens upon the shipping sector that are not necessarily justified to enhance sustainability in ocean governance.
Nele Matz-Lück, Shams Al-Hajjaji

Open Access

Chapter 5. The Canadian Regulatory Framework for Area-Based Marine Management of Shipping
Abstract
Canada has a well-developed framework for the management of shipping through area-based management (ABM) approaches which operates in direct and indirect ways. Regulatory tools available for the direct spatial management of shipping are used by federal government and port authorities, followed by indirect ways of spatial management of shipping undertaken by federal agencies through the designation of marine protected areas, national marine conservation areas, marine wildlife areas, marine bird sanctuaries, and fisheries habitat sanctuaries, whose principal purpose is marine conservation, which have incidental effects on shipping. The chapter assesses federal government ABM practices from the perspectives of purposes and functions, implementation of international commitments, allocation of ocean space, and considerations for the integrated approach in ocean management, followed by concluding observations on marine spatial planning and the likelihood that Canada will continue to manage its ocean spaces by using shipping ABM tools on a problem-by-problem basis.
Aldo Chircop, Scott Coffen-Smout

Open Access

Chapter 6. Canadian Arctic Shipping Governance: Incorporating Indigenous Knowledge in Area-Based Management Frameworks and Tools
Abstract
The need for Indigenous rights to be recognized and for reconciliation to occur is becoming increasingly engrained in the fabric of Canada. From the perspective of Indigenous peoples in Canada, reconciliation is seen as a process of decolonization. With the launch of the Oceans Protection Plan in 2016, the narrative of Indigenous engagement was brought directly to the topic of shipping governance. But the question remains: how to achieve reconciliation in concrete and tangible ways through policies and governance procedures? Importantly, reconciliation is not a discrete state or a destination, but a continuous process.
In Canada, area-based approaches are becoming more common in the regulation of marine affairs, including shipping. The increasing prevalence of area-based, ecosystem-based approaches is resulting in the development and application of decision support systems (DSSs) that are designed to process, visualize, integrate, and communicate information. While the significance of such DSS cannot be overestimated, a less discussed fact is that the knowledge of coastal communities is remarkably difficult to represent unless it is adapted to the language and requirements of these tools and systems. In practice, this results in decreasing the value of observational, “local” knowledge while increasing the significance of quantifiable “scientific” observations or measurements. This chapter proposes that the ways of treating local knowledge in area-based management can facilitate or hinder processes of reconciliation in the context of ocean governance.
Claudio Aporta, Leah Beveridge, Weishan Wang

Vessel Traffic Management

Frontmatter

Open Access

Chapter 7. Risk Analysis for Vessel Accident Prevention in Marine Areas: An Accident-Theoretic Perspective on Spatial Aspects of Risk
Abstract
Area-based marine management approaches aim to mitigate the risks and impacts of shipping on human safety at sea and on ecosystems in marine and coastal environments. Through various regulatory initiatives and policy practices, risk assessment has been established as an important element to support decision-making for area-based marine management. This chapter focuses on the use of risk assessment for supporting decisions to manage navigational risks through risk control measures such as the design of vessel traffic separation schemes, the selection and positioning of aids to navigation, and the definition of operational requirements from a vessel traffic management perspective. To facilitate further developments in this domain, this chapter provides a brief overview of risk analysis techniques currently promoted at the international level, and selected approaches proposed in the academic literature are outlined. A discussion is provided on these selected techniques, through the lens of accident causation theories, focusing on how aspects related to the marine space are conceptualized in these techniques. Finally, directions for future research and development are outlined.
Floris Goerlandt

