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ABSTRACT Title of Document: INTERNATIONAL ABSTRACT Title of Document: INTERNATIONAL COOPERATION IN CLIMATE MONITORING VIA SATELLITE: INCENTIVES AND BARRIERS TO DATA SHARING Mariel Michelle John Borowitz, Ph.D., 2013 Directed By: Professor John Steinbruner, School of Public Policy Understanding and addressing climate change requires the collection of a significant amount of environmental data. Although satellites can best collect much of this data, it is not possible for one nation to collect all relevant climate data on its own, and there are currently gaps in relevant satellite data collection. Further, much of the data that is collected is not shared freely, but instead has barriers to access that limit its use for both scientific research and operational purposes. This research examined the development of data sharing policies to identify the barriers and incentives to international sharing of climate data collected by satellites. Quantitative analysis of satellite data-sharing policies for Earth observation data as well as case studies of domestic agencies in the U.S., Europe, and Japan, showed that limitations in data sharing are due to 1) a belief that data can efficiently be treated as a commodity, a viewpoint which conflicts with experience for nearly all climate data; 2) the lack of recognition of the normative justification for sharing climate data, though this norm exists for weather data; and 3) insufficient agreement that international cooperation and data sharing are required to adequately monitor climate change. These limitations exist due to uncertainties about the nature of the market for climate data, the inadequate understanding of climate impacts and the ability to mitigate them, and an inadequate understanding of the requirements of climate science and operational activities. To address this situation, countries should adopt free and open policies, recognizing that social benefit is maximized when data is treated as a public good and freely shared, and that cost recovery and commercialization of scientific satellite data are not viable. Countries should also share climate data internationally because it has the potential to save lives and property, creating a moral requirement for sharing. Finally, countries should agree on a minimal set of climate data that must be shared to adequately monitor climate. This agreement should be institutionalized by World Meteorological Organization (WMO) resolution framework, similar to WMO Resolution 40, which addressed weather data sharing. INTERNATIONAL COOPERATION IN CLIMATE MONITORING VIA SATELLITE: INCENTIVES AND BARRIERS TO DATA SHARING By Mariel Michelle John Borowitz Dissertation submitted to the Faculty of the Graduate School of the University of Maryland, College Park, in partial fulfillment of the requirements for the degree of Doctor of Philosophy 2013 Advisory Committee: Professor John Steinbruner, Chair Professor Nancy Gallagher Professor Nathan Hultman Professor Virginia Haufler Dr. Colleen Hartman © Copyright by Mariel Michelle John Borowitz 2013 Preface I came to the topic of climate monitoring using satellites based on my previous experience in space policy and aerospace engineering. At the University of Maryland, I began working with the Center for International Security Studies. Individuals within this organization were focused primarily on traditional space security issues, such as dealing with space debris, but they were also interested in the security implications of climate change. I wasn’t aware of much research being done in the area of satellites and climate change, so I began investigating the topic. In my initial background research, I found a significant amount of literature about the importance of satellite data sharing and efforts to encourage sharing, and I also found information about data not being shared. However, I discovered that there was a lack of information explaining how or why nations determine their data sharing policies, so I decided to focus my research on understanding this issue and filling this gap. ii Acknowledgements There are many people who lent me their time and expertise in developing this dissertation, and I would like to recognize them here. I would like to thank my advisors and committee members who provided feedback and advice throughout the research and writing process. I would also like to thank all of those individuals that agreed to sit down for an interview; without the generous contribution of time and thought from these individuals, this work would not have been possible. Finally, I’d like to thank my family, particularly my husband, Jeff, for their support. iii Table of Contents Preface ........................................................................................................................... ii Acknowledgements ...................................................................................................... iii Table of Contents ......................................................................................................... iv List of Tables ............................................................................................................... vi List of Figures ............................................................................................................. vii Chapter 1: Introduction ................................................................................................. 1 Chapter 2: Climate Science, Monitoring, and Data Sharing ....................................... 23 2.1 Data are Essential to Climate Research and Operations ................................... 23 2.2. Priorities for Climate Data: Essential Climate Variables ................................ 32 2.3 Satellites Are Essential for Climate Data Collection ........................................ 36 2.4 The Current Global Monitoring System is Suboptimal Due to Lack of Sharing ................................................................................................................................. 41 Chapter 3: Characterizing Climate Data Collection and Sharing ............................... 44 3.1 Global Climate Monitoring Satellite Database Sources ................................... 45 3.2 The State of Global Climate Monitoring via Satellite ...................................... 52 3.3 Gaps in Global Climate Satellite Data Collection and Sharing ........................ 56 Chapter 4: Potential Incentives and Barriers to Data Sharing – Theory and Literature Review ........................................................................................................................ 66 4.1 Normative Considerations ................................................................................ 67 4.1.1 Public Safety .............................................................................................. 67 4.1.2 Government Policy-Making, Transparency, and Accountability .............. 68 4.1.3 Equity and Fairness: Government as a Repository .................................... 70 4.1.4 Equity and Fairness: Government as a Public Trust .................................. 72 4.1.5 Efficiency as a Normative Goal ................................................................. 73 4. 2 Economic Theory ............................................................................................. 74 4.2.1 Data as a Public Good and Free Data Distribution .................................... 80 4.2.2 Data as a Commodity and Data Sales ........................................................ 87 4.3 Institutional Theory ......................................................................................... 104 4.3.1 Global Public Goods ................................................................................ 104 4.3.2 International Cooperation ........................................................................ 107 4.4 Organizational Theory .................................................................................... 113 4.4.1 Garbage Can Model ................................................................................. 114 4.4.2 Autonomy, Power, and Budget ................................................................ 117 4.5 Security Theory ............................................................................................... 118 iv 4.5.1 Dual-Use Nature of Data ......................................................................... 119 4.6 Domestic Political Considerations .................................................................. 124 4.7 Contribution of this Research ......................................................................... 125 Chapter 5: Econometric Analysis of Data Sharing .................................................. 127 5.1 Methodology ................................................................................................... 128 5.2 Description of Variables Used ........................................................................ 129 5.3 Results ............................................................................................................. 145 5.4 Discussion ....................................................................................................... 149 Chapter 6: Domestic Agency-Level Comparative Case Studies ............................. 151 6.1 United States ................................................................................................... 154 6.1.1 National Aeronautics and Space Administration (NASA) ...................... 156 6.1.2 National Oceanic and Atmospheric Administration
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