[Title 50 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 2024 Edition]
[From the U.S. Government Publishing Office]
[[Page i]]
Title 50
Wildlife and Fisheries
________________________
Parts 200 to 227
Revised as of October 1, 2024
Containing a codification of documents of general
applicability and future effect
As of October 1, 2024
Published by the Office of the Federal Register
National Archives and Records Administration as a
Special Edition of the Federal Register
[[Page ii]]
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[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 50:
Chapter II--National Marine Fisheries Service,
National Oceanic and Atmospheric Administration,
Department of Commerce 3
Finding Aids:
Table of CFR Titles and Chapters........................ 1341
Alphabetical List of Agencies Appearing in the CFR...... 1361
List of CFR Sections Affected........................... 1371
[[Page iv]]
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Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 50 CFR 200.1 refers
to title 50, part 200,
section 1.
----------------------------
[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
regulation. Each title is divided into chapters which usually bear the
name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
volume.
LEGAL STATUS
The contents of the Federal Register are required to be judicially
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie
evidence of the text of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual
issues of the Federal Register. These two publications must be used
together to determine the latest version of any given rule.
To determine whether a Code volume has been amended since its
revision date (in this case, October 1, 2024), consult the ``List of CFR
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative
List of Parts Affected,'' which appears in the Reader Aids section of
the daily Federal Register. These two lists will identify the Federal
Register page number of the latest amendment of any given rule.
EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal
Register since the last revision of that volume of the Code. Source
citations for the regulations are referred to by volume number and page
number of the Federal Register and date of publication. Publication
dates and effective dates are usually not the same and care must be
exercised by the user in determining the actual effective date. In
instances where the effective date is beyond the cut-off date for the
Code a note has been inserted to reflect the future effective date. In
those instances where a regulation published in the Federal Register
states a date certain for expiration, an appropriate note will be
inserted following the text.
OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires
Federal agencies to display an OMB control number with their information
collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
amendments to existing regulations in the CFR. These OMB numbers are
placed as close as possible to the applicable recordkeeping or reporting
requirements.
PAST PROVISIONS OF THE CODE
Provisions of the Code that are no longer in force and effect as of
the revision date stated on the cover of each volume are not carried.
Code users may find the text of provisions in effect on any given date
in the past by using the appropriate List of CFR Sections Affected
(LSA). For the convenience of the reader, a ``List of CFR Sections
Affected'' is published at the end of each CFR volume. For changes to
the Code prior to the LSA listings at the end of the volume, consult
previous annual editions of the LSA. For changes to the Code prior to
2001, consult the List of CFR Sections Affected compilations, published
for 1949-1963, 1964-1972, 1973-1985, and 1986-2000.
``[RESERVED]'' TERMINOLOGY
The term ``[Reserved]'' is used as a place holder within the Code of
Federal Regulations. An agency may add regulatory information at a
``[Reserved]'' location at any time. Occasionally ``[Reserved]'' is used
editorially to indicate that a portion of the CFR was left vacant and
not dropped in error.
INCORPORATION BY REFERENCE
What is incorporation by reference? Incorporation by reference was
established by statute and allows Federal agencies to meet the
requirement to publish regulations in the Federal Register by referring
to materials already published elsewhere. For an incorporation to be
valid, the Director of the Federal Register must approve it. The legal
effect of incorporation by reference is that the material is treated as
if it were published in full in the Federal Register (5 U.S.C. 552(a)).
This material, like any other properly issued regulation, has the force
of law.
What is a proper incorporation by reference? The Director of the
Federal Register will approve an incorporation by reference only when
the requirements of 1 CFR part 51 are met. Some of the elements on which
approval is based are:
(a) The incorporation will substantially reduce the volume of
material published in the Federal Register.
(b) The matter incorporated is in fact available to the extent
necessary to afford fairness and uniformity in the administrative
process.
(c) The incorporating document is drafted and submitted for
publication in accordance with 1 CFR part 51.
What if the material incorporated by reference cannot be found? If
you have any problem locating or obtaining a copy of material listed as
an approved incorporation by reference, please contact the agency that
issued the regulation containing that incorporation. If, after
contacting the agency, you find the material is not available, please
notify the Director of the Federal Register, National Archives and
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CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a
separate volume, revised annually as of January 1, entitled CFR Index
and Finding Aids. This volume contains the Parallel Table of Authorities
and Rules. A list of CFR titles, chapters, subchapters, and parts and an
alphabetical list of agencies publishing in the CFR are also included in
this volume.
An index to the text of ``Title 3--The President'' is carried within
that volume.
[[Page vii]]
The Federal Register Index is issued monthly in cumulative form.
This index is based on a consolidation of the ``Contents'' entries in
the daily Federal Register.
A List of CFR Sections Affected (LSA) is published monthly, keyed to
the revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL
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INQUIRIES
For a legal interpretation or explanation of any regulation in this
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The eCFR is a regularly updated, unofficial editorial compilation of
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available at www.ecfr.gov.
Oliver A. Potts,
Director,
Office of the Federal Register
October 1, 2024
[[Page ix]]
THIS TITLE
Title 50--Wildlife and Fisheries is composed of thirteen volumes.
The parts in these volumes are arranged in the following order: Parts 1-
16; part 17 (17.1 to 17.95(a)), part 17 (17.95(b)), part 17 (17.95(c) to
(e)), part 17 (17.95(f) to end of 17.95), part 17 (17.96 to 17.98), part
17 (17.99(a) to (h)), part 17 (17.99(i) to end of part 17), parts 18-
199, parts 200-227, parts 228-599, parts 600-659, and part 660 to end.
The first nine volumes consist of parts 1-16, part 17 (17.1 to
17.95(a)), part 17 (17.95(b)), part 17 (17.95(c) to (e)), part 17
(17.95(f) to end of 17.95), part 17 (17.96 to 17.98), part 17 (17.99(a)
to 17.99(h)), part 17 (17.99(i) to end of part 17), and parts 18-199 and
contain the current regulations issued under chapter I--United States
Fish and Wildlife Service, Department of the Interior. The tenth volume
(parts 200-227) contains the current regulations issued under chapter
II--National Marine Fisheries Service, National Oceanic and Atmospheric
Administration, Department of Commerce. The eleventh volume (parts 228-
599) contains the remaining current regulations issued under chapter
II--National Marine Fisheries Service, National Oceanic and Atmospheric
Administration, Department of Commerce; and the current regulations
issued under chapter III--International Fishing and Related Activities;
chapter IV--Joint Regulations (United States Fish and Wildlife Service,
Department of the Interior and National Marine Fisheries Service,
National Oceanic and Atmospheric Administration, Department of
Commerce); Endangered Species Committee regulations; and chapter V--
Marine Mammal Commission. The twelfth and thirteenth volumes (parts 600-
659 and part 660 to end) contain the current regulations issued under
chapter VI--Fishery Conservation and Management, National Oceanic and
Atmospheric Administration, Department of Commerce. The contents of
these volumes represent all current regulations codified under this
title of the CFR as of October 1, 2023.
Alphabetical listings of endangered and threatened wildlife and
plants appear in Sec. Sec. 17.11 and 17.12.
The OMB control numbers for the National Oceanic and Atmospheric
Administration appear in 15 CFR 902.1.
For this volume, Stephen J. Frattini was Chief Editor. The Code of
Federal Regulations publication program is under the direction of John
Hyrum Martinez.
[[Page 1]]
TITLE 50--WILDLIFE AND FISHERIES
(This book contains parts 200 to 227)
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Part
chapter ii--National Marine Fisheries Service, National
Oceanic and Atmospheric Administration, Department of
Commerce.................................................. 200
[[Page 3]]
CHAPTER II--NATIONAL MARINE FISHERIES SERVICE, NATIONAL OCEANIC AND
ATMOSPHERIC ADMINISTRATION, DEPARTMENT OF COMMERCE
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SUBCHAPTER A--GENERAL PROVISIONS
Part Page
200 Small Business Size Standards Established by
NMFS for Regulatory Flexibility Act
Compliance Purposes Only................ 5
SUBCHAPTER B--NORTH PACIFIC COMMERCIAL FISHERIES [RESERVED]
SUBCHAPTER C--MARINE MAMMALS
216 Regulations governing the taking and
importing of marine mammals............. 6
217 Regulations governing the take of marine
mammals incidental to specified
activities.............................. 100
218 Regulations governing the taking and
importing of marine mammals............. 369
219 Regulations governing the taking and
importing of marine mammals............. 492
220
[Reserved]
221 Conditions and prescriptions in FERC
hydropower licenses..................... 506
222 General endangered and threatened marine
species................................. 529
223 Threatened marine and anadromous species.... 556
224 Endangered marine and anadromous species.... 630
225
[Reserved]
226 Designated critical habitat................. 673
227
[Reserved]
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SUBCHAPTER A_GENERAL PROVISIONS
PART 200_SMALL BUSINESS SIZE STANDARDS ESTABLISHED
BY NMFS FOR REGULATORY FLEXIBILITY ACT COMPLIANCE
PURPOSES ONLY--Table of Contents
Sec.
200.1 Purpose and scope.
200.2 Small business size standards and frequency of review.
Authority: 5 U.S.C. 601 et seq.
Source: 80 FR 81198, Dec. 29, 2015, unless otherwise noted.
Sec. 200.1 Purpose and scope.
(a) This part sets forth the National Marine Fisheries Service
(NMFS) small business size standards for NMFS to use in conducting
Regulatory Flexibility Act (RFA) analyses for NMFS actions subject to
the RFA. This part also sets forth the timeframe for NMFS to review its
small business size standards.
(b) NMFS has established the alternative size standards in this
part, for RFA compliance purposes only, in order to simplify the RFA
analyses done in support of NMFS' rules, better meet the RFA's intent by
more accurately representing expected disproportionate effects of NMFS'
rules between small and large businesses, create a standard that more
accurately reflects the size distribution of all businesses in the
industry, and allow NMFS to determine when changes to the standard are
necessary and appropriate.
Sec. 200.2 Small business size standards and frequency of review.
(a) NMFS' small business size standard for businesses, including
their affiliates, whose primary industry is commercial fishing is $11
million in annual gross receipts. This standard applies to all
businesses classified under North American Industry Classification
System (NAICS) code 11411 for commercial fishing, including all
businesses classified as commercial finfish fishing (NAICS 114111),
commercial shellfish fishing (NAICS 114112), and other commercial marine
fishing (NAICS 114119) businesses.
(b) NMFS will review each of the small business size standards in
paragraph (a) of this section at least once every 5 years to determine
if a change is warranted. A change may be warranted because of changes
in industry structure, market conditions, inflation, or other relevant
factors.
SUBCHAPTER B_NORTH PACIFIC COMMERCIAL FISHERIES [RESERVED]
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SUBCHAPTER C_MARINE MAMMALS
PART 216_REGULATIONS GOVERNING THE TAKING AND IMPORTING
OF MARINE MAMMALS--Table of Contents
Subpart A_Introduction
Sec.
216.1 Purpose of regulations.
216.2 Scope of regulations.
216.3 Definitions.
216.4 Other laws and regulations.
216.5 Payment of penalty.
216.6 Forfeiture and return of seized property.
216.7 Holding and bonding.
216.8 Enforcement officers.
Subpart B_Prohibitions
216.11 Prohibited taking.
216.12 Prohibited importation.
216.13 Prohibited uses, possession, transportation, sales, and permits.
216.14 Marine mammals taken before the MMPA.
216.15 Depleted species.
216.16 Prohibitions under the General Authorization for Level B
harassment for scientific research.
216.17 General prohibitions.
216.18 Approaching humpback whales in Alaska.
216.19 Special restrictions for humpback whales in waters surrounding
the islands of Hawaii.
216.20 Special restrictions for Hawaiian spinner dolphins.
Subpart C_General Exceptions
216.21 Actions permitted by international treaty, convention, or
agreement.
216.22 Taking by State or local government officials.
216.23 Native exceptions.
216.24 Taking and related acts in commercial fishing operations
including tuna purse seine vessels in the eastern tropical
Pacific Ocean.
216.25 Exempted marine mammals and marine mammal products.
216.26 Collection of certain marine mammal parts without prior
authorization.
216.27 Release, non-releasability, and disposition under special
exception permits for rehabilitated marine mammals.
Subpart D_Special Exceptions
216.30 [Reserved]
216.31 Definitions.
216.32 Scope.
216.33 Permit application submission, review, and decision procedures.
216.34 Issuance criteria.
216.35 Permit restrictions.
216.36 Permit conditions.
216.37 Marine mammal parts.
216.38 Reporting.
216.39 Permit amendments.
216.40 Penalties and permit sanctions.
216.41 Permits for scientific research and enhancement.
216.42 Photography. [Reserved]
216.43 Public display. [Reserved]
216.44 Applicability/transition.
216.45 General Authorization for Level B harassment for scientific
research.
216.46 U.S. citizens on foreign flag vessels operating under the
International Dolphin Conservation Program.
216.47 Access to marine mammal tissue, analyses, and data.
216.48-216.49 [Reserved]
Subpart E_Designated Ports
216.50 Importation at designated ports.
Subpart F_Pribilof Islands, Taking for Subsistence Purposes
216.71 Allowable take of fur seals.
216.72 Restrictions on subsistence use of fur seals.
216.73 Disposition of fur seal parts.
216.74 Cooperation between fur seal subsistence users, tribal and
Federal officials.
Subpart G_Pribilof Islands Administration
216.81 Visits to fur seal rookeries.
216.82 Dogs prohibited.
216.83 Importation of birds or mammals.
216.84 [Reserved]
216.85 Walrus and Otter Islands.
216.86 Local regulations.
216.87 Wildlife research.
Subpart H_Dolphin Safe Tuna Labeling
216.90 Purposes.
216.91 Dolphin-safe labeling standards.
216.92 Dolphin-safe requirements for tuna harvested in the ETP by large
purse seine vessels.
216.93 Tracking and verification program.
216.94 False statements or endorsements.
216.95 Official mark for ``Dolphin-safe'' tuna products.
Subpart I_General Regulations Governing Small Takes of Marine Mammals
Incidental to Specified Activities
216.101 Purpose.
[[Page 7]]
216.102 Scope.
216.103 Definitions.
216.104 Submission of requests.
216.105 Specific regulations.
216.106 Letter of Authorization.
216.107 Incidental harassment authorization for Arctic waters.
216.108 Requirements for monitoring and reporting under incidental
harassment authorizations for Arctic waters.
Subpart J_Taking of Eastern North Pacific (ENP) Gray Whales
(Eschrichtius robustus) by the Makah Indian Tribe Off the Coast of
Washington State
216.110 Purpose.
216.111 Scope.
216.112 Definitions.
216.113 Issuance and duration of permits.
216.114 Hunt management requirements and restrictions.
216.115 Accounting and identification of gray whales.
216.116 Use of edible and nonedible whale products.
216.117 Prohibited acts.
216.118 Requirements for monitoring, reporting, and recordkeeping.
216.119 Expiration and amendment.
Subparts K-X [Reserved]
Figure 1 to Part 216--Northern Fur Seal Breeding Areas (Rookeries) and
Hauling Grounds on St. George Island, Alaska
Authority: 16 U.S.C. 1361 et seq., unless otherwise noted.
Source: 39 FR 1852, Jan. 15, 1974, unless otherwise noted.
Note to part 216: See also 50 CFR parts 228 and 229 for regulations
governing certain incidental takings of marine mammals.
Subpart A_Introduction
Sec. 216.1 Purpose of regulations.
The regulations in this part implement the Marine Mammal Protection
Act of 1972, 86 Stat. 1027, 16 U.S.C. 1361-1407, Pub. L. 92-522, which,
among other things, restricts the taking, possession, transportation,
selling, offering for sale, and importing of marine mammals.
Sec. 216.2 Scope of regulations.
This part 216 applies solely to marine mammals and marine mammal
products as defined in Sec. 216.3. For regulations under the MMPA, with
respect to other marine mammals and marine mammal products, see 50 CFR
part 18.
[39 FR 1852, Jan. 15, 1974, as amended at 59 FR 50375, Oct. 3, 1994]
Sec. 216.3 Definitions.
In addition to definitions contained in the MMPA, and unless the
context otherwise requires, in this part 216:
Acts means, collectively, the Marine Mammal Protection Act of 1972,
as amended, 16 U.S.C. 1361 et seq., the Endangered Species Act of 1973,
as amended, 16 U.S.C. 1531 et seq., and the Fur Seal Act of 1966, as
amended, 16 U.S.C. 1151 et seq.
Active sportfishing means paying passengers have their terminal
fishing gear (lures, hooks, etc.) in the water in an attempt to catch
fish or, in the case of fishing involving chumming, fishing is
considered to be in progress from the instant fish have been sighted
taking bait (boiling) during that chumming process.
Administrator, Southwest Region means the Regional Administrator,
Southwest Region, National Marine Fisheries Service, 501 W. Ocean Blvd.,
Suite 4200, Long Beach, CA 90802-4213, or his or her designee.
Agreement on the International Dolphin Conservation Program
(Agreement on the IDCP) means the Agreement establishing the formal
binding IDCP that was signed in Washington, DC on May 21, 1998.
Alaskan Native means a person defined in the Alaska Native Claims
Settlement Act (43 U.S.C. 1602(b)) (85 Stat. 588) as a citizen of the
United States who is of one-fourth degree or more Alaska Indian
(including Tsimishian Indians enrolled or not enrolled in the Metlaktla
Indian Community), Eskimo, or Aleut blood or combination thereof. The
term includes any Native, as so defined, either or both of whose
adoptive parents are not Natives. It also includes, in the absence of
proof of a minimum blood quantum, any citizen of the United States who
is regarded as an Alaska Native by the Native village or group, of which
he claims to be a member and whose father or mother is (or, if deceased,
was) regarded as Native by any Native village or Native group. Any such
citizen enrolled by the Secretary of the Interior pursuant to
[[Page 8]]
section 5 of the Alaska Native Claims Settlement Act shall be
conclusively presumed to be an Alaskan Native for purposes of this part.
Albacore tuna means the species Thunnus alalunga.
Article of handicraft means items made by an Indian, Aleut or Eskimo
from the nonedible byproducts of fur seals taken for personal or family
consumption which--
(1) Were commonly produced by Alaskan Natives on or before October
14, 1983;
(2) Are composed wholly or in some significant respect of natural
materials, and;
(3) Are significantly altered from their natural form and which are
produced, decorated, or fashioned in the exercise of traditional native
handicrafts without the use of pantographs, multiple carvers, or similar
mass copying devices. Improved methods of production utilizing modern
implements such as sewing machines or modern tanning techniques at a
tannery registered pursuant to Sec. 216.23(c) may be used so long as no
large scale mass production industry results. Traditional native
handicrafts include, but are not limited to, weaving, carving,
stitching, sewing, lacing, beading, drawing, and painting. The formation
of traditional native groups, such as a cooperative, is permitted so
long as no large scale mass production results.
Assistant Administrator means the Assistant Administrator for
Fisheries, National Marine Fisheries Service, National Oceanic and
Atmospheric Administration, Silver Spring, MD 20910, or his/her
designee.
Authentic native articles of handicrafts and clothing means items
made by an Indian, Aleut or Eskimo which (a) were commonly produced on
or before December 21, 1972, and (b) are composed wholly or in some
significant respect of natural materials, and (c) are significantly
altered from their natural form and which are produced, decorated, or
fashioned in the exercise of traditional native handicrafts without the
use of pantographs, multiple carvers, or similar mass copying devices.
Improved methods of production utilizing modern implements such as
sewing machines or modern tanning techniques at a tannery registered
pursuant to Sec. 216.23(c) may be used so long as no large scale mass
production industry results. Traditional native handicrafts include, but
are not limited to, weaving, carving, stitching, sewing, lacing,
beading, drawing, and painting. The formation of traditional native
groups, such as a cooperative, is permitted so long as no large scale
mass production results.
Bigeye tuna means the species Thunnus obesus.
Bluefin tuna means the species Thunnus thynnus or Thunnus
orientalis.
Bona fide scientific research: (1) Means scientific research on
marine mammals conducted by qualified personnel, the results of which:
(i) Likely would be accepted for publication in a refereed
scientific journal;
(ii) Are likely to contribute to the basic knowledge of marine
mammal biology or ecology. (Note: This includes, for example, marine
mammal parts in a properly curated, professionally accredited scientific
collection); or
(iii) Are likely to identify, evaluate, or resolve conservation
problems.
(2) Research that is not on marine mammals, but that may
incidentally take marine mammals, is not included in this definition
(see sections 101(a)(3)(A), 101(a)(5)(A), and 101(a)(5)(D) of the MMPA,
and sections 7(b)(4) and 10(a)(1)(B) of the ESA).
Bycatch limit means the calculation of a potential biological
removal level for a particular marine mammal stock, as defined in Sec.
229.2 of this chapter, or comparable scientific metric established by
the harvesting nation or applicable regional fishery management
organization or intergovernmental agreement.
Carrying capacity means the Regional Director's determination of the
maximum amount of fish that a vessel can carry in short tons based on
the greater of the amount indicated by the builder of the vessel, a
marine surveyor's report, or the highest amount reported landed from any
one trip.
Certified charter vessel means a fishing vessel of a non-U.S. flag
nation, which is operating under the jurisdiction of the marine mammal
laws and regulations of another, harvesting, nation by
[[Page 9]]
a formal declaration entered into by mutual agreement of the nations.
Co-investigator means the on-site representative of a principal
investigator.
Commercial fishing operation means the lawful harvesting of fish
from the marine environment for profit as part of an ongoing business
enterprise. Such terms may include licensed commercial passenger fishing
vessel (as defined) activities, but no other sportfishing activities,
whether or not the fish so caught are subsequently sold.
Commercial passenger fishing vessel means any vessel licensed for
commercial passenger fishing purposes within the State out of which it
is operating and from which, while under charter or hire, persons are
legally permitted to conduct sportfishing activities.
Comparability finding means a finding by the Assistant Administrator
that the harvesting nation for an export or exempt fishery has met the
applicable conditions specified in Sec. 216.24(h)(6)(iii) subject to
the additional considerations for comparability determinations set out
in Sec. 216.24(h)(7).
Custody means holding a live marine mammal pursuant to the
conditional authority granted under the MMPA, and the responsibility
therein for captive maintenance of the marine mammal.
Declaration of Panama means the declaration signed in Panama City,
Republic of Panama, on October 4, 1995.
Director, Office of Protected Resources means Director, Office of
Protected Resources, National Marine Fisheries Service, 1315 East-West
Highway, Silver Spring, MD 20910.
Dolphin Mortality Limit (DML) means the maximum allowable number of
incidental dolphin mortalities per calendar year assigned to a vessel,
unless a shorter time period is specified.
Endangered Species means a species or subspecies of marine mammal
listed as ``endangered'' pursuant to the Endangered Species Act of 1973,
87 Stat. 884, Pub. L. 93-205 (see part 17 of this title).
ESA means the Endangered Species Act of 1973, as amended, 16 U.S.C.
1531 et seq.
ETP means the eastern tropical Pacific Ocean which includes the
Pacific Ocean area bounded by 40[deg] N. latitude, 40[deg] S. latitude,
160[deg] W. longitude and the coastlines of North, Central and South
America.
Exempt fishery means a foreign commercial fishing operation
determined by the Assistant Administrator to be the source of exports of
commercial fish and fish products to the United States and to have a
remote likelihood of, or no known, incidental mortality and serious
injury of marine mammals in the course of commercial fishing operations.
A commercial fishing operation that has a remote likelihood of causing
incidental mortality and serious injury of marine mammals is one that
collectively with other foreign fisheries exporting fish and fish
products to the United States causes the annual removal of:
(1) Ten percent or less of any marine mammal stock's bycatch limit;
or
(2) More than 10 percent of any marine mammal stock's bycatch limit,
yet that fishery by itself removes 1 percent or less of that stock's
bycatch limit annually; or
(3) Where reliable information has not been provided by the
harvesting nation on the frequency of incidental mortality and serious
injury of marine mammals caused by the commercial fishing operation, the
Assistant Administrator may determine whether the likelihood of
incidental mortality and serious injury is ``remote'' by evaluating
information concerning factors such as fishing techniques, gear used,
methods used to deter marine mammals, target species, seasons and areas
fished, qualitative data from logbooks or fisher reports, stranding
data, the species and distribution of marine mammals in the area, or
other factors at the discretion of the Assistant Administrator. A
foreign fishery will not be classified as an exempt fishery unless the
Assistant Administrator has reliable information from the harvesting
nation, or other information to support such a finding.
Exemption period means the period during which commercial fishing
operations that are the source of exports of commercial fish and fish
products to the United States will be exempt from the prohibitions of
Sec. 216.24(h)(1). The exemption period extends through December 31,
2025.
[[Page 10]]
Facility means, in the context specific to captive marine mammals,:
(1) One or more permanent primary enclosures used to hold marine mammals
captive (i.e., pools, lagoons) and associated infrastructure (i.e.,
equipment and supplies necessary for the care and maintenance of marine
mammals) where these enclosures are either located within the boundaries
of a single contiguous parcel of land and water, or are grouped together
within the same general area within which enclosure-to-enclosure
transport is expected to be completed in less than one hour; or
(2) A traveling display/exhibit, where the enclosure(s) and
associated infrastructure is transported together with the marine
mammals.
Feeding is offering, giving, or attempting to give food or non-food
items to marine mammals in the wild. It includes operating a vessel or
providing other platforms from which feeding is conducted or supported.
It does not include the routine discard of bycatch during fishing
operations or the routine discharge of waste or fish byproducts from
fish processing plants or other platforms if the discharge is otherwise
legal and is incidental to operation of the activity.
First exporter means the person or company that first exports the
fish or fish product, or, in the case of shipments that are subject to
the labeling requirements of 50 CFR part 247 and that only contain fish
harvested by vessels of the United States, the first seller of the fish
or fish product.
Fish and fish product means any marine finfish, mollusk, crustacean,
or other form of marine life other than marine mammals, reptiles, and
birds, whether fresh, frozen, canned, pouched, or otherwise prepared.
Fisheries Certificate of Origin, or FCO, means NOAA Form 370, as
described in Sec. 216.24(f)(4).
Force majeure means forces outside the vessel operator's or vessel
owner's control that could not be avoided by the exercise of due care.
FSA means the Fur Seal Act of 1966, as amended, 16 U.S.C. 1151 et
seq.
Fur seal means North Pacific fur seal, scientifically known as
Callorhinus ursinus.
Hard part means any bone, tooth, baleen, treated pelt, or other part
of a marine mammal that is relatively solid or durable.
Harvesting nation means the country under whose flag one or more
fishing vessels are documented, or which has by formal declaration
agreed to assert jurisdiction over one or more certified charter
vessels, from which vessel(s) fish are caught that are a part of any
cargo or shipment of fish to be imported into the United States,
regardless of any intervening transshipments.
Humane means the method of taking, import, export, or other activity
which involves the least possible degree of pain and suffering
practicable to the animal involved.
Import means to land on, bring into, or introduce into, or attempt
to land on, bring into, or introduce into, any place subject to the
jurisdiction of the United States, whether or not such landing,
bringing, or introduction constitutes an importation within the Customs
laws of the United States; except that, for the purpose of any ban on
the importation of fish or fish products issued under the authority of
16 U.S.C. 1371(a)(2)(B), the definition of ``import'' in Sec.
216.24(f)(1)(ii) shall apply.
Incidental catch means the taking of a marine mammal (1) because it
is directly interfering with commercial fishing operations, or (2) as a
consequence of the steps used to secure the fish in connection with
commercial fishing operations: Provided, That a marine mammal so taken
must immediately be returned to the sea with a minimum of injury and
further, that the taking of a marine mammal, which otherwise meets the
requirements of this definition shall not be considered an incidental
catch of that mammal if it is used subsequently to assist in commercial
fishing operations.
Intentional purse seine set means that a tuna purse seine vessel or
associated vessels chase marine mammals and subsequently make a purse
seine set.
Intermediary nation means a nation that imports fish or fish
products from a fishery on the List of Foreign Fisheries and re-exports
such fish or fish products to the United States.
[[Page 11]]
International Dolphin Conservation Program (IDCP) means the
international program established by the agreement signed in La Jolla,
California, in June 1992, as formalized, modified, and enhanced in
accordance with the Declaration of Panama and the Agreement on the IDCP.
International Dolphin Conservation Program Act (IDCPA) means Public
Law 105-42, enacted into law on August 15, 1997.
International Review Panel (IRP) means the International Review
Panel established by the Agreement on the IDCP.
Intrusive research means a procedure conducted for bona fide
scientific research involving: A break in or cutting of the skin or
equivalent, insertion of an instrument or material into an orifice,
introduction of a substance or object into the animal's immediate
environment that is likely either to be ingested or to contact and
directly affect animal tissues (i.e., chemical substances), or a
stimulus directed at animals that may involve a risk to health or
welfare or that may have an impact on normal function or behavior (i.e.,
audio broadcasts directed at animals that may affect behavior). For
captive animals, this definition does not include:
(1) A procedure conducted by the professional staff of the holding
facility or an attending veterinarian for purposes of animal husbandry,
care, maintenance, or treatment, or a routine medical procedure that, in
the reasonable judgment of the attending veterinarian, would not
constitute a risk to the health or welfare of the captive animal; or
(2) A procedure involving either the introduction of a substance or
object (i.e., as described in this definition) or a stimulus directed at
animals that, in the reasonable judgment of the attending veterinarian,
would not involve a risk to the health or welfare of the captive animal.
Label means a display of written, printed, or graphic matter on or
affixed to the immediate container of any article.
Land or landing means to begin offloading any fish, to arrive in
port with the intention of offloading fish, or to cause any fish to be
offloaded.
Large-scale driftnet means a gillnet that is composed of a panel or
panels of webbing, or a series of such gillnets, with a total length of
2.5 kilometers or more that is used on the high seas and allowed to
drift with the currents and winds for the purpose of harvesting fish by
entangling the fish in the webbing of the net.
Level A Harassment means any act of pursuit, torment, or annoyance
which has the potential to injure a marine mammal or marine mammal stock
in the wild.
Level B Harassment means any act of pursuit, torment, or annoyance
which has the potential to disturb a marine mammal or marine mammal
stock in the wild by causing disruption of behavioral patterns,
including, but not limited to, migration, breathing, nursing, breeding,
feeding, or sheltering but which does not have the potential to injure a
marine mammal or marine mammal stock in the wild.
List of Foreign Fisheries means the most recent list, organized by
harvesting nation, of foreign commercial fishing operations exporting
fish or fish products to the United States, that is published in the
Federal Register by the Assistant Administrator and that classifies
commercial fishing operations according to the frequency and likelihood
of incidental mortality and serious injury of marine mammals during such
commercial fishing operations as either an exempt fishery or an export
fishery.
Longtail tuna means the species Thunnus tonngol.
Marine environment means the oceans and the seas, including
estuarine and brackish waters.
Marine mammal means those specimens of the following orders, which
are morphologically adapted to the marine environment, and whether alive
or dead, and any part thereof, including but not limited to, any raw,
dressed or dyed fur or skin: Cetacea (whales, dolphins, and porpoises)
and Pinnipedia, other than walrus (seals and sea lions).
MMPA means the Marine Mammal Protection Act of 1972, as amended, 16
U.S.C. 1361 et seq.
[[Page 12]]
Native village or town means any community, association, tribe,
band, clan or group.
Optimum sustainable population is a population size which falls
within a range from the population level of a given species or stock
which is the largest supportable within the ecosystem to the population
level that results in maximum net productivity. Maximum net productivity
is the greatest net annual increment in population numbers or biomass
resulting from additions to the population due to reproduction and/or
growth less losses due to natural mortality.
Per-stock per-year dolphin mortality limit means the maximum
allowable number of incidental dolphin mortalities and serious injuries
from a specified stock per calendar year, as established under the IDCP.
Pregnant means pregnant near term.
Pribilovians means Indians, Aleuts, and Eskimos who live on the
Pribilof Islands.
Principal investigator means the individual primarily responsible
for the taking, importation, export, and any related activities
conducted under a permit issued for scientific research or enhancement
purposes.
Public display means an activity that provides opportunities for the
public to view living marine mammals at a facility holding marine
mammals captive.
Regional Director means the Regional Administrator, Northeast
Regional Office, NMFS, One Blackburn Drive, Gloucester, MA 01930; or
Regional Administrator, Northwest Regional Office, NMFS, 7600 Sandpoint
Way, N.E., Building 1, Seattle, WA 98115; or Regional Administrator,
Southeast Regional Office, NMFS, 9721 Executive Center Drive North, St.
Petersburg, FL 33702; or Regional Administrator, Southwest Regional
Office, NMFS, 501 West Ocean Boulevard, Suite 4200, Long Beach, CA
90802; or Regional Administrator, Pacific Islands Regional Office, NMFS,
1601 Kapiolani Boulevard, Suite 1110, Honolulu, HI 96814; or Regional
Administrator, Alaska Regional Office, NMFS, PO Box 21668, Juneau, AK
99802.
Rehabilitation means treatment of beached and stranded marine
mammals taken under section 109(h)(1) of the MMPA or imported under
section 109(h)(2) of the MMPA, with the intent of restoring the marine
mammal's health and, if necessary, behavioral patterns.
Secretary shall mean the Secretary of Commerce or his authorized
representative.
Serious injury means any injury that will likely result in
mortality.
Sexual harassment means any unwelcome sexual advance, request for
sexual favors, or other verbal and physical conduct of a sexual nature
which has the purpose or effect of substantially interfering with an
individual's work performance or creating an intimidating, hostile, or
offensive working environment.
Skipjack tuna means the species Euthynnus (Katsuwonus) pelamis.
Soft part means any marine mammal part that is not a hard part. Soft
parts do not include urine or fecal material.
South Pacific Ocean means any waters of the Pacific Ocean that lie
south of the equator.
South Pacific Tuna Treaty means the Treaty on Fisheries Between the
Governments of Certain Pacific Island States and the Government of the
United States of America (50 CFR part 300, subpart D).
Southern bluefin tuna means the species Thunnus maccoyii.
Stranded or stranded marine mammal means a marine mammal specimen
under the jurisdiction of the Secretary:
(1) If the specimen is dead, and is on a beach or shore, or is in
the water within the Exclusive Economic Zone of the United States; or
(2) If the specimen is alive, and is on a beach or shore and is
unable to return to the water, or is in the water within the Exclusive
Economic Zone of the United States where the water is so shallow that
the specimen is unable to return to its natural habitat under its own
power.
Subsistence means the use of marine mammals taken by Alaskan Natives
for food, clothing, shelter, heating, transportation, and other uses
necessary to maintain the life of the taker or those who depend upon the
taker to provide them with such subsistence.
Subsistence uses means the customary and traditional uses of fur
seals taken by Pribilovians for direct personal or
[[Page 13]]
family consumption as food, shelter, fuel, clothing, tools or
transportation; for the making and selling of handicraft articles out of
nonedible byproducts of fur seals taken for personal or family
consumption; and for barter, or sharing for personal or family
consumption. As used in this definition--
(1) Family means all persons related by blood, marriage, or
adoption, or any person living within a household on a permanent basis.
(2) Barter means the exchange of fur seals or their parts, taken for
subsistence uses--
(i) For other wildlife or fish or their parts, or
(ii) For other food or for nonedible items other than money if the
exchange is of a limited and noncommercial nature.
Take means to harass, hunt, capture, collect, or kill, or attempt to
harass, hunt, capture, collect, or kill any marine mammal. This
includes, without limitation, any of the following: The collection of
dead animals, or parts thereof; the restraint or detention of a marine
mammal, no matter how temporary; tagging a marine mammal; the negligent
or intentional operation of an aircraft or vessel, or the doing of any
other negligent or intentional act which results in disturbing or
molesting a marine mammal; and feeding or attempting to feed a marine
mammal in the wild.
Threatened species means a species of marine mammal listed as
``threatened'' pursuant to the Endangered Species Act of 1973, 87 Stat.
884, Pub. L. 93-205.
Transboundary stock means a marine mammal stock occurring in the:
(1) Exclusive economic zones or territorial sea of the United States
and one or more other coastal States; or
(2) Exclusive economic zone or territorial sea of the United States
and on the high seas.
Trip means a voyage starting when a vessel leaves port with all fish
wells empty of fish and ending when a vessel unloads all of its fish.
Tuna means any fish of the genus Thunnus and the species Euthynnus
(Katsuwonus) pelamis.
Tuna product means any food product processed for retail sale and
intended for human or animal consumption that contains an item listed in
Sec. 216.24(f)(2)(i) or (ii), but does not include perishable items
with a shelf life of less than 3 days.
Wasteful manner means any taking or method of taking which is likely
to result in the killing of marine mammals beyond those needed for
subsistence, subsistence uses, or for the making of authentic native
articles of handicrafts and clothing, or which results in the waste of a
substantial portion of the marine mammal and includes, without
limitation, the employment of a method of taking which is not likely to
assure the capture or killing of a marine mammal, or which is not
immediately followed by a reasonable effort to retrieve the marine
mammal.
U.S. regulatory program means the regulatory program governing the
incidental mortality and serious injury of marine mammals in the course
of commercial fishing operations as specified in the Marine Mammal
Protection Act and its implementing regulations.
Yellowfin tuna means the species Thunnus albacares (synonomy:
Neothunnus macropterus).
[39 FR 1852, Jan. 15, 1974]
Editorial Note: For Federal Register citations affecting Sec.
216.3, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.govinfo.gov.
Sec. 216.4 Other laws and regulations.
(a) Federal. Nothing in this part, nor any permit issued under
authority of this part, shall be construed to relieve a person from any
other requirements imposed by a statute or regulation of the United
States, including any applicable statutes or regulations relating to
wildlife and fisheries, health, quarantine, agriculture, or customs.
(b) State laws or regulations. See part 403 of this chapter.
[39 FR 1852, Jan. 15, 1974, as amended at 41 FR 36662, Aug. 31, 1976; 58
FR 65134, Dec. 13, 1993]
Sec. 216.5 Payment of penalty.
The respondent shall have 30 days from receipt of the final
assessment decision within which to pay the penalty assessed. Upon a
failure to pay the penalty, the Secretary may request the
[[Page 14]]
Attorney General to institute a civil action in the appropriate United
States District Court to collect the penalty.
[39 FR 1852, Jan. 15, 1974. Redesignated at 46 FR 61652, Dec. 18, 1981]
Sec. 216.6 Forfeiture and return of seized property.
(a) Whenever any cargo or marine mammal or marine mammal product has
been seized pursuant to section 107 of the MMPA, the Secretary shall
expedite any proceedings commenced under these regulations.
(b) Whenever a civil penalty has been assessed by the Secretary
under these regulations, any cargo, marine mammal, or marine mammal
product seized pursuant to section 107 of the MMPA shall be subject to
forfeiture. If respondent voluntarily forfeits any such seized property
or the monetary value thereof without court proceedings, the Secretary
may apply the value thereof, if any, as determined by the Secretary,
toward payment of the civil penalty.
(c) Whenever a civil penalty has been assessed under these
regulations, and whether or not such penalty has been paid, the
Secretary may request the Attorney General to institute a civil action
in an appropriate United States District Court to compel forfeiture of
such seized property or the monetary value thereof to the Secretary for
disposition by him in such manner as he deems appropriate. If no
judicial action to compel forfeiture is commenced within 30 days after
final decision-making assessment of a civil penalty, pursuant to Sec.
216.60, such seized property shall immediately be returned to the
respondent.
(d) If the final decision of the Secretary under these regulations
is that respondent has committed no violation of the MMPA or of any
permit or regulations issued thereunder, any marine mammal, marine
mammal product, or other cargo seized from respondent in connection with
the proceedings under these regulations, or the bond or other monetary
value substituted therefor, shall immediately be returned to the
respondent.
(e) If the Attorney General commences criminal proceedings pursuant
to section 105(b) of the MMPA, and such proceedings result in a finding
that the person accused is not guilty of a criminal violation of the
MMPA, the Secretary may institute proceedings for the assessment of a
civil penalty under this part: Provided, That if no such civil penalty
proceedings have been commenced by the Secretary within 30 days
following the final disposition of the criminal case, any property
seized pursuant to section 107 of the MMPA shall be returned to the
respondent.
(f) If any seized property is to be returned to the respondent, the
Regional Director shall issue a letter authorizing such return. This
letter shall be dispatched to the respondent by registered mail, return
receipt requested, and shall identify the respondent, the seized
property, and, if appropriate, the bailee of the seized property. It
shall also provide that upon presentation of the letter and proper
identification, the seized property is authorized to be released. All
charges for storage, care, or handling of the seized property accruing 5
days or more after the date of the return receipt shall be for the
account of the respondent: Provided, That if it is the final decision of
the Secretary under these regulations that the respondent has committed
the alleged violation, all charges which have accrued for the storage,
care, or handling of the seized property shall be for the account of the
respondent.
[39 FR 1852, Jan. 15, 1974. Redesignated at 46 FR 61652, Dec. 18, 1981,
and amended at 59 FR 50375, Oct. 3, 1994]
Sec. 216.7 Holding and bonding.
(a) Any marine mammal, marine mammal product, or other cargo seized
pursuant to section 107 of the MMPA shall be delivered to the
appropriate Regional Director of the National Marine Fisheries Service
(see Sec. 201.2 of this title) or his designee, who shall either hold
such seized property or arrange for the proper handling and care of such
seized property.
(b) Any arrangement for the handling and care of seized property
shall be in writing and shall state the compensation to be paid. Subpart
F of 15 CFR part 904 contains additional procedures
[[Page 15]]
that govern seized property that is subject to forfeiture or has been
forfeited under the MMPA.
[39 FR 1852, Jan. 15, 1974. Redesignated at 46 FR 61652, Dec. 18, 1981,
and amended at 50 FR 12785, Apr. 1, 1985; 59 FR 50375, Oct. 3, 1994]
Sec. 216.8 Enforcement officers.
Enforcement Agents of the National Marine Fisheries Service shall
enforce the provisions of the MMPA and may take any actions authorized
by the MMPA with respect to enforcement. In addition, the Secretary may
utilize, by agreement, the personnel, services, and facilities of any
other Federal Agency for the purposes of enforcing this MMPA. Pursuant
to the terms of section 107(b) of the MMPA, the Secretary may also
designate officers and employees of any State or of any possession of
the United States to enforce the provisions of this MMPA.
[39 FR 1852, Jan. 15, 1974. Redesignated at 46 FR 61652, Dec. 18, 1981,
and amended at 59 FR 50375, Oct. 3, 1994]
Subpart B_Prohibitions
Sec. 216.11 Prohibited taking.
Except as otherwise provided in subparts C, D, and I of this part
216 or in part 228 or 229, it is unlawful for:
(a) Any person, vessel, or conveyance subject to the jurisdiction of
the United States to take any marine mammal on the high seas, or
(b) Any person, vessel, or conveyance to take any marine mammal in
waters or on lands under the jurisdiction of the United States, or
(c) Any person subject to the jurisdiction of the United States to
take any marine mammal during the moratorium.
[39 FR 1852, Jan. 15, 1974, as amended at 47 FR 21254, May 18, 1982; 54
FR 21921, May 19, 1989]
Sec. 216.12 Prohibited importation.
(a) Except as otherwise provided in subparts C and D of this part
216, it is unlawful for any person to import any marine mammal or marine
mammal product into the United States.
(b) Regardless of whether an importation is otherwise authorized
pursuant to subparts C and D of this part 216, it is unlawful for any
person to import into the United States any:
(1) Marine mammal:
(i) Taken in violation of the MMPA, or
(ii) Taken in another country in violation to the laws of that
country;
(2) Any marine mammal product if
(i) The importation into the United States of the marine mammal from
which such product is made would be unlawful under paragraph (b)(1) of
this section, or
(ii) The sale in commerce of such product in the country of origin
if the product is illegal.
(c) Except in accordance with an exception referred to in subpart C
and Sec. Sec. 216.31 (regarding scientific research permits only) and
216.32 of this part 216, it is unlawful to import into the United States
any:
(1) Marine mammal which was pregnant at the time of taking.
(2) Marine mammal which was nursing at the time of taking, or less
than 8 months old, whichever occurs later.
(3) Specimen of an endangered or threatened species of marine
mammal.
(4) Specimen taken from a depleted species or stock of marine
mammals, or
(5) Marine mammal taken in an inhumane manner.
(d) It is unlawful to import into the United States any fish,
whether fresh, frozen, or otherwise prepared, if such fish was caught in
a manner proscribed by the Secretary of Commerce for persons subject to
the jurisdiction of the United States, whether or not any marine mammals
were in fact taken incident to the catching of the fish.
[39 FR 1852, Jan. 15, 1974, as amended at 59 FR 50375, Oct. 3, 1994]
Sec. 216.13 Prohibited uses, possession, transportation, sales,
and permits.
It is unlawful for:
(a) Any person to use any port, harbor or other place under the
jurisdiction of the United States for any purpose in any way connected
with a prohibited taking or an unlawful importation of any marine mammal
or marine mammal product; or
(b) Any person subject to the jurisdiction of the United States to
possess any marine mammal taken in violation
[[Page 16]]
of the MMPA or these regulations, or to transport, sell, or offer for
sale any such marine mammal or any marine mammal product made from any
such mammal.
(c) Any person subject to the jurisdiction of the United States to
use in a commercial fishery, any means or method of fishing in
contravention of regulations and limitations issued by the Secretary of
Commerce for that fishery to achieve the purposes of this MMPA.
(d) Any person to violate any term, condition, or restriction of any
permit issued by the Secretary.
[39 FR 1852, Jan. 15, 1974, as amended at 59 FR 50375, 50376, Oct. 3,
1994; 61 FR 21933, May 10, 1996]
Sec. 216.14 Marine mammals taken before the MMPA.
(a) Section 102(e) of the MMPA provides, in effect, that the MMPA
shall not apply to any marine mammal taken prior to December 21, 1972,
or to any marine mammal product, consisting of or composed in whole or
in part of, any marine mammal taken before that date. This prior status
of any marine mammal or marine mammal product may be established by
submitting to the Director, National Marine Fisheries Service prior to,
or at the time of importation, an affidavit containing the following:
(1) The Affiant's name and address;
(2) Identification of the Affiant;
(3) A description of the marine mammals or marine mammal products
which the Affiant desires to import;
(4) A statement by the Affiant that, to the best of his knowledge
and belief, the marine mammals involved in the application were taken
prior to December 21, 1972;
(5) A statement by the Affiant in the following language:
The foregoing is principally based on the attached exhibits which,
to the best of my knowledge and belief, are complete, true and correct.
I understand that this affidavit is being submitted for the purpose of
inducing the Federal Government to permit the importation of--under the
Marine Mammal Protection Act of 1972 (16 U.S.C. 1361 through 1407) and
regulations promulgated thereunder, and that any false statements may
subject me to the criminal penalties of 13 U.S.C. 1001, or to penalties
under the Marine Mammal Protection Act of 1972.
(b) Either one of two exhibits shall be attached to such affidavit,
and will contain either:
(1) Records or other available evidence showing that the product
consists of or is composed in whole or in part of marine mammals taken
prior to the effective date of the MMPA. Such records or other
evidentiary material must include information on how, when, where, and
by whom the animals were taken, what processing has taken place since
taking, and the date and location of such processing; or
(2) A statement from a government agency of the country of origin
exercising jurisdiction over marine mammals that any and all such
mammals from which the products sought to be imported were derived were
taken prior to December 21, 1972.
(c) No pre-Act marine mammal or pre-Act marine mammal product may be
imported unless the requirements of this section have been fulfilled.
(d) This section has no application to any marine mammal or marine
mammal product intended to be imported pursuant to Sec. Sec. 216.21,
216.31 or Sec. 216.32.
[39 FR 1852, Jan. 15, 1974, as amended at 59 FR 50375, 50376, Oct. 3,
1994]
Sec. 216.15 Depleted species.
The following species or population stocks have been designated by
the Assistant Administrator as depleted under the provisions of the
MMPA.
(a) Hawaiian monk seal (Monachus schauinslandi).
(b) Bowhead whale (Balaena mysticetus).
(c) North Pacific fur seal (Callorhinus ursinus). Pribilof Island
population.
(d) Bottlenose dolphin (Tursiops truncatus), coastal-migratory stock
along the U.S. mid-Atlantic coast.
(e) Eastern spinner dolphin (Stenella longirostris orientalis).
(f) Northeastern offshore spotted dolphin (Stenella attenuata).
(g) Cook Inlet, Alaska, stock of beluga whales (Delphinapterus
leucas). The stock includes all beluga whales occurring in waters of the
Gulf of Alaska north of 58[deg] North latitude including, but not
limited to, Cook Inlet, Kamishak Bay, Chinitna Bay, Tuxedni
[[Page 17]]
Bay, Prince William Sound, Yakutat Bay, Shelikof Strait, and off Kodiak
Island and freshwater tributaries to these waters.
(h) Eastern North Pacific Southern Resident stock of killer whales
(Orcinus orca). The stock includes all resident killer whales in pods J,
K, and L in the waters of, but not limited to, the inland waterways of
southern British Columbia and Washington, including the Georgia Strait,
the Strait of Juan de Fuca, and Puget Sound.
(i) AT1 stock of killer whales (Orcinus orca). The stock includes
all killer whales belonging to the AT1 group of transient killer whales
occurring primarily in waters of Prince William Sound, Resurrection Bay,
and the Kenai Fjords region of Alaska.
(j) Sakhalin Bay-Nikolaya Bay-Amur River beluga whales
(Delphinapterus leucas). The stock includes all beluga whales primarily
occurring in, but not limited to, waters of Sakhalin Bay, Nikolaya Bay,
and Amur River in the Sea of Okhotsk.
[53 FR 17899, May 18, 1988, as amended at 58 FR 17791, Apr. 6, 1993; 58
FR 45074, Aug. 26, 1993; 58 FR 58297, Nov. 1, 1993; 59 FR 50376, Oct. 3,
1994; 65 FR 34597, May 31, 2000; 68 FR 31983, May 29, 2003; 69 FR 31324,
June 3, 2004; 81 FR 74719, Oct. 27, 2016]
Sec. 216.16 Prohibitions under the General Authorization for
Level B harassment for scientific research.
It shall be unlawful for any person to:
(a) Provide false information in a letter of intent submitted
pursuant to Sec. 216.45(b);
(b) Violate any term or condition imposed pursuant to Sec.
216.45(d).
[59 FR 50376, Oct. 3, 1994]
Sec. 216.17 General prohibitions.
It is unlawful for any person to:
(a) Assault, resist, oppose, impede, intimidate, threaten, or
interfere with any authorized officer in the conduct of any search,
inspection, investigation or seizure in connection with enforcement of
the MMPA, DPCIA, or IDCPA.
(b) Interfere with, delay, or prevent by any means the apprehension
of another person, knowing that such person has committed any act
prohibited by the MMPA.
(c) Resist a lawful arrest for any act prohibited under the MMPA.
(d) Make any false statement, oral or written, to an authorized
officer concerning any act under the jurisdiction of the MMPA, DPCIA,
IDCPA, or attempt to do any of the above.
(e) Interfere with, obstruct, delay, or prevent by any means an
investigation, search, seizure, or disposition of seized property in
connection with enforcement of the MMPA, DPCIA, or IDCPA.
[70 FR 19008, Apr. 12, 2005]
Sec. 216.18 Approaching humpback whales in Alaska.
(a) Prohibitions. Except as provided under paragraph (b) of this
section, it is unlawful for any person subject to the jurisdiction of
the United States to commit, to attempt to commit, to solicit another to
commit, or to cause to be committed, within 200 nautical miles (370.4
km) of Alaska, or within inland waters of the state, any of the acts in
paragraphs (a)(1) through (a)(3) of this section with respect to
humpback whales (Megaptera novaeangliae):
(1) Approach, by any means, including by interception (i.e., placing
a vessel in the path of an oncoming humpback whale so that the whale
surfaces within 100 yards (91.4 m) of the vessel), within 100 yards
(91.4 m) of any humpback whale;
(2) Cause a vessel or other object to approach within 100 yards
(91.4 m) of a humpback whale; or
(3) Disrupt the normal behavior or prior activity of a whale by any
other act or omission. A disruption of normal behavior may be manifested
by, among other actions on the part of the whale, a rapid change in
direction or speed; escape tactics such as prolonged diving, underwater
course changes, underwater exhalation, or evasive swimming patterns;
interruptions of breeding, nursing, or resting activities, attempts by a
whale to shield a calf from a vessel or human observer by tail swishing
or by other protective movement; or the abandonment of a previously
frequented area.
(b) Exceptions. The following exceptions apply, but any person who
claims the applicability of an exception has the burden of proving that
the exception applies:
[[Page 18]]
(1) Paragraph (a) of this section does not apply if an approach is
authorized by the National Marine Fisheries Service through a permit
issued under subpart D of this part (Special Exceptions) or through a
similar authorization.
(2) Paragraph (a) of this section does not apply to the extent that
a vessel is restricted in its ability to maneuver and, because of the
restriction, cannot comply with paragraph (a) of this section.
(3) Paragraph (a) of this section does not apply to commercial
fishing vessels lawfully engaged in actively setting, retrieving or
closely tending commercial fishing gear. For purposes of this section,
commercial fishing means taking or harvesting fish or fishery resources
to sell, barter, or trade. Commercial fishing does not include
commercial passenger fishing operations (i.e., charter operations or
sport fishing activities).
(4) Paragraph (a) of this section does not apply to state, local, or
Federal government vessels operating in the course of official duty.
(5) Paragraph (a) of this section does not affect the rights of
Alaska Natives under 16 U.S.C. 1539(e).
(6) This section shall not take precedence over any more restrictive
conflicting Federal regulation pertaining to humpback whales, including
the regulations at 36 CFR 13.1102-13.1188 that pertain specifically to
the waters of Glacier Bay National Park and Preserve.
(c) General measures. Notwithstanding the prohibitions and
exceptions in paragraphs (a) and (b) of this section, to avoid
collisions with humpback whales, vessels must operate at a slow, safe
speed when near a humpback whale. ``Safe speed'' has the same meaning as
the term is defined in 33 CFR 83.06 and the International Regulations
for Preventing Collisions at Sea 1972 (see 33 U.S.C. 1602), with respect
to avoiding collisions with humpback whales.
[81 FR 62020, Sept. 8, 2016]
Sec. 216.19 Special restrictions for humpback whales
in waters surrounding the islands of Hawaii.
(a) Prohibitions. Except as noted in paragraph (b) of this section,
it is unlawful for any person subject to the jurisdiction of the United
States to commit, to attempt to commit, to solicit another to commit, or
to cause to be committed, within 200 nautical miles (370.4 km) of the
islands of Hawaii, any of the following acts with respect to humpback
whales (Megaptera novaeangliae):
(1) Operate any aircraft within 1,000 feet (304.8 m) of any humpback
whale;
(2) Approach, by any means, within 100 yards (91.4 m) of any
humpback whale;
(3) Cause a vessel, person, or other object to approach within 100
yards (91.4 m) of a humpback whale;
(4) Approach a humpback whale by interception (i.e., placing an
aircraft, vessel, person, or other object in the path of a humpback
whale so that the whale approaches within 1,000 feet (304.8 m) of the
aircraft or 100 yards (91.4 m) of the vessel, person, or object); or
(5) Disrupt the normal behavior or prior activity of a whale by any
other act or omission. A disruption of normal behavior may be manifested
by, among other actions on the part of the whale, a rapid change in
direction or speed; escape tactics such as prolonged diving, underwater
course changes, underwater exhalation, or evasive swimming patterns;
interruptions of breeding, nursing, or resting activities; attempts by a
whale to shield a calf from a vessel or human observer by tail swishing
or by other protective movements; or the abandonment of a previously
frequented area.
(b) Exceptions. The prohibitions of paragraph (a) of this section do
not apply to:
(1) Federal, State, or local government vessels, personnel, and
assets, when necessary, in the course of performing official duties;
(2) Vessel operations necessary to avoid an imminent and serious
threat to a person, vessel, or the environment;
(3) Vessels restricted in their ability to maneuver that, because of
this restriction, are not able to comply with approach restrictions; or
(4) Activities authorized through a permit or authorization issued
by the National Marine Fisheries Service to take humpback whales.
[[Page 19]]
(c) Affirmative defense. (1) In connection with any action alleging
a violation of this section, any person claiming the benefit of any
exemption, exception, or permit listed in paragraph (b) of this section
has the burden of proving that the exemption or exception is applicable,
or that the permit was granted and was valid and in force at the time of
the alleged violation.
(2) [Reserved]
[81 FR 62017, Sept. 8, 2016, as amended at 88 FR 88265, Dec. 21, 2023]
Sec. 216.20 Special restrictions for Hawaiian spinner dolphins.
(a) Applicability. The following special restrictions designed to
protect Hawaiian Spinner Dolphins apply:
(1) In all waters within 2 nautical miles (nmi) of the main Hawaiian
Islands, and
(2) In all waters bounded by the islands of L[amacr]na`i, Maui, and
Kaho`olawe enclosed by 3 line segments that connect points on the 2-nmi
boundary between the islands as follows: The straight line between
20[deg]32[min]51[sec] N/156[deg]43[min]50[sec] W (Kaho`olawe) and
20[deg]42[min]4[sec] N/156[deg]55[min]34[sec] W (L[amacr]na`i), the
straight line between 20[deg]51[min]1[sec] N/156[deg]54[min]0[sec] W
(L[amacr]na`i) and 20[deg]59[min]48[sec] N/156[deg]42[min]28[sec] W
(Maui), and the straight line between 20[deg]33[min]55[sec] N/
156[deg]26[min]43[sec] W (Maui) and 20[deg]32[min]15[sec] N/
156[deg]29[min]51[sec] W (Kaho`olawe) (all coordinates referenced to The
World Geodetic System of 1984 (WGS 84)).
Table 1 to Paragraph (a)(2)--Coordinates for the Extent of the Designated Waters Bounded by L[amacr]na`i, Maui,
and Kaho`olawe *
[All coordinates referenced to The World Geodetic System of 1984 (WGS 84).]
----------------------------------------------------------------------------------------------------------------
Line segment between islands Figure 3 label Latitude Longitude
----------------------------------------------------------------------------------------------------------------
Kaho`olawe and L[amacr]na`i...... A1 20[deg]32[min]51[sec] N 156[deg]43[min]50[sec] W
A2 20[deg]42[min]4[sec] N 156[deg]55[min]34[sec] W
L[amacr]na`i and Maui............ B1 20[deg]51[min]1[sec] N 156[deg]54[min]0[sec] W
B2 20[deg]59[min]48[sec] N 156[deg]42[min]28[sec] W
Maui and Kaho`olawe.............. C1 20[deg]33[min]55[sec] N 156[deg]26[min]43[sec] W
C2 20[deg]32[min]15[sec] N 156[deg]29[min]51[sec] W
----------------------------------------------------------------------------------------------------------------
* (see Figure 3 of this section).
(b) Prohibitions. Except as noted in paragraph (c) of this section,
it is unlawful for any person subject to the jurisdiction of the United
States to commit, to attempt to commit, to solicit another to commit, or
to cause to be committed any of the following:
(1) Approach or remain within 50 yards (45.7 m) of a Hawaiian
spinner dolphin by any means;
(2) Swim within 50 yards (45.7 m) of a Hawaiian spinner dolphin;
(3) Cause a vessel, person, or other object to approach or remain
within 50 yards (45.7 m) of a Hawaiian spinner dolphin; or
(4) Intercept or place a vessel, person, or other object in the path
of a Hawaiian spinner dolphin so that the dolphin approaches within 50
yards (45.7 m) of the vessel, person, or object.
(c) Exceptions. The prohibitions of paragraph (b) of this section do
not apply to:
(1) Any person who inadvertently comes within 50 yards (45.7 m) of a
Hawaiian spinner dolphin or is approached by a spinner dolphin, provided
the person makes no effort to engage or pursue the animal and takes
immediate steps to move away from the animal;
(2) Any vessel that is underway and is approached by a Hawaiian
spinner dolphin, provided the vessel continues normal navigation and
makes no effort to engage or pursue the animal. For purposes of this
exception, a vessel is defined as a watercraft or other artificial
contrivance used, or capable of being used, as a means of transportation
on water (1 U.S.C. 3); a vessel is underway if it is not made fast to
the shore, at anchor, or aground;
(3) Any vessel transiting to or from a port, harbor, or in a
restricted channel when a 50-yard (45.7 m) distance will not allow the
vessel to maintain safe navigation;
(4) Vessel operations necessary to avoid an imminent and serious
threat to a person or vessel;
[[Page 20]]
(5) Any vessel that is anchored or aground and is approached by a
Hawaiian spinner dolphin, provided the vessel makes no effort to engage
or pursue the animal;
(6) Activities authorized through a permit or authorization issued
by the National Marine Fisheries Service to take Hawaiian spinner
dolphins;
(7) Federal, State, or local government vessels, aircraft,
personnel, and assets when necessary in the course of performing
official duties;
(8) Commercial fishing vessels that incidentally take spinner
dolphins during the course of commercial fishing operations, provided
such vessels operate in compliance with a valid marine mammal
authorization in accordance with MMPA section 118(c).
(d) Affirmative defense. In connection with any action alleging a
violation of this section, any person claiming the benefit of any
exemption, exception, or permit listed in paragraph (c) of this section
has the burden of proving that the exemption or exception is applicable,
or that the permit was granted and was valid and in force at the time of
the alleged violation.
(e) Maps of areas for Hawaiian spinner dolphin special restrictions.
The following are overview maps and a table with corresponding
coordinate data for the areas for Hawaiian spinner dolphin special
restriction.
[GRAPHIC] [TIFF OMITTED] TR28SE21.002
[[Page 21]]
[GRAPHIC] [TIFF OMITTED] TR28SE21.003
86 FR 53841, Sept. 28, 2021]
Subpart C_General Exceptions
Sec. 216.21 Actions permitted by international treaty,
convention, or agreement.
The MMPA and these regulations shall not apply to the extent that
they are inconsistent with the provisions of any international treaty,
convention or agreement, or any statute implementing the same relating
to the taking or importation of marine mammals or marine mammal
products, which was existing and in force prior to December 21, 1972,
and to which the United States was a party. Specifically, the
regulations in subpart B of this part and the provisions of the MMPA
shall not apply to activities carried out pursuant to the Interim
Convention on the Conservation of North Pacific Fur Seals signed at
Washington on February 9, 1957, and the Fur Seal Act of 1966, 16 U.S.C.
1151 through 1187, as in each case, from time to time amended.
[39 FR 1852, Jan. 15, 1974, as amended at 59 FR 50376, Oct. 3, 1994]
Sec. 216.22 Taking by State or local government officials.
(a) A State or local government official or employee may take a
marine mammal in the normal course of his duties as an official or
employee, and no permit shall be required, if such taking:
(1) Is accomplished in a humane manner;
(2) Is for the protection or welfare of such mammal or for the
protection of the public health or welfare; and
(3) Includes steps designed to insure return of such mammal, if not
killed in
[[Page 22]]
the course of such taking, to its natural habitat. In addition, any such
official or employee may, incidental to such taking, possess and
transport, but not sell or offer for sale, such mammal and use any port,
harbor, or other place under the jurisdiction of the United States. All
steps reasonably practicable under the circumstances shall be taken by
any such employee or official to prevent injury or death to the marine
mammal as the result of such taking. Where the marine mammal in question
is injured or sick, it shall be permissible to place it in temporary
captivity until such time as it is able to be returned to its natural
habitat. It shall be permissible to dispose of a carcass of a marine
mammal taken in accordance with this subsection whether the animal is
dead at the time of taking or dies subsequent thereto.
(b) Each taking permitted under this section shall be included in a
written report to be submitted to the Secretary every six months
beginning December 31, 1973. Unless otherwise permitted by the
Secretary, the report shall contain a description of:
(1) The animal involved;
(2) The circumstances requiring the taking;
(3) The method of taking;
(4) The name and official position of the State official or employee
involved;
(5) The disposition of the animal, including in cases where the
animal has been retained in captivity, a description of the place and
means of confinement and the measures taken for its maintenance and
care; and
(6) Such other information as the Secretary may require.
(c) Salvage of dead stranded marine mammals or parts therefrom and
subsequent transfer.
(1) Salvage. In the performance of official duties, a state or local
government employee; an employee of the National Marine Fisheries
Service, the U.S. Fish and Wildlife Service, or any other Federal agency
with jurisdiction and conservation responsibilities in marine shoreline
areas; or a person authorized under 16 U.S.C. 1382(c) may take and
salvage a marine mammal specimen if it is stranded and dead or it was
stranded or rescued and died during treatment, transport, captivity or
other rehabilitation subsequent to that stranding or distress if salvage
is for the purpose of utilization in scientific research or for the
purpose of maintenance in a properly curated, professionally accredited
scientific collection.
(2) Registration. A person salvaging a dead marine mammal specimen
under this section must register the salvage of the specimen with the
appropriate Regional Office of the National Marine Fisheries Service
within 30 days after the taking or death occurs. The registration must
include:
(i) The name, address, and any official position of the individual
engaged in the taking and salvage;
(ii) A description of the marine mammal specimen salvaged including
the scientific and common names of the species;
(iii) A description of the parts salvaged;
(iv) The date and the location of the taking;
(v) Such other information as deemed necessary by the Assistant
Administrator.
(3) Identification and curation. The Regional Director will assign a
single unique number to each carcass, and the parts thereof, that are
salvaged under the provisions of this section. The person who salvaged
the specimen may designate the number to be assigned. After this number
is assigned, the person who salvaged the specimen must permanently mark
that number on each separate hard part of that specimen and must affix
that number with tags or labels to each soft part of that specimen or
the containers in which that soft part is kept. Each specimen salvaged
under this section must be curated in accordance with professional
standards.
(4) No sale or commercial trade. No person may sell or trade for
commercial purposes any marine mammal specimen salvaged under this
section.
(5) Transfer without prior authorization. A person who salvages a
marine mammal specimen under this section may transfer that specimen to
another person if:
(i) The person transferring the marine mammal specimen does not
receive remuneration for the specimen;
[[Page 23]]
(ii) The person receiving the marine mammal specimen is an employee
of the National Marine Fisheries Service, the U.S. Fish and Wildlife
Service, or any other Federal agency with jurisdiction and conservation
responsibilities in marine shoreline areas; is a person authorized under
16 U.S.C. 1382(c); or is a person who has received prior authorization
under paragraph (c)(6) of this section;
(iii) The marine mammal specimen is transferred for the purpose of
scientific research, for the purpose of maintenance in a properly
curated, professionally accredited scientific collection, or for
educational purposes;
(iv) The unique number assigned by the National Marine Fisheries
Service is on, marked on, or affixed to the marine mammal specimen or
container; and
(v) Except as provided under paragraph (c)(8) of this section, the
person transferring the marine mammal specimen notifies the appropriate
Regional Office of the National Marine Fisheries Service of the
transfer, including notification of the number of the specimen
transferred and the person to whom the specimen was transferred, within
30 days after the transfer occurs.
(6) Other transfers within the United States. Except as provided
under paragraphs (c)(5) and (c)(8) of this section, a person who
salvages a marine mammal specimen, or who has received a marine mammal
specimen under the provisions of this section, may not transfer that
specimen to another person within the United States unless the Regional
Director of the appropriate Regional Office of the National Marine
Fisheries Service grants prior written authorization for the transfer.
The Regional Director may grant authorization for the transfer if there
is evidence that the conditions listed under paragraphs (c)(5)(i),
(c)(5)(iii), and (c)(5)(iv) of this section are met.
(7) Tranfers outside of the United States. A person who salvages a
marine mammal specimen, or a person who has received a marine mammal
specimen under the provisions of this section, may not transfer that
specimen to a person outside of the United States unless the Assistant
Administrator grants prior written authorization for the transfer. The
Assistant Administrator may grant authorization for the transfer if
there is evidence that the conditions listed under paragraphs (c)(5)(i),
(c)(5)(iii), and (c)(5)(iv) of this section are met.
(8) Exceptions to requirements for notification or prior
authorization. A person may transfer a marine mammal specimen salvaged
under this section without the notification required in paragraph
(c)(5)(v) of this section or the prior authorization required in
paragraph (c)(6) of this section if:
(i) The transfer is a temporary transfer to a laboratory or research
facility within the United States so that analyses can be performed for
the person salvaging the specimen; or
(ii) The transfer is a loan of not more than 1 year to another
professionally accredited scientific collection within the United
States.
[39 FR 1852, Jan. 15, 1974, as amended at 56 FR 41307, Aug. 20, 1991]
Sec. 216.23 Native exceptions.
(a) Taking. Notwithstanding the prohibitions of subpart B of this
part 216, but subject to the restrictions contained in this section, any
Indian, Aleut, or Eskimo who resides on the coast of the North Pacific
Ocean or the Arctic Ocean may take any marine mammal without a permit,
if such taking is:
(1) By Alaskan Natives who reside in Alaska for subsistence, or
(2) For purposes of creating and selling authentic native articles
of handicraft and clothing, and
(3) In each case, not accomplished in a wasteful manner.
(b) Restrictions. (1) No marine mammal taken for subsistence may be
sold or otherwise transferred to any person other than an Alaskan Native
or delivered, carried, transported, or shipped in interstate or foreign
commerce, unless:
(i) It is being sent by an Alaskan Native directly or through a
registered agent to a tannery registered under paragraph (c) of this
section for the purpose of processing, and will be returned directly or
through a registered agent to the Alaskan Native; or
(ii) It is sold or transferred to a registered agent in Alaska for
resale or transfer to an Alaskan Native; or
[[Page 24]]
(iii) It is an edible portion and it is sold in an Alaskan Native
village or town.
(2) No marine mammal taken for purposes of creating and selling
authentic native articles of handicraft and clothing may be sold or
otherwise transferred to any person other than an Indian, Aleut or
Eskimo, or delivered, carried, transported or shipped in interstate or
foreign commerce, unless:
(i) It is being sent by an Indian, Aleut or Eskimo directly or
through a registered agent to a tannery registered under paragraph (c)
of this section for the purpose of processing, and will be returned
directly or through a registered agent to the Indian, Aleut or Eskimo;
or
(ii) It is sold or transferred to a registered agent for resale or
transfer to an Indian, Aleut, or Eskimo; or
(iii) It has first been transformed into an authentic native article
of handicraft or clothing; or
(iv) It is an edible portion and sold (A) in an Alaskan Native
village or town, or (B) to an Alaskan Native for his consumption.
(c) Any tannery, or person who wishes to act as an agent, within the
jurisdiction of the United States may apply to the Director, National
Marine Fisheries Service, U.S. Department of Commerce, Washington, DC
20235, for registration as a tannery or an agent which may possess and
process marine mammal products for Indians, Aleuts, or Eskimos. The
application shall include the following information:
(i) The name and address of the applicant;
(ii) A description of the applicant's procedures for receiving,
storing, processing, and shipping materials;
(iii) A proposal for a system of bookkeeping and/or inventory
segregation by which the applicant could maintain accurate records of
marine mammals received from Indians, Aleuts, or Eskimos pursuant to
this section;
(iv) Such other information as the Secretary may request;
(v) A certification in the following language:
I hereby certify that the foregoing information is complete, true
and correct to the best of my knowledge and belief. I understand that
this information is submitted for the purpose of obtaining the benefit
of an exception under the Marine Mammal Protection Act of 1972 (16
U.S.C. 1361 through 1407) and regulations promulgated thereunder, and
that any false statement may subject me to the criminal penalties of 18
U.S.C. 1001, or to penalties under the Marine Mammal Protection Act of
1972.
(vi) The signature of the applicant.
The sufficiency of the application shall be determined by the Secretary,
and in that connection, he may waive any requirement for information, or
require any elaboration or further information deemed necessary. The
registration of a tannery or other agent shall be subject to such
conditions as the Secretary prescribes, which may include, but are not
limited to, provisions regarding records, inventory segregation,
reports, and inspection. The Secretary may charge a reasonable fee for
processing such applications, including an appropriate apportionment of
overhead and administrative expenses of the Department of Commerce.
(d) Notwithstanding the preceding provisions of this section,
whenever, under the MMPA, the Secretary determines any species of stock
of marine mammals to be depleted, he may prescribe regulations pursuant
to section 103 of the MMPA upon the taking of such marine animals by any
Indian, Aleut, or Eskimo and, after promulgation of such regulations,
all takings of such marine mammals shall conform to such regulations.