Open Access

Chapter 8. Vessel Traffic Management in the Era of Maritime Autonomous Surface Ships and Digitalization: Experiences in European Waters
Abstract
The safety of navigation in approaches to harbours and along coasts has been a concern since the beginning of maritime trade approximately 2000 years ago. The ways and means for facilitating the safety and efficiency of maritime navigation have undergone a remarkable transformation from lighthouses, first established in 300–280 BC in Alexandria, Egypt, combined with the use of flag signals by ships to announce their arrival when approaching a harbour, through the use of radars for electronic monitoring combined with radio communications by ships, to the use of satellite-based automatic identification systems combined with automated digital information exchange between maritime autonomous surface ships and geographically distant shore control centres.
This chapter examines vessel traffic management from an interwoven, regulatory, and technological perspective. It attempts to trace the evolution of international and European Union regulatory and organizational frameworks in response to the emerging needs of navigational safety and efficiency. In this context, essential technical jargon as key to an understanding of the topic of vessel traffic management is unpacked. Relevant work of the International Maritime Organization, International Association of Marine Aids to Navigation and Lighthouse Authorities, European Commission, and European Maritime Safety Agency (EMSA) is discussed. The transformative role of the European Maritime Single Window environment stands out while traversing the contribution of technological advancements in the maritime domain leading to the development of vessel traffic management system architecture and capabilities. Digitalization and automation in maritime infrastructure are explored for their influence and significance of contribution to navigational safety. The ensuing discussion highlights the role of maritime single windows and the EMSA’s SafeSeaNet as key pillars for enhanced situational awareness in European waters together with the cutting-edge approach of sea traffic management. The chapter concludes with a fascinating outlook on the vessel traffic management system of the future in the emerging context of the fourth industrial revolution driven by artificial intelligence, machine learning, and maritime autonomous surface ships.
Anish Arvind Hebbar, Jens-Uwe Schröder-Hinrichs, Serdar Yildiz

Marine Spatial and Environmental Planning

Frontmatter

Open Access

Chapter 9. Area-Based Management for Arctic Shipping Governance: An Exploratory Study
Abstract
This chapter will conduct an exploratory study to analyse how Arctic marine traffic can be governed through area-based management and collaborative planning among the government, Indigenous peoples, and industry partners. It is expected that the Northern Low-Impact Shipping Corridors initiative can provide an opportunity for Canada to enhance safe maritime navigation while respecting Indigenous rights and taking into Indigenous perspectives. Moreover, Canada’s existing area-based management practices can provide insights into Arctic shipping governance and inform better governance of the Corridors initiative. One example to compare and examine is the Voluntary Protection Zone (VPZ) for shipping along the west coast of Haida Gwaii.
Transport Canada has announced that, during the next phase of Canada’s Oceans Protection Plan, the focus of the Corridors’ development will concentrate on the following areas, namely, creating a governance framework for shipping corridors, and identifying priority areas for vessels to avoid. This chapter will identify several issues and challenges that will be encountered during the implementation and governance of the Corridors initiative. This chapter explores how these identified issues have been addressed within the VPZ through an unprecedented collaboration between the Council of the Haida Nation, the provincial and federal governments, and the maritime shipping industry. The findings will include several potential policy directions for supporting better decision-making and governance in the Corridors initiative.
Weishan Wang, Claudio Aporta

Open Access

Chapter 10. Exploring Risk Governance Deficits for Marine Oil Spill Preparedness and Response in Canada
Abstract
Preparedness for and response to marine oil spills are important for protecting the Canadian marine areas, as these risks can have significant environmental, economic, and socio-cultural impacts. The vast sea areas under Canadian jurisdiction, combined with the wide range of maritime activities taking place in these, pose significant challenges to efficient preparedness and response planning and operation. The multitude of national and international regulatory commitments, rightsholder and stakeholder interests, and prospects of changes to shipping activities especially in the Canadian Arctic due to climate change justifies the need for effective societal risk governance and risk management. This chapter first outlines the regulatory context and governance practices for spill preparedness and response in Canada, focusing on the legal basis, responsibilities of different actors, engagement activities with rights- and stakeholders, and decision-making processes. It then highlights how these measures can be understood as an implementation of area-based management tools to mitigate oil spill risks. Subsequently, risk governance deficits in the preparedness and response governance and management systems are explored through interviews with experts from federal civil services, based on commonly found deficits identified by the International Risk Governance Council. The results indicate that the main deficits pertain to factual knowledge about risks, evaluating risk acceptability, implementing and enforcing risk management decisions, organizational capacity for risk management, and handling dispersed responsibilities. The results serve as a basis for developing initial strategies for alleviating the deficits, improving oil spill preparedness and response and environmental protection, and guiding further scholarship.
Jessica Cucinelli, Floris Goerlandt, Ronald Pelot

Open Access

Chapter 11. Ports and Harbours as Special Management Areas
Abstract
As autonomous federal entities, port authorities in Canada have long been considered as special management areas. Canada’s system for ports managed by port authorities, public ports, and small craft harbours is explained with a focus on how they manage lands and waters within their jurisdiction by using their powers for land use planning and vessel traffic management. Attention is given to governance and how ports use zoning powers to promote efficiency, safety, security, and environmental concerns such as decarbonization of shipping and marine conservation. Canada’s port and harbour practice is assessed from the perspectives of spatial use, governance powers, and environmental protection. The chapter concludes on the practice of ports to treat land use planning and marine spatial planning as a continuum.
Aldo Chircop

