[Federal Register Volume 80, Number 30 (Friday, February 13, 2015)]
[Proposed Rules]
[Pages 8166-8237]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-02831]



[[Page 8165]]

Vol. 80

Friday,

No. 30

February 13, 2015

Part III





Department of Commerce





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National Oceanic and Atmospheric Administration





50 CFR Part 219





Taking and Importing Marine Mammals; Taking Marine Mammals Incidental 
to Southwest Fisheries Science Center Fisheries Research; Proposed Rule

  Federal Register / Vol. 80 , No. 30 / Friday, February 13, 2015 / 
Proposed Rules  

[[Page 8166]]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

50 CFR Part 219

[Docket No. 121102600-5093-01]
RIN 0648-BB87


Taking and Importing Marine Mammals; Taking Marine Mammals 
Incidental to Southwest Fisheries Science Center Fisheries Research

AGENCY: National Marine Fisheries Service (NMFS), National Oceanic and 
Atmospheric Administration (NOAA), Commerce.

ACTION: Proposed rule; request for comments.

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SUMMARY: NMFS' Office of Protected Resources has received a request 
from NMFS' Southwest Fisheries Science Center (SWFSC) for authorization 
to take marine mammals incidental to fisheries research conducted in 
multiple specified geographical regions, over the course of five years 
from the date of issuance. As required by the Marine Mammal Protection 
Act (MMPA), NMFS is proposing regulations to govern that take, specific 
to each geographical region, and requests comments on the proposed 
regulations.

DATES: Comments and information must be received no later than March 
16, 2015.

ADDRESSES: You may submit comments on this document, identified by 
NOAA-NMFS-2015-0026, by any of the following methods:
     Electronic submission: Submit all electronic public 
comments via the federal e-Rulemaking Portal. Go to 
www.regulations.gov, enter 0648-BB87 in the ``Search'' box, click the 
``Comment Now!'' icon, complete the required fields, and enter or 
attach your comments.
     Mail: Comments should be addressed to Jolie Harrison, 
Chief, Permits and Conservation Division, Office of Protected 
Resources, National Marine Fisheries Service, 1315 East West Highway, 
Silver Spring, MD 20910.
    Instructions: NMFS is not responsible for comments sent by any 
other method, to any other address or individual, or received after the 
end of the comment period. Attachments to electronic comments will be 
accepted in Microsoft Word or Excel or Adobe PDF file formats only. To 
help NMFS process and review comments more efficiently, please use only 
one method to submit comments. All comments received are a part of the 
public record and will generally be posted on www.regulations.gov 
without change. All personal identifying information (e.g., name, 
address) voluntarily submitted by the commenter may be publicly 
accessible. Do not submit confidential business information or 
otherwise sensitive or protected information. NMFS will accept 
anonymous comments (enter N/A in the required fields if you wish to 
remain anonymous).

FOR FURTHER INFORMATION CONTACT: Ben Laws, Office of Protected 
Resources, NMFS, (301) 427-8401.

SUPPLEMENTARY INFORMATION: 

Availability

    A copy of SWFSC's application and any supporting documents, as well 
as a list of the references cited in this document, may be obtained by 
visiting the Internet at: www.nmfs.noaa.gov/pr/permits/incidental/research.htm. In case of problems accessing these documents, please 
call the contact listed above (see FOR FURTHER INFORMATION CONTACT).

Executive Summary

    These proposed regulations, under the Marine Mammal Protection Act 
(16 U.S.C. 1361 et seq.), establish frameworks for authorizing the take 
of marine mammals incidental to the SWFSC's fisheries research 
activities in three separate specified geographical regions (i.e., the 
California Current Ecosystem, the Eastern Tropical Pacific, and the 
Antarctic Marine Living Resources Ecosystem).
    The SWFSC collects a wide array of information necessary to 
evaluate the status of exploited fishery resources and the marine 
environment. SWFSC scientists conduct fishery-independent research 
onboard NOAA-owned and operated vessels or on chartered vessels. A few 
surveys are conducted onboard commercial fishing vessels, but the SWFSC 
designs and executes the studies and funds vessel time.