(e) Marking and reporting of Cook Inlet Beluga Whales--(1)
Definitions. In addition to definitions contained in the MMPA and the
regulations in this part:
(i) Reporting means the collection and delivery of biological data,
harvest data, and other information regarding the effect of taking a
beluga whale (Delphinapterus leucas) from Cook Inlet, as required by
NMFS.
(ii) Whaling captain or vessel operator means the individual who is
identified by Alaskan Natives as the leader of each hunting team
(usually the other crew on the boat) and who is the whaling captain; or
the individual operating the boat at the time the whale is harvested or
transported to the place of processing.
(iii) Cook Inlet means all waters of Cook Inlet north of 59[deg]
North latitude,
[[Page 25]]
including, but not limited to, waters of Kachemak Bay, Kamishak Bay,
Chinitna Bay, and Tuxedni Bay.
(2) Marking. Each whaling captain or vessel operator, upon killing
and landing a beluga whale (Delphinapterus leucas) from Cook Inlet,
Alaska, must remove the lower left jawbone, leaving the teeth intact and
in place. When multiple whales are harvested during one hunting trip,
the jawbones will be marked for identification in the field to ensure
correct reporting of harvest information by placing a label marked with
the date, time, and location of harvest within the container in which
the jawbone is placed. The jawbone(s) must be retained by the whaling
captain or vessel operator and delivered to NMFS at the Anchorage Field
Office, 222 West 7th Avenue, Anchorage, Alaska 99513 within 72 hours of
returning from the hunt.
(3) Reporting. Upon delivery to NMFS of a jawbone, the whaling
captain or vessel operator must complete and mail a reporting form,
available from NMFS, to the NMFS Anchorage Field Office within 30 days.
A separate form is required for each whale harvested.
(i) To be complete, the form must contain the following information:
the date and location of kill, the method of harvest, and the coloration
of the whale. The respondent will also be invited to report on any other
observations concerning the animal or circumstance of the harvest.
(ii) Data collected pursuant to paragraph (e) of this section will
be reported on forms obtained from the Anchorage Field Office. These
data will be maintained in the NMFS Alaska Regional Office in Juneau,
Alaska, where such data will be available for public review.
(4) No person may falsify any information required to be set forth
on the reporting form as required by paragraph (e) of this section.
(5) The Anchorage Field Office of NMFS is located in room 517 of the
Federal Office Building, 222 West 7th Avenue; its mailing address is:
NMFS, Box 43, Anchorage, AK. 99513.
(f) Harvest management of Cook Inlet beluga whales--(1) Cooperative
management of subsistence harvest. Subject to the provisions of 16
U.S.C. 1371(b) and any further limitations set forth in Sec. 216.23,
any taking of a Cook Inlet beluga whale by an Alaska Native must be
authorized under an agreement for the co-management of subsistence uses
(hereinafter in this paragraph ``co-management agreement'') between the
National Marine Fisheries Service and an Alaska Native organization(s).
(2) Limitations. (i) Sale of Cook Inlet beluga whale parts and
products. Authentic Native articles of handicraft and clothing made from
nonedible by-products of beluga whales taken in accordance with the
provisions of this paragraph may be sold in interstate commerce. The
sale of any other part or product, including food stuffs, from Cook
Inlet beluga whales is prohibited, provided that nothing herein shall be
interpreted to prohibit or restrict customary and traditional
subsistence practices of barter and sharing of Cook Inlet beluga parts
and products.
(ii) Beluga whale calves or adults with calves. The taking of a calf
or an adult whale accompanied by a calf is prohibited.
(iii) Season. All takings of beluga whales authorized under Sec.
216.23(f) shall occur no earlier than July 1 of each year.
(iv) Taking during 2001-2004. The harvest of Cook Inlet beluga
whales is restricted during the four-year period of 2001-2004 as
follows:
(A) Strike limitations. Subject to the suspension provision of
subparagraph (C), a total of six (6) strikes, which could result in up
to six landings, are to be allocated through co-management agreement(s).
(B) Strike allocations. Four strikes, not to exceed one per year,
are allocated to the Native Village of Tyonek. The remaining two strikes
will be allocated over the 4-year period through co-management agreement
with other Cook Inlet community hunters, with no more than one such
strike being allocated during every other year.
(C) Emergency provisions. Takings of beluga whales authorized under
Sec. 216.23 will be suspended whenever unusual mortalities exceed six
(6) whales in any year. ``Unusual mortalities'' include all documented
human-caused mortality (including illegal takings and net entanglements
but excluding all legally
[[Page 26]]
harvested whales) and all documented mortality resulting from unknown or
natural causes that occur above normal levels, considered for the
purposes of this provision to be twelve beluga whales per year. The
level of unusual mortalities shall be calculated by documenting
mortality for the calendar year and subtracting twelve. The sum of this
result and the carry over of unusual mortality from any previous year
from which the population has not recovered is the level of unusual
mortalities for the current year. If in any year the number of unusual
mortalities exceeds six whales, no strikes will be allowed in that year
or in subsequent years until the population has recovered from those
mortalities through foregone future harvests and natural recruitment.
(v) Taking during 2008 and subsequent years. (A) Co-management
agreements pursuant to paragraph (f)(1) of this section may be
established for 5-year intervals beginning in 2008. Agreements must
include specific provisions regarding the number and allocation of
strikes, hunting practices to promote consistency with limitations in
paragraph (f)(2)(ii) of this section, and to improve efficiency of the
harvest, mitigating measures, and enforcement. Agreements may include
provisions regarding the sex composition of the beluga harvest.
(B) Strike/harvest levels for each 5-year planning interval
beginning in 2008 will be determined by the recovery of this stock as
measured by the average abundance in the prior 5-year interval and the
best estimate of the population growth rate using information obtained
in the 10 years prior to each 5-year interval. Criteria for categorizing
growth rates are presented below as an algorithm using the estimated
abundance, the distribution statistics for growth rates, and the date.
Harvest levels are subject to the Expected Mortality Limit. The
established strike levels are presented in the Harvest Table and the
following algorithm will be used to determine harvest levels for each 5-
year period beginning in 2008.
(1) NMFS will calculate the average stock abundance over the
previous 5-year period.
(2) NMFS will calculate a population growth rates from abundance
estimates for the most recent 10-year period prior to the next 5-year
period.
(3) Using the abundance and growth information obtained in
accordance with paragraphs (f)(2)(v)(B)(1) and (f)(2)(v)(B)(2), NMFS
will calculate the probabilities that the growth rate within the
population would be less than 1 percent, less than 2 percent, or greater
than 3 percent. NMFS will then use paragraphs (f)(2)(v)(B)(3(i)) and
(f)(2)(v)(B)(3)(vi) of this section to select the proper cell from the
Harvest Table to determine the harvest levels for the next 5-year
interval.
(i) Is the average stock abundance over the previous 5-year period
less than 350 beluga whales? If yes, the Harvest Table provides that the
harvest is zero during the next 5-year period. If no, go to
(f)(2)(v)(B)(3)(ii) of this section.
(ii) Is the current year 2035 or later and is there more than a 20
percent probability the growth rate is less than 1 percent? If yes, the
harvest is zero during the next 5-year period. If no, go to paragraph
(f)(2)(v)(B)(3)(iii) of this section.
(iii) Is the current year between 2020 and 2034 and there is more
than a 20 percent probability the growth rate is less than 1 percent? If
yes, the harvest is three whales during the next 5-year period. If no,
go to paragraph (f)(2)(v)(B)(3)(iv) of this section.
(iv) Is the current year 2015 or later and is there more than a 25
percent probability the growth rate is less than 2 percent? If yes, go
to the harvest table using the ``Low'' growth rate column. If no, go to
paragraph (f)(2)(v)(B)(3)(vi)) of this section.
(v) Is the current year prior to 2015 and is there more than a 75
percent probability the growth rate is less than 2 percent? If yes, go
to the harvest table using the ``Low'' growth rate column. If no, go to
paragraph (f)(2)(v)(B)(3)(vi) of this section.
(vi) Is there more than a 25-percent probability the growth rate is
more than 3 percent? If yes, go to the harvest table using the ``High''
growth rate column. If no, go to the harvest table using the
``Intermediate'' growth rate column.
[[Page 27]]
Harvest Table
--------------------------------------------------------------------------------------------------------------------------------------------------------
Expected
5-year population averages ``High'' growth rate ``Intermediate'' growth ``Low'' growth rate Mortality
rate Limit
--------------------------------------------------------------------------------------------------------------------------------------------------------
Less than 350.............................................. 0 0 0 -
350-399.................................................... 8 strikes in 5 years 5 strikes in 5 years 5 strikes in 5 years 21
400-449.................................................... 9 strikes in 5 years 8 strikes in 5 years 5 strikes in 5 years 24
450-499.................................................... 10 strikes in 5 years 8 strikes in 5 years 5 strikes in 5 years 27
500-524.................................................... 14 strikes in 5 years 9 strikes in 5 years 5 strikes in 5 years 30
525-549.................................................... 16 strikes in 5 years 10 strikes in 5 years 5 strikes in 5 years 32
550-574.................................................... 20 strikes in 5 years 15 strikes in 5 years 5 strikes in 5 years 33
575-599.................................................... 22 strikes in 5 years 16 strikes in 5 years 5 strikes in 5 years 35
600-624.................................................... 24 strikes in 5 years 17 strikes in 5 years 6 strikes in 5 years 36
625-649.................................................... 26 strikes in 5 years 18 strikes in 5 years 6 strikes in 5 years 38
650-699.................................................... 28 strikes in 5 years 19 strikes in 5 years 7 strikes in 5 years 39
700-779.................................................... 32 strikes in 5 years 20 strikes in 5 years 7 strikes in 5 years 42
780 +...................................................... Consult with co-managers to
expand harvest levels while
allowing for the population
to grow
--------------------------------------------------------------------------------------------------------------------------------------------------------
(C) At the beginning of each 5-year period, an Expected Mortality
Limit is determined from the Harvest Table using the 5-year average
abundance. During the course of each calendar year, the number of beach
casts carcasses and carcasses found floating either reported to NMFS or
observed by NMFS personnel will be the number of mortalities for that
year. If at the end of each calendar year this number exceeds the
Expected Mortality Limit, then an unusual mortality event has occurred.
The Estimated Excess Mortalities will be calculated as twice the number
of reported dead whales above the Expected Mortality Limit. The harvest
will then be adjusted as follows:
(1) The harvest level for the remaining years of the current 5-year
period will be recalculated by reducing the 5-year average abundance
from the previous 5-year period by the Estimated Excess Mortalities. The
revised abundance estimate would then be used in the harvest table for
the remaining years and the harvest adjusted accordingly.
(2) For the subsequent 5-year period, for the purpose of calculating
the 5-year average, the Estimated Excess Mortalities would be subtracted
from the abundance estimates of the year of the excess mortality event
so that the average would reflect the loss to the population. This
average would then be used in the table to set the harvest level.
[39 FR 1852, Jan. 15, 1974, as amended at 59 FR 50376, Oct. 3, 1994; 64
FR 27927, May 24, 1999; 69 FR 17980, Apr. 6, 2004; 73 FR 60985, Oct. 15,
2008]
Sec. 216.24 Taking and related acts in commercial fishing
operations including tuna purse seine vessels in the eastern tropical Pacific Ocean.
(a)(1) No marine mammal may be taken in the course of a commercial
fishing operation by a U.S. purse seine fishing vessel in the ETP unless
the taking constitutes an incidental catch as defined in Sec. 216.3,
and vessel and operator permits have been obtained in accordance with
these regulations, and such taking is not in violation of such permits
or regulations.
(2)(i) It is unlawful for any person using a U.S. purse seine
fishing vessel of 400 short tons (st) (362.8 metric tons (mt)) carrying
capacity or less to intentionally deploy a net on or to encircle
dolphins, or to carry more than two speedboats, if any part of its
fishing trip is in the ETP.
(ii) It is unlawful for any person using a U.S. purse seine fishing
vessel of greater than 400 st (362.8 mt) carrying capacity that does not
have a valid permit obtained under these regulations to catch, possess,
or land tuna if any part of the vessel's fishing trip is in the ETP.
(iii) It is unlawful for any person subject to the jurisdiction of
the United States to receive, purchase, or possess
[[Page 28]]
tuna caught, possessed, or landed in violation of paragraph (a)(2)(ii)
of this section.
(iv) It is unlawful for any person subject to the jurisdiction of
the United States to intentionally deploy a purse seine net on, or to
encircle, dolphins from a vessel operating in the ETP when there is not
a DML assigned to that vessel.
(v) It is unlawful for any person subject to the jurisdiction of the
United States to intentionally deploy a purse seine net on, or to
encircle, dolphins from a vessel operating in the ETP with an assigned
DML after a set in which the DML assigned to that vessel has been
reached or exceeded.
(vi) Alleged violations of the Agreement on the IDCP and/or these
regulations identified by the International Review Panel will be
considered for potential enforcement action by NMFS.
(3) Upon written request made in advance of entering the ETP, the
limitations in paragraphs (a)(2)(ii) and (e)(1) of this section may be
waived by the Administrator, West Coast Region, for the purpose of
allowing transit through the ETP. The waiver will provide, in writing,
the terms and conditions under which the vessel must operate, including
a requirement to report to the Administrator, West Coast Region, the
vessel's date of exit from or subsequent entry into the permit area.
(b) Permits--(1) Vessel permit. The owner or managing owner of a
U.S. purse seine fishing vessel of greater than 400 st (362.8 mt)
carrying capacity that participates in commercial fishing operations in
the ETP must possess a valid vessel permit issued under paragraph (b) of
this section. This permit is not transferable and must be renewed
annually. If a vessel permit holder surrenders his/her permit to the
Administrator, West Coast Region, the permit will not be returned and a
new permit will not be issued before the end of the calendar year.
Vessel permits will be valid through December 31 of each year.
(2) Operator permit. The person in charge of and actually
controlling fishing operations (hereinafter referred to as the operator)
on a U.S. purse seine fishing vessel engaged in commercial fishing
operations under a vessel permit must possess a valid operator permit
issued under paragraph (b) of this section. Such permits are not
transferable and must be renewed annually. To receive a permit, the
operator must have satisfactorily completed all required training under
paragraph (c)(5) of this section. The operator's permit is valid only
when the permit holder is on a vessel with a valid vessel permit.
Operator permits will be valid through December 31 of each year.
(3) Possession and display. A valid vessel permit issued pursuant to
paragraph (b)(1) of this section must be on board the vessel while
engaged in fishing operations, and a valid operator permit issued
pursuant to paragraph (b)(2) of this section must be in the possession
of the operator to whom it was issued. Permits must be shown upon
request to NMFS enforcement agents, U.S. Coast Guard officers, or
designated agents of NMFS or the Inter-American Tropical Tuna Commission
(IATTC) (including observers). A vessel owner or operator who is at sea
on a fishing trip when his or her permit expires and to whom a permit
for the next year has been issued, may take marine mammals under the
terms of the new permit without having to display it on board the vessel
until the vessel returns to port.
(4) Application for vessel permit. ETP tuna purse seine vessel
permit application forms and instructions for their completion are
available from NMFS. To apply for an ETP vessel permit, a vessel owner
or managing owner must complete, sign, and submit the appropriate form
via fax to (562) 980-4047, by email to [email protected], or through an
online permit system, allowing at least 15 days for processing. To
submit an ETP vessel permit application online, a request must first be
made to [email protected], and NMFS will give instructions about whether
and how an online application can be made. To request that a vessel in
excess of 400 st (362.8 mt) carrying capacity be categorized as active
on the Vessel Register under Sec. 300.22(b)(4)(ii) of this title in the
following calendar year, the owner or managing owner must submit the
vessel permit application, payment of the vessel permit application fee,
and payment of the vessel assessment
[[Page 29]]
fee no later than September 15 for vessels for which a DML is requested
for the following year, and no later than November 30 for vessels for
which a DML is not requested for the following year.
(5) Application for operator permit. An applicant for an operator
permit must complete, sign, and submit the appropriate form obtained
from NMFS and submit payment of the permit application fee to the
Administrator, West Coast Region, allowing at least 45 days for
processing. Application forms and instructions for their completion are
available from NMFS.
(6) Fees--(i) Vessel permit application fees. Payment of the permit
application fee is required before NMFS will issue a permit. The
Assistant Administrator may change the amount of this fee at any time if
a different fee is determined in accordance with the NOAA Finance
Handbook. The amount of the fee will be printed on the vessel permit
application form provided by the Administrator, West Coast Region.
(ii) Operator permit fee. The Assistant Administrator may require a
fee to be submitted with an application for an operator permit. The
level of such a fee shall be determined in accordance with the NOAA
Finance Handbook and specified by the Administrator, West Coast Region,
on the application form.
(iii) Vessel assessment fee. The vessel assessment fee supports the
placement of observers on individual tuna purse seine vessels, and
maintenance of the observer program, as established by the IATTC or
other approved observer program.
(A) The owner or managing owner of a purse seine vessel for which a
DML has been requested must submit the vessel assessment fee to the
IATTC, no later than September 15 of the year prior to the calendar year
for which the DML is requested. Payment of the vessel assessment fee
must be consistent with the fee for active status on the Vessel Register
under Sec. 300.22(b)(4) of this title.
(B) The owner or managing owner of a purse seine vessel for which
active or inactive status on the Vessel Register, as defined in Sec.
300.21 of this title, has been requested, but for which a DML has not
been requested, must submit payment of the vessel assessment fee to the
IATTC, no later than November 30 of the year prior to the calendar year
in which the vessel will be listed on the Vessel Register. Payment of
the vessel assessment fee is required only if the vessel is listed as
active and is required to carry an observer, or if the vessel is listed
as inactive and exceeds 400 st (362.8 mt) in carrying capacity. Payment
of the vessel assessment fee must be consistent with the vessel's
status, either active or inactive, on the Vessel Register in Sec.
300.22(b)(4) of this title.
(C) The owner or managing owner of a purse seine vessel that is
permitted and authorized under an alternative international tuna purse
seine fisheries management regime in the Pacific Ocean must submit the
vessel assessment fee to the IATTC, prior to obtaining an observer and
entering the ETP to fish. Consistent with Sec. 300.22(b)(1) of this
title, this class of purse seine vessels is not required to be listed on
the Vessel Register under Sec. 300.22(b)(4) of this title in order to
purse seine for tuna in the ETP during a single fishing trip per
calendar year of 90 days or less. Payment of the vessel assessment fee
must be consistent with the fee for active status on the Vessel Register
under Sec. 300.22(b)(4)(ii) of this title.
(D) The owner or managing owner of a purse seine vessel listed as
inactive on the Vessel Register at the beginning of the calendar year
and who requests active status on the Vessel Register under Sec.
300.22(b)(4) of this title during the year, must pay the vessel
assessment fee associated with active status, less the vessel assessment
fee associated with inactive status that was already paid, before NMFS
will request the IATTC Director change the status of the vessel from
inactive to active. Payment of the vessel assessment fee is required
only if the vessel is required to carry an observer.
(E) The owner or managing owner of a purse seine vessel not listed
on the Vessel Register at the beginning of the calendar year and who
requests to replace a vessel removed from active status on the Vessel
Register under Sec. 300.22(b)(4) of this title during the year, must
pay the vessel assessment fee associated with active status only
[[Page 30]]
if the vessel is required to carry an observer, before NMFS will request
the IATTC Director change the status of the vessel to active.
(F) Payments will be subject to a 10 percent surcharge if received
under paragraph (b)(6)(iii)(E) of this section for vessels that were
listed as active on the Vessel Register in the calendar year prior to
the year for which active status was requested; or if received after the
dates specified in paragraph (b)(6)(iii)(A) or (B) of this section for
vessels for which active status is requested if the vessel was listed as
active during the year the request was made. Payments will not be
subject to a 10 percent surcharge if received under paragraph
(b)(6)(iii)(C) or (D) of this section, or if received under paragraph
(b)(6)(iii)(E) of this section for vessels that were not listed as
active on the Vessel Register in the calendar year prior to the year for
which active status was requested. Payments will also not be subject to
a 10 percent surcharge if received after the date specified in paragraph
(b)(6)(iii)(B) of this section for vessels for which inactive status is
requested, or for vessels for which active status is requested if the
vessel was not listed as active during the year the request was made.
Payment of all vessel assessment fees described in this section must be
made to the IATTC.
(7) Application approval. The Administrator, West Coast Region, will
determine the adequacy and completeness of an application and, upon
determining that an application is adequate and complete, will approve
that application and issue the appropriate permit, except for applicants
having unpaid or overdue civil penalties, criminal fines, or other
liabilities incurred in a legal proceeding.
(8) Conditions applicable to all permits--(i) General conditions.
Failure to comply with the provisions of a permit or with these
regulations may lead to suspension, revocation, modification, or denial
of a permit. The permit holder, vessel, vessel owner, operator, or
master may be subject, jointly or severally, to the penalties provided
for under the MMPA. Procedures governing permit sanctions and denials
are found at subpart D of 15 CFR part 904.
(ii) Observer placement. By obtaining a permit, the permit holder
consents to the placement of an observer on the vessel during every trip
involving operations in the ETP and agrees to payment of the fees for
observer placement. No observer will be assigned to a vessel unless that
vessel owner has submitted payment of observer fees to the
Administrator, West Coast Region. The observers may be placed under an
observer program of NMFS, IATTC, or another observer program approved by
the Administrator, West Coast Region.
(iii) Explosives. The use of explosive devices is prohibited during
all tuna purse seine operations that involve marine mammals.
(iv) Reporting requirements. (A) The vessel permit holder of each
permitted vessel must notify the Administrator, West Coast Region, or
the IATTC contact designated by the Administrator, West Coast Region, at
least 5 days in advance of the vessel's departure on a fishing trip to
allow for observer placement on every trip. If the vessel permit holder
would like to use an IATTC and Western and Central Pacific Fisheries
Commission (WCPFC) cross-endorsed observer when fishing in the IATTC
Convention Area, the notification must also include a request for the
placement of a cross-endorsed observer pursuant to the Memorandum of
Cooperation between the IATTC and WCPFC.
(B) The vessel permit holder must notify the Administrator, West
Coast Region, or the IATTC contact designated by the Administrator, West
Coast Region, of any change of vessel operator at least 48 hours prior
to departing on a fishing trip. In the case of a change in operator due
to an emergency, notification must be made within 72 hours of the
change.
(v) Data release. By using a permit, the permit holder authorizes
the release to NMFS and the IATTC of all data collected by observers
aboard purse seine vessels during fishing trips under the IATTC observer
program or another international observer program approved by the
Administrator, West Coast Region. The permit holder must furnish the
international observer program with all release forms required to
authorize the observer data to be provided to NMFS and the
[[Page 31]]
IATTC. Data obtained under such releases will be used for the same
purposes as would data collected directly by observers placed by NMFS
and will be subject to the same standards of confidentiality.
(9) Mortality and serious injury reports. The Administrator, West
Coast Region, will provide to the public periodic status reports
summarizing the estimated incidental dolphin mortality and serious
injury by U.S. vessels of individual species and stocks.
(c) Purse seining by vessels with Dolphin Mortality Limits (DMLs).
In addition to the terms and conditions set forth in paragraph (b) of
this section, any permit for a vessel to which a DML has been assigned
under paragraph (c)(9) of this section and any operator permit when used
on such a vessel are subject to the following terms and conditions:
(1) A vessel may be used to chase and encircle schools of dolphins
in the ETP only under the immediate direction of the holder of a valid
operator's permit.
(2) No retention of live marine mammals. Except as otherwise
authorized by a specific permit, live marine mammals incidentally taken
must be immediately returned to the ocean without further injury. The
operator of a purse seine vessel must take every precaution to refrain
from causing or permitting incidental mortality or serious injury of
marine mammals. Live marine mammals may not be brailed, sacked up, or
hoisted onto the deck during ortza retrieval.
(3) Gear and equipment required for valid permit. A vessel
possessing a vessel permit for purse seining involving the intentional
taking of marine mammals may not engage in fishing operations involving
the intentional deployment of the net on or encirclement of dolphins
unless it is equipped with a dolphin safety panel in its purse seine,
has the other required gear and equipment, and uses the required
procedures.
(i) Dolphin safety panel. The dolphin safety panel must be a minimum
of 180 fathoms in length (as measured before installation), except that
the minimum length of the panel in nets deeper than 18 strips must be
determined in a ratio of 10 fathoms in length for each strip of net
depth. It must be installed so as to protect the perimeter of the
backdown area. The perimeter of the backdown area is the length of
corkline that begins at the outboard end of the last bowbunch pulled and
continues to at least two-thirds the distance from the backdown channel
apex to the stern tiedown point. The dolphin safety panel must consist
of small mesh webbing not to exceed 1\1/4\ inches (3.18 centimeters
(cm)) stretch mesh extending downward from the corkline and, if present,
the base of the dolphin apron to a minimum depth equivalent to two
strips of 100 meshes of 4\1/4\ inches (10.80 cm) stretch mesh webbing.
In addition, at least a 20-fathom length of corkline must be free from
bunchlines at the apex of the backdown channel.
(ii) Dolphin safety panel markers. Each end of the dolphin safety
panel and dolphin apron, if present, must be identified with an easily
distinguishable marker.
(iii) Dolphin safety panel hand holds. Throughout the length of the
corkline under which the dolphin safety panel and dolphin apron are
located, hand hold openings must be secured so that they will not allow
the insertion of a 1\3/8\ inch (3.50 cm) diameter cylindrical-shaped
object.
(iv) Dolphin safety panel corkline hangings. Throughout the length
of the corkline under which the dolphin safety panel and dolphin apron
if present, are located, corkline hangings must be inspected by the
vessel operator following each trip. Hangings found to have loosened to
the extent that a cylindrical-shaped object with a 1\3/8\ inch (3.50 cm)
diameter can be inserted between the cork and corkline hangings, must be
tightened so as not to allow the insertion of a cylindrical-shaped
object with a 1\3/8\ inch (3.50 cm) diameter.
(v) Speedboats. A minimum of three speedboats in operating condition
must be carried. All speedboats carried aboard purse seine vessels and
in operating condition must be rigged with tow lines and towing bridles
or towing posts. Speedboat hoisting bridles may not be substituted for
towing bridles.
(vi) Raft. A raft suitable to be used as a dolphin observation-and-
rescue platform must be carried.
[[Page 32]]
(vii) Facemask and snorkel, or viewbox. At least two facemasks and
snorkels or viewboxes must be carried.
(viii) Lights. The vessel must be equipped with long-range, high-
intensity floodlights with a sodium lamp of at least 1000 watts, or a
multivapour lamp of at least 1500 watts, for use in darkness to ensure
sufficient light to observe that procedures for dolphin release are
carried out and to monitor incidental dolphin mortality.
(4) Vessel inspection--(i) Twice per year. At least twice during
each calendar year, purse seine nets and other gear and equipment
required under Sec. 216.24(c)(3) must be made available for inspection
and for a trial set/net alignment by an authorized NMFS inspector or
IATTC staff as specified by the Administrator, West Coast Region, in
order to obtain a vessel permit. The first such inspection shall be
carried out before the vessel's request for a DML is submitted to the
IATTC. The second such inspection shall be carried out before
notification of any reallocation of DMLs for vessels with full-year DMLs
or during the last quarter of the year for vessels with second-semester
DMLs.
(ii) Reinspection. Purse seine nets and other gear and equipment
required by these regulations must be made available for reinspection by
an authorized NMFS inspector or IATTC staff as specified by the
Administrator, West Coast Region. The vessel permit holder must notify
the Administrator, West Coast Region, of any net modification at least 5
days prior to departure of the vessel in order to determine whether a
reinspection or trial set/net alignment is required.
(iii) Failure to pass inspection. Upon failure to pass an inspection
or reinspection, a vessel may not engage in purse seining involving the
intentional taking of marine mammals until the deficiencies in gear or
equipment are corrected as required by NMFS.
(5) Operator permit holder training requirements. An operator must
maintain proficiency sufficient to perform the procedures required
herein, and must attend and satisfactorily complete a formal training
session approved by the Administrator, West Coast Region, in order to
obtain his or her permit. At the training session, an attendee will be
instructed on the relevant provisions and regulatory requirements of the
MMPA and the IDCP, and the fishing gear and techniques that are required
for reducing serious injury and mortality of dolphin incidental to purse
seining for tuna. Operators who have received a written certificate of
satisfactory completion of training and who possess a current or
previous calendar year permit will not be required to attend additional
formal training sessions unless there are substantial changes in the
relevant provisions or implementing regulations of the MMPA or the IDCP,
or in fishing gear and techniques. Additional training may be required
for any operator who is found by the Administrator, West Coast Region,
to lack proficiency in the required fishing procedures or familiarity
with the relevant provisions or regulations of the MMPA or the IDCP.
(6) Marine mammal release requirements. All operators fishing
pursuant to paragraph (c) of this section must use the following
procedures during all sets involving the incidental taking of marine
mammals in association with the capture and landing of tuna.
(i) Backdown procedure. Backdown must be performed following a purse
seine set in which dolphins are captured in the course of catching tuna,
and must be continued until it is no longer possible to remove live
dolphins from the net by this procedure. At least one crewmember must be
deployed during backdown to aid in the release of dolphins. Thereafter,
other release procedures required will be continued so that all live
dolphins are released prior to the initiation of the sack-up procedure.
(ii) Prohibited use of sharp or pointed instrument. The use of a
sharp or pointed instrument to remove any marine mammal from the net is
prohibited.
(iii) Sundown sets prohibited. On every set encircling dolphin, the
backdown procedure must be completed no later than one-half hour after
sundown, except as provided here. For the purpose of this section,
sundown is defined as the time at which the upper edge of the sun
disappears below the horizon or, if the view of the sun is obscured, the
[[Page 33]]
local time of sunset calculated from tables developed by the U.S. Naval
Observatory or other authoritative source approved by the Administrator,
West Coast Region. A sundown set is a set in which the backdown
procedure has not been completed and rolling the net to sack-up has not
begun within one-half hour after sundown. Should a set extend beyond
one-half hour after sundown, the operator must use the required marine
mammal release procedures including the use of the high intensity
lighting system. In the event a sundown set occurs where the seine skiff
was let go 90 or more minutes before sundown, and an earnest effort to
rescue dolphins is made, the International Review Panel of the IDCP may
recommend to the United States that in the view of the International
Review Panel, prosecution by the United States is not recommended. Any
such recommendation will be considered by the United States in
evaluating the appropriateness of prosecution in a particular
circumstance.
(iv) Dolphin safety panel. During backdown, the dolphin safety panel
must be positioned so that it protects the perimeter of the backdown
area. The perimeter of the backdown area is the length of corkline that
begins at the outboard end of the last bow bunch pulled and continues to
at least two-thirds the distance from the backdown channel apex to the
stern tiedown point.
(7) Experimental fishing operations. The Administrator, West Coast
Region, may authorize experimental fishing operations, consistent with
the provisions of the IDCP, for the purpose of testing proposed
improvements in fishing techniques and equipment that may reduce or
eliminate dolphin mortality or serious injury, or do not require the
encirclement of dolphins in the course of fishing operations. The
Administrator, West Coast Region, may waive, as appropriate, any
requirements of this section except DMLs and the obligation to carry an
observer.
(i) A vessel permit holder may apply for an experimental fishing
operation waiver by submitting the following information to the
Administrator, West Coast Region, no less than 90 days before the date
the proposed operation is intended to begin:
(A) The name(s) of the vessel(s) and the vessel permit holder(s) to
participate;
(B) A statement of the specific vessel gear and equipment or
procedural requirement to be exempted and why such an exemption is
necessary to conduct the experiment;
(C) A description of how the proposed modification to the gear and
equipment or procedures is expected to reduce incidental mortality or
serious injury of marine mammals;
(D) A description of the applicability of this modification to other
purse seine vessels;
(E) The planned design, time, duration, and general area of the
experimental operation;
(F) The name(s) of the permitted operator(s) of the vessel(s) during
the experiment;
(G) A statement of the qualifications of the individual or company
doing the analysis of the research; and
(H) Signature of the permitted operator or of the operator's
representative.
(ii) The Administrator, West Coast Region, will acknowledge receipt
of the application and, upon determining that it is complete, will
publish a notice in the Federal Register summarizing the application,
making the full application available for inspection and inviting
comments for a minimum period of 30 days from the date of publication.
(iii) The Administrator, West Coast Region, after considering the
information submitted in the application identified in paragraph
(c)(7)(i) of this section and the comments received, will either issue a
waiver to conduct the experiment that includes restrictions or
conditions deemed appropriate, or deny the application, giving the
reasons for denial.
(iv) A waiver for an experimental fishing operation will be valid
only for the vessels and operators named in the permit, for the time
period and areas specified, for trips carrying an observer designated by
the Administrator, West Coast Region, and when all the terms and
conditions of the permit are met.
[[Page 34]]
(v) The Administrator, West Coast Region, may suspend or revoke an
experimental fishing waiver in accordance with 15 CFR part 904 if the
terms and conditions of the waiver or the provisions of the regulations
are not followed.
(8) Operator permit holder performance requirements. [Reserved]
(9) Vessel permit holder dolphin mortality limits. For purposes of
this paragraph, the term ``vessel permit holder'' includes both the
holder of a current vessel permit and also the holder of a vessel permit
for the following year.
(i) By September 1 each year, a vessel permit holder desiring a DML
for the following year must provide to the Administrator, West Coast
Region, the name of the U.S. purse seine fishing vessel(s) of carrying
capacity greater than 400 st (362.8 mt) that the owner intends to use to
intentionally deploy purse seine fishing nets in the ETP to encircle
dolphins in an effort to capture tuna during the following year. NMFS
will forward the list of purse seine vessels to the Director of the
IATTC on or before October 1, or as otherwise required by the IDCP, for
assignment of a DML for the following year under the provisions of Annex
IV of the Agreement on the IDCP.
(ii) Each vessel permit holder that desires a DML only for the
period between July 1 to December 31 must provide the Administrator,
West Coast Region, by September 1 of the prior year, the name of the
U.S. purse seine fishing vessel(s) of greater than 400 st (362.8 mt)
carrying capacity that the owner intends to use to intentionally deploy
purse seine fishing nets in the ETP to encircle dolphins in an effort to
capture tuna during the period. NMFS will forward the list of purse
seine vessels to the Director of the IATTC on or before October 1, or as
otherwise required under the IDCP, for possible assignment of a DML for
the 6-month period July 1 to December 31. Under the IDCP, the DML will
be calculated by the IDCP from any unutilized pool of DMLs in accordance
with the procedure described in Annex IV of the Agreement on the IDCP
and will not exceed one-half of an unadjusted full-year DML as
calculated by the IDCP.
(iii)(A) The Administrator, West Coast Region, will notify vessel
owners of the DML assigned for each vessel for the following year, or
the second half of the year, as applicable.
(B) The Administrator, West Coast Region, may adjust the DMLs in
accordance with Annex IV of the Agreement on the IDCP. All adjustments
of full-year DMLs will be made before January 1, and the Administrator,
West Coast Region, will notify the Director of the IATTC of any
adjustments prior to a vessel departing on a trip using its adjusted
DML. The notification will be no later than February 1 in the case of
adjustments to full-year DMLs, and no later than May 1 in the case of
adjustments to DMLs for the second half of the year.
(C) In accordance with the requirements of Annex IV of the Agreement
on the IDCP, the Administrator, West Coast Region, may adjust a vessel's
DML if it will further scientific or technological advancement in the
protection of marine mammals in the fishery or if the past performance
of the vessel indicates that the protection or use of the yellowfin tuna
stocks or marine mammals is best served by the adjustment, within the
mandates of the MMPA. Experimental fishing operation waivers or
scientific research permits will be considered a basis for adjustments.
(iv)(A) A vessel assigned a full-year DML that does not make a set
on dolphins by April 1 or that leaves the fishery will lose its DML for
the remainder of the year, unless the failure to set on dolphins is due
to force majeure or other extraordinary circumstances as determined by
the International Review Panel.
(B) A vessel assigned a DML for the second half of the year will be
considered to have lost its DML if the vessel has not made a set on
dolphins before December 31, unless the failure to set on dolphins is
due to force majeure or extraordinary circumstances as determined by the
International Review Panel.
(C) Any vessel that loses its DML for 2 consecutive years will not
be eligible to receive a DML for the following year.
[[Page 35]]
(D) NMFS will determine, based on available information, whether a
vessel has left the fishery.
(1) A vessel lost at sea, undergoing extensive repairs, operating in
an ocean area other than the ETP, or for which other information
indicates that vessel will no longer be conducting purse seine
operations in the ETP for the remainder of the period covered by the DML
will be determined to have left the fishery.
(2) NMFS will make all reasonable efforts to determine the
intentions of the vessel owner. The owner of any vessel that has been
preliminarily determined to have left the fishery will be provided
notice of such preliminary determination and given the opportunity to
provide information on whether the vessel has left the fishery prior to
NMFS making a final determination under 15 CFR part 904 and notifying
the IATTC.
(v) Any vessel that exceeds its assigned DML after any applicable
adjustment under paragraph (c)(9)(iii) of this section will have its DML
for the subsequent year reduced by 150 percent of the overage, unless
another adjustment is determined by the International Review Panel, as
mandated by the Agreement on the IDCP.
(vi) A vessel that is covered by a valid vessel permit and that does
not normally fish for tuna in the ETP but desires to participate in the
fishery on a limited basis may apply for a per-trip DML from the
Administrator, West Coast Region, at any time, allowing at least 60 days
for processing. The request must state the expected number of trips
involving sets on dolphins and the anticipated dates of the trip or
trips. The request will be forwarded to the Secretariat of the IATTC for
processing in accordance with Annex IV of the Agreement on the IDCP. A
per-trip DML will be assigned if one is made available in accordance
with the terms of Annex IV of the Agreement on the IDCP. If a vessel
assigned a per-trip DML does not set on dolphins during that trip, the
vessel will be considered to have lost its DML unless this was a result
of force majeure or other extraordinary circumstances as determined by
the International Review Panel. After two consecutive losses of a DML, a
vessel will not be eligible to receive a DML for the next fishing year.
(vii) Observers will make their records available to the vessel
operator at any reasonable time, including after each set, in order for
the operator to monitor the balance of the DML(s) remaining for use.
(viii) Vessel and operator permit holders must not deploy a purse
seine net on or encircle any school of dolphins containing individuals
of a particular stock of dolphins for the remainder of the calendar
year:
(A) after the applicable per-stock per-year dolphin mortality limit
for that stock of dolphins (or for that vessel, if so assigned) has been
reached or exceeded; or
(B) after the time and date provided in actual notification or
notification in the Federal Register by the Administrator, West Coast
Region, based upon the best available evidence, stating when any
applicable per-stock per-year dolphin mortality limit has been reached
or exceeded, or is expected to be reached in the near future.
(ix) If individual dolphins belonging to a stock that is prohibited
from being taken are not reasonably observable at the time the net skiff
attached to the net is released from the vessel at the start of a set,
the fact that individuals of that stock are subsequently taken will not
be cause for enforcement action provided that all procedures required by
the applicable regulations have been followed.
(x) Vessel and operator permit holders must not intentionally deploy
a purse seine net on or encircle dolphins intentionally:
(A) after a set in which the vessel's DML, as adjusted, has been
reached or exceeded; or
(B) after the date and time provided in actual notification by
letter, facsimile, radio, or electronic mail, or notice in the Federal
Register by the Administrator, West Coast Region, based upon the best
available evidence, that intentional sets on dolphins must cease because
the total of the DMLs assigned to the U.S. fleet has been reached or
exceeded, or is expected to be exceeded in the near future.
[[Page 36]]
(d) Purse seining by vessels without assigned DMLs. In addition to
the requirements of paragraph (b) of this section, a vessel permit used
for a trip not involving an assigned DML and the operator's permit when
used on such a vessel are subject to the following terms and conditions:
a permit holder may take marine mammals provided that such taking is an
accidental occurrence in the course of normal commercial fishing
operations and the vessel does not intentionally deploy its net on, or
to encircle, dolphins; marine mammals taken incidental to such
commercial fishing operations must be immediately returned to the
environment where captured without further injury, using release
procedures such as hand rescue, or aborting the set at the earliest
effective opportunity; and the use of one or more rafts and facemasks or
viewboxes to aid in the rescue of dolphins is recommended.
(e) Observers--(1) The holder of a vessel permit must allow an
observer duly authorized by the Administrator, West Coast Region, to
accompany the vessel on all fishing trips in the ETP for the purpose of
conducting research and observing operations, including collecting
information that may be used in civil or criminal penalty proceedings,
forfeiture actions, or permit sanctions. A vessel that fails to carry an
observer in accordance with these requirements may not engage in fishing
operations.
(i) Exemption from observer requirement. The Administrator, West
Coast Region (or designee), may issue a temporary written exemption from
the observer requirement in this paragraph (e)(1) if the Parties to the
AIDCP and/or Members of the IATTC have adopted emergency observer
exemption procedures to address relevant global or regional health,
safety, and security concerns, as well as other international
emergencies and crises. Such exemptions will be issued on a case-by-case
basis for a single fishing trip, in accordance with the AIDCP/IATTC
exemption procedures in effect at the time of the request. Exemptions
from the requirement in this paragraph (e)(1) will only be issued when
AIDCP/IATTC exemption procedures are in effect and are only valid for as
long as the AIDCP/IATTC exemption procedures remain in effect. NMFS will
notify the affected fleet via email when existing AIDCP/IATTC exemption
procedures expire. NMFS will also notify the affected fleet via email
and the public by publication of a document in the Federal Register if
new exemption procedures are adopted by the Parties to the AIDCP and/or
the Members of the IATTC. Requests for exemption must be made to the
Administrator, West Coast Region, via email at [email protected], or in a
manner acceptable to the Administrator, West Coast Region.
(ii) [Reserved]
(2) Research and observation duties will be carried out in such a
manner as to minimize interference with commercial fishing operations.
Observers must be provided access to vessel personnel and to dolphin
safety gear and equipment, electronic navigation equipment, radar
displays, high powered binoculars, and electronic communication
equipment. The navigator must provide true vessel locations by latitude
and longitude, accurate to the nearest minute, upon request by the
observer. Observers must be provided with adequate space on the bridge
or pilothouse for clerical work, as well as space on deck adequate for
carrying out observer duties. No vessel owner, master, operator, or crew
member of a permitted vessel may impair, or in any way interfere with,
the research or observations being carried out. Masters must allow
observers to use vessel communication equipment necessary to report
information concerning the take of marine mammals and other observer
collected data upon request of the observer.
(3) Any marine mammals killed during fishing operations that are
accessible to crewmen and requested from the permit holder or master by
the observer must be brought aboard the vessel and retained for
biological processing, until released by the observer for return to the
ocean. Whole marine mammals or marine mammal parts designated as
biological specimens by the observer must be retained in cold storage
aboard the vessel until retrieved by authorized personnel of
[[Page 37]]
NMFS or the IATTC when the vessel returns to port for unloading.
(4) It is unlawful for any person to forcibly assault, impede,
intimidate, interfere with, or to influence or attempt to influence an
observer, or to harass (including sexual harassment) an observer by
conduct that has the purpose or effect of unreasonably interfering with
the observer's work performance, or that creates an intimidating,
hostile, or offensive environment. In determining whether conduct
constitutes harassment, the totality of the circumstances, including the
nature of the conduct and the context in which it occurred, will be
considered. The determination of the legality of a particular action
will be made from the facts on a case-by-case basis.
(i) Requirements for owners and operators of U.S. purse seine
vessels for reporting and actions in response to observer safety are at
Sec. 300.29 of this title.
(ii) [Reserved]
(5)(i) All observers must be provided sleeping, toilet and eating
accommodations at least equal to that provided to a full crew member. A
mattress or futon on the floor or a cot is not acceptable in place of a
regular bunk. Meal and other galley privileges must be the same for the
observer as for other crew members.
(ii) Female observers on a vessel with an all-male crew must be
accommodated either in a single-person cabin or, if reasonable privacy
can be ensured by installing a curtain or other temporary divider, in a
two-person cabin shared with a licensed officer of the vessel. If the
cabin assigned to a female observer does not have its own toilet and
shower facilities that can be provided for the exclusive use of the
observer, then a schedule for time-sharing common facilities must be
established before the placement meeting and approved by NMFS or other
approved observer program and must be followed during the entire trip.
(iii) In the event there are one or more female crew members, the
female observer must be provided a bunk in a cabin shared solely with
female crew members, and provided toilet and shower facilities shared
solely with these female crew members.
(f) Importation, purchase, shipment, sale and transport. (1)(i) It
is illegal to import into the United States any fish, whether fresh,
frozen, or otherwise prepared, if the fish have been caught with
commercial fishing technology that results in the incidental kill or
incidental serious injury of marine mammals in excess of that allowed
under this part for U.S. fishermen, or as specified at paragraph (f)(6)
of this section.
(ii) For purposes of this paragraph (f), and in applying the
definition of an ``intermediary nation,'' an import occurs when the fish
or fish product is released from a nation's Customs' custody and enters
into the commerce of the nation. For other purposes, ``import'' is
defined in Sec. 216.3.
(2) Imports requiring a Fisheries Certificate of Origin and an
International Fisheries Trade Permit. Shipments of tuna, tuna products,
and certain other fish products identified in paragraphs (f)(2)(i)
through (iii) of this section may not be imported into the United States
unless: a scanned copy of a properly completed Fisheries Certificate of
Origin (FCO), NOAA Form 370, associated certifications and statements
described in Sec. 216.91(a), and required data set are filed
electronically with U.S. Customs and Border Protection (CBP) at the time
of, or in advance of, importation as required under Sec. 300.323; and
the importer of record designated on the entry summary (Customs Form
7501) holds a valid International Fisheries Trade Permit as specified at
Sec. 300.322 of this title. ``Required data set'' has the same meaning
as Sec. 300.321 of this title (see definition of ``Documentation and
data sets required'').
(i) Imports requiring a Fisheries Certificate of Origin, subject to
yellowfin tuna embargo. All shipments containing yellowfin tuna or
yellowfin tuna products (other than fresh tuna) imported into the United
States must be accompanied by an FCO, including, but not limited to,
those imported under the following Harmonized Tariff Schedule of the
United States (HTS) numbers. Updated HTS numbers can be identified by
referencing the most current HTS in effect at the time of importation,
available at www.usitc.gov. The scope of
[[Page 38]]
yellowfin tuna embargoes and procedures for attaining an affirmative
finding are described under paragraphs (f)(6) and (f)(8) of this
section, respectively.
(A) Frozen: (products containing Yellowfin).
0303.42.0020 Yellowfin tunas, whole, frozen
0303.42.0040 Yellowfin tunas, head-on, frozen, except whole
0303.42.0060 Yellowfin tunas, other, frozen, except whole, head-on,
fillets, livers and roes
0304.87.0000 Tuna fish fillets, frozen, not elsewhere specified or
indicated (NESOI)
0304.99.1190 Tuna, frozen, in bulk or in immediate containers weighing
with their contents over 6.8 kg each
(B) Airtight Containers: (products containing Yellowfin)..............
1604.14.1010............................ Tunas and skipjack, in oil,
in airtight containers, in
foil or other flexible
containers weighing with
their contents not more
than 6.8 kg each
1604.14.1099............................ Tunas and skipjack, in oil,
in airtight containers,
NESOI
1604.14.2291............................ Other tunas and skipjack, no
oil, in foil/flexible
airtight containers, not
over 6.8 kg, 4.8% of U.S.
consumption of canned tuna
during preceding year
1604.14.2299............................ Tunas, NESOI and skipjack,
not in oil, in other
airtight containers not
over 7 kg, 4.8% of U.S.
consumption of canned tuna
during preceding year
1604.14.3091............................ Tunas and skipjack, NESOI,
not in oil, in foil or
other flexible airtight
containers, weighing with
their contents not more
than 6.8 kg each
1604.14.3099............................ Other tunas and skipjack,
not in oil, in airtight
containers, NESOI
(C) Loins: (products containing Yellowfin)............................
1604.14.4000............................ Tunas and skipjacks,
prepared or preserved, not
in airtight containers, not
in oil, in bulk or
immediate containers with
their contents over 6.8 kg
each
1604.14.5000............................ Tunas and skipjack, prepared
or preserved, not in
airtight containers, NESOI
(D) Other: (products containing Yellowfin).
0511.91.0090 Fish, shellfish products unfit for human consumption
1604.20.1000 Fish pastes
1604.20.1500 Fish balls, cakes and puddings, in oil
1604.20.2000 Fish balls, cakes and puddings, not in oil, less than 6.8
kg, in airtight containers
1604.20.2500 Fish balls, cakes and puddings, not in oil, not in airtight
containers, in immediate containers weighing with their
contents not over 6.8 kg each
1604.20.3000 Fish balls, cakes and puddings, NESOI
1604.20.4000 Fish sticks, not cooked, nor in oil
1604.20.5010 Fish sticks, cooked and frozen
1604.20.5090 Fish sticks, NESOI
2309.10.0010 Dog or cat food, in airtight containers
(ii) Imports requiring a Fisheries Certificate of Origin, not
subject to yellowfin tuna embargo. All shipments containing tuna or tuna
products (other than fresh tuna or yellowfin tuna identified in
paragraph (f)(2)(i) of this section) imported into the United States
must be accompanied by an FCO, including, but not limited to, those
imported under the following HTS numbers. Updated HTS numbers can be
identified by referencing the most current HTS in effect at the time of
importation, available at www.usitc.gov.
(A) Frozen: (other than Yellowfin).
0303.41.0000 Albacore or longfinned tunas, frozen, except fillets,
livers and roes
0303.43.0000 Skipjack tunas or stripe-bellied bonito, frozen, except
fillets, livers and roes
0303.44.0000 Bigeye tunas, frozen, except fillets, livers and roes
0303.45.0110 Atlantic Bluefin, frozen, except fillets, livers and roes
0303.45.0150 Pacific Bluefin, frozen, except fillets, livers and roes
0303.46.0000 Southern bluefin tunas, frozen, except fillets, livers and
roes
0303.49.0200 Tunas, frozen, except fillets, livers and roes, NESOI
0304.87.0000 Tuna fish fillets, frozen, NESOI
0304.99.1190 Tuna, frozen, in bulk or in immediate containers weighing
with their contents over 6.8 kg each, NESOI
(B) Airtight Containers: (other than Yellowfin).......................
1604.14.1010............................ Tunas and skipjack, in oil,
in airtight containers, in
foil or other flexible
containers weighing with
their contents not more
than 6.8 kg each
1604.14.1091............................ Tunas, albacore, in oil, in
airtight containers, NESOI
1604.14.1099............................ Tunas and skipjack, in oil,
in airtight containers,
NESOI
1604.14.2251............................ Albacore tuna, not in oil,
in foil/flexible airtight
containers, weighing not
over 6.8 kg, 4.8% of U.S.
consumption of canned tuna
during preceding year
1604.14.2259............................ Albacore tuna, not in oil,
in airtight containers
weighing not over 7 kg,
NESOI, 4.8% of U.S.
consumption of canned tuna
during preceding year
1604.14.2291............................ Other tunas and skipjack, no
oil, in foil/flexible
airtight containers, not
over 6.8 kg, 4.8% of U.S.
consumption of canned tuna
during preceding year
[[Page 39]]
1604.14.2299............................ Tunas, NESOI and skipjack,
not in oil, in other
airtight containers, not
over 7 kg, 4.8% of U.S.
consumption of canned tuna
during preceding year
1604.14.3051............................ Tuna, albacore not in oil,
in foil or other flexible
airtight containers,
weighing with contents not
more than 6.8 kg each,
NESOI
1604.14.3059............................ Tuna, albacore not in oil,
in airtight containers,
NESOI
1604.14.3091............................ Tunas and skipjack, NESOI,
not in oil, in foil or
other flexible airtight
containers, weighing with
their contents not more
than 6.8 kg each
1604.14.3099............................ Other tunas and skipjack,
not in oil, in airtight
containers, NESOI
(C) Loins: (other than Yellowfin).....................................
1604.14.4000............................ Tunas and skipjacks,
prepared or preserved, not
in airtight containers, not
in oil, in bulk or
immediate containers with
their contents over 6.8 kg
each
1604.14.5000............................ Tunas and skipjack, prepared
or preserved, not in
airtight containers, NESOI
(D) Other: (only if the product contains tuna).
0511.91.0090 Fish, shellfish products unfit for human consumption
1604.20.1000 Fish pastes
1604.20.1500 Fish balls, cakes and puddings, in oil
1604.20.2000 Fish balls, cakes and puddings, not in oil, less than 6.8
kg, in airtight containers
1604.20.2500 Fish balls, cakes and puddings, not in oil, not in airtight
containers, in immediate containers weighing with their
contents not over 6.8 kg each
1604.20.3000 Fish balls, cakes and puddings, NESOI
1604.20.4000 Fish sticks, not cooked, nor in oil
1604.20.5010 Fish sticks, cooked and frozen
1604.20.5090 Fish sticks, NESOI
2309.10.0010 Dog or cat food, in airtight containers
(iii) Exports from driftnet nations only, requiring a Fisheries
Certificate of Origin and official certification. The following HTS
numbers identify categories of fish and shellfish, in addition to those
identified in paragraphs (f)(2)(i) and (f)(2)(ii) of this section, known
to have been harvested using a large-scale driftnet and imported into
the United States. Shipments exported from a large-scale driftnet
nation, as identified under paragraph (f)(7) of this section, and
imported into the United States, including but not limited to those
imported into the United States under any of the HTS numbers listed in
paragraph (f)(2) of this section, must be accompanied by an FCO and the
official statement described in paragraph (f)(4)(xiii) of this section.
(A) Frozen:
0303.11.0000 Sockeye (red) salmon (Oncorhynchus nerka), frozen, except
fillets, livers and roes
0303.12.0012 Chinook (King) salmon (Oncorhynchus tschawytscha), frozen,
except fillets, livers and roes
0303.12.0022 Chum (dog) salmon (Oncorhynchus keta), frozen, except
fillets, livers and roes
0303.12.0032 Pink (humpie) salmon (Oncorhynchus gorbuscha), frozen,
except fillets, livers and roes
0303.12.0052 Coho (silver) salmon (Oncorhynchus kisutch), frozen, except
fillets, livers and roes
0303.12.0062 Pacific salmon (Oncorhynchus masou, Oncorhynchus rhodurus),
frozen, except fillets, livers and roes, NESOI
0303.13.0000 Atlantic salmon (Salmo salar) and Danube salmon (Hucho
hucho), frozen, except fillets, livers and roes
0303.14.0000 Trout (Salmo trutta; Oncorhynchus mykiss, clarki,
aguabonita, gilae, apache, and chrysogaster), frozen, except
fillets, livers and roes
0303.19.0100 Salmonidae, frozen, except fillets, livers and roes, NESOI
0303.57.0010 Swordfish steaks, frozen, except fillets
0303.57.0090 Swordfish, frozen, except steaks, fillets, livers and roes
0303.81.0010 Dogfish (Squalus spp.), frozen, except fillets, livers and
roes
0303.81.0090 Sharks, frozen, except dogfish, fillets, livers and roes
0303.89.0079 Fish, other, frozen, except fillets, livers and roes, NESOI
0304.81.5010 Atlantic Salmonidae (Salmo salar) fillets, frozen, NESOI
0304.81.5090 Salmonidae fillets, frozen, except Atlantic salmon, NESOI
0304.89.1090 Fish fillets, skinned, frozen blocks weighing over 4.5 kg
each, to be minced, ground or cut into pieces of uniform
weights and dimensions, NESOI
0304.91.1000 Swordfish, frozen, in bulk or in immediate containers
weighing over 6.8 kg each
0304.91.9000 Swordfish, frozen, NESOI
0304.99.9191 Fish fillets, ocean, frozen, NESOI
0307.49.0010 Squid fillets, frozen
0307.49.0022 Squid, Loligo opalescens, NESOI
0307.49.0024 Squid, Loligo pealei, NESOI
0307.49.0029 Squid, Loligo, other, NESOI
0307.49.0050 Squid, other, NESOI
(B) Canned:
1604.11.2020 Pink (humpie) salmon, whole or in pieces, but not minced,
in oil, in airtight containers
[[Page 40]]
1604.11.2030 Sockeye (red) salmon, whole or in pieces, but not minced,
in oil, in airtight containers
1604.11.2090 Salmon NESOI, whole or in pieces, but not minced, in oil,
in airtight containers
1604.11.4010 Chum (dog) salmon, not in oil, canned
1604.11.4020 Pink (humpie) salmon, not in oil, canned
1604.11.4030 Sockeye (red) salmon, not in oil, canned
1604.11.4040 Salmon, NESOI, not in oil, canned
1604.11.4050 Salmon, whole or in pieces, but not minced, NESOI
1604.19.2100 Fish, NESOI, not in oil, in airtight containers
1604.19.3100 Fish, NESOI, in oil, in airtight containers
1605.54.6020 Squid, Loligo, prepared or preserved
1605.54.6030 Squid, except Loligo, prepared or preserved
(C) Other:
0305.39.6080 Fish fillets, dried, salted or in brine, but not smoked,
NESOI
0305.41.0000 Pacific salmon (Oncorhynchus spp.), Atlantic salmon (Salmo
salar), and Danube salmon (Hucho hucho), including fillets,
smoked
0305.49.4041 Fish including fillets, smoked, NESOI
0305.59.0000 Fish, dried, whether or not salted but not smoked, NESOI
0305.69.4000 Salmon, salted but not dried or smoked; in brine
0305.69.5001 Fish in immediate containers weighing with their contents
6.8 kg or less each, salted but not dried or smoked; in brine,
NESOI
0305.69.6001 Fish, salted but not dried or smoked; in brine, NESOI
0305.71.0000 Shark fins, dried, whether or not salted but not smoked
0305.49.0010 Squid, frozen, fillets
0307.49.0022 Squid, Loligo opalescens, frozen (except fillets), dried,
salted or in brine
0307.49.0024 Squid, Loligo pealei, frozen (except fillets), dried,
salted or in brine
0307.49.0029 Squid, Loligo, frozen (except fillets), dried, salted or in
brine, NESOI
0307.49.0050 Squid, other, frozen (except fillets), dried, salted or in
brine, except Loligo squid
0307.49.0060 Cuttle fish (Sepia officinalis, Rossia macrosoma, Sepiola
spp.), frozen, dried, salted or in brine
(3) Disposition of Fisheries Certificates of Origin. The FCO
described in paragraph (f)(4) of this section may be obtained from the
Administrator, West Coast Region, or downloaded from the internet at
https://www.fisheries .noaa.gov/ national/marine-mammal-protection/
noaa-form-370-fisheries -certificate-origin.
(i) A properly completed FCO, and its attached certifications and
statements as described in Sec. 216.91(a), must accompany the required
CBP entry documents that are filed at the time of, or in advance of,
importation.
(ii) FCOs and associated certifications and statements as described
in Sec. 216.91(a) must be provided electronically to CBP as indicated
in paragraph (f)(2) of this section.
(iii) FCOs that accompany imported shipments of tuna destined for
further processing in the United States must be endorsed at each change
in ownership and submitted to the Administrator, West Coast Region, by
the last endorser when all required endorsements are completed. Such
FCOs must be submitted as specified in Sec. 216.93(d)(2).
(iv) Importers and exporters are required to retain their records,
including FCOs, import or export documents, invoices, and bills of
lading for 2 years, and such records must be made available within 30
days of a request by the Secretary or the Administrator, West Coast
Region.
(4) Contents of Fisheries Certificate of Origin. An FCO, certified
to be accurate by the exporter(s) of the accompanying shipment, must
include the following information:
(i) CBP entry identification;
(ii) Date of entry;
(iii) Exporter's full name and complete address;
(iv) Importer's or consignee's full name and complete address;
(v) Species description, product form, and HTS number;
(vi) Total net weight of the shipment in kilograms;
(vii) Ocean area where the fish were harvested (ETP, western Pacific
Ocean, south Pacific Ocean, north Pacific Ocean, eastern Atlantic Ocean,
western Atlantic Ocean, Caribbean Sea, Indian Ocean, or other);
(viii) Type of fishing gear used to harvest the fish (purse seine,
longline, baitboat, large-scale driftnet, gillnet, pole and line/hook
and line, or other);
(ix) Country under whose laws the harvesting vessel operated based
upon
[[Page 41]]
the flag of the vessel or, if a certified charter vessel, the country
that accepted responsibility for the vessel's fishing operations;
(x) Dates on which the fishing trip began and ended;
(xi) The name of the harvesting vessel;
(xii) Dolphin-safe condition of the shipment, described by checking
the appropriate statement on the form and attaching additional
certifications as described in Sec. 216.91(a) if required;
(xiii) For shipments containing fish or fish products exported from,
or harvested on the high seas by vessels of a nation known to use large-
scale driftnets, as determined by the Secretary pursuant to paragraph
(f)(7) of this section, the High Seas Driftnet Certification contained
on the FCO must be dated and signed by a responsible government official
of the large-scale driftnet nation, certifying that the fish or fish
products were harvested by a method other than large-scale driftnet; and
(xiv) Each importer, exporter, or processor who takes custody of the
shipment must sign and date the form to certify that the form and
attached documentation accurately describes the shipment of fish that
they accompany.
(5) Dolphin-safe label. Tuna or tuna products sold in or exported
from the United States that include on the label the term ``dolphin-
safe'' or any other term or symbol that claims or suggests the tuna were
harvested in a manner not injurious to dolphins are subject to the
requirements of subpart H of this part (Sec. 216.90 et seq.).
(6) Scope of embargoes--(i) ETP yellowfin tuna embargo. Yellowfin
tuna or products of yellowfin tuna harvested using a purse seine in the
ETP identified by an HTS number listed in paragraph (f)(2)(i) of this
section may not be imported into the United States if such tuna or tuna
products were:
(A) Harvested on or after March 3, 1999, the effective date of
section 4 of the IDCPA, and harvested by, or exported from, a nation
that the Assistant Administrator has determined has jurisdiction over
purse seine vessels of greater than 400 st (362.8 mt) carrying capacity
harvesting tuna in the ETP, unless the Assistant Administrator has made
an affirmative finding required for importation for that nation under
paragraph (f)(8) of this section;
(B) Exported from an intermediary nation, as defined in Section 3 of
the MMPA, and a ban is currently in force prohibiting the importation
from that nation under paragraph (f)(9) of this section; or
(C) Harvested before March 3, 1999, the effective date of Section 4
of the IDCPA, and would have been banned from importation under Section
101(a)(2) of the MMPA at the time of harvest.
(ii) Driftnet embargo. A shipment containing fish or fish products
identified by an HTS number listed in paragraph (f)(2) of this section
may not be imported into the United States if it is harvested by a
large-scale driftnet, or if it is exported from or harvested on the high
seas by any nation determined by the Assistant Administrator to be
engaged in large-scale driftnet fishing, unless a government official of
the large-scale driftnet nation completes, signs and dates the High Seas
Driftnet section of the FCO certifying that the fish or fish products
were harvested by a method other than large-scale driftnet.
(iii) Pelly certification. After 6 months of an embargo being in
place against a nation under this section, the Secretary will certify
that nation under section 8(a) of the Fishermen's Protective Act (22
U.S.C. 1978(a)). When such an embargo is lifted, the Secretary will
terminate the certification under Section 8(d) of that Act (22 U.S.C.
1978(d)).
(iv) Coordination. The Assistant Administrator will promptly advise
the Department of State and the Department of Homeland Security of
embargo decisions, actions, and finding determinations.
(7) Large-scale driftnet nation: determination. Based upon the best
information available, the Assistant Administrator will determine which
nations have registered vessels that engage in fishing using large-scale
driftnets. Such determinations will be published in the Federal
Register. A responsible government official of any such nation may
certify to the Assistant
[[Page 42]]
Administrator that none of the nation's vessels use large-scale
driftnets. Upon receipt of the certification, the Assistant
Administrator may find, and publish such finding in the Federal
Register, that none of that nation's vessels engage in fishing with
large-scale driftnets.
(8) Affirmative finding procedure for nations harvesting yellowfin
tuna using a purse seine in the ETP. (i) The Assistant Administrator
will determine, on an annual basis, whether to make an affirmative
finding based upon documentary evidence provided by the government of
the harvesting nation or by the IDCP and the IATTC, and will publish the
finding in the Federal Register. A finding will remain valid for 1 year
or for such other period as the Assistant Administrator may determine.
An affirmative finding will be terminated if the Assistant Administrator
determines that the requirements of this paragraph are no longer being
met. Every 5 years, the government of the harvesting nation must submit
such documentary evidence directly to the Assistant Administrator and
request an affirmative finding. Documentary evidence must be submitted
by the harvesting nation for the first affirmative finding application.
The Assistant Administrator may require the submission of supporting
documentation or other verification of statements made in connection
with requests to allow importations. An affirmative finding applies to
yellowfin tuna and yellowfin tuna products that were harvested by
vessels of the nation after March 3, 1999. To make an affirmative
finding, the Assistant Administrator must find that:
(A) The harvesting nation participates in the IDCP and is either a
member of the IATTC or has initiated (and within 6 months thereafter
completed) all steps required of applicant nations, in accordance with
article V, paragraph 3, of the Convention establishing the IATTC, to
become a member of that organization;
(B) The nation is meeting its obligations under the IDCP and its
obligations of membership in the IATTC, including all financial
obligations;
(C)(1) The annual total dolphin mortality of the nation's purse
seine fleet (including certified charter vessels operating under its
jurisdiction) did not exceed the aggregated total of the mortality
limits assigned by the IDCP for that nation's purse seine vessels for
the year preceding the year in which the finding would start; or
(2)(i) Because of extraordinary circumstances beyond the control of
the nation and the vessel captains, the total dolphin mortality of the
nation's purse seine fleet (including certified charter vessels
operating under its jurisdiction) exceeded the aggregated total of the
mortality limits assigned by the IDCP for that nation's purse seine
vessels; and
(ii) Immediately after the national authorities discovered the
aggregate mortality of its fleet had been exceeded, the nation required
all its vessels to cease fishing for tuna in association with dolphins
for the remainder of the calendar year; and
(D)(1) In any years in which the parties agree to a global
allocation system for per-stock per-year individual stock quotas, the
nation responded to the notification from the IATTC that an individual
stock quota had been reached by prohibiting any additional sets on the
stock for which the quota had been reached;
(2) If a per-stock per-year quota is allocated to each nation, the
annual per-stock per-year dolphin mortality of the nation's purse seine
fleet (including certified charter vessels operating under its
jurisdiction) did not exceed the aggregated total of the per-stock per-
year limits assigned by the IDCP for that nation's purse seine vessels
(if any) for the year preceding the year in which the finding would
start; or
(3)(i) Because of extraordinary circumstances beyond the control of
the nation and the vessel captains, the per-stock per-year dolphin
mortality of the nation's purse seine fleet (including certified charter
vessels operating under its jurisdiction) exceeded the aggregated total
of the per-stock per-year limits assigned by the IDCP for that nation's
purse seine vessels; and
(ii) Immediately after the national authorities discovered the
aggregate per-stock mortality limits of its fleet had been exceeded, the
nation required all its vessels to cease fishing for tuna
[[Page 43]]
in association with the stocks whose limits had been exceeded, for the
remainder of the calendar year.
(ii) Documentary Evidence and Compliance with the IDCP--(A)
Documentary Evidence. The Assistant Administrator will make an
affirmative finding under paragraph (f)(8)(i) of this section only if
the government of the harvesting nation provides directly to the
Assistant Administrator, or authorizes the IATTC to release to the
Assistant Administrator, complete, accurate, and timely information that
enables the Assistant Administrator to determine whether the harvesting
nation is meeting the obligations of the IDCP, and whether ETP-harvested
tuna imported from such nation comports with the tracking and
verification regulations of subpart H of this part.
(B) Revocation. After considering the information provided under
paragraph (f)(8)(ii)(A) of this section, each party's financial
obligations to the IATTC, and any other relevant information, including
information that a nation is consistently failing to take enforcement
actions on violations that diminish the effectiveness of the IDCP, the
Assistant Administrator, in consultation with the Secretary of State,
will revoke an affirmative finding issued to a nation that is not
meeting the obligations of the IDCP.
(iii) A harvesting nation may apply for an affirmative finding at
any time by providing to the Assistant Administrator the information and
authorizations required in paragraphs (f)(8)(i) and (f)(8)(ii) of this
section, allowing at least 60 days from the submission of complete
information to NMFS for processing.
(iv) The Assistant Administrator will make or renew an affirmative
finding for the period from April 1 through March 31 of the following
year, or portion thereof, if the harvesting nation has provided all the
information and authorizations required by paragraphs (f)(8)(i) and
(f)(8)(ii) of this section, and has met the requirements of paragraphs
(f)(8)(i) and (f)(8)(ii) of this section.
(v) Reconsideration of finding. The Assistant Administrator may
reconsider a finding upon a request from, and the submission of
additional information by, the harvesting nation, if the information
indicates that the nation has met the requirements under paragraphs
(f)(8)(i) and (f)(8)(ii) of this section.
(9) Intermediary nation. Except as authorized under this paragraph,
no yellowfin tuna or yellowfin tuna products harvested by purse seine in
the ETP classified under one of the HTS numbers listed in paragraph
(f)(2)(i) of this section may be imported into the United States from
any intermediary nation.
(i) An ``intermediary nation'' is a nation that exports yellowfin
tuna or yellowfin tuna products to the United States and that imports
yellowfin tuna or yellowfin tuna products that are subject to a direct
ban on importation into the United States pursuant to Section
101(a)(2)(B) of the MMPA.
(ii) Shipments of yellowfin tuna that pass through any nation (e.g.
on a 'through Bill of Lading') and are not entered for consumption in
that nation are not considered to be imports to that nation and thus,
would not cause that nation to be considered an intermediary nation
under the MMPA.
(iii) The Assistant Administrator will publish in the Federal
Register a notice announcing when NMFS has determined, based on the best
information available, that a nation is an ``intermediary nation.''
After the effective date of that notice, the import restrictions of this
paragraph shall apply.
(iv) Changing the status of intermediary nation determinations.
Imports from an intermediary nation of yellowfin tuna and yellowfin tuna
products classified under any of the HTS numbers in paragraph (f)(2)(i)
of this section may be imported into the United States only if the
Assistant Administrator determines, and publishes a notice of such
determination in the Federal Register, that the intermediary nation has
provided certification and reasonable proof that it has not imported in
the preceding 6 months yellowfin tuna or yellowfin tuna products that
are subject to a ban on direct importation into the United States under
Section 101(a)(2)(B) of the MMPA. At that time, the nation shall
[[Page 44]]
no longer be considered an ``intermediary nation'' and these import
restrictions shall no longer apply.
(v) The Assistant Administrator will review decisions under this
paragraph upon the request of an intermediary nation. Such requests must
be accompanied by specific and detailed supporting information or
documentation indicating that a review or reconsideration is warranted.
For purposes of this paragraph, the term ``certification and reasonable
proof'' means the submission to the Assistant Administrator by a
responsible government official from the nation of a document reflecting
the nation's customs records for the preceding 6 months, together with a
certification attesting that the document is accurate.
(10) Fish refused entry. If fish is denied entry under paragraph
(f)(2) of this section, the Port Director of CBP shall refuse to release
the fish for entry into the United States.
(11) Disposition of fish refused entry into the United States. Fish
that is denied entry under paragraph (f)(2) of this section and that is
not exported under CBP supervision within 90 days shall be disposed of
under CBP laws and regulations at the importer's expense. Provided,
however, that any disposition shall not result in an introduction into
the United States of fish caught in violation of the MMPA.
(12) Market Prohibitions. (i) It is unlawful for any person to sell,
purchase, offer for sale, transport, or ship in the United States, any
tuna or tuna products unless the tuna products are either:
(A) Dolphin-safe under subpart H of this part; or
(B) Harvested in compliance with the IDCP by vessels under the
jurisdiction of a nation that is a member of the IATTC or has initiated,
and within 6 months thereafter completes, all steps required by an
applicant nation to become a member of the IATTC.
(ii) It is unlawful for any exporter, transshipper, importer,
processor, or wholesaler/distributor to possess, sell, purchase, offer
for sale, transport, or ship in the United States, any tuna or tuna
products bearing a label or mark that refers to dolphins, porpoises, or
marine mammals unless the label or mark complies with the requirements
of 16 U.S.C. 1385(d).