Managing Human Safety in Remote Areas

Frontmatter

Open Access

Chapter 12. Making Sense of Marine-Based Search and Rescue Response Time Using Network Analysis
Abstract
Navigation in polar waters follows standard navigational practice, with special consideration for the presence of sea ice and its expected impact on safe ship operation. Experienced polar ship operators rely on timely access to authoritative sea ice analysis and knowledge of the safe operational limits of their ship to determine the navigability of polar waters. Several sea ice risk assessment frameworks exist to assist ship operators with onboard decision-making, most notably, the Polar Operational Limit Assessment Risk Indexing System (POLARIS). The result from POLARIS is referred to as the Risk Index Outcome (RIO). By adjusting ship speed in response to the RIO value, it is possible to account for sea ice risk in the estimation of ship transit time in polar waters. In this chapter we discuss the use of network analysis techniques to generate the fastest route between two locations in the Arctic and to compute surface ship incident response service areas (IRSA) and incident response isochrones (IRI) for different times of year and ship ice classes. The use of IRSA and IRI to support area-based management (ABM) tools that aim to formally incorporate historical observations of shipping activity into quantitative assessments is also discussed. Incorporating IRSA and IRI results into ABM tools would provide decision-makers with a useful tool to possibly help plan and coordinate incident response in polar waters and support ABM of commercial vessel operation and search and rescue provision.
Mark A. Stoddard, Ronald Pelot, Floris Goerlandt, Laurent Etienne

Open Access

Chapter 13. The Impact of COVID-19 on Arctic Shipping: An Area-Based Public/Occupational Health Perspective
Abstract
Maritime activities are increasing in the Arctic and near Arctic areas, including domestic shipping and international transit traffic. Arctic shipping has created opportunities for cruise tourism, resource transportation, community supply transportation, research, and government services. However, hazards and challenges inherent to maritime operations in the Canadian Arctic cannot be ignored, including extreme Arctic weather conditions, limited port infrastructure, extensive distances from search and rescue services, and restricted access to medical care in Northern communities. The onset of the COVID-19 pandemic has compounded these challenges, posing a threat to the well-being and safety of seafarers.
This chapter explores the occupational health and safety challenges confronted by Canadian Arctic seafarers during the COVID-19 pandemic through qualitative interviews with 20 industry stakeholders, including seafarers, union representatives, managers, and maritime consultants. The findings revealed seafarers’ concerns of increased risks due to pandemic-induced public health measures including lockdowns, travel restrictions, and controls. The deprivation of shore leaves and prolonged isolation from families substantially impacted the mental health of seafarers, amplifying the risks of depression and anxiety. A comprehensive Arctic occupational health and safety (OHS) policy framework is recommended to support seafarers in addressing the above challenges.
Desai Shan, Om Prakash Yadav

Open Access

Chapter 14. Conclusion
Abstract
This concluding chapter serves to elaborate and extrapolate some of the main points delivered throughout this book’s collection of complementary perspectives on area-based management (ABM) applied to maritime shipping. Researchers and practitioners in this continuously developing field of ABM can benefit from the diverse perspectives provided in this text, which are synthesized according to key facets, namely, the purpose of ABM and basic principles that mould its construction and application; the role of risk governance and risk analysis in shaping ABM applications and for determining how shipping-related risks may thus be mitigated; how marine spatial planning (MSP), another rapidly growing tool that systematically advances sustainable management of marine areas, intersects with the suite of ABM tools; and what comprises good practices when implementing ABM processes and tools. The chapter concludes with some remarks on fruitful areas for additional research that may further strengthen ABM.
Ronald Pelot, Aldo Chircop, Floris Goerlandt, Claudio Aporta
Backmatter
Metadata
Title
Area-Based Management of Shipping
Editors
Aldo Chircop
Floris Goerlandt
Ronald Pelot
Claudio Aporta
Copyright Year
2024
Electronic ISBN
978-3-031-60053-1
Print ISBN
978-3-031-60052-4
DOI
https://doi.org/10.1007/978-3-031-60053-1

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