Abstract
Environmental regulations can only be effective if they are adhered to, but the motivations for regulatory compliance are not always clear. We assessed vessel operator compliance with a December 2008 regulation aimed at reducing collisions with the endangered North Atlantic right whale that requires vessels 65 feet or greater in length to travel at speeds of 10 knots or less at prescribed times and locations along the U.S. eastern seaboard. Extensive outreach efforts were undertaken to notify affected entities both before and after the regulation went into effect. Vessel speeds of 201,862 trips made between November 2008 and August 2013 by 8,009 individual vessels were quantified remotely, constituting a nearly complete census of transits made by the regulated population. Of these, 437 vessels (or their parent companies), some of whom had been observed exceeding the speed limit, were contacted through one of four non-punitive information programs. A fraction (n = 26 vessels/companies) received citations and fines. Despite the efforts to inform mariners, initial compliance was low (<5% of the trips were completely <10 knots) but improved in the latter part of the study. Each notification/enforcement program improved compliance to some degree and some may have influenced compliance across the entire regulated community. Citations/fines appeared to have the greatest influence on improving compliance in notified vessels/companies, followed in order of effectiveness by enforcement-office information letters, monthly summaries of vessel operations, and direct at-sea radio contact. Trips by cargo vessels exhibited the greatest change in behavior followed by tanker and passenger vessels. These results have application to other regulatory systems, especially where remote monitoring is feasible, and any setting where regulatory compliance is sought.
Highlights
Natural resource conservation and management can take numerous forms, including through environmental regulations
Functioning AIS capabilities are required by the International Maritime Organization on all vessels ≥300 gross tons, and the United States Coast Guard (USCG) requires AIS on most vessels sailing in U.S waters
A total of 201,862 trips made by 8,009 individual vessels were analyzed
Summary
Natural resource conservation and management can take numerous forms, including through environmental regulations. Some studies concluded that regulated communities may lack an understanding of the requirements or may lack the willingness or capacity to comply (Burby & Paterson, 1993; Brehm & Hamilton, 1996); others found that regulated entities may avoid complying because the consequences of noncompliance (i.e., enforcement actions) rarely outweigh the economic benefits of business as usual (Winter & May, 2001; Tyler, 2006). In many regulatory settings, limited resources may restrict enforcement actions and assessments of compliance to infrequent inspections (e.g., site visits), surveys, interviews, or self-reporting (Winter & May, 2001; Gunningham, Kagan & Thornton, 2004; Gray & Shimshack, 2011)
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