Purpose and Need for This Regulatory Action

    We received an application from the SWFSC requesting five-year 
regulations and authorization to take multiple species of marine 
mammals. Take would occur by Level B harassment incidental to the use 
of active acoustic devices in each of the three specified geographical 
regions, as well as by visual disturbance of pinnipeds in the Antarctic 
only, and by Level A harassment, serious injury, or mortality 
incidental to the use of fisheries research gear in the California 
Current and Eastern Tropical Pacific only. For each specified 
geographical region, the regulations would be valid from 2015 to 2019. 
Please see ``Background'' below for definitions of harassment.
    Section 101(a)(5)(A) of the MMPA directs the Secretary of Commerce 
to allow, 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 
geographical region if, after notice and public comment, the agency 
makes certain findings and issues regulations. These proposed 
regulations would contain mitigation, monitoring, and reporting 
requirements.

Legal Authority for the Regulatory Action

    Section 101(a)(5)(A) of the MMPA and the implementing regulations 
at 50 CFR part 216, subpart I provide the legal basis for issuing the 
five-year regulations and any subsequent Letters of Authorization.

Summary of Major Provisions Within the Proposed Regulations

    The following provides a summary of some of the major provisions 
within these proposed rulemakings for the SWFSC fisheries research 
activities in the three specified geographical regions. We have 
preliminarily determined that the SWFSC's adherence to the proposed 
mitigation, monitoring, and reporting measures listed below would 
achieve the least practicable adverse impact on the affected marine 
mammals. They include:
     Required monitoring of the sampling areas to detect the 
presence of marine mammals before deployment of pelagic trawl nets or 
pelagic longline gear.
     Required use of marine mammal excluder devices on one type 
of pelagic trawl net and required use of acoustic deterrent devices on 
all pelagic trawl nets.
     Required implementation of the mitigation strategy known 
as the ``move-on rule,'' which incorporates best professional judgment, 
when necessary during pelagic trawl and pelagic longline operations.

Background

    Sections 101(a)(5)(A) and (D) of the MMPA (16 U.S.C. 1361 et seq.) 
direct the Secretary of Commerce to allow, 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 geographical region if certain 
findings

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are made and either regulations are issued or, if the taking is limited 
to harassment, a notice of a proposed authorization is provided to the 
public for review.
    An authorization for incidental takings shall be granted if NMFS 
finds that the taking will have a negligible impact on the species or 
stock(s), will not have an unmitigable adverse impact on the 
availability of the species or stock(s) for subsistence uses (where 
relevant), and if the permissible methods of taking and requirements 
pertaining to the mitigation, monitoring and reporting of such takings 
are set forth. NMFS has defined ``negligible impact'' in 50 CFR 216.103 
as ``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.''
    Except with respect to certain activities not pertinent here, the 
MMPA defines ``harassment'' as: Any act of pursuit, torment, or 
annoyance which (i) has the potential to injure a marine mammal or 
marine mammal stock in the wild [Level A harassment]; or (ii) 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 [Level B harassment].

Summary of Request

    On April 25, 2013, we received an adequate and complete request 
from SWFSC for authorization to take marine mammals incidental to 
fisheries research activities. We received an initial draft of the 
request on February 11, 2012, followed by revised drafts on June 29 and 
December 21, 2012. On May 2, 2013 (78 FR 25703), we published a notice 
of receipt of SWFSC's application in the Federal Register, requesting 
comments and information related to the SWFSC request for thirty days. 
We received comments from the Marine Mammal Commission, which we 
considered in development of this proposed rule and which are available 
on the Internet at: www.nmfs.noaa.gov/pr/permits/incidental/research.htm.
    SWFSC proposes to conduct fisheries research using pelagic trawl 
gear used at various levels in the water column, pelagic longlines with 
multiple hooks, bottom-contact trawls, and other gear. If a marine 
mammal interacts with gear deployed by SWFSC, the outcome could 
potentially be Level A harassment, serious injury (i.e., any injury 
that will likely result in mortality), or mortality. However, there is 
not sufficient information upon which to base a prediction of what the 
outcome may be for any particular interaction. Therefore, SWFSC has 
pooled the estimated number of incidents of take resulting from gear 
interactions, and we have assessed the potential impacts accordingly. 
SWFSC also uses various active acoustic devices in the conduct of 
fisheries research, and use of these devices has the potential to 
result in Level B harassment of marine mammals. Level B harassment of 
pinnipeds hauled out on ice may also occur, in the Antarctic only, as a 
result of visual disturbance from vessels conducting SWFSC research. 
The proposed regulations would be valid for five years from the date of 
issuance.
    The SWFSC conducts fisheries research surveys in the California 
Current Ecosystem (CCE), the Eastern Tropical Pacific (ETP), and the 
Antarctic Marine Living Resources Ecosystem (AMLR). As required by the 
MMPA, SWFSC's request is considered separately for each specified 
geographical region. In the CCE, SWFSC requests authorization to take 
individuals of seventeen species by Level A harassment, serious injury, 
or mortality (hereafter referred to as M/SI + Level A) and of 34 
species by Level B harassment. In the ETP, SWFSC requests authorization 
to take individuals of eleven species by M/SI + Level A and of 31 
species by Level B harassment. In the AMLR, SWFSC requests 
authorization to take individuals of seventeen species by Level B 
harassment. No takes by M/SI + Level A are anticipated in the AMLR.