(g) Penalties. Any person or vessel subject to the jurisdiction of
the United States will be subject to the penalties provided for under
the MMPA for the conduct of fishing operations in violation of these
regulations. Penalties for violating these regulations may include, but
are not limited to, civil monetary fines, permit suspension or
revocation, and reductions in current and future DMLs. Recommended
sanctions are identified in the IDCPA/DPCIA Tuna/Dolphin Civil
Administrative Penalty Schedule. Procedures for the imposition of
penalties under the MMPA are found at 15 CFR part 904.
(h) Taking and related acts of marine mammals in foreign commercial
fishing operations not governed by the provisions related to tuna purse
seine vessels in the eastern tropical Pacific Ocean--(1) Prohibitions.
(i) As provided in section 101(a)(2) and 102(c)(3)of the MMPA, the
importation of commercial fish or fish products which have been caught
with commercial fishing technology which results in the incidental kill
or incidental serious injury of ocean mammals in excess of U.S.
standards or caught in a manner which the Secretary has proscribed for
persons subject to the jurisdiction of the United States are prohibited.
For purposes of paragraph (h) of this section, a fish or fish product
caught with commercial fishing technology which results in the
incidental mortality or incidental serious injury of marine mammals in
excess of U.S. standards is any fish or fish product harvested in an
exempt or export fishery for which a valid comparability finding is not
in effect.
(ii) Accordingly, it is unlawful for any person to import, or
attempt to import, into the United States for commercial purposes any
fish or fish product if such fish or fish product:
(A) Was caught or harvested in a fishery that does not have a valid
comparability finding in effect at the time of import; or
(B) Is not accompanied by a Certification of Admissibility where
such Certification is required pursuant to paragraph (h)(9)(iv) of this
section or by such other documentation as the Assistant Administrator
may identify
[[Page 45]]
and announce in the Federal Register that indicates the fish or fish
product was not caught or harvested in a fishery subject to an import
prohibition under paragraphs (h)(1) and (h)(9)(i) of this section.
(iii) It is unlawful for any person, including exporters,
transshippers, importers, processors, or wholesalers/distributors to
possess, sell, purchase, offer for sale, re-export, transport, or ship
in interstate or foreign commerce in the United States, any fish or fish
product imported in violation of paragraph (h) of this section.
(2) Exemptions. (i) Exempt fisheries are exempt from requirements of
paragraphs (h)(6)(iii)(B) through (E) of this section.
(A) For the purposes of paragraph (h) of this section, harvesting
nation means the country under whose flag or jurisdiction one or more
fishing vessels or other entity engaged in commercial fishing operations
are documented, or which has by formal declaration or agreement asserted
jurisdiction over one or more authorized or certified charter vessels,
and from such vessel(s) or entity(ies) fish are caught or harvested that
are a part of any cargo or shipment of fish or fish products to be
imported into the United States, regardless of any intervening
transshipments, exports or re-exports.
(B) [Reserved]
(ii) The prohibitions of paragraph (h)(1) of this section shall not
apply during the exemption period.
(iii) Paragraph (h) of this section shall not apply to a commercial
fishing operation subject to section 101(a)(2)(B) of the MMPA and its
implementing regulations set out in the relevant provisions of paragraph
(f) of this section which govern the incidental take of delphinids in
course of commercial purse seine fishing operations for yellowfin tuna
in the eastern tropical Pacific Ocean and restrictions on importation
and sale of fish and fish products caught or harvested in that
commercial fishing operation. Paragraph (h) of this section shall not
apply with respect to large-scale driftnet fishing, which is governed by
paragraph (f)(7) of this section and the restrictions it sets out on
importation and sale of fish and fish products harvested by using a
large-scale driftnet.
(3) Procedures to identify foreign commercial fishing operations
with incidental mortality and serious injury of marine mammals as exempt
or export fisheries. In developing the List of Foreign Fisheries in
paragraph (h)(4) of this section, the Assistant Administrator:
(i) Shall periodically analyze imports of fish and fish products and
identify commercial fishing operations that are the source of exports of
such fish and fish products to the United States that have or may have
incidental mortality or serious injury of marine mammals in the course
of their commercial fishing operations.
(A) For the purposes of paragraph (h) of this section, a commercial
fishing operation means vessels or entities that catch, take, or harvest
fish (as defined in section 3 of the Magnuson-Stevens Fishery
Conservation and Management Act (16 U.S.C. 1802)) from the marine
environment (or other areas where marine mammals occur) that results in
the sale or barter of all or part of the fish caught, taken or
harvested. The term includes aquaculture activities that interact with
or occur in marine mammal habitat.
(B) [Reserved]
(ii) Shall notify, in consultation with the Secretary of State, each
harvesting nation that has commercial fishing operations identified
pursuant to paragraph (h)(3)(i) of this section and request that within
90 days of notification the harvesting nation submit reliable
information about the commercial fishing operations identified,
including as relevant the number of participants, number of vessels,
gear type, target species, area of operation, fishing season, any
information regarding the frequency of marine mammal incidental
mortality and serious injury and any programs (including any relevant
laws, decrees, regulations or measures) to assess marine mammal
populations and to reduce incidental mortality and serious injury of
marine mammals in those fisheries or prohibit the intentional killing or
injury of marine mammals.
[[Page 46]]
(iii) Shall review each harvesting nation's submission, evaluate any
information it contains (including descriptions of its regulatory
programs) and, if necessary, request additional information.
(iv) May consider other readily available and relevant information
about such commercial fishing operations and the frequency of incidental
mortality and serious injury of marine mammals, including: fishing
vessel records; reports of on-board fishery observers; information from
off-loading facilities, port-side officials, enforcement agents and
officers, transshipment vessel workers and fish importers; government
vessel registries; regional fisheries management organizations documents
and statistical document programs; and appropriate certification
programs. Other sources may include published literature and reports on
fishing vessels with incidental mortality and serious injury of marine
mammals from government agencies; foreign, state, and local governments;
regional fishery management organizations; nongovernmental
organizations; industry organizations; academic institutions; and
citizens and citizen groups.
(4) List of Foreign Fisheries. (i) Within one year of January 1,
2017, and the year prior to the expiration of the exemption period and
every four years thereafter, the Assistant Administrator, based on the
information obtained in paragraph (h)(3) of this section, will publish
in the Federal Register:
(A) A proposed List of Foreign Fisheries by harvesting nation for
notice and comment; and
(B) A final List of Foreign Fisheries, effective upon publication in
the Federal Register.
(ii) To the extent that information is available, the List of
Foreign Fisheries shall:
(A) Classify each commercial fishing operation that is the source of
exports of fish and fish products to the United States based on the
definitions for export fishery and exempt fishery set forth in Sec.
216.3 and identified in the List of Foreign Fisheries by harvesting
nation and other defining factors including geographic location of
harvest, gear-type, target species or a combination thereof;
(B) Include fishing gear type, target species, and number of vessels
or other entities engaged in each commercial fishing operation;
(C) List the marine mammals that interact with each commercial
fishing operation and indicate the level of incidental mortality and
serious injury of marine mammals in each commercial fishing operation;
(D) Provide a description of the harvesting nation's programs to
assess marine mammal stocks and estimate and reduce marine mammal
incidental mortality and serious injury in its export fisheries; and
(E) List the harvesting nations that prohibit, in the course of
commercial fishing operations that are the source of exports to the
United States, the intentional mortality or serious injury of marine
mammals unless the intentional mortality or serious injury of a marine
mammal is imminently necessary in self-defense or to save the life of a
person in immediate danger.
(5) Consultations with Harvesting Nations with Commercial Fishing
Operations on the List of Foreign Fisheries. (i) Within 90 days of
publication of the final List of Foreign Fisheries in the Federal
Register, the Assistant Administrator, in consultation with the
Secretary of State, shall consult with harvesting nations with
commercial fishing operations identified as export or exempt fisheries
as defined in Sec. 216.3 for purposes of notifying the harvesting
nation of the requirements of the Marine Mammal Protection Act and this
subpart.
(ii) The Assistant Administrator, in consultation with the Secretary
of State, may consult with harvesting nations for the purposes of
providing notifications of deadlines under this section, ascertaining or
reviewing the progress of the harvesting nation's development, adoption,
implementation, or enforcement of its regulatory program governing the
incidental mortality and serious injury of marine mammals in the course
of commercial fishing operations for an export fishery, supplementing or
clarifying information needed in conjunction with the List of Foreign
Fisheries in paragraphs
[[Page 47]]
(h)(3) and (4) of this section, the progress report in paragraph (h)(10)
of this section or an application for or reconsideration of a
comparability finding in paragraphs (h)(6) and (8) of this section.
(iii) The Assistant Administrator shall, in consultation with the
Secretary of State and the United States Trade Representative, consult
with any harvesting nations that failed to receive a comparability
finding for one or more of commercial fishing operations or for which a
comparability finding is terminated and encourage the harvesting nation
to take corrective action and reapply for a comparability finding in
accordance with paragraph (h)(9)(iii) of this section.
(6) Procedure and conditions for a comparability finding--(i)
Procedures to apply for a comparability finding. On November 30 of the
year prior to when the exemption period or comparability finding is to
expire, a harvesting nation, shall submit to the Assistant Administrator
an application for each of its export and exempt fisheries, along with
documentary evidence demonstrating that the harvesting nation has met
the conditions specified in paragraph (h)(6)(iii) of this section for
each of such fisheries, including reasonable proof as to the effects on
marine mammals of the commercial fishing technology in use in the
fishery for fish or fish products exported from such nation to the
United States. The Assistant Administrator may require the submission of
additional supporting documentation or other verification of statements
made in an application for a comparability finding.
(ii) Procedures to issue a comparability finding. No later than
November 30th of the year when the exemption period or comparability
finding is to expire, the Assistant Administrator, in response to an
application from a harvesting nation for an export or exempt fishery,
shall determine whether to issue to the harvesting nation, in accordance
with the procedures set forth in paragraph (h)(8) of this section, a
comparability finding for the fishery. In making this determination, the
Assistant Administrator shall consider documentary evidence provided by
the harvesting nation and relevant information readily available from
other sources. If a harvesting nation provides insufficient documentary
evidence in support of its application, the Assistant Administrator
shall draw reasonable conclusions regarding the fishery based on readily
available and relevant information from other sources, including where
appropriate information concerning analogous fisheries that use the same
or similar gear-type under similar conditions as the fishery, in
determining whether to issue the harvesting nation a comparability
finding for the fishery.
(iii) Conditions for a comparability finding. The following are
conditions for the Assistant Administrator to issue a comparability
finding for the fishery, subject to the additional considerations set
out in paragraph (h)(7) of this section:
(A) For an exempt or export fishery, the harvesting nation:
(1) Prohibits the intentional mortality or serious injury of marine
mammals in the course of commercial fishing operations in the fishery
unless the intentional mortality or serious injury of a marine mammal is
imminently necessary in self-defense or to save the life of a person in
immediate danger; or
(2) Demonstrates that it has procedures to reliably certify that
exports of fish and fish products to the United States are not the
product of an intentional killing or serious injury of a marine mammal
unless the intentional mortality or serious injury of a marine mammal is
imminently necessary in self-defense or to save the life of a person in
immediate danger; and
(B) For an export fishery, the harvesting nation maintains a
regulatory program with respect to the fishery that is comparable in
effectiveness to the U.S. regulatory program with respect to incidental
mortality and serious injury of marine mammals in the course of
commercial fishing operations, in particular by maintaining a regulatory
program that includes, or effectively achieves comparable results as,
the conditions in paragraph (h)(6)(iii)(C), (D), or (E) of this section
as applicable (including for transboundary stocks).
[[Page 48]]
(C) Conditions for an export fishery operating under the
jurisdiction of a harvesting nation within its EEZ (or the equivalent)
or territorial sea. In making the finding in paragraph (h)(6)(ii) of
this section, with respect to an export fishery operating under the
jurisdiction of a harvesting nation within its EEZ (or the equivalent)
or territorial sea, the Assistant Administrator shall determine whether
the harvesting nation maintains a regulatory program that provides for,
or effectively achieves comparable results as, the following:
(1) Marine mammal assessments that estimate population abundance for
marine mammal stocks in waters under the harvesting nation's
jurisdiction that are incidentally killed or seriously injured in the
export fishery.
(2) An export fishery register containing a list of all fishing
vessels participating in the export fishery, including information on
the number of vessels participating, the time or season and area of
operation, gear type and target species.
(3) Regulatory requirements that include:
(i) A requirement for the owner or operator of a vessel
participating in the export fishery to report all intentional and
incidental mortality and injury of marine mammals in the course of
commercial fishing operations; and
(ii) A requirement to implement measures in the export fishery
designed to reduce the total incidental mortality and serious injury of
a marine mammal stock below the bycatch limit; and
(iii) with respect to any transboundary stock or any other marine
mammal stocks interacting with the export fishery, measures to reduce
the incidental mortality and serious injury of that stock that the
United States requires its domestic fisheries to take with respect to
that transboundary stock or marine mammal stock.
(4) Implementation of monitoring procedures in the export fishery
designed to estimate incidental mortality or serious injury in the
export fishery, and to estimate the cumulative incidental mortality and
serious injury of marine mammal stocks in waters under its jurisdiction
resulting from the export fishery and other export fisheries interacting
with the same marine mammal stocks, including an indication of the
statistical reliability of those estimates.
(5) Calculation of bycatch limits for marine mammal stocks in waters
under its jurisdiction that are incidentally killed or seriously injured
in the export fishery.
(6) Comparison of the incidental mortality and serious injury of
each marine mammal stock or stocks that interact with the export fishery
in relation to the bycatch limit for each stock; and comparison of the
cumulative incidental mortality and serious injury of each marine mammal
stock or stocks that interact with the export fishery and any other
export fisheries of the harvesting nation showing that these export
fisheries:
(i) Do not exceed the bycatch limit for that stock or stocks; or
(ii) Exceed the bycatch limit for that stock or stocks, but the
portion of incidental marine mammal mortality or serious injury for
which the export fishery is responsible is at a level that, if the other
export fisheries interacting with the same marine mammal stock or stocks
were at the same level, would not result in cumulative incidental
mortality and serious injury in excess of the bycatch limit for that
stock or stocks.
(D) Conditions for a harvesting nation's export fishery operating
within the jurisdiction of another state. In making the finding in
paragraph (h)(6)(ii) of this section, with respect to a harvesting
nation's export fishery operating within the jurisdiction of another
state, the Assistant Administrator shall determine whether the
harvesting nation maintains a regulatory program that provides for, or
effectively achieves comparable results as, the following:
(1) Implementation in the export fishery of:
(i) With respect to any transboundary stock interacting with the
export fishery, any measures to reduce the incidental mortality and
serious injury of that stock that the United States requires its
domestic fisheries to take with respect that transboundary stock; and
[[Page 49]]
(ii) With respect to any other marine mammal stocks interacting with
the export fishery while operating within the jurisdiction of the state,
any measures to reduce incidental mortality and serious injury that the
United States requires its domestic fisheries to take with respect to
that marine mammal stock; and
(2) For an export fishery not subject to management by a regional
fishery management organization:
(i) An assessment of marine mammal abundance of stocks interacting
with the export fishery, the calculation of a bycatch limit for each
such stock, an estimation of incidental mortality and serious injury for
each stock and reduction in or maintenance of the incidental mortality
and serious injury of each stock below the bycatch limit. This data
included in the application may be provided by the state or another
source; and
(ii) Comparison of the incidental mortality and serious injury of
each marine mammal stock or stocks that interact with the export fishery
in relation to the bycatch limit for each stock; and comparison of the
cumulative incidental mortality and serious injury of each marine mammal
stock or stocks that interact with the export fishery and any other
export fisheries of the harvesting nation showing that these export
fisheries do not exceed the bycatch limit for that stock or stocks; or
exceed the bycatch limit for that stock or stocks, but the portion of
incidental marine mammal mortality or serious injury for which the
export fishery is responsible is at a level that, if the other export
fisheries interacting with the same marine mammal stock or stocks were
at the same level, would not result in cumulative incidental mortality
and serious injury in excess of the bycatch limit for that stock or
stocks; or
(3) For an export fishery that is subject to management by a
regional fishery management organization, implementation of marine
mammal data collection and conservation and management measures
applicable to that fishery required under any applicable
intergovernmental agreement or regional fisheries management
organization to which the United States is a party.
(E) Conditions for a harvesting nation's export fishery operating on
the high seas under the jurisdiction of the harvesting nation or another
state. In making the finding in paragraph (h)(6)(ii) of this section,
with respect to a harvesting nation's export fishery operating on the
high seas under the jurisdiction of the harvesting nation or another
state, the Assistant Administrator shall determine whether the
harvesting nation maintains a regulatory program that provides for, or
effectively achieves comparable results as, the U.S. regulatory program
with respect to the following:
(1) Implementation in the fishery of marine mammal data collection
and conservation and management measures applicable to that fishery
required under any applicable intergovernmental agreement or regional
fisheries management organization to which the United States is a party;
and
(2) Implementation in the export fishery of:
(i) With respect to any transboundary stock interacting with the
export fishery, any measures to reduce the incidental mortality and
serious injury of that stock that the United States requires its
domestic fisheries to take with respect that transboundary stock; and
(ii) With respect to any other marine mammal stocks interacting with
the export fishery while operating on the high seas, any measures to
reduce incidental mortality and serious injury that the United States
requires its domestic fisheries to take with respect to that marine
mammal stock when they are operating on the high seas.
(7) Additional considerations for comparability finding
determinations. When determining whether to issue any comparability
finding for a harvesting nation's export fishery the Assistant
Administrator shall also consider:
(i) U.S. implementation of its regulatory program for similar marine
mammal stocks and similar fisheries (e.g., considering gear or target
species), including transboundary stocks governed by regulations
implementing a take reduction plan (Sec. 229.2 of this
[[Page 50]]
chapter), and any other relevant information received during
consultations;
(ii) The extent to which the harvesting nation has successfully
implemented measures in the export fishery to reduce the incidental
mortality and serious injury of marine mammals caused by the harvesting
nation's export fisheries to levels below the bycatch limit;
(iii) Whether the measures adopted by the harvesting nation for its
export fishery have reduced or will likely reduce the cumulative
incidental mortality and serious injury of each marine mammal stock
below the bycatch limit, and the progress of the regulatory program
toward achieving its objectives;
(iv) Other relevant facts and circumstances, which may include the
history and nature of interactions with marine mammals in this export
fishery, whether the level of incidental mortality and serious injury
resulting from the fishery or fisheries exceeds the bycatch limit for a
marine mammal stock, the population size and trend of the marine mammal
stock, and the population level impacts of the incidental mortality or
serious injury of marine mammals in a harvesting nation's export
fisheries and the conservation status of those marine mammal stocks
where available;
(v) The record of consultations under paragraph (h)(5) of this
section with the harvesting nation, results of these consultations, and
actions taken by the harvesting nation and under any applicable
intergovernmental agreement or regional fishery management organization
to reduce the incidental mortality and serious injury of marine mammals
in its export fisheries;
(vi) Information gathered during onsite inspection by U.S.
government officials of a fishery's operations;
(vii) For export fisheries operating on the high seas under an
applicable intergovernmental agreement or regional fishery management
organization to which the United States is a party, the harvesting
nation's record of implementation of or compliance with measures adopted
by that regional fishery management organization or intergovernmental
agreement for data collection, incidental mortality and serious injury
mitigation or the conservation and management of marine mammals; whether
the harvesting nation is a party or cooperating non-party to such
intergovernmental agreement or regional fishery management organization;
the record of United States implementation of such measures; and whether
the United States has imposed additional measures on its fleet not
required by an intergovernmental agreement or regional fishery
management organization; or
(viii) For export fisheries operating on the high seas under an
applicable intergovernmental agreement or regional fisheries management
organization to which the United States is not a party, the harvesting
nation's implementation of and compliance with measures, adopted by that
regional fisheries management organization or intergovernmental
agreement, and any additional measures implemented by the harvesting
nation for data collection, incidental mortality and serious injury
mitigation or the conservation and management of marine mammals and the
extent to which such measures are comparable in effectiveness to the
U.S. regulatory program for similar fisheries.
(8) Comparability finding determinations--(i) Publication. No later
than November 30th of the year when the exemption period or
comparability finding is to expire, the Assistant Administrator shall
publish in the Federal Register, by harvesting nation, a notice of the
harvesting nations and fisheries for which it has issued or denied a
comparability finding and the specific fish and fish products that as a
result are subject to import prohibitions under paragraphs (h)(1) and
(9) of this section.
(ii) Notification. Prior to publication in the Federal Register, the
Assistant Administrator, in consultation with the Secretary of State
and, in the event of a denial of a comparability finding, with the
Office of the U.S. Trade Representative, shall notify each harvesting
nation in writing of the fisheries of the harvesting nation for which
the Assistant Administrator is:
(A) Issuing a comparability finding;
(B) Denying a comparability finding with an explanation for the
reasons for
[[Page 51]]
the denial of such comparability finding; and
(C) Specify the fish and fish products that will be subject to
import prohibitions under paragraphs (h)(1) and (9) of this section on
account of a denial of a comparability finding and the effective date of
such import prohibitions.
(iii) Preliminary comparability finding consultations. (A) Prior to
denying a comparability finding under paragraph (h)(8)(ii) of this
section or terminating a comparability finding under paragraph
(h)(8)(vii) of this section, the Assistant Administrator shall:
(1) Notify the harvesting nation that it is preliminarily denying or
terminating its comparability finding and explain the reasons for that
preliminary denial or termination;
(2) Provide the harvesting nation a reasonable opportunity to submit
reliable information to refute the preliminary denial or termination of
the comparability finding and communicate any corrective actions it is
taking to meet the applicable conditions for a comparability finding set
out in paragraph (h)(6)(iii) of this section subject to the additional
considerations set out in paragraph (h)(7) of this section.
(B) The Assistant Administrator shall take into account any
information it receives from the harvesting nation and issue a final
comparability finding determination, notifying the harvesting nation
pursuant to paragraph (h)(8)(ii) of this section of its determination
and, if a denial or termination, an explanation of the reasons for the
denial or termination of the comparability finding.
(C) A preliminary denial or termination of a comparability finding
shall not result in import prohibitions pursuant to paragraphs (h)(1)
and (9) of this section.
(iv) Duration of a comparability finding. Unless terminated in
accordance with paragraph (h)(8)(vii) of this section or issued for a
specific period pursuant to a re-application under paragraph (h)(9)(iii)
of this section, a comparability finding shall remain valid for 4 years
from publication or for such other period as the Assistant Administrator
may specify.
(v) Renewal of comparability finding. To seek renewal of a
comparability finding, every 4 years or prior to the expiration of a
comparability finding, the harvesting nation must submit to the
Assistant Administrator the application and the documentary evidence
required pursuant to paragraph (h)(6)(i) of this section, including,
where applicable, reasonable proof as to the effects on marine mammals
of the commercial fishing technology in use in the fishery for fish or
fish products exported to the United States, by November 30 of the year
prior to the expiration date of its current comparability finding.
(vi) Procedures for a comparability finding for new foreign
commercial fishing operations wishing to export to the United States.
(A) For foreign commercial fishing operations not on the List of Foreign
Fisheries that are the source of new exports to the United States, the
harvesting nation must notify the Assistant Administrator that the
commercial fishing operation wishes to export fish and fish products to
the United States.
(B) Upon notification the Assistant Administrator shall issue a
provisional comparability finding allowing such imports for a period not
to exceed 12 months.
(C) At least 120 days prior to the expiration of the provisional
comparability finding the harvesting nation must submit to the Assistant
Administrator the reliable information specified in paragraph (h)(3)(ii)
of this section and the application and the applicable documentary
evidence required pursuant to paragraph (h)(6)(i) of this section.
(D) Prior to expiration of the provisional comparability finding,
the Assistant Administrator shall review the application and information
provided and classify the commercial fishing operation as either an
exempt or export fishery in accordance with paragraphs (h)(3)(iii)
through (iv) and (h)(4)(ii) of this section and determine whether to
issue the harvesting nation a comparability finding for the fishery in
accordance with paragraph (h)(6)(ii) through (iii) of this section.
(E) If the harvesting nation submits the reliable information
specified in paragraph (h)(3)(ii) of this section at least 180 days
prior to expiration of the provisional comparability finding, the
[[Page 52]]
Assistant Administrator will review that information and classify the
fishery as either an exempt or export fishery.
(vii) Discretionary review of comparability findings. (A) The
Assistant Administrator may reconsider a comparability finding that it
has issued at any time based upon information obtained by the Assistant
Administrator including any progress report received from a harvesting
nation; or upon request with the submission of information from the
harvesting nation, any nation, regional fishery management
organizations, nongovernmental organizations, industry organizations,
academic institutions, citizens or citizen groups that the harvesting
nation's exempt or export fishery no longer meets the applicable
conditions in paragraph (h)(6)(iii) of this section. Upon receiving a
request, the Assistant Administrator has the discretion to determine
whether to proceed with a review or reconsideration.
(B) After such review or reconsideration and consultation with the
harvesting nation, the Assistant Administrator shall, if the Assistant
Administrator determines that the basis for the comparability finding no
longer applies, terminate a comparability finding.
(C) The Assistant Administrator shall notify in writing the
harvesting nation and publish in the Federal Register a notice of the
termination and the specific fish and fish products that as a result are
subject to import prohibitions under paragraphs (h)(1) and (9) of this
section.
(9) Imposition of import prohibitions. (i) With respect to a
harvesting nation for which the Assistant Administrator has denied or
terminated a comparability finding for a fishery, the Assistant
Administrator, in cooperation with the Secretaries of the Treasury and
Homeland Security, shall identify and prohibit the importation of fish
and fish products into the United States from the harvesting nation
caught or harvested in that fishery. Any such import prohibition shall
become effective 30 days after the of publication of the Federal
Register notice referenced in paragraph (h)(8)(i) of this section and
shall only apply to fish and fish products caught or harvested in that
fishery.
(ii) Duration of import restrictions and removal of import
restrictions. (A) Any import prohibition imposed pursuant to paragraphs
(h)(1) and (9) of this section with respect to a fishery shall remain in
effect until the Assistant Administrator issues a comparability finding
for the fishery.
(B) A harvesting nation with an export fishery with a comparability
finding that expired, was denied or terminated may re-apply for a
comparability finding at any time by submitting an application to the
Assistant Administrator, along with documentary evidence demonstrating
that the harvesting nation has met the conditions specified in paragraph
(h)(6)(iii) of this section, including, as applicable, reasonable proof
as to the effects on marine mammals of the commercial fishing technology
in use in the fishery for the fish or fish products exported from such
nation to the United States.
(C) The Assistant Administrator shall make a determination whether
to issue the harvesting nation that has re-applied for a comparability
finding for the fishery within 90 days from the submission of complete
information to the Assistant Administrator. The Assistant Administrator
shall issue a comparability finding for the fishery for a specified
period where the Assistant Administrator finds that the harvesting
nation meets the applicable conditions in paragraph (h)(6)(iii) of this
section, subject to the additional consideration for a comparability
finding in paragraph (h)(7) of this section.
(D) Upon issuance of a comparability finding to the harvesting
nation with respect to the fishery and notification in writing to the
harvesting nation, the Assistant Administrator, in cooperation with the
Secretaries of Treasury and Homeland Security, shall publish in the
Federal Register a notice of the comparability finding and the removal
of the corresponding import prohibition effective on the date of
publication in the Federal Register.
(iii) Certification of admissibility. (A) If fish or fish products
are subject to an import prohibition under paragraphs
[[Page 53]]
(h)(1) and (9) of this section, the Assistant Administrator, to avoid
circumvention of the import prohibition, may require that the same or
similar fish and fish products caught or harvested in another fishery of
the harvesting nation and not subject to the prohibition be accompanied
by a certification of admissibility by paper or electronic equivalent
filed through the National Marine Fisheries Service message set required
in the International Trade Data System. No certification of
admissibility shall be required for a fish product for which it is
infeasible to substantiate the attestation that the fish or fish
products do not contain fish or fish products caught or harvested in a
fishery subject to an import prohibition. The certification of
admissibility may be in addition to any other applicable import
documentation requirements.
(B) The Assistant Administrator shall notify the harvesting nation
of the fisheries and the fish and fish products to be accompanied by a
certification of admissibility and provide the necessary documents and
instruction.
(C) The Assistant Administrator, in cooperation with the Secretaries
of Treasury and Homeland Security, shall as part of the Federal Register
notice referenced in paragraph (h)(8)(i) of this section, publish a list
of fish and fish products, organized by harvesting nation, required to
be accompanied by a certification of admissibility. Any requirement for
a certification of admissibility shall be effective 30 days after the
publication of such notice in the Federal Register.
(D) For each shipment, the certification of admissibility must be
properly completed and signed by a duly authorized official or agent of
the harvesting nation and subject to validation by a responsible
official(s) designated by the Assistant Administrator. The certification
must also be signed by the importer of record and submitted in a format
(electronic facsimile [fax], the Internet, etc.) specified by the
Assistant Administrator.
(iv) Intermediary nation. (A) For purposes of this paragraph (h)(9),
and in applying the definition of an ``intermediary nation,'' an import
into the intermediary nation occurs when the fish or fish product is
released from a harvesting nation's customs jurisdiction and enters the
customs jurisdiction of the intermediary nation or when the fish and
fish products are entered into a foreign trade zone of the intermediary
nation for processing or transshipment. For other purposes, ``import''
is defined in Sec. 216.3.
(B) No fish or fish products caught or harvested in a fishery
subject to an import prohibition under paragraphs (h)(1) and (9) of this
section, may be imported into the United States from any intermediary
nation.
(C) Within 30 days of publication of the Federal Register notice
described in paragraph (h)(8)(i) of this section specifying fish and
fish products subject to import prohibitions under paragraphs (h)(1) and
(9) of this section, the Assistant Administrator shall, based on readily
available information, identify intermediary nations that may import,
and re-export to the United States, fish and fish products from a
fishery subject to an import prohibition under paragraphs (h)(1) and
(h)(9)(i) of this section and notify such nations in writing that they
are subject to action under paragraph (h)(9)(iv)(D) of this section with
respect to the fish and fish products for which the Assistant Administer
identified them.
(D) Within 60 days from the date of notification, an intermediary
nation notified pursuant to paragraph (h)(9)(iv)(C) of this section must
certify to the Assistant Administrator that it:
(1) Does not import, or does not offer for import into the United
States, fish or fish products subject to an import prohibition under
paragraphs (h)(1) and (h)(9)(i) of this section; or
(2) Has procedures to reliably certify that exports of fish and fish
products from the intermediary nation to the United States do not
contain fish or fish products caught or harvested in a fishery subject
to an import prohibition under paragraphs (h)(1) and (h)(9)(i) of this
section.
(E) The intermediary nation must provide documentary evidence to
support its certification including information demonstrating that:
[[Page 54]]
(1) It has not imported in the preceding 6 months the fish and fish
products for which it was notified under paragraph (h)(9)(iv)(C) of this
section; or
(2) It maintains a tracking, verification, or other scheme to
reliably certify on either a global, individual shipment or other
appropriate basis that fish and fish products from the intermediary
nation offered for import to the United States do not contain fish or
fish products caught or harvested in a fishery subject to an import
prohibition under paragraphs (h)(1) and (h)(9)(i) of this section and
for which it was notified under paragraph (h)(9)(iv)(C) of this section.
(F) No later than 120 days after a notification pursuant to
paragraph (h)(9)(iv)(C) of this section, the Assistant Administrator
will review the documentary evidence provided by the intermediary nation
under paragraphs (h)(9)(iv)(D) and (E) of this section and determine
based on that information or other readily available information whether
the intermediary nation imports, or offers to import into the United
States, fish and fish products subject import prohibitions and, if so,
whether the intermediary nation has procedures to reliably certify that
exports of fish and fish products from the intermediary nation to the
United States do not contain fish or fish products subject to import
prohibitions under paragraphs (h)(1) and (9) of this section, and notify
the intermediary nation of its determination.
(G) If the Assistant Administrator determines that the intermediary
nation does not have procedures to reliably certify that exports of fish
and fish products from the intermediary nation to the United States do
not contain fish or fish products caught or harvested in a fishery
subject to an import prohibition under paragraphs (h)(1) and (h)(9)(i)
of this section, the Assistant Administrator, in cooperation with the
Secretaries of the Treasury and Homeland Security, will file with the
Office of the Federal Register a notice announcing the fish and fish
products exported from the intermediary nation to the United States that
are of the same species as, or similar to, fish or fish products subject
to an import prohibition under paragraphs (h)(1) and (h)(9)(i) of this
section that may not be imported into the United States as a result of
the determination. A prohibition under this paragraph shall not apply to
any fish or fish product for which the intermediary nation was not
identified under paragraph (h)(9)(iv)(C) of this section.
(H) The Assistant Administrator will review determinations under
this paragraph upon the request of an intermediary nation. Such requests
must be accompanied by specific and detailed supporting information or
documentation indicating that a review or reconsideration is warranted.
Based upon such information and other relevant information, the
Assistant Administrator may determine that the intermediary nation
should no longer be subject to an import prohibition under paragraph
(h)(9)(iv)(G) of this section. If the Assistant Administrator makes such
a determination, the Assistant Administrator, in cooperation with the
Secretaries of the Treasury and Homeland Security, shall lift the import
prohibition under this paragraph and publish notification of such action
in the Federal Register.
(10) Progress report for harvesting nations with export fisheries.
(i) A harvesting nation shall submit, with respect to an exempt or
export fishery, a progress report to the Assistant Administrator
documenting actions taken to:
(A) Develop, adopt and implement its regulatory program; and
(B) Meet the conditions in paragraph (h)(6)(iii) of this section,
including with respect to reducing or maintaining incidental mortality
and serious injury of marine mammals below the bycatch limit for its
fisheries.
(ii) The progress report should include the methods the harvesting
nation is using to obtain information in support of a comparability
finding and a certification by the harvesting nation of the accuracy and
authenticity of the information contained in the progress report.
(iii) The first progress report will be due two years prior to the
end of exemption period and every four years thereafter on or before
July 31.
[[Page 55]]
(iv) The Assistant Administrator may review the progress report to
monitor progress made by a harvesting nation in developing its
regulatory program or to reconsider a comparability finding in
accordance with paragraph (h)(8)(vi) of this section.
(11) International cooperation and assistance. Consistent with the
authority granted under Marine Mammal Protection Act at 16 U.S.C. 1378
and the availability of funds, the Assistant Administrator may:
(i) Provide appropriate assistance to harvesting nations identified
by the Assistant Administrator under paragraph (h)(5) of this section
with respect to the financial or technical means to develop and
implement the requirements of this section;
(ii) Undertake, where appropriate, cooperative research on marine
mammal assessments for abundance, methods to estimate incidental
mortality and serious injury and technologies and techniques to reduce
marine mammal incidental mortality and serious injury in export
fisheries;
(iii) Encourage and facilitate, as appropriate, the voluntary
transfer of appropriate technology on mutually agreed terms to assist
harvesting nations in qualifying for a comparability finding under
paragraph (h)(6) of this section; and
(iv) Initiate, through the Secretary of State, negotiations for the
development of bilateral or multinational agreements with harvesting
nations to conserve marine mammals and reduce the incidental mortality
and serious injury of marine mammals in the course of commercial fishing
operations.
(12) Consistency with international obligations. The Assistant
Administrator shall ensure, in consultation with the Department of State
and the Office of the United States Trade Representative that any action
taken under this section, including any action to deny a comparability
finding or to prohibit imports, is consistent with the international
obligations of the United States, including under the World Trade
Organization Agreement.
[69 FR 55297, Sept. 13, 2004, as amended at 70 FR 19008, Apr. 12, 2005;
74 FR 1613, Jan. 13, 2009; 81 FR 36184, June 6, 2016; 81 FR 51132, Aug.
3, 2016; 81 FR 54413, Aug. 15, 2016; 83 FR 3625, Jan. 26, 2018; 84 FR
70043, Dec. 20, 2019; 85 FR 29669, May 18, 2020; 85 FR 49975, Aug. 17,
2020; 85 FR 58297, Sept. 18, 2020; 85 FR 69517, Nov. 3, 2020; 87 FR
17023, Mar. 25, 2022]
Sec. 216.25 Exempted marine mammals and marine mammal products.
(a) The provisions of the MMPA and these regulations shall not
apply:
(1) To any marine mammal taken before December 21, 1972 \1\, or
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\1\ In the context of captive maintenance of marine mammals, the
only marine mammals exempted under this section are those that were
actually captured or otherwise in captivity before December 21, 1972.
---------------------------------------------------------------------------
(2) To any marine mammal product if the marine mammal portion of
such product consists solely of a marine mammal taken before such date.
(b) The prohibitions contained in Sec. 216.12(c) (3) and (4) shall
not apply to marine mammals or marine mammal products imported into the
United States before the date on which a notice is published in the
Federal Register with respect to the designation of the species or stock
concerned as depleted or endangered.
(c) Section 216.12(b) shall not apply to articles imported into the
United States before the effective date of the foreign law making the
taking or sale, as the case may be, of such marine mammals or marine
mammal products unlawful.
[39 FR 1852, Jan. 15, 1974, as amended at 56 FR 43888, Sept. 5, 1991; 59
FR 50376, Oct. 3, 1994]
Sec. 216.26 Collection of certain marine mammal parts without
prior authorization.
Notwithstanding any other provision of this subpart:
(a) Any bones, teeth or ivory of any dead marine mammal may be
collected from a beach or from land within\1/4\ of a mile of the ocean.
The term ocean includes bays and estuaries.
(b) Notwithstanding the provisions of subpart D, soft parts that are
sloughed, excreted, or discharged naturally by a
[[Page 56]]
living marine mammal in the wild may be collected or imported for bona
fide scientific research and enhancement, provided that collection does
not involve the taking of a living marine mammal in the wild.
(c) Any marine mammal part collected under paragraph (a) of this
section or any marine mammal part collected and imported under paragraph
(b) of this section must be registered and identified, and may be
transferred or otherwise possessed, in accordance with Sec. 216.22(c).
In registering a marine mammal part collected or imported under
paragraph (b) of this section, the person who collected or imported the
part must also state the scientific research or enhancement purpose for
which the part was collected or imported.
(d) No person may purchase, sell or trade for commercial purposes
any marine mammal part collected or imported under this section.
(e) The export of parts collected without prior authorization under
paragraph (b) of this section may occur if consistent with the
provisions at Sec. 216.37(d) under subpart D.
[39 FR 1852, Jan. 15, 1974, as amended at 59 FR 50376, Oct. 3, 1994; 61
FR 21933, May 10, 1996]
Sec. 216.27 Release, non-releasability, and disposition under
special exception permits for rehabilitated marine mammals.
(a) Release requirements. (1) Any marine mammal held for
rehabilitation must be released within six months of capture or import
unless the attending veterinarian determines that:
(i) The marine mammal might adversely affect marine mammals in the
wild;
(ii) Release of the marine mammal to the wild will not likely be
successful given the physical condition and behavior of the marine
mammal; or
(iii) More time is needed to determine whether the release of the
marine mammal to the wild will likely be successful. Releasability must
be reevaluated at intervals of no less than six months until 24 months
from capture or import, at which time there will be a rebuttable
presumption that release into the wild is not feasible.
(2) The custodian of the rehabilitated marine mammal shall provide
written notification prior to any release into the wild.
(i) Notification shall be provided to:
(A) The NMFS Regional Director at least 15 days in advance of
releasing any beached or stranded marine mammal, unless advance notice
is waived in writing by the Regional Director; or
(B) The Office Director at least 30 days in advance of releasing any
imported marine mammal.
(ii) Notification shall include the following:
(A) A description of the marine mammal, including its physical
condition and estimated age;
(B) The date and location of release; and
(C) The method and duration of transport prior to release.
(3) The Regional Director, or the Office Director as appropriate,
may:
(i) Require additional information prior to any release;
(ii) Change the date or location of release, or the method or
duration of transport prior to release;
(iii) Impose additional conditions to improve the likelihood of
success or to monitor the success of the release; or
(iv) Require other disposition of the marine mammal.
(4) All marine mammals must be released near wild populations of the
same species, and stock if known, unless a waiver is granted by the
Regional Director or the Office Director.
(5) All marine mammals released must be tagged or marked in a manner
acceptable to the Regional Director or the Office Director. The tag
number or description of the marking must be reported to the Regional
Director or Office Director following release.
(b) Non-releasability and postponed determinations. (1) The
attending veterinarian shall provide the Regional Director or Office
Director with a written report setting forth the basis of any
determination under paragraphs (a)(1)(i) through (iii) of this section.
(2) Upon receipt of a report under paragraph (b)(1) of this section,
the Regional Director or Office Director, in their sole discretion, may:
(i) Order the release of the marine mammal;
[[Page 57]]
(ii) Order continued rehabilitation for an additional 6 months; or
(iii) Order other disposition as authorized.
(3) No later than 30 days after a marine mammal is determined
unreleasable in accordance with paragraphs (a)(1)(i) through (iii) of
this section, the person with authorized custody must:
(i) Request authorization to retain or transfer custody of the
marine mammal in accordance with paragraph (c) of this section, or;
(ii) Humanely euthanize the marine mammal or arrange any other
disposition of the marine mammal authorized by the Regional Director or
Office Director.
(4) Notwithstanding any of the provisions of this section, the
Office Director may require use of a rehabilitated marine mammal for any
activity authorized under subpart D in lieu of animals taken from the
wild.
(5) Any rehabilitated beached or stranded marine mammal placed on
public display following a non-releasability determination under
paragraph (a)(1) of this section and pending disposition under paragraph
(c) of this section, or any marine mammal imported for medical treatment
otherwise unavailable and placed on public display pending disposition
after such medical treatment is concluded, must be held in captive
maintenance consistent with all requirements for public display.
(c) Disposition for a special exception purpose. (1) Upon receipt of
an authorization request made under paragraph (b)(3)(i) of this section,
or release notification under (a)(2), the Office Director may authorize
the retention or transfer of custody of the marine mammal for a special
exception purpose authorized under subpart D.
(2) The Office Director will first consider requests from a person
authorized to hold the marine mammal for rehabilitation. The Office
Director may authorize such person to retain or transfer custody of the
marine mammal for scientific research, enhancement, or public display
purposes.
(3) The Office Director may authorize retention or transfer of
custody of the marine mammal only if:
(i) Documentation has been submitted to the Office Director that the
person retaining the subject animal or the person receiving custody of
the subject animal by transfer, hereinafter referred to as the
recipient, complies with public display requirements of 16 U.S.C.
1374(c)(2)(A) or, for purposes of scientific research and enhancement,
holds an applicable permit, or an application for such a special
exception permit under Sec. 216.33 or a request for a major amendment
under Sec. 216.39 has been submitted to the Office Director and has
been found complete;
(ii) The recipient agrees to hold the marine mammal in conformance
with all applicable requirements and standards; and
(iii) The recipient acknowledges that the marine mammal is subject
to seizure by the Office Director:
(A) If, at any time pending issuance of the major amendment or
permit, the Office Director determines that seizure is necessary in the
interest of the health or welfare of the marine mammal;
(B) If the major amendment or permit is denied; or
(C) If the recipient is issued a notice of violation and assessment,
or is subject to permit sanctions, in accordance with 15 CFR part 904.
(4) There shall be no remuneration associated with any transfer,
provided that, the transferee may reimburse the transferor for any and
all costs associated with the rehabilitation and transport of the marine
mammal.
(5) Marine mammals undergoing rehabilitation or pending disposition
under this section shall not be subject to public display, unless such
activities are specifically authorized by the Regional Director or the
Office Director, and conducted consistent with the requirements
applicable to public display. Such marine mammals shall not be trained
for performance or be included in any aspect of a program involving
interaction with the public; and
(6) Marine mammals undergoing rehabilitation shall not be subject to
intrusive research, unless such activities are specifically authorized
by the Office Director in consultation with the Marine Mammal Commission
and its
[[Page 58]]
Committee of Scientific Advisors on Marine Mammals, and are conducted
pursuant to a scientific research permit.
(d) Reporting. In addition to the report required under Sec.
216.22(b), the person authorized to hold marine mammals for
rehabilitation must submit reports to the Regional Director or Office
Director regarding release or other disposition. These reports must be
provided in the form and frequency specified by the Regional Director or
Office Director.
[61 FR 21933, May 10, 1996]
Subpart D_Special Exceptions
Sec. 216.30 [Reserved]
Sec. 216.31 Definitions.
For the purpose of this subpart, the definitions set forth in 50 CFR
part 217 shall apply to all threatened and endangered marine mammals,
unless a more restrictive definition exists under the MMPA or part 216.
[61 FR 21935, May 10, 1996]
Sec. 216.32 Scope.
The regulations of this subpart apply to:
(a) All marine mammals and marine mammal parts taken or born in
captivity after December 20, 1972; and
(b) All marine mammals and marine mammal parts that are listed as
threatened or endangered under the ESA.
[61 FR 21935, May 10, 1996]
Sec. 216.33 Permit application submission, review, and decision procedures.
(a) Application submission. Persons seeking a special exemption
permit under this subpart must submit an application to the Office
Director. The application must be signed by the applicant, and provide
in a properly formatted manner all information necessary to process the
application. Written instructions addressing information requirements
and formatting may be obtained from the Office Director upon request.
(b) Applications to export living marine mammals. For applicants
seeking a special exception permit to export living marine mammals, the
application must:
(1) Be submitted through the Convention on International Trade in
Endangered Fauna and Flora management authority of the foreign
government or, if different, the appropriate agency or agencies of the
foreign government that exercises oversight over marine mammals.
(2) Include a certification from the foreign government that:
(i) The information set forth in the application is accurate;
(ii) The laws and regulations of the foreign governmentinvolved
allow enforcement of the terms and conditions of the permit, and that
the foreign government will enforce all terms and conditions; and
(iii) The foreign government involved will afford comity to any
permit amendment, modification, suspension or revocation decision.
(c) Initial review. (1) NMFS will notify the applicant of receipt of
the application.
(2) During the initial review, the Office Director will determine:
(i) Whether the application is complete.
(ii) Whether the proposed activity is for purposes authorized under
this subpart.
(iii) If the proposed activity is for enhancement purposes, whether
the species or stock identified in the application is in need of
enhancement for its survival or recovery and whether the proposed
activity will likely succeed in its objectives.
(iv) Whether the activities proposed are to be conducted consistent
with the permit restrictions and permit specific conditions as described
in Sec. 216.35 and Sec. 216.36(a).
(v) Whether sufficient information is included regarding the
environmental impact of the proposed activity to enable the Office
Director:
(A) To make an initial determination under the National
Environmental Policy Act (NEPA) as to whether the proposed activity is
categorically excluded from preparation of further environmental
documentation, or whether the
[[Page 59]]
preparation of an environmental assessment (EA) or environmental impact
statement (EIS) is appropriate or necessary; and
(B) To prepare an EA or EIS if an initial determination is made by
the Office Director that the activity proposed is not categorically
excluded from such requirements.
(3) The Office Director may consult with the Marine Mammal
Commission (Commission) and its Committee of Scientific Advisors on
Marine Mammals (Committee) in making these initial, and any subsequent,
determinations.
(4) Incomplete applications will be returned with explanation. If
the applicant fails to resubmit a complete application or correct the
identified deficiencies within 60 days, the application will be deemed
withdrawn. Applications that propose activities inconsistent with this
subpart will be returned with explanation, and will not be considered
further.
(d) Notice of receipt and application review. (1) Upon receipt of a
valid, complete application, and the preparation of any NEPA
documentation that has been determined initially to be required, the
Office Director will publish a notice of receipt in the Federal
Register. The notice will:
(i) Summarize the application, including:
(A) The purpose of the request;
(B) The species and number of marine mammals;
(C) The type and manner of special exception activity proposed;
(D) The location(s) in which the marine mammals will be taken, from
which they will be imported, or to which they will be exported; and
(E) The requested period of the permit.
(ii) List where the application is available for review.
(iii) Invite interested parties to submit written comments
concerning the application within 30 days of the date of the notice.
(iv) Include a NEPA statement that an initial determination has been
made that the activity proposed is categorically excluded from the
requirement to prepare an EA or EIS, that an EA was prepared resulting
in a finding of no significant impact, or that a final EIS has been
prepared and is available for review.
(2) The Office Director will forward a copy of the complete
application to the Commission for comment. If no comments are received
within 45 days (or such longer time as the Office Director may
establish) the Office Director will consider the Commission to have no
objection to issuing a permit.
(3) The Office Director may consult with any other person,
institution, or agency concerning the application.
(4) Within 30 days of publication of the notice of receipt in the
Federal Register, any interested party may submit written comments or
may request a public hearing on the application.
(5) If the Office Director deems it advisable, the Office Director
may hold a public hearing within 60 days of publication of the notice of
receipt in the Federal Register. Notice of the date, time, and place of
the public hearing will be published in the Federal Register not less
than 15 days in advance of the public hearing. Any interested person may
appear in person or through representatives and may submit any relevant
material, data, views, or comments. A summary record of the hearing will
be kept.
(6) The Office Director may extend the period during which any
interested party may submit written comments. Notice of the extension
must be published in the Federal Register within 60 days of publication
of the notice of receipt in the Federal Register.
(7) If, after publishing a notice of receipt, the Office Director
determines on the basis of new information that an EA or EIS must be
prepared, the Office Director must deny the permit unless an EA is
prepared with a finding of no significant impact. If a permit is denied
under these circumstances the application may be resubmitted with
information sufficient to prepare an EA or EIS, and will be processed as
a new application.
(e) Issuance or denial procedures. (1) Within 30 days of the close
of the public hearing or, if no public hearing is held, within 30 days
of the close of the
[[Page 60]]
public comment period, the Office Director will issue or deny a special
exception permit.
(2) The decision to issue or deny a permit will be based upon:
(i) All relevant issuance criteria set forth at Sec. 216.34;
(ii) All purpose-specific issuance criteria as appropriate set forth
at Sec. 216.41, Sec. 216.42, and Sec. 216.43;
(iii) All comments received or views solicited on the permit
application; and
(iv) Any other information or data that the Office Director deems
relevant.
(3) If the permit is issued, upon receipt, the holder must date and
sign the permit, and return a copy of the original to the Office
Director. The permit shall be effective upon the permit holder's signing
of the permit. In signing the permit, the holder:
(i) Agrees to abide by all terms and conditions set forth in the
permit, and all restrictions and relevant regulations under this
subpart; and
(ii) Acknowledges that the authority to conduct certain activities
specified in the permit is conditional and subject to authorization by
the Office Director.
(4) Notice of the decision of the Office Director shall be published
in the Federal Register within 10 days after the date of permit issuance
or denial and shall indicate where copies of the permit, if issued, may
be reviewed or obtained. If the permit issued involves marine mammals
listed as endangered or threatened under the ESA, the notice shall
include a finding by the Office Director that the permit:
(i) Was applied for in good faith;
(ii) If exercised, will not operate to the disadvantage of such
endangered or threatened species; and
(iii) Is consistent with the purposes and policy set forth in
section 2 of the ESA.
(5) If the permit is denied, the Office Director shall provide the
applicant with an explanation for the denial.
(6) Under the MMPA, the Office Director may issue a permit for
scientific research before the end of the public comment period if
delaying issuance could result in injury to a species, stock, or
individual, or in loss of unique research opportunities. The Office
Director also may waive the 30-day comment period required under the ESA
in an emergency situation where the health or life of an endangered or
threatened marine mammal is threatened and no reasonable alternative is
available. If a permit is issued under these circumstances, notice of
such issuance before the end of the comment period shall be published in
the Federal Register within 10 days of issuance.
(7) The applicant or any party opposed to a permit may seek judicial
review of the terms and conditions of such permit or of a decision to
deny such permit. Review may be obtained by filing a petition for review
with the appropriate U.S. District Court as provided for by law.
[61 FR 21935, May 10, 1996]
Sec. 216.34 Issuance criteria.
(a) For the Office Director to issue any permit under this subpart,
the applicant must demonstrate that:
(1) The proposed activity is humane and does not present any
unnecessary risks to the health and welfare of marine mammals;
(2) The proposed activity is consistent with all restrictions set
forth at Sec. 216.35 and any purpose-specific restrictions as
appropriate set forth at Sec. 216.41, Sec. 216.42, and Sec. 216.43;
(3) The proposed activity, if it involves endangered or threatened
marine mammals, will be conducted consistent with the purposes and
policies set forth in section 2 of the ESA;
(4) The proposed activity by itself or in combination with other
activities, will not likely have a significant adverse impact on the
species or stock;
(5) Whether the applicant's expertise, facilities, and resources are
adequate to accomplish successfully the objectives and activities stated
in the application;
(6) If a live animal will be held captive or transported, the
applicant's qualifications, facilities, and resources are adequate for
the proper care and maintenance of the marine mammal; and
(7) Any requested import or export will not likely result in the
taking of marine mammals or marine mammal
[[Page 61]]
parts beyond those authorized by the permit.
(b) The opinions or views of scientists or other persons or
organizations knowledgeable of the marine mammals that are the subject
of the application or of other matters germane to the application will
be considered.
[61 FR 21936, May 10, 1996]
Sec. 216.35 Permit restrictions.
The following restrictions shall apply to all permits issued under
this subpart:
(a) The taking, importation, export, or other permitted activity
involving marine mammals and marine mammal parts shall comply with the
regulations of this subpart.
(b) The maximum period of any special exception permit issued, or
any major amendment granted, is five years from the effective date of
the permit or major amendment. In accordance with the provisions of
Sec. 216.39, the period of a permit may be extended by a minor
amendment up to 12 months beyond that established in the original
permit.
(c) Except as provided for in Sec. 216.41(c)(1)(v), marine mammals
or marine mammal parts imported under the authority of a permit must be
taken or imported in a humane manner, and in compliance with the Acts
and any applicable foreign law. Importation of marine mammals and marine
mammal parts is subject to the provisions of 50 CFR part 14.
(d) The permit holder shall not take from the wild any marine mammal
which at the time of taking is either unweaned or less than eight months
old, or is a part of a mother-calf/pup pair, unless such take is
specifically authorized in the conditions of the special exception
permit. Additionally, the permit holder shall not import any marine
mammal that is pregnant or lactating at the time of taking or import, or
is unweaned or less than eight months old unless such import is
specifically authorized in the conditions of the special exception
permit.
(e) Captive marine mammals shall not be released into the wild
unless specifically authorized by the Office Director under a scientific
research or enhancement permit.
(f) The permit holder is responsible for all activities of any
individual who is operating under the authority of the permit;
(g) Individuals conducting activities authorized under the permit
must possess qualifications commensurate with their duties and
responsibilities, or must be under the direct supervision of a person
with such qualifications;
(h) Persons who require state or Federal licenses to conduct
activities authorized under the permit must be duly licensed when
undertaking such activities;
(i) Special exception permits are not transferable or assignable to
any other person, and a permit holder may not require any direct or
indirect compensation from another person in return for requesting
authorization for such person to conduct the taking, import, or export
activities authorized under the subject permit;
(j) The permit holder or designated agent shall possess a copy of
the permit when engaged in a permitted activity, when the marine mammal
is in transit incidental to such activity, and whenever marine mammals
or marine mammal parts are in the possession of the permit holder or
agent. A copy of the permit shall be affixed to any container, package,
enclosure, or other means of containment, in which the marine mammals or
marine mammal parts are placed for purposes of transit, supervision, or
care. For marine mammals held captive and marine mammal parts in
storage, a copy of the permit shall be kept on file in the holding or
storage facility.
[61 FR 21936, May 10, 1996]
Sec. 216.36 Permit conditions.
(a) Specific conditions. (1) Permits issued under this subpart shall
contain specific terms and conditions deemed appropriate by the Office
Director, including, but not limited to:
(i) The number and species of marine mammals that are authorized to
be taken, imported, exported, or otherwise affected;
(ii) The manner in which marine mammals may be taken according to
type of take;
(iii) The location(s) in which the marine mammals may be taken, from
[[Page 62]]
which they may be imported, or to which they may be exported, as
applicable, and, for endangered or threatened marine mammal species to
be imported or exported, the port of entry or export;
(iv) The period during which the permit is valid.
(2) [Reserved]
(b) Other conditions. In addition to the specific conditions imposed
pursuant to paragraph (a) of this section, the Office Director shall
specify any other permit conditions deemed appropriate.
[61 FR 21937, May 10, 1996]
Sec. 216.37 Marine mammal parts.
With respect to marine mammal parts acquired by take or import
authorized under a permit issued under this subpart:
(a) Marine mammal parts are transferrable if:
(1) The person transferring the part receives no remuneration of any
kind for the marine mammal part;
(2) The person receiving the marine mammal part is:
(i) An employee of NMFS, the U.S. Fish and Wildlife Service, or any
other governmental agency with conservation and management
responsibilities, who receives the part in the course of their official
duties;
(ii) A holder of a special exception permit which authorizes the
take, import, or other activity involving the possession of a marine
mammal part of the same species as the subject part; or
(iii) In the case of marine mammal parts from a species that is not
depleted, endangered or threatened, a person who is authorized under
section 112(c) of the MMPA and subpart C of this part to take or import
marine mammals or marine mammal parts;
(iv) Any other person specifically authorized by the Regional
Director, consistent with the requirements of paragraphs (a)(1) and
(a)(3) through (6) of this section.
(3) The marine mammal part is transferred for the purpose of
scientific research, maintenance in a properly curated, professionally
accredited scientific collection, or education, provided that, for
transfers for educational purposes, the recipient is a museum,
educational institution or equivalent that will ensure that the part is
available to the public as part of an educational program;
(4) A unique number assigned by the permit holder is marked on or
affixed to the marine mammal part or container;
(5) The person receiving the marine mammal part agrees that, as a
condition of receipt, subsequent transfers may only occur subject to the
provisions of paragraph (a) of this section; and
(6) Within 30 days after the transfer, the person transferring the
marine mammal part notifies the Regional Director of the transfer,
including a description of the part, the person to whom the part was
transferred, the purpose of the transfer, certification that the
recipient has agreed to comply with the requirements of paragraph (a) of
this section for subsequent transfers, and, if applicable, the
recipient's permit number.
(b) Marine mammal parts may be loaned to another person for a
purpose described in paragraph (a)(3) of this section and without the
agreement and notification required under paragraphs (a)(5) and (6) of
this section, if:
(1) A record of the loan is maintained; and
(2) The loan is for not more than one year. Loans for a period
greater than 12 months, including loan extensions or renewals, require
notification of the Regional Director under paragraph (a)(6).
(c) Unless other disposition is specified in the permit, a holder of
a special exception permit may retain marine mammal parts not destroyed
or otherwise disposed of during or after a scientific research or
enhancement activity, if such marine mammal parts are:
(1) Maintained as part of a properly curated, professionally
accredited collection; or
(2) Made available for purposes of scientific research or
enhancement at the request of the Office Director.
(d) Marine mammal parts may be exported and subsequently reimported
by a permit holder or subsequent authorized recipient, for the purpose
of scientific research, maintenance in a
[[Page 63]]
properly curated, professionally accredited scientific collection, or
education, provided that:
(1) The permit holder or other person receives no remuneration for
the marine mammal part;
(2) A unique number assigned by the permit holder is marked on or
affixed to the marine mammal specimen or container;
(3) The marine mammal part is exported or reimported in compliance
with all applicable domestic and foreign laws;
(4) If exported or reimported for educational purposes, the
recipient is a museum, educational institution, or equivalent that will
ensure that the part is available to the public as part of an
educational program; and
(5) Special reports are submitted within 30 days after both export
and reimport as required by the Office Director under Sec. 216.38.
[61 FR 21937, May 10, 1996]
Sec. 216.38 Reporting.
All permit holders must submit annual, final, and special reports in
accordance with the requirements established in the permit, and any
reporting format established by the Office Director.
[61 FR 21937, May 10, 1996]
Sec. 216.39 Permit amendments.
(a) General. Special exception permits may be amended by the Office
Director. Major and minor amendments may be made to permits in response
to, or independent of, a request from the permit holder. Amendments must
be consistent with the Acts and comply with the applicable provisions of
this subpart.
(1) A major amendment means any change to the permit specific
conditions under Sec. 216.36(a) regarding:
(i) The number and species of marine mammals that are authorized to
be taken, imported, exported, or otherwise affected;
(ii) The manner in which these marine mammals may be taken,
imported, exported, or otherwise affected, if the proposed change may
result in an increased level of take or risk of adverse impact;
(iii) The location(s) in which the marine mammals may be taken, from
which they may be imported, and to which they may be exported, as
applicable; and
(iv) The duration of the permit, if the proposed extension would
extend the duration of the permit more than 12 months beyond that
established in the original permit.
(2) A minor amendment means any amendment that does not constitute a
major amendment.
(b) Amendment requests and proposals. (1) Requests by a permit
holder for an amendment must be submitted in writing and include the
following:
(i) The purpose and nature of the amendment;
(ii) Information, not previously submitted as part of the permit
application or subsequent reports, necessary to determine whether the
amendment satisfies all issuance criteria set forth at Sec. 216.34,
and, as appropriate, Sec. 216.41, Sec. 216.42, and Sec. 216.43.
(iii) Any additional information required by the Office Director for
purposes of reviewing the proposed amendment.
(2) If an amendment is proposed by the Office Director, the permit
holder will be notified of the proposed amendment, together with an
explanation.
(c) Review of proposed amendments--(1) Major amendments. The
provisions of Sec. 216.33(d) and (e) governing notice of receipt,
review and decision shall apply to all proposed major amendments.
(2) Minor amendments. (i) After reviewing all appropriate
information, the Office Director will provide the permit holder with
written notice of the decision on a proposed or requested amendment,
together with an explanation for the decision.
(ii) If the minor amendment extends the duration of the permit 12
months or less from that established in the original permit, notice of
the minor amendment will be published in the Federal Register within 10
days from the date of the Office Director's decision.
(iii) A minor amendment will be effective upon a final decision by
the Office Director.
[61 FR 21937, May 10, 1996]
[[Page 64]]
Sec. 216.40 Penalties and permit sanctions.
(a) Any person who violates any provision of this subpart or permit
issued thereunder is subject to civil and criminal penalties, permit
sanctions and forfeiture as authorized under the Acts, and 15 CFR part
904.
(b) All special exception permits are subject to suspension,
revocation, modification and denial in accordance with the provisions of
subpart D of 15 CFR part 904.
[61 FR 21938, May 10, 1996]
Sec. 216.41 Permits for scientific research and enhancement.
In addition to the requirements under Sec. Sec. 216.33 through
216.38, permits for scientific research and enhancement are governed by
the following requirements:
(a) Applicant. (1) For each application submitted under this
section, the applicant shall be the principal investigator responsible
for the overall research or enhancement activity. If the research or
enhancement activity will involve a periodic change in the principal
investigator or is otherwise controlled by and dependent upon another
entity, the applicant may be the institution, governmental entity, or
corporation responsible for supervision of the principal investigator.
(2) For any scientific research involving captive maintenance, the
application must include supporting documentation from the person
responsible for the facility or other temporary enclosure.
(b) Issuance Criteria. For the Office Director to issue any
scientific research or enhancement permit, the applicant must
demonstrate that:
(1) The proposed activity furthers a bona fide scientific or
enhancement purpose;
(2) If the lethal taking of marine mammals is proposed:
(i) Non-lethal methods for conducting the research are not feasible;
and
(ii) For depleted, endangered, or threatened species, the results
will directly benefit that species or stock, or will fulfill a
critically important research need.
(3) Any permanent removal of a marine mammal from the wild is
consistent with any applicable quota established by the Office Director.
(4) The proposed research will not likely have significant adverse
effects on any other component of the marine ecosystem of which the
affected species or stock is a part.
(5) For species or stocks designated or proposed to be designated as
depleted, or listed or proposed to be listed as endangered or
threatened:
(i) The proposed research cannot be accomplished using a species or
stock that is not designated or proposed to be designated as depleted,
or listed or proposed to be listed as threatened or endangered;
(ii) The proposed research, by itself or in combination with other
activities will not likely have a long-term direct or indirect adverse
impact on the species or stock;
(iii) The proposed research will either:
(A) Contribute to fulfilling a research need or objective identified
in a species recovery or conservation plan, or if there is no
conservation or recovery plan in place, a research need or objective
identified by the Office Director in stock assessments established under
section 117 of the MMPA;
(B) Contribute significantly to understanding the basic biology or
ecology of the species or stock, or to identifying, evaluating, or
resolving conservation problems for the species or stock; or
(C) Contribute significantly to fulfilling a critically important
research need.
(6) For proposed enhancement activities:
(i) Only living marine mammals and marine mammal parts necessary for
enhancement of the survival, recovery, or propagation of the affected
species or stock may be taken, imported, exported, or otherwise affected
under the authority of an enhancement permit. Marine mammal parts would
include in this regard clinical specimens or other biological samples
required for the conduct of breeding programs or the diagnosis or
treatment of disease.
(ii) The activity will likely contribute significantly to
maintaining or increasing distribution or abundance, enhancing the
health or welfare of the
[[Page 65]]
species or stock, or ensuring the survival or recovery of the affected
species or stock in the wild.
(iii) The activity is consistent with:
(A) An approved conservation plan developed under section 115(b) of
the MMPA or recovery plan developed under section 4(f) of the ESA for
the species or stock; or
(B) If there is no conservation or recovery plan, with the Office
Director's evaluation of the actions required to enhance the survival or
recovery of the species or stock in light of the factors that would be
addressed in a conservation or recovery plan.
(iv) An enhancement permit may authorize the captive maintenance of
a marine mammal from a threatened, endangered, or depleted species or
stock only if the Office Director determines that:
(A) The proposed captive maintenance will likely contribute directly
to the survival or recovery of the species or stock by maintaining a
viable gene pool, increasing productivity, providing necessary
biological information, or establishing animal reserves required to
support directly these objectives; and
(B) The expected benefit to the species or stock outweighs the
expected benefits of alternatives that do not require removal of marine
mammals from the wild.
(v) The Office Director may authorize the public display of marine
mammals held under the authority of an enhancement permit only if:
(A) The public display is incidental to the authorized captive
maintenance;
(B) The public display will not interfere with the attainment of the
survival or recovery objectives;
(C) The marine mammals will be held consistent with all requirements
and standards that are applicable to marine mammals held under the
authority of the Acts and the Animal Welfare Act, unless the Office
Director determines that an exception is necessary to implement an
essential enhancement activity; and
(D) The marine mammals will be excluded from any interactive program
and will not be trained for performance.
(vi) The Office Director may authorize non-intrusive scientific
research to be conducted while a marine mammal is held under the
authority of an enhancement permit, only if such scientific research:
(A) Is incidental to the permitted enhancement activities; and
(B) Will not interfere with the attainment of the survival or
recovery objectives.
(c) Restrictions. (1) The following restrictions apply to all
scientific research permits issued under this subpart:
(i) Research activities must be conducted in the manner authorized
in the permit.
(ii) Research results shall be published or otherwise made available
to the scientific community in a reasonable period of time.
(iii) Research activities must be conducted under the direct
supervision of the principal investigator or a co-investigator
identified in the permit.
(iv) Personnel involved in research activities shall be reasonable
in number and limited to:
(A) Individuals who perform a function directly supportive of and
necessary to the permitted research activity; and
(B) Support personnel included for the purpose of training or as
backup personnel for persons described in paragraph (c)(1)(iv)(A).
(v) Any marine mammal part imported under the authority of a
scientific research permit must not have been obtained as the result of
a lethal taking that would be inconsistent with the Acts, unless
authorized by the Office Director.
(vi) Marine mammals held under a permit for scientific research
shall not be placed on public display, included in an interactive
program or activity, or trained for performance unless such activities:
(A) Are necessary to address scientific research objectives and have
been specifically authorized by the Office Director under the scientific
research permit; and
(B) Are conducted incidental to and do not in any way interfere with
the permitted scientific research; and
[[Page 66]]
(C) Are conducted in a manner consistent with provisions applicable
to public display, unless exceptions are specifically authorized by the
Office Director.
(vii) Any activity conducted incidental to the authorized scientific
research activity must not involve any taking of marine mammals beyond
what is necessary to conduct the research (i.e., educational and
commercial photography).
(2) Any marine mammal or progeny held in captive maintenance under
an enhancement permit shall be returned to its natural habitat as soon
as feasible, consistent with the terms of the enhancement permit and the
objectives of an approved conservation or recovery plan. In accordance
with section 10(j) of the ESA, the Office Director may authorize the
release of any population of an endangered or threatened species outside
the current range of such species if the Office Director determines that
such release will further the conservation of such species.
[61 FR 21938, May 10, 1996]
Sec. 216.42 Photography. [Reserved]
Sec. 216.43 Public display. [Reserved]
Sec. 216.44 Applicability/transition.
(a) General. The regulations of this subpart are applicable to all
persons, including persons holding permits or other authorizing
documents issued before June 10, 1996, by NMFS for the take, import,
export, or conduct of any otherwise prohibited activity involving a
marine mammal or marine mammal part for special exception purposes.
(b) Scientific research. Any intrusive research as defined in Sec.
216.3, initiated after June 10, 1996, must be authorized under a
scientific research permit. Intrusive research authorized by the Office
Director to be conducted on captive marine mammals held for public
display purposes prior to June 10, 1996, must be authorized under a
scientific research permit one year after June 10, 1996.
[61 FR 21939, May 10, 1996]
Sec. 216.45 General Authorization for Level B harassment for
scientific research.
(a) General Authorization. (1) Persons are authorized under section
104(c)(3)(C) of the MMPA to take marine mammals in the wild by Level B
harassment, as defined in Sec. 216.3, for purposes of bona fide
scientific research Provided, That:
(i) They submit a letter of intent in accordance with the
requirements of paragraph (b) of this section, receive confirmation that
the General Authorization applies in accordance with paragraph (c) of
this section, and comply with the terms and conditions of paragraph (d)
of this section; or
(ii) If such marine mammals are listed as endangered or threatened
under the ESA, they have been issued a permit under Section 10(a)(1)(A)
of the ESA and implementing regulations at 50 CFR parts 217-227,
particularly at Sec. 222.23 through Sec. 222.28, to take marine
mammals in the wild for the purpose of scientific research, the taking
authorized under the permit involves such Level B harassment of marine
mammals or marine mammal stocks, and they comply with the terms and
conditions of that permit.
(2) Except as provided under paragraph (a)(1)(ii) of this section,
no taking, including harassment, of marine mammals listed as threatened
or endangered under the ESA is authorized under the General
Authorization. Marine mammals listed as endangered or threatened under
the ESA may be taken for purposes of scientific research only after
issuance of a permit for such activities pursuant to the ESA.
(3) The following types of research activities will likely qualify
for inclusion under the General Authorization: Photo-identification
studies, behavioral observations, and vessel and aerial population
surveys (except aerial surveys over pinniped rookeries at altitudes of
less than 1,000 ft).
(b) Letter of intent. Except as provided under paragraph (a)(1)(ii)
of this section, any person intending to take marine mammals in the wild
by Level B harassment for purposes of bona fide scientific research
under the General Authorization must submit, at least 60
[[Page 67]]
days before commencement of such research, a letter of intent by
certified return/receipt mail to the Chief, Permits Division, F/PR1,
Office of Protected Resources, NMFS, 1335 East-West Highway, Silver
Spring, MD 20910-3226.
(1) The letter of intent must be submitted by the principal
investigator (who shall be deemed the applicant). For purposes of this
section, the principal investigator is the individual who is responsible
for the overall research project, or the institution, governmental
entity, or corporation responsible for supervision of the principal
investigator.
(2) The letter of intent must include the following information:
(i) The name, address, telephone number, qualifications and
experience of the applicant and any co-investigator(s) to be conducting
the proposed research, and a curriculum vitae for each, including a list
of publications by each such investigator relevant to the objectives,
methodology, or other aspects of the proposed research;
(ii) The species or stocks of marine mammals (common and scientific
names) that are the subject of the scientific research and any other
species or stock of marine mammals that may be harassed during the
conduct of the research;
(iii) The geographic location(s) in which the research is to be
conducted, e.g., geographic name or lat./long.;
(iv) The period(s) of time over which the research will be conducted
(up to five years), including the field season(s) for the research, if
applicable;
(v) The purpose of the research, including a description of how the
proposed research qualifies as bona fide research as defined in Sec.
216.3; and
(vi) The methods to be used to conduct the research.
(3) The letter of intent must be signed, dated, and certified by the
applicant as follows:
In accordance with section 104(c)(3)(C) of the Marine Mammal
Protection Act of 1972, as amended (16 U.S.C. 1361 et seq.) and
implementing regulations (50 CFR part 216), I hereby notify the National
Marine Fisheries Service of my intent to conduct research involving only
Level B harassment on marine mammals in the wild, and request
confirmation that the General Authorization for Level B Harassment for
Scientific Research applies to the proposed research as described
herein. I certify that the information in this letter of intent is
complete, true, and correct to the best of my knowledge and belief, and
I understand that any false statement may subject me to the criminal
penalties of 18 U.S.C. 1001, or penalties under the MMPA and
implementing regulations. I acknowledge and accept that authority to
conduct scientific research on marine mammals in the wild under the
General Authorization is a limited conditional authority restricted to
Level B harassment only, and that any other take of marine mammals,
including the conduct of any activity that has the potential to injure
marine mammals (i.e., Level A harassment), may subject me to penalties
under the MMPA and implementing regulations.
(c) Confirmation that the General Authorization applies or
notification of permit requirement. (1) Not later than 30 days after
receipt of a letter of intent as described in paragraph (b) of this
section, the Chief, Permits Division, NMFS will issue a letter to the
applicant either:
(i) Confirming that the General Authorization applies to the
proposed scientific research as described in the letter of intent;
(ii) Notifying the applicant that all or part of the research
described in the letter of intent is likely to result in a taking of a
marine mammal in the wild involving other than Level B harassment and,
as a result, cannot be conducted under the General Authorization, and
that a scientific research permit is required to conduct all or part of
the subject research; or
(iii) Notifying the applicant that the letter of intent fails to
provide sufficient information and providing a description of the
deficiencies, or notifying the applicant that the proposed research as
described in the letter of intent is not bona fide research as defined
in Sec. 216.3.
(2) A copy of each letter of intent and letter confirming that the
General Authorization applies or notifying the applicant that it does
not apply will be forwarded to the Marine Mammal Commission.
(3) Periodically, NMFS will publish a summary document in the
Federal Register notifying the public of letters of confirmation issued.
[[Page 68]]
(d) Terms and conditions. Persons issued letters of confirmation in
accordance with paragraph (c) of this section are responsible for
complying with the following terms and conditions:
(1) Activities are limited to those conducted for the purposes, by
the means, in the locations, and during the periods of time described in
the letter of intent and acknowledged as authorized under the General
Authorization in the confirmation letter sent pursuant to paragraph (c)
of this section;
(2) Annual reports of activities conducted under the General
Authorization must be submitted to the Chief, Permits Division (address
listed in paragraph (b) of this section) within 90 days of completion of
the last field season(s) during the calendar year or, if the research is
not conducted during a defined field season, no later than 90 days after
the anniversary date of the letter of confirmation issued under
paragraph (c) of this section. Annual reports must include:
(i) A summary of research activities conducted;
(ii) Identification of the species and number of each species taken
by Level B harassment;
(iii) An evaluation of the progress made in meeting the objectives
of the research as described in the letter of intent; and
(iv) Any incidental scientific, educational, or commercial uses of
photographs, videotape, and film obtained as a result of or incidental
to the research and if so, names of all photographers.
(3) Authorization to conduct research under the General
Authorization is for the period(s) of time identified in the letter of
intent or for a period of 5 years from the date of the letter of
confirmation issued under paragraph (c) of this section, whichever is
less, unless extended by the Director or modified, suspended, or revoked
in accordance with paragraph (e) of this section;
(4) Activities conducted under the General Authorization may only be
conducted under the on-site supervision of the principal investigator or
co-investigator(s) named in the letter of intent. All personnel involved
in the conduct of activities under the General Authorization must
perform a function directly supportive of and necessary for the research
being conducted, or be one of a reasonable number of support personnel
included for the purpose of training or as back-up personnel;
(5) The principal investigator must notify the appropriate Regional
Director, NMFS, (Regional Director) in writing at least 2 weeks before
initiation of on-site activities. The Regional Director shall consider
this information in efforts to coordinate field research activities to
minimize adverse impacts on marine mammals in the wild. The principal
investigator must cooperate with coordination efforts by the Regional
Director in this regard;
(6) If research activities result in a taking which exceeds Level B
harassment, the applicant shall:
(i) Report the taking within 12 hours to the Director, Office of
Protected Resources, or his designee as set forth in the letter
authorizing research; and
(ii) Temporarily discontinue for 72 hours all field research
activities that resulted in the taking. During this time period, the
applicant shall consult with NMFS as to the circumstances surrounding
the taking and any precautions necessary to prevent future taking, and
may agree to amend the research protocol, as deemed necessary by NMFS.
(7) NMFS may review scientific research conducted pursuant to the
General Authorization. If requested by NMFS, the applicant must
cooperate with any such review and shall:
(i) Allow any employee of NOAA or any other person designated by the
Director, Office of Protected Resources to observe research activities;
and
(ii) Provide any documents or other information relating to the
scientific research;
(8) Any photographs, videotape, or film obtained during the conduct
of research under the General Authorization must be identified by a
statement that refers to the General Authorization or ESA permit number,
and includes the file number provided by NMFS in the confirmation
letter, the name of the photographer, and the date the image was taken.
This statement must accompany the image(s) in all subsequent uses or
sales. The annual report must note incidental scientific,
[[Page 69]]
educational, or commercial uses of the images, and if there are any such
uses, the names of all photographers; and
(9) Persons conducting scientific research under authority of the
General Authorization may not transfer or assign any authority granted
thereunder to any other person.
(e) Suspension, revocation, or modification. (1) NMFS may suspend,
revoke, or modify the authority to conduct scientific research under the
General Authorization if:
(i) The letter of intent included false information or statements of
a material nature;
(ii) The research does not constitute bona fide scientific research;
(iii) Research activities result in takings of marine mammals other
than by Level B harassment;
(iv) Research activities differ from those described in the letter
of intent submitted by the applicant and letter of confirmation issued
by NMFS; or
(v) The applicant violates any term or condition set forth in this
section.
(2) Any suspension, revocation, or modification is subject to the
requirements of 15 CFR part 904.
[59 FR 50376, Oct. 3, 1994]
Sec. 216.46 U.S. citizens on foreign flag vessels operating under
the International Dolphin Conservation Program.
The MMPA's provisions do not apply to a citizen of the United States
who incidentally takes any marine mammal during fishing operations in
the ETP which are outside the U.S. exclusive economic zone (as defined
in section 3 of the Magnuson-Stevens Fishery Conservation and Management
Act (16 U.S.C. 1802)), while employed on a fishing vessel of a
harvesting nation that is participating in, and in compliance with, the
IDCP.
[65 FR 56, Jan. 3, 2000]
Sec. 216.47 Access to marine mammal tissue, analyses, and data.
(a) Applications for the National Marine Mammal Tissue Bank samples
(NMMTB). (1) A principal investigator, contributor or holder of a
scientific research permit issued in accordance with the provisions of
this subpart may apply for access to a tissue specimen sample in the
NMMTB. Applicants for tissue specimen samples from the NMMTB must submit
a signed written request with attached study plan to the Marine Mammal
Health and Stranding Response Program (MMHSRP) Program Manager, Office
of Protected Resources, NMFS. The written request must include:
(i) A clear and concise statement of the proposed use of the banked
tissue specimen. The applicant must demonstrate that the proposed use of
the banked tissue is consistent with the goals of the NMMTB and the
MMHSRP.
(A) The goals of the MMHSRP are to facilitate the collection and
dissemination of reference data on marine mammals and health trends of
marine mammal populations in the wild; to correlate the health of marine
mammals and marine mammal populations in the wild with available data on
physical, chemical, and biological environmental parameters; and to
coordinate effective responses to unusual mortality events.
(B) The goal of the NMMTB is to maintain quality controlled marine
mammal tissues that will permit retrospective analyses to determine
environmental trends of contaminants and other analytes of interest and
that will provide the highest quality samples for analyses using new and
innovative techniques.
(ii) A copy of the applicant's scientific research permit. The
applicant must demonstrate that the proposed use of the banked tissue is
authorized by the permit;
(iii) Name of principal investigator, official title, and affiliated
research or academic organization;
(iv) Specific tissue sample and quantity desired;
(v) Research facility where analyses will be conducted. The
applicant must demonstrate that the research facility will follow the
Analytical Quality Assurance (AQA) program, which was designed to ensure
the accuracy, precision, level of detection, and intercompatibility of
data resulting from chemical analyses of marine mammal tissues. The AQA
consists of annual interlaboratory comparisons and the development of
control materials and
[[Page 70]]
standard reference materials for marine mammal tissues;
(vi) Verification that funding is available to conduct the research;
(vii) Estimated date for completion of research, and schedule/date
of subsequent reports;
(viii) Agreement that all research findings based on use of the
banked tissue will be reported to the NMMTB, MMHSRP Program Manager and
the contributor; and the sequences of tissue specimen samples that are
used/released for genetic analyses (DNA sequencing) will be archived in
the National Center for biotechnology Information's GenBank. Sequence
accessions in GenBank should document the source, citing a NIST field
number that indentifies the animal; and
(ix) Agreement that credit and acknowledgment will be given to U.S.
Fish and Wildlife Service (USFWS), US Geologic Service (USGS), National
Institute of Standards and Technology (NIST), the Minerals Management
Service (MMS), NMFS, the NMMTB, and the collector for use of banked
tissues.
(2) The applicant shall insert the following acknowledgment in all
publications, abstracts, or presentations based on research using the
banked tissue:
The specimens used in this study were collected by [the contributor]
and provided by the National Marine Mammal Tissue Bank, which is
maintained in the National Biomonitoring Specimen Bank at NIST and which
is operated under the direction of NMFS with the collaboration of MMS,
USGS, USFWS, and NIST through the Marine Mammal Health and Stranding
Response Program [and the Alaska Marine Mammal Tissue Archival Project
if the samples are from Alaska].
(3) Upon submission of a complete application, the MMHSRP Program
Manager will send the request and attached study plan to the following
entities which will function as the review committee:
(i) Appropriate Federal agency (NMFS or USFWS) marine mammal
management office for that particular species; and
(ii) Representatives of the NMMTB Collaborating Agencies (NMFS,
USFS, USGS Biological Resources Division, and NIST) If no member of the
review committee is an expert in the field that is related to the
proposed research activity, any member may request an outside review of
the proposal, which may be outside of NMFS or USFWS but within the
Federal Government.
(4) The MMHSRP Program Manager will send the request and attached
study plan to any contributor(s) of the tissue specimen sample. The
contributor(s) of the sample may submit comments on the proposed
research activity to the Director, Office of Protected Resources within
30 days of the date that the request was sent to the contributor(s).
(5) The USFWS Representative of the NMMTB Collaborating Agencies
will be chair of review committees for requests involving species
managed by the DOI. The MMHSRP Program Manager will be chair of all
other review committees.
(6) Each committee chair will provide recommendations on the request
and an evaluation of the study plan to the Director, Office of Protected
Resources, NMFS.
(7) The Director, Office of Protected Resources, NMFS, will make the
final decision on release of the samples based on the advice provided by
the review committee, comments received from any contributor(s) of the
sample within the time provided in paragraph (a)(4) of this section, and
determination that the proposed use of the banked tissue specimen is
consistent with the goals of the MMHSRP and the NMMTB. The Director will
send a written decision to the applicant and send copies to all review
committee members. If the samples are released, the response will
indicate whether the samples have been homogenized and, if not, the
homogenization schedule.
(8) The applicant will bear all shipping and homogenization costs
related to use of any specimens from the NMMTB.
(9) The applicant will dispose of the tissue specimen sample
consistent with the provisions of the applicant's scientific research
permit after the research is completed, unless the requester submits
another request and receives approval pursuant to this section. The
request must be submitted within three months after the original project
has been completed.
[[Page 71]]
(b) [Reserved]
[69 FR 41979, July 13, 2004]
Sec. Sec. 216.48-216.49 [Reserved]
Subpart E_Designated Ports
Sec. 216.50 Importation at designated ports.
(a) Any marine mammal or marine mammal product which is subject to
the jurisdiction of the National Marine Fisheries Service, National
Oceanic and Atmospheric Administration, Department of Commerce and is
intended for importation into the United States shall be subject to the
provisions of 50 CFR part 14.
(b) For the information of importers, designated ports of entry for
the United States are:
New York, N.Y.
Miami, Fla.
Chicago, Ill.
San Francisco, Calif.
Los Angeles, Calif.
New Orleans, La.
Seattle, Wash.
Honolulu, Hi.
(c) Additionally, marine mammals or marine mammal products which are
entered into Alaska, Hawaii, Puerto Rico, Guam, American Samoa or the
Virgin Islands and which are not to be forwarded or transhipped within
the United States may be imported through the following ports:
Alaska--Juneau, Anchorage, Fairbanks
Hawaii--Honolulu
Puerto Rico--San Juan
Guam--Honolulu, Hi.
American Samoa--Honolulu, Hi.
Virgin Islands--San Juan, P.R.
(d) Importers are advised to see 50 CFR part 14 for importation
requirements and information.
[39 FR 1852, Jan. 15, 1974. Redesignated at 59 FR 50376, Oct. 3, 1994]
Subpart F_Pribilof Islands, Taking for Subsistence Purposes
Sec. 216.71 Allowable take of fur seals.
Pribilovians may take fur seals on the Pribilof Islands if such
taking is
(a) For subsistence uses, and
(b) Not accomplished in a wasteful manner.
[51 FR 24840, July 9, 1986. Redesignated at 61 FR 11750, Mar. 22, 1996]
Sec. 216.72 Restrictions on subsistence use of fur seals.
(a) The harvests of seals on St. Paul and St. George Islands shall
be treated independently for the purposes of this section. Any
suspension, termination, or extension of the harvest is applicable only
to the island for which it is issued.
(b)-(c)[Reserved]
(d) St. George Island. The subsistence fur seal harvest restrictions
described in paragraphs (d)(1) through (5) of this section apply
exclusively to the harvest of sub-adult fur seals; restrictions that
apply exclusively to the harvest of young of the year fur seals can be
found in paragraphs (d)(6) through (11) of this section. For the taking
of fur seals for subsistence uses, Pribilovians on St. George Island may
harvest up to a total of 500 male fur seals per year over the course of
both the sub-adult male harvest and the male young of the year harvest.
Pribilovians are authorized each year up to three mortalities of female
fur seals associated with the subsistence seasons. Any female fur seal
mortalities will be included in the total authorized subsistence harvest
of 500 fur seals per year.
(1) Pribilovians may only harvest sub-adult male fur seals 124.5
centimeters or less in length from June 23 through August 8 annually on
St. George Island.
(2) Pribilovians may harvest sub-adult male fur seals at the hauling
grounds shown in Figure 1 to part 216. No hauling ground may be
harvested more than twice per week.
(3) [Reserved]
(4) The scheduling of the sub-adult male harvest is at the
discretion of the Pribilovians, but must be such as to minimize stress
to the harvested seals. The Pribilovians must give adequate advance
notice of their harvest schedules to the NMFS representatives to allow
for necessary monitoring activities. No fur seal may be taken except by
experienced sealers using the traditional harvesting methods, including
stunning followed immediately by
[[Page 72]]
exsanguination. The harvesting method shall include organized drives of
sub-adult male fur seals to killing fields, unless the NMFS
representatives determine, in consultation with the Pribilovians
conducting the harvest, that alternative methods will not result in
increased disturbance to the rookery or the increased accidental take of
female seals.
(5) [Reserved]
(6) Pribilovians may only harvest male young of the year from
September 16 through November 30 annually on St. George Island.
Pribilovians may harvest up to 150 male fur seal young of the year
annually.
(7) No more than 50 male young of the year may be harvested from
each of the following regions where fur seals congregate: East region
includes the breeding areas known as East Reef and East Cliffs rookeries
and the associated non-breeding hauling grounds; South region includes
the breeding areas known as Zapadni and South rookeries and the
associated non-breeding hauling grounds; and North region includes the
breeding areas known as North and Staraya Artil rookeries and associated
non-breeding hauling grounds, as shown in Figure 1 to part 216. No area
may be harvested more than twice per week and must be in accordance with
paragraph (d)(10) of this section.
(8) The scheduling of the young of the year harvest is at the
discretion of the Pribilovians, but must be such as to minimize stress
to the harvested and un-harvested fur seals and minimize the take of
female fur seals. The Pribilovians must give adequate advance notice of
their harvest schedules to the NMFS representatives to allow for
necessary monitoring activities. No fur seal may be taken except by
sealers using the harvesting methods implemented to reduce disturbance,
injury, and accidental mortality of female fur seals. Pribilovians may
use, but are not limited to, organized drives of young of the year fur
seals from congregating areas to inland killing fields. Methods of
harvest must include identification of male young of the year, followed
by stunning and immediate exsanguination, unless the NMFS
representatives, in consultation with the Pribilovians conducting the
harvest, determine that alternative methods will not result in increased
stress to harvested and un-harvested fur seals, increased disturbance or
injury to resting fur seals, or the accidental mortality of female
seals.
(9) [Reserved]
(10) No young of the year fur seals may be taken from any designated
breeding area or its associated hauling ground(s) where the most recent
NMFS analysis projects that pup production has greater than a 5 percent
probability of falling below a level capable of sustaining a harvest in
10 years.
(11) No more than 120 days after the final subsistence harvest each
calendar year, NMFS representatives and St. George Island community
members must review the implementation of the harvest and consider best
harvest practices and determine if implementation can be improved to
better meet the subsistence needs of the St. George Island community or
reduce negative effects on fur seals.
(e) St. Paul Island. For the taking of fur seals for subsistence
uses, Pribilovians on St. Paul Island are authorized to take by hunt and
harvest up to 2,000 juvenile (less than 7 years old, including pups)
male fur seals per year.
(1) Juvenile male fur seals may be killed with firearms from January
1 through May 31 annually, or may be killed using alternative hunting
methods developed through the St. Paul Island Co-management Council if
those methods are consistent with Sec. 216.71 and result in
substantially similar effects. A firearm is any weapon, such as a pistol
or rifle, capable of firing a missile using an explosive charge as a
propellant.
(2) Juvenile male fur seals may be harvested without the use of
firearms from June 23 through December 31 annually. Authorized harvest
may be by established harvest methods of herding and stunning followed
immediately by exsanguination, or by alternative harvest methods
developed through the St. Paul Island Co-management Council if those
methods are consistent with Sec. 216.71 and result in substantially
similar effects.
(3) Pribilovians are authorized each year up to 20 mortalities of
female fur
[[Page 73]]
seals associated with the subsistence seasons. Any female fur seal
mortalities will be included in the total number of fur seals authorized
per year for subsistence uses (2,000).
(f) Subsistence use suspension provisions. (1) The Assistant
Administrator is required to suspend the take provided for in Sec.
216.71 on St. George and/or St. Paul Islands, as appropriate, when:
(i) He or she determines that subsistence use is being conducted in
a wasteful manner; or
(ii) With regard to St. George Island, two female fur seals have
been killed during the subsistence seasons on St. George Island.
(2) A suspension based on a determination under paragraph (f)(1)(i)
of this section may be lifted by the Assistant Administrator if he or
she finds that the conditions that led to the determination that
subsistence use was being conducted in a wasteful manner have been
remedied.
(3) A suspension based on a determination under paragraph (f)(1)(ii)
of this section may be lifted by the Assistant Administrator if he or
she finds that the conditions that led to the killing of two female fur
seals on St. George Island have been remedied and additional or improved
methods to detect female fur seals during the subsistence seasons are
being implemented.
(g) Subsistence use termination provisions. The Assistant
Administrator shall terminate the annual take provided for in Sec.
216.71 on the Pribilof Islands, as follows:
(1) For St. Paul Island:
(i) For the hunting of juvenile male fur seals with firearms, at the
end of the day on May 31 or when 2,000 fur seals have been killed,
whichever comes first;
(ii) For the harvest of juvenile male fur seals without firearms, at
the end of the day on December 31 or when 2,000 fur seals have been
killed, whichever comes first; or
(iii) When 20 female fur seals have been killed during the
subsistence seasons.
(2) For St. George Island:
(i) For the sub-adult male harvest, at the end of the day on August
8 or when 500 sub-adult male seals have been harvested, whichever comes
first;
(ii) For the male young of the year harvest, at the end of the day
on November 30 or earlier when either of the following occurs first: 150
male young of the year fur seals have been harvested or a total of 500
male sub-adult and male young of the year fur seals have been harvested;
or
(iii) When three female fur seals have been killed during the
subsistence seasons.
[51 FR 24840, July 9, 1986, as amended at 57 FR 33902, July 31, 1992; 59
FR 35474, July 12, 1994. Redesignated at 61 FR 11750, Mar. 22, 1996, as
amended at 79 FR 65337, Nov. 4, 2014; 84 FR 52382, Oct. 2, 2019; 85 FR
15948, Mar. 20, 2020]
Sec. 216.73 Disposition of fur seal parts.
Except for transfers to other Alaskan Natives for barter or sharing
for personal or family consumption, no part of a fur seal taken for
subsistence uses may be sold or otherwise transferred to any person
unless it is a nonedible byproduct which:
(a) Has been transformed into an article of handicraft, or
(b) Is being sent by an Alaskan Native directly, or through a
registered agent, to a tannery registered under 50 CFR 216.23(c) for the
purpose of processing, and will be returned directly to the Alaskan
Native for conversion into an article of handicraft, or
(c) Is being sold or transferred to an Alaskan Native, or to an
agent registered under 50 CFR 216.23(c) for resale or transfer to an
Alaskan Native, who will convert the seal part into a handicraft.
[51 FR 24840, July 9, 1986. Redesignated at 61 FR 11750, Mar. 22, 1996]
Sec. 216.74 Cooperation between fur seal subsistence users,
tribal and Federal officials.
Federal scientists and Pribilovians cooperatively manage the
subsistence use of northern fur seals under section 119 of the Marine
Mammal Protection Act (16 U.S.C. 1388). The federally recognized tribes
on the Pribilof Islands have signed agreements describing a shared
interest in the conservation and management of fur seals and the
designation of co-management councils
[[Page 74]]
that meet and address the purposes of the co-management agreements for
representatives from NMFS, St. George and St. Paul tribal governments.
NMFS representatives are responsible for compiling information related
to sources of human-caused mortality and serious injury of marine
mammals. The Pribilovians are responsible for reporting their
subsistence needs and actual level of subsistence take. This information
is used to update stock assessment reports and make determinations under
Sec. 216.72. Pribilovians who take fur seals for subsistence uses
collaborate with NMFS representatives and the respective Tribal
representatives to consider best subsistence use practices under co-
management and to facilitate scientific research.
[84 FR 52383, Oct. 2, 2019, as amnded at 85 FR 15948, Mar. 20, 2020]
Subpart G_Pribilof Islands Administration
Sec. 216.81 Visits to fur seal rookeries.
From June 1 to October 15 of each year, no person, except those
authorized by a representative of the National Marine Fisheries Service,
or accompanied by an authorized employee of the National Marine
Fisheries Service, shall approach any fur seal rookery or hauling
grounds nor pass beyond any posted sign forbidding passage.
[41 FR 49488, Nov. 9, 1976. Redesignated at 61 FR 11750, Mar. 22, 1996]
Sec. 216.82 Dogs prohibited.
In order to prevent molestation of fur seal herds, the landing of
any dogs at Pribilof Islands is prohibited.
[41 FR 49488, Nov. 9, 1976. Redesignated at 61 FR 11750, Mar. 22, 1996]
Sec. 216.83 Importation of birds or mammals.
No mammals or birds, except household cats, canaries and parakeets,
shall be imported to the Pribilof Islands without the permission of an
authorized representative of the National Marine Fisheries Service.
[41 FR 49488, Nov. 9, 1976. Redesignated at 61 FR 11750, Mar. 22, 1996]
Sec. 216.84 [Reserved]
Sec. 216.85 Walrus and Otter Islands.
By Executive Order 1044, dated February 27, 1909, Walrus and Otter
Islands were set aside as bird reservations. All persons are prohibited
to land on these islands except those authorized by the appropriate
representative of the National Marine Fisheries Service.
[41 FR 49488, Nov. 9, 1976. Redesignated at 61 FR 11750, Mar. 22, 1996]
Sec. 216.86 Local regulations.
Local regulations will be published from time to time and will be
brought to the attention of local residents and persons assigned to duty
on the Islands by posting in public places and brought to the attention
of tourists by personal notice.
[41 FR 49488, Nov. 9, 1976. Redesignated at 61 FR 11750, Mar. 22, 1996]
Sec. 216.87 Wildlife research.
(a) Wildlife research, other than research on North Pacific fur
seals, including specimen collection, may be permitted on the Pribilof
Islands subject to the following conditions:
(1) Any person or agency, seeking to conduct such research shall
first obtain any Federal or State of Alaska permit required for the type
of research involved.
(2) Any person seeking to conduct such research shall obtain prior
approval of the Director, Pribilof Islands Program, National Marine
Fisheries Service, National Oceanic and Atmospheric Administration, 1700
Westlake Avenue North, Seattle, WA 98109, by filing with the Director an
application which shall include:
(i) Copies of the required Federal and State of Alaska permits; and
(ii) A resume of the intended research program.
(3) All approved research shall be subject to all regulations and
administrative procedures in effect on the Pribilof Islands, and such
research shall not commence until approval from the Director is
received.
(4) Any approved research program shall be subject to such terms and
conditions as the Director, Pribilof Islands Program deems appropriate.
[[Page 75]]
(5) Permission to utilize the Pribilof Islands to conduct an
approved research program may be revoked by the Director, Pribilof
Islands Program at any time for noncompliance with any terms and
conditions, or for violations of any regulation or administrative
procedure in effect on the Pribilof Islands.
[43 FR 5521, Feb. 9, 1978. Redesignated at 61 FR 11750, Mar. 22, 1996]
Subpart H_Dolphin Safe Tuna Labeling
Authority: 16 U.S.C. 1385.
Sec. 216.90 Purposes.
This subpart governs the requirements for using the official mark
described in Sec. 216.95 or an alternative mark that refers to
dolphins, porpoises, or marine mammals, to label tuna or tuna products
offered for sale in or exported from the United States using the term
dolphin-safe or suggesting the tuna were harvested in a manner not
injurious to dolphins.
[69 FR 55307, Sept. 13, 2004]
Sec. 216.91 Dolphin-safe labeling standards.
(a) It is a violation of Section 5 of the Federal Trade Commission
Act (15 U.S.C. 45) for any producer, importer, exporter, wholesaler/
distributor, or seller of any tuna products that are exported from or
offered for sale in the United States to include on the label of those
products the term ``dolphin-safe'' or any other term or symbol that
claims or suggests that the tuna contained in the products were
harvested using a method of fishing that is not harmful to dolphins if
the products contain tuna harvested:
(1) ETP large purse seine vessel. In the ETP by a purse seine vessel
of greater than 400 st (362.8 mt) carrying capacity unless:
(i) The documentation requirements for dolphin-safe tuna under
Sec. Sec. 216.92 and 216.93 are met;
(ii) No dolphins were killed or seriously injured during the sets in
which the tuna were caught; and
(iii) None of the tuna were caught on a trip using a purse seine net
intentionally deployed on or to encircle dolphins, provided that this
paragraph (a)(1)(iii) will not apply if the Assistant Administrator
publishes a notification in the Federal Register announcing a finding
under 16 U.S.C. 1385(g)(2) that the intentional deployment of purse
seine nets on or encirclement of dolphins is not having a significant
adverse impact on any depleted stock.
(2) Driftnet. By a vessel engaged in large-scale driftnet fishing;
or
(3) Other fisheries. By a vessel in a fishery other than one
described in paragraph (a)(1) or (2) of this section unless such product
is accompanied as described in Sec. 216.93(d), (e), or (f), as
appropriate, by:
(i) For tuna caught in a purse seine fishery outside the ETP by a
vessel on a fishing trip that began before July 13, 2013, a written
statement executed by the Captain of the vessel certifying that no purse
seine net was intentionally deployed on or used to encircle dolphins
during the particular trip on which the tuna was harvested.
(ii) For tuna caught by a vessel on a fishing trip that began on or
after July 13, 2013, and before May 21, 2016, a written statement
executed by the Captain of the vessel certifying:
(A) For a purse seine vessel outside the ETP, that no purse seine
net was intentionally deployed on or used to encircle dolphins during
the fishing trip in which the tuna were caught, and that no dolphins
were killed or seriously injured in the sets in which the tuna were
caught;
(B) For a vessel other than one described in paragraph (a)(3)(ii)(A)
of this section, that no dolphins were killed or seriously injured in
the sets or other gear deployments in which the tuna were caught.
(iii) For tuna caught by a vessel on a fishing trip that began on or
after May 21, 2016, a written statement executed by the Captain of the
vessel certifying that:
(A) No purse seine net or other fishing gear was intentionally
deployed on or used to encircle dolphins during the fishing trip in
which the tuna were caught, and that no dolphins were killed or
seriously injured in the sets or other gear deployments in which the
tuna were caught; and
[[Page 76]]
(B) The Captain of the vessel has completed the NMFS Tuna Tracking
and Verification Program dolphin-safe captain's training course. The
NMFS Tuna Tracking and Verification Program dolphin-safe captain's
training course is available on the website of the NMFS Tuna Tracking
and Verification Program at https://www.fisheries.noaa.gov/ dolphin-
safe.
(iv) For tuna caught in a fishery where the Assistant Administrator
has determined that observers participating in a national or
international observer program are qualified and authorized to issue
observer statements for purposes of the dolphin-safe labeling program,
and where such an observer is on board the vessel, a written statement
executed by the observer, or by an authorized representative of a nation
participating in the observer program based on information from the
observer. Any determination by the Assistant Administrator shall be
announced in a notice published in the Federal Register. Determinations
under this paragraph (a)(3)(iv) will also be publicized on the website
of the NMFS Tuna Tracking and Verification Program (https://
www.fisheries.noaa.gov/ dolphin-safe). The written statement shall
certify:
(A) That no dolphins were killed or seriously injured in the sets or
other gear deployments in which the tuna were caught; and,
(B) In purse seine fisheries, that no purse seine net was
intentionally deployed on or used to encircle dolphins during the trip
on which the tuna were caught.
(v) For tuna caught in a fishery in which the Assistant
Administrator has determined that either a regular and significant
association between dolphins and tuna (similar to the association
between dolphins and tuna in the ETP) or a regular and significant
mortality or serious injury of dolphins is occurring, a written
statement, executed by the Captain of the vessel and an observer
participating in a national or international program acceptable to the
Assistant Administrator, unless the Assistant Administrator determines
an observer statement is unnecessary. Determinations under this
paragraph (a)(3)(v) will also be publicized on the website of the NMFS
Tuna Tracking and Verification Program (https://www.fisheries.noaa.gov/
dolphin-safe). The written statement shall certify that:
(A) No fishing gear was intentionally deployed on or used to
encircle dolphins during the trip on which the tuna were caught;
(B) No dolphins were killed or seriously injured in the sets or
other gear deployments in which the tuna were caught; and
(C) Any relevant requirements of paragraph (a)(4) of this section
were complied with during the trip on which the tuna were caught.
(4) Other fisheries--segregation. In a fishery other than one
described in paragraph (a)(1) or (2) of this section on a fishing trip
that began on or after July 13, 2013 unless the tuna caught in sets or
gear deployments designated as dolphin-safe was stored physically
separate from tuna caught in a non-dolphin-safe set or other gear
deployment by the use of netting, other material, or separate storage
areas from the time of capture through unloading. If tuna caught in a
set or other gear deployment where a dolphin was killed or seriously
injured is not stored physically separate from dolphin-safe tuna as
stated in Sec. 216.93(c)(2)(i) or (c)(3)(i), as applicable, all tuna
inside the storage well or other storage location shall be considered
non-dolphin-safe.
(5) Other fisheries--chain of custody recordkeeping. By a vessel in
a fishery other than one described in paragraph (a)(1) or (2) of this
section unless:
(i) For tuna designated dolphin-safe that was harvested on a fishing
trip that began on or after May 21, 2016, in addition to any other
applicable requirements:
(A) The importer of record or U.S. processor of tuna or tuna
products, as applicable, maintains information on the complete chain of
custody, including storage facilities, transshippers, processors, re-
processors, and wholesalers/distributors to enable dolphin-safe tuna to
be distinguished from non-dolphin-safe tuna from the time it is caught
to the time it is ready for retail sale;
(B) The importer of record or the U.S. processor, as appropriate,
ensures
[[Page 77]]
that information is readily available to NMFS upon request to allow it
to trace any non-dolphin-safe tuna loaded onto the vessel back to one or
more storage wells or other storage locations for a particular fishing
trip and to show that such non-dolphin-safe tuna was kept physically
separate from dolphin-safe tuna through unloading.
(ii) For tuna designated dolphin-safe that was harvested in a
fishery about which the Assistant Administrator made a determination
under paragraph (a)(3)(v) of this section, and harvested on a fishing
trip that begins on or after 60 days after the date of the Federal
Register notice of that determination, the tuna or tuna products are
accompanied by valid documentation signed by a representative of the
vessel flag nation or the processing nation (if processed in another
nation) certifying that:
(A) The catch documentation is correct;
(B) The tuna or tuna products meet the dolphin-safe labeling
standards under this section; and
(C) The chain of custody information is correct.
(iii) The information referred to in paragraphs (a)(5)(i) and (ii)
of this section is maintained at the place of business of the importer
of record or the U.S. processor, as applicable, for a period of 2 years
from the date of the import or receipt, and be made available to NMFS
for inspection upon request.
(b) It is a violation of section 5 of the Federal Trade Commission
Act (15 U.S.C. 45) to willingly and knowingly use a label referred to in
this section in a campaign or effort to mislead or deceive consumers
about the level of protection afforded dolphins under the IDCP.
(c) A tuna product that is labeled with the official mark, described
in Sec. 216.95, may not be labeled with any other label or mark that
refers to dolphins, porpoises, or marine mammals.
[81 FR 15448, Mar. 23, 2016, as amended at 81 FR 15449, Mar. 23, 2016;
83 FR 3626, Jan. 26, 2018]
Sec. 216.92 Dolphin-safe requirements for tuna harvested in the
ETP by large purse seine vessels.
(a) U.S. vessels. Tuna products that contain tuna harvested by U.S.
flag purse seine vessels of greater than 400 st (362.8 mt) carrying
capacity in the ETP may be labeled dolphin-safe only if the following
requirements are met:
(1) Tuna Tracking Forms containing a complete record of all the
fishing activities on the trip, certified by the vessel Captain and the
observer, are submitted to the Administrator, Southwest Region, at the
end of the fishing trip during which the tuna was harvested;
(2) The tuna is delivered for processing to a U.S. tuna processor in
a plant located in one of the 50 states, Puerto Rico, or American Samoa
that is in compliance with the tuna tracking and verification
requirements of Sec. 216.93; and
(3) The tuna or tuna products meet the dolphin-safe labeling
standards under Sec. 216.91.
(b) Imported tuna. (1) Yellowfin tuna or tuna products harvested in
the ETP by vessels of greater than 400 st (362.8 mt) carrying capacity
and presented for import into the United States may be labeled dolphin-
safe only if the yellowfin tuna was harvested by a U.S. vessel fishing
in compliance with the requirements of the IDCP and applicable U.S. law,
or by a vessel belonging to a nation that has obtained an affirmative
finding under Sec. 216.24(f)(8).
(2) Tuna or tuna products, other than yellowfin tuna, harvested in
the ETP by purse seine vessels of greater than 400 st (362.8 mt)
carrying capacity and presented for import into the United States may be
labeled dolphin-safe only if:
(i) The tuna was harvested by a U.S. vessel fishing in compliance
with the requirements of the IDCP and applicable U.S. law, or by a
vessel belonging to a nation that is a Party to the Agreement on the
IDCP or has applied to become a Party and is adhering to all the
requirements of the Agreement on the IDCP Tuna Tracking and Verification
Plan;
(ii) The tuna or tuna products are accompanied as described in Sec.
216.24(f)(3) by a properly completed FCO; and
[[Page 78]]
(iii) The tuna or tuna products are accompanied as described in
Sec. 216.24(f)(3) by valid documentation signed by a representative of
the appropriate IDCP member nation, containing the harvesting vessel
names and tuna tracking form numbers represented in the shipment, and
certifying that:
(A) There was an IDCP approved observer on board the vessel(s)
during the entire trip(s); and
(B) The tuna contained in the shipment were caught according to the
dolphin-safe labeling standards of Sec. 216.91.
[69 FR 55307, Sept. 13, 2004, as amended at 74 FR 1617, Jan. 13, 2009]
Sec. 216.93 Tracking and verification program.
The Administrator, Southwest Region, has established a national
tracking and verification program to accurately document the dolphin-
safe condition of tuna, under the standards set forth in Sec. Sec.
216.91 and 216.92. The tracking program includes procedures and reports
for use when importing tuna into the United States and during U.S.
fishing, processing, and marketing in the United States and abroad.
Verification of tracking system operations is attained through the
establishment of audit and document review requirements. The tracking
program is consistent with the international tuna tracking and
verification program adopted by the Parties to the Agreement on the
IDCP.
(a) Tuna tracking forms. Whenever a U.S. flag tuna purse seine
vessel of greater than 400 st (362.8 mt) carrying capacity fishes in the
ETP, IDCP approved Tuna Tracking Forms (TTFs), bearing a unique number
assigned to that trip, are used by the observer to record every set made
during that trip. One TTF is used to record dolphin-safe sets and a
second TTF is used to record non-dolphin-safe sets. The information
entered on the TTFs following each set includes the date, well number,
weights by species composition, estimated tons loaded, and additional
notes, if any. The observer and the vessel engineer initial the entry as
soon as possible following each set, and the vessel captain and observer
review and sign both TTFs at the end of the fishing trip certifying that
the information on the forms is accurate. TTFs are confidential official
documents of the IDCP, consistent with Article XVIII of the Agreement on
the IDCP, and the Agreement on the IDCP Rules of Confidentiality.
(b) Dolphin-Safe Certification. Upon request, the Office of the
Administrator, Southwest Region, will provide written certification that
tuna harvested by U.S. purse seine vessels greater than 400 st (362.8
mt) carrying capacity is dolphin-safe, but only if NMFS' review of the
TTFs for the subject trip shows that the tuna for which the
certification is requested is dolphin-safe under the requirements of the
Agreement on the IDCP and U.S. law.
(c) Tracking fishing operations. (1) ETP large purse seine vessel.
In the ETP by a purse seine vessel of greater than 400 st (362.8 mt)
carrying capacity:
(i) During fishing trips, any part of which included fishing in the
ETP, by purse seine vessels greater than 400 st (362.8 mt) carrying
capacity, tuna caught in sets designated as dolphin-safe by the vessel
observer must be stored separately from tuna caught in non-dolphin-safe
sets from the time of capture through unloading. Vessel personnel will
decide into which wells tuna will be loaded. The observer will initially
designate whether each set is dolphin-safe or not, based on his/her
observation of the set. The observer will initially identify a vessel
fish well as dolphin-safe if the first tuna loaded into the well during
a trip was captured in a set in which no dolphin died or was seriously
injured. The observer will initially identify a vessel fish well as non-
dolphin-safe if the first tuna loaded into the well during a trip was
captured in a set in which a dolphin died or was seriously injured. Any
tuna loaded into a well previously designated non-dolphin-safe is
considered non-dolphin-safe tuna. The observer will change the
designation of a dolphin-safe well to non-dolphin-safe if any tuna are
loaded into the well that were captured in a set in which a dolphin died
or was seriously injured.
(ii) The captain, managing owner, or vessel agent of a U.S. purse
seine vessel greater than 400 st (362.8 mt) returning to port from a
trip, any part of which
[[Page 79]]
included fishing in the ETP, must provide at least 48 hours' notice of
the vessel's intended place of landing, arrival time, and schedule of
unloading to the Administrator, Southwest Region.
(iii) If the trip terminates when the vessel enters port to unload
part or all of its catch, new TTFs will be assigned to the new trip, and
any information concerning tuna retained on the vessel will be recorded
as the first entry on the TTFs for the new trip. If the trip is not
terminated following a partial unloading, the vessel will retain the
original TTFs and submit a copy of those TTFs to the Administrator,
Southwest Region, within 5 working days. In either case, the species and
amount unloaded will be noted on the respective originals.
(iv) Tuna offloaded to trucks, storage facilities, or carrier
vessels must be loaded or stored in such a way as to maintain and
safeguard the identification of the dolphin-safe or non-dolphin-safe
designation of the tuna as it left the fishing vessel.
(v) The handling of TTFs and the tracking and verification of tuna
caught in the Convention Area by a U.S. purse seine vessel greater than
400 st (362.8 mt) carrying capacity shall be conducted consistent with
the international tuna tracking and verification program adopted by the
Parties to the Agreement on the IDCP.
(2) Purse seine vessel other than ETP large purse seine vessel. This
paragraph (c)(2) applies to tuna product labeled dolphin-safe that
includes tuna harvested on a fishing trip that began on or after July
13, 2013, in the ETP by a purse seine vessel of 400 st (362.8 mt) or
less carrying capacity or by a purse seine vessel outside the ETP of any
carrying capacity.
(i) Tuna caught in sets designated as dolphin-safe must be stored
separately from tuna caught in non-dolphin-safe sets from the time of
capture through unloading. Tuna caught in sets where a dolphin died or
was seriously injured must be stored in a well designated as non-
dolphin-safe by the captain or, where applicable, by a qualified and
authorized observer under Sec. 216.91. Any tuna loaded into a well
previously designated non-dolphin-safe is considered non-dolphin-safe
tuna. The captain or, where applicable, a qualified and authorized
observer under Sec. 216.91, will change the designation of a dolphin-
safe well to non-dolphin-safe if any tuna are loaded into the well that
were captured in a set in which a dolphin died or was seriously injured.
If a purse seine vessel has only one well used to store tuna, dolphin-
safe tuna must be kept physically separate from non-dolphin-safe tuna by
using netting or other material. If a purse seine vessel has more than
one well used to store tuna, all tuna inside a well shall be considered
non-dolphin-safe, if at any time non-dolphin-safe tuna is loaded into
the well, regardless of the use of netting or other material inside the
well.
(ii) Tuna offloaded to trucks, storage facilities, or carrier
vessels must be loaded or stored in such a way as to maintain and
safeguard the identification of the dolphin-safe or non-dolphin-safe
designation of the tuna as it left the fishing vessel.
(3) Other vessels. This paragraph (c)(3) applies to tuna product
labeled dolphin-safe that includes tuna harvested by a vessel on a
fishing trip that began on or after July 13, 2013 other than ones
described in paragraphs (c)(1) or (2) of this section:
(i) Tuna caught in sets or other gear deployments designated as
dolphin-safe must be stored separately from tuna caught in non-dolphin-
safe sets or other gear deployments from the time of capture through
unloading. Dolphin-safe tuna must be kept physically separate from non-
dolphin-safe tuna by using netting, other material, or separate storage
areas. The captain or, where applicable, a qualified and authorized
observer under Sec. 216.91, must designate the storage areas for
dolphin-safe and non-dolphin-safe tuna.
(ii) Tuna offloaded to trucks, storage facilities, or carrier
vessels must be loaded or stored in such a way as to maintain and
safeguard the identification of the dolphin-safe or non-dolphin-safe
designation of the tuna as it left the fishing vessel.
(d) Tracking cannery operations. (1) Whenever a U.S. tuna canning
company in the 50 states, Puerto Rico, or American Samoa receives a
domestic
[[Page 80]]
or imported shipment of tuna for processing, a NMFS representative may
be present to monitor delivery and verify that dolphin-safe and non-
dolphin-safe tuna are clearly identified and remain segregated. Such
inspections may be scheduled or unscheduled, and canners must allow the
NMFS representative access to all areas and records.
(2) Tuna processors must submit a report to the Administrator,
Southwest Region, of all tuna received at their processing facilities in
each calendar month whether or not the tuna is actually canned or stored
during that month. Monthly cannery receipt reports must be submitted
electronically or by mail before the last day of the month following the
month being reported. Monthly reports must contain the following
information:
(i) Domestic receipts: whether the tuna is eligible to be labeled
dolphin-safe under Sec. 216.91, species, condition (round, loin,
dressed, gilled and gutted, other), weight in short tons to the fourth
decimal, ocean area of capture (ETP, western Pacific, Indian, eastern
and western Atlantic, other), catcher vessel, gear type, trip dates,
carrier name, unloading dates, and location of unloading. Where the
processor indicates the tuna is eligible to be labeled dolphin-safe
under Sec. 216.91, it must enclose the certifications required by that
section.
(ii) Import receipts: In addition to the information required in
paragraph (d)(2)(i) of this section, a copy of the FCO for each imported
receipt must be provided.
(3) Tuna processors must report on a monthly basis the amounts of
ETP-caught tuna that were immediately utilized upon receipt or removed
from cold storage. This report may be submitted in conjunction with the
monthly report required in paragraph (d)(2) of this section. This report
must contain:
(i) The date of removal from cold storage or disposition;
(ii) Storage container or lot identifier number(s) and dolphin-safe
or non-dolphin-safe designation of each container or lot; and
(iii) Details of the disposition of fish (for example, canning,
sale, rejection, etc.).
(4) During canning activities, non-dolphin-safe tuna may not be
mixed in any manner or at any time during processing with any dolphin-
safe tuna or tuna products and may not share the same storage
containers, cookers, conveyers, tables, or other canning and labeling
machinery.
(e) Tracking processor operations other than cannery operations.
U.S. tuna processors other than cannery operations engaged in processing
tuna products, including frozen, dried, or smoked tuna products, must
submit a report to the Administrator, Southwest Region that includes the
information set out in Sec. 216.93(d)(2) and (3) on a monthly basis for
all tuna received at their processing facilities that will be included
in any tuna product labeled dolphin-safe.
(f) Tracking imports. All tuna products, except fresh tuna, that are
imported into the United States must be accompanied as described in
Sec. 216.24(f)(3) by a properly certified FCO as required by Sec.
216.24(f)(2). For tuna tracking purposes, copies of FCOs and associated
certifications and statements must be submitted by the importer of
record to U.S. Customs and Border Protection as described in and
required by Sec. 216.24(f)(2).
(g) Verification requirements. (1) Record maintenance. Any exporter,
transshipper, importer, processor, or wholesaler/distributor of any tuna
or tuna products must maintain records related to that tuna for at least
2 years. These records include, but are not limited to: FCOs and
required certifications, any reports required in paragraphs (a), (b),
(d) and (e) of this section, invoices, other import documents, and trip
reports.
(2) Record submission. At the time of, or in advance of, importation
of a shipment of tuna or tuna products, any importer of tuna or tuna
products must submit all corresponding FCOs and required certifications
and statements for those tuna or tuna products as required by Sec.
216.24(f)(2).
(3) Audits and spot checks. Upon request of the Administrator,
Southwest Region, any exporter, transshipper, importer, processor, or
wholesaler/distributor of tuna or tuna products must provide the
Administrator, Southwest Region, timely access to all pertinent
[[Page 81]]
records and facilities to allow for audits and spot-checks on caught,
landed, stored, and processed tuna.
(h) Confidentiality of proprietary information. Information
submitted to the Assistant Administrator under this section will be
treated as confidential in accordance with NOAA Administrative Order
216-100 ``Protection of Confidential Fisheries Statistics.''
[78 FR 41002, July 9, 2013, as amended at 81 FR 51133, Aug. 3, 2016]
Sec. 216.94 False statements or endorsements.
Any person who knowingly and willfully makes a false statement or
false endorsement required by Sec. 216.92 is liable for a civil penalty
not to exceed $100,000, that may be assessed in an action brought in any
appropriate District Court of the United States on behalf of the
Secretary.
[61 FR 27794, June 3, 1996. Redesignated at 69 FR 55307, Sept. 13, 2004]
Sec. 216.95 Official mark for ``Dolphin-safe'' tuna products.
(a) This is the ``official mark'' (see figure 1) designated by the
United States Department of Commerce that may be used to label tuna
products that meet the ``dolphin-safe'' standards set forth in the
Dolphin Protection Consumer Information Act, 16 U.S.C. 1385, and
implementing regulations at Sec. Sec. 216.91 through 216.94:
[GRAPHIC] [TIFF OMITTED] TR30MY00.019
[[Page 82]]
(b) Location and size of the official mark. The official mark on
labels must allow the consumer to identify the official mark and be
similar in design and scale to figure 1. A full color version of the
official mark is available at https://www.fisheries .noaa.gov/ national/
marine-mammal-protection/ dolphin-safe-official-mark.
[65 FR 34410, May 30, 2000. Redesignated at 69 FR 55307, Sept. 13, 2004,
as amended at 83 FR 3626, Jan. 26, 2018]
Subpart I_General Regulations Governing Small Takes of Marine Mammals
Incidental to Specified Activities
Source: 61 FR 15887, Apr. 10, 1996, unless otherwise noted.
Sec. 216.101 Purpose.
The regulations in this subpart implement section 101(a)(5) (A)
through (D) of the Marine Mammal Protection Act of 1972, as amended, 16
U.S.C. 1371(a)(5), which provides a mechanism for allowing, upon
request, the incidental, but not intentional, taking of small numbers of
marine mammals by U.S. citizens who engage in a specified activity
(other than commercial fishing) within a specified geographic region.
Sec. 216.102 Scope.
The taking of small numbers of marine mammals under section
101(a)(5) (A) through (D) of the Marine Mammal Protection Act may be
allowed only if the National Marine Fisheries Service:
(a) Finds, based on the best scientific evidence available, that the
total taking by the specified activity during the specified time period
will have a negligible impact on species or stock of marine mammal(s)
and will not have an unmitigable adverse impact on the availability of
those species or stocks of marine mammals intended for subsistence uses;
(b) Prescribes either regulations under Sec. 216.106, or
requirements and conditions contained within an incidental harassment
authorization issued under Sec. 216.107, setting forth permissible
methods of taking and other means of effecting the least practicable
adverse impact on the species or stock of marine mammal and its habitat
and on the availability of the species or stock of marine mammal for
subsistence uses, paying particular attention to rookeries, mating
grounds, and areas of similar significance; and
(c) Prescribes either regulations or requirements and conditions
contained within an incidental harassment authorization, as appropriate,
pertaining to the monitoring and reporting of such taking. The specific
regulations governing certain specified activities are contained in
subsequent subparts of this part.
Sec. 216.103 Definitions.
In addition to definitions contained in the MMPA, and in Sec.
216.3, and unless the context otherwise requires, in subsequent subparts
to this part:
Arctic waters means the marine and estuarine waters north of 60[deg]
N. lat.
Citizens of the United States and U.S. citizens mean individual U.S.
citizens or any corporation or similar entity if it is organized under
the laws of the United States or any governmental unit defined in 16
U.S.C. 1362(13). U.S. Federal, state and local government agencies shall
also constitute citizens of the United States for purposes of this part.
Incidental harassment, incidental taking and incidental, but not
intentional, taking all mean an accidental taking. This does not mean
that the taking is unexpected, but rather it includes those takings that
are infrequent, unavoidable or accidental. (A complete definition of
``take'' is contained in Sec. 216.3).
Negligible impact is an impact resulting from the specified activity
that cannot be reasonably expected to, and is not reasonably likely to,
adversely affect the species or stock through effects on annual rates of
recruitment or survival.
Small numbers means a portion of a marine mammal species or stock
whose taking would have a negligible impact on that species or stock.
Specified activity means any activity, other than commercial
fishing, that takes place in a specified geographical region and
potentially involves the
[[Page 83]]
taking of small numbers of marine mammals.
Specified geographical region means an area within which a specified
activity is conducted and that has certain biogeographic
characteristics.
Unmitigable adverse impact means an impact resulting from the
specified activity:
(1) That is likely to reduce the availability of the species to a
level insufficient for a harvest to meet subsistence needs by:
(i) Causing the marine mammals to abandon or avoid hunting areas;
(ii) Directly displacing subsistence users; or
(iii) Placing physical barriers between the marine mammals and the
subsistence hunters; and
(2) That cannot be sufficiently mitigated by other measures to
increase the availability of marine mammals to allow subsistence needs
to be met.
Sec. 216.104 Submission of requests.
(a) In order for the National Marine Fisheries Service to consider
authorizing the taking by U.S. citizens of small numbers of marine
mammals incidental to a specified activity (other than commercial
fishing), or to make a finding that an incidental take is unlikely to
occur, a written request must be submitted to the Assistant
Administrator. All requests must include the following information for
their activity:
(1) A detailed description of the specific activity or class of
activities that can be expected to result in incidental taking of marine
mammals;
(2) The date(s) and duration of such activity and the specific
geographical region where it will occur;
(3) The species and numbers of marine mammals likely to be found
within the activity area;
(4) A description of the status, distribution, and seasonal
distribution (when applicable) of the affected species or stocks of
marine mammals likely to be affected by such activities;
(5) The type of incidental taking authorization that is being
requested (i.e., takes by harassment only; takes by harassment, injury
and/or death) and the method of incidental taking;
(6) By age, sex, and reproductive condition (if possible), the
number of marine mammals (by species) that may be taken by each type of
taking identified in paragraph (a)(5) of this section, and the number of
times such takings by each type of taking are likely to occur;
(7) The anticipated impact of the activity upon the species or stock
of marine mammal;
(8) The anticipated impact of the activity on the availability of
the species or stocks of marine mammals for subsistence uses;
(9) The anticipated impact of the activity upon the habitat of the
marine mammal populations, and the likelihood of restoration of the
affected habitat;
(10) The anticipated impact of the loss or modification of the
habitat on the marine mammal populations involved;
(11) The availability and feasibility (economic and technological)
of equipment, methods, and manner of conducting such activity or other
means of effecting the least practicable adverse impact upon the
affected species or stocks, their habitat, and on their availability for
subsistence uses, paying particular attention to rookeries, mating
grounds, and areas of similar significance;
(12) Where the proposed activity would take place in or near a
traditional Arctic subsistence hunting area and/or may affect the
availability of a species or stock of marine mammal for Arctic
subsistence uses, the applicant must submit either a plan of cooperation
or information that identifies what measures have been taken and/or will
be taken to minimize any adverse effects on the availability of marine
mammals for subsistence uses. A plan must include the following:
(i) A statement that the applicant has notified and provided the
affected subsistence community with a draft plan of cooperation;
(ii) A schedule for meeting with the affected subsistence
communities to discuss proposed activities and to resolve potential
conflicts regarding any aspects of either the operation or the plan of
cooperation;
(iii) A description of what measures the applicant has taken and/or
will
[[Page 84]]
take to ensure that proposed activities will not interfere with
subsistence whaling or sealing; and
(iv) What plans the applicant has to continue to meet with the
affected communities, both prior to and while conducting the activity,
to resolve conflicts and to notify the communities of any changes in the
operation;
(13) The suggested means of accomplishing the necessary monitoring
and reporting that will result in increased knowledge of the species,
the level of taking or impacts on populations of marine mammals that are
expected to be present while conducting activities and suggested means
of minimizing burdens by coordinating such reporting requirements with
other schemes already applicable to persons conducting such activity.
Monitoring plans should include a description of the survey techniques
that would be used to determine the movement and activity of marine
mammals near the activity site(s) including migration and other habitat
uses, such as feeding. Guidelines for developing a site-specific
monitoring plan may be obtained by writing to the Director, Office of
Protected Resources; and
(14) Suggested means of learning of, encouraging, and coordinating
research opportunities, plans, and activities relating to reducing such
incidental taking and evaluating its effects.
(b)(1) The Assistant Administrator shall determine the adequacy and
completeness of a request and, if determined to be adequate and
complete, will begin the public review process by publishing in the
Federal Register either:
(i) A proposed incidental harassment authorization; or
(ii) A notice of receipt of a request for the implementation or
reimplementation of regulations governing the incidental taking.
(2) Through notice in the Federal Register, newspapers of general
circulation, and appropriate electronic media in the coastal areas that
may be affected by such activity, NMFS will invite information,
suggestions, and comments for a period not to exceed 30 days from the
date of publication in the Federal Register. All information and
suggestions will be considered by the National Marine Fisheries Service
in developing, if appropriate, the most effective regulations governing
the issuance of letters of authorization or conditions governing the
issuance of an incidental harassment authorization.
(3) Applications that are determined to be incomplete or
inappropriate for the type of taking requested, will be returned to the
applicant with an explanation of why the application is being returned.
(c) The Assistant Administrator shall evaluate each request to
determine, based upon the best available scientific evidence, whether
the taking by the specified activity within the specified geographic
region will have a negligible impact on the species or stock and, where
appropriate, will not have an unmitigable adverse impact on the
availability of such species or stock for subsistence uses. If the
Assistant Administrator finds that the mitigating measures would render
the impact of the specified activity negligible when it would not
otherwise satisfy that requirement, the Assistant Administrator may make
a finding of negligible impact subject to such mitigating measures being
successfully implemented. Any preliminary findings of ``negligible
impact'' and ``no unmitigable adverse impact'' shall be proposed for
public comment along with either the proposed incidental harassment
authorization or the proposed regulations for the specific activity.
(d) If, subsequent to the public review period, the Assistant
Administrator finds that the taking by the specified activity would have
more than a negligible impact on the species or stock of marine mammal
or would have an unmitigable adverse impact on the availability of such
species or stock for subsistence uses, the Assistant Administrator shall
publish in the Federal Register the negative finding along with the
basis for denying the request.
Sec. 216.105 Specific regulations.
(a) For all petitions for regulations under this paragraph,
applicants must provide the information requested in Sec. 216.104(a) on
their activity as a whole, which includes, but is not necessarily
[[Page 85]]
limited to, an assessment of total impacts by all persons conducting the
activity.
(b) For allowed activities that may result in incidental takings of
small numbers of marine mammals by harassment, serious injury, death or
a combination thereof, specific regulations shall be established for
each allowed activity that set forth:
(1) Permissible methods of taking;
(2) Means of effecting the least practicable adverse impact on the
species and its habitat and on the availability of the species for
subsistence uses; and
(3) Requirements for monitoring and reporting, including
requirements for the independent peer-review of proposed monitoring
plans where the proposed activity may affect the availability of a
species or stock for taking for subsistence uses.
(c) Regulations will be established based on the best available
information. As new information is developed, through monitoring,
reporting, or research, the regulations may be modified, in whole or in
part, after notice and opportunity for public review.
Sec. 216.106 Letter of Authorization.
(a) A Letter of Authorization, which may be issued only to U.S.
citizens, is required to conduct activities pursuant to any regulations
established under Sec. 216.105. Requests for Letters of Authorization
shall be submitted to the Director, Office of Protected Resources. The
information to be submitted in a request for an authorization will be
specified in the appropriate subpart to this part or may be obtained by
writing to the above named person.
(b) Issuance of a Letter of Authorization will be based on a
determination that the level of taking will be consistent with the
findings made for the total taking allowable under the specific
regulations.
(c) Letters of Authorization will specify the period of validity and
any additional terms and conditions appropriate for the specific
request.
(d) Notice of issuance of all Letters of Authorization will be
published in the Federal Register within 30 days of issuance.
(e) Letters of Authorization shall be withdrawn or suspended, either
on an individual or class basis, as appropriate, if, after notice and
opportunity for public comment, the Assistant Administrator determines
that:
(1) The regulations prescribed are not being substantially complied
with; or
(2) The taking allowed is having, or may have, more than a
negligible impact on the species or stock or, where relevant, an
unmitigable adverse impact on the availability of the species or stock
for subsistence uses.
(f) The requirement for notice and opportunity for public review in
Sec. 216.106(e) shall not apply if the Assistant Administrator
determines that an emergency exists that poses a significant risk to the
wellbeing of the species or stocks of marine mammals concerned.
(g) A violation of any of the terms and conditions of a Letter of
Authorization or of the specific regulations shall subject the Holder
and/or any individual who is operating under the authority of the
Holder's Letter of Authorization to penalties provided in the MMPA.
Sec. 216.107 Incidental harassment authorization for Arctic waters.
(a) Except for activities that have the potential to result in
serious injury or mortality, which must be authorized under Sec.
216.105, incidental harassment authorizations may be issued, following a
30-day public review period, to allowed activities that may result in
only the incidental harassment of a small number of marine mammals. Each
such incidental harassment authorization shall set forth:
(1) Permissible methods of taking by harassment;
(2) Means of effecting the least practicable adverse impact on the
species, its habitat, and on the availability of the species for
subsistence uses; and
(3) Requirements for monitoring and reporting, including
requirements for the independent peer-review of proposed monitoring
plans where the proposed activity may affect the availability of a
species or stock for taking for subsistence uses.
(b) Issuance of an incidental harassment authorization will be based
on a determination that the number of marine mammals taken by harassment
[[Page 86]]
will be small, will have a negligible impact on the species or stock of
marine mammal(s), and will not have an unmitigable adverse impact on the
availability of species or stocks for taking for subsistence uses.
(c) An incidental harassment authorization will be either issued or
denied within 45 days after the close of the public review period.
(d) Notice of issuance or denial of an incidental harassment
authorization will be published in the Federal Register within 30 days
of issuance of a determination.
(e) Incidental harassment authorizations will be valid for a period
of time not to exceed 1 year but may be renewed for additional periods
of time not to exceed 1 year for each reauthorization.
(f) An incidental harassment authorization shall be modified,
withdrawn, or suspended if, after notice and opportunity for public
comment, the Assistant Administrator determines that:
(1) The conditions and requirements prescribed in the authorization
are not being substantially complied with; or
(2) The authorized taking, either individually or in combination
with other authorizations, is having, or may have, more than a
negligible impact on the species or stock or, where relevant, an
unmitigable adverse impact on the availability of the species or stock
for subsistence uses.
(g) The requirement for notice and opportunity for public review in
paragraph (f) of this section shall not apply if the Assistant
Administrator determines that an emergency exists that poses a
significant risk to the well-being of the species or stocks of marine
mammals concerned.
(h) A violation of any of the terms and conditions of an incidental
harassment authorization shall subject the holder and/or any individual
who is operating under the authority of the holder's incidental
harassment authorization to penalties provided in the MMPA.
Sec. 216.108 Requirements for monitoring and reporting under
incidental harassment authorizations for Arctic waters.
(a) Holders of an incidental harassment authorization in Arctic
waters and their employees, agents, and designees must cooperate with
the National Marine Fisheries Service and other designated Federal,
state, or local agencies to monitor the impacts of their activity on
marine mammals. Unless stated otherwise within an incidental harassment
authorization, the holder of an incidental harassment authorization
effective in Arctic waters must notify the Alaska Regional Director,
National Marine Fisheries Service, of any activities that may involve a
take by incidental harassment in Arctic waters at least 14 calendar days
prior to commencement of the activity.
(b) Holders of incidental harassment authorizations effective in
Arctic waters may be required by their authorization to designate at
least one qualified biological observer or another appropriately
experienced individual to observe and record the effects of activities
on marine mammals. The number of observers required for monitoring the
impact of the activity on marine mammals will be specified in the
incidental harassment authorization. If observers are required as a
condition of the authorization, the observer(s) must be approved in
advance by the National Marine Fisheries Service.
(c) The monitoring program must, if appropriate, document the
effects (including acoustical) on marine mammals and document or
estimate the actual level of take. The requirements for monitoring
plans, as specified in the incidental harassment authorization, may vary
depending on the activity, the location, and the time.
(d) Where the proposed activity may affect the availability of a
species or stock of marine mammal for taking for subsistence purposes,
proposed monitoring plans or other research proposals must be
independently peer-reviewed prior to issuance of an incidental
harassment authorization under this subpart. In order to complete the
peer-review process within the time frames mandated by the MMPA for an
[[Page 87]]
incidental harassment authorization, a proposed monitoring plan
submitted under this paragraph must be submitted to the Assistant
Administrator no later than the date of submission of the application
for an incidental harassment authorization. Upon receipt of a complete
monitoring plan, and at its discretion, the National Marine Fisheries
Service will either submit the plan to members of a peer review panel
for review or within 60 days of receipt of the proposed monitoring plan,
schedule a workshop to review the plan. The applicant must submit a
final monitoring plan to the Assistant Administrator prior to the
issuance of an incidental harassment authorization.
(e) At its discretion, the National Marine Fisheries Service may
place an observer aboard vessels, platforms, aircraft, etc., to monitor
the impact of activities on marine mammals.
(f)(1) As specified in the incidental harassment authorization, the
holder of an incidental harassment authorization for Arctic waters must
submit reports to the Assistant Administrator within 90 days of
completion of any individual components of the activity (if any), within
90 days of completion of the activity, but no later than 120 days prior
to expiration of the incidental harassment authorization, whichever is
earlier. This report must include the following information:
(i) Dates and type(s) of activity;
(ii) Dates and location(s) of any activities related to monitoring
the effects on marine mammals; and
(iii) Results of the monitoring activities, including an estimate of
the actual level and type of take, species name and numbers of each
species observed, direction of movement of species, and any observed
changes or modifications in behavior.
(2) Monitoring reports will be reviewed by the Assistant
Administrator and, if determined to be incomplete or inaccurate, will be
returned to the holder of the authorization with an explanation of why
the report is being returned. If the authorization holder disagrees with
the findings of the Assistant Administrator, the holder may request an
independent peer review of the report. Failure to submit a complete and
accurate report may result in a delay in processing future authorization
requests.
(g) Results of any behavioral, feeding, or population studies, that
are conducted supplemental to the monitoring program, should be made
available to the National Marine Fisheries Service before applying for
an incidental harassment authorization for the following year.
Subpart J_Taking of Eastern North Pacific (ENP) Gray Whales
(Eschrichtius robustus) by the Makah Indian Tribe Off the Coast of
Washington State
Source: 89 FR 51636, June 18, 2024, unless otherwise noted.
Sec. 216.110 Purpose.
The purpose of this subpart is to establish regulations governing
the take of whales from the Eastern North Pacific (ENP) gray whale
(Eschrichtius robustus) stock by the Makah Indian Tribe and its enrolled
members in accordance with the Secretary's determination to issue a
waiver of the Marine Mammal Protection Act (MMPA) take moratorium
pursuant to 16 U.S.C. 1371(a)(3).
Sec. 216.111 Scope.
This subpart authorizes the taking of ENP gray whales only by
enrolled members of the Makah Indian Tribe only.
Sec. 216.112 Definitions.
In addition to the definitions provided in the MMPA, for purposes of
this subpart, the following definitions apply:
Barter means the exchange of parts from gray whales taken under this
subpart for other wildlife or fish or their parts or for other food or
for nonedible items other than money if the exchange is of a
noncommercial nature.
Bonilla-Tatoosh Line means the line running from the western end of
Cape Flattery (48[deg]22[min]53[sec] N lat., 124[deg]43[min]54[sec] W
long.) to Tatoosh Island Lighthouse (48[deg]23[min]30[sec] N lat.,
124[deg]44[min]12[sec] W long.) to the buoy adjacent to Duntze Rock
(48[deg]28[min]00[sec] N lat., 124[deg]45[min]00[sec] W long.), then in
a straight line to Bonilla Point
[[Page 88]]
(48[deg]35[min]30[sec] N lat., 124[deg]43[min]00[sec] W long.) on
Vancouver Island, British Columbia.
Calf means any gray whale less than 1 year old.
Enrolled member or member of the Makah Indian Tribe means a person
whose name appears on the membership roll maintained by the Makah Tribal
Council.
ENP gray whale means a member of the Eastern North Pacific stock of
gray whales (Eschrichtius robustus).
Export means the act of sending goods from one country to another.
Gray whale means a member of the species Eschrichtius robustus.
Harpooner means a member of the Makah Indian Tribe who has been
certified by the Tribe as having demonstrated the qualifications
commensurate with the duties and responsibilities of harpooning a gray
whale.
Hunt and hunting mean to pursue, strike, harpoon, shoot, or land a
gray whale under a hunt permit issued under Sec. 216.113(b) or to
attempt any such act, but does not include hunting approaches, training
approaches, or training harpoon throws. As a noun, hunt also means any
act of hunting.
Hunt permit means a permit issued by NMFS in accordance with 16
U.S.C. 1374 and this subpart.
Hunting approach means to cause, in any manner, a vessel to be
within 100 yards (91.5 m) of a gray whale during a hunt.
Land and landing mean bringing a gray whale or any products thereof
onto the land in the course of hunting.
Makah Indian handicrafts means articles made by a member of the
Makah Indian Tribe that contain any nonedible products of an ENP gray
whale that was obtained pursuant to a permit issued under this subpart,
are significantly altered from their natural form, and are produced,
decorated, or fashioned in the exercise of traditional Makah Indian
handicrafts without the use of pantographs, multiple carvers, or similar
mass copying devices. Makah Indian handicrafts include, but are not
limited to, articles that are carved, beaded, drawn, or painted.
Makah Indian Tribe or Tribe means the Makah Indian Tribe of the
Makah Indian Reservation as described in the list of federally
recognized Indian tribes maintained by the U.S. Department of the
Interior.
Minimum population estimate for Pacific Coast Feeding Group (PCFG)
gray whales is the lower 20th percentile of the PCFG population
estimate.
NMFS means the National Marine Fisheries Service.
NMFS hunt observer means a person designated by NMFS to accompany
and observe a hunt.
Pacific Coast Feeding Group (PCFG) gray whale or PCFG whale means an
ENP gray whale photo-identified during 2 or more years between June 1
and November 30 within the region between northern California and
northern Vancouver Island (from 41[deg] N lat. to 52[deg] N lat.) and
entered into a photo-identification catalog(s) recognized by the
Regional Administrator.
PCFG population estimate means an abundance estimate based on data
derived from photo-identification surveys and catalog(s) recognized by
the Regional Administrator. Such data will also be the basis for
projecting PCFG population estimates in future hunting seasons.
Recordkeeping and reporting mean the collection and delivery of
photographs, biological data, harvest data, and other information
regarding activities conducted under the authority of this subpart.
Regional Administrator means the Regional Administrator of NMFS for
the West Coast Region.
Rifleman means a member of the Makah Indian Tribe who has been
certified by the Tribe as having demonstrated the qualifications
commensurate with the duties and responsibilities of shooting a gray
whale.
Safety officer means a member of the Makah Indian Tribe who has been
certified by the Tribe as having demonstrated the qualifications
commensurate with the duties and responsibilities of evaluating hunt
conditions including, but not limited to visibility, target range and
bearing, and sea condition.
Share means to voluntarily transfer or gift edible or nonedible
parts from gray whales taken under this subpart to another person
without compensation.
[[Page 89]]
Strike or struck means to cause a harpoon, darting gun, or other
weapon, or a projectile from a rifle or other weapon, to penetrate a
gray whale's skin or an instance in which a gray whale's skin is
penetrated by such a weapon or projectile during hunting. Multiple
strikes on the same whale are considered a single strike.
Struck and lost refers to a gray whale that is struck but not
landed.
Summer/fall hunt means a hunting season spanning 4 consecutive
months from July 1 to October 31.
Training approach means to cause, in any manner, a training vessel
to be within 100 yards (91.5 m) of a gray whale.
Training harpoon throw means an attempt to contact a gray whale with
a blunted spear-like device that is incapable of penetrating the skin of
a gray whale.
Training vessel means a canoe or other watercraft used to train for
a hunt that does not carry weapons ordinarily used by a harpooner or
rifleman to strike a gray whale.
Tribal hunt observer means a Tribal member or representative
designated by the Tribe who has been certified by the Tribe as having
demonstrated the qualifications commensurate with the duties and
responsibilities of monitoring and reporting on a hunt.
U&A or Makah Indian Tribe's U&A means the Tribe's usual and
accustomed fishing grounds, which area consists of the United States
waters in the western Strait of Juan de Fuca west of
123[deg]42[min]17[sec] W long. and waters of the Pacific Ocean off the
mainland shoreline of the Washington coast north of
48[deg]02[min]15[sec] N lat. (Norwegian Memorial) and east of
125[deg]44[min]00[sec] W long.
Unsuccessful strike attempt means any attempt to strike a gray whale
while hunting that does not result in a strike.
Western North Pacific (WNP) gray whale means a member of the Western
North Pacific stock of gray whales (Eschrichtius robustus).
Whaling captain means a member of the Makah Indian Tribe who has
been certified by the Tribe as having demonstrated the qualifications
commensurate with the duties and responsibilities of leading a hunt and
is authorized by the Makah Indian Tribe to be in control of the whaling
crew.
Whaling crew means those members of the Makah Indian Tribe taking
part in a hunt under the control of a whaling captain, not including the
Tribal hunt observer.
Winter/spring hunt means a hunting season spanning 6 consecutive
months from December 1 to May 31 of the calendar year following a
summer/fall hunt.
Sec. 216.113 Issuance and duration of permits.