Contents

(1) Description of the Specified Activity
    (a) Overview
    (b) Dates and Duration
    (c) Specified Geographical Regions
    (i) California Current Ecosystem
    (ii) Eastern Tropical Pacific
    (iii) Antarctic Marine Living Resources Ecosystem
    (d) Detailed Description of Activities
    (i) Trawl Nets
    (ii) Conductivity, Temperature, and Depth Profilers (CTD)
    (iii) Expendable Bathythermographs (XBT)
    (iv) Other Nets
    (v) Longline
    (vi) Continuous, Underway Fish Egg Sampler (CUFES)
    (vii) Remotely Operated Vehicles (ROV)
    (viii) California Current Ecosystem
    (ix) Eastern Tropical Pacific
    (x) Antarctic Marine Living Resources Ecosystem
    (xi) Description of Active Acoustic Sound Sources
(2) Proposed Mitigation
    (a) Development of Mitigation Measures
    (b) General Measures
    (i) Coordination and Communication
    (ii) Vessel Speed
    (iii) Other Gears
    (iv) Handling Procedures
    (c) Trawl Survey Visual Monitoring and Operational Protocols
    (i) Marine Mammal Excluder Devices
    (ii) Acoustic Deterrent Devices
    (iii) AMLR Bottom Trawl Surveys
    (d) Longline Survey Visual Monitoring and Operational Protocols
(3) Description of Marine Mammals in the Area of the Specified 
Activity
    (a) California Current Ecosystem
    (i) Take Reduction Planning
    (ii) Unusual Mortality Events (UME)
    (b) Eastern Tropical Pacific
    (c) Antarctic Marine Living Resources Ecosystem
(4) Potential Effects of the Specified Activity on Marine Mammals 
and Their Habitat
    (a) Ship Strike
    (b) Research Gear
    (i) Trawl Nets
    (ii) Longlines
    (iii) Other Research Gear
    (c) Acoustic Effects
    (i) Marine Mammal Hearing
    (ii) Potential Effects of Underwater Sound
    1. Temporary Threshold Shift
    2. Behavioral Effects
    3. Stress Responses
    4. Auditory Masking
    (iii) Potential Effects of SWFSC Activity
    (d) Potential Effects of Visual Disturbance
    (e) Anticipated Effects on Marine Mammal Habitat
    (i) Effects to Prey
    (ii) Acoustic Habitat
(5) Estimated Take by Incidental Harassment, Serious Injury, or 
Mortality
    (a) Estimated Take Due to Gear Interaction
    (b) Historical Interactions
    (c) California Current Ecosystem
    (i) Midwater Trawl
    (ii) Pelagic Longline
    (d) Eastern Tropical Pacific
    (e) Antarctic Marine Living Resources Ecosystem
    (f) Estimated Take Due to Acoustic Harassment
    (i) Sound Source Characteristics
    (ii) Calculating Effective Line-Kilometers
    (iii) Calculating Volume of Water Ensonified
    (iv) Marine Mammal Densities
    (v) Using Area of Ensonification and Volumetric Density To 
Estimate Exposures
    (vi) California Current Ecosystem
    (vii) Eastern Tropical Pacific
    (viii) Antarctic Marine Living Resources Ecosystem
    (g) Estimated Take Due to Physical Disturbance, Antarctic
    (h) Summary of Estimated Incidental Take
(6) Analyses and Preliminary Determinations
    (a) Negligible Impact Analyses
    (i) California Current Ecosystem
    (ii) Eastern Tropical Pacific
    (iii) Antarctic Marine Living Resources Ecosystem
    (b) Small Numbers Analyses
    (i) California Current Ecosystem
    (ii) Eastern Tropical Pacific

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    (iii) Antarctic Marine Living Resources Ecosystem
(7) Proposed Monitoring and Reporting
    (a) Visual Monitoring
    (b) Acoustic Monitoring
    (c) Marine Mammal Excluder Device
    (d) Analysis of Bycatch Patterns
    (e) Training
    (f) Handling Procedures and Data Collection
    (g) Reporting
(8) Adaptive Management
(9) Impact on Availability of Affected Species for Taking for 
Subsistence Uses
(10) Endangered Species Act (ESA)
(11) National Environmental Policy Act (NEPA)
(12) Classification

Description of the Specified Activity

Overview

    The SWFSC collects a wide array of information necessary to 
evaluate the status of exploited fishery resources and the marine 
environment. SWFSC scientists conduct fishery-independent research 
onboard NOAA-owned and operated vessels or on chartered vessels. A few 
surveys are conducted onboard commercial fishing vessels, but the SWFSC 
designs and executes the studies and funds vessel time. The SWFSC 
proposes to administer and conduct approximately fourteen survey 
programs over the five-year period. The gear types used fall into 
several categories: Pelagic trawl gear used at various levels in the 
water column, pelagic longlines, bottom-contact trawls, and other gear. 
Only use of pelagic trawl and pelagic longline gears are likely to 
result in interaction with marine mammals. The majority of these 
surveys also use active acoustic devices.
    The federal government has a responsibility to conserve and protect 
living marine resources in U.S. waters and has also entered into a 
number of international agreements and treaties related to the 
management of living marine resources in international waters outside 
the United States. NOAA has the primary responsibility for managing 
marine fin and shellfish species and their habitats, with that 
responsibility delegated within NOAA to NMFS.
    In order to direct and coordinate the collection of scientific 
information needed to make informed fishery management decisions, 
Congress created six Regional Fisheries Science Centers, each a 
distinct organizational entity and the scientific focal point within 
NMFS for region-based federal fisheries-related research. This research 
is aimed at monitoring fish stock recruitment, abundance, survival and 
biological rates, geographic distribution of species and stocks, 
ecosystem process changes, and marine ecological research. The SWFSC is 
the research arm of NMFS in the southwest region of the U.S. The SWFSC 
conducts research and provides scientific advice to manage fisheries 
and conserve protected species in the three geographic research areas 
described below and provides scientific information to support the 
Pacific Fishery Management Council and numerous other domestic and 
international fisheries management organizations.

Dates and Duration

    The specified activity may occur at any time during the five-year 
period of validity of the proposed regulations. Dates and duration of 
individual surveys are inherently uncertain, based on congressional 
funding levels for the SWFSC, weather conditions, or ship 
contingencies. In addition, the cooperative research program is 
designed to provide flexibility on a yearly basis in order to address 
issues as they arise. Some cooperative research projects last multiple 
years or may continue with modifications. Other projects only last one 
year and are not continued. Most cooperative research projects go 
through an annual competitive selection process to determine which 
projects should be funded based on proposals developed by many 
independent researchers and fishing industry participants. SWFSC survey 
activity does occur during most months of the year; however, trawl 
surveys occur during May through June and September and longline 
surveys are completed during June-July and September.

Specified Geographical Regions

    Please see Figure 1 for a map of the three research areas described 
below. In addition to general knowledge and other citations contained 
herein, this section relies upon the descriptions found in Sherman and 
Hempel (2009) and Wilkinson et al. (2009). As referred to here, 
productivity refers to fixated carbon (i.e., g C/m\2\/yr) and can be 
related to the carrying capacity of an ecosystem.
    California Current Ecosystem--The SWFSC conducts research surveys 
off the Pacific coast within the California Current Research Area 
(CCRA). This area extends outside of both the California Current Large 
Marine Ecosystem (LME) and the U.S. Exclusive Economic Zone (EEZ), from 
the Mexican Baja Peninsula north to waters off of Washington (see 
Figure 2.1 of SWFSC's application). This region is considered to be of 
moderately high productivity. Sea surface temperature (SST) is fairly 
consistent, ranging from 9-14 [deg]C in winter and 13-15 [deg]C in 
summer. Major biogeographic breaks are found at Point Conception and 
Cape Mendocino, and the region includes major estuaries such as San 
Francisco Bay, the Columbia River, and Puget Sound. The shelf is 
generally narrow in this region, and shelf-break topography (e.g., 
underwater canyons) creates localized upwelling conditions that 
concentrate nutrients into areas of high topographic relief.
BILLING CODE 3510-22-P