(a) Application. (1) To obtain an initial hunt permit, the Makah
Indian Tribe must submit an application to the Regional Administrator
signed by an official of the Makah Tribal Council that contains the
following information and statements:
(i) The proposed duration of the permit;
(ii) The maximum number of gray whales to be subjected to hunting or
training approaches, struck, landed, and subjected to unsuccessful
strike attempts;
(iii) A demonstration that the proposed method of taking is humane;
(iv) A demonstration that the proposed taking is consistent with
this subpart;
(v) A copy of the currently enacted Makah Indian Tribal ordinance
governing whaling by Makah Indian Tribal members;
(vi) A description of the certification process for whaling
captains, riflemen, harpooners, Tribal hunt observers, and safety
officers, including any guidelines or manuals used by the Tribe to
certify such persons;
(vii) Any additional hunt permit conditions proposed by the Tribe
and a justification for the proposed conditions; and
(viii) Any modification to this subpart sought by the Tribe and a
justification for the proposed modification.
(2) To obtain subsequent hunt permits, the Makah Indian Tribe must
submit an application to the Regional Administrator, signed by an
official of
[[Page 90]]
the Makah Tribal Council, that contains the information required in
paragraph (a)(1) of this section and the following information and
statements:
(i) A description of how the Makah Indian Tribe has complied with
the requirements of this subpart and previously issued hunt permits;
(ii) A description of circumstances associated with gray whale(s)
struck and lost under the most recently issued hunt permit, a
description of the measures taken to retrieve such whale(s), and a
description of measures taken by the Makah Indian Tribe to minimize
future incidents of struck and lost gray whales; and
(iii) A description of products obtained from gray whales landed
under the most recently issued hunt permit, including a description of
the disposition of any gray whale products deemed unsuitable for use by
Makah Indian Tribal members.
(3) The Regional Administrator will notify the Makah Indian Tribe of
receipt of the application and will review the application for
completeness. Incomplete applications will be returned with explanation.
If the Makah Indian Tribe fails to resubmit a complete application
within 60 days, the application will be deemed withdrawn.
(4) After receipt of a complete application and the preparation of
any National Environmental Policy Act (NEPA) documentation that the
Regional Administrator has determined to be necessary, the Regional
Administrator will publish a notice of receipt in the Federal Register
and review the application as required by 16 U.S.C. 1374.
(b) Issuance. (1) The Regional Administrator may issue hunt permits
to the Makah Indian Tribe authorizing hunting of ENP gray whales, as
well as hunting approaches, training approaches, and training harpoon
throws by enrolled members in accordance with 16 U.S.C. 1374 and the
requirements of this subpart.
(2) The Regional Administrator may not authorize hunting, hunting
approaches, training approaches, or training harpoon throws from
December 1 through May 31 unless:
(i) The Tribe has obtained separate authorization to take WNP gray
whales under any applicable provision of the MMPA; or
(ii) The Regional Administrator determines, in consultation with the
NMFS Office of Protected Resources, that take of WNP gray whales is not
anticipated.
(3) The Regional Administrator may not authorize hunting unless the
population of the ENP gray whale stock is within its Optimum Sustainable
Population (OSP) and the hunting authorized under the permit would not
cause the stock to diminish below OSP.
(4) The duration of the initial hunt permit may not exceed 3 years
from its effective date, and thereafter the duration of a hunt permit
may not exceed 5 years.
(5) Each hunt permit will specify the following terms and
conditions:
(i) Those terms required by 16 U.S.C. 1374(b);
(ii) The limits established under Sec. 216.114(c);
(iii) The area where hunts, hunting approaches, training approaches,
and training harpoon throws are allowed, which will be limited to the
waters of the Makah Indian Tribe's U&A west of the Bonilla-Tatoosh Line
except as provided in Sec. 216.117(a)(9), and any site and time
restrictions to protect Olympic Coast National Marine Sanctuary
resources pursuant to consultation under 16 U.S.C. 1434(d) of the
National Marine Sanctuaries Act;
(iv) The beginning and ending dates in each calendar year when the
Makah Tribe may engage in hunting activities, as described in Sec.
216.114(a), and training activities, as described in Sec. 216.114(b);
(v) The type and timing of notice that the Makah Indian Tribe must
provide to NMFS before issuing a Tribal whaling permit authorizing a
hunt, hunting approaches, training approaches, or training harpoon
throws;
(vi) Measures to be taken by the hunt permit holder to provide for
the safety of the whaling crew, the public, and others during a hunt;
(vii) That the hunt permit authorizes only the take of ENP gray
whales and not the take of any other marine mammals; and
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(viii) Such other provisions as the Regional Administrator deems
necessary.
(6) Before issuing a hunt permit, the Regional Administrator must
make the following determinations:
(i) The authorized manner of hunting is humane;
(ii) The Makah Indian Tribe has enacted a Tribal ordinance governing
hunting that is consistent with this subpart;
(iii) The Makah Indian Tribe has in place certification procedures
for whaling captains, riflemen, harpooners, Tribal hunt observers, and
safety officers and a process to ensure compliance with those
procedures;
(iv) There are adequate photo-identification catalogs and processes
available to allow for the identification of WNP gray whales and PCFG
whales as described in Sec. 216.115(b);
(v) The most recent PCFG population estimate is at least 192 whales
and the associated minimum population estimate is at least 171 whales;
(vi) The PCFG population estimate for the first hunting season
covered by the permit is projected to be at least 192 whales and the
associated minimum population estimate is projected to be at least 171
whales;
(vii) Whether take authorization for WNP gray whales is required by
the permit for the winter/spring hunt, or, if not, that the Regional
Administrator, in consultation with the Office of Protected Resources,
has determined that take of WNP gray whales is not anticipated;
(viii) The population of the ENP gray whale stock is within its OSP
and the hunting authorized in the permit will not cause the stock to
diminish below OSP; and
(ix) Except for the initial hunt permit, before issuing a hunt
permit the Regional Administrator must determine that the Makah Indian
Tribe has complied with the requirements of this subpart and all prior
permit terms and conditions, or if the Makah Indian Tribe has not fully
complied, that it has adopted measures to ensure compliance.
Sec. 216.114 Hunt management requirements and restrictions.
(a) Hunting seasons. Summer/fall hunts and hunting approaches will
only be authorized from July 1 through October 31, and winter/spring
hunts and hunting approaches will only be authorized from December 1
through May 31 of the following calendar year, provided that:
(1) Throughout the duration of the waiver, the authorized hunting
dates will alternate between winter/spring hunts and summer/fall hunts,
with winter/spring hunts starting in December of the same calendar year
as a summer/fall hunt and summer/fall hunts starting in the calendar
year following the year in which a winter/spring hunt has ended;
(2) If the start date in the initial hunt permit falls within a
winter/spring hunt period, the subsequent summer/fall hunt will commence
in the calendar year following the ending date of said winter/spring
hunt; and
(3) If the start date in the initial hunt permit of the initial hunt
season falls within a summer/fall hunt period, the subsequent winter/
spring hunt will commence in December of the same calendar year as said
summer/fall hunt.
(b) Training period. Hunt permits may authorize training approaches
in any month and training harpoon throws in any month, except as
provided in paragraph (c)(2) of this section and provided all necessary
authorizations have been obtained. The authorized training period shall
be specified in the permit, as provided in Sec. 216.113(b)(5)(iv).
(c) Hunting and training limits. The following limits on the number
of ENP gray whales approached, subjected to unsuccessful strike
attempts, struck, struck and lost, and landed apply.
(1) A hunt permit may authorize no more than 353 approaches,
including both hunting and training approaches, each calendar year of
which no more than 142 of such approaches may be on PCFG whales. Any
hunting approach on a gray whale that has already been struck will not
count against these limits.
(2) A hunt permit may authorize no more than 18 unsuccessful strike
attempts during winter/spring hunts and
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no more than 12 unsuccessful strike attempts during summer/fall hunts.
Any unsuccessful strike attempt on a gray whale that has already been
struck will not count against these limits. Training harpoon throws may
be authorized between July 1 and October 31 in years of summer/fall
hunts and at any time during winter/spring hunts as well as the
subsequent 7 months of the calendar year in which those winter/spring
hunts end. Each training harpoon throw will count against the
unsuccessful strike attempt limit during the calendar year in which the
harpoon throw is made.
(3) A hunt permit may authorize no more than three ENP gray whales
to be struck in a winter/spring hunt and no more than two ENP gray
whales to be struck in a summer/fall hunt. Multiple strikes on the same
whale will count as a single strike. In a winter/spring hunt, a hunt
permit may authorize no more than one ENP gray whale to be struck within
the 24-hour period commencing at the time of the initial strike against
the whale. The Regional Administrator may authorize the full number of
ENP gray whales to be struck in the initial hunt permit and will adjust
strikes downward in subsequent permits if necessary to ensure that no
more than 16 PCFG whales are struck over the waiver period, of which no
more than 8 struck whales may be PCFG females.
(4) A hunt permit may authorize no more than three ENP gray whales
to be struck and lost in any calendar year.
(5) A hunt permit may authorize no more than three ENP gray whales
to be landed in a winter/spring hunt and no more than one ENP gray whale
to be landed in a summer/fall hunt; the number of ENP gray whales that
the hunt permit may authorize to be landed in any calendar year will not
exceed the number agreed between the United States and the Russian
Federation as the United States' share of the catch limit established by
the International Whaling Commission.
(d) Limits on PCFG whales. (1) Thirty days prior to the beginning of
a hunting season specified in paragraph (a) of this section, the
Regional Administrator will notify the Makah Indian Tribe in writing of
the maximum number of PCFG whales, including females, that may be struck
during the upcoming hunting season. The limit will take into account the
abundance of PCFG whales relative to the conditions specified under
Sec. 216.113(b)(6)(v) and (vi) and the number of strikes made on PCFG
whales as described under paragraph (c)(3) of this section.
(2) By November 1 of each year, the Regional Administrator will
notify the Makah Indian Tribe in writing of the proportion of gray
whales in the hunt area that will be presumed to be PCFG whales and the
proportion of PCFG whales that will be presumed to be females for each
month of the upcoming calendar year. The presumed proportion of PCFG
whales will be based on the best available evidence for the months of
December through May and will be 100 percent for the months of June
through November. The presumed proportion of female PCFG whales will be
based on the best available information for each month. These
proportions will be used for purposes of accounting for PCFG whales that
are not otherwise identified or accounted for as provided under Sec.
216.115(b).
(3) The Regional Administrator will notify the Makah Indian Tribe in
writing when the Tribe has reached the limit of PCFG whales that may be
struck in any hunting season.
(4) Notwithstanding the limits specified in this section, no hunting
will be authorized for an upcoming season if the Regional Administrator
determines, and notifies the Makah Indian Tribe pursuant to paragraph
(d)(1) of this section, that either of the following conditions applies:
(i) The most recent PCFG population estimate, based on photo-
identification surveys, is less than 192 whales or the associated
minimum population estimate is less than 171 whales; or
(ii) The PCFG population estimate for the upcoming hunting season is
projected to be less than 192 whales or the associated minimum
population estimate is projected to be less than 171 whales.
(e) ENP gray whales. If the Regional Administrator determines and
notifies the Makah Indian Tribe in writing that the population of the
ENP gray whale stock has fallen below OSP, hunting
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must cease until the Regional Administrator notifies the Tribe in
writing that the stock has obtained OSP.
(f) WNP gray whales. The hunt permit will provide that in the event
the Regional Administrator determines a WNP gray whale was struck during
a hunt, the Regional Administrator will notify the Makah Indian Tribe in
writing and require that the Tribe cease hunting for the duration of the
permit unless and until the Regional Administrator determines that
measures have been taken to ensure no additional WNP gray whales will be
struck during the duration of the permit. No further hunt permits will
be issued unless and until the Regional Administrator determines that
measures have been taken to prevent additional WNP gray whale strikes
during the remainder of the waiver period.
Sec. 216.115 Accounting and identification of gray whales.
(a) Images and samples. NMFS hunt observers, Tribal hunt observers,
and members of the Makah Indian Tribe may collect still or motion
pictures as needed to document hunting and training approaches, strikes
(successful and unsuccessful attempts), and landings. Persons designated
by NMFS and by the Makah Indian Tribe may also collect, store, transfer,
and analyze specimen samples from struck gray whales. Such designated
personnel should make every reasonable attempt to collect genetic
samples from struck whales without compromising the safety of the hunt.
(b) Identification and accounting of gray whales--(1) Winter/spring
hunts. Based on the best available evidence, the Regional Administrator
will determine in writing whether a gray whale that is struck in a
winter/spring hunt is a WNP gray whale or a PCFG whale or neither, or
cannot be identified due to a lack of photographs or genetic data useful
for making identifications. A whale affirmatively identified as a PCFG
whale will be counted accordingly. A whale that cannot be identified
will be presumed to be a PCFG whale in accordance with the proportions
specified in Sec. 216.114(d)(2) and will be counted accordingly. If the
sex of a whale that is counted, in whole or in part, as a PCFG whale
cannot be identified, the proportions specified in Sec. 216.114(d)(2)
will be applied.
(2) Summer/fall hunts. Based on available evidence, the Regional
Administrator will determine in writing whether a gray whale that is
struck in a summer/fall hunt is a WNP gray whale or cannot be identified
due to a lack of photographs or genetic data useful for making
identifications. A gray whale that cannot be identified as a WNP gray
whale will be counted as a PCFG whale. If the sex of a whale that is
counted as a PCFG whale cannot be identified, the proportions specified
in Sec. 216.114(d)(2) will be applied.
(3) Hunting and training approaches. Gray whales subjected to
hunting or training approaches are presumed to be PCFG whales in
accordance with the proportions specified in Sec. 216.114(d)(2).
(4) Unauthorized strikes. If a Tribal member strikes an ENP gray
whale without authorization under this subpart, the strike will be
counted against the total number of strikes allowed under this subpart
and will be counted against the United States' share of any applicable
catch limit established by the International Whaling Commission.
Sec. 216.116 Use of edible and nonedible whale products.
(a) Gray whales landed under a hunt permit may be utilized as
follows:
(1) Edible products of ENP gray whales. Enrolled members of the
Makah Indian Tribe may possess, consume, and transport edible whale
products and may share and barter such products with other enrolled
members, both within and outside the Makah Indian Tribe's reservation
boundaries, subject to the following restrictions:
(i) Within the Tribe's reservation boundaries, enrolled members of
the Makah Indian Tribe may share edible ENP gray whale products with any
person.
(ii) Outside the Makah Indian Tribe's reservation boundaries,
enrolled members of the Makah Indian Tribe may share edible ENP gray
whale products:
(A) At the Tribal member's residence with any person, provided the
products are shared for consumption at the Tribal member's residence; or
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(B) With any person attending a Tribal or intertribal gathering
sanctioned by the Makah Tribal Council, so long as there is not more
than 2 pounds of such edible product per person attending the gathering.
(iii) Any person who is not an enrolled member of the Makah Indian
Tribe may possess, consume, and transport edible ENP gray whale products
within the Makah Indian Tribe's reservation boundaries so long as the
products are shared by an enrolled member of the Makah Indian Tribe.
Outside the Tribe's reservation boundaries, any person who is not an
enrolled member of the Makah Indian Tribe may possess, consume, and
transport edible gray whale products only at a Tribal member's residence
or at a Tribal or intertribal gathering sanctioned by the Makah Tribal
Council if such products are shared by an enrolled member of the Makah
Indian Tribe and the person consumes the products at the gathering.
(2) Nonedible products of ENP gray whales. (i) Enrolled members of
the Makah Indian Tribe may possess nonedible whale products that have
not been fashioned into Makah Indian handicrafts and Makah Indian
handicrafts that have not been marked and certificated per paragraph
(a)(2)(iii) of this section, may transport such products, and may share
and barter such products with other enrolled members both within and
outside the Makah Indian Tribe's reservation boundaries.
(ii) Enrolled members of the Makah Indian Tribe may share or barter
Makah Indian handicrafts that have not been marked and certificated per
paragraph (a)(2)(iii) of this section with any person within the Tribe's
reservation boundaries.
(iii) Any person may possess, transport, share, barter, offer for
sale, sell, or purchase a Makah Indian handicraft in the United States,
provided the handicraft is permanently marked with a distinctive marking
approved by the Makah Tribal Council, and is accompanied by a
certificate of authenticity issued by the Makah Tribal Council or its
designee and entered in the Tribe's official record of Makah Indian
handicrafts. Such handicrafts may be delivered, carried, transported, or
shipped in interstate commerce.
(iv) Within the Makah Indian Tribe's reservation boundaries, any
person who is not an enrolled member of the Makah Indian Tribe may
possess and transport Makah Indian handicrafts that have not been marked
and certificated per paragraph (a)(2)(iii) of this section, provided the
handicraft was shared by or bartered from an enrolled member. Within the
Makah Indian Tribe's reservation boundaries, persons not enrolled as a
member of the Makah Indian Tribe may share or barter such handicrafts
only with enrolled members.
(b) The Makah Indian Tribe is responsible for managing all
activities of any Makah Indian Tribal member carried out under this
section.
Sec. 216.117 Prohibited acts.
(a) It is unlawful for the Makah Indian Tribe or any enrolled member
of the Makah Indian Tribe to:
(1) Take any gray whale except as authorized by a hunt permit issued
under Sec. 216.113(b) or by any other provision of this part.
(2) Participate in a hunt while failing to carry onboard the vessel
at all times a hunt permit issued by NMFS and a Tribal whaling permit
issued by the Makah Indian Tribe, or an electronic copy or photocopy of
these permits.
(3) Make a training approach or a training harpoon throw while
failing to carry onboard the training vessel at all times an electronic
copy or photocopy of the hunt permit issued by NMFS and a training
logbook approved by the Makah Indian Tribe for recording training
approaches and training harpoon throws.
(4) Participate in a hunt as a whaling captain, rifleman, harpooner,
Tribal hunt observer, or safety officer, unless the individual's name is
included in a Tribal certification report issued under Sec.
216.118(a)(6)(i).
(5) Violate any provision of any hunt permit issued under Sec.
216.113(b).
(6) Make an approach on a calf or an adult gray whale accompanying a
calf after a member of the whaling crew has identified the presence of a
calf.
(7) Fail to remain at least 100 yards (91.5 m) away from a calf or
an adult
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accompanying a calf after a member of the whaling crew has identified
the presence of a calf.
(8) Hunt or make a training harpoon throw on a calf or an adult gray
whale accompanying a calf.
(9) Hunt outside the geographic area identified in Sec.
216.113(b)(5)(iii) unless in pursuit of a gray whale that has already
been struck within that area.
(10) Hunt, make a hunting or training approach, or make a training
harpoon throw after reaching the limits specified in the hunt permit per
Sec. 216.113(b)(5)(i) through (viii).
(11) Hunt if the limit on PCFG whales or PCFG females that may be
struck is less than one as a result of accounting per Sec.
216.115(b)(1) through (3).
(12) Hunt after the Makah Indian Tribe has been notified in writing
by the Regional Administrator under Sec. 216.114(d)(3) that the limit
of PCFG whales that may be struck has been reached or that the PCFG
abundance is below the limits specified in Sec. 216.114(d)(4).
(13) Hunt after a gray whale has been landed and before the Makah
Indian Tribe has received notification from the Regional Administrator
in accordance with Sec. 216.115(b).
(14) Hunt after the Makah Tribe has been notified by the Regional
Administrator under Sec. 216.114(e) that the ENP gray whale population
has fallen below OSP.
(15) Sell, offer for sale, or purchase any gray whale products,
except Makah Indian handicrafts that have been marked and certificated
per Sec. 216.116(a)(2).
(16) Export any gray whale products.
(17) Barter edible gray whale products with any person not enrolled
as a member of the Makah Indian Tribe.
(18) Share edible gray whale products outside the Makah Indian
Tribe's reservation boundaries with any person not enrolled as a member
of the Makah Indian Tribe, except at a Tribal member's residence or with
persons attending a Tribal or intertribal gathering sanctioned by the
Makah Tribal Council, so long as there is not more than 2 pounds of
edible product per person attending the gathering per Sec.
216.116(a)(1)(ii)(B).
(19) Share or barter nonedible gray whale products:
(i) Outside the Makah Indian Tribe's reservation boundaries with any
person not enrolled as a Makah Indian Tribal member, except Makah Indian
handicrafts that are permanently marked and certificated per Sec.
216.116(a)(2).
(ii) Within the Makah Indian Tribe's reservation boundaries with any
person not enrolled as a Makah Indian Tribal member except a product
that has been fashioned into a Makah Indian handicraft whether or not it
has been marked and certificated per Sec. 216.116(a)(2)(iii).
(20) Make a false statement in an application for a hunt permit or
in a report required under this subpart.
(21) Transfer or assign a hunt permit issued under this subpart.
(22) Fail to submit reports required by this subpart.
(23) Deny persons designated by NMFS access to landed gray whales
for the purpose of collecting specimen samples.
(24) Fail to provide required permits and reports for inspection
upon request by persons designated by NMFS.
(25) Allow anyone other than enrolled Makah Indian Tribal members to
be part of a whaling crew or to allow anyone other than such members or
Tribal hunt observers to be in a training vessel engaged in hunt
training.
(26) Hunt, or engage in hunting approaches, training approaches, or
training harpoon throws without additional authorization to take WNP
gray whales, if the Regional Administrator has notified the Tribe that
additional authorization is required for the take of WNP gray whales.
(b) It is unlawful for any person who is not an enrolled member of
the Makah Indian Tribe to:
(1) Share barter, purchase, sell, export, or offer to share, barter,
purchase, sell, or export edible gray whale products.
(2) Possess, consume, or transport edible gray whale products
except:
(i) Within the Makah Indian Tribe's reservation boundaries, when
such products have been shared by an enrolled Makah Indian Tribal
member;
(ii) At the residence of a Tribal member, whether or not the
residence is
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within the Tribe's reservation boundaries; and
(iii) At Tribal or intertribal gatherings sanctioned by the Makah
Tribal Council, whether or not the gathering is within the Tribe's
reservation boundaries.
(3) Purchase, sell, or offer to purchase or sell nonedible gray
whale products except Makah Indian handicrafts that are marked and
certificated per Sec. 216.116(a)(2).
(4) Export any gray whale products.
(5) Outside the Makah Indian Tribe's reservation boundaries,
possess, transport, share, or barter nonedible gray whale products
except Makah Indian handicrafts that are marked and certificated per
Sec. 216.116(a)(2)(iii).
(6) Within the Makah Indian Tribe's reservation boundaries, possess,
transport, share, or barter any nonedible gray whale product except as
provided in Sec. 216.116(a)(2)(iii) and (iv).
Sec. 216.118 Requirements for monitoring, reporting, and recordkeeping.
(a) In addition to the reporting provisions described in Sec. 230.8
of this chapter, the Makah Indian Tribe will:
(1) Ensure a certified Tribal hunt observer accompanies each hunt.
The Tribal hunt observer will record in a hunting logbook the time,
date, and location (latitude and longitude, accurate to at least the
nearest second) of each hunting approach of a gray whale, each attempt
to strike a gray whale, and each gray whale struck. For each gray whale
struck, the Tribal hunt observer will record whether the whale was
landed. If not landed, the Tribal hunt observer will describe the
circumstances associated with the striking of the whale and estimate
whether the animal suffered a wound that might be fatal. For every gray
whale approached by the whaling crew, the Tribal hunt observer must make
every reasonable attempt to collect digital photographs useful for
photo-identification purposes.
(2) Ensure that each vessel involved in a training approach has
onboard a training logbook for recording the date, location, and number
of gray whales approached and the number of training harpoon throws.
Each training approach and training harpoon throw must be reported to
the Tribal hunt observer within 24 hours.
(3) Maintain hunting and training logbooks specified in paragraphs
(a)(1) and (2) of this section and allow persons designated by NMFS to
inspect them upon request.
(4) Ensure that each whaling captain allows a NMFS hunt observer to
accompany and observe any hunt.
(5) Maintain an official record of all articles of Makah Indian
handicraft, including the following information for each article
certified by the Makah Tribal Council or its designee: the date of the
certification; the permanent distinctive mark identifying the article as
a Makah Indian handicraft; a brief description of the handicraft,
including artist's full name, gray whale product(s) used, and
approximate size; and at least one digital photograph of the entire
handicraft. A copy of the official record of Makah Indian handicrafts
must be provided to NMFS personnel, including NMFS enforcement officers,
upon request.
(6) Ensure that the following reports are filed electronically with
the NMFS West Coast Region's office in Seattle, Washington, by the
indicated date:
(i) Tribal certification report. Thirty days prior to the beginning
of a hunting season, a report that includes the names of all Tribal hunt
observers and enrolled Makah Indian Tribal members who have been
certified to participate in a hunt as whaling captains, riflemen,
harpooners, and safety officers. The Tribe may provide additional names
during the hunting season.
(ii) Incident report. An incident report must be submitted within 48
hours after striking a gray whale. The report may address multiple gray
whales so long as the Tribe submits the report within 48 hours of the
first gray whale being struck. An incident report must contain the
following information:
(A) Struck and lost gray whale(s): The whaling captain's name; the
Tribal hunt observer's name; the date, location (latitude and longitude,
accurate to at least the nearest second), time, and number of strikes
and attempted strikes if any; the method(s) of strikes and attempted
strikes; an estimate of the whale's total length. The report
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will describe the circumstances associated with the striking of the
whale and estimate whether the animal suffered a wound that might be
fatal. The report will include all photographs taken by a Tribal hunt
observer of gray whales struck and lost by the whaling crew. The report
may also contain any other observations by the Makah Indian Tribe
concerning the struck and lost whale(s) or circumstances of the hunt.
(B) Struck and landed gray whale(s): The whaling captain's name; the
Tribal hunt observer's name; the date, location (latitude and longitude,
accurate to at least the nearest second), time, and number of strikes
and attempted strikes if any; the method(s) of strikes and attempted
strikes; the whale's body length as measured from the point of the upper
jaw to the notch between the tail flukes; an estimate of the whale's
maximum girth; the extreme width of the tail flukes; the whale's sex
and, if female, lactation status; the length and sex of any fetus in the
landed whale; photographs of the whale(s), including the entire dorsal
right side, the entire dorsal left side, the dorsal aspect of the fluke,
and the ventral aspect of the fluke. All such photographs must include a
ruler to convey scale and a sign specifying the Makah Indian Tribe's
name, whaling captain's name, whale species, and date. The report must
also describe the time to death (measured from the time of the first
strike to the time of death as indicated by relaxation of the lower jaw,
no flipper movement, or sinking without active movement) and the
disposition of all specimen samples collected and whale products,
including any whale products deemed unsuitable for use by Makah Indian
Tribal members. The report may also contain any other observations by
the Makah Indian Tribe concerning the landed whale or circumstances of
the hunt.
(iii) Hunt report. Within 30 days after the end of each hunting
season, a report that describes the following information for each day
of hunting:
(A) Struck and lost gray whale(s): The report must contain the
information specified in paragraph (a)(6)(ii)(A) of this section.
(B) Struck and landed gray whale(s): The report must contain the
information specified in paragraph (a)(6)(ii)(B) of this section.
(C) Hunting approaches and unsuccessful strike attempt(s): For each
gray whale approached or subjected to an unsuccessful strike attempt(s),
the report must contain: The whaling captain's name; the Tribal hunt
observer's name; the date, location (latitude and longitude, accurate to
at least the nearest second), time, and number of approaches and
unsuccessful strike attempts; the method of attempted strikes; an
estimate of the total length of any whale subjected to an unsuccessful
strike attempt; and all photographs taken by a Tribal hunt observer of
gray whales approached by the whaling crew. The report may also contain
any other observations by the Makah Indian Tribe concerning the whale(s)
approached or subjected to unsuccessful strike attempts or circumstances
of the hunt.
(iv) Annual approach report. By January 15 of each year, a report
containing the dates, location, and number of gray whales subjected to
hunting approaches, training approaches, and training harpoon throws
during the previous calendar year. The report may also contain any other
observations by the Makah Indian Tribe concerning the approached whales
or circumstances of the approaches and training harpoon throws.
(v) Annual handicraft report. By April 1 of each year, a report that
describes all Makah Indian handicrafts certified by the Makah Tribal
Council or its designee during the previous calendar year. The report
must contain the following information for each handicraft certified:
The date of the certification; the permanent distinctive mark
identifying the article as a Makah Indian handicraft; a brief
description of the handicraft, including artist's full name, gray whale
product(s) used, and approximate size; and at least one digital
photograph of the entire handicraft.
(vi) Availability of reports. The hunt report, annual approach
report, and annual handicraft report collected pursuant to this section
will be maintained and made available for public review in the NMFS West
Coast Region's office in Seattle, Washington.
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(b) Upon receiving an incident report specified in paragraph
(a)(6)(ii) of this section documenting that eight gray whales have been
struck, the Regional Administrator will evaluate:
(1) The photo-identification and notification requirements described
in Sec. Sec. 216.113(b)(6)(iv) and 216.115. The evaluation will address
the status of gray whale photo-identification catalogs used to manage
gray whale hunts authorized under this subpart, the survey efforts
employed to keep those catalogs updated, the level of certainty
associated with identifying cataloged WNP gray whales and PCFG whales,
the role of ancillary information such as genetic data during catalog
review, and any other elements deemed appropriate by the Regional
Administrator. The evaluation will be made available to the public no
more than 120 days after receiving the subject incident report.
(2) The humaneness of the authorized manner of hunting as specified
in Sec. 216.113(a)(1)(iii). To evaluate humaneness, NMFS will convene a
team composed of a veterinarian, a marine mammal biologist, and all
Tribal hunt observers and NMFS hunt observers who were witness to the
strikes described in the incident reports required by this section. The
team's evaluation will address the effectiveness of the hunting methods
used by the Makah Indian Tribe, the availability and practicability of
other such methods, and the time to death of hunted whales, and any
other matters deemed appropriate by the Regional Administrator and the
team. The team's evaluation will be made available to the public no more
than 120 days after receiving the subject incident report.
(c) The NMFS West Coast Region's Seattle office is located at 7600
Sand Point Way NE, Seattle, WA 98115-0070.
Sec. 216.119 Expiration and amendment.
(a) The 10-year waiver period begins the first day of the first
season after issuance of the initial hunt permit. The waiver and this
subpart will expire 10 years after the effective date of the initial
hunt permit specified under Sec. 216.113(b), unless extended.
(b) If the initial permit begins during a hunt season, resulting in
only a partial season being authorized, the Regional Administrator may
authorize a partial season that is equivalent in duration to the
difference between the partial season in the first hunt year and the
full season. This second partial season can only be authorized in the
final calendar year during the waiver period.
(c) This subpart may be periodically reviewed and modified as
provided in 16 U.S.C. 1373(e).
Subparts K-X [Reserved]
Sec. Figure 1 to Part 216--Northern Fur Seal Breeding Areas (Rookeries)
and Hauling Grounds on St. George Island, Alaska
[[Page 99]]
[GRAPHIC] [TIFF OMITTED] TR04NO14.000
[79 FR 65338, Nov. 4, 2014]
[[Page 100]]
PART 217_REGULATIONS GOVERNING THE TAKE OF MARINE MAMMALS
INCIDENTAL TO SPECIFIED ACTIVITIES--Table of Contents
Subpart A_Taking Marine Mammals Incidental to Russian River Estuary
Management Activities
Sec.
217.1 Specified activity and specified geographical region.
217.2 Effective dates.
217.3 Permissible methods of taking.
217.4 Prohibitions.
217.5 Mitigation requirements.
217.6 Requirements for monitoring and reporting.
217.7 Letters of Authorization.
217.8 Renewals and modifications of Letters of Authorization.
217.9-217.10 [Reserved]
Subparts B--C [Reserved]
Subpart D_Taking Marine Mammals Incidental to Construction and Operation
of the Liberty Drilling and Production Island
217.30 Specified activity and specified geographical region.
217.31 Effective dates.
217.32 Permissible methods of taking.
217.33 Prohibitions.
217.34 Mitigation requirements.
217.35 Requirements for monitoring and reporting.
217.36 Letters of Authorization.
217.37 Renewals and modifications of Letters of Authorization.
217.38-217.39 [Reserved]
Subpart E_Taking and Importing Marine Mammals; Alaska Gasline
Development Corporation Liquefied Natural Gas Facilities Construction
217.40 Specified activity and specified geographical region.
217.41 Effective dates.
217.42 Permissible methods of taking.
217.43 Prohibitions.
217.44 Mitigation requirements.
217.45 Requirements for monitoring and reporting.
217.46 Letters of Authorization.
217.47 Renewals and modifications of Letters of Authorization.
217.48-217.49 [Reserved]
Subpart F_Taking Marine Mammals Incidental to Lighthouse Repair and Tour
Operations at Northwest Seal Rock, California
217.50 Specified activity and specified geographical region.
217.51 Effective dates.
217.52 Permissible methods of taking.
217.53 Prohibitions.
217.54 Mitigation requirements.
217.55 Requirements for monitoring and reporting.
217.56 Letters of Authorization.
217.57 Renewals and modifications of Letters of Authorization.
217.58-217.59 [Reserved]
Subpart G_Taking and Importing Marine Mammals; Taking Marine Mammals
Incidental to U.S. Space Force Launches and Operations at Vandenberg
Space Force Base, California
217.60 Specified activity and specified geographical region.
217.61 Effective dates.
217.62 Permissible methods of taking.
217.63 Prohibitions.
217.64 Mitigation requirements.
217.65 Requirements for monitoring and reporting.
217.66 Letters of Authorization.
217.67 Renewals and modifications of Letter of Authorization.
217.68-217.69 [Reserved]
Subpart H [Reserved]
Subpart I_Taking Marine Mammals Incidental to U.S. Navy Construction at
the Naval Magazine Indian Island Ammunition Wharf, Puget Sound,
Washington
217.80 Specified activity and geographical region.
217.81 Effective dates.
217.82 Permissible methods of taking.
217.83 Prohibitions.
217.84 Mitigation requirements.
217.85 Requirements for monitoring and reporting.
217.86 Letters of Authorization.
217.87 Renewals and modifications of Letters of Authorization.
217.88-217.89 [Reserved]
Subpart J_Taking and Importing Marine Mammals; U.S. Navy's Submarine
Base New London Pier Construction
217.90 Specified activity and specified geographical region.
217.91 Effective dates.
[[Page 101]]
217.92 Permissible methods of taking.
217.93 Prohibitions.
217.94 Mitigation requirements.
217.95 Requirements for monitoring and reporting.
217.96 Letters of Authorization.
217.97 Renewals and modifications of Letters of Authorization.
217.98-217.99 [Reserved]
Subpart K_Taking Marine Mammals Incidental to Rocky Intertidal
Monitoring Surveys Along the Oregon and California Coasts
217.100 Specified activity and specified geographical region.
217.101 Effective dates.
217.102 Permissible methods of taking.
217.103 Prohibitions.
217.104 Mitigation requirements.
217.105 Requirements for monitoring and reporting.
217.106 Letters of Authorization.
217.107 Renewals and modifications of Letters of Authorization.
217.108--217.109 [Reserved]
Subpart L_Taking and Importing Marine Mammals Incidental to Navy
Construction of the Pier 3 Replacement Project at Naval Station Norfolk
at Norfolk, Virginia
217.110 Specified activity and geographical region.
217.111 Effective dates.
217.112 Permissible methods of taking.
217.113 Prohibitions.
217.114 Mitigation requirements.
217.115 Requirements for monitoring and reporting.
217.116 Letters of Authorization.
217.117 Renewals and modifications of Letters of Authorization.
217.118 [Reserved]
217.119 [Reserved]
Subpart M_Taking Marine Mammals Incidental to Seabird Research
Activities in Central California
217.120 Specified activity and specified geographical region.
217.121 Effective dates.
217.122 Permissible methods of taking.
217.123 Prohibitions.
217.124 Mitigation requirements.
217.125 Requirements for monitoring and reporting.
217.126 Letters of Authorization.
217.127 Renewals and modifications of Letters of Authorization.
217.128-217.129 [Reserved]
Subpart N_Taking and Importing Marine Mammals Incidental to U.S. Navy
Construction at Portsmouth Naval Shipyard, Kittery, Maine.
217.130 Specified activity and geographical region.
217.131 Effective dates.
217.132 Permissible methods of taking.
217.133 Prohibitions.
217.134 Mitigation requirements.
217.135 Requirements for monitoring and reporting.
217.136 Letters of Authorization.
217.137 Renewals and modifications of Letters of Authorization.
217.138 [Reserved]
217.139 [Reserved]
Subpart P_Taking Marine Mammals Incidental to Ice Roads and Ice Trails
Construction and Maintenance on Alaska's North Slope
217.150 Specified activity and specified geographical region.
217.151 Effective dates.
217.152 Permissible methods of taking.
217.153 Prohibitions.
217.154 Mitigation requirements.
217.155 Requirements for monitoring and reporting.
217.156 Letters of Authorization.
217.157 Renewals and modifications of Letters of Authorization.
217.158-217.159 [Reserved]
Subpart Q [Reserved]
Subpart R_Taking and Importing Marine Mammals Incidental to U.S. Navy
Bulkhead Replacement/Repairs at Naval Station Newport in Newport, Rhode
Island
217.170 Specified activity and geographical region.
217.171 Effective dates.
217.172 Permissible methods of taking.
217.173 Prohibitions.
217.174 Mitigation requirements.
217.175 Requirements for monitoring and reporting.
217.176 Letters of Authorization.
217.177 Renewals and modifications of Letters of Authorization.
217.178-217.179 [Reserved]
Subpart S_Taking Marine Mammals Incidental to Geophysical Survey
Activities in the Gulf of Mexico
217.180 Specified activity and specified geographical region.
[[Page 102]]
217.181 Effective dates.
217.182 Permissible methods of taking.
217.183 Prohibitions.
217.184 Mitigation requirements.
217.185 Requirements for monitoring and reporting.
217.186 Letters of Authorization.
217.187 Renewals and modifications of Letters of Authorization.
217.188-217.189 [Reserved]
Subpart T_Taking Marine Mammals Incidental to U.S. Coast Guard Alaska
Facility Maintenance and Repair Activities
217.190 Specified activity and specified geographical region.
217.191 Effective dates.
217.192 Permissible methods of taking.
217.193 Prohibitions.
217.194 Mitigation requirements.
217.195 Requirements for monitoring and reporting.
217.196 Letters of Authorization.
217.197 Renewals and modifications of Letters of Authorization.
217.198-217.199 [Reserved]
Subpart U_Taking Of Marine Mammals Incidental to The Port of Anchorage
Marine Terminal Redevelopment Project
217.200 Specified activities and specified geographical region.
217.201 Effective dates.
217.202 Permissible methods of taking.
217.203 Prohibitions.
217.204 Mitigation.
217.205 Requirements for monitoring and reporting.
217.206 Applications for Letters of Authorization.
217.207 Letters of Authorization.
217.208 Renewal of Letters of Authorization.
217.209 Modifications of Letters of Authorization.
Subpart W_Taking and Importing Marine Mammals Incidental to Hampton
Roads Connector Partners Construction at Norfolk, Virginia
217.210 Specified activity and geographical region.
217.211 Effective dates.
217.212 Permissible methods of taking.
217.213 Prohibitions.
217.214 Mitigation requirements.
217.215 Requirements for monitoring and reporting.
217.216 Letters of Authorization.
217.217 Renewals and modifications of Letters of Authorization.
217.218-217.219 [Reserved]
Subpart X [Reserved]
Subpart Z [Reserved]
Subpart AA_Taking Marine Mammals Incidental to Construction of the Ocean
Wind 1 Project Offshore of New Jersey
217.260 Specified activity and specified geographical region.
217.261 Effective dates.
217.262 Permissible methods of taking.
217.263 Prohibitions.
217.264 Mitigation requirements.
217.265 Monitoring and reporting requirements.
217.266 Letter of Authorization.
217.267 Modifications of Letter of Authorization.
217.268-217.269 [Reserved]
Subpart BB_Taking Marine Mammals Incidental to Construction of the
Revolution Wind Project Offshore of Rhode Island
217.270 Specified activity and specified geographical region.
217.271 Effective dates.
217.272 Permissible methods of taking.
217.273 Prohibitions.
217.274 Mitigation requirements.
217.275 Monitoring and reporting requirements.
217.276 Letter of Authorization.
217.277 Modifications of Letter of Authorization.
217.278-217.279 [Reserved]
Subpart CC_Taking Marine Mammals Incidental to the Empire Wind Project,
Offshore New York
217.280 Specified activity and specified geographical region.
217.281 Effective dates.
217.282 Permissible methods of taking.
217.283 Prohibitions.
217.284 Mitigation requirements.
217.285 Requirements for monitoring and reporting.
217.286 Letter of Authorization.
217.287 Modifications of Letter of Authorization.
217.288--217.289 [Reserved]
Subpart DD_Taking Marine Mammals Incidental to the Coastal Virginia
Offshore Wind Commercial Project Offshore of Virginia
217.290 Specified activity and specified geographical region.
217.291 Effective dates.
217.292 Permissible methods of taking.
217.293 Prohibitions.
217.294 Mitigation requirements.
217.295 Monitoring and reporting requirements.
217.296 Letter of Authorization.
[[Page 103]]
217.297 Modifications of Letter of Authorization.
217.298-217.299 [Reserved]
Subpart EE_Taking Marine Mammals Incidental to the Atlantic Shores South
Project Offshore of New Jersey
217.300 Specified activity and specified geographical region.
217.301 Effective dates.
217.302 Permissible methods of taking.
217.303 Prohibitions.
217.304 Mitigation requirements.
217.305 Monitoring and reporting requirements.
217.306 Letter of Authorization.
217.307 Modifications of Letter of Authorization.
217.308-217.309 [Reserved]
Subpart FF_Taking Marine Mammals Incidental to the Sunrise Wind Offshore
Wind Farm Project Offshore Rhode Island
217.310 Specified activity and specified geographical region.
217.311 Effective dates.
217.312 Permissible methods of taking.
217.313 Prohibitions.
217.314 Mitigation requirements.
217.315 Monitoring and reporting requirements.
217.316 Letter of Authorization.
217.317 Modifications of Letter of Authorization.
217.318-217.319 [Reserved]
Subpart GG_Taking Marine Mammals Incidental to the New England Wind
Project Offshore of Massachusetts
217.320 Specified activity and specified geographical region.
217.321 Effective dates.
217.322 Permissible methods of taking.
217.323 Prohibitions.
217.324 Mitigation requirements.
217.325 Monitoring and reporting requirements.
217.326 Letter of Authorization.
217.327 Modifications of Letter of Authorization.
217.328--217.329 [Reserved]
Subparts HH-KK [Reserved]
Authority: 16 U.S.C. 1361 et seq., unless otherwise noted.
Source: 74 FR 35143, July 20, 2009, unless otherwise noted.
Subpart A_Taking Marine Mammals Incidental to Russian River Estuary
Management Activities
Source: 87 FR 23120, Apr. 19, 2022, unless otherwise noted.
Effective Date Note: At 87 FR 23120, Apr.19, 2022, subpart A was
revised, effective Apr. 21, 2022, through Apr. 20, 2027.
Sec. 217.1 Specified activity and specified geographical region.
(a) Regulations in this subpart apply only to the Sonoma County
Water Agency (SCWA) and those persons it authorizes or funds to conduct
activities on its behalf for the taking of marine mammals that occurs in
the area outlined in paragraph (b) of this section and that occurs
incidental to estuary management activities.
(b) The taking of marine mammals by SCWA may be authorized in a
Letter of Authorization (LOA) only if it occurs at Goat Rock State Beach
or in the Russian River estuary in California.
Sec. 217.2 Effective dates.
Regulations in this subpart are effective from April 21, 2022,
through April 20, 2027.
Sec. 217.3 Permissible methods of taking.
(a) Under LOAs issued pursuant to Sec. Sec. 216.106 of this chapter
and 217.7, the Holder of the LOA (hereinafter ``SCWA'') may
incidentally, but not intentionally, take marine mammals within the area
described in Sec. 217.1(b) of this chapter by Level B harassment
associated with estuary management activities, provided the activity is
in compliance with all terms, conditions, and requirements of the
regulations in this subpart and the appropriate LOA.
(b) [Reserved]
Sec. 217.4 Prohibitions.
Except for the takings contemplated in Sec. 217.3 and authorized by
an LOA issued under Sec. Sec. 216.106 of this chapter and 217.7, it is
unlawful for any person to do any of the following in connection with
the activities described in Sec. 217.1 of this chapter:
[[Page 104]]
(a) Violate, or fail to comply with, the terms, conditions, and
requirements of this subpart or an LOA issued under Sec. Sec. 216.106
of this chapter and 217.7;
(b) Take any marine mammal not specified in such LOAs;
(c) Take any marine mammal specified in such LOAs in any manner
other than as specified;
(d) Take a marine mammal specified in such LOAs if NMFS determines
such taking results in more than a negligible impact on the species or
stocks of such marine mammal; or
(e) Take a marine mammal specified in such LOAs if NMFS determines
such taking results in an unmitigable adverse impact on the species or
stock of such marine mammal for taking for subsistence uses.
Sec. 217.5 Mitigation requirements.
When conducting the activities identified in Sec. 217.1(a), the
mitigation measures contained in any LOA issued under Sec. Sec. 216.106
of this chapter and 217.7 must be implemented. These mitigation measures
shall include but are not limited to:
(a) General conditions:
(1) A copy of any issued LOA must be in the possession of SCWA, its
designees, and work crew personnel operating under the authority of the
issued LOA.
(2) If SCWA observes a pup that may be abandoned, it shall contact
the National Marine Fisheries Service (NMFS) West Coast Regional
Stranding Coordinator immediately and also report the incident to NMFS
Office of Protected Resources within 48 hours. Observers shall not
approach or move the pup.
(b) SCWA crews shall cautiously approach the haul-out ahead of heavy
equipment.
(c) SCWA staff shall avoid walking or driving equipment through the
seal haul-out.
(d) Crews on foot shall make an effort to be seen by seals from a
distance.
(e) All work shall be completed as efficiently as possible and with
the smallest amount of heavy equipment possible.
(f) Boats operating near river haul-outs during monitoring shall be
kept within posted speed limits and driven as far from the haul-outs as
safely possible.
(g) SCWA shall implement the following mitigation measures during
pupping season (March 15-June 30):
(1) SCWA shall maintain a one week no-work period between water
level management events (unless flooding is an immediate threat) to
allow for an adequate disturbance recovery period. During the no-work
period, equipment must be removed from the beach;
(2) A water level management event may not occur for more than two
consecutive days unless flooding threats cannot be controlled.
(3) If a pup less than one week old is on the beach where heavy
machinery will be used or on the path used to access the work location,
the management action shall be delayed until the pup has left the site
or the latest day possible to prevent flooding while still maintaining
suitable fish rearing habitat. In the event that a pup remains present
on the beach in the presence of flood risk, SCWA shall consult with NMFS
and the California Department of Fish and Wildlife to determine the
appropriate course of action. SCWA shall determine if pups less than one
week old are on the beach prior to a breaching event.
(4) Physical and biological monitoring shall not be conducted if a
pup less than one week old is present at the monitoring site or on a
path to the site.
Sec. 217.6 Requirements for monitoring and reporting.
(a) Monitoring and reporting shall be conducted in accordance with
the approved Pinniped Monitoring Plan.
(b) Reporting:
(1) Annual reporting:
(i) SCWA shall submit an annual summary report to NMFS not later
than ninety days following the end of a given calendar year. SCWA shall
provide a final report within thirty days following resolution of
comments on the draft report.
(ii) These reports shall contain, at minimum, the following:
(A) The number of seals taken, by species and age class (if
possible);
[[Page 105]]
(B) Behavior prior to and during water level management events;
(C) Start and end time of activity;
(D) Estimated distances between source and seals when disturbance
occurs;
(E) Weather conditions (e.g., temperature, wind, etc.);
(F) Haul-out reoccupation time of any seals based on post-activity
monitoring;
(G) Tide levels and estuary water surface elevation; and
(H) Seal census from haul-out monitoring.
(2) [Reserved]
(c) Reporting of injured or dead marine mammals:
(1) In the unanticipated event that the activity defined in Sec.
217.1(a) clearly causes the take of a marine mammal in a prohibited
manner, SCWA shall immediately cease such activity and report the
incident to the Office of Protected Resources (OPR), NMFS and the West
Coast Regional Stranding Coordinator, NMFS. Activities shall not resume
until NMFS is able to review the circumstances of the prohibited take.
NMFS will work with SCWA to determine what measures are necessary to
minimize the likelihood of further prohibited take and ensure MMPA
compliance. SCWA may not resume their activities until notified by NMFS.
The report must include the following information:
(i) Time and date of the incident;
(ii) Description of the incident;
(iii) Environmental conditions;
(iv) Description of all marine mammal observations in the 24 hours
preceding the incident;
(v) Species identification or description of the animal(s) involved;
(vi) Fate of the animal(s); and
(vii) Photographs or video footage of the animal(s).
(2) In the event that SCWA discovers an injured or dead marine
mammal and determines that the cause of the injury or death is unknown
and the death is relatively recent (e.g., in less than a moderate state
of decomposition), SCWA shall immediately report the incident to OPR and
the West Coast Regional Stranding Coordinator, NMFS. The report must
include the information identified in paragraph (c)(1) of this section.
Activities may continue while NMFS reviews the circumstances of the
incident. NMFS will work with SCWA to determine whether additional
mitigation measures or modifications to the activities are appropriate.
(3) In the event that SCWA discovers an injured or dead marine
mammal and determines that the injury or death is not associated with or
related to the activities defined in Sec. 217.1(a) (e.g., previously
wounded animal, carcass with moderate to advanced decomposition,
scavenger damage), SCWA shall report the incident to OPR and the West
Coast Regional Stranding Coordinator, NMFS, within 24 hours of the
discovery. SCWA shall provide photographs or video footage or other
documentation of the stranded animal sighting to NMFS.
(4) Pursuant to paragraphs (c)(2-3) of this section, SCWA may use
discretion in determining what injuries (i.e., nature and severity) are
appropriate for reporting. At minimum, SCWA must report those injuries
considered to be serious (i.e., will likely result in death) or that are
likely caused by human interaction (e.g., entanglement, gunshot). Also
pursuant to sections paragraphs (c)(2-3) of this section, SCWA may use
discretion in determining the appropriate vantage point for obtaining
photographs of injured/dead marine mammals.
Sec. 217.7 Letters of Authorization.
(a) To incidentally take marine mammals pursuant to these
regulations, SCWA must apply for and obtain an LOA.
(b) An LOA, unless suspended or revoked, may be effective for a
period of time not to exceed the expiration date of these regulations.
(c) If an LOA expires prior to the expiration date of these
regulations, SCWA may apply for and obtain a renewal of the LOA.
(d) In the event of projected changes to the activity or to
mitigation and monitoring measures required by an LOA, SCWA must apply
for and obtain a modification of the LOA as described in Sec. 217.8.
(e) The LOA shall set forth:
(1) Permissible methods of incidental taking;
[[Page 106]]
(2) Means of effecting the least practicable adverse impact (i.e.,
mitigation) on the species, its habitat, and on the availability of the
species for subsistence uses; and
(3) Requirements for monitoring and reporting.
(f) Issuance of the LOA shall be based on a determination that the
level of taking will be consistent with the findings made for the total
taking allowable under these regulations.
(g) Notice of issuance or denial of an LOA shall be published in the
Federal Register within 30 days of a determination.
Sec. 217.8 Renewals and modifications of Letters of Authorization.
(a) An LOA issued under Sec. Sec. 216.106 of this chapter and 217.7
for the activity identified in Sec. 217.1(a) shall be renewed or
modified upon request by the applicant, provided that:
(1) The proposed specified activity and mitigation, monitoring, and
reporting measures, as well as the anticipated impacts, are the same as
those described and analyzed for these regulations (excluding changes
made pursuant to the adaptive management provision in paragraph (c)(1)
of this section), and
(2) NMFS determines that the mitigation, monitoring, and reporting
measures required by the previous LOA under these regulations were
implemented.
(b) For an LOA modification or renewal requests by the applicant
that include changes to the activity or the mitigation, monitoring, or
reporting (excluding changes made pursuant to the adaptive management
provision in paragraph (c)(1) of this section) that do not change the
findings made for the regulations or result in no more than a minor
change in the total estimated number of takes (or distribution by
species or years), NMFS may publish a notice of proposed LOA in the
Federal Register, including the associated analysis of the change, and
solicit public comment before issuing the LOA.
(c) An LOA issued under Sec. Sec. 216.106 of this chapter and 217.7
for the activity identified in Sec. 217.1(a) may be modified by NMFS
under the following circumstances:
(1) Adaptive Management--NMFS may modify (including augment) the
existing mitigation, monitoring, or reporting measures (after consulting
with SCWA regarding the practicability of the modifications) if doing so
creates a reasonable likelihood of more effectively accomplishing the
goals of the mitigation and monitoring set forth in the preamble for
these regulations.
(i) Possible sources of data that could contribute to the decision
to modify the mitigation, monitoring, or reporting measures in an LOA:
(A) Results from SCWA's monitoring from the previous year(s).
(B) Results from other marine mammal and/or sound research or
studies.
(C) Any information that reveals marine mammals may have been taken
in a manner, extent or number not authorized by these regulations or
subsequent LOAs.
(ii) If, through adaptive management, the modifications to the
mitigation, monitoring, or reporting measures are substantial, NMFS will
publish a notice of proposed LOA in the Federal Register and solicit
public comment.
(2) Emergencies--If NMFS determines that an emergency exists that
poses a significant risk to the well-being of the species or stocks of
marine mammals specified in LOAs issued pursuant to Sec. Sec. 216.106
of this chapter and 217.7, an LOA may be modified without prior notice
or opportunity for public comment. Notice would be published in the
Federal Register within thirty days of the action.
Sec. Sec. 217.9-217.10 [Reserved]
Subparts B--C [Reserved]
Subpart D_Taking Marine Mammals Incidental to Construction and Operation
of the Liberty Drilling and Production Island
Source: 84 FR 70322, Dec. 20, 2019, unless otherwise noted.
Effective Date Note: At 84 FR 70322, Dec. 20, 2019, subpart D was
added, effective Dec. 1, 2021, through Nov. 30 2026.
[[Page 107]]
Sec. 217.30 Specified activity and specified geographical region.
(a) Regulations in this subpart apply only to Hilcorp LLC (Hilcorp)
and those persons it authorizes or funds to conduct activities on its
behalf for the taking of marine mammals that occurs in the areas
outlined in paragraph (b) of this section and that occurs incidental to
construction, maintenance, and operation of the Liberty Drilling and
Production Island (LDPI) and associated infrastructure.
(b) The taking of marine mammals by Hilcorp may be authorized in a
Letter of Authorization (LOA) only if it occurs within the Beaufort Sea,
Alaska.
Sec. 217.31 Effective dates.
Regulations in this subpart are effective from December 1, 2021,
through November 30, 2026.
Sec. 217.32 Permissible methods of taking.
Under LOAs issued pursuant to Sec. Sec. 216.106 of this chapter and
217.36, the Holder of the LOA (hereinafter ``Hilcorp'') may
incidentally, but not intentionally, take marine mammals within the area
described in Sec. 217.30(b) by mortality, serious injury, Level A
harassment, or Level B harassment associated with the LDPI construction
and operation activities, including associated infrastructure, provided
the activities are in compliance with all terms, conditions, and
requirements of the regulations in this subpart and the appropriate LOA.
Sec. 217.33 Prohibitions.
Notwithstanding takings contemplated in Sec. 217.32 and authorized
by an LOA issued under Sec. Sec. 216.106 of this chapter and 217.36, no
person in connection with the activities described in Sec. 217.30 may:
(a) Violate, or fail to comply with, the terms, conditions, and
requirements of this subpart or an LOA issued under Sec. Sec. 216.106
of this chapter and 217.36;
(b) Take any marine mammal not specified in such LOAs;
(c) Take any marine mammal specified in such LOAs in any manner
other than as specified;
(d) Take a marine mammal specified in such LOAs if the National
Marine Fisheries Service (NMFS) determines such taking results in more
than a negligible impact on the species or stocks of such marine mammal;
or
(e) Take a marine mammal specified in such LOAs if NMFS determines
such taking results in an unmitigable adverse impact on the species or
stock of such marine mammal for taking for subsistence uses.
Sec. 217.34 Mitigation requirements.
When conducting the activities identified in Sec. 217.30(a), the
mitigation measures contained in any LOA issued under Sec. 216.106 of
this chapter must be implemented. These mitigation measures shall
include but are not limited to:
(a) General conditions. (1) Hilcorp must renew, on an annual basis,
the Plan of Cooperation (POC), throughout the life of the regulations in
this subpart;
(2) A copy of any issued LOA must be in the possession of Hilcorp,
its designees, and work crew personnel operating under the authority of
the issued LOA;
(3) Hilcorp must conduct briefings for construction and ice road
supervisors and crews, and the marine mammal and acoustic monitoring
teams prior to the start of annual ice road or LDPI construction, and
when new personnel join the work, in order to explain responsibilities,
communication procedures, the marine mammal monitoring protocol, and
operational procedures;
(4) Hilcorp must allow subsistence hunters to use the LDPI for safe
harbor during severe storms, if requested by hunters;
(5) In the unanticipated event of an oil spill during LDPI
operational years, Hilcorp must notify NMFS of the spill within 48
hours, regardless of size, and implement measures contained within the
Liberty Oil Spill Response Plan; and
(6) Hilcorp must strive to complete pile driving and pipeline
installation during the ice-covered season.
(7) Except during takeoff and landing and in emergency situations,
aircraft must maintain an altitude of at least 457 m (1,500 ft). If a
marine mammal is
[[Page 108]]
observed, then a horizontal distance of 305 m (100 ft) of whales or
seals will be maintained between the aircraft and the observed marine
mammals.
(b) Ice road construction, maintenance, and operation. (1) Hilcorp
must implement the NMFS-approved Ice Road and Ice Trail Best Management
Practices (BMPs) and the Wildlife Action Plan. These documents may be
updated as needed throughout the life of the regulations in this
subpart, in consultation with NMFS.
(2) Hilcorp must not approach ringed seal structures (i.e., lairs or
breathing holes) within 150 m or ringed seals within 50 m.
(c) Liberty Drilling Production Island construction. (1) For all
pile driving and construction activities involving heavy equipment,
Hilcorp must implement a minimum shutdown zone of 10 meters (m) from any
marine mammal in water or seals on land. If a marine mammal comes within
or is about to enter the shutdown zone, such operations must cease
immediately;
(2) For all pile driving activity, Hilcorp shall implement shutdown
zones with radial distances as identified in any LOA issued under
Sec. Sec. 216.106 of this chapter and 217.36. If a marine mammal comes
within or is about to enter the shutdown zone, such operations must
cease immediately. NMFS may adjust the shutdown zones pending review and
approval of an acoustic monitoring report (see Sec. 217.35);
(3) Hilcorp must employ NMFS-approved protected species observers
(PSOs) and designate monitoring zones with radial distances as
identified in any LOA issued under Sec. Sec. 216.106 of this chapter
and 217.36. NMFS may adjust the monitoring zones pending review and
approval of an acoustic monitoring report (see Sec. 217.35);
(4) If a bowhead whale or other low frequency cetacean enters the
Level A harassment zone, pile or pipe driving must be shut down
immediately. If a beluga whale or pinniped enters the Level A harassment
zone while pile driving is ongoing, work may continue until the pile is
completed (estimated to require approximately 15-20 minutes), but
additional pile driving must not be initiated until the animal has left
the Level A harassment zone. During this time, PSOs must monitor the
animal and record behavior;
(5) If a marine mammal is approaching a Level A harassment zone and
pile driving has not commenced, pile driving must be delayed. Pile
driving may not commence or resume until either the animal has
voluntarily left and been visually confirmed beyond the shutdown zone;
15 minutes have passed without subsequent detections of small cetaceans
and pinnipeds; or 30 minutes have passed without subsequent detections
of large cetaceans;
(6) If a species for which authorization has not been granted, or a
species for which authorization has been granted but the authorized
takes are met, is observed approaching or within the monitoring zone
(which equates to the Level B harassment zone), pile driving and removal
activities must shut down immediately using delay and shut-down
procedures. Activities must not resume until the animal has been
confirmed to have left the area or the observation time period, as
indicated in paragraph (c)(5) of this section, has elapsed;
(7) Hilcorp must use soft start techniques when impact pile driving.
Soft start requires contractors to provide an initial set of strikes at
reduced energy, followed by a thirty-second waiting period, then two
subsequent reduced energy strike sets. A soft start must be implemented
at the start of each day's impact pile driving and at any time following
cessation of impact pile driving for a period of thirty minutes or
longer;
(8) All pipe- and pile-driving activities (impact and vibratory) and
LDPI support vessel traffic outside the barrier islands must cease by
August 1, annually, and not resume until the official end of the hunt or
until the quota has been met, whichever occurs first. Hilcorp must
coordinate annually with subsistence users on the dates of these hunts;
and
(9) Should an ice seal be observed on or near the LDPI by any
Hilcorp personnel, during construction or operation, the sighting must
be reported to Hilcorp's Environmental Specialist. No construction
activity should occur
[[Page 109]]
within 10 m of an ice seal and any vehicles used should use precaution
and not approach any ice seal within 10 m.
(d) Vessel restrictions. When operating vessels, Hilcorp must:
(1) Reduce vessel speed to 5 knots (kn) if a whale is observed
within 500 m (1641 feet (ft)) of the vessel and is on a potential
collision course with the vessel, or if a vessel is within 275 m (902
ft) of whales, regardless of course relative to the vessel;
(2) Avoid multiple changes in vessel direction;
(3) Not approach within 800 m (2,624 ft) of a North Pacific right
whale or within 5.6 km (3 nautical miles) of Steller sea lion rookeries
or major haulouts; and
(4) Avoid North Pacific right whale critical habitat or, if critical
habitat cannot be avoided, reduce vessel speed during transit.
Sec. 217.35 Requirements for monitoring and reporting.
(a) All marine mammal and acoustic monitoring must be conducted in
accordance to Hilcorp's Marine Mammal Mitigation and Monitoring Plan
(4MP) and Acoustic Monitoring Plan, which includes acoustic monitoring
during both the open-water and ice-covered seasons. These plans may be
modified throughout the life of the regulations in this subpart upon
NMFS review and approval.
(b) Monitoring must be conducted by NMFS-approved PSOs, who must
have no other assigned tasks during monitoring periods and be equipped
with, at minimum, binoculars and rangefinders. At minimum, two PSOs must
be placed on elevated platforms on the island during the open-water
season when island construction activities are occurring. These
observers will monitor for marine mammals and implement shutdown or
delay procedures when applicable through communication with the
equipment operator.
(c) One PSO will be placed on the side where construction activities
are taking place and the other placed on the opposite side of the LDPI;
both observers will be on elevated platforms.
(d) PSOs will rotate duties such that they will observe for no more
than 4 hours at a time and no more than 12 hours in a 24-hour period.
(e) An additional island-based PSO will work with an aviation
specialist to use an unmanned aircraft system (UAS) to detect marine
mammals in the monitoring zones during pile and pipe driving and slope
shaping. Should UAS monitoring not be feasible or be deemed ineffective,
a boat-based PSO must monitor for marine mammals during pile and pipe
driving.
(f) During the open-water season, marine mammal monitoring must take
place from 30 minutes prior to initiation of pile and pipe driving
activity through 30 minutes post-completion of pile driving activity.
Pile driving may commence when observers have declared the shutdown zone
clear of marine mammals. In the event of a delay or shutdown of activity
resulting from marine mammals in the shutdown zone, animals must be
allowed to remain in the shutdown zone (i.e., must leave of their own
volition) and their behavior must be monitored and documented.
(g) After island construction is complete but drilling activities
are occurring, a PSO will be stationed on the LDPI for approximately 4
weeks during the month of August to monitor for the presence of marine
mammals around the island in the monitoring zone.
(1) Marine mammal monitoring during pile driving and removal must be
conducted by NMFS-approved PSOs in a manner consistent with the
following:
(i) At least one observer must have prior experience working as an
observer;
(ii) Other observers may substitute education (degree in biological
science or a related field) or training for experience;
(iii) Where a team of three or more observers are required, one
observer must be designated as lead observer or monitoring coordinator.
The lead observer must have prior experience working as an observer; and
(iv) Hilcorp must submit PSO curricula vitae (CVs) for approval by
NMFS prior to the onset of pile driving.
(2) PSOs must have the following additional qualifications:
[[Page 110]]
(i) Ability to conduct field observations and collect data according
to assigned protocols;
(ii) Experience or training in the field identification of marine
mammals, including the identification of behaviors;
(iii) Sufficient training, orientation, or experience with the
construction operation to provide for personal safety during
observations;
(iv) Writing skills sufficient to prepare a report of observations
including, but not limited to, the number and species of marine mammals
observed; dates and times when in-water construction activities were
conducted; dates, times, and reason for implementation of mitigation (or
why mitigation was not implemented when required); and marine mammal
behavior; and
(v) Ability to communicate orally, by radio or in person, with
project personnel to provide real-time information on marine mammals
observed in the area as necessary.
(h) Hilcorp must deploy autonomous sound recorders on the seabed to
conduct underwater passive acoustic monitoring in the open-water season
the first four years of the project such that island construction
activities, including pile driving, and drilling operations are
recorded. Acoustic monitoring will be conducted for the purposes of
sound source verification to verify distances from noise sources at
which underwater sound levels reach thresholds for potential marine
mammal harassment.
(i) Hilcorp must submit incident and monitoring reports.
(1) Hilcorp must submit a draft annual marine mammal and acoustic
summary report to NMFS not later than 90 days following the end of each
calendar year. Hilcorp must provide a final report within 30 days after
receipt of NMFS' comments on the draft report. The reports must contain,
at a minimum, the following:
(i) Date and time that monitored activity begins or ends;
(ii) Description of construction activities occurring during each
observation period;
(iii) Weather parameters (e.g., wind speed, percent cloud cover,
visibility);
(iv) Water conditions (e.g., sea state, tide state);
(v) Species, numbers, and, if possible, sex and age class of marine
mammals observed;
(vi) Description of any observable marine mammal behavior patterns,
including bearing and direction of travel and distance from construction
activity;
(vii) Distance from construction activities to marine mammals and
distance from the marine mammals to the observation point;
(viii) An extrapolated total take estimate for each species based on
the number of marine mammals observed and the extent of the harassment
zones during the applicable construction activities;
(ix) Histograms of the perpendicular distance at which marine
mammals were sighted by the PSOs;
(x) Description of implementation of mitigation measures (e.g.,
shutdown or delay);
(xi) Locations of all marine mammal observations;
(xii) An estimate of the effective strip width of the island-based
PSOs and the UAS imagery; and
(xiii) Sightings and locations of marine mammals associated with
acoustic detections.
(2) Annually, Hilcorp must submit a report within 90 days of ice
road decommissioning. The report must include the following:
(i) Date, time, location of observation;
(ii) Ringed seal characteristics (i.e., adult or pup, behavior
(avoidance, resting, etc.));
(iii) Activities occurring during observation, including equipment
being used and its purpose, and approximate distance to ringed seal(s);
(iv) Actions taken to mitigate the effects of interaction,
emphasizing: which BMPs were successful; which BMPs may need to be
improved to reduce interactions with ringed seals; the effectiveness and
practicality of implementing BMPs; any issues or concerns regarding
implementation of BMPs; and potential effects of interactions based on
observation data;
[[Page 111]]
(v) Proposed updates (if any) to the NMFS-approved Wildlife
Management Plan(s) or the ice-road BMPs; and
(vi) Reports should be able to be queried for information.
(3) Hilcorp must submit a final 5-year comprehensive summary report
to NMFS not later than 90 days following the expiration of this subpart
and LOA.
(4) Hilcorp must submit acoustic monitoring reports per the Acoustic
Monitoring Plan.
(5) Hilcorp must report on observed injured or dead marine mammals.
(i) In the unanticipated event that the activity defined in Sec.
217.30 clearly causes the take of a marine mammal in a prohibited
manner, Hilcorp must immediately cease such activity and report the
incident to the Office of Protected Resources (OPR), NMFS, and to the
Alaska Regional Stranding Coordinator, NMFS. Activities must not resume
until NMFS is able to review the circumstances of the prohibited take.
NMFS will work with Hilcorp to determine what measures are necessary to
minimize the likelihood of further prohibited take and ensure Marine
Mammal Protection Act (MMPA) compliance. Hilcorp may not resume their
activities until notified by NMFS. The report must include the following
information:
(A) Time, date, and location (latitude/longitude) of the incident;
(B) Description of the incident;
(C) Environmental conditions (e.g., wind speed and direction,
Beaufort sea state, cloud cover, visibility);
(D) Description of all marine mammal observations in the 24 hours
preceding the incident;
(E) Species identification or description of the animal(s) involved;
(F) Fate of the animal(s); and
(G) Photographs or video footage of the animal(s). Photographs may
be taken once the animal has been moved from the waterfront area.
(H) In the event that Hilcorp discovers an injured or dead marine
mammal and determines that the cause of the injury or death is unknown
and the death is relatively recent (e.g., in less than a moderate state
of decomposition), Hilcorp must immediately report the incident to OPR
and the Alaska Regional Stranding Coordinator, NMFS. The report must
include the information identified in paragraph (i)(5)(i) of this
section. Activities may continue while NMFS reviews the circumstances of
the incident. NMFS will work with Hilcorp to determine whether
additional mitigation measures or modifications to the activities are
appropriate.
(ii) In the event Hilcorp discovers an injured or dead marine mammal
and determines that the injury or death is not associated with or
related to the activities defined in Sec. 217.30 (e.g., previously
wounded animal, carcass with moderate to advanced decomposition,
scavenger damage), Hilcorp must report the incident to OPR and the
Alaska Regional Stranding Coordinator, NMFS, within 24 hours of the
discovery. Hilcorp must provide photographs or video footage or other
documentation of the stranded animal sighting to NMFS. Photographs may
be taken once the animal has been moved from the waterfront area.
Sec. 217.36 Letters of Authorization.
(a) To incidentally take marine mammals pursuant to this subpart,
Hilcorp must apply for and obtain an LOA.
(b) An LOA, unless suspended or revoked, may be effective for a
period of time not to exceed the expiration date of this subpart.
(c) If an LOA expires prior to the expiration date of this subpart,
Hilcorp may apply for and obtain a renewal of the LOA.
(d) In the event of projected changes to the activity or to
mitigation and monitoring measures required by an LOA, Hilcorp must
apply for and obtain a modification of the LOA as described in Sec.
217.37.
(e) The LOA shall set forth:
(1) Permissible methods of incidental taking;
(2) Means of effecting the least practicable adverse impact (i.e.,
mitigation) on the species, its habitat, and on the availability of the
species for subsistence uses; and
(3) Requirements for monitoring and reporting.
(f) Issuance of the LOA shall be based on a determination that the
level of
[[Page 112]]
taking will be consistent with the findings made for the total taking
allowable under this subpart.
(g) Notice of issuance or denial of an LOA shall be published in the
Federal Register within thirty days of a determination.
Sec. 217.37 Renewals and modifications of Letters of Authorization.
(a) An LOA issued under Sec. Sec. 216.106 of this chapter and
217.36 for the activity identified in Sec. 217.30(a) shall be renewed
or modified upon request by the applicant, provided that:
(1) The proposed specified activity and mitigation, monitoring, and
reporting measures, as well as the anticipated impacts, are the same as
those described and analyzed for this subpart (excluding changes made
pursuant to the adaptive management provision in paragraph (c)(1) of
this section); and
(2) NMFS determines that the mitigation, monitoring, and reporting
measures required by the previous LOA under this subpart were
implemented.
(b) For LOA modification or renewal requests by the applicant that
include changes to the activity or the mitigation, monitoring, or
reporting (excluding changes made pursuant to the adaptive management
provision in paragraph (c)(1) of this section) that do not change the
findings made for this subpart or result in no more than a minor change
in the total estimated number of takes (or distribution by species or
years), NMFS may publish a notice of proposed LOA in the Federal
Register, including the associated analysis of the change, and solicit
public comment before issuing the LOA.
(c) An LOA issued under Sec. Sec. 216.106 of this chapter and
217.36 for the activity identified in Sec. 217.30(a) may be modified by
NMFS under the following circumstances:
(1) Adaptive management. NMFS may modify (including augment) the
existing mitigation, monitoring, or reporting measures (after consulting
with Hilcorp regarding the practicability of the modifications) if doing
so creates a reasonable likelihood of more effectively accomplishing the
goals of the mitigation and monitoring set forth in this subpart.