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[GRAPHIC] [TIFF OMITTED] TP13FE15.003

    The California Current determines the general hydrography off the 
coast of California. The current is part of the North Pacific Gyre, 
related to the anticyclonic circulation of the central North Pacific, 
and brings cool waters southward. In general, an area of divergence 
parallels the coast of California, with a zone of convergence 200-300 
km from the coastline. The current moves south along the western coast 
of North America, beginning off southern British Columbia and flowing 
southward past Washington, Oregon and California, before ending off 
southern Baja California (Bograd et al., 2010). Extensive seasonal 
upwelling of colder, nutrient-rich subsurface waters is predominant in 
the area south of Cape Mendocino, and supports large populations of 
whales, seabirds and important fisheries. Significant interannual 
variation in productivity results from the effects of this coastal 
upwelling as well as from the El Ni[ntilde]o-Southern Oscillation and 
the Pacific Decadal Oscillation. Both oscillations involve transitions 
from cooler, more productive conditions to warmer, less productive 
conditions, but over different timescales.
    On the shoreward side of the California Current, the California 
Current Front separates cold, low-salinity upwelled waters from the 
warmer, saltier waters close to shore. Offshore frontal filaments 
transport the frontal water across the entire ecosystem. In winter, the 
wind-driven Davidson Current is the dominant nearshore system, and its 
associated front forms along the boundary between inshore subtropical 
waters and colder offshore temperate and subarctic waters. Surface flow 
of the California Current appears to be diverted offshore at Point 
Conception and again at Punta Eugenia, while semi-permanent eddies 
exist south of these headlands.
    Eastern Tropical Pacific--The SWFSC conducts a separate suite of 
research surveys within the Eastern Tropical Pacific Research Area 
(ETPRA), a portion of the Pacific Ocean extending from San Diego west 
to Hawaii and south to Peru (see Figure 2.2 of SWFSC's application). 
There is some overlap between the ETPRA and CCRA in nearshore and 
offshore waters of Baja California. The SWFSC's ETPRA spans the 
boundaries of several LMEs, from the California Current LME in the 
north to the Humboldt Current LME in the south, and also includes a 
large amount of offshore waters outside of coastal LME boundaries. The 
eastern, coastal boundaries of the ETP to the north and south are 
regions of mixing, characterized by relatively high species diversity 
and biogeographic transition zones for fish and invertebrates. These 
areas transition through the furthest extent of influence of south- and 
north-flowing cool currents into year-round tropical seas.
    Located generally within the Pacific Trade Wind Biome, between the 
subtropical gyres of the North and South Pacific, the ETP contains some 
of the most productive tropical ocean waters in the world. Cool, low-
salinity eastern

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boundary current waters flow into the ETP from the north and south via 
the California Current and Peru Current, respectively, while warm, 
high-salinity subtropical surface waters flow into the ETP after being 
subducted into the thermocline primarily in the southern Subtropical 
Convergence. As a result of upwelling, the surface layer has relatively 
cool temperatures, high salinity, and high nutrient concentrations 
along the equator, coastal Peru and Baja California, and at the Costa 
Rica Dome. Nutrient-rich thermocline waters lie close to the surface 
along the countercurrent thermocline ridge between the North Equatorial 
Countercurrent and the North Equatorial Current. Deep and bottom waters 
formed in the Antarctic and North Atlantic are relatively homogeneous 
in the ETP (Fiedler and Lavin, 2006).
    This region is considered to be of moderate to high productivity in 
coastal regions, as a result of equatorial upwelling, open ocean and 
coastal upwellings, and nutrient inputs from river runoff in more 
tropical areas, while the open ocean portions of the ETP are considered 
to be of low productivity (Longhurst et al., 1995). SST varies 
considerably, reflecting the region's range across subtropical to 
tropical waters. Mean SST ranges around 15-18 [deg]C during winter and 
19-22 [deg]C during summer at higher latitudes to 26-28 [deg]C and 29.5 
[deg]C, respectively, at lower latitudes.
    Antarctic Marine Living Resources Ecosystem--The AMLR region 
includes the waters encircling Antarctica and coincides with the 
Antarctic LME, which is defined by the Antarctic Convergence (or Polar 
Front). The convergence, which separates colder Antarctic surface 
waters from the warmer sub-Antarctic waters to the north, fluctuates 
seasonally between 48-60 [deg]C. The SWFSC's Antarctic Research Area in 
particular is located generally within the Scotia Sea between South 
America and the Antarctic Peninsula and encompassing survey areas in 
the South Shetland Islands and South Orkney Islands (see Figure 2.3 of 
SWFSC's application). Research is generally conducted in the extended 
area around the South Shetland and South Orkney archipelagos in the 
Scotia Sea, the eastern section of the Bellingshausen Sea (on the 
western side of the Antarctic Peninsula), and the northwestern section 
of the Weddell Sea.
    Cold waters flowing north from Antarctica mix with warm sub-
Antarctic waters in the Antarctic Ocean. The Antarctic Circumpolar 
Current moves eastward around Antarctica, providing a partial return of 
water to northern ocean basins. There are only limited areas of shallow 
waters in the Southern Ocean, where the average depth is between 4,000 
and 5,000 m over most of its extent, although the southern Weddell Sea 
is one of the largest shelf areas around the Antarctic continent.
    Antarctic waters are considered of moderate productivity. Seasonal 
production is linked with extreme weather conditions and limited light 
penetration of winter ice and is strongly influenced by ice formation 
in the fall and melting in the spring and summer. Antarctic krill is 
the keystone species of the Antarctic ecosystem, providing an important 
food source for marine mammals, seabirds, and fishes. Mean SST is 
approximately -1 [deg]C (Locarnini et al., 2006).

Detailed Description of Activities

    The federal government has a trust responsibility to protect living 
marine resources in waters of the United States. These waters extend to 
200 nm from the shoreline and include the EEZ. The U.S. government has 
also entered into a number of international agreements and treaties 
related to the management of living marine resources in international 
waters outside of the U.S. EEZ (i.e., the high seas). To carry out its 
responsibilities over U.S. and international waters, Congress has 
enacted several statutes authorizing certain federal agencies to 
administer programs to manage and protect living marine resources. 
Among these federal agencies, NOAA has the primary responsibility for 
protecting marine finfish and shellfish species and their habitats. 
Within NOAA, NMFS has been delegated primary responsibility for the 
science-based management, conservation, and protection of living marine 
resources under statutes including the Magnuson-Stevens Fishery 
Conservation and Management Act (MSA), the Tuna Conventions Act, the 
Endangered Species Act, the International Dolphin Conservation Program 
Act, and the Antarctic Marine Living Resources Convention Act.
    Within NMFS, six Regional Fisheries Science Centers direct and 
coordinate the collection of scientific information needed to inform 
fisheries management decisions. Each Fisheries Science Center is a 
distinct entity and is the scientific focal point for a particular 
region. SWFSC conducts research and provides scientific advice to 
manage fisheries and conserve protected species along the U.S. west 
coast, throughout the eastern tropical Pacific Ocean, and in the 
Southern Ocean off Antarctica. SWFSC provides scientific information to 
support the Pacific Fishery Management Council and other domestic and 
international fisheries management organizations.
    The SWFSC collects a wide array of information necessary to 
evaluate the status of exploited fishery resources and the marine 
environment. SWFSC scientists conduct fishery-independent research 
onboard NOAA-owned and operated vessels or on chartered vessels. A few 
surveys are conducted onboard commercial fishing vessels, but the SWFSC 
designs and executes the studies and funds vessel time. The SWFSC 
proposes to administer and conduct approximately fourteen survey 
programs over the five-year period.
    The gear types used fall into several categories: Pelagic trawl 
gear used at various levels in the water column, pelagic longlines with 
multiple hooks, bottom-contact trawls, and other gear. Only pelagic 
trawl and pelagic longline gears are likely to interact with marine 
mammals. The majority of these surveys also use active acoustic 
devices. These surveys may be conducted aboard NOAA-operated research 
vessels (R/V), including the McArthur II, Bell M. Shimada, Miller 
Freeman, and Reuben Lasker, aboard vessels owned and operated by 
cooperating agencies and institutions, or aboard charter vessels.
    In the following discussion, we first summarily describe various 
gear types used by SWFSC and then describe specific fisheries and 
ecosystem research activities conducted by the SWFSC, separated by 
specified geographical region. This is not an exhaustive list of gear 
and/or devices that may be utilized by SWFSC but is representative of 
gear categories and is complete with regard to all gears with potential 
for interaction with marine mammals. Additionally, relevant active 
acoustic devices, which are commonly used in SWFSC survey activities, 
are described separately in a subsequent section.
    Trawl nets--A trawl is a funnel-shaped net towed behind a boat to 
capture fish. The codend (or bag) is the fine-meshed portion of the net 
most distant from the towing vessel where fish and other organisms 
larger than the mesh size are retained. In contrast to commercial 
fishery operations, which generally use larger mesh to capture 
marketable fish, research trawls often use smaller mesh to enable 
estimates of the size and age distributions of fish in a particular 
area. The body of a trawl net is generally constructed of relatively 
coarse mesh that functions to gather schooling fish so that they can be 
collected in the codend. The opening of