(i) Possible sources of data that could contribute to the decision
to modify the mitigation, monitoring, or reporting measures in an LOA:
(A) Results from Hilcorp's monitoring from the previous year(s).
(B) Results from other marine mammal and/or sound research or
studies.
(C) Any information that reveals marine mammals may have been taken
in a manner, extent, or number not authorized by this subpart or
subsequent LOAs.
(ii) If, through adaptive management, the modifications to the
mitigation, monitoring, or reporting measures are substantial, NMFS will
publish a notice of proposed LOA in the Federal Register and solicit
public comment.
(2) Emergencies. If NMFS determines that an emergency exists that
poses a significant risk to the well-being of the species or stocks of
marine mammals specified in LOAs issued pursuant to Sec. Sec. 216.106
of this chapter and 217.36, an LOA may be modified without prior notice
or opportunity for public comment. Notice would be published in the
Federal Register within thirty days of the action.
Sec. Sec. 217.38-217.39 [Reserved]
Subpart E_Taking and Importing Marine Mammals; Alaska Gasline
Development Corporation Liquefied Natural Gas Facilities Construction
Source: 85 FR 50751, Aug. 17, 2020, unless otherwise noted.
Effective Date Note: At 85 FR 50751, Aug. 17, 2020, subpart E was
added, effective Jan. 1, 2021, through Dec. 31, 2025.
Sec. 217.40 Specified activity and specified geographical region.
(a) Regulations in this subpart apply only to the Alaska Gasline
Development Corporation (AGDC) or successor entities and those persons
it authorizes or funds to conduct activities on its behalf for the
taking of marine mammals that occurs in the area outlined in paragraph
(b) of this section and that occurs incidental to the activities
described in paragraph (c) of this section.
[[Page 113]]
(b) The taking of marine mammals by AGDC may be authorized in a
Letter of Authorization (LOA) only if it occurs within AGDC's Alaska
liquefied natural gas (LNG) facilities' construction areas, which are
located between the Beluga Landing shoreline crossing on the north and
the Kenai River south of Nikiski on the south in Cook Inlet, Alaska.
(c) The taking of marine mammals during this project is only
authorized if it occurs incidental to construction activities associated
with the proposed LNG facilities or the Mainline crossing of Cook Inlet.
Sec. 217.41 Effective dates.
Regulations in this subpart are effective January 1, 2021 through
December 31, 2025.
Sec. 217.42 Permissible methods of taking.
Under LOAs issued pursuant to Sec. Sec. 216.106 of this chapter and
217.46, the Holder of the LOAs (hereinafter ``AGDC'') may incidentally,
but not intentionally, take marine mammals within the area described in
Sec. 217.40(b) by Level A harassment and Level B harassment associated
with pile driving and pipe laying activities, provided the activity is
in compliance with all terms, conditions, and requirements of the
regulations in this subpart and the applicable LOAs.
Sec. 217.43 Prohibitions.
Notwithstanding takings contemplated in Sec. 217.42 and authorized
by LOAs issued under Sec. Sec. 216.106 of this chapter and 217.46, no
person in connection with the activities described in Sec. 217.40 may:
(a) Violate, or fail to comply with, the terms, conditions, and
requirements of this subpart or a LOA issued under Sec. Sec. 216.106 of
this chapter and 217.46;
(b) Take any marine mammal not specified in such LOAs; and
(c) Take any marine mammal specified in such LOAs in any manner
other than as specified.
Sec. 217.44 Mitigation requirements.
When conducting the activities identified in Sec. 217.40(c), the
mitigation measures contained in any LOAs issued under Sec. Sec.
216.106 of this chapter and 217.46 must be implemented. These mitigation
measures must include but are not limited to:
(a) Time and area restriction. AGDC must follow the following time
and area restrictions.
(1) In-water pile driving must occur only during daylight hours.
Times for other construction activities, such as pipe laying, anchor
handling, and dredging are not restricted.
(2) Pile driving associated with the Mainline Material Offloading
Facility (Mainline MOF) must not occur from June 1 to September 7 (pile
driving can occur from September 8 to May 31).
(3) Other than in-water sheet pile driving and pile removal, anchor
handling, trenching, pipe laying, and vessel transits related to these
activities, AGDC may not engage in in-water sound-producing activities
within 10 miles (16 km) of the mean higher high water (MHHW) line of the
Susitna Delta (Beluga River to the Little Susitna River) between April
15 and October 15 which produce sound levels in excess of 120 dB rms re
1[micro]Pa @ 1 m.
(b) Establishment of monitoring and exclusion zones. (1) For all
relevant in-water construction activity, AGDC must designate Level A
harassment zones with radial distances as identified in any LOA issued
under Sec. Sec. 216.106 of this chapter and 217.46.
(2) For all relevant in-water construction activity, AGDC must
designate Level B harassment zones with radial distances as identified
in any LOA issued under Sec. Sec. 216.106 of this chapter and 217.46.
(3) For all in-water pile driving work, AGDC must implement an
exclusion zone for each specific activity as identified in any LOA
issued under Sec. Sec. 216.106 of this chapter and 217.46. If a marine
mammal comes within or enters the exclusion zone, AGDC must cease all
operations.
(i) For humpback whale and killer whale during in-water pile driving
activity, the exclusion zones must be based on the Level A harassment
distances, but must not be less than 10 m from the pile.
[[Page 114]]
(ii) For harbor porpoise and harbor seal during in-water pile
driving activity, the exclusion zones must be based on the Level A
harassment distances up to 1,000 m, but must not be less than 10 m from
the pile.
(iii) For Cook Inlet beluga whale during in-water pile driving
activity, the exclusion zones must be based on the Level B harassment
distances.
(iv) A 2,900-m exclusion zone must be established for Cook Inlet
beluga whale before pipe laying activity associated with anchor handling
can occur.
(v) A minimum of 10-m exclusion zone must be established for in-
water construction and heavy machinery not addressed elsewhere in this
paragraph (b)(3).
(c) Monitoring of exclusion zones. Pile driving must only take place
when the exclusion zones are visible and can be adequately monitored. If
visibility degrades to where the entire exclusion zone cannot be
effectively monitored during pile driving, AGDC may continue to drive
the pile section that was being driven to its target depth, but may not
drive additional sections of pile.
(d) Shutdown measures. (1) AGDC must deploy protected species
observers (PSOs) to monitor marine mammals during in-water pile driving
and pipe laying activities.
(2) Monitoring must take place from 30 minutes prior to initiation
of pile driving or pipe laying activities through 30 minutes post-
completion of pile driving or pipe laying activities.
(i) For pile driving activity, pre-activity monitoring must be
conducted for 30 minutes to confirm that the exclusion zone is clear of
marine mammals, and pile driving may commence only if observers have
declared the exclusion zone clear of marine mammals for that full
duration of time. Monitoring must occur throughout the time required to
drive a pile. A determination that the exclusion zone is clear must be
made during a period of good visibility (i.e., the entire exclusion zone
and surrounding waters must be visible to the naked eye).
(ii) If marine mammals are found within the exclusion zone, pile
driving of the segment must be delayed until they move out of the area.
If a marine mammal is seen above water and then dives below, the
contractor must wait 30 minutes for large cetaceans (humpback whale) and
15 minutes for small cetaceans (beluga and killer whales and harbor
porpoise) and pinnipeds. If no marine mammals of that species are seen
by the observer in that time it can be assumed that the animal has moved
beyond the exclusion zone.
(iii) If pile driving of a segment ceases for 30 minutes or more and
a marine mammal is sighted within the designated exclusion zone prior to
commencement of pile driving, the observer(s) must notify the pile
driving operator (or other authorized individual) immediately and
continue to monitor the exclusion zone. Operations may not resume until
the marine mammal has exited the exclusion zone or 30 minutes have
elapsed for large cetaceans or 15 minutes have elapsed for small
cetaceans and pinnipeds since the last sighting.
(3) If a marine mammal authorized to be taken by Level B harassment
enters or approaches the exclusion zone, if a marine mammal not
specified in the LOAs enters the Level B harassment zone, or if the take
of a marine mammal species or stock has reached the take limits
specified in any LOA issued under Sec. Sec. 216.106 of this chapter and
217.46 and enters the Level B harassment zone, AGDC must halt all
construction activities at that location. If construction is halted or
delayed due to the presence of a marine mammal, the activity may not
commence or resume until either the animal has voluntarily left and been
visually confirmed beyond the shutdown or Level B harassment zone,
whichever applicable, or 30 minutes have passed without re-detection of
the animal if it is a larger cetacean (humpback whale), or 15 minutes
have passed without re-detection of the animal if it is a small cetacean
(beluga and killer whales and porpoises) or pinniped.
(e) Soft start. (1) AGDC must implement soft start techniques for
impact pile driving. AGDC must conduct an initial set of three strikes
from the impact hammer at 40 percent energy, followed by a 30-second
waiting period, then two subsequent three strike sets
[[Page 115]]
with associated 30-seconds waiting periods at the reduced energy.
(2) Soft start must be required for any impact driving, including at
the beginning of the day, and at any time following a cessation of
impact pile driving of 30 minutes or longer.
(f) Noise attenuation device. For pile-driving at the Mainline MOF
near the Beluga River, and on the east side of Cook Inlet near Nikiski
associated with the liquefaction facility, AGDC must deploy air bubble
curtains around piles. If the sound source verification (SSV)
measurements indicate that the best-performing bubble curtain
configuration provides less than a 2 dB reduction in in-water sound
beyond the bubble curtain, use of the bubble curtain may be
discontinued.
(g) Vessel transit. (1) Operators of vessels must, at all times,
avoid approaching within 100 yards of marine mammals. Operators must
observe direction of travel of marine mammals and attempt to maintain a
distance of 100 yards or greater between the animal and the vessel by
working to alter vessel course or velocity.
(2) The vessel operator must avoid placing the vessel between
members of a group of marine mammals in a way that may cause separation
of individuals in the group from other individuals in that group. A
group is defined as being three or more whales observed within 500-m of
one-another and displaying behaviors of directed or coordinated activity
(e.g., migration or group feeding).
(3) If the vessel approaches within 1.6 km (1 mi) of one or more
whales, the vessel operator must take reasonable precautions to avoid
potential interaction with the whales by taking one or more of the
following actions, as appropriate:
(i) Steering to the rear of whale(s) to avoid causing changes in
their direction of travel.
(ii) Maintaining vessel speed of 10 knots (19 km/hr) or less when
transiting to minimize the likelihood of lethal vessel strikes.
(iii) Reducing vessel speed to less than 5 knots (9 km/hour) within
274 m (300 yards) of the whale(s).
(4) Project vessels must remain a minimum of 2.8 km (1.5 nm) seaward
of the mean lower low water (MLLW) line between the Little Susitna River
and -150.80 degrees west longitude to minimize the impacts of vessel
sound and avoid strikes on Cook Inlet beluga whales between June 1 and
September 7. The Susitna Delta Exclusion Zone is defined as the union of
the areas defined by:
(i) A 16-km (10-mile) buffer of the Beluga River thalweg seaward of
the mean lower low water (MLLW) line;
(ii) A 16-km (10-mile) buffer of the Little Susitna River thalweg
seaward of the MLLW line; and
(iii) A 16-km (10-mile) seaward buffer of the MLLW line between the
Beluga River and Little Susitna River.
(iv) The buffer extends landward along the thalweg to include
intertidal waters within rivers and streams up to their mean higher high
water line (MHHW). The seaward boundary has been simplified so that it
is defined by lines connecting readily discernable landmarks.
(5) For vessels operating in the Susitna Delta Exclusion Zone, the
following must be implemented:
(i) All project vessels operating within the designated Susitna
Delta area must maintain a speed over ground below 4 knots. PSOs must
note the numbers, date, time, coordinates, and proximity to vessels of
all belugas observed during operations, and report these observations to
NMFS in monthly PSO reports.
(ii) Vessel crew must be trained to monitor for Endangered Species
Act (ESA)-listed species prior to and during all vessel movements within
the Susitna Delta Exclusion Zone. The vessel crew must report sightings
to the PSO team for inclusion in the overall sighting database and
reports.
(iii) Vessel operators must not move their vessels when they are
unable to adequately observe the 100-m zone around vessels under power
(in gear) due to darkness, fog, or other conditions, unless necessary
for ensuring human safety.
Sec. 217.95 Requirements for monitoring and reporting.
(a) Marine mammal visual monitoring--(1) Protected species
observers. AGDC must employ trained protected species
[[Page 116]]
observers (PSO) to conduct marine mammal monitoring for its LNG
facilities construction projects.
(i) The PSOs must observe and collect data on marine mammals in and
around the project area for 30 minutes before, during, and for 30
minutes after all construction work. PSOs must have no other assigned
tasks during monitoring periods, and must be placed at appropriate and
safe vantage point(s) practicable to monitor for marine mammals and
implement shutdown or delay procedures, when applicable, through
communication with the equipment operator.
(ii) [Reserved]
(2) Protected species observer qualifications. AGDC must adhere to
the following observer qualifications:
(i) Independent PSOs (i.e., not construction personnel) who have no
other assigned tasks during monitoring periods must be used;
(ii) Where a team of three or more PSOs are required, a lead
observer or monitoring coordinator must be designated. The lead observer
must have prior experience working as a marine mammal observer during
construction;
(iii) Other PSOs may substitute education (degree in biological
science or related field) or training for experience;
(iv) AGDC must submit PSO CVs for approval by NMFS prior to the
onset of pile driving;
(v) The PSOs must have the ability to conduct field observations and
collect data according to assigned protocols;
(vi) The PSOs must have the experience or training in the field
identification of marine mammals, including the identification of
behaviors;
(vii) The PSOs must have sufficient training, orientation, or
experience with the construction operation to provide for personal
safety during observations;
(viii) The PSOs must have writing skills sufficient to prepare a
report of observations including but not limited to the number and
species of marine mammals observed; dates and times when in-water
construction activities were conducted; dates, times, and reason for
implementation of mitigation (or why mitigation was not implemented when
required); and marine mammal behavior; and
(ix) The PSOs must have the ability to communicate orally, by radio
or in person, with project personnel to provide real-time information on
marine mammals observed in the area as necessary.
(3) Marine mammal monitoring protocols. AGDC must adhere to the
following marine mammal monitoring protocols:
(i) For pile driving activities, a minimum of two PSOs must be on
duty at all times;
(ii) For pile driving activities, PSOs must be stationed on a bluff
with minimum height 500 feet above sea level immediately above the
construction site;
(iii) For marine mammal monitoring during pipe laying activities, at
least one PSO must be on the barge and on watch;
(iv) PSOs may not exceed 4 consecutive watch hours; must have a
minimum two-hour break between watches; and may not exceed a combined
watch schedule of more than 12 hours in a 24-hour period;
(v) PSOs must have no other construction-related tasks while
conducting monitoring;
(vi) Monitoring must be conducted from 30 minutes prior to
commencement of pile driving, throughout the time required to drive a
pile, and for 30 minutes following the conclusion of pile driving;
(vii) Monitoring must be conducted from 30 minutes prior to
commencement of pipe laying activity, throughout the time of pipe
laying, and for 30 minutes following the conclusion of pipe laying for
the segment;
(viii) During all observation periods, PSOs must use high-
magnification (25X), as well as standard handheld (7X) binoculars, and
the naked eye to search continuously for marine mammals;
(ix) Monitoring distances must be measured with range finders.
Distances to animals must be based on the best estimate of the PSO,
relative to known distances to objects in the vicinity of the PSO; and
(x) Bearings to animals must be determined using a compass.
[[Page 117]]
(4) Marine mammal monitoring data collection. PSOs must collect the
following information during marine mammal monitoring:
(i) Date and time that monitored activity begins and ends for each
day conducted (monitoring period);
(ii) Construction activities occurring during each daily observation
period, including how many and what type of piles driven and distances
covered during pipe laying;
(iii) Deviation from initial proposal in pile numbers, pile types,
average driving times, and pipe laying distances, etc.;
(iv) Weather parameters in each monitoring period (e.g., wind speed,
percent cloud cover, visibility);
(v) Water conditions in each monitoring period (e.g., sea state,
tide state);
(vi) For each marine mammal sighting:
(A) Species, numbers, and, if possible, sex and age class of marine
mammals;
(B) Description of any observable marine mammal behavior patterns,
including bearing and direction of travel and distance from pile driving
and pipe laying activities, and notable changes in patterns;
(C) Location and distance from pile driving and pipe laying
activities to marine mammals and distance from the marine mammals to the
observation point; and
(D) Estimated amount of time that the animals remained in the Level
A and/or Level B harassment zones;
(vii) Description of implementation of mitigation measures within
each monitoring period (e.g., shutdown or delay); and
(viii) Other human activity in the area within each monitoring
period.
(b) Acoustic monitoring. AGDC must conduct a sound source
verification (SSV) in accordance with the requirements in the LOA, at
the beginning of the pile driving to characterize the sound levels
associated with different pile and hammer types, as well as to establish
the marine mammal monitoring and mitigation zones.
(1) A minimum of 2 piles of each type and size must be measured.
(2) The following data, at minimum, shall be collected during
acoustic monitoring and reported:
(i) Hydrophone equipment and methods: Recording device, sampling
rate, distance from the pile where recordings were made; depth of
recording device(s);
(ii) Type of pile being driven and method of driving during
recordings; and
(iii) Mean, median, and maximum sound levels (dB re: 1[micro]Pa):
Cumulative sound exposure level (SELcum), peak sound pressure
level (SPLpeak), root mean square sound pressure level
(SPLrms), and single-strike sound exposure level
(SELs-s).
(3) An SSV report must be submitted to NMFS within 72 hours after
field measurements for approval of the results.
(4) The results of the SSV report may be used to adjust the extent
of Level A and Level B harassment zones in-water pile driving.
(c) Reporting measures--(1) Notification. AGDC must notify NMFS 48
hours prior to the start of each activity in Cook Inlet that may cause
harassment of marine mammals. If there is a delay in activity, AGDC must
also notify NMFS as soon as practicable.
(2) Monthly report. AGDC must submit monthly reports via email to
NMFS Office of Protected Resources (OPR) and Alaska Regional Office
(AKRO) for all months with project activities by the 15th of the month
following the monthly reporting period. The monthly report must contain
and summarize the following information:
(i) Dates, times, locations, heading, speed, weather, sea conditions
(including Beaufort sea state and wind force), and a list of all in-
water sound-producing activities occurring concurrent with marine mammal
observations;
(ii) Species, number, location, distance from the vessel, and
behavior of all observed marine mammals, as well as associated project
activity (e.g., number of power-downs and shutdowns), observed
throughout all monitoring activities;
(iii) Observation data in paragraphs (a) and (b) of this section
must be provided in digital spreadsheet format that can be queried;
[[Page 118]]
(iv) An estimate of the number of animals (by species) exposed to
sound at received levels greater than or equal to either the Level A or
Level B harassment thresholds, with a discussion the time spent above
those received levels and of any specific behaviors those individuals
exhibited;
(v) If the extent of Level B harassment zone is beyond visual
observation, AGDC must also include an appropriate adjustment to
estimate the total numbers of marine mammals taken based on the portion
of the areas that are monitored; and
(vi) A description of the implementation and effectiveness of the
terms and conditions of the Biological Opinion's Incidental Take
Statement and mitigation and monitoring measures of the LOA.
(3) Marine mammal tally numbers. (i) AGDC must keep a tally of the
estimated number of marine mammals that are taken, based on the number
of marine mammals observed within the applicable harassment zones, and
alert NMFS when the authorized limit is close to being met based on
prescribed monitoring measured in the final rule; and
(ii) AGDC must keep a tally of the number of marine mammal that are
sighted during the pile driving and pipe laying activities.
(4) Beluga whale takes. AGDC must immediately notify NMFS if the
number of Cook Inlet beluga estimated as taken (based on observed
exposures above thresholds) reaches 80% of the authorized takes in any
given calendar year during which take is authorized.
(5) Annual report. (i) AGDC must submit a comprehensive annual
report to NMFS within 90 calendar days of the cessation of in-water work
each year for review. The report must synthesize all sighting data and
effort during each activity for each year.
(ii) NMFS will provide comments within 30 days after receiving
annual reports, and AGDC must address the comments and submit revisions
within 30 days after receiving NMFS comments.
(iii) If no comments are received from the NMFS within 30 days, the
annual report is considered completed.
(iv) The report must include the following information:
(A) Summaries of monitoring effort including total hours,
observation rate by species and marine mammal distribution through the
study period, accounting for sea state and other factors affecting
visibility and detectability of marine mammals.
(B) Analyses of the effects of various factors that may have
influenced detectability of marine mammals (e.g., sea state, number of
observers, fog/glare, and other factors as determined by the PSOs).
(C) Species composition, occurrence, and distribution of marine
mammal sightings, including date, water depth, numbers, age/size/gender
categories (if determinable), group sizes, and ice cover.
(D) Marine mammal observation data with a digital record of
observation data provided in digital spreadsheet format that can be
queried.
(E) Summary of implemented mitigation measures (i.e., shutdowns and
delays).
(F) Number of marine mammals during periods with and without project
activities (and other variables that could affect detectability), such
as:
(1) Initial sighting distances versus project activity at the time
of sighting;
(2) Closest point of approach versus project activity;
(3) Observed behaviors and types of movements versus project
activity;
(4) Numbers of sightings/individuals seen versus project activity;
(5) Distribution around the source vessels versus project activity;
and
(6) Numbers of animals detected in the exclusion zone.
(G) Analyses of the effects of project activities on listed marine
mammals.
(6) Final report. (i) AGDC must provide NMFS, within 90 days of
project completion at the end of the five-year period, a report of all
parameters listed in the monthly and annual report requirements in
paragraph (c) of this section, noting also all operational shutdowns or
delays necessitated due to the proximity of marine mammals.
[[Page 119]]
(ii) NMFS will provide comments within 30 days after receiving this
report, and AGDC must address the comments and submit revisions within
30 days after receiving NMFS comments.
(iii) If no comments are received from the NMFS within 30 days, the
final report is considered as final.
(7) Reporting of injured or dead marine mammals. (i) In the
unanticipated event that the construction or demolition activities
clearly cause the take of a marine mammal in a prohibited manner, such
as an injury, serious injury, or mortality, AGDC must immediately cease
operations with the potential to impact marine mammals in the vicinity
and immediately report the incident to the NMFS Office of Protected
Resources, NMFS Alaska Regional Office, and the Alaska Region Stranding
Coordinators. The report must include the following information:
(A) Time, date, and location (latitude/longitude) of the incident;
(B) Description of the incident;
(C) Status of all sound source use in the 24 hours preceding the
incident;
(D) Environmental conditions (e.g., wind speed and direction, sea
state, cloud cover, visibility, and water depth);
(E) Description of marine mammal observations in the 24 hours
preceding the incident;
(F) Species identification or description of the animal(s) involved;
(G) The fate of the animal(s); and
(H) Photographs or video footage of the animal (if equipment is
available).
(ii) Activities must not resume until NMFS is able to review the
circumstances of the prohibited take. NMFS must work with AGDC to
determine what is necessary to minimize the likelihood of further
prohibited take and ensure Marine Mammal Protection Act (MMPA)
compliance. AGDC may not resume its activities until notified by NMFS
via letter, email, or telephone.
(iii) In the event that AGDC discovers an injured or dead marine
mammal, and the lead PSO determines that the cause of the injury or
death is unknown and the death is relatively recent (i.e., in less than
a moderate state of decomposition as described in paragraph (c)(7)(iv)
of this section), AGDC must immediately report the incident to the NMFS
Office of Protected Resources, NMFS Alaska Regional Office, and the
Alaska Regional Stranding Coordinators. The report must include the same
information identified in paragraph (b)(3)(i) of this section.
Activities may continue while NMFS reviews the circumstances of the
incident. NMFS will work with AGDC to determine whether modifications in
the activities are appropriate.
(iv) In the event that AGDC discovers an injured or dead marine
mammal, and the lead PSO determines that the injury or death is not
associated with or related to the activities authorized in the LOA
(e.g., previously wounded animal, carcass with moderate to advanced
decomposition, or scavenger damage), AGDC must report the incident to
the NMFS Office of Protected Resources, NMFS Alaska Regional Office, and
the Alaska Regional Stranding Coordinators, within 48 hours of the
discovery. AGDC must provide photographs or video footage (if available)
or other documentation of the stranded animal sighting to NMFS and the
Marine Mammal Stranding Network. AGDC may continue its operations under
such a case.
Sec. 217.46 Letters of Authorization.
(a) To incidentally take marine mammals pursuant to the regulations
in this subpart, AGDC must apply for and obtain (LOAs) in accordance
with Sec. 216.106 of this chapter for conducting the activity
identified in Sec. 217.40(c).
(b) LOAs, unless suspended or revoked, may be effective for a period
of time not to extend beyond the expiration date of the regulations in
this subpart.
(c) If an LOA(s) expires prior to the expiration date of the
regulations in this subpart, AGDC may apply for and obtain a renewal of
the LOA(s).
(d) In the event of projected changes to the activity or to
mitigation, monitoring, reporting (excluding changes made pursuant to
the adaptive management provision of Sec. 217.47(c)(1)) required by an
LOA, AGDC must apply for and obtain a modification of LOAs as described
in Sec. 217.47.
(e) Each LOA must set forth:
[[Page 120]]
(1) Permissible methods of incidental taking;
(2) Means of effecting the least practicable adverse impact (i.e.,
mitigation) on the species, their habitat, and the availability of the
species for subsistence uses; and
(3) Requirements for monitoring and reporting.
(f) Issuance of the LOA(s) must be based on a determination that the
level of taking must be consistent with the findings made for the total
taking allowable under the regulations in this subpart.
(g) Notice of issuance or denial of the LOA(s) must be published in
the Federal Register within 30 days of a determination.
Sec. 217.47 Renewals and modifications of Letters of Authorization.
(a) An LOA issued under Sec. Sec. 216.106 of this chapter and
217.46 for the activity identified in Sec. 217.40(c) must be renewed or
modified upon request by the applicant, provided that:
(1) The proposed specified activity and mitigation, monitoring, and
reporting measures, as well as the anticipated impacts, are the same as
those described and analyzed for the regulations in this subpart
(excluding changes made pursuant to the adaptive management provision in
paragraph (c)(1) of this section); and
(2) NMFS determines that the mitigation, monitoring, and reporting
measures required by the previous LOA(s) under the regulations in this
subpart were implemented.
(b) For LOA modification or renewal requests by the applicant that
include changes to the activity or the mitigation, monitoring, or
reporting measures (excluding changes made pursuant to the adaptive
management provision in paragraph (c)(1) of this section) that do not
change the findings made for the regulations in this subpart or result
in no more than a minor change in the total estimated number of takes
(or distribution by species or years), NMFS may publish a notice of
proposed LOA in the Federal Register, including the associated analysis
of the change, and solicit public comment before issuing the LOA.
(c) An LOA issued under Sec. Sec. 216.106 of this chapter and
217.46 for the activity identified in Sec. 217.40(c) may be modified by
NMFS under the following circumstances:
(1) Adaptive management. After consulting with AGDC regarding the
practicability of the modifications, NMFS may modify (including by
adding or removing measures) the existing mitigation, monitoring, or
reporting measures if doing so creates a reasonable likelihood of more
effectively accomplishing the goals of the mitigation and monitoring set
forth in the regulations in this subpart.
(i) Possible sources of data that could contribute to the decision
to modify the mitigation, monitoring, or reporting measures in an LOA:
(A) Results from AGDC's monitoring from the previous year(s);
(B) Results from other marine mammal and/or sound research or
studies; or
(C) Any information that reveals marine mammals may have been taken
in a manner, extent or number not authorized by the regulations in this
subpart or subsequent LOAs.
(ii) If, through adaptive management, the modifications to the
mitigation, monitoring, or reporting measures are substantial, NMFS must
publish a notice of proposed LOA in the Federal Register and solicit
public comment.
(2) Emergencies. If NMFS determines that an emergency exists that
poses a significant risk to the well-being of the species or stocks of
marine mammals specified in LOAs issued pursuant to Sec. Sec. 216.106
of this chapter and 217.46, an LOA may be modified without prior notice
or opportunity for public comment. Notice would be published in the
Federal Register within 30 days of the action.
Sec. Sec. 217.48-217.49 [Reserved]
Subpart F_Taking Marine Mammals Incidental to Lighthouse Repair and Tour
Operations at Northwest Seal Rock, California
Source: 87 FR 22492, Apr. 15, 2022, unless otherwise noted.
[[Page 121]]
Effective Date Note: At 87 FR 22492, Apr. 15, 2022, subpart F was
added, effective May 15, 2022, through May 14, 2027.
Sec. 217.50 Specified activity and specified geographical region.
(a) Regulations in this subpart apply only to the St. George Reef
Lighthouse Preservation Society (Society) and those persons it
authorizes or funds to conduct activities on its behalf for the taking
of marine mammals that occurs in the areas outlined in paragraph (b) of
this section and that occurs incidental to lighthouse repair and tour
operation activities.
(b) The taking of marine mammals by the Society may be authorized in
a Letter of Authorization (LOA) only if it occurs within Pacific Ocean
waters in the vicinity of Northwest Seal Rock near Crescent City,
California.
Sec. 217.51 Effective dates.
Regulations in this subpart are effective from May 15, 2022 through
May 14, 2027.
Sec. 217.52 Permissible methods of taking.
Under LOAs issued pursuant to Sec. 216.106 of this chapter and
Sec. 217.56, the Holder of the LOA (hereinafter ``Society'') may
incidentally, but not intentionally, take marine mammals within the area
described in Sec. 217.50(b) by Level B harassment associated with
lighthouse repair and tour operation activities, provided the activity
is in compliance with all terms, conditions, and requirements of the
regulations in this subpart and the appropriate LOA.
Sec. 217.53 Prohibitions.
Except for taking authorized by a LOA issued under Sec. Sec.
216.106 and 217.56 of this chapter, it shall be unlawful for any person
to do any of the following in connection with the activities described
in Sec. 217.50:
(a) Violate, or fail to comply with, the terms, conditions, and
requirements of this subpart or a LOA issued under Sec. 216.106 of this
chapter and Sec. 217.56;
(b) Take any marine mammal not specified in such LOAs;
(c) Take any marine mammal specified in such LOAs in any manner
other than as specified; or
(d) Take a marine mammal specified in such LOAs if NMFS determines
such taking results in more than a negligible impact on the species or
stocks of such marine mammal.
Sec. 217.54 Mitigation requirements.
When conducting the activities identified in Sec. 217.50(a), the
mitigation measures contained in any LOA issued under Sec. 216.106 of
this chapter and Sec. 217.56 must be implemented. These mitigation
measures shall include but are not limited to:
(a) General conditions. (1) A copy of any issued LOA must be in the
possession of the Society, supervisory personnel, pilot, protected
species observers (PSOs), and any other relevant designees of the Holder
operating under the authority of this LOA at all times that activities
subject to this LOA are being conducted.
(2) The Society must conduct training between supervisors and crews
and the marine mammal monitoring team and relevant Society staff prior
to the start of all trips and when new personnel join the work, so that
responsibilities, communication procedures, monitoring protocols, and
operational procedures are clearly understood. Visitors to the Station
must be instructed to avoid unnecessary noise and not expose themselves
visually to pinnipeds around the base of the lighthouse.
(3) All personnel must avoid direct physical interaction with marine
mammals during activity. If a marine mammal comes within 10 m of such
activity, operations must cease until the animal leaves of its own
accord.
(4) Loud outside activity must be halted upon observation on
Northwest Seal Rock (NWSR) of either a species for which incidental take
is not authorized or a species for which incidental take has been
authorized but the authorized number of takes has been met.
(5) No more than two restoration trips, or 6 days of flight
operations, are permitted per month.
(b) Protocols. (1) The pilot must ensure that helicopter approach
patterns
[[Page 122]]
to the NWSR are such that the timing and techniques are least disturbing
to marine mammals. To the extent possible, the helicopter must approach
NWSR when the tide is too high for marine mammals to haul out on NWSR.
The helicopter must avoid rapid and direct approaches to the station by
approaching NWSR at a relatively high altitude (e.g., 800-1,000 ft; 244-
305 m). Before the final approach, the helicopter must circle lower, and
approach from an area where the density of pinnipeds is the lowest. If
for any safety reasons (e.g., wind conditions or visibility) such
helicopter approach and timing techniques cannot be achieved, the
Society must abort the restoration and maintenance session for the day.
(2) Monitoring must be conducted by a trained PSO, who must have no
other assigned tasks during monitoring periods. Trained PSOs must be
placed at the best vantage point(s) practicable to monitor for marine
mammals and implement mitigation procedures when applicable. The Society
must adhere to the following additional PSO qualifications:
(i) Independent PSOs are required;
(ii) At least one PSO must have prior experience working as an
observer;
(iii) Other observers may substitute education (degree in biological
science or related field) or training for experience; and
(iv) The Society must submit PSO resumes for approval by NMFS prior
to beginning any activity subject to these regulations.
(3) The PSO must monitor the project area to the maximum extent
possible based on the required monitoring locations and environmental
conditions. They must record all observations of marine mammals as
described in Section 5 of any LOA, regardless of distance from the
activity. A PSO with a high definition camera must be on the first
flight to the station each day. For 15 minutes before and after all
other takeoffs and landings a PSO must be stationed on the platform of
the lantern room gallery, and a PSO must be on the last departing
helicopter of the day.
Sec. 217.55 Requirements for monitoring and reporting.
(a) PSOs must document any behavioral reactions in concert with
distance from any project activity.
(b) Reporting--(1) Reporting frequency. (i) The Society must submit
a quarterly summary report to NMFS not later than 90 days following the
end of each work quarter; after the first three quarterly submissions,
NMFS will evaluate whether it is appropriate to modify to annual
reports, and modify future LOAs as appropriate to indicate annual
reporting requirements if so. The Society must provide a final report
within 30 days following resolution of comments on each draft report.
(ii) These reports must contain, at minimum, the following:
(A) Dates and times (begin and end) of all marine mammal monitoring;
(B) Activities occurring during all marine mammal monitoring (e.g.,
helicopter takeoffs and landings, construction activities);
(C) PSO locations during marine mammal monitoring;
(D) Environmental conditions during monitoring periods (at beginning
and end of PSO shift and whenever conditions change significantly),
including Beaufort sea state and any other relevant weather conditions
including cloud cover, fog, sun glare, and overall visibility to the
horizon, and estimated observable distance;
(E) Upon each flight, the following information: Name of PSO who
sighted the animal(s) and PSO location and activity at time of sighting;
time of sighting; identification of the animal(s) (e.g., genus/species,
lowest possible taxonomic level, or unidentified), PSO confidence in
identification, and the composition of the group if there is a mix of
species; distance and bearing of each marine mammal observed relative to
the activity for each flight; estimated number of animals (min/max/best
estimate); estimated number of animals by cohort (adults, juveniles,
neonates, group composition, etc.); and description of any marine mammal
behavioral observations (e.g., observed behaviors such as feeding or
traveling), including an assessment of behavioral responses thought to
have resulted from the activity according to the 3-
[[Page 123]]
point scale as defined in the LOA (e.g., no response or changes in
behavioral state such as changing direction or flushing);
(F) Number of marine mammals detected, by species; and
(G) Detailed information about any implementation of any mitigation
triggered, a description of specific actions that ensued, and resulting
changes in behavior of the animal(s), if any.
(2) The Society must submit a comprehensive summary report to NMFS
not later than 90 days following the conclusion of marine mammal
monitoring efforts described in this subpart.
(c) Reporting of injured or dead marine mammals. (1) In the event
that personnel involved in the construction activities discover an
injured or dead marine mammal, the LOA-holder must immediately report
the incident to the Office of Protected Resources (OPR)
([email protected]), NMFS and to West Coast Regional
Stranding Coordinator as soon as feasible. If the death or injury was
clearly caused by activities specified at Sec. 217.50, the Society must
immediately cease the specified activities until NMFS is able to review
the circumstances of the incident and determine what, if any, additional
measures are appropriate to ensure compliance with the terms of these
regulations and LOAs. The LOA-holder must not resume their activities
until notified by NMFS. The report must include the following
information:
(i) Time, date, and location (latitude/longitude) of the first
discovery (and updated location information if known and applicable);
(ii) Species identification (if known) or description of the
animal(s) involved;
(iii) Condition of the animal(s) (including carcass condition if the
animal is dead);
(iv) Observed behaviors of the animal(s), if alive;
(v) If available, photographs or video footage of the animal(s); and
(vi) General circumstances under which the animal was discovered.
(2) [Reserved]
Sec. 217.56 Letters of Authorization.
(a) To incidentally take marine mammals pursuant to these
regulations, the Society must apply for and obtain an LOA.
(b) An LOA, unless suspended or revoked, may be effective for a
period of time not to exceed the expiration date of these regulations.
(c) If an LOA expires prior to the expiration date of these
regulations, the Society may apply for and obtain a renewal of the LOA.
(d) In the event of projected changes to the activity or to
mitigation and monitoring measures required by an LOA, the Society must
apply for and obtain a modification of the LOA as described in Sec.
217.57.
(e) The LOA shall set forth:
(1) Permissible methods of incidental taking;
(2) Means of effecting the least practicable adverse impact (i.e.,
mitigation) on the species, its habitat, and on the availability of the
species for subsistence uses; and
(3) Requirements for monitoring and reporting.
(f) Issuance of the LOA shall be based on a determination that the
level of taking will be consistent with the findings made for the total
taking allowable under these regulations.
(g) Notice of issuance or denial of an LOA shall be published in the
Federal Register within 30 days of a determination.
Sec. 217.57 Renewals and modifications of Letters of Authorization.
(a) An LOA issued under Sec. 216.106 of this chapter and Sec.
217.56 for the activity identified in Sec. 217.50(a) shall be renewed
or modified upon request by the applicant, provided that:
(1) The proposed specified activity and mitigation, monitoring, and
reporting measures, as well as the anticipated impacts, are the same as
those described and analyzed for these regulations (excluding changes
made pursuant to the adaptive management provision in paragraph (c)(1)
of this section); and
(2) NMFS determines that the mitigation, monitoring, and reporting
measures required by the previous LOA
[[Page 124]]
under these regulations were implemented.
(b) For LOA modification or renewal requests by the applicant that
include changes to the activity or the mitigation, monitoring, or
reporting (excluding changes made pursuant to the adaptive management
provision in paragraph (c)(1) of this section) that do not change the
findings made for the regulations or result in no more than a minor
change in the total estimated number of takes (or distribution by
species or years), NMFS may publish a notice of proposed LOA in the
Federal Register, including the associated analysis of the change, and
solicit public comment before issuing the LOA.
(c) An LOA issued under Sec. Sec. 216.106 and 217.56 of this
chapter for the activity identified in Sec. 217.50(a) may be modified
by NMFS under the following circumstances:
(1) Adaptive management. NMFS may modify (including augment) the
existing mitigation, monitoring, or reporting measures (after consulting
with the Society regarding the practicability of the modifications) if
doing so creates a reasonable likelihood of more effectively
accomplishing the goals of the mitigation and monitoring set forth in
the preamble for these regulations.
(i) Possible sources of data that could contribute to the decision
to modify the mitigation, monitoring, or reporting measures in an LOA:
(A) Results from the Society's monitoring from the previous year(s).
(B) Results from other marine mammal and/or sound or disturbance
research or studies.
(C) Any information that reveals marine mammals may have been taken
in a manner, extent or number not authorized by these regulations or
subsequent LOAs.
(ii) If, through adaptive management, the modifications to the
mitigation, monitoring, or reporting measures are substantial, NMFS will
publish a notice of proposed LOA in the Federal Register and solicit
public comment.
(2) Emergencies. If NMFS determines that an emergency exists that
poses a significant risk to the well-being of the species or stocks of
marine mammals specified in LOAs issued pursuant to Sec. 216.106 of
this chapter and Sec. 217.56, an LOA may be modified without prior
notice or opportunity for public comment. Notice would be published in
the Federal Register within 30 days of the action.
Sec. Sec. 217.58-217.59 [Reserved]
Subpart G_Taking and Importing Marine Mammals; Taking Marine Mammals
Incidental to U.S. Space Force Launches and Operations at Vandenberg
Space Force Base, California
Source: 89 FR 25182, Apr. 10, 2024, unless otherwise noted.
Effective Date Note: At 89 FR 25182, Apr. 10, 2024, subpart G was
revised, effective Apr. 10, 2024, through Apr. 9, 2029.
Sec. 217.60 Specified activity and specified geographical region.
(a) Regulations in this subpart apply only to the United States
Space Force (USSF) and those persons it authorizes to conduct activities
on its behalf, for the taking of marine mammals that occurs in the areas
outlined in paragraph (b) of this section incidental to rocket and
missile launches and supporting operations.
(b) The incidental taking of marine mammals under this subpart may
be authorized in a Letter of Authorization (LOA) only for activities
originating at Vandenberg Space Force Base (VSFB).
Sec. 217.61 Effective dates.
(a) Regulations in this subpart are effective from April 10, 2024,
through April 10, 2029.
(b) [Reserved]
Sec. 217.62 Permissible methods of taking.
(a) Under an LOA issued pursuant to Sec. 216.106 of this chapter
and Sec. 217.66 or Sec. 217.67, the Holder (hereinafter the USSF) may
incidentally, but not intentionally, take marine mammals by Level B
harassment, as described in Sec. 217.60(a) and (b), provided the
activity is in compliance with all terms, conditions, and requirements
of the regulations in this subpart and the appropriate LOA.
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(b) The incidental take of marine mammals by the activities listed
in Sec. 217.60 is limited to the following species and stocks:
Table 1 to Sec. 217.62(b)
------------------------------------------------------------------------
Species Stock
------------------------------------------------------------------------
California sea lion....................... United States.
Northern fur seal......................... California.
Guadalupe fur seal........................ Mexico.
Steller sea lion.......................... Eastern.
Harbor seal............................... California.
Northern elephant seal.................... California Breeding.
------------------------------------------------------------------------
Sec. 217.63 Prohibitions.
(a) Except for takings contemplated in Sec. 217.62 and authorized
by a LOA issued under Sec. 216.106 of this chapter and Sec. Sec.
217.66 and 217.67, it shall be unlawful for any person to do any of the
following in connection with the activities listed in Sec. 217.60:
(1) Violate, or fail to comply with, the terms, conditions, and
requirements of this subpart or a LOA issued under Sec. 216.106 of this
chapter and Sec. 217.66 or Sec. 217.67;
(2) Take any marine mammal species or stock not specified in this
subpart or such LOAs;
(3) Take any marine mammal specified in this subpart or such LOAs in
any manner other than as specified; or
(4) Take a marine mammal specified in this subpart or such LOAs if
NMFS determines after notice and comment that the taking allowed for one
or more activities under 16 U.S.C. 1371(a)(5)(A) is having or may have
more than a negligible impact on the species or stocks of such marine
mammal.
(b) [Reserved]
Sec. 217.64 Mitigation requirements.
(a) When conducting the activities identified in Sec. 217.60(a) and
(b), the mitigation measures contained in any LOA issued under Sec.
216.106 of this chapter and Sec. 217.66 or Sec. 217.67 must be
implemented. These mitigation measures include (but are not limited to):
(1) USSF must provide pupping information to launch proponents at
the earliest possible stage in the launch planning process and direct
launch proponents to, if practicable, avoid scheduling launches during
pupping seasons on VSFB from 1 March to 30 April and on the Northern
Channel Islands from 1 June-31 July. If practicable, rocket launches
predicted to produce a sonic boom on the Northern Channel Islands
3 pounds per square foot (psf) from 1 June-31 July will be
scheduled to coincide with tides in excess of +1.0 ft (0.3 m), with an
objective to do so at least 50 percent of the time.
(2) For manned flight operations, aircraft must use approved routes
for testing and evaluation. Manned aircraft must also remain outside of
a 1,000-ft (305 m) buffer around pinniped rookeries and haul-out sites
(except in emergencies such as law enforcement response or Search and
Rescue operations, and with a reduced, 500-ft (152 m) buffer at Small
Haul-out 1).
(3) Unscrewed aerial systems (UAS) classes 0-2 must maintain a
minimum altitude of 300 ft (91 m) over all known marine mammal haulouts
when marine mammals are present, except at take-off and landing. Class 3
must maintain a minimum altitude of 500 ft (152 m), except at take-off
and landing. UAS classes 4 and 5 only operate from the VSFB airfield and
must maintain a minimum altitude of 1,000 ft (305 m) over marine mammal
haulouts except at take-off and landing. USSF must not fly class 4 or 5
UAS below 1,000 ft (305 m) over haulouts.
(b) [Reserved]
Sec. 217.65 Requirements for monitoring and reporting.
(a) Monitoring at VSFB and NCI must be conducted by at least one
NMFS-approved Protected Species Observer (PSO) trained in marine mammal
science. PSOs must have demonstrated proficiency in the identification
of all age and sex classes of all marine mammal species that occur at
VSFB and on Northern Channel Islands (NCI). They must be knowledgeable
of approved count methodology and have experience in observing pinniped
behavior, especially that due to human disturbances.
(b) In the event that the PSO requirements described in paragraph
(a) of this section cannot be met (e.g., access is prohibited due to
safety concerns), daylight or nighttime video monitoring must be used in
lieu of PSO monitoring. In certain circumstances where
[[Page 126]]
the daylight or nighttime video monitoring is also not possible (e.g.,
USSF is unable to access a monitoring site due to road conditions or
human safety concerns), USSF must notify NMFS.
(c) At VSFB, USSF must conduct marine mammal monitoring and take
acoustic measurements for all new rockets, for rockets (existing and
new) launched from new facilities, and for larger or louder rockets
(including those with new launch proponents) than those that have been
previously launched from VSFB during their first three launches and for
the first three launches from any new facilities during March through
July.
(1) For launches that occur during the harbor seal pupping season
(March 1 through June 30) or when higher numbers of California sea lions
are present (June 1 through July 31), monitoring must be conducted by at
least one NMFS-approved PSO trained in marine mammal science.
(2) When launch monitoring is required, monitoring must begin at
least 72 hours prior to the launch and continue through at least 48
hours after the launch. Monitoring must include multiple surveys each
day, with a minimum of four surveys per day.
(3) For launches within the harbor seal pupping season, USSF must
conduct a follow-up survey of pups.
(4) For launches that occur during daylight, USSF must make time-
lapse video recordings to capture the reactions of pinnipeds to each
launch. For launches that occur at night, USSF must employ night video
monitoring, when feasible.
(5) When possible, PSOs must record: species, number, general
behavior, presence and number of pups, age class, gender, and reaction
to launch noise, or to natural or other human-caused disturbances. PSOs
must also record environmental conditions, including visibility, air
temperature, clouds, wind speed and direction, tides, and swell height
and direction.
(d) USSF must conduct sonic boom modeling prior to the first three
small or medium rocket launches from new launch proponents or at new
launch facilities, and all heavy or super-heavy rocket launches.
(e) USSF must conduct marine mammal monitoring and take acoustic
measurements at the NCI if the sonic boom model indicates that pressures
from a boom will reach or exceed 7 psf from 1 January through 28
February, 5 psf from 1 March through 31 July, or 7 psf from 1 August
through 30 September. No monitoring is required on NCI from 1 October
through 31 December.
(1) The monitoring site must be selected based upon the model
results, prioritizing a significant haulout site on one of the islands
where the maximum sound pressures are expected to occur.
(2) USSF must estimate the number of animals on the monitored beach
and record their reactions to the launch noise and conduct more focused
monitoring on a smaller subset or focal group.
(3) Monitoring must commence at least 72 hours prior to the launch,
during the launch and at least 48 hours after the launch, unless no
sonic boom is detected by the monitors and/or by the acoustic recording
equipment, at which time monitoring may be stopped.
(4) For launches that occur in darkness, USSF must use night vision
equipment.
(5) Monitoring for each launch must include multiple surveys each
day that record, when possible: species, number, general behavior,
presence of pups, age class, gender, and reaction to sonic booms or
natural or human-caused disturbances.
(6) USSF must collect photo and/or video recordings for daylight
launches when feasible, and if the launch occurs in darkness night
vision equipment will be used.
(7) USSF must record environmental conditions, including visibility,
air temperature, clouds, wind speed and direction, tides, and swell
height and direction.
(f) USSF must continue to test equipment and emerging technologies,
including but not limited to night vision cameras, newer models of
remote video cameras and other means of remote monitoring at both VSFB
and on the NCI.
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(g) USSF must evaluate UAS based or space-based technologies that
become available for suitability, practicability, and for any advantage
that remote sensing may provide to existing monitoring approaches.
(h) USSF must monitor marine mammals during the first three launches
of the missiles for the new Ground Based Strategic Defense program
during the months of March through July across the 5-year duration of
this subpart.
(1) When launch monitoring is required, monitoring must include
multiple surveys each day, with a minimum of four surveys per day.
(2) When possible, PSOs must record: species, number, general
behavior, presence and number of pups, age class, gender, and reaction
to launch noise, or to natural or other human-caused disturbances. PSOs
must also record environmental conditions, including visibility, air
temperature, clouds, wind speed and direction, tides, and swell height
and direction.
(i) USSF must conduct semi-monthly surveys (two surveys per month)
to monitor the abundance, distribution, and status of pinnipeds at VSFB.
Whenever possible, these surveys will be timed to coincide with the
lowest afternoon tides of each month when the greatest numbers of
animals are usually hauled out. If a VSFB or area closure precludes
monitoring on a given day, USSF must monitor on the next best day.
(1) PSOs must gather the following data at each site: species,
number, general behavior, presence and number of pups, age class,
gender, and any reactions to natural or human-caused disturbances. PSOs
must also record environmental conditions, including visibility, air
temperature, clouds, wind speed and direction, tides, and swell height
and direction.
(2) [Reserved]
(j) USSF must submit an annual report each year to NMFS Office of
Protected Resources and West Coast Region on March 1st of each year that
describes all activities and monitoring for the specified activities
during that year. This includes launch monitoring information in
paragraphs (j)(1) through (3) of this section for each launch where
monitoring is required or conducted. The annual reports must also
include a summary of the documented numbers of instances of harassment
incidental to the specified activities, including non-launch activities
(e.g., takes incidental to aircraft or helicopter operations observed
during the semi-monthly surveys). Annual reports must also include the
results of the semi-monthly sentinel marine mammal monitoring described
in paragraph (i) of this section.
(1) Launch information, including:
(i) Date(s) and time(s) of the launch (and sonic boom, if
applicable); and
(ii) Number(s), type(s), and location(s) of rockets or missiles
launched;
(2) Monitoring program design; and
(3) Results of the monitoring program, including, but not
necessarily limited to:
(i) Date(s) and location(s) of marine mammal monitoring;
(ii) Number of animals observed, by species, on the haulout prior to
commencement of the launch or recovery;
(iii) General behavior and, if possible, age (including presence and
number of pups) and sex class of pinnipeds hauled out prior to the
launch or recovery;
(iv) Number of animals, by species, age, and sex class that
responded at a level indicative of harassment. Harassment is
characterized by:
(A) Movements in response to the source of disturbance, ranging from
short withdrawals at least twice the animal's body length to longer
retreats over the beach, or if already moving a change of direction of
greater than 90 degrees; or
(B) All retreats (flushes) to the water;
(v) Number of animals, by species, age, and sex class that entered
the water, the length of time the animal(s) remained off the haulout,
and any behavioral responses by pinnipeds that were likely in response
to the specified activities, including in response to launch noise or a
sonic boom;
(vi) Environmental conditions including visibility, air temperature,
clouds, wind speed and direction, tides, and swell height and direction;
and
(vii) Results of acoustic monitoring, including the following:
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(A) Recorded sound levels associated with the launch (in SEL,
SPLpeak, and SPLrms);
(B) Recorded sound levels associated with the sonic boom (if
applicable), in psf; and
(C) The estimated distance of the recorder to the launch site and
the distance of the closest animals to the launch site.
(k) USSF must submit a final, comprehensive 5-year report to NMFS
Office of Protected Resources. This report must:
(1) Summarize the activities undertaken and the results reported in
all annual reports;
(2) Assess the impacts at each of the major rookeries; and
(3) Assess the cumulative impacts on pinnipeds and other marine
mammals from the activities specified in Sec. 217.60(a) and (b).
(l) If the activity identified in Sec. 217.60(a) likely resulted in
the take of marine mammals not identified in Sec. 217.62, then the USSF
must notify the NMFS Office of Protected Resources and the NMFS West
Coast Region stranding coordinator within 24 hours of the discovery of
the take.
(m) If real-time monitoring during a launch shows that the activity
identified in Sec. 217.60(a) is reasonably likely to have resulted in
the mortality or injury of any marine mammal, USSF must notify NMFS
within 24 hours (or next business day). NMFS and USSF must then jointly
review the launch procedure and the mitigation requirements and make
appropriate changes through the adaptive management process, as
necessary and before any subsequent launches of rockets and missiles
with similar or greater sound fields and/or sonic boom pressure levels.
Sec. 217.66 Letters of Authorization.
(a) To incidentally take marine mammals pursuant to this subpart,
the USSF must apply for and obtain an LOA in accordance with Sec.
216.106 of this chapter.
(b) An LOA, unless suspended or revoked, may be effective for a
period of time not to exceed expiration of this subpart.
(c) If an LOA expires prior to the expiration date of this subpart,
the USSF may apply for and obtain a renewal LOA.
(d) In the event of projected changes to the activity or to
mitigation, monitoring, or reporting (excluding changes made pursuant to
the adaptive management provision of Sec. 217.67(c)(1) required by an
LOA, USSF must apply for and obtain a modification of the LOA as
described in Sec. 217.67.
(e) Each LOA will set forth:
(1) Permissible methods of incidental taking;
(2) Means of effecting the least practicable adverse impact (i.e.,
mitigation) on the species and its habitat; and
(3) Requirements for monitoring and reporting.
(f) Issuance of the LOA shall be based on a determination that the
level of taking will be consistent with the findings made for the total
taking allowable under this subpart.
(g) Notice of issuance or denial of a LOA shall be published in the
Federal Register within 30 days of a determination.
Sec. 217.67 Renewals and modifications of Letter of Authorization.
(a) A LOA issued under Sec. 216.106 of this chapter and Sec.
217.66 for the activity identified in Sec. 217.60(a) and (b) shall be
modified upon request by USSF, provided that:
(1) The specified activity and mitigation, monitoring, and reporting
measures, as well as the anticipated impacts, are the same as those
described and analyzed for this subpart (excluding changes made pursuant
to the adaptive management provision in paragraph (c)(1) of this
section); and
(2) NMFS determines that the mitigation, monitoring, and reporting
measures required by the previous LOA under this subpart were
implemented.
(b) For LOA modification or renewal requests by the applicant that
include changes to the activity or the mitigation, monitoring, or
reporting measures (excluding changes made pursuant to the adaptive
management provision in paragraph (c)(1) of this section) that do not
change the findings made for this subpart or that result in no more
[[Page 129]]
than a minor change in the total estimated number of takes (or
distribution by species or stock or years), NMFS may publish a notice of
proposed changes to the LOA in the Federal Register, including the
associated analysis of the change, and solicit public comment before
issuing the LOA.
(c) An LOA issued under Sec. 216.106 of this chapter and Sec.
217.66 for the activity identified in Sec. 217.60(a) and (b) may be
modified by NMFS under the following circumstances:
(1) After consulting with the USSF regarding the practicability of
the modifications, NMFS, through adaptive management, may modify
(including adding or removing measures) the existing mitigation,
monitoring, or reporting measures if doing so creates a reasonable
likelihood of more effectively accomplishing the goals of the mitigation
and monitoring.
(i) Possible sources of data that could contribute to the decision
to modify the mitigation, monitoring, or reporting measures in an LOA
include:
(A) Results from the USSF's monitoring from the previous year(s);
(B) Results from other marine mammal and/or sound research or
studies; or
(C) Any information that reveals marine mammals may have been taken
in a manner, extent or number not authorized by this subpart or a
subsequent LOA.
(ii) If, through adaptive management, the modifications to the
mitigation, monitoring, or reporting measures are more than minor, NMFS
will publish a notice of the proposed changes to the LOA in the Federal
Register and solicit public comment.
(2) If NMFS determines that an emergency exists that poses a
significant risk to the well-being of the species or stocks of marine
mammals specified in LOAs issued pursuant to Sec. 216.106 of this
chapter and Sec. 217.62, an LOA may be modified without prior notice or
opportunity for public comment. Notice would be published in the Federal
Register within 30 days of the action.
Sec. Sec. 217.68-217.69 [Reserved]
Subpart I_Taking Marine Mammals Incidental to U.S. Navy Construction at
the Naval Magazine Indian Island Ammunition Wharf, Puget Sound,
Washington
Source: 89 FR 5692, Jan. 29, 2024, unless otherwise noted.
Effective Date Note: At 89 FR 5692, Jan. 29, 2024, subpart I was
revised, effective Oct. 1, 2024, until Sept. 30, 2029.
Sec. 217.80 Specified activity and geographical region.
(a) Regulations in this subpart apply only to the U.S. Navy (Navy)
and those persons it authorizes or funds to conduct activities on its
behalf for the taking of marine mammals that occur in the areas outlined
in paragraph (b) of this section and that occur incidental to
construction activities, including maintenance and replacement of piles,
at the Naval Magazine Indian Island Ammunition Wharf, Puget Sound,
Washington.
(b) The taking of marine mammals by the Navy may be authorized in a
Letter of Authorization (LOA) only if it occurs at the Naval Magazine
Indian Island Ammunition Wharf, Puget Sound, Washington.
Sec. 217.81 Effective dates.
Regulations in this subpart are effective from October 1, 2024,
until September 30, 2029.
Sec. 217.82 Permissible methods of taking.
Under an LOA issued pursuant to Sec. 216.106 of this chapter and
Sec. 217.86, the Holder of the LOA (hereinafter ``Navy'') may
incidentally, but not intentionally, take marine mammals within the area
described in Sec. 217.80 (b) by harassment associated with construction
activities, provided the activity is in compliance with all terms,
conditions, and requirements of the regulations in this subpart and the
applicable LOA.
[[Page 130]]
Sec. 217.83 Prohibitions.
(a) Except for the takings contemplated in Sec. 217.82 and
authorized by a LOA issued under Sec. Sec. 216.106 of this chapter and
217.86, it is unlawful for any person to do any of the following in
connection with the activities described in Sec. 217.80:
(1) Violate, or fail to comply with, the terms, conditions, and
requirements of this subpart or a LOA issued under Sec. 216.106 of this
chapter and Sec. 217.86;
(2) Take any marine mammal not specified in such LOA;
(3) Take any marine mammal specified in such LOA in any manner other
than as specified;
(4) Take a marine mammal specified in such LOA if NMFS determines
such taking results in more than a negligible impact on the species or
stocks of such marine mammal; or
(5) Take a marine mammal specified in such LOA after NMFS determines
such taking results in an unmitigable adverse impact on the species or
stock of such marine mammal for taking for subsistence uses.
(b) [Reserved]
Sec. 217.84 Mitigation requirements.
(a) When conducting the activities identified in Sec. 217.80(a),
the mitigation measures contained in any LOA issued under Sec. Sec.
216.106 of this chapter and Sec. Sec. 217.86 or 217.87 must be
implemented. These mitigation measures include but are not limited to:
(1) A copy of any issued LOA must be in the possession of the Navy,
its designees, and work crew personnel operating under the authority of
the issued LOA;
(2) The Navy must follow mitigation procedures as described in Sec.
217.84. Protected Species Observers (PSO) must monitor designated
harassment zones described in the LOA to the maximum extent practicable
based on daily visibility conditions.
(3) The Navy must ensure that construction supervisors and crews,
the PSO team, and relevant Navy staff are trained prior to the start of
construction activity subject to this rule, so that responsibilities,
communication procedures, monitoring protocols, and operational
procedures are clearly understood. New personnel joining during the
project must be trained prior to commencing work;
(4) The Navy must avoid direct physical interaction with marine
mammals during construction activity. If a marine mammal comes within 10
m of such activity, operations must cease and vessels must reduce speed
to the minimum level required to maintain steerage and safe working
conditions, as necessary, to avoid direct physical interaction;
(5) For all pile driving activity, the Navy must implement shutdown
zones with radial distances as identified in a LOA issued under Sec.
216.106 of this chapter and Sec. Sec. 217.86 or 217.87. If a marine
mammal comes within or approaches the shutdown zone, pile driving
activity must cease;
(6) The Navy must shut down in-water activities when cetaceans are
observed approaching or within any harassment zone;
(7) The Navy must use soft start techniques when impact pile
driving. Soft start requires an initial set of three strikes from the
hammer at reduced energy, followed by a 30-second waiting period. Then
two subsequent reduced-energy strike sets would occur. A soft start must
be implemented at the start of each day's impact pile driving and at any
time following cessation of impact pile driving for a period of 30
minutes or longer;
(8) The Navy must employ bubble curtain systems during impact
driving of 36-in steel piles except under conditions where the water
depth is less than 0.67 meters (2 feet) in depth. Bubble curtains must
meet the following requirements;
(i) The bubble curtain must distribute air bubbles around 100
percent of the piling perimeter for the full depth of the water column;
(ii) The lowest bubble ring must be in contact with the mudline and/
or rock bottom for the full circumference of the ring, and the weights
attached to the bottom ring shall ensure 100 percent mudline and/or rock
bottom contact. No parts of the ring or other objects shall prevent full
mudline and/or rock bottom contact; and
[[Page 131]]
(iii) The bubble curtain must be operated such that there is equal
balancing of air flow to all bubblers;
(9) The Navy must deploy PSOs as indicated in its Marine Mammal
Monitoring Plan that has been approved by NMFS;
(10) For all pile driving activities, land-based PSOs must be
stationed at the best vantage points practicable to monitor for marine
mammals and implement shutdown/delay procedures. At least one vessel-
based PSO must be employed when practicable. Additional PSOs must be
added if warranted by site conditions and/or the level of marine mammal
activity in the area;
(11) Monitoring must take place from 30 minutes prior to initiation
of pile driving activity (i.e., pre-start clearance monitoring) through
30 minutes post-completion of pile driving activity. Pre-activity
monitoring must be conducted for 30 minutes to ensure that the shutdown
zone is clear of marine mammals, and pile driving may only commence when
PSOs have declared the shutdown zone clear of marine mammals;
(12) In the event of a delay or shutdown of activity resulting from
marine mammals in the shutdown zone, animals must be allowed to remain
in the shutdown zone (i.e., must leave of their own volition) and their
behavior must be monitored and documented. If a marine mammal is
observed within the shutdown zone, a soft start cannot proceed until the
animal has left the zone or has not been observed for 15 minutes.
Monitoring must occur throughout the time required to drive a pile;
(13) If work ceases for more than 30 minutes, the pre-activity
monitoring of the shutdown zones must commence. A determination that the
shutdown zone is clear must be made during a period of good visibility;
(14) If a marine mammal approaches or enters the shutdown zone, all
pile driving activities at that location must be halted. If pile driving
is halted or delayed due to the presence of a marine mammal, the
activity may not commence or resume until either the animal has
voluntarily left and been visually confirmed beyond the shutdown zone or
15 minutes have passed without re-detection of the animal;
(15) Pile driving activity must be halted upon observation of a
species entering or within the harassment zone for either a species for
which incidental take is not authorized or a species for which
incidental take has been authorized but the authorized number of takes
has been met; and
(16) Trained PSOs must be placed at the best vantage point(s)
practicable to monitor for marine mammals and implement shutdown or
delay procedures when applicable through communication with the
equipment operator.
(b) [Reserved]
Sec. 217.85 Requirements for monitoring and reporting.
(a) The Navy must submit a Marine Mammal Monitoring Plan to NMFS for
approval at least 90 days before the start of construction and abide by
the Plan if approved.
(b) The Navy must deploy PSOs as indicated in its approved Marine
Mammal Monitoring Plan.
(c) Monitoring must be conducted by qualified, NMFS-approved PSOs,
in accordance with the following conditions:
(1) PSOs must be independent of the activity contractor (for
example, employed by a subcontractor) and have no other assigned tasks
during monitoring periods;
(2) At least one PSO must have prior experience performing the
duties of a PSO during construction activity pursuant to a NMFS-issued
incidental take authorization;
(3) Other PSOs may substitute other relevant experience, education
(degree in biological science or related field), or training for prior
experience performing the duties of a PSO during construction activity
pursuant to a NMFS-issued incidental take authorization;
(4) Where a team of three or more PSOs are required, a lead PSO or
monitoring coordinator must be designated. The lead PSO must have prior
experience performing the duties of a PSO during construction activity
pursuant to a NMFS-issued incidental take authorization; and
(5) PSOs must be approved by NMFS prior to beginning any activity
subject to these regulations.
[[Page 132]]
(d) PSOs must be trained in marine mammal identification and
behaviors.
(e) The Navy must monitor the Level B harassment zones (areas where
SPLs are equal to or exceed the 160 dB root-mean-squared (rms) threshold
for impact driving and the 120 dB rms threshold during vibratory pile
driving) to the maximum extent practicable and the shutdown zones.
(f) The Navy must coordinate with the Center for Whale Research,
Orca network, and NMFS to avoid noise exposure of southern resident
killer whales. The Navy must shut down in-water activities when southern
resident killer whales are observed or reported within or approaching
any harassment zone.
(g) The Navy must submit a draft monitoring report to NMFS within 90
calendar days of the completion of each construction year. A draft
comprehensive 5-year summary report must also be submitted to NMFS
within 90 days of the end of the project. The reports must detail the
monitoring protocol and summarize the data recorded during monitoring.
Final annual reports and the final comprehensive report must be prepared
and submitted within 30 days following resolution of any NMFS comments
on the draft report. If no comments are received from NMFS within 30
days of receipt of the draft report, the report must be considered
final. If comments are received, a final report addressing NMFS comments
must be submitted within 30 days after receipt of comments. The reports
must contain the informational elements described at minimum below
including:
(1) Dates and times (begin and end) of all marine mammal monitoring;
(2) Construction activities occurring during each daily observation
period, including how many and what type of piles were driven or
removed, by what method (i.e., impact or vibratory), the total duration
of driving time for each pile (vibratory driving), and number of strikes
for each pile (impact driving);
(3) Environmental conditions during monitoring periods (at beginning
and end of PSO shift and whenever conditions change significantly),
Beaufort sea state, and any other relevant weather conditions including
cloud cover, fog, sun glare, and overall visibility to the horizon, and
estimated observable distance (if less than the harassment zone
distance);
(4) Upon observation of a marine mammal, the following information
should be collected:
(i) PSO who sighted the animal, observer location, and activity at
time of sighting:
(ii) Time of sighting;
(iii) Identification of the animal (e.g., genus/species, lowest
possible taxonomic level, or unidentified), PSO confidence in
identification, and the composition of the group if there is a mix of
species;
(iv) Distances and bearings of each marine mammal observed in
relation to the pile being driven for each sighting (if pile driving was
occurring at time of sighting);
(v) Estimated number of animals (min/max/best);
(vi) Estimated number of animals by cohort (adults, juveniles,
neonates, group composition, etc.);
(vii) Animal's closest point of approach and estimated time spent
within the harassment zone;
(viii) Description of any marine mammal behavioral observations
(e.g., observed behaviors such as feeding or traveling), including an
assessment of behavioral responses to the activity (e.g., no response or
changes in behavioral state such as ceasing feeding, changing direction,
flushing, or breaching);
(ix) Detailed information about any implementation of any mitigation
(e.g., shutdowns and delays), a description of specific actions that
ensued, and resulting changes in the behavior of the animal, if any; and
(x) All PSO datasheets and/or raw sightings data.
(h) In the event that personnel involved in the construction
activities discover an injured or dead marine mammal, the Navy must
report the incident to NMFS Office of Protected Resources (OPR), and to
the West Coast Regional Stranding Coordinator, as soon as feasible. If
the death or injury was caused by the specified activity, the Navy must
immediately cease the specified activities until NMFS OPR is able to
review the circumstances of the
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incident and determine what, if any, additional measures are appropriate
to ensure compliance with the terms of this rule and the LOA issued
under Sec. 216.106 of this chapter and Sec. 217.86. The Navy must not
resume their activities until notified by NMFS. The report must include
the following information:
(1) Time, date, and location (latitude/longitude) of the first
discovery (and updated location information if known and applicable);
(2) Species identification (if known) or description of the
animal(s) involved;
(3) Condition of the animal(s) (including carcass condition if the
animal is dead);
(4) Observed behaviors of the animal(s), if alive;
(5) If available, photographs or video footage of the animal(s); and
(6) General circumstances under which the animal was discovered.
Sec. 217.86 Letters of Authorization.
(a) To incidentally take marine mammals pursuant to these
regulations, the Navy must apply for and obtain an LOA.
(b) An LOA, unless suspended or revoked, may be effective for a
period of time not to exceed the expiration date of these regulations.
(c) If an LOA expires prior to the expiration date of these
regulations, the Navy may apply for and obtain a renewal of the LOA.
(d) In the event of projected changes to the activity or to
mitigation and monitoring measures required by an LOA, the Navy must
apply for and obtain a modification of the LOA as described in Sec.
217.87.
(e) The LOA must set forth the following information:
(1) Permissible methods of incidental taking;
(2) Means of effecting the least practicable adverse impact (i.e.,
mitigation) on the species, its habitat, and on the availability of the
species for subsistence uses; and
(3) Requirements for monitoring and reporting.
(f) Issuance of the LOA must be based on a determination that the
level of taking will be consistent with the findings made for the total
taking allowable under these regulations.
(g) Notice of issuance or denial of an LOA must be published in the
Federal Register within 30 days of a determination.
Sec. 217.87 Renewals and modifications of Letters of Authorization.
(a) An LOA issued under Sec. Sec. 216.106 of this chapter and
217.86 for the activity identified in Sec. 217.80(a) may be renewed or
modified upon request by the applicant, provided that:
(1) The specified activity and mitigation, monitoring, and reporting
measures, as well as the anticipated impacts, are the same as those
described and analyzed for these regulations; and
(2) NMFS determines that the mitigation, monitoring, and reporting
measures required by the previous LOA under these regulations were
implemented.
(b) For LOA modification or renewal requests by the applicant that
include changes to the activity or the mitigation, monitoring, or
reporting that do not change the findings made for the regulations or
result in no more than a minor change in the total estimated number of
takes (or distribution by species or years), NMFS may publish a notice
of proposed LOA in the Federal Register, including the associated
analysis of the change, and solicit public comment before issuing the
LOA.
(c) An LOA issued under Sec. Sec. 216.106 of this chapter and
217.86 for the activity identified in Sec. 217.80 (a) may be modified
by NMFS under the following circumstances:
(1) NMFS may modify (including augment) the existing mitigation,
monitoring, or reporting measures (after consulting with Navy regarding
the practicability of the modifications) if doing so creates a
reasonable likelihood of more effectively accomplishing the goals of the
mitigation and monitoring set forth in the preamble for these
regulations;
(i) Possible sources of data that could contribute to the decision
to modify the mitigation, monitoring, or reporting measures in an LOA:
(A) Results from Navy's monitoring from previous years;
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(B) Results from other marine mammal and/or sound research or
studies; and
(C) Any information that reveals marine mammals may have been taken
in a manner, extent or number not authorized by these regulations or
subsequent LOAs; and
(ii) If, through adaptive management, the modifications to the
mitigation, monitoring, or reporting measures are substantial, NMFS must
publish a notice of proposed LOA in the Federal Register and solicit
public comment; and
(2) If NMFS determines that an emergency exists that poses a
significant risk to the well-being of the species or stocks of marine
mammals specified in a LOA issued pursuant to Sec. Sec. 216.106 of this
chapter and 217.86, a LOA may be modified without prior notice or
opportunity for public comment. Notification will be published in the
Federal Register within 30 days of the action.
Sec. Sec. 217.88-217.89 [Reserved]
Subpart J_Taking and Importing Marine Mammals; U.S. Navy's Submarine
Base New London Pier Construction
Source: 83 FR 36788, July 31, 2018, unless otherwise noted.
Effective Date Note: At 83 FR 36788, July 31, 2018, subpart J was
added, effective Mar. 1, 2020, until Feb. 28, 2025.
Sec. 217.90 Specified activity and specified geographical region.
(a) Regulations in this subpart apply only to the U.S. Navy (Navy)
and those persons it authorizes or funds to conduct activities on its
behalf for the taking of marine mammals that occurs in the area outlined
in paragraph (b) of this section and that occurs incidental to the
activities described in paragraph (c) of this section.