[[Page 8171]]

the net, called the mouth, is extended horizontally by large panels of 
wide mesh called wings. The mouth of the net is held open by 
hydrodynamic force exerted on the trawl doors attached to the wings of 
the net. As the net is towed through the water, the force of the water 
spreads the trawl doors horizontally apart. The top of a net is called 
the headrope, and the bottom is called the footrope.
    The trawl net is usually deployed over the stern of the vessel and 
attached with two cables (or warps) to winches on the deck of the 
vessel. The cables are played out until the net reaches the fishing 
depth. Commercial trawl vessels travel at speeds of 2-5 kn while towing 
the net for time periods up to several hours. The duration of the tow 
depends on the purpose of the trawl, the catch rate, and the target 
species. At the end of the tow the net is retrieved and the contents of 
the codend are emptied onto the deck. For research purposes, the speed 
and duration of the tow and the characteristics of the net must be 
standardized to allow meaningful comparisons of data collected at 
different times and locations. Active acoustic devices (described 
later) incorporated into the research vessel and the trawl gear monitor 
the position and status of the net, speed of the tow, and other 
variables important to the research design. Most SWFSC research 
trawling activities utilize pelagic (or midwater) trawls, which are 
designed to operate at various depths within the water column but not 
to contact the seafloor.
    1. NETS Nordic 264--Several SWFSC research programs utilize a 
Nordic 264 two-warp rope trawl, manufactured by Net Systems, Inc. 
(Bainbridge Island, WA). The forward portion of this large two-warp 
rope trawl is constructed of a series of ropes that function to gather 
fish into the body of the net. The effective mouth opening of the 
Nordic 264 is approximately 380 m\2\, spread by a pair of 3-m Lite 
trawl doors (Churnside et al., 2009). For surface trawls, used to 
capture fish at or near the surface of the water, clusters of polyfoam 
buoys are attached to each wing tip of the headrope and additional 
polyfoam floats are clipped onto the center of the headrope. Mesh sizes 
range from approximately 163 cm in the throat of the trawl to 9 cm in 
the codend (Churnside et al. 2009). For certain research activities, a 
liner may be sewn into the codend to minimize the loss of small fish.
    2. Modified-Cobb--A modified-Cobb midwater trawl net has a headrope 
length of approximately 26 m, a mouth of 80 m\2\ and uses a 0.95-cm 
codend liner to catch juvenile fish. The net is towed for periods of 
approximately fifteen minutes at depth at a speed of approximately 2-
2.5 kn. The target headrope depth is 30 m for the vast majority of 
stations but is 10 m for some of the more nearshore (shallow) stations. 
There are historical and infrequently occupied depth-stratified 
stations that are also sampled to 100 m depth. The fishing depth is 
monitored using an electronic net monitoring system and is adjusted by 
varying the length of trawl line connecting the net to the boat.
    3. NETS Hard-Bottom Snapper Trawl--The lower edge of this bottom 
trawl net is normally protected by a thick footrope ballasted with 
heavy rubber discs or bobbins, often called roller gear or tire gear. 
Flotation devices attached to the headrope hold the net open vertically 
as it is towed through the water. Bottom trawl nets used for commercial 
purposes can be up to 100 m wide. This net has a headrope length of 28 
m and a footrope length of approximately 39 m (Stauffer, 2004). Please 
see Figure A-2 of SWFSC's EA for a schematic diagram of the net.
    Conductivity, temperature, and depth profilers (CTD)--A CTD 
profiler is the primary research tool for determining chemical and 
physical properties of seawater (see Figure A-12 of SWFSC's EA for a 
photograph). A shipboard CTD is made up of a set of small probes 
attached to a large (1-2 m diameter) metal rosette wheel. The rosette 