(b) The taking of marine mammals by the Navy may be authorized in
Letters of Authorization (LOAs) only if it occurs within the Navy
Submarine Base New London Study Area, which is located in the towns of
Groton and Ledyard in New London County, Connecticut.
(c) The taking of marine mammals by the Navy is only authorized if
it occurs incidental to the Navy's conducting in-water pier construction
or demolition activities.
Sec. 217.91 Effective dates and definitions.
Regulations in this subpart are effective March 1, 2020 through
February 28, 2025.
Sec. 217.92 Permissible methods of taking.
Under LOAs issued pursuant to Sec. 216.106 of this chapter and
Sec. 217.96, the Holder of the LOAs (hereinafter ``Navy'') may
incidentally, but not intentionally, take marine mammals within the area
described in Sec. 217.90(b) by Level A harassment and Level B
harassment associated with in-water pile driving and pile removal
activities, provided the activity is in compliance with all terms,
conditions, and requirements of the regulations in this subpart and the
applicable LOAs.
Sec. 217.93 Prohibitions.
Notwithstanding takings contemplated in Sec. 217.92 and authorized
by LOAs issued under Sec. 216.106 of this chapter and Sec. 217.96, no
person in connection with the activities described in Sec. 217.90 may:
(a) Violate, or fail to comply with, the terms, conditions, and
requirements of this subpart or a LOA issued under Sec. 216.106 of this
chapter and Sec. 217.96;
(b) Take any marine mammal not specified in such LOAs;
(c) Take any marine mammal specified in such LOAs in any manner
other than as specified;
(d) Take a marine mammal specified in such LOAs if NMFS determines
such taking results in more than a negligible impact on the species or
stocks of such marine mammal; or
(e) Take a marine mammal specified in such LOAs if NMFS determines
such taking results in an unmitigable adverse impact on the availability
of such species or stock of marine mammal for taking for subsistence
uses.
[[Page 135]]
Sec. 217.94 Mitigation requirements.
When conducting the activities identified in Sec. 217.90(c), the
mitigation measures contained in any LOAs issued under Sec. 216.106 of
this chapter and Sec. 217.96 must be implemented. These mitigation
measures shall include but are not limited to:
(a) Time restriction. In-water construction and demolition work
shall occur only during daylight hours.
(b) Establishment of monitoring and shutdown zones. (1) For all
relevant in-water construction and demolition activity, the Navy shall
designate Level A harassment zones with radial distances as identified
in any LOA issued under Sec. 216.106 of this chapter and Sec. 217.96.
(2) For all relevant in-water construction and demolition activity,
the Navy shall designate Level B harassment zones with radial distances
as identified in any LOA issued under Sec. 216.106 of this chapter and
Sec. 217.96.
(3) For all in-water construction and demolition activity, the Navy
shall implement a minimum shutdown zone of a 10-m radius around the
pile. If a marine mammal comes within or approaches the shutdown zone,
such operations shall cease.
(c) Monitoring visibility. Pile driving shall only take place when
the shutdown and Level A zones are visible and can be adequately
monitored. If conditions (e.g., fog) prevent the visual detection of
marine mammals, activities with the potential to result in Level A
harassment shall not be initiated. If such conditions arise after the
activity has begun, pile driving or pile removal activities shall be
halted if the 10-m shutdown zone is not visible.
(d) Shutdown measures. (1) The Navy shall deploy three protected
species observers (PSOs) to monitor marine mammals during in-water pile
driving and pile removal. One PSO shall be located on land and two shall
be located in a boat to monitor the farther locations.
(2) Monitoring shall take place from 15 minutes prior to initiation
of pile driving or removal activity through 30 minutes post-completion
of pile driving or removal activity. Pre-activity monitoring shall be
conducted for 15 minutes to ensure that the shutdown zone is clear of
marine mammals, and pile driving or removal may commence when observers
have declared the shutdown zone clear of marine mammals. In the event of
a delay or shutdown of activity resulting from marine mammals in the
shutdown zone, animals shall be allowed to remain in the shutdown zone
(i.e., must leave of their own volition) and their behavior shall be
monitored and documented. Monitoring shall occur throughout the time
required to drive or remove a pile. A determination that the shutdown
zone is clear must be made during a period of good visibility (i.e., the
entire shutdown zone and surrounding waters must be visible to the naked
eye).
(3) If a marine mammal approaches or enters the shutdown zone, or if
a marine mammal not specified in the LOAs enters the Level B harassment
zone, or if the take of a marine mammal species or stock has reached the
take limits specified in any LOA issued under Sec. 216.106 of this
chapter and Sec. 217.96 and enters the Level B harassment zone, all
pile driving or removal activities at that location shall be halted. If
pile driving or removal is halted or delayed due to the presence of a
marine mammal, the activity may not commence or resume until either the
animal has voluntarily left and been visually confirmed beyond the
shutdown zone or fifteen minutes have passed without re-detection of the
animal.
(4) The Navy shall implement shutdown measures if the number of
authorized takes for any particular species reaches the limit under the
applicable LOA and if such marine mammals are sighted within the
vicinity of the project area and are approaching the Level B harassment
zone during in-water construction or demolition activities.
(e) Soft start. (1) The Navy shall implement soft start techniques
for impact pile driving. The Navy shall conduct an initial set of three
strikes from the impact hammer at 40 percent energy, followed by a 1-
minute waiting period, then two subsequent three strike sets.
(2) Soft start shall be required for any impact driving, including
at the beginning of the day, and at any time
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following a cessation of impact pile driving of 30 minutes or longer.
Sec. 217.95 Requirements for monitoring and reporting.
(a) Marine mammal monitoring--(1) General requirements. The Navy
shall employ trained protected species observers (PSOs) to conduct
marine mammal monitoring for its Submarine Base New London pier
construction project. The PSOs shall observe and collect data on marine
mammals in and around the project area for 15 minutes before, during,
and for 30 minutes after all pile removal and pile installation work.
PSOs shall have no other assigned tasks during monitoring periods, and
shall be placed at the best vantage point(s) practicable to monitor for
marine mammals and implement shutdown or delay procedures when
applicable through communication with the equipment operator.
(2) Protected species observer qualifications. NMFS-approved PSOs
shall meet the following requirements:
(i) Independent observers (i.e., not construction personnel) are
required;
(ii) At least one observer must have prior experience working as an
observer;
(iii) Other observers may substitute education (undergraduate degree
in biological science or related field) or training for experience;
(iv) Where a team of three or more observers are required, one
observer should be designated as lead observer or monitoring
coordinator. The lead observer must have prior experience working as an
observer; and
(v) NMFS will require submission and approval of observer CVs.
(3) Marine mammal monitoring protocols. (i) The Navy shall conduct
briefings between construction supervisors and crews and the PSO team
prior to the start of all pile driving activities, and when new
personnel join the work, in order to explain responsibilities,
communication procedures, marine mammal monitoring protocol, and
operational procedures. All personnel working in the project area shall
watch the Navy's Marine Species Awareness Training video. An informal
guide shall be included with the monitoring plan to aid in identifying
species if they are observed in the vicinity of the project area.
(ii) The Navy shall monitor the Level A and Level B harassment zones
before, during, and after pile driving activities for all in-water
constructions. The Marine Mammal Monitoring Plan shall include the
following procedures:
(A) PSO location. PSOs will be primarily located on boats, docks,
and piers at the best vantage point(s) in order to properly see the
entire shutdown zone(s).
(B) PSO vantage point. PSOs will be located at the best vantage
point(s) to observe the zone associated with behavioral impact
thresholds.
(C) Observation equipment. During all observation periods, PSOs will
use high-magnification (25X), as well as standard handheld (7X)
binoculars, and the naked eye to search continuously for marine mammals.
(D) Ranging equipment. Monitoring distances will be measured with
range finders. Distances to animals will be based on the best estimate
of the PSO, relative to known distances to objects in the vicinity of
the PSO.
(E) Bearing. Bearings to animals will be determined using a compass.
(F) Pre-activity monitoring. The shutdown zone will be monitored for
15 minutes prior to in-water construction/demolition activities. If a
marine mammal is present within the 10-m shutdown zone, the activity
will be delayed until the animal(s) leaves the shutdown zone. Activity
will resume only after the PSO has determined that, through sighting or
by waiting 15 minutes, the animal(s) has moved outside the shutdown
zone. If a marine mammal is observed approaching the shutdown zone, the
PSO who sighted that animal will notify all other PSOs of its presence.
(G) During activity monitoring. If a marine mammal is observed
entering the Level A or Level B harassment zones outside the 10-m
shutdown zone, the pile segment being worked on will be completed
without cessation, unless the animal enters or approaches the shutdown
zone, at which point all pile driving activities will be halted. If an
animal is observed within the shutdown zone during pile driving, then
pile driving will be stopped as soon as it is
[[Page 137]]
safe to do so. Pile driving can only resume once the animal has left the
shutdown zone of its own volition or has not been re-sighted for a
period of 15 minutes.
(H) Post-activity monitoring. Monitoring of all zones will continue
for 30 minutes following the completion of the activity.
(b) Acoustic monitoring--(1) Sound source verification. (i) The Navy
shall conduct pile driving sound source verification for the following
types and sizes of piles:
(A) Vibratory and impact installation of at least 5 16-in fiberglass
reinforced plastic piles; and
(B) Rock socket drilling of at least 3 30-in and 3 16-in piles.
(ii) Sound source measurements of these piles sound shall be
conducted at distances approximately 10 m from the source.
(iii) For vibratory pile driving/removal source level measurements,
reports shall include 1-s sound exposure level (SEL), source spectrum,
duration of recordings used to derived the SEL, and 24-hour cumulative
SEL extrapolated from measurements.
(iv) For impact pile driving source level measurements, report
should include peak sound pressure level (SPLpk), root-mean-
square SPL (SPLrms), single strike SEL (SELss),
integration time for SPLrms, SELss spectrum, and
24-hour cumulative SEL extrapolated from measurements.
(2) Level B harassment distance verification. (i) The Navy shall
empirically determine the Level B harassment distance either by
extrapolating from in situ measurements conducted at several points
between 10 and 500 m from the source, or by direct measurements to
locate the distance where the received levels reach 120 dB or below, or
at the ambient noise level.
(ii) Level B harassment zones to be empirically verified include:
(A) Rock socket drilling of at least 3 30-in and 3 16-in piles;
(B) Vibratory installation of at least 3 36-in steel piles; and
(C) Vibratory removal of at least 3 24-in concrete and 3 33-in
concrete piles.
(iii) For extent of Level B harassment zone verification, the Navy
shall report the measured or extrapolated distances where the received
levels SPLrms decay to 120-dB or to the ambient noise level,
whichever is higher, as well as integration time for such
SPLrms.
(3) Source level calculation. The sound levels reported should be in
median and linear average (i.e., taking averages of sound intensity
before converting to dB).
(4) Sediment type. The passive acoustic monitoring reports shall
also include sediment type where measurements are made.
(c) Reporting measures--(1) Annual reports. (i) The Navy shall
submit an annual report within 90 days after each activity year,
starting from the date when the LOA is issued (for the first annual
report) or from the date when the previous annual report ended.
(ii) Annual reports shall detail the monitoring protocol, summarize
the data recorded during monitoring, and estimate the number of marine
mammals that may have been harassed during the period of the report.
(iii) Annual reports shall also include results from acoustic
monitoring detailed in paragraph (b) of this section.
(iv) NMFS shall provide comments within 30 days after receiving
annual reports, and the Navy shall address the comments and submit
revisions within 30 days after receiving NMFS comments. If no comment is
received from the NMFS within 30 days, the annual report is considered
completed.
(2) Final report. (i) The Navy shall submit a comprehensive summary
report to NMFS not later than 90 days following the conclusion of marine
mammal monitoring efforts described in this subpart.
(ii) The final report shall synthesize all data recorded during
marine mammal monitoring, and estimate the number of marine mammals that
may have been harassed through the entire project.
(iii) NMFS would provide comments within 30 days after receiving
this report, and the Navy shall address the comments and submit
revisions within 30 days after receiving NMFS comments. If no comment is
received from the NMFS within 30 days, the final report is considered as
final.
[[Page 138]]
(3) Reporting of injured or dead marine mammals. (i) In the
unanticipated event that the construction or demolition activities
clearly cause the take of a marine mammal in a prohibited manner, such
as an injury, serious injury, or mortality, the Navy shall immediately
cease all operations and immediately report the incident to the NMFS
Office of Protected Resources, NMFS, and the Greater Atlantic Region
Stranding Coordinators. The report must include the following
information:
(A) Time, date, and location (latitude/longitude) of the incident;
(B) Description of the incident;
(C) Status of all sound source use in the 24 hours preceding the
incident;
(D) Environmental conditions (e.g., wind speed and direction, sea
state, cloud cover, visibility, and water depth);
(E) Description of marine mammal observations in the 24 hours
preceding the incident;
(F) Species identification or description of the animal(s) involved;
(G) The fate of the animal(s); and
(H) Photographs or video footage of the animal (if equipment is
available).
(ii) Activities shall not resume until NMFS is able to review the
circumstances of the prohibited take. NMFS shall work with the Navy to
determine what is necessary to minimize the likelihood of further
prohibited take and ensure MMPA compliance. The Navy may not resume
their activities until notified by NMFS via letter, email, or telephone.
(iii) In the event that the Navy discovers an injured or dead marine
mammal, and the lead PSO determines that the cause of the injury or
death is unknown and the death is relatively recent (i.e., in less than
a moderate state of decomposition as described in the next paragraph),
the Navy will immediately report the incident to the NMFS Office of
Protected Resources, NMFS, and the Greater Atlantic Regional Stranding
Coordinators. The report must include the same information identified in
paragraph (c)(3)(i)(A) of this section. Activities may continue while
NMFS reviews the circumstances of the incident. NMFS will work with the
Navy to determine whether modifications in the activities are
appropriate.
(iv) In the event that the Navy discovers an injured or dead marine
mammal, and the lead protected species observer determines that the
injury or death is not associated with or related to the activities
authorized in the IHA (e.g., previously wounded animal, carcass with
moderate to advanced decomposition, or scavenger damage), the Navy shall
report the incident to the NMFS Office of Protected Resources, NMFS, and
the Greater Atlantic Regional Stranding Coordinators, within 24 hours of
the discovery. The Navy shall provide photographs or video footage (if
available) or other documentation of the stranded animal sighting to
NMFS and the Marine Mammal Stranding Network. The Navy can continue its
operations under such a case.
Sec. 217.96 Letters of Authorization.
(a) To incidentally take marine mammals pursuant to these
regulations, the Navy must apply for and obtain LOAs in accordance with
Sec. 216.106 of this chapter for conducting the activity identified in
Sec. 217.90(c).
(b) LOAs, unless suspended or revoked, may be effective for a period
of time not to extend beyond the expiration date of these regulations.
(c) If an LOAs expires prior to the expiration date of these
regulations, the Navy may apply for and obtain a renewal of the LOAs.
(d) In the event of projected changes to the activity or to
mitigation, monitoring, reporting (excluding changes made pursuant to
the adaptive management provision of Sec. 217.97(c)(1)) required by an
LOA, the Navy must apply for and obtain a modification of LOAs as
described in Sec. 217.97.
(e) Each LOA shall set forth:
(1) Permissible methods of incidental taking;
(2) Means of effecting the least practicable adverse impact (i.e.,
mitigation) on the species, their habitat, and the availability of the
species for subsistence uses; and
(3) Requirements for monitoring and reporting.
(f) Issuance of the LOAs shall be based on a determination that the
level
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of taking shall be consistent with the findings made for the total
taking allowable under these regulations.
(g) Notice of issuance or denial of the LOAs shall be published in
the Federal Register within 30 days of a determination.
Sec. 217.97 Renewals and modifications of Letters of Authorization.
(a) An LOA issued under Sec. 216.106 of this chapter and Sec.
217.96 for the activity identified in Sec. 217.90(c) shall be renewed
or modified upon request by the applicant, provided that:
(1) The proposed specified activity and mitigation, monitoring, and
reporting measures, as well as the anticipated impacts, are the same as
those described and analyzed for these regulations (excluding changes
made pursuant to the adaptive management provision in paragraph (c)(1)
of this section); and
(2) NMFS determines that the mitigation, monitoring, and reporting
measures required by the previous LOAs under these regulations were
implemented.
(b) For LOA modification or renewal requests by the applicant that
include changes to the activity or the mitigation, monitoring, or
reporting measures (excluding changes made pursuant to the adaptive
management provision in paragraph (c)(1) of this section) that do not
change the findings made for the regulations or result in no more than a
minor change in the total estimated number of takes (or distribution by
species or years), NMFS may publish a notice of proposed LOA in the
Federal Register, including the associated analysis of the change, and
solicit public comment before issuing the LOA.
(c) An LOA issued under Sec. 216.106 of this chapter and Sec.
217.96 for the activity identified in Sec. 217.90(c) may be modified by
NMFS under the following circumstances:
(1) Adaptive management. After consulting with the Navy regarding
the practicability of the modifications, NMFS may modify (including by
adding or removing measures) the existing mitigation, monitoring, or
reporting measures if doing so creates a reasonable likelihood of more
effectively accomplishing the goals of the mitigation and monitoring set
forth in the preamble for these regulations.
(i) Possible sources of data that could contribute to the decision
to modify the mitigation, monitoring, or reporting measures in an LOA:
(A) Results from the Navy's monitoring from the previous year(s);
(B) Results from other marine mammal and/or sound research or
studies; or
(C) Any information that reveals marine mammals may have been taken
in a manner, extent or number not authorized by these regulations or
subsequent LOAs.
(ii) If, through adaptive management, the modifications to the
mitigation, monitoring, or reporting measures are substantial, NMFS
shall publish a notice of proposed LOA in the Federal Register and
solicit public comment.
(2) Emergencies. If NMFS determines that an emergency exists that
poses a significant risk to the well-being of the species or stocks of
marine mammals specified in LOAs issued pursuant to Sec. 216.106 of
this chapter and Sec. 217.96, an LOA may be modified without prior
notice or opportunity for public comment. Notice would be published in
the Federal Register within thirty days of the action.
Sec. Sec. 217.98-217.99 [Reserved]
Subpart K_Taking Marine Mammals Incidental to Rocky Intertidal
Monitoring Surveys Along the Oregon and California Coasts
Source: 85 FR 18467, Apr. 2, 2020, unless otherwise noted.
Effective Date Note: At 85 FR 18467, Apr. 2, 2020, subpart K was
added, effective Apr. 12, 2020, through Apr. 11, 2021. At 85 FR 20201,
Apr. 10, 2020, the end date was corrected to Apr. 11, 2025.
Sec. 217.100 Specified activity and specified geographical region.
(a) Regulations in this subpart apply only to the University of
California Santa Cruz's Partnership for Interdisciplinary Studies of
Coastal Oceans (UCSC/PISCO) and those persons it authorizes or funds to
conduct activities
[[Page 140]]
on its behalf for the taking of marine mammals that occurs in the areas
outlined in paragraph (b) of this section and that occur incidental to
rocky intertidal monitoring research surveys.
(b) The taking of marine mammals by UCSC/PISCO may be authorized in
a Letter of Authorization (LOA) only if it occurs on the coasts of
Oregon or California.
Sec. 217.101 Effective dates.
Regulations in this subpart are effective from April 12, 2020
through April 11, 2025.
Sec. 217.102 Permissible methods of taking.
Under LOAs issued pursuant to Sec. Sec. 216.106 of this chapter and
217.106, the Holder of the LOA (hereinafter ``UCSC/PISCO'') may
incidentally, but not intentionally, take marine mammals within the area
described in Sec. 217.100(b) by Level B harassment associated with
rocky intertidal monitoring activities, provided the activity is in
compliance with all terms, conditions, and requirements of the
regulations in this subpart and the appropriate LOA.
Sec. 217.103 Prohibitions.
Notwithstanding takings contemplated in Sec. 217.100 and authorized
by a LOA issued under Sec. Sec. 216.106 of this chapter and 217.106, no
person in connection with the activities described in Sec. 217.100 may:
(a) Violate, or fail to comply with, the terms, conditions, and
requirements of this subpart or a LOA issued under Sec. Sec. 216.106 of
this chapter and 217.106;
(b) Take any marine mammal not specified in such LOA;
(c) Take any marine mammal specified in such LOA in any manner other
than as specified in Sec. 217.102;
(d) Take a marine mammal specified in such LOA if NMFS determines
such taking results in more than a negligible impact on the species or
stocks of such marine mammal; or
(e) Take a marine mammal specified in such LOA if NMFS determines
such taking results in an unmitigable adverse impact on the species or
stock of such marine mammal for taking for subsistence uses.
Sec. 217.104 Mitigation requirements.
When conducting the activities identified in Sec. 217.100(a), the
mitigation measures contained in any LOA issued under Sec. Sec. 216.106
of this chapter and 217.106 must be implemented. These mitigation
measures shall include but are not limited to:
(a) General conditions. (1) Researchers must observe a site from a
distance for at least five minutes, using binoculars if necessary, to
detect any marine mammals prior to approach to determine if mitigation
is required (i.e., site surveys will not be conducted if other species
of pinnipeds are present, researchers will approach with caution,
walking slowly, quietly, and close to the ground to avoid surprising any
hauled-out individuals and to reduce flushing/stampeding of
individuals).
(2) Researchers must avoid pinnipeds along access ways to sites by
locating and taking a different access way. Researchers must keep a safe
distance from and not approach any marine mammal while conducting
research, unless it is absolutely necessary to approach a marine mammal
in order to continue conducting research (i.e., if a site cannot be
accessed or sampled due to the presence of pinnipeds).
(3) Researchers must avoid making loud noises (i.e., using hushed
voices) and keep bodies low to the ground in the visual presence of
pinnipeds.
(4) Researchers must monitor the offshore area for predators (such
as killer whales and white sharks) and avoid flushing of pinnipeds when
predators are observed in nearshore waters.
(5) Researchers must promptly vacate sites at the conclusion of
sampling.
(b) Pup protection measure. Intentional approach must not occur if
dependent pups are present to avoid mother/pup separation and trampling
of pups. Staff shall reschedule work at sites where pups are present,
unless other means of accomplishing the work can be done without causing
disturbance to mothers and dependent pups.
Sec. 217.105 Requirements for monitoring and reporting.
(a) Visual monitoring program. (1) Standard information recorded
must include species counts (with numbers
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of pups/juveniles when possible) of animals present before approaching,
numbers of observed disturbances, and descriptions of the disturbance
behaviors during the monitoring surveys, including location, date, and
time of the event.
(2) UCSC/PISCO must note observations of:
(i) Unusual behaviors, numbers, or distributions of pinnipeds, such
that any potential follow-up research can be conducted by the
appropriate personnel;
(ii) Tag-bearing carcasses of pinnipeds, allowing transmittal of the
information to appropriate agencies and personnel; and
(iii) Rare or unusual species of marine mammals for agency follow-
up.
(3) For consistency, any reactions by pinnipeds to researchers will
be recorded according to a three-point scale shown in Table 1 to this
paragraph (a)(3). Only observations of disturbance Levels 2 and 3 should
be recorded as takes.
Table 1 to Paragraph (a)(3)--Levels of Pinniped Behavioral Disturbance
------------------------------------------------------------------------
Level Type of response Definition
------------------------------------------------------------------------
1...................... Alert............. Seal head orientation or
brief movement in response
to disturbance, which may
include turning head
towards the disturbance,
craning head and neck
while holding the body
rigid in a u-shaped
position, changing from a
lying to a sitting
position, or brief
movement of less than
twice the animal's body
length.
2...................... Movement.......... Movements in response to
the source of disturbance,
ranging from short
withdrawals at least twice
the animal's body length
to longer retreats over
the beach, or if already
moving a change of
direction of greater than
90 degrees.
3...................... Flush............. All retreats (flushes) to
the water.
------------------------------------------------------------------------
(4) Information regarding physical and biological conditions
pertaining to a site, as well as the date and time that research was
conducted are also noted.
(b) Prohibited take. (1) If at any time the specified activity
clearly causes the take of a marine mammal in a manner prohibited by
this subpart or LOA, such as an injury (Level A harassment), serious
injury, or mortality, UCSC/PISCO shall immediately cease the specified
activities and report the incident to the Office of Protected Resources,
NMFS, and the West Coast Regional Stranding Coordinator, NMFS. The
report must include the following information:
(i) Time and date of the incident;
(ii) Description of the incident;
(iii) Environmental conditions (e.g., wind speed and direction,
Beaufort sea state, cloud cover, and visibility);
(iv) Description of all marine mammal observations in the 24 hours
preceding the incident;
(v) Species identification or description of the animal(s) involved;
(vi) Fate of the animal(s); and
(vii) Photographs or video footage of the animal(s) (if equipment is
available).
(2) Activities shall not resume until NMFS is able to review the
circumstances of the prohibited take. NMFS will work with UCSC/PISCO to
determine what measures are necessary to minimize the likelihood of
further prohibited take and ensure MMPA compliance. UCSC/PISCO may not
resume the activities until notified by NMFS via letter, email, or
telephone.
(c) Notification of dead or injured marine mammals. (1) In the event
that UCSC/PISCO discovers an injured or dead marine mammal and
determines that the cause of the injury or death is unknown and the
death is relatively recent (e.g., in less than a moderate state of
decomposition), UCSC/PISCO shall immediately report the incident to the
Office of Protected Resources, NMFS, and the West Coast Regional
Stranding Coordinator, NMFS. The report must include the information
identified in paragraph (b)(1) of this section. Activities may continue
while NMFS reviews the circumstances of the incident. NMFS will work
with UCSC/PISCO to determine whether additional mitigation measures or
modifications to the activities are appropriate.
[[Page 142]]
(2) In the event that an injured or dead marine mammal is discovered
and it is determined that the injury or death is not associated with or
related to the activities authorized in this subpart and LOA (e.g.,
previously wounded animal, carcass with moderate to advanced
decomposition, or scavenger damage), UCSC/PISCO shall report the
incident to the Office of Protected Resources, NMFS, and the West Coast
Regional Stranding Coordinator, NMFS, within 24 hours of the discovery.
UCSC/PISCO shall provide photographs, video footage (if available), or
other documentation of the stranded animal sighting to NMFS and the
Marine Mammal Stranding Network. Activities may continue while NMFS
reviews the circumstances of the incident.
(d) Annual report. (1) A draft annual report shall be submitted to
NMFS Office of Protected Resources within 90 days after the conclusion
of each annual field season. The final annual report after year five may
be included as part of the final report (see paragraph (e) of this
section). The report must include a summary of the information gathered
pursuant to the monitoring requirements set forth in paragraph (a) of
this section and in the LOA.
(2) A final annual report shall be submitted to the Director of the
NMFS Office of Protected Resources within 30 days after receiving
comments from NMFS on the draft annual report. If no comments are
received from NMFS, the draft annual report will be considered the final
report.
(e) Final report. A draft final report shall be submitted to NMFS
Office of Protected Resources within 60 days after the conclusion of the
fifth year. A final report shall be submitted to the Director of the
NMFS Office of Protected Resources and to the NMFS West Coast Regional
Administrator within 30 days after receiving comments from NMFS on the
draft final report. If no comments are received from NMFS, the draft
final report will be considered the final report.
Sec. 217.106 Letters of Authorization.
(a) To incidentally take marine mammals pursuant to this subpart,
UCSC/PISCO must apply for and obtain an LOA.
(b) An LOA, unless suspended or revoked, may be effective for a
period of time not to exceed the expiration date of this subpart.
(c) If an LOA expires prior to the expiration date of this subpart,
UCSC/PISCO may apply for and obtain a renewal of the LOA.
(d) In the event of projected changes to the activity or to
mitigation and monitoring measures required by an LOA, UCSC/PISCO must
apply for and obtain a modification of the LOA as described in Sec.
217.107.
(e) The LOA shall set forth:
(1) Permissible methods and numbers of incidental taking;
(2) Means of effecting the least practicable adverse impact (i.e.,
mitigation) on the species, its habitat, and on the availability of the
species for subsistence uses; and
(3) Requirements for monitoring and reporting.
(f) Issuance of the LOA shall be based on a determination that the
level of taking will be consistent with the findings made for the total
taking allowable under this subpart.
(g) Notice of issuance or denial of an LOA shall be published in the
Federal Register within 30 days of a determination.
Sec. 217.107 Renewals and modifications of Letters of Authorization.
(a) An LOA issued under Sec. Sec. 216.106 of this chapter and
217.106 for the activity identified in Sec. 217.100(a) shall be renewed
or modified upon request by the applicant, provided that:
(1) The proposed specified activity and mitigation, monitoring, and
reporting measures, as well as the anticipated impacts, are the same as
those described and analyzed for this subpart (excluding changes made
pursuant to the adaptive management provision in paragraph (c)(1) of
this section); and
(2) NMFS' Office of Protected Resources determines that the
mitigation, monitoring, and reporting measures required by the previous
LOA under this subpart were implemented.
(b) For an LOA modification or renewal requests by the applicant
that include changes to the activity or the mitigation, monitoring, or
reporting (excluding changes made pursuant to
[[Page 143]]
the adaptive management provision in paragraph (c)(1) of this section)
that do not change the findings made for this subpart or result in no
more than a minor change in the total estimated number of takes (or
distribution by species or years), NMFS' Office of Protected Resources
may publish a notice of proposed LOA in the Federal Register, including
the associated analysis of the change, and solicit public comment before
issuing the LOA.
(c) An LOA issued under Sec. Sec. 216.106 of this chapter and
217.106 for the activity identified in Sec. 217.100(a) may be modified
by NMFS' Office of Protected Resources under the following
circumstances:
(1) Adaptive management. NMFS' Office of Protected Resources may
modify (including augment) the existing mitigation, monitoring, or
reporting measures (after consulting with UCSC/PISCO regarding the
practicability of the modifications) if doing so creates a reasonable
likelihood of more effectively accomplishing the goals of the mitigation
and monitoring set forth in this subpart.
(i) Possible sources of data that could contribute to the decision
to modify the mitigation, monitoring, or reporting measures in an LOA:
(A) Results from UCSC/PISCO's monitoring from the previous year(s).
(B) Results from other marine mammal and/or sound research or
studies.
(C) Any information that reveals marine mammals may have been taken
in a manner, extent, or number not authorized by this subpart or
subsequent LOAs.
(ii) If, through adaptive management, the modifications to the
mitigation, monitoring, or reporting measures are substantial, NMFS'
Office of Protected Resources will publish a notice of proposed LOA in
the Federal Register and solicit public comment.
(2) Emergencies. If NMFS' Office of Protected Resources determines
that an emergency exists that poses a significant risk to the well-being
of the species or stocks of marine mammals specified in LOAs issued
pursuant to Sec. Sec. 216.106 of this chapter and 217.106, an LOA may
be modified without prior notice or opportunity for public comment.
Notice would be published in the Federal Register within thirty days of
the action.
Sec. Sec. 217.108--217.109 [Reserved]
Subpart L_Taking and Importing Marine Mammals Incidental to Navy
Construction of the Pier 3 Replacement Project at Naval Station Norfolk
at Norfolk, Virginia
Source: 88 FR 31654, May 18, 2023, unless otherwise noted.
Effective Date Note: At 88 FR 31654, May 18, 2023, subpart L was
added, effective May 18, 2023, through May 18, 2028.
Sec. 217.110 Specified activity and geographical region.
(a) Regulations under this subpart apply only to the U.S. Navy
(Navy) and those persons it authorizes or funds to conduct activities on
its behalf for the taking of marine mammals that occurs in the areas
outlined in paragraph (b) of this section and that occurs incidental to
construction activities related to the replacement of Pier 3 at Naval
Station Norfolk at Norfolk, Virginia.
(b) The taking of marine mammals by the Navy may be authorized in a
Letter of Authorization (LOA) only if it occurs at Naval Station
Norfolk, Norfolk, Virginia.
Sec. 217.111 Effective dates.
Regulations under this subpart are effective from May 18, 2023,
through May 18, 2028.
Sec. 217.112 Permissible methods of taking.
Under an LOA issued pursuant to Sec. Sec. 216.106 of this chapter
and 217.116, the Holder of the LOA (hereinafter ``Navy'') may
incidentally, but not intentionally, take marine mammals within the area
described in 217.110(b) by harassment associated with construction
activities related to replacement of Pier 3, provided the activity is in
compliance with all terms, conditions, and requirements of the
regulations under this subpart and the applicable LOA.
[[Page 144]]
Sec. 217.113 Prohibitions.
(a) Except for the takings contemplated in Sec. 217.112 and
authorized by a LOA issued under Sec. Sec. 216.106 of this chapter and
217.116, it is unlawful for any person to do any of the following in
connection with the activities described in Sec. 217.110:
(1) Violate, or fail to comply with, the terms, conditions, and
requirements of this subpart or a LOA issued under Sec. Sec. 216.106 of
this chapter and 217.116;
(2) Take any marine mammal not specified in such LOA;
(3) Take any marine mammal specified in such LOA in any manner other
than as specified;
(4) Take a marine mammal specified in such LOA after NMFS determines
such taking results in more than a negligible impact on the species or
stocks of such marine mammal; or
(5) Take a marine mammal specified in such LOA after NMFS determined
such taking results in an unmitigable adverse impact on the species or
stock of such marine mammal for taking for subsistence uses.
(b) [Reserved]
Sec. 217.114 Mitigation requirements.
(a) When conducting the activities identified in Sec. 217.110(a),
the mitigation measures contained under this subpart and any LOA issued
under Sec. Sec. 216.106 of this chapter and 217.116 must be implemented
by the Navy. These mitigation measures include:
(1) A copy of any issued LOA must be in the possession of the Navy,
supervisory construction personnel, lead protected species observers
(PSOs), and any other relevant designees of the Navy operating under the
authority of the LOA at all times that activities subject to the LOA are
being conducted.
(2) The Navy must ensure that construction supervisors and crews,
the monitoring team, and relevant Navy staff are trained prior to the
start of activities subject to any issued LOA, so that responsibilities,
communication procedures, monitoring protocols, and operational
procedures are clearly understood. New personnel joining during the
project must be trained prior to commencing work.
(3) The Navy, construction supervisors and crews, and relevant Navy
staff must avoid direct physical interaction with marine mammals during
construction activity. If a marine mammal comes within 10 m of such
activity, operations must cease and vessels must reduce speed to the
minimum level required to maintain steerage and safe working conditions,
as necessary to avoid direct physical interaction.
(4) The Navy must employ PSOs and establish monitoring locations as
described in the NMFS-approved Marine Mammal Monitoring Plan. The Navy
must monitor the project area to the maximum extent possible based on
the required number of PSOs, required monitoring locations, and
environmental conditions.
(5) For all pile driving and drilling activity, the Navy shall
implement shutdown zones with radial distances as identified in a LOA
issued under Sec. 217.116. If a marine mammal is observed entering or
within the shutdown zone, such operations must be delayed or halted.
(6) Monitoring must take place from 30 minutes prior to initiation
of pile driving or drilling activity (i.e., pre-start clearance
monitoring) through 30 minutes post-completion of pile driving or
drilling activity.
(7) Pre-start clearance monitoring must be conducted during periods
of visibility sufficient for the lead PSO to determine that the shutdown
zones are clear of marine mammals. Pile driving and drilling may
commence following 30 minutes of observation when the determination is
made that the shutdown zones are clear of marine mammals.
(8) Should environmental conditions deteriorate such that marine
mammals within the entire shutdown zone would not be visible (e.g., fog,
heavy rain, night), the Holder shall delay in-water construction
activities until observers are confident marine mammals within the
shutdown zone could be detected.
(9) If pile driving and/or drilling is delayed or halted due to the
presence of a marine mammal, the activity may not commence or resume
until either the animal has voluntarily exited and been visually
confirmed beyond the shutdown zone or 15 minutes have
[[Page 145]]
passed without re-detection of the animal.
(10) Pile driving activity must be halted upon observation of either
a species for which incidental take is not authorized or a species for
which incidental take has been authorized but the authorized number of
takes has been met, entering or within the harassment zone.
(11) The Navy must use soft start techniques when impact pile
driving. Soft start requires contractors to provide an initial set of
strikes at reduced energy, followed by a 30-second waiting period, then
two subsequent reduced-energy strike sets. A soft start must be
implemented at the start of each day's impact pile driving and at any
time following cessation of impact pile driving for a period of 30
minutes or longer.
(b) [Reserved]
Sec. 217.115 Requirements for monitoring and reporting.
(a) The Navy shall submit a Marine Mammal Monitoring Plan to NMFS
for approval in advance of construction. Marine mammal monitoring must
be conducted in accordance with the conditions in this section and the
NMFS-approved Marine Mammal Monitoring Plan.
(b) Monitoring must be conducted by qualified, NMFS-approved PSOs,
in accordance with the following conditions:
(1) PSOs must be independent of the activity contractor (for
example, employed by a subcontractor) and have no other assigned tasks
during monitoring periods.
(2) At least one PSO must have prior experience performing the
duties of a PSO during construction activity pursuant to a NMFS-issued
incidental take authorization.
(3) Other PSOs may substitute other relevant experience, education
(degree in biological science or related field), or training for prior
experience performing the duties of a PSO during construction activity
pursuant to a NMFS-issued incidental take authorization.
(4) One PSO must be designated as lead PSO or monitoring
coordinator. The lead PSO must have prior experience performing the
duties of a PSO during construction activity pursuant to a NMFS-issued
incidental take authorization.
(5) PSOs must be approved by NMFS prior to beginning any activity
subject to any issued LOA.
(6) For all pile driving activities, a minimum of two PSOs shall be
stationed at the best vantage points practicable to monitor for marine
mammals and implement shutdown/delay procedures.
(7) For all pile driving activities, a minimum of two PSOs shall be
stationed at the active pile driving site, docks, or piers to monitor
the harassment and shutdown zones, and as described in the Marine Mammal
Monitoring Plan. For shutdown zones exceeding 1,000 m, a minimum of
three PSOs shall be stationed appropriately, as described in the Marine
Mammal Monitoring Plan, to monitor the entire shutdown zone.
(8) The Navy shall monitor the harassment zones to the extent
practicable and the entire shutdown zones. The Navy shall monitor at
least a portion of the Level B harassment zone on all pile driving days.
(9) The Navy shall conduct hydroacoustic data collection in
accordance with a Marine Mammal Monitoring Plan that must be approved by
NMFS in advance of construction.
(10) The shutdown/monitoring zones may be modified with NMFS'
approval following NMFS' acceptance of an acoustic monitoring report.
(11) The Navy must submit a draft monitoring report to NMFS within
90 calendar days of the completion of each construction year. A draft
comprehensive 5-year summary report must also be submitted to NMFS
within 90 days of the end of the project. The reports must detail the
monitoring protocol and summarize the data recorded during monitoring.
Final annual reports and the final comprehensive report must be prepared
and submitted within 30 days following resolution of any NMFS comments
on the draft report. If no comments are received from NMFS within 30
days of receipt of the draft report, the report must be considered
final. If comments are received, a final report addressing NMFS comments
must be submitted
[[Page 146]]
within 30 days after receipt of comments. The reports must, at minimum,
contain the informational elements described below (as well as any
additional information described in the Marine Mammal Monitoring Plan),
including:
(i) Dates and times (begin and end) of all marine mammal monitoring;
(ii) Construction activities occurring during each daily observation
period, including the number and type of piles that were driven or
removed and by what method (i.e., impact, vibratory or drilling), total
duration of driving time for each pile (vibratory and drilling) and
number of strikes for each pile (impact);
(iii) PSO locations during marine mammal monitoring;
(iv) Environmental conditions during monitoring periods (at
beginning and end of PSO shift and whenever conditions change
significantly), including Beaufort sea state and any other relevant
weather conditions including cloud cover, fog, sun glare, and overall
visibility to the horizon, and estimated observable distance;
(v) Upon observation of a marine mammal, the follow information:
(A) Name of PSO who sighted the animal(s) and PSO location and
activity at time of sighting;
(B) Time of sighting;
(C) Identification of the animal(s) (e.g., genus/species, lowest
possible taxonomic level, or unidentified), PSO confidence in
identification, and the composition of the group if there is a mix of
species;
(D) Distance and location of each observed marine mammal relative to
the pile being driven for each sighting;
(E) Estimated number of animals (min/max/best estimate);
(F) Estimated number of animals by cohort (adults, juveniles,
neonates, group composition, etc.); and
(G) Animal's closest point of approach and estimated time spent
within the harassment zone.
(vi) Description of any marine mammal behavioral observations (e.g.,
observed behaviors such as feeding or traveling), including an
assessment of behavioral responses thought to have resulted form the
activity (e.g., no response or changes in behavioral state such as
ceasing feeding, changing direction, flushing, or breaching);
(vii) Number of marine mammals detected within the harassment zones,
by species; and
(viii) Detailed information about implementation of any mitigation
(e.g., shutdown and delays), a description of specific actions that
ensued, and resulting changes in behavior of the animal(s), if any.
(12) The Holder must submit all PSO datasheets and/or raw sighting
data within the draft report.
(13) All draft and final monitoring reports must be submitted to
[email protected] and [email protected].
(14) The Navy must report hydroacoustic data collected as required
by a LOA issued under Sec. Sec. 216.106 of this chapter and 217.116 and
as discussed in the Navy's Marine Mammal Monitoring Plan approved by
NMFS.
(15) In the event that personnel involved in the construction
activities discover an injured or dead marine mammal, the Navy shall
report the incident to the Office of Protected Resources, NMFS and to
the Greater Atlantic Region New England/Mid-Atlantic Regional Stranding
Coordinator as soon as feasible. If the death or injury was clearly
caused by the specified activity, the Navy must immediately cease the
specified activities until NMFS is able to review the circumstances of
the incident and determine what, if any, additional measures are
appropriate to ensure compliance with the terms of the authorization.
The Navy must not resume their activities until notified by NMFS. The
report must include the following information:
(i) Time, date, and location (latitude/longitude) of the first
discovery (and updated location information if known and applicable);
(ii) Species identification (if known) or description of the
animal(s) involved;
(iii) Condition of the animal(s) (including carcass condition if the
animal is dead);
(iv) Observed behaviors of the animal(s), if alive;
(v) If available, photographs or video footage of the animal(s); and
[[Page 147]]
(vi) General circumstances under which the animal was discovered.
Sec. 217.116 Letters of Authorization.
(a) To incidentally take marine mammals pursuant to the regulations
under this subpart, the Navy must apply for and obtain an LOA.
(b) An LOA, unless suspended or revoked, may be effective for a
period of time not to exceed the expiration date of the regulations
under this subpart.
(c) If an LOA expires prior to the expiration date of the
regulations under this subpart, the Navy may apply for and obtain a
renewal of the LOA.
(d) In the event of projected changes to the activity or to
mitigation and monitoring measures required by an LOA, the Navy must
apply for and obtain a modification of the LOA as described in Sec.
217.116.
(e) The LOA must set forth the following information:
(1) Permissible methods of incidental taking;
(2) Means of effecting the least practicable adverse impact (i.e.,
mitigation) on the species, its habitat, and on the availability of the
species for subsistence uses; and
(3) Requirements for monitoring and reporting.
(f) Issuance of the LOA must be based on a determination that the
level of taking must be consistent with the findings made for the total
taking allowable under the regulations under this subpart.
(g) Notice of issuance or denial of an LOA must be published in the
Federal Register within 30 days of a determination.
Sec. 217.117 Renewals and modifications of Letters of Authorization.
(a) An LOA issued under Sec. Sec. 216.106 of this chapter and
217.116 for the activity identified in Sec. 217.110(a) may be renewed
or modified upon request by the applicant, provided that:
(1) The specified activity and mitigation, monitoring, and reporting
measures, as well as the anticipated impacts, are the same as those
described and analyzed for the regulations under this subpart; and
(2) NMFS determines that the mitigation, monitoring, and reporting
measures required by the previous LOA under the regulations under this
subpart were implemented.
(b) For LOA modification or renewal requests by the applicant that
include changes to the activity or the mitigation, monitoring, or
reporting that do not change the findings made for the regulations or
result in no more than a minor change in the total estimated number of
takes (or distribution by species or years), NMFS may publish a notice
of proposed LOA in the Federal Register, including the associated
analysis of the change, and solicit public comment before issuing the
LOA.
(c) A LOA issued under Sec. Sec. 216.106 of this chapter and
217.116 for the activity identified in Sec. 217.110(a) may be modified
by NMFS under the following circumstances:
(1) NMFS may modify (including augment) the existing mitigation,
monitoring, or reporting measures (after consulting with Navy regarding
the practicability of the modifications) if doing so creates a
reasonable likelihood of more effectively accomplishing the goals of the
mitigation and monitoring for the regulations under this subpart;
(i) Possible sources of data that could contribute to the decision
to modify the mitigation, monitoring, or reporting measures in a LOA:
(A) Results from Navy's monitoring from previous years;
(B) Results from other marine mammal and/or sound research or
studies; and
(C) Any information that reveals marine mammals may have been taken
in a manner, extent or number not authorized by the regulations under
this subpart or subsequent LOAs; and
(ii) If, through adaptive management, the modifications to the
mitigation, monitoring, or reporting measures are substantial, NMFS must
publish a notice of proposed LOA in the Federal Register and solicit
public comment;
(2) If NMFS determines that an emergency exists that poses a
significant risk to the well-being of the species or stocks of marine
mammals specified in a LOA issued pursuant to Sec. Sec. 216.106 of this
chapter and 217.116, a LOA may be
[[Page 148]]
modified without prior notice or opportunity for public comment.
Notification would be published in the Federal Register within 30 days
of the action.
Sec. Sec. 217.118-217.119 [Reserved]
Subpart M_Taking Marine Mammals Incidental to Seabird Research
Activities in Central California
Source: 86 FR 27998, May 25, 2021, unless otherwise noted.
Effective Date Note: At 86 FR 27998, May 25, 2021, subpart M was
added, effective July 1, 2021, through June 30, 2026.
Sec. 217.120 Specified activity and specified geographical region.
(a) Regulations in this subpart apply only to the incidental taking
of marine mammals during seabird research activities by Point Blue
Conservation Science (Point Blue) and those persons it authorizes or
funds to conduct activities on its behalf in the areas outlined in
paragraph (b) of this section.
(b) The incidental taking of marine mammals by Point Blue may only
occur in California on Southeast Farallon Island, A[ntilde]o Nuevo
Island, and Point Reyes National Seashore in accordance with a Letter of
Authorization (LOA) issued under Sec. Sec. 216.106 of this chapter and
217.126.
Sec. 217.121 Effective dates.
Regulations in this subpart are effective from July 1, 2021, through
June 30, 2026.
Sec. 217.122 Permissible methods of taking.
Under LOAs issued pursuant to Sec. Sec. 216.106 of this chapter and
217.126, the Holder of the LOA (hereinafter ``Point Blue'') may
incidentally, but not intentionally, take marine mammals within the area
described in Sec. 217.120(b) by Level B harassment associated with
seabird research activities, provided the activity is in compliance with
all terms, conditions, and requirements of the regulations in this
subpart and the appropriate LOA.
Sec. 217.123 Prohibitions.
Except for the takings contemplated in Sec. 217.120 and authorized
by a LOA issued under Sec. Sec. 216.106 of this chapter and 217.126, it
is unlawful for any person to do any of the following in connection with
the activities described in Sec. 217.120 may:
(a) Violate, or fail to comply with, the terms, conditions, and
requirements of this subpart or a LOA issued under Sec. Sec. 216.106 of
this chapter and 217.126;
(b) Take any marine mammal not specified in such LOA;
(c) Take any marine mammal specified in such LOA in any manner other
than as specified in Sec. 217.122;
(d) Take a marine mammal specified in such LOA if NMFS determines
such taking results in more than a negligible impact on the species or
stocks of such marine mammal; or
(e) Take a marine mammal specified in such LOA if NMFS determines
such taking results in an unmitigable adverse impact on the species or
stock of such marine mammal for taking for subsistence uses.
Sec. 217.124 Mitigation requirements.
When conducting the activities identified in Sec. 217.120(a), the
mitigation measures contained in any LOA issued under Sec. Sec. 216.106
of this chapter and 217.126 must be implemented. These mitigation
measures shall include but are not limited to the following general
conditions:
(a) All persons must slowly approach beaches for boat landings. Boat
landings must avoid causing stampede and provide marine mammals with an
opportunity to safely enter the water. Vessel strikes are prohibited.
(b) All persons must observe a site from a distance, using
binoculars if necessary, to detect any marine mammals prior to approach
to determine if mitigation is required (i.e., if pinnipeds are present,
researchers must approach with caution, walking slowly, quietly, and
close to the ground to avoid surprising any hauled-out marine mammals
and to reduce flushing/stampeding of individuals).
(c) All persons must avoid pinnipeds along access ways to sites by
locating
[[Page 149]]
and taking a different access way. Researchers must keep a safe distance
from and not approach any marine mammal while conducting research,
unless it is absolutely necessary to flush a marine mammal in order to
continue conducting research (i.e., if a site cannot be accessed or
sampled due to the presence of pinnipeds).
(d) All persons must avoid visits to sites when pups are present, if
the number of takes that have been authorized are met, or if species for
which authorization has not been granted are present.
(e) All persons must monitor for offshore predators and must not
approach hauled out pinnipeds if great white sharks (Carcharodon
carcharias) or killer whales (Orcinus orca) are observed to be present.
If Point Blue and/or its designees see pinniped predators in the area,
they must not disturb the pinnipeds until the lead biologist determines
the area is free of predators based on best professional judgment.
(f) All persons must keep voices hushed and bodies low to the ground
in the visual presence of pinnipeds.
(g) All persons must conduct seabird observations at North Landing
on Southeast Farallon Island in an observation blind, shielded from the
view of hauled out pinnipeds.
(h) All persons must crawl slowly to access seabird nest boxes on
A[ntilde]o Nuevo Island if pinnipeds are within view.
(i) Researchers must coordinate research visits to intertidal areas
of Southeast Farallon Island and coordinate research activities for
A[ntilde]o Nuevo Island to minimize the number of trips to these areas.
Sec. 217.125 Requirements for monitoring and reporting.
(a) Visual monitoring. When conducting activities under an LOA,
Point Blue must conduct a visual monitoring program and record
information as required by the LOA and this subpart.
(1) Standard information recorded must include species counts (with
age/sex classes noted when possible) of animals present before
approaching, numbers of observed disturbances, and descriptions of the
disturbance behaviors during the monitoring surveys, including location,
date, and time of the event.
(2) The lead biologist must serve as an observer to record
incidental take.
(3) The lead biologist must record the following:
(i) The date, time, and location (or closest point of ingress) of
each visit to the research site;
(ii) Composition of the marine mammals sighted, such as species,
sex, and life history stage (e.g., adult, sub-adult, pup);
(iii) The number (by species) of marine mammals observed during the
activities;
(iv) Estimated number of marine mammals (by species) that may have
been disturbed during the activities, using a three-point scale of
disturbance contained in an LOA issued under Sec. Sec. 216.106 of this
chapter and 217.126. Disturbance Levels 2 and 3 must be recorded as
takes;
(v) Behavioral responses or modifications in behaviors that may be
attributed to the specific activities and a description of the specific
activities occurring during that time (e.g., pedestrian approach, vessel
approach);
(vi) Information on the weather, including the tidal state and
horizontal visibility; and
(vii) If applicable, note the presence of any offshore predators
(date, time, number, and species).
(4) Point Blue must report observations of unusual behaviors,
numbers, or distributions of pinnipeds, or of tag-bearing carcasses, to
the NMFS West Coast Regional Office.
(b) Prohibited take. (1) In the event that personnel discovers an
injured or dead marine mammal, Point Blue shall report the incident to
the Office of Protected Resources, NMFS, and the West Coast Regional
Stranding Coordinator, NMFS as soon as feasible. If the death or injury
was caused by Point Blue's activities, Point Blue must immediately cease
activities conducted under its LOA until NMFS is able to review the
circumstances of the incident and determine what, if any, additional
measures are appropriate to ensure compliance with the terms of the LOA.
Point Blue must not resume their activities until notified by NMFS. The
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report must include the following information:
(i) Time, date, and location (latitude/longitude) of the first
discovery (and updated location information if known and applicable);
(ii) Species identification (if known) or description of the
animal(s) involved;
(iii) Condition of the animal(s) (including carcass condition if the
animal is dead);
(iv) Observed behaviors of the animal(s), if alive;
(v) If available, photographs or video footage of the animal(s); and
(vi) General circumstances under which the animal was discovered.
(c) Annual report. (1) A draft annual report covering the period of
January 1 through December 31 of each year must be submitted to NMFS
Office of Protected Resources by April 1 of each year. The final annual
report after year five may be included as part of the final report (see
below). The report must include the information gathered pursuant to the
monitoring requirements set forth above and in the LOA at minimum, and
must also include raw sightings data.
(2) A final annual report must be submitted to the Director of the
NMFS Office of Protected Resources within 30 days after receiving
comments from NMFS on the draft annual report. If no comments are
received from NMFS, the draft annual report will be considered the final
report.
(d) Final report. A draft final report must be submitted to NMFS
Office of Protected Resources within 60 days after the conclusion of the
fifth year. A final report must be submitted to the Director of the NMFS
Office of Protected Resources within 30 days after receiving comments
from NMFS on the draft final report. If no comments are received from
NMFS, the draft final report will be considered the final report.
Sec. 217.126 Letters of Authorization.
(a) To incidentally take marine mammals pursuant to these
regulations, Point Blue must apply for and obtain an LOA.
(b) An LOA, unless suspended or revoked, may be effective for a
period of time not to exceed the expiration date of these regulations.
(c) If an LOA expires prior to the expiration date of these
regulations, Point Blue may apply for and obtain a renewal of the LOA.
(d) In the event of projected changes to the activity or to
mitigation and monitoring measures required by an LOA, Point Blue must
apply for and obtain a modification of the LOA as described in Sec.
217.127.
(e) The LOA shall set forth:
(1) Permissible methods and numbers of incidental taking;
(2) Means of effecting the least practicable adverse impact (i.e.,
mitigation) on the species, its habitat, and on the availability of the
species for subsistence uses; and
(3) Requirements for monitoring and reporting.
(f) Issuance of the LOA shall be based on a determination that the
level of taking will be consistent with the findings made for the total
taking allowable under these regulations.
(g) Notice of issuance or denial of an LOA shall be published in the
Federal Register within thirty days of a determination.
Sec. 217.127 Renewals and modifications of Letters of Authorization.
(a) An LOA issued under Sec. Sec. 216.106 of this chapter and
217.126 for the activity identified in Sec. 217.120(a) shall be renewed
or modified upon request by the applicant, provided that:
(1) The proposed specified activity and mitigation, monitoring, and
reporting measures, as well as the anticipated impacts, are the same as
those described and analyzed for these regulations (excluding changes
made pursuant to the adaptive management provision in paragraph (c)(1)
of this section), and
(2) NMFS' Office of Protected Resources determines that the
mitigation, monitoring, and reporting measures required by the previous
LOA under these regulations were implemented.
(b) For an LOA modification or renewal requests by the applicant
that includes changes to the activity or the mitigation, monitoring, or
reporting (excluding changes made pursuant to
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the adaptive management provision in paragraph (c)(1) of this section)
that do not change the findings made for the regulations or result in no
more than a minor change in the total estimated number of takes (or
distribution by species or years), NMFS' Office of Protected Resources
may publish a notice of proposed LOA in the Federal Register, including
the associated analysis of the change, and solicit public comment before
issuing the LOA.
(c) An LOA issued under Sec. Sec. 216.106 of this chapter and
217.126 for the activity identified in Sec. 217.120(a) may be modified
by NMFS' Office of Protected Resources under the following
circumstances:
(1) Adaptive management--NMFS' Office of Protected Resources may
modify (including augment) the existing mitigation, monitoring, or
reporting measures (after consulting with Point Blue regarding the
practicability of the modifications) if doing so creates a reasonable
likelihood of more effectively accomplishing the goals of the mitigation
and monitoring set forth in the preamble for these regulations.
(i) Possible sources of data that could contribute to the decision
to modify the mitigation, monitoring, or reporting measures in an LOA
include:
(A) Results from Point Blue's monitoring from the previous year(s);
(B) Results from other marine mammal and/or sound research or
studies; and
(C) Any information that reveals marine mammals may have been taken
in a manner, extent or number not authorized by these regulations or
subsequent LOAs.
(ii) If, through adaptive management, the modifications to the
mitigation, monitoring, or reporting measures are substantial, NMFS'
Office of Protected Resources will publish a notice of proposed LOA in
the Federal Register and solicit public comment.
(2) Emergencies. If NMFS' Office of Protected Resources determines
that an emergency exists that poses a significant risk to the well-being
of the species or stocks of marine mammals specified in LOAs issued
pursuant to Sec. Sec. 216.106 of this chapter and 217.126, an LOA may
be modified without prior notice or opportunity for public comment.
Notice would be published in the Federal Register within thirty days of
the action.
Sec. Sec. 217.128-217.129 [Reserved]
Subpart N_Subpart N_Taking and Importing Marine Mammals Incidental to
U.S. Navy Construction at Portsmouth Naval Shipyard, Kittery, Maine
Source: 88 FR 19539, Mar. 31, 2023, unless otherwise noted.
Effective Date Note: At 88 FR 19539, Mar. 31, 2023, subpart N was
added, effective Apr. 1, 2023, through Mar. 31, 2028
Sec. 217.130 Specified activity and geographical region.
(a) Regulations in this subpart apply only to taking of marine
mammals by the U.S. Navy (Navy) and those persons it authorizes or funds
to conduct activities that occur incidental to construction activities
related to the multifunctional expansion and modification of Dry Dock 1
in the areas outlined in paragraph (b) of this section.
(b) The taking of marine mammals by the Navy may be authorized in a
Letter of Authorization (LOA) only if it occurs at Portsmouth Naval
Shipyard, Kittery, Maine.
Sec. 217.131 Effective dates.
Regulations in this subpart are effective for a period of 5 years
from the date of issuance.
Sec. 217.132 Permissible methods of taking.
Under an LOA issued pursuant to Sec. 216.106 of this chapter and
Sec. 217.136, the Holder of the LOA (hereinafter ``Navy'') may
incidentally, but not intentionally, take marine mammals within the area
described in Sec. 217.130(b) by harassment associated with construction
activities related to the multifunctional expansion and modification of
Dry Dock 1, provided the activity is in compliance with all terms,
conditions, and requirements of the regulations in this subpart and the
applicable LOA.
[[Page 152]]
Sec. 217.133 Prohibitions.
(a) Except for the takings contemplated in Sec. 217.132 and
authorized by a LOA issued under Sec. 216.106 of this chapter and Sec.
217.136, it is unlawful for any person to do any of the following in
connection with the activities described in Sec. 217.130:
(1) Violate, or fail to comply with, the terms, conditions, and
requirements of this subpart or a LOA issued under Sec. 216.106 of this
chapter and Sec. 217.136;
(2) Take any marine mammal not specified in such LOA;
(3) Take any marine mammal specified in such LOA in any manner other
than as specified;
(4) Take a marine mammal specified in such LOA if NMFS determines
such taking results in more than a negligible impact on the species or
stocks of such marine mammal; or
(5) Take a marine mammal specified in such LOA after NMFS determines
such taking results in an unmitigable adverse impact on the species or
stock of such marine mammal for taking for subsistence uses.
(b) [Reserved]
Sec. 217.134 Mitigation requirements.
(a) When conducting the activities identified in Sec. 217.130(a),
the mitigation measures contained in this subpart and any LOA issued
under Sec. 216.106 of this chapter and Sec. 217.136 must be
implemented. These mitigation measures include:
(1) A copy of any issued LOA must be in the possession of the Navy,
its designees, and work crew personnel operating under the authority of
the issued LOA at all times that activities subject to this LOA are
being conducted.
(2) Should environmental conditions deteriorate such that marine
mammals within the entire shutdown zone would not be visible (e.g., fog,
heavy rain, night), the Navy shall delay pile driving and drilling until
observers are confident marine mammals within the shutdown zone could be
detected.
(3) The Navy must ensure that construction supervisors and crews,
the monitoring team, and relevant Navy staff are trained prior to the
start of construction activity subject to this rule, so that
responsibilities, communication procedures, monitoring protocols, and
operational procedures are clearly understood. New personnel joining
during the project will be trained prior to commencing work.
(4) The Navy, construction supervisors and crews, protected species
observers (PSOs), and relevant Navy staff must avoid direct physical
interaction with marine mammals during construction activity. If a
marine mammal comes within 10 m of such activity, operations will cease
and vessels will reduce speed to the minimum level required to maintain
steerage and safe working conditions, as necessary, to avoid direct
physical interaction.
(5) The Navy must monitor the project area to the maximum extent
possible based on the required number of PSOs, required monitoring
locations, and environmental conditions as described in this rule and
the NMFS-approved Marine Mammal Monitoring Plan.
(6) Monitoring must take place from 30 minutes prior to initiation
of pile driving or drilling activity (i.e., pre-start clearance
monitoring) through 30 minutes post-completion of pile driving or
drilling activity.
(7) For all pile driving and drilling activities, the Navy must
implement shutdown zones with radial distances as identified in a LOA
issued under Sec. 216.106 of this chapter and Sec. 217.136. If a
marine mammal comes within or approaches the shutdown zone, such
operations must cease.
(8) In the event of a delay or shutdown of activity resulting from
marine mammals in the shutdown zone, animals must be allowed to remain
in the shutdown zone (i.e., must leave of their own volition) and their
behavior must be monitored and documented. If a marine mammal is
observed within the shutdown zone, pile driving or drilling activities
may not commence or resume until at least one of the following
conditions has been met:
(i) The animal has been observed exiting the shutdown zone;
(ii) The animal is thought to have exited the shutdown zone based on
a determination of its course, speed, and movement relative to the pile
driving location; or
[[Page 153]]
(iii) The shutdown zone has been clear from any additional sightings
for fifteen minutes.
(9) If pile driving or drilling construction activities cease for
more than 30 minutes, the pre-activity monitoring of the shutdown zone
must commence.
(10) The Navy must conduct monitoring to include the entire region
of influence, which includes the area within the Level A and Level B
harassment zones with radial distances as identified in a LOA issued
under Sec. 216.106 of this chapter and Sec. 217.136.
(11) The Navy must use soft start techniques when impact pile
driving. Soft start requires contractors to provide an initial set of
strikes from the hammer at reduced energy, followed by a 30-second
waiting period, then two subsequent reduced-energy strike sets. A soft
start will be implemented at the start of each day's impact pile driving
and at any time following cessation of impact pile driving for a period
of 30 minutes or longer.
(12) The Navy must install a bubble curtain across the entrance
openings during DTH cluster drill and hydraulic rock hammering
activities. The bubble curtain must adhere to the following
restrictions:
(i) The bubble curtain must distribute air bubbles across 100
percent of the entrance openings for the full depth of the water column;
(ii) The lowest bubble ring must be in contact with the substrate
for the full extent of the curtain, and the weights attached to the
bottom of the curtain must ensure 100 percent substrate contact. No
parts of the curtain or other objects shall prevent full substrate
contact; and
(iii) Air flow to the bubblers must be balanced across the entrance
openings to the super flood basin.
(iv) The Navy shall require that construction contractors train
personnel in the proper balancing of air flow to the bubblers and
corrections to the attenuation device to meet the performance standards.
This shall occur prior to the initiation of in-water construction
activities.
(13) The bubble curtain may be discontinued for certain activities
should the results of hydroacoustic recordings inside the bubble curtain
show that the source levels from those activities do not result in the
Level A harassment thresholds being achieved across the entire region of
influence, upon review of the data by NMFS.
(14) Pile driving and drilling activity must be halted upon
observation of either a species entering or within the harassment zone
for which incidental take is not authorized, or a species for which
incidental take has been authorized but the authorized number of takes
has been met.
(b) [Reserved]
Sec. 217.135 Requirements for monitoring and reporting.
(a) Marine Mammal monitoring must be conducted in accordance with
the conditions in this section and the Marine Mammal Monitoring Plan.
The Navy must submit a Marine Mammal Monitoring Plan to NMFS for
approval in advance of construction.
(b) Monitoring must be conducted by qualified PSOs in accordance
with the following conditions:
(1) PSOs must be independent (i.e., not construction personnel) and
have no other assigned tasks during monitoring periods.
(2) At least one PSO must have prior experience performing the
duties of a PSO during construction activity pursuant to a NMFS-issued
incidental take authorization.
(3) Other PSOs may substitute relevant experience, education (degree
in biological science or related field), or training for prior
experience performing the duties of a PSO during construction activity
pursuant to a NMFS-issued incidental take authorization.
(4) Where a team of three PSOs are required, a lead observer or
monitoring coordinator shall be designated. The lead observer must have
prior experience performing the duties of a PSO during construction
activity pursuant to a NMFS-issued incidental take authorization; and
(5) One PSO must be designated as lead PSO or monitoring
coordinator. The lead PSO must have prior experience performing the
duties of a PSO during construction activity pursuant to a NMFS-issued
incidental take authorization.
[[Page 154]]
(6) PSOs must work in shifts to reduce fatigue and ensure their
ability to monitor for marine mammals.
(7) PSOs must be approved by NMFS prior to beginning any activity
subject to this LOA.
(c) For all pile driving activities, a minimum of three PSOs must be
stationed on boats, docks, or piers sufficient to monitor the harassment
and shutdown zones, and as described in the Marine Mammal Monitoring
Plan.
(d) PSOs must record all observations of marine mammals, regardless
of distance from the pile/hole being driven/drilled or the construction
activity taking place (i.e., DTH, rotary drilling, rock hammering), as
well as additional data indicated in the reporting requirements.
(e) The Navy must conduct hydroacoustic data collection (sound
source verification and propagation loss) as described in a LOA and in
accordance with a hydroacoustic monitoring plan that must be approved by
NMFS in advance of construction. This plan shall include acoustic
monitoring inside the bubble curtain to measure construction generated
noise levels.
(f) The harassment and/or shutdown zones may be modified with NMFS'
approval following NMFS' acceptance of an acoustic monitoring report.
(g) The Navy must submit a draft monitoring report to NMFS within 90
work days of the completion of required monitoring for each portion of
the project as well as a comprehensive summary report at the end of the
project. The reports will detail the monitoring protocol and summarize
the data recorded during monitoring. Final annual reports (each portion
of the project and comprehensive) must be prepared and submitted within
30 days following resolution of any NMFS comments on the draft report.
If no comments are received from NMFS within 30 days of receipt of the
draft report, the report must be considered final. If comments are
received, a final report addressing NMFS comments must be submitted
within 30 days after receipt of comments.
(h) All draft and final monitoring reports must be submitted to
[email protected] and [email protected].
(i) The reports must at minimum contain the informational elements
described as follows (as well as any additional information described in
the Marine Mammal Monitoring Plan), including:
(1) Dates and times (begin and end) of all marine mammal monitoring.
(2) Construction activities occurring during each daily observation
period, including:
(i) The number and type of piles that were driven or removed and by
what method (i.e., impact, vibratory, DTH, rotary drilling, rock
hammering.
(ii) The total duration of driving time for each pile/hole
(vibratory driving, rotary drilling) and number of strikes for each
pile/hole (impact driving, hydraulic rock hammering).
(iii) For DTH, the duration of operation for both impulsive and non-
pulse components as well as the strike rate.
(3) PSO locations during marine mammal monitoring.
(4) Environmental conditions during monitoring periods (at beginning
and end of PSO shift and whenever conditions change significantly),
including Beaufort sea state and any other relevant weather conditions
including cloud cover, fog, sun glare, and overall visibility to the
horizon, and estimated observable distance (if less than the harassment
zone distance);
(5) Upon observation of a marine mammal, the following information:
(i) Name of PSO who sighted the animal(s) and PSO location, as well
as the activity at the time of the sighting;
(ii) Time of sighting;
(iii) Identification of the animal (e.g., genus/species, lowest
possible taxonomic level, or unidentified), PSO confidence in
identification, and the composition of the group if there is a mix of
species;
(iv) Distances and bearings of each marine mammal observed in
relation to the pile being driven or drilled for each sighting (if pile
driving or drilling was occurring at time of sighting).
(v) Estimated number of animals (min/max/best estimate);
(vi) Estimated number of animals by cohort (adults, juveniles,
neonates, group composition, etc.);
[[Page 155]]
(vii) Animal's closest point of approach and estimated time spent
within the harassment zone;
(viii) Description of any marine mammal behavioral observations
(e.g., observed behaviors such as feeding or traveling), including an
assessment of behavioral responses to the activity (e.g., no response or
changes in behavioral state such as ceasing feeding, changing direction,
flushing, or breaching);
(6) Number of marine mammals detected within the harassment zones,
by species;
(7) Detailed information about any implementation of any mitigation
(e.g., shutdowns and delays), a description of specific actions that
ensued, and resulting changes in the behavior of the animal, if any; and
(j) The Holder will submit all PSO datasheets and/or raw sightings
data with the draft reports.
(k) The Navy must report the hydroacoustic data collected as
required by a LOA issued under Sec. 216.106 of this chapter and Sec.
217.136 and as described in the Acoustic Monitoring Plan, which at a
minimum, must include:
(1) Hydrophone equipment and methods: recording device, sampling
rate, distance (m) from the pile where recordings were made; depth of
water and recording device(s);
(2) Type and size of pile being driven, substrate type, method of
driving during recordings (e.g., hammer model and energy), and total
pile driving duration;
(3) Whether a sound attenuation device is used and, if so, a
detailed description of the device used and the duration of its use per
pile;
(4) For impact pile driving and/or DTH excavation (DTH mono-hammer
and cluster drill) (per pile/hole): Number of strikes and strike rate;
depth of substrate to penetrate; pulse duration and mean, median, and
maximum sound levels (dB re: 1 [micro]Pa): root mean square sound
pressure level (SPLrms); cumulative sound exposure level (SELcum), peak
sound pressure level (SPLpeak), and single-strike sound exposure level
(SELss);
(5) For vibratory driving/removal, rotary drilling, and/or DTH
excavation (DTH mono-hammer and cluster drill) (per pile/hole): Duration
of driving per pile; mean, median, and maximum sound levels (dB re: 1
[micro]Pa): root mean square sound pressure level (SPLrms), cumulative
sound exposure level (SELcum) (and timeframe over which the sound is
averaged);
(6) One-third octave band spectrum and power spectral density plot;
and
(7) General Daily Site Conditions, including the date and time of
activities, and environmental data such as wind speed and direction, air
temperature, humidity, surface water temperature, tidal state, water
depth, wave height, weather conditions, and other factors that could
contribute to influencing the airborne and underwater sound levels
(e.g., aircraft, boats, etc.).
(l) In the event that personnel involved in the construction
activities discover an injured or dead marine mammal, the Navy must
report incident to the Office of Protected Resources (OPR), NMFS
([email protected] and [email protected]) and to
the Greater Atlantic Region New England/Mid-Atlantic Regional Stranding
Coordinator (978-282-8478 or 978-281-9291) as soon as feasible. If the
death or injury was clearly caused by the specified activity, the Navy
must immediately cease the specified activities until NMFS OPR is able
to review the circumstances of the incident and determine what, if any,
additional measures are appropriate to ensure compliance with the terms
of this rule and the LOA issued under Sec. 216.106 of this chapter and
Sec. 217.136. The Navy will not resume their activities until notified
by NMFS. The report must include the following information:
(1) Time, date, and location (latitude/longitude) of the first
discovery (and updated location information if known and applicable);
(2) Species identification (if known) or description of the
animal(s) involved;
(3) Condition of the animal(s) (including carcass condition if the
animal is dead);
(4) Observed behaviors of the animal(s), if alive;
(5) If available, photographs or video footage of the animal(s); and
[[Page 156]]
(6) General circumstances under which the animal was discovered.
Sec. 217.136 Letters of Authorization.
(a) To incidentally take marine mammals pursuant to this subpart,
the Navy must apply for and obtain an LOA.
(b) An LOA, unless suspended or revoked, may be effective for a
period of time not to exceed the expiration date of these regulations.
(c) If an LOA expires prior to the expiration date of these
regulations, the Navy may apply for and obtain a renewal of the LOA.
(d) In the event of projected changes to the activity or to
mitigation and monitoring measures required by an LOA, the Navy must
apply for and obtain a modification of the LOA as described in Sec.
217.137.