is lowered through the water column on a cable, and CTD data are 
observed in real time via a conducting cable connecting the CTD to a 
computer on the ship. The rosette also holds a series of sampling 
bottles that can be triggered to close at different depths in order to 
collect a suite of water samples that can be used to determine 
additional properties of the water over the depth of the CTD cast. A 
standard CTD cast, depending on water depth, requires two to five hours 
to complete. The data from a suite of samples collected at different 
depths are often called a depth profile and are plotted with the value 
of the variable of interest on the x-axis and the water depth on the y-
axis. Depth profiles for different variables can be compared in order 
to glean information about physical, chemical, and biological processes 
occurring in the water column.
    Conductivity is measured as a proxy for salinity, which is 
expressed in practical salinity units representing the sum of the 
concentrations of several different ions. Temperature is generally 
measured using a high-sensitivity thermistor protected inside a thin-
walled stainless steel tube. The resistance across the thermistor is 
measured as the CTD profiler is lowered through the water column to 
give a continuous profile of the water temperature at all water depths. 
The depth of the CTD sensor array is continuously monitored using an 
electronic pressure sensor. Salinity, temperature, and depth data 
measured by the CTD instrument are essential for characterization of 
seawater properties.
    Expendable bathythermographs (XBT)--SWFSC also uses Lockheed Martin 
Sippican's XBT to provide ocean temperature versus depth profiles. A 
standard XBT system consists of an expendable probe, a data processing/
recording system, and a launcher. An electrical connection between the 
probe and the processor/recorder is made when the canister containing 
the probe is placed within the launcher and the launcher breech door is 
closed. Following launch, wire de-reels from the probe as it descends 
vertically through the water. Simultaneously, wire de-reels from a 
spool within the probe canister, compensating for any movement of the 
ship and allowing the probe to freefall from the sea surface unaffected 
by ship motion or sea state.
    The XBT probes consist of a metal weight surrounding a temperature 
probe, attached to a copper wire that conducts the signal to the 
vessel. The copper wire is protected within a plastic housing (see 
Figure A-13 of SWFSC's EA for a photograph). Probes are generally 
launched from the leeward side of the vessel and as far aft as 
possible. Launching from these locations helps obtain high reliability 
and minimizes the chances that the fine copper probe wire will come in 
contact with the ship's hull which may cause spikes in the data or a 
catastrophic wire break. A portable shipboard data acquisition system 
records, processes, and interprets the data the probes collect.
    XBT drops occur at predetermined times along with surface 
chlorophyll sampling. Opportunistic drops may also occur. Typically, 
three XBT drops are made per survey day. XBT drops may be repeated if 
the displayed profile does not show a well-defined mixed layer and 
thermocline. Deep Blue probes are preferred, as they survey to a depth 
of 760 m and take approximately two minutes per drop. Probes are 
launched using a hand-held launcher. As the XBT probes are expendable, 
they are not retrieved and are left on the seafloor after data 
collection.
    Other nets--SWFSC surveys in all of the research areas utilize 
various small, fine-mesh, towed nets designed to sample small fish and 
pelagic

[[Page 8172]]

invertebrates. These nets can be broadly categorized as small trawls 
(which are separated from large trawl nets due to discountable 
potential for interaction with marine mammals; see ``Potential Effects 
of the Specified Activity on Marine Mammals and Their Habitat'') and 
plankton nets.
    1. The Oozeki net