(e) The LOA will set forth the following information:
(1) Permissible methods of incidental taking;
(2) Means of effecting the least practicable adverse impact (i.e.,
mitigation) on the species, its habitat, and on the availability of the
species for subsistence uses; and
(3) Requirements for monitoring and reporting.
(f) Issuance of the LOA will be based on a determination that the
level of taking will be consistent with the findings made for the total
taking allowable under these regulations.
(g) Notice of issuance or denial of an LOA will be published in the
Federal Register within 30 days of a determination.
Sec. 217.137 Renewals and modifications of Letters of Authorization.
(a) An LOA issued under Sec. 216.106 of this chapter and Sec.
217.136 for the activity identified in Sec. 217.130(a) may be renewed
or modified upon request by the applicant, provided that:
(1) The proposed specified activity and mitigation, monitoring, and
reporting measures, as well as the anticipated impacts, are the same as
those described and analyzed for these regulations; and
(2) NMFS determines that the mitigation, monitoring, and reporting
measures required by the previous LOA under these regulations were
implemented.
(b) For LOA modification or renewal requests by the applicant that
include changes to the activity or the mitigation, monitoring, or
reporting that do not change the findings made for the regulations or
result in no more than a minor change in the total estimated number of
takes (or distribution by species or years), NMFS may publish a notice
of proposed LOA in the Federal Register, including the associated
analysis of the change, and solicit public comment before issuing the
LOA.
(c) A LOA issued under Sec. 216.106 of this chapter and Sec.
217.136 for the activity identified in Sec. 217.130(a) may be modified
by NMFS under the following circumstances:
(1) NMFS may modify (including augment) the existing mitigation,
monitoring, or reporting measures (after consulting with Navy regarding
the practicability of the modifications) if doing so creates a
reasonable likelihood of more effectively accomplishing the goals of the
mitigation and monitoring set forth in the preamble for these
regulations;
(i) Possible sources of data that could contribute to the decision
to modify the mitigation, monitoring, or reporting measures in a LOA:
(A) Results from Navy's monitoring from previous years;
(B) Results from other marine mammal and/or sound research or
studies; and
(C) Any information that reveals marine mammals may have been taken
in a manner, extent or number not authorized by these regulations or
subsequent LOAs; and
(ii) If, through adaptive management, the modifications to the
mitigation, monitoring, or reporting measures are substantial, NMFS will
publish a notice of proposed LOA in the Federal Register and solicit
public comment;
(2) If NMFS determines that an emergency exists that poses a
significant risk to the well-being of the species or stocks of marine
mammals specified in a LOA issued pursuant to Sec. 216.106 of this
chapter and Sec. 217.136, a LOA may be modified without prior public
notice or opportunity for public comment. Notification would be
published in the
[[Page 157]]
Federal Register within 30 days of the action.
Sec. 217.138-217.139 [Reserved]
Subpart P_Taking Marine Mammals Incidental to Ice Roads and Ice Trails
Construction and Maintenance on Alaska's North Slope
Source: 85 FR 83471, Dec. 22, 2020, unless otherwise noted.
Effective Date Note: At 85 FR 83471, Dec. 22, 2020, subpart P was
added, effective Dec. 22, 2020, through Nov. 30, 2025
Sec. 217.150 Specified activity and specified geographical region.
(a) Regulations in this subpart apply only to Hilcorp Alaska, LLC
(Hilcorp) and Eni US Operating Co. Inc. (Eni) and those persons they
authorize or fund to conduct activities on their behalf for the taking
of marine mammals that occurs in the areas outlined in paragraph (b) of
this section and that occurs incidental to construction and maintenance
of ice roads and ice trails.
(b) The taking of marine mammals by Hilcorp and Eni may be
authorized in two Letters of Authorization (LOAs) only if it occurs on
Alaska's North Slope.
Sec. 217.151 Effective dates.
Regulations in this subpart are effective from December 22, 2020
through November 30, 2025.
Sec. 217.152 Permissible methods of taking.
Under LOAs issued pursuant to Sec. Sec. 216.106 of this chapter and
217.156, the Holders of the LOAs (hereinafter ``Hilcorp'' and ``Eni'')
may incidentally, but not intentionally, take marine mammals within the
area described in Sec. 217.150(b) by mortality, serious injury, Level A
harassment, or Level B harassment associated with ice road and ice trail
construction and maintenance activities, provided the activities are in
compliance with all terms, conditions, and requirements of the
regulations in this subpart and the appropriate LOAs.
Sec. 217.153 Prohibitions.
Notwithstanding takings contemplated in Sec. 217.152 and authorized
by the LOAs issued under Sec. Sec. 216.106 of this chapter and 217.156,
no person in connection with the activities described in Sec. 217.150
may:
(a) Violate, or fail to comply with, the terms, conditions, and
requirements of this subpart or an LOA issued under Sec. Sec. 216.106
of this chapter and 217.156;
(b) Take any marine mammal not specified in such LOAs;
(c) Take any marine mammal specified in such LOAs in any manner
other than as specified;
(d) Take a marine mammal specified in such LOAs if NMFS determines
such taking results in more than a negligible impact on the species or
stocks of such marine mammal; or
(e) Take a marine mammal specified in such LOAs if NMFS determines
such taking results in an unmitigable adverse impact on the species or
stock of such marine mammal for taking for subsistence uses.
Sec. 217.154 Mitigation requirements.
When conducting the activities identified in Sec. 217.150(a), the
mitigation measures contained in any LOA issued under Sec. Sec. 216.106
of this chapter and 217.156 must be implemented. These mitigation
measures shall include but are not limited to:
(a) General conditions. (1) Hilcorp and Eni must renew, on an annual
basis, the Plans of Cooperation (POCs), throughout the life of the
regulations;
(2) Copies of any issued LOAs must be in the possession of Hilcorp
and Eni, their designees, and work crew personnel operating under the
authority of the issued LOAs; and
(3) Prior to initiation of sea ice road- and ice trail-related
activities, project personnel associated with ice road construction,
maintenance, use or decommissioning must receive annual training on
implementing mitigation and monitoring measures:
(i) Personnel must be advised that interactions with, or
approaching, any wildlife is prohibited;
(ii) Annual training must also include reviewing Hilcorp and Eni's
Wildlife Management Plan; and
[[Page 158]]
(iii) In addition to the mitigation and monitoring plans, other
topics in the training must include:
(A) Ringed seal identification and brief life history;
(B) Physical environment (habitat characteristics and how to
potentially identify habitat);
(C) Ringed seal use in the ice road region (timing, location,
habitat use, birthing lairs, breathing holes, basking, etc.);
(D) Potential effects of disturbance; and
(E) Importance of lairs, breathing holes and basking to ringed
seals.
(b) General mitigation measures throughout the Ice Road/Trail Season
(December through May). (1) Ice road/trail speed limits must be no
greater than 72.4 km (45 miles) per hour (mph); speed limits must be
determined on a case-by-case basis based on environmental, road
conditions and ice road/trail longevity considerations;
(2) Following existing safety measures, delineators must mark the
roadway in a minimum of 0.4 km (\1/4\-mile) increments on both sides of
the ice road to delineate the path of vehicle travel and areas of
planned on-ice activities (e.g., emergency response exercises).
Following existing safety measures currently used for ice trails,
delineators must mark one side of an ice trail a minimum of every 0.4 km
(\1/4\ mile). Delineators must be color-coded, following existing safety
protocol, to indicate the direction of travel and location of the ice
road or trail;
(3) Corners of rig mats, steel plates, and other materials used to
bridge sections of hazardous ice, must be clearly marked or mapped using
GPS coordinates of the locations; and
(4) Personnel must be instructed to remain in the vehicle and safely
continue, if they encounter a ringed seal while driving on the road.
(c) Additional mitigation measures after March 1st. In addition to
the general mitigation measures listed in Sec. 217.154(b), the
following measures must also be implemented after March 1st:
(1) Ice road/trail construction, maintenance and decommissioning
must be performed within the boundaries of the road/trail and shoulders,
with most work occurring within the driving lane. To the extent
practicable and when safety of personnel is ensured, equipment must
travel within the driving lane and shoulder areas.
(2) Blading and snow blowing of ice roads must be limited to the
previously disturbed ice road/shoulder areas to the extent safe and
practicable. Snow must be plowed or blown from the ice road surface.
(3) In the event snow is accumulating on a road within a 50 m (164
ft) radius of an identified downwind seal or seal lair, operational
measures must be used to avoid seal impacts, such as pushing snow
further down the road before blowing it off the roadway. Vehicles must
not stop within 50 m (164 ft) of identified seals or within 150 m (500
ft) of known seal lairs.
(4) To the extent practicable and when safety of personnel is
ensured, tracked vehicle operation must be limited to the previously
disturbed ice trail areas. When safety requires a new ice trail to be
constructed after March 1st, construction activities such as drilling
holes in the ice to determine ice quality and thickness, must be
conducted only during daylight hours with good visibility.
(5) Ringed seal structures must be avoided by a minimum of 50 m (164
ft) during ice testing and new trail construction.
(6) Once the new ice trail is established, tracked vehicle operation
must be limited to the disturbed area to the extent practicable and when
safety of personnel is ensured.
(7) If a seal is observed on ice within 50 m (164 ft) of the
centerline of the ice road/trail, the following mitigation measures must
be implemented:
(i) Construction, maintenance or decommissioning activities
associated with ice roads and trails must not occur within 50 m (164 ft)
of the observed ringed seal, but may proceed as soon as the ringed seal,
of its own accord, moves farther than 50 m (164 ft) distance away from
the activities or has not been observed within that area for at least 24
hours; and
(ii) Transport vehicles (i.e., vehicles not associated with
construction, maintenance or decommissioning) may
[[Page 159]]
continue their route within the designated road/trail without stopping.
Sec. 217.155 Requirements for monitoring and reporting.
(a) All marine mammal monitoring must be conducted in accordance
with Hilcorp and Eni's Marine Mammal Mitigation and Monitoring Plan
(4MP). This plan may be modified throughout the life of the regulations
upon NMFS review and approval.
(b) General monitoring measures will be implemented through the
entire ice road/trail season including during construction, maintenance,
use and decommissioning.
(1) If a ringed seal is observed within 50 m (164 ft) of the center
of an ice road or trail, the operator's Environmental Specialist must be
immediately notified with the information provided in paragraph (e) of
this section.
(i) The Environmental Specialist must relay the seal sighting
location information to all ice road personnel and the company's office
personnel responsible for wildlife interaction, following notification
protocols described in the company-specific Wildlife Management Plan.
All other data will be recorded and logged.
(ii) The Environmental Specialist or designated person must monitor
the ringed seal to document the animal's location relative to the road/
trail. All work that is occurring when the ringed seal is observed and
the behavior of the seal during those activities must be documented
until the animal is at least 50 m (150 ft) away from the center of the
road/trail or is no longer observed.
(2) [Reserved]
(c) Additional monitoring measures after March 1st. In addition to
the general monitoring measures listed in Sec. 217.155(b), the
following measures must also be implemented after March 1st:
(1) If an ice road or trail is being actively used, under daylight
conditions with good visibility, a dedicated observer (not the vehicle
operator) must conduct a survey along the sea ice road/trail to observe
if any ringed seals are within 150 m (500 ft) of the roadway corridor.
The following survey protocol must be implemented:
(i) Surveys must be conducted every other day during daylight hours;
(ii) Observers for ice road activities must have received the
training described in Sec. 217.154(a) and understand the applicable
sections of the Wildlife Interaction Plan;
(iii) Observers for ice road activities must be capable of
detecting, observing and monitoring ringed seal presence and behaviors,
and accurately and completely recording data;
(iv) Observers must have no other primary duty than to watch for and
report observations related to ringed seals during this survey; and
(v) If weather conditions become unsafe, the observer may be removed
from the monitoring activity.
(2) If a ringed seal structure (i.e., breathing hole or lair) is
observed within 50 m (150 ft) of the ice road/trail, the location of the
structure must be reported to the Environmental Specialist and:
(i) An observer must monitor the structure every 6 hours on the day
of the initial sighting to determine whether a ringed seal is present.
(ii) Monitoring for the seal must occur every other day the ice road
is being used unless it is determined the structure is not actively
being used (i.e., a seal is not sighted at that location during
monitoring).
(d) Engaging with subsistence hunters for monitoring
recommendations.
(1) Hilcorp and Eni must engage local hunters through the Ice Seal
Committee point of contact to gather recommendations on methods for
ringed seal detection along sea ice roads/trails within the exposure
areas.
(2) Hilcorp and Eni must incorporate these recommendations into
Hilcorp and Eni's training materials provided to personnel responsible
for monitoring for ringed seals along sea ice roads/trails.
(e) Reporting requirement at the end-of-season.
(1) A final end-of-season report compiling all ringed seal
observations must be submitted to NMFS Office of Protected Resources
within 90 days of decommissioning the ice roads/trails annually. The
report must include:
(i) Date, time, location of observation;
[[Page 160]]
(ii) Ringed seal characteristics (i.e., adult or pup, behavior
(avoidance, resting, etc.));
(iii) Activities occurring during observation including equipment
being used and its purpose, and approximate distance to ringed seal(s);
(iv) Actions taken to mitigate effects of interaction emphasizing:
(A) Which mitigation and/or monitoring measures were successful;
(B) Which mitigation and/or monitoring measures may need to be
improved to reduce interactions with ringed seals;
(C) The effectiveness and practicality of implementing mitigation
and monitoring measures;
(D) Any issues or concerns regarding implementation of mitigation
and/or monitoring measures; and
(E) Potential effects of interactions based on observation data;
(v) Proposed updates (if any) to Wildlife Interaction Plan(s) or
Mitigation and Monitoring Measures; and
(vi) The methods used for detection of seals and seal structures
with an assessment of their effectiveness.
(2) In the event a seal is killed or seriously injured by ice road/
trail activities, Hilcorp or Eni must immediately cease the specified
activities and report the incident to the NMFS Office of Protected
Resources (301-427-8401) and Alaska Region Stranding Coordinator (877-
925-7773). The report must include the following information:
(i) Time and date of the incident;
(ii) Description of the incident;
(iii) Environmental conditions (e.g., cloud over, and visibility);
(iv) Description of all marine mammal observations in the 24 hours
preceding the incident;
(v) Species identification or description of the animal(s) involved;
(vi) Fate of the animal(s); and
(vii) Photographs or video footage of the animal(s).
(3) In the event ice road/trail personnel discover a dead or injured
seal but the cause of injury or death is unknown or believed not to be
related to ice road/trail activities, Hilcorp or Eni must report the
incident to the NMFS Office of Protected Resources (301-427-8401) and
Alaska Region Stranding Coordinator (877-925-7773) within 48 hours of
discovery.
Sec. 217.156 Letters of Authorization.
(a) To incidentally take marine mammals pursuant to these
regulations, Hilcorp and Eni must apply for and obtain an LOA.
(b) An LOA, unless suspended or revoked, may be effective for a
period of time not to exceed the expiration date of these regulations.
(c) If an LOA expires prior to the expiration date of these
regulations, Hilcorp or Eni may apply for and obtain a renewal of the
LOA.
(d) In the event of projected changes to the activity or to
mitigation and monitoring measures required by an LOA, Hilcorp and Eni
must apply for and obtain a modification of the LOA as described in
Sec. 217.57.
(e) The LOAs shall set forth:
(1) Permissible methods of incidental taking;
(2) Means of effecting the least practicable adverse impact (i.e.,
mitigation) on the species, its habitat, and on the availability of the
species for subsistence uses; and
(3) Requirements for monitoring and reporting.
(f) Issuance of the LOAs shall be based on a determination that the
level of taking will be consistent with the findings made for the total
taking allowable under these regulations.
(g) Notice of issuance or denial of an LOA shall be published in the
Federal Register within 30 days of a determination.
Sec. 217.157 Renewals and modifications of Letters of Authorization.
(a) An LOA issued under Sec. Sec. 216.106 of this chapter and
217.156 for the activity identified in Sec. 217.150(a) shall be renewed
or modified upon request by the applicant, provided that:
(1) The proposed specified activity and mitigation, monitoring, and
reporting measures, as well as the anticipated impacts, are the same as
those described and analyzed for these regulations (excluding changes
made pursuant to the adaptive management provision in paragraph (c)(1)
of this section); and
[[Page 161]]
(2) NMFS determines that the mitigation, monitoring, and reporting
measures required by the previous LOAs under these regulations were
implemented.
(b) For LOAs modification or renewal requests by the applicants that
include changes to the activity or the mitigation, monitoring, or
reporting (excluding changes made pursuant to the adaptive management
provision in paragraph (c)(1) of this section) that do not change the
findings made for the regulations or result in no more than a minor
change in the total estimated number of takes (or distribution by
species or years), NMFS may publish a notice of proposed LOAs in the
Federal Register, including the associated analysis of the change, and
solicit public comment before issuing the LOA.
(c) The LOAs issued under Sec. Sec. 216.106 of this chapter and
217.156 for the activity identified in Sec. 217.150(a) may be modified
by NMFS under the following circumstances:
(1) Adaptive management. NMFS may modify (including augment) the
existing mitigation, monitoring, or reporting measures (after consulting
with Hilcorp or Eni regarding the practicability of the modifications)
if doing so creates a reasonable likelihood of more effectively
accomplishing the goals of the mitigation and monitoring set forth in
the preamble for these regulations.
(i) Possible sources of data that could contribute to the decision
to modify the mitigation, monitoring, or reporting measures in an LOA:
(A) Results from Hilcorp or Eni's monitoring from the previous
year(s).
(B) Results from other marine mammal and/or sound research or
studies.
(C) Any information that reveals marine mammals may have been taken
in a manner, extent or number not authorized by these regulations or
subsequent LOAs.
(ii) If, through adaptive management, the modifications to the
mitigation, monitoring, or reporting measures are substantial, NMFS will
publish a notice of proposed LOA in the Federal Register and solicit
public comment.
(2) Emergencies. If NMFS determines that an emergency exists that
poses a significant risk to the well-being of the species or stocks of
marine mammals specified in LOAs issued pursuant to Sec. Sec. 216.106
of this chapter and 217.156, an LOA may be modified without prior notice
or opportunity for public comment. Notice would be published in the
Federal Register within 30 days of the action.
Sec. Sec. 217.158--217.159 [Reserved]
Subpart Q [Reserved]
Subpart R_Taking and Importing Marine Mammals Incidental to U.S. Navy
Bulkhead Replacement/Repairs at Naval Station Newport in Newport, Rhode
Island
Source: 86 FR 71178, Dec. 15, 2021; 87 FR 885, Jan. 7, 2022, unless
otherwise noted.
Effective Date Note: At 86 FR 71178, Dec. 15, 2021, subpart R was
added, effective May 15, 2022, through May 14, 2027. At 87 FR 885, Jan.
7, 2022, subpart R was corrected, effective May 15, 2022, through May
14, 2027.
Sec. 217.170 Specified activity and geographical region.
(a) Regulations in this subpart apply only to the U.S. Navy (Navy)
and those persons it authorizes or funds to conduct activities on its
behalf for the taking of marine mammals that occurs in the areas
outlined in paragraph (b) of this section and that occurs incidental to
construction activities including for bulkhead replacement and repairs
at Naval Station (NAVSTA) Newport, Rhode Island.
(b) The taking of marine mammals by the Navy may be authorized in a
Letter of Authorization (LOA) only if it occurs at NAVSTA Newport, Rhode
Island.
Sec. 217.171 Effective dates.
Regulations in this subpart are effective from May 15, 2022, through
May 14, 2027.
Sec. 217.172 Permissible methods of taking.
Under an LOA issued pursuant to Sec. Sec. 216.106 of this chapter
and 217.176, the Holder of the LOA (hereinafter
[[Page 162]]
``Navy'') may incidentally, but not intentionally, take marine mammals
within the area described in Sec. 217.170(b) by harassment associated
with bulkhead replacement and repairs construction activities, provided
the activity is in compliance with all terms, conditions, and
requirements of the regulations in this subpart and the applicable LOA.
Sec. 217.173 Prohibitions.
(a) Except for the takings contemplated in Sec. 217.172 and
authorized by a LOA issued under Sec. Sec. 216.106 of this chapter and
217.176, it is unlawful for any person to do any of the following in
connection with the activities described in Sec. 217.170:
(1) Violate, or fail to comply with, the terms, conditions, and
requirements of this subpart or a LOA issued under Sec. Sec. 216.106 of
this chapter and 217.176;
(2) Take any marine mammal not specified in such LOA;
(3) Take any marine mammal specified in such LOA in any manner other
than as specified;
(4) Take a marine mammal specified in such LOA if NMFS determines
such taking results in more than a negligible impact on the species or
stocks of such marine mammal; or
(b) [Reserved]
Sec. 217.174 Mitigation requirements.
(a) When conducting the activities identified in Sec. 217.171(a),
the mitigation measures contained in any LOA issued under Sec. Sec.
216.106 of this chapter and 217.176 must be implemented. These
mitigation measures must include but are not limited to:
(1) A copy of any issued LOA must be in the possession of the Navy,
supervisory construction personnel, lead protected species observers
(PSOs), and any other relevant designees of the Holder operating under
the authority of this LOA at all times that activities subject to this
LOA are being conducted.
(2) The Navy will follow mitigation procedures as described in this
section. Should environmental conditions deteriorate such that marine
mammals within the entire shutdown zone would not be visible (e.g., fog,
heavy rain, night), the Holder shall delay pile driving and removal
until observers are confident marine mammals within the shutdown zone
could be detected.
(3) The Navy will ensure that construction supervisors and crews,
the monitoring team, and relevant Navy staff are trained prior to the
start of all activities subject to this rule, so that responsibilities,
communication procedures, monitoring protocols, and operational
procedures are clearly understood. New personnel joining during the
project will be trained prior to commencing work.
(4) The Navy, construction supervisors and crews, PSOs, and relevant
Navy staff will avoid direct physical interaction with marine mammals
during construction activity. If a marine mammal comes within 10 m of
such activity, operations will cease and vessels will reduce speed to
the minimum level required to maintain steerage and safe working
conditions, as necessary, to avoid direct physical interaction.
(5) The Navy will employ PSOs and establish monitoring locations as
described in this rule and the Marine Mammal Monitoring Plan. The Navy
will monitor the project area to the maximum extent possible based on
the required number of PSOs, required monitoring locations, and
environmental conditions.
(6) Monitoring will take place from 30 minutes prior to initiation
of pile driving activity (i.e., pre-start clearance monitoring) through
30 minutes post-completion of pile driving activity.
(7) If a marine mammal is observed entering or within the shutdown
zones indicated in this rule, pile driving activity must be delayed or
halted. If pile driving is delayed or halted due to the presence of a
marine mammal, the activity may not commence or resume until either the
animal has voluntarily exited and been visually confirmed beyond the
shutdown zone or 15 minutes have passed without re-detection of the
animal.
(8) The Navy will establish shutdown zones for all pile driving
activities. Shutdown zones are limited to 150 m from the point of noise
generation. Any remaining area within estimated Level A harassment zones
shall be considered part of the ``disturbance zone,'' i.e., the
[[Page 163]]
Level B harassment zone and, where present, the Level A harassment zone
(PTS onset) beyond 150 m from the point of noise generation. For
activities where the estimated Level A (PTS onset) harassment zones are
smaller than 150 m, the disturbance zone shall include the entire region
of influence (ROI), i.e., estimated Level A and Level B harassment
zones). Work may proceed without cessation while marine mammals are in
the disturbance zone and marine mammal behavior within the disturbance
zone will be monitored and documented.
(9) The Navy will conduct monitoring to include the area within the
Level B harassment zones (areas where SPLs are equal to or exceed the
160 dB rms threshold for impact driving and the 120 dB rms threshold
during vibratory pile driving (disturbance zone).
(10) Pre-start clearance monitoring will be conducted during periods
of visibility sufficient for the lead PSO to determine that the shutdown
zones are clear of marine mammals. Pile driving may commence following
30 minutes of observation when the determination is made that the
shutdown zones are clear of marine mammals.
(11) If pile driving is delayed or halted due to the presence of a
marine mammal, the activity may not commence or resume until either the
animal has voluntarily exited and been visually confirmed beyond the
shutdown zone indicated or 15 minutes have passed without re-detection
of the animal.
(12) The Navy will use soft start techniques when impact pile
driving. Soft start requires contractors to provide an initial set of
three strikes from the hammer at reduced energy, followed by a 30-second
waiting period. Then two subsequent reduced-energy strike sets would
occur. A soft start will be implemented at the start of each day's
impact pile driving and at any time following cessation of impact pile
driving for a period of 30 minutes or longer. Soft start is not required
during vibratory pile driving activities.
(13) Pile driving activity must be halted upon observation of either
a species entering or within the harassment zone, for which incidental
take is not authorized, or a species for which incidental take has been
authorized but the authorized number of takes has been met.
(b) [Reserved]
Sec. 217.175 Requirements for monitoring and reporting.
(a) Marine Mammal monitoring must be conducted in accordance with
the conditions in this section and the Marine Mammal Monitoring Plan.
The Navy must submit a Marine Mammal Monitoring Plan to NMFS for
approval in advance of construction.
(b) Monitoring must be conducted by qualified, NMFS-approved PSOs,
in accordance with the following conditions:
(1) PSOs must be independent (i.e., not construction personnel) and
have no other assigned tasks during monitoring periods.
(2) At least one PSO must have prior experience performing the
duties of a PSO during construction activity pursuant to a NMFS-issued
incidental take authorization.
(3) Other PSOs may substitute other relevant experience, education
(degree in biological science or related field), or training for prior
experience performing the duties of a PSO during construction activity
pursuant to a NMFS-issued incidental take authorization.
(4) Where a team of three or more PSOs is required, a lead observer
or monitoring coordinator must be designated. The lead observer must
have prior experience performing the duties of a PSO during construction
activity pursuant to a NMFS-issued incidental take authorization.
(5) PSOs must be approved by NMFS prior to beginning any activity
subject to this LOA.
(c) The Navy will establish the following monitoring locations. For
all pile driving activities, a minimum of one PSO will be assigned to
each active pile driving location to monitor the shutdown zones. Trained
PSOs will be placed at the best vantage point(s) practicable such as on
nearby breakwaters, Gould Island, Coddington Point, or Taylor Point.
Visual monitoring will be conducted by, at a minimum, by two PSOs. It is
assumed that two to three PSOs would be sufficient to monitor the
respective ROIs given
[[Page 164]]
the abundance of suitable vantage points. Any activity that would result
in threshold exceedance at or more than 1,000 m would require a minimum
of three PSOs to effectively monitor the entire ROI. However, additional
monitors may be added if warranted by site conditions and/or the level
of marine mammal activity in the area.
(d) PSOs must record all observations of marine mammals, regardless
of distance from the pile being driven, as well as the additional data
indicated in the reporting requirements.
(e) Acoustic monitoring will be conducted in accordance with the
Acoustic Monitoring Plan. The Navy will conduct hydroacoustic data
collection (sound source verification and propagation loss) in
accordance with a hydroacoustic monitoring plan that must be approved by
NMFS in advance of construction.
(f) The shutdown/disturbances zones may be modified with NMFS'
approval following NMFS' acceptance of an acoustic monitoring report.
(g) The Navy will submit a draft monitoring report to NMFS within 90
calendar days of the completion of required monitoring for each portion
of the project as well as a comprehensive summary report at the end of
the project. The report will detail the monitoring protocol and
summarize the data recorded during monitoring. Final annual reports
(each portion of the project and comprehensive) must be prepared and
submitted within 30 days following resolution of any NMFS comments on
the draft report. If no comments are received from NMFS within 30 days
of receipt of the draft report, the report must be considered final. If
comments are received, a final report addressing NMFS comments must be
submitted within 30 days after receipt of comments.
(h) All draft and final monitoring reports must be submitted to
[email protected] and [email protected].
(i) The marine mammal report must contain the informational elements
described ed in the Marine Mammal Monitoring Plan and, at minimum,
include:
(1) Dates and times (begin and end) of all marine mammal monitoring;
(2) Construction activities occurring during each daily observation
period, including: the number and types of piles were driven or removed
and by what method (i.e., impact or vibratory) and the total duration of
driving time for each pile (vibratory driving) and number of strikes for
each pile (impact driving); and
(3) PSO locations during marine mammal monitoring;
(4) Environmental conditions during monitoring periods (at beginning
and end of PSO shift and whenever conditions change significantly),
including Beaufort sea state and any other relevant weather conditions
including cloud cover, fog, sun glare, and overall visibility to the
horizon, and estimated observable distance;
(5) Upon observation of a marine mammal, the following information:
(i) Name of PSO who sighted the animal(s) and PSO location and
activity at time of sighting.
(ii) Time of sighting; and
(iii) Identification of the animal (e.g., genus/species, lowest
possible taxonomic level, or unidentified), PSO confidence in
identification, and the composition of the group if there is a mix of
species;
(iv) Distances and location of each marine mammal observed relative
to the pile being driven or removed;
(v) Estimated number of animals (min/max/best);
(vi) Estimated number of animals by cohort (adults, juveniles,
neonates, group composition etc.);
(vii) Animal's closest point of approach and estimated time spent
within the harassment zone; and
(viii) Description of any marine mammal behavioral observations
(e.g., observed behaviors such as feeding or traveling), including an
assessment of behavioral responses thought to have resulted from the
activity (e.g., no response or changes in behavioral state such as
ceasing feeding, changing direction, flushing, or breaching);
(6) Number of marine mammals detected within the harassment zones,
by species;
(7) Detailed information about any implementation of any mitigation
triggered (e.g., shutdowns and delays), a
[[Page 165]]
description of specific actions that ensued, and resulting of the
behavior of the animal, if any;
(8) The Navy will submit all PSO datasheets and/or raw sightings
data with the draft reports.
(j) The Navy must report the hydroacoustic data collected as
required by a LOA issued under Sec. Sec. 216.106 of this chapter and
217.176 and as described in the Acoustic Monitoring Plan, and at a
minimum, must include:
(1) Hydrophone equipment and methods: recording device, sampling
rate, distance (m) from the pile where recordings were made; depth of
water and recording device(s);
(2) Type and size of pile being driven, substrate type, method of
driving during recordings (e.g., hammer model and energy), and total
pile driving duration;
(i) Whether a sound attenuation device is used and, if so, a
detailed description of the device used and the duration of its use per
pile;
(ii) For impact pile driving (per pile): Number of strikes and
strike rate; depth of substrate to penetrate; pulse duration and mean,
median, and maximum sound levels (dB re: 1 [micro]Pa): Root mean square
sound pressure level (SPLrms); cumulative sound exposure level (SELcum),
peak sound pressure level (SPLpeak), and single-strike sound exposure
level (SELs-s);
(iii) For vibratory driving/removal (per pile): Duration of driving
per pile; mean, median, and maximum sound levels (dB re: 1 [micro]Pa):
Root mean square sound pressure level (SPLrms), cumulative sound
exposure level (SELcum) (and timeframe over which the sound is
averaged); and
(iv) One-third octave band spectrum and power spectral density plot.
(k) In the event that personnel involved in the construction
activities discover an injured or dead marine mammal, the Navy must
report the incident to NMFS Office of Protected Resources (OPR), NMFS
([email protected] and [email protected]) Monitoring)
and to the Greater Atlantic Region New England/Mid-Atlantic Stranding
Coordinator, as soon as feasible. If the death or injury was clearly
caused by the specified activity, the Navy must immediately cease the
specified activities until NMFS OPR is able to review the circumstances
of the incident and determine what, if any, additional measures are
appropriate to ensure compliance with the terms of this rule and the LOA
issued under Sec. Sec. 216.106 of this chapter and 217.176. The Navy
will not resume their activities until notified by NMFS. The report must
include the following information:
(1) Time, date, and location (latitude/longitude) of the first
discovery (and updated location information if known and applicable);
(2) Species identification (if known) or description of the
animal(s) involved;
(3) Condition of the animal(s) (including carcass condition if the
animal is dead);
(4) Observed behaviors of the animal(s), if alive;
(5) If available, photographs or video footage of the animal(s); and
(6) General circumstances under which the animal was discovered.
Sec. 217.176 Letters of Authorization.
(a) To incidentally take marine mammals pursuant to these
regulations, the Navy must apply for and obtain an LOA.
(b) An LOA, unless suspended or revoked, may be effective for a
period of time not to exceed the expiration date of these regulations.
(c) If an LOA expires prior to the expiration date of these
regulations, the Navy may apply for and obtain a renewal of the LOA.
(d) In the event of projected changes to the activity or to
mitigation and monitoring measures required by an LOA, the Navy must
apply for and obtain a modification of the LOA as described in Sec.
217.177.
(e) The LOA will set forth the following information:
(1) Permissible methods of incidental taking;
(2) Means of effecting the least practicable adverse impact (i.e.,
mitigation) on the species, its habitat, and on the availability of the
species for subsistence uses; and
(3) Requirements for monitoring and reporting.
[[Page 166]]
(f) Issuance of the LOA will be based on a determination that the
level of taking will be consistent with the findings made for the total
taking allowable under these regulations.
(g) Notice of issuance or denial of an LOA will be published in the
Federal Register within 30 days of a determination.
Sec. 217.177 Renewals and modifications of Letters of Authorization.
(a) An LOA issued under Sec. Sec. 216.106 of this chapter and
217.176 for the activity identified in Sec. 217.170(a) may be renewed
or modified upon request by the applicant, provided that:
(1) The specified activity and mitigation, monitoring, and reporting
measures, as well as the anticipated impacts, are the same as those
described and analyzed for these regulations; and
(2) NMFS determines that the mitigation, monitoring, and reporting
measures required by the previous LOA under these regulations were
implemented.
(b) For LOA modification or renewal requests by the applicant that
include changes to the activity or the mitigation, monitoring, or
reporting that do not change the findings made for the regulations or
result in no more than a minor change in the total estimated number of
takes (or distribution by species or years), NMFS may publish a notice
of proposed LOA in the Federal Register, including the associated
analysis of the change, and solicit public comment before issuing the
LOA.
(c) A LOA issued under Sec. Sec. 216.106 of this chapter and
217.176 for the activity identified in Sec. 217.170(a) may be modified
by NMFS under the following circumstances:
(1) NMFS may modify (including augment) the existing mitigation,
monitoring, or reporting measures (after consulting with Navy regarding
the practicability of the modifications) if doing so creates a
reasonable likelihood of more effectively accomplishing the goals of the
mitigation and monitoring set forth in the preamble for these
regulations;
(i) Possible sources of data that could contribute to the decision
to modify the mitigation, monitoring, or reporting measures in a LOA:
(A) Results from Navy's monitoring from previous years;
(B) Results from other marine mammal and/or sound research or
studies; and
(C) Any information that reveals marine mammals may have been taken
in a manner, extent or number not authorized by these regulations or
subsequent LOAs; and
(ii) If, through adaptive management, the modifications to the
mitigation, monitoring, or reporting measures are substantial, NMFS will
publish a notice of proposed LOA in the Federal Register and solicit
public comment;
(2) If NMFS determines that an emergency exists that poses a
significant risk to the well-being of the species or stocks of marine
mammals specified in a LOA issued pursuant to Sec. Sec. 216.106 of this
chapter and 217.176, a LOA may be modified without prior notice or
opportunity for public comment. Notification would be published in the
Federal Register within 30 days of the action.
Sec. Sec. 217.178-217.179 [Reserved]
Subpart S_Taking Marine Mammals Incidental to Geophysical Survey
Activities in the Gulf of Mexico
Source: 86 FR 5444, Jan. 19, 2021, unless otherwise noted.
Effective Date Note: At 86 FR 5444, Jan. 19, 2021, subpart S was
added, effective Apr. 19, 2021, through Apr. 19, 2026.
Sec. 217.180 Specified activity and specified geographical region.
(a) Regulations in this subpart apply only to oil and gas industry
operators (LOA-holders), and those persons authorized to conduct
activities on their behalf, for the taking of marine mammals that occurs
in the area outlined in paragraph (b) of this section and that occurs
incidental to geophysical survey activities.
(b) The taking of marine mammals by oil and gas industry operators
may be authorized in a Letter of Authorization (LOA) only if it occurs
within U.S. waters in the Gulf of Mexico, outside the area subject to a
Congressional leasing moratorium under the Gulf of Mexico Energy
Security Act
[[Page 167]]
(GOMESA) (Pub L. 109-432, Sec. 104) as of the effective date of these
regulations.
Sec. 217.181 Effective dates.
Regulations in this subpart are effective from April 19, 2021
through April 19, 2026.
Sec. 217.182 Permissible methods of taking.
Under LOAs issued pursuant to Sec. Sec. 216.106 of this chapter and
217.186, LOA-holders may incidentally, but not intentionally, take
marine mammals within the area described in Sec. 217.180(b) by Level A
and Level B harassment associated with geophysical survey activities,
provided the activity is in compliance with all terms, conditions, and
requirements of the regulations in this subpart and the appropriate LOA.
Sec. 217.183 Prohibitions.
Notwithstanding takings contemplated in Sec. Sec. 217.180 and
217.182, and authorized by a LOA issued under Sec. Sec. 216.106 of this
chapter and 217.186, no person in connection with the activities
described in Sec. 217.180 may:
(a) Violate, or fail to comply with, the terms, conditions, and
requirements of this subpart or a LOA issued under Sec. Sec. 216.106 of
this chapter and 217.186;
(b) Take any marine mammal not specified in such LOAs;
(c) Take any marine mammal specified in such LOAs in any manner
other than as specified; or
(d) Take a marine mammal specified in such LOAs if NMFS determines
such taking results in more than a negligible impact on the species or
stocks of such marine mammal.
Sec. 217.184 Mitigation requirements.
When conducting the activities identified in Sec. 217.180, the
mitigation measures contained in any LOA issued under Sec. Sec. 216.106
of this chapter and 217.186 must be implemented. These mitigation
measures shall include but are not limited to:
(a) General conditions. (1) A copy of any issued LOA must be in the
possession of the LOA-holder, vessel operator, other relevant personnel,
the lead protected species observer (PSO), and any other relevant
designees operating under the authority of the LOA.
(2) The LOA-holder must instruct relevant vessel personnel with
regard to the authority of the protected species monitoring team (PSO
team), and must ensure that relevant vessel personnel and PSO team
participate in a joint onboard briefing, led by the vessel operator and
lead PSO, prior to beginning work to ensure that responsibilities,
communication procedures, protected species monitoring protocols,
operational procedures, and LOA requirements are clearly understood.
This briefing must be repeated when relevant new personnel join the
survey operations before work involving those personnel commences.
(3) The acoustic source must be deactivated when not acquiring data
or preparing to acquire data, except as necessary for testing.
Unnecessary use of the acoustic source must be avoided. For surveys
using airgun arrays as the acoustic source, notified operational
capacity (i.e., total array volume) (not including redundant backup
airguns) must not be exceeded during the survey, except where
unavoidable for source testing and calibration purposes. All occasions
where activated source volume exceeds notified operational capacity must
be communicated to the PSO(s) on duty and fully documented. The lead PSO
must be granted access to relevant instrumentation documenting acoustic
source power and/or operational volume.
(4) PSOs must be used as specified in this paragraph (a)(4).
(i) LOA-holders must use independent, dedicated, qualified PSOs,
meaning that the PSOs must be employed by a third-party observer
provider, must have no tasks other than to conduct observational effort,
collect data, and communicate with and instruct relevant vessel crew
with regard to the presence of protected species and mitigation
requirements (including brief alerts regarding maritime hazards), and
must be qualified pursuant to Sec. 217.185(a) (except as specified at
Sec. 217.184(d)(2)(iii-iv)). Acoustic PSOs are
[[Page 168]]
required to complete specialized training for operating passive acoustic
monitoring (PAM) systems and are encouraged to have familiarity with the
vessel on which they will be working. PSOs may act as both acoustic and
visual observers (but not simultaneously), so long as they demonstrate
that their training and experience are sufficient to perform each task.
(ii) The LOA-holder must submit PSO resumes for NMFS review and
approval prior to commencement of the survey (except as specified at
Sec. 217.184(d)(2)(iii)). Resumes should include dates of training and
any prior NMFS approval, as well as dates and description of last
experience, and must be accompanied by information documenting
successful completion of an acceptable training course. NMFS is allowed
one week to approve PSOs from the time that the necessary information is
received by NMFS, after which PSOs meeting the minimum requirements will
automatically be considered approved.
(iii) At least one visual PSO and two acoustic PSOs (when required)
aboard each acoustic source vessel must have a minimum of 90 days at-sea
experience working in those roles, respectively, with no more than
eighteen months elapsed since the conclusion of the at-sea experience
(except as specified at Sec. 217.184(d)(2)(iii)). One visual PSO with
such experience must be designated as the lead for the entire PSO team.
The lead must coordinate duty schedules and roles for the PSO team and
serve as the primary point of contact for the vessel operator. (Note
that the responsibility of coordinating duty schedules and roles may
instead be assigned to a shore-based, third-party monitoring
coordinator.) To the maximum extent practicable, the lead PSO must
devise the duty schedule such that experienced PSOs are on duty with
those PSOs with appropriate training but who have not yet gained
relevant experience.
(b) Deep penetration surveys. (1) Deep penetration surveys are
defined as surveys using airgun arrays with total volume greater than
1,500 in\3\.
(2) Visual monitoring must be conducted as specified in this
paragraph (b)(2).
(i) During survey operations (i.e., any day on which use of the
acoustic source is planned to occur, and whenever the acoustic source is
in the water, whether activated or not), a minimum of two PSOs must be
on duty and conducting visual observations at all times during daylight
hours (i.e., from 30 minutes prior to sunrise through 30 minutes
following sunset).
(ii) Visual monitoring must begin not less than 30 minutes prior to
ramp-up and must continue until one hour after use of the acoustic
source ceases or until 30 minutes past sunset.
(iii) Visual PSOs must coordinate to ensure 360[deg] visual coverage
around the vessel from the most appropriate observation posts, and must
conduct visual observations using binoculars and the naked eye while
free from distractions and in a consistent, systematic, and diligent
manner.
(iv) Visual PSOs must immediately communicate all observations of
marine mammals to the on-duty acoustic PSO, including any determination
by the PSO regarding species identification, distance, and bearing and
the degree of confidence in the determination.
(v) Any observations of marine mammals by crew members aboard any
vessel associated with the survey must be relayed to the PSO team.
(vi) During good conditions (e.g., daylight hours; Beaufort sea
state (BSS) 3 or less), visual PSOs must conduct observations when the
acoustic source is not operating for comparison of sighting rates and
behavior with and without use of the acoustic source and between
acquisition periods, to the maximum extent practicable.
(vii) Visual PSOs may be on watch for a maximum of two consecutive
hours followed by a break of at least one hour between watches and may
conduct a maximum of 12 hours of observation per 24-hour period. NMFS
may grant an exception for LOA applications that demonstrate such a
``two hours on/one hour off'' duty cycle is not practicable, in which
case visual PSOs will be subject to a maximum of four consecutive hours
on watch followed by a break of at least two hours between watches.
Combined observational duties (visual and acoustic but
[[Page 169]]
not at the same time) must not exceed 12 hours per 24-hour period for
any individual PSO.
(3) Acoustic monitoring must be conducted as specified in this
paragraph (b)(3).
(i) All source vessels must use a towed PAM system at all times when
operating in waters deeper than 100 m, which must be monitored by a
minimum of one acoustic PSO beginning at least 30 minutes prior to ramp-
up, at all times during use of the acoustic source, and until one hour
after use of the acoustic source ceases. ``PAM system'' refers to
calibrated hydrophone arrays with full system redundancy to detect,
identify, and estimate distance and bearing to vocalizing cetaceans,
coupled with appropriate software to aid monitoring and listening by a
PAM operator skilled in bioacoustics analysis and computer system
specifications capable of running appropriate software. The PAM system
must have at least one calibrated hydrophone (per each deployed
hydrophone type and/or set) sufficient for determining whether
background noise levels on the towed PAM system are sufficiently low to
meet performance expectations. Applicants must provide a PAM plan
including description of the hardware and software proposed for use
prior to proceeding with any survey where PAM is required.
(ii) Acoustic PSOs must immediately communicate all detections of
marine mammals to visual PSOs (when visual PSOs are on duty), including
any determination by the PSO regarding species identification, distance,
and bearing, and the degree of confidence in the determination.
(iii) Acoustic PSOs may be on watch for a maximum of four
consecutive hours followed by a break of at least two hours between
watches, and may conduct a maximum of 12 hours of observation per 24-
hour period. Combined observational duties (visual and acoustic but not
at the same time) must not exceed 12 hours per 24-hour period for any
individual PSO.
(iv) Survey activity may continue for 30 minutes when the PAM system
malfunctions or is damaged, while the PAM operator diagnoses the issue.
If the diagnosis indicates that the PAM system must be repaired to solve
the problem, operations may continue for an additional two hours without
acoustic monitoring during daylight hours only under the following
conditions:
(A) Sea state is less than or equal to BSS 4;
(B) No marine mammals (excluding delphinids) detected solely by PAM
in the applicable exclusion zone in the previous two hours;
(C) NMFS is notified via email as soon as practicable with the time
and location in which operations began occurring without an active PAM
system; and
(D) Operations with an active acoustic source, but without an
operating PAM system, do not exceed a cumulative total of four hours in
any 24-hour period.
(4) PSOs must establish and monitor applicable exclusion and buffer
zones. These zones must be based upon the radial distance from the edges
of the airgun array (rather than being based on the center of the array
or around the vessel itself). During use of the acoustic source (i.e.,
anytime the acoustic source is active, including ramp-up), occurrence of
marine mammals within the relevant buffer zone (but outside the
exclusion zone) should be communicated to the operator to prepare for
the potential shutdown of the acoustic source.
(i) Two exclusion zones are defined, depending on the species and
context. A standard exclusion zone encompassing the area at and below
the sea surface out to a radius of 500 meters from the edges of the
airgun array (0-500 m) is defined. For special circumstances (defined at
Sec. 217.184(b)(9)(v)), the exclusion zone encompasses an extended
distance of 1,500 meters (0-1,500 m).
(ii) During pre-start clearance monitoring (i.e., before ramp-up
begins), the buffer zone acts as an extension of the exclusion zone in
that observations of marine mammals within the buffer zone would also
preclude airgun operations from beginning (i.e., ramp-up). For all
marine mammals (except where superseded by the extended 1,500-m
exclusion zone), the buffer zone encompasses the area at and below the
sea surface from the edge of the 0-500
[[Page 170]]
meter exclusion zone out to a radius of 1,000 meters from the edges of
the airgun array (500-1,000 m). The buffer zone is not applicable when
the exclusion zone is greater than 500 meters, i.e., the observational
focal zone is not increased beyond 1,500 meters.
(5) A ramp-up procedure, involving a step-wise increase in the
number of airguns firing and total active array volume until all
operational airguns are activated and the full volume is achieved, is
required at all times as part of the activation of the acoustic source.
A 30-minute pre-start clearance observation period must occur prior to
the start of ramp-up. The LOA-holder must adhere to the following pre-
start clearance and ramp-up requirements:
(i) The operator must notify a designated PSO of the planned start
of ramp-up as agreed upon with the lead PSO; the notification time
should not be less than 60 minutes prior to the planned ramp-up.
(ii) Ramp-ups must be scheduled so as to minimize the time spent
with source activated prior to reaching the designated run-in.
(iii) A designated PSO must be notified again immediately prior to
initiating ramp-up procedures and the operator must receive confirmation
from the PSO to proceed.
(iv) Ramp-up must not be initiated if any marine mammal is within
the applicable exclusion or buffer zone. If a marine mammal is observed
within the exclusion zone or the buffer zone during the 30-minute pre-
start clearance period, ramp-up must not begin until the animal(s) has
been observed exiting the zones or until an additional time period has
elapsed with no further sightings (15 minutes for small delphinids and
30 minutes for all other species).
(v) Ramp-up must begin by activating a single airgun of the smallest
volume in the array and shall continue in stages by doubling the number
of active elements at the commencement of each stage, with each stage of
approximately the same duration. Total duration must not be less than 20
minutes. The operator must provide information to the PSO documenting
that appropriate procedures were followed.
(vi) Ramp-up must cease and the source shut down upon observation of
marine mammals within the applicable exclusion zone. Once ramp-up has
begun, observations of marine mammals within the buffer zone do not
require shutdown.
(vii) Ramp-up may occur at times of poor visibility, including
nighttime, if appropriate acoustic monitoring has occurred with no
detections of a marine mammal other than delphinids in the 30 minutes
prior to beginning ramp-up. Acoustic source activation may only occur at
night where operational planning cannot reasonably avoid such
circumstances.
(viii) If the acoustic source is shut down for brief periods (i.e.,
less than 30 minutes) for reasons other than implementation of
prescribed mitigation (e.g., mechanical difficulty), it may be activated
again without ramp-up if PSOs have maintained constant visual and/or
acoustic observation and no visual or acoustic detections of any marine
mammal have occurred within the applicable exclusion zone. For any
longer shutdown, pre-start clearance observation and ramp-up are
required. For any shutdown at night or in periods of poor visibility
(e.g., BSS 4 or greater), ramp-up is required, but if the shutdown
period was brief and constant observation maintained, pre-start
clearance watch is not required.
(ix) Testing of the acoustic source involving all elements requires
ramp-up. Testing limited to individual source elements or strings does
not require ramp-up but does require the pre-start clearance observation
period.
(6) Shutdowns must be implemented as specified in this paragraph
(b)(6).
(i) Any PSO on duty has the authority to delay the start of survey
operations or to call for shutdown of the acoustic source pursuant to
the requirements of this subpart.
(ii) The operator must establish and maintain clear lines of
communication directly between PSOs on duty and crew controlling the
acoustic source to ensure that shutdown commands are conveyed swiftly
while allowing PSOs to maintain watch.
(iii) When both visual and acoustic PSOs are on duty, all detections
must be immediately communicated to the
[[Page 171]]
remainder of the on-duty PSO team for potential verification of visual
observations by the acoustic PSO or of acoustic detections by visual
PSOs.
(iv) When the airgun array is active (i.e., anytime one or more
airguns is active, including during ramp-up) and (1) a marine mammal
appears within or enters the applicable exclusion zone and/or (2) a
marine mammal (excluding delphinids) is detected acoustically and
localized within the applicable exclusion zone, the acoustic source must
be shut down. When shutdown is called for by a PSO, the acoustic source
must be immediately deactivated and any dispute resolved only following
deactivation.
(v) The extended 1,500-m exclusion zone must be applied upon
detection (visual or acoustic) of a baleen whale, sperm whale, beaked
whale, or Kogia spp. within the zone.
(vi) Shutdown requirements are waived for dolphins of the following
genera: Tursiops, Stenella, Steno, and Lagenodelphis. If a delphinid is
visually detected within the exclusion zone, no shutdown is required
unless the PSO confirms the individual to be of a genus other than those
listed above, in which case a shutdown is required. Acoustic detection
of delphinids does not require shutdown.
(vii) If there is uncertainty regarding identification or
localization, PSOs may use best professional judgment in making the
decision to call for a shutdown.
(viii) Upon implementation of shutdown, the source may be
reactivated after the marine mammal(s) has been observed exiting the
applicable exclusion zone or following a 30-minute clearance period with
no further detection of the marine mammal(s).
(c) Shallow penetration surveys. (1) Shallow penetration surveys are
defined as surveys using airgun arrays with total volume equal to or
less than 1,500 in\3\, single airguns, boomers, or equivalent sources.
(2) LOA-holders conducting shallow penetration surveys must follow
the requirements defined for deep penetration surveys at Sec.
217.184(b), with the following exceptions:
(i) Acoustic monitoring is not required for shallow penetration
surveys.
(ii) Ramp-up for small airgun arrays must follow the procedure
described above for large airgun arrays, but may occur over an
abbreviated period of time. Ramp-up is not required for surveys using
only a single airgun. For non-airgun sources, power should be increased
as feasible to effect a ramp-up.
(iii) Two exclusion zones are defined, depending on the species and
context. A standard exclusion zone encompassing the area at and below
the sea surface out to a radius of 100 meters from the edges of the
airgun array (if used) or from the acoustic source (0-100 m) is defined.
For special circumstances (Sec. 217.184(b)(6)(v)), the exclusion zone
encompasses an extended distance of 500 meters (0-500 m).
(iv) The buffer zone encompasses the area at and below the sea
surface from the edge of the 0-100 meter exclusion zone out to a radius
of 200 meters from the edges of the airgun array (if used) or from the
acoustic source (100-200 meters). The buffer zone is not applicable when
the exclusion zone is greater than 100 meters.
(d) High-resolution geophysical (HRG) surveys. (1) HRG surveys are
defined as surveys using an electromechanical source that operates at
frequencies less than 180 kHz, other than those defined at Sec.
217.184(c)(1) (e.g., side-scan sonar, multibeam echosounder, or chirp
sub-bottom profiler).
(2) LOA-holders conducting HRG surveys must follow the requirements
defined for shallow penetration surveys at Sec. 217.184(c), with the
following exceptions:
(i) No shutdowns are required for HRG surveys. Pre-start clearance
watch is required as defined at Sec. 217.184(c), i.e., for a period of
30 minutes and over a 200-m radius from the acoustic source.
(ii) During survey operations (e.g., any day on which use of the
acoustic source is planned to occur, and whenever the acoustic source is
in the water, whether activated or not), a minimum of one trained and
experienced independent PSO must be on duty and conducting visual
observations at all times during daylight hours (i.e., from 30 minutes
prior to sunrise through 30 minutes following
[[Page 172]]
sunset) when operating in waters deeper than 100 m.
(iii) When operating in waters shallower than 100 m, LOA-holders
must employ one trained visual PSO, who may be a crew member, only for
purposes of conducting pre-start clearance monitoring. If PSOs are crew
members, i.e., are not independent PSOs, the PSOs are not subject to
NMFS' approval. In these circumstances, LOA requests must describe the
training that will be provided to crew members filling the role of PSO.
(iv) PSOs are not required during survey operations in which the
active acoustic source(s) are deployed on an autonomous underwater
vehicle.
(e) Time-area closure. From January 1 through May 31, no use of
airguns may occur shoreward of the 20-m isobath and between 90-84[deg]
W.
(f) Entanglement avoidance. To avoid the risk of entanglement, LOA-
holders conducting surveys using ocean-bottom nodes or similar gear
must:
(1) Use negatively buoyant coated wire-core tether cable;
(2) Retrieve all lines immediately following completion of the
survey; and
(3) Attach acoustic pingers directly to the coated tether cable;
acoustic releases should not be used.
(g) Vessel strike avoidance. LOA-holders must adhere to the
following requirements:
(1) Vessel operators and crews must maintain a vigilant watch for
all marine mammals and must slow down, stop their vessel, or alter
course, as appropriate and regardless of vessel size, to avoid striking
any marine mammal. A visual observer aboard the vessel must monitor a
vessel strike avoidance zone around the vessel, which shall be defined
according to the parameters stated in this subsection. Visual observers
monitoring the vessel strike avoidance zone may be third-party observers
(i.e., PSOs) or crew members, but crew members responsible for these
duties must be provided sufficient training to distinguish marine
mammals from other phenomena and broadly to identify a marine mammal as
a baleen whale, sperm whale, or other marine mammal;
(2) Vessel speeds must be reduced to 10 kn or less when mother/calf
pairs, pods, or large assemblages of marine mammals are observed near a
vessel;
(3) All vessels must maintain a minimum separation distance of 500 m
from baleen whales;
(4) All vessels must maintain a minimum separation distance of 100 m
from sperm whales;
(5) All vessels must, to the maximum extent practicable, attempt to
maintain a minimum separation distance of 50 m from all other marine
mammals, with an exception made for those animals that approach the
vessel; and
(6) When marine mammals are sighted while a vessel is underway, the
vessel must take action as necessary to avoid violating the relevant
separation distance, e.g., attempt to remain parallel to the animal's
course, avoid excessive speed or abrupt changes in direction until the
animal has left the area. If marine mammals are sighted within the
relevant separation distance, the vessel must reduce speed and shift the
engine to neutral, not engaging the engines until animals are clear of
the area. This does not apply to any vessel towing gear or any vessel
that is navigationally constrained.
(7) These requirements do not apply in any case where compliance
would create an imminent and serious threat to a person or vessel or to
the extent that a vessel is restricted in its ability to maneuver and,
because of the restriction, cannot comply.
Sec. 217.185 Requirements for monitoring and reporting.
(a) PSO qualifications. (1) PSOs must successfully complete
relevant, acceptable training, including completion of all required
coursework and passing (80 percent or greater) a written and/or oral
examination developed for the training program.
(2) PSOs must have successfully attained a bachelor's degree from an
accredited college or university with a major in one of the natural
sciences, a minimum of 30 semester hours or equivalent in the biological
sciences, and at least one undergraduate course in math or statistics.
The educational requirements may be waived if the PSO has acquired the
relevant skills
[[Page 173]]
through alternate experience. Requests for such a waiver must be
submitted to NMFS and shall include written justification. Requests will
be granted or denied (with justification) by NMFS within one week of
receipt of submitted information. Alternate experience that may be
considered includes, but is not limited to:
(i) Secondary education and/or experience comparable to PSO duties;
(ii) Previous work experience conducting academic, commercial, or
government-sponsored marine mammal surveys; or
(iii) Previous work experience as a PSO; the PSO should demonstrate
good standing and consistently good performance of PSO duties.
(b) Equipment. LOA-holders are required to:
(i) Provide PSOs with bigeye binoculars (e.g., 25 x 150; 2.7 view
angle; individual ocular focus; height control) of appropriate quality
solely for PSO use. These must be pedestal-mounted on the deck at the
most appropriate vantage point that provides for optimal sea surface
observation, PSO safety, and safe operation of the vessel.
(ii) For each vessel required to use a PAM system, provide a PAM
system that has been verified and tested by an experienced acoustic PSO
who will be using it during the trip for which monitoring is required;
(iii) Work with the selected third-party observer provider to ensure
PSOs have all equipment (including backup equipment) needed to
adequately perform necessary tasks, including accurate determination of
distance and bearing to observed marine mammals. (Equipment specified in
A. through G. below may be provided by an individual PSO, the third-
party observer provider, or the LOA-holder, but the LOA-holder is
responsible for ensuring PSOs have the proper equipment required to
perform the duties specified herein.) Such equipment, at a minimum, must
include:
(A) Reticle binoculars (e.g., 7 x 50) of appropriate quality (at
least one per PSO, plus backups);
(B) Global Positioning Unit (GPS) (plus backup);
(C) Digital camera with a telephoto lens (the camera or lens should
also have an image stabilization system) that is at least 300 mm or
equivalent on a full-frame single lens reflex (SLR) (plus backup);
(D) Compass (plus backup);
(E) Radios for communication among vessel crew and PSOs (at least
one per PSO, plus backups); and
(F) Any other tools necessary to adequately perform necessary PSO
tasks.
(c) Data collection. PSOs must use standardized electronic data
forms. PSOs must record detailed information about any implementation of
mitigation requirements, including the distance of marine mammals to the
acoustic source and description of specific actions that ensued, the
behavior of the animal(s), any observed changes in behavior before and
after implementation of mitigation, and if shutdown was implemented, the
length of time before any subsequent ramp-up or activation of the
acoustic source. If required mitigation was not implemented, PSOs must
record a description of the circumstances. At a minimum, the following
information should be recorded:
(1) Vessel names (source vessel and other vessels associated with
survey), vessel size and type, maximum speed capability of vessel, port
of origin, and call signs;
(2) PSO names and affiliations;
(3) Dates of departures and returns to port with port name;
(4) Dates of and participants in PSO briefings;
(5) Dates and times (Greenwich Mean Time) of survey effort and times
corresponding with PSO effort;
(6) Vessel location (latitude/longitude) when survey effort began
and ended and vessel location at beginning and end of visual PSO duty
shifts;
(7) Vessel location at 30-second intervals (if software capability
allows) or 5-minute intervals (if location must be manually recorded);
(8) Vessel heading and speed at beginning and end of visual PSO duty
shifts and upon any line change;
(9) Environmental conditions while on visual survey (at beginning
and end of PSO shift and whenever conditions changed significantly),
including Beaufort sea state and any other relevant weather conditions
including cloud
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cover, fog, sun glare, and overall visibility to the horizon;
(10) Vessel location when environmental conditions change
significantly;
(11) Factors that may have contributed to impaired observations
during each PSO shift change or as needed as environmental conditions
change (e.g., vessel traffic, equipment malfunctions);
(12) Survey activity information, such as acoustic source power
output while in operation, number and volume of airguns operating in an
array, tow depth of an acoustic source, and any other notes of
significance (i.e., pre-start clearance, ramp-up, shutdown, testing,
shooting, ramp-up completion, end of operations, streamers, etc.); and
(13) Upon visual observation of a marine mammal, the following
information:
(i) Watch status (sighting made by PSO on/off effort, opportunistic,
crew, alternate vessel/platform);
(ii) PSO who sighted the animal and PSO location (including height
above water) at time of sighting;
(iii) Time of sighting;
(iv) Vessel coordinates at time of sighting;
(v) Water depth;
(vi) Direction of vessel's travel (compass direction);
(vii) Speed of the vessel(s) from which the observation was made;
(viii) Direction of animal's travel relative to the vessel;
(ix) Pace of the animal;
(x) Estimated distance to the animal (and method of estimating
distance) and its heading relative to vessel at initial sighting;
(xi) Identification of the animal (e.g., genus/species, lowest
possible taxonomic level, or unidentified), PSO confidence in
identification, and the composition of the group if there is a mix of
species;
(xii) Estimated number of animals (high/low/best);
(xiii) Estimated number of animals by cohort (adults, juveniles,
group composition, etc.);
(xiv) Description (as many distinguishing features as possible of
each individual seen, including length, shape, color, pattern, scars or
markings, shape and size of dorsal fin, shape of head, and blow
characteristics);
(xv) Detailed behavior observations (e.g., number of blows/breaths,
number of surfaces, breaching, spyhopping, diving, feeding, traveling;
as explicit and detailed as possible; note any observed changes in
behavior), including an assessment of behavioral responses to survey
activity;
(xvi) Animal's closest point of approach (CPA) and/or closest
distance from any element of the acoustic source;
(xvii) Platform activity at time of sighting (e.g., deploying,
recovering, testing, shooting, data acquisition, other); and
(xviii) Description of any actions implemented in response to the
sighting (e.g., delays, shutdown, ramp-up) and time and location of the
action.
(14) Upon acoustic detection of a marine mammal using a PAM system,
the following information:
(i) An acoustic encounter identification number, and whether the
detection was linked with a visual sighting;
(ii) Date and time when first and last heard;
(iii) Types and nature of sounds heard (e.g., clicks, whistles,
creaks, burst pulses, continuous, sporadic, strength of signal); and
(iv) Any additional information recorded such as water depth of the
hydrophone array, bearing of the animal to the vessel (if determinable),
species or taxonomic group (if determinable), spectrogram screenshot,
and any other notable information.
(d) Reporting. (1) Annual reporting must be submitted as specified
in this paragraph.
(i) LOA-holders must submit a summary report to NMFS on all
activities and monitoring results within 90 days of the completion of
the survey or expiration of the LOA, whichever comes sooner, and must
include all information described above under Sec. 217.185(c). If an
issued LOA is valid for greater than one year, the summary report must
be submitted on an annual basis.
(ii) The report must describe activities conducted and sightings of
marine
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mammals, must provide full documentation of methods, results, and
interpretation pertaining to all monitoring, and must summarize the
dates and locations of survey operations and all marine mammal sightings
(dates, times, locations, activities, associated survey activities, and
information regarding locations where the acoustic source was used). In
addition to the report, all raw observational data must be made
available to NMFS.
(iii) For operations requiring the use of PAM, the report must
include a validation document concerning the use of PAM, which should
include necessary noise validation diagrams and demonstrate whether
background noise levels on the PAM deployment limited achievement of the
planned detection goals. Copies of any vessel self-noise assessment
reports must be included with the report.
(iv) The LOA-holder must provide geo-referenced time-stamped vessel
tracklines for all time periods in which airguns (full array or single)
were operating. Tracklines must include points recording any change in
airgun status (e.g., when the airguns began operating, when they were
turned off). GIS files must be provided in ESRI shapefile format and
include the UTC date and time, latitude in decimal degrees, and
longitude in decimal degrees. All coordinates must be referenced to the
WGS84 geographic coordinate system.
(v) The draft report must be accompanied by a certification from the
lead PSO as to the accuracy of the report, and the lead PSO may submit
directly to NMFS a statement concerning implementation and effectiveness
of the required mitigation and monitoring.
(vi) A final report must be submitted within 30 days following
resolution of any comments on the draft report.
(2) Comprehensive reporting must be submitted as specified in this
paragraph. LOA-holders must contribute to the compilation and analysis
of data for inclusion in an annual synthesis report addressing all data
collected and reported through annual reporting in each calendar year.
The synthesis period shall include all annual reports deemed to be final
by NMFS in a given one-year reporting period. The report must be
submitted to NMFS within 90 days following the end of a given one-year
reporting period.
(e) Reporting of injured or dead marine mammals. (1) In the event
that personnel involved in the survey activities discover an injured or
dead marine mammal, the LOA-holder must report the incident to the
Office of Protected Resources (OPR), NMFS and to the Southeast Regional
Stranding Network as soon as feasible. The report must include the
following information:
(i) Time, date, and location (latitude/longitude) of the first
discovery (and updated location information if known and applicable);
(ii) Species identification (if known) or description of the
animal(s) involved;
(iii) Condition of the animal(s) (including carcass condition if the
animal is dead);
(iv) Observed behaviors of the animal(s), if alive;
(v) If available, photographs or video footage of the animal(s); and
(vi) General circumstances under which the animal was discovered.
(2) In the event of a ship strike of a marine mammal by any vessel
involved in the survey activities, the LOA-holder must report the
incident to OPR, NMFS and to the Southeast Regional Stranding Network as
soon as feasible. The report must include the following information:
(i) Time, date, and location (latitude/longitude) of the incident;
(ii) Species identification (if known) or description of the
animal(s) involved;
(iii) Vessel's speed during and leading up to the incident;
(iv) Vessel's course/heading and what operations were being
conducted (if applicable);
(v) Status of all sound sources in use;
(vi) Description of avoidance measures/requirements that were in
place at the time of the strike and what additional measures were taken,
if any, to avoid strike;
(vii) Environmental conditions (e.g., wind speed and direction,
Beaufort sea state, cloud cover, visibility) immediately preceding the
strike;
(viii) Estimated size and length of animal that was struck;
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(ix) Description of the behavior of the marine mammal immediately
preceding and following the strike;
(x) If available, description of the presence and behavior of any
other marine mammals immediately preceding the strike;
(xi) Estimated fate of the animal (e.g., dead, injured but alive,
injured and moving, blood or tissue observed in the water, status
unknown, disappeared); and
(xii) To the extent practicable, photographs or video footage of the
animal(s).
(3) For deep penetration surveys, in the event of a live stranding
(or near-shore atypical milling) event within 50 km of the survey
operations, where the NMFS stranding network is engaged in herding or
other interventions to return animals to the water, the Director of OPR,
NMFS (or designee) will advise the LOA-holder of the need to implement
shutdown procedures for all active acoustic sources operating within 50
km of the stranding. Shutdown procedures for live stranding or milling
marine mammals include the following:
(i) If at any time, the marine mammal(s) die or are euthanized, or
if herding/intervention efforts are stopped, the Director of OPR, NMFS
(or designee) will advise the LOA-holder that the shutdown around the
animals' location is no longer needed.
(ii) Otherwise, shutdown procedures will remain in effect until the
Director of OPR, NMFS (or designee) determines and advises the LOA-
holder that all live animals involved have left the area (either of
their own volition or following an intervention).
(iii) If further observations of the marine mammals indicate the
potential for re-stranding, additional coordination with the LOA-holder
will be required to determine what measures are necessary to minimize
that likelihood (e.g., extending the shutdown or moving operations
farther away) and to implement those measures as appropriate.
(4) If NMFS determines that the circumstances of any marine mammal
stranding found in the vicinity of the activity suggest investigation of
the association with survey activities is warranted, and an
investigation into the stranding is being pursued, NMFS will submit a
written request to the LOA-holder indicating that the following initial
available information must be provided as soon as possible, but no later
than 7 business days after the request for information. In the event
that the investigation is still inconclusive, the investigation of the
association of the survey activities is still warranted, and the
investigation is still being pursued, NMFS may provide additional
information requests, in writing, regarding the nature and location of
survey operations prior to the time period above.
(i) Status of all sound source use in the 48 hours preceding the
estimated time of stranding and within 50 km of the discovery/
notification of the stranding by NMFS; and
(ii) If available, description of the behavior of any marine
mammal(s) observed preceding (i.e., within 48 hours and 50 km) and
immediately after the discovery of the stranding.
[86 FR 5444, Jan. 19, 2021; 86 FR 18476, Apr. 9, 2021]
Sec. 217.186 Letters of Authorization.
(a) To incidentally take marine mammals pursuant to these
regulations, prospective LOA-holders must apply for and obtain an LOA.
(b) An LOA, unless suspended or revoked, may be effective for a
period not to exceed the expiration date of these regulations.
(c) In the event of projected changes to the activity or to
mitigation and monitoring measures required by an LOA, the LOA-holder
must apply for and obtain a modification of the LOA as described in
Sec. 217.187.
(d) The LOA shall set forth:
(1) Permissible methods of incidental taking;
(2) Means of effecting the least practicable adverse impact (i.e.,
mitigation) on the species or stock and its habitat; and
(3) Requirements for monitoring and reporting.
(e) Issuance of the LOA shall be based on a determination that the
level of taking will be consistent with the findings made for the total
taking allowable under these regulations and a determination that the
amount of take
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authorized under the LOA is of no more than small numbers.
(f) For LOA issuance, where either (1) the conclusions put forth in
an application (e.g., take estimates) are based on analytical methods
that differ substantively from those used in the development of the
rule, or (2) the proposed activity or anticipated impacts vary
substantively in scope or nature from those analyzed for the rule, NMFS
may publish a notice of proposed LOA in the Federal Register, including
the associated analysis of the differences, and solicit public comment
before making a decision regarding issuance of the LOA.
(g) Notice of issuance or denial of an LOA shall be published in the
Federal Register within thirty days of a determination.
Sec. 217.187 Renewals and modifications of Letters of Authorization (LOA).
(a) An LOA issued under Sec. 216.106 of this chapter and Sec.
217.186 for the activity identified in Sec. 217.180 shall be modified
upon request by the applicant, provided that:
(1) The proposed specified activity and mitigation, monitoring, and
reporting measures, as well as the anticipated impacts, are the same as
those described and analyzed for these regulations (excluding changes
made pursuant to the adaptive management provision in paragraph (c)(1)
of this section); and
(2) NMFS determines that the mitigation, monitoring, and reporting
measures required by the previous LOA under these regulations were
implemented.
(b) For LOA modification requests by the applicant that include
changes to the activity or the mitigation, monitoring, or reporting
(excluding changes made pursuant to the adaptive management provision in
paragraph (c)(1) of this section) that result in more than a minor
change in the total estimated number of takes (or distribution by
species or years), NMFS may publish a notice of proposed LOA in the
Federal Register, including the associated analysis of the change, and
solicit public comment before issuing the LOA.
(c) An LOA issued under Sec. 216.106 of this chapter and Sec.
217.186 for the activity identified in Sec. 217.180 may be modified by
NMFS under the following circumstances:
(1) NMFS may modify (including adding or removing measures) the
existing mitigation, monitoring, or reporting measures (after consulting
with the LOA-holder regarding the practicability of the modifications)
if doing so is practicable and creates a reasonable likelihood of more
effectively accomplishing the goals of the mitigation and monitoring set
forth in the preamble for these regulations;
(i) Possible sources of data that could contribute to the decision
to modify the mitigation, monitoring, or reporting measures in an LOA:
(A) Results from monitoring from previous years;
(B) Results from other marine mammal and/or sound research or
studies; and
(C) Any information that reveals marine mammals may have been taken
in a manner, extent or number not authorized by these regulations or
subsequent LOAs.
(ii) If, through adaptive management, the modifications to the
mitigation, monitoring, or reporting measures are substantial, NMFS will
publish a notice of proposed LOA in the Federal Register and solicit
public comment.
(2) If NMFS determines that an emergency exists that poses a
significant risk to the well-being of the species or stocks of marine
mammals specified in an LOA issued pursuant to Sec. 216.106 of this
chapter and Sec. 217.186, an LOA may be modified without prior notice
or opportunity for public comment. Notice would be published in the
Federal Register within thirty days of the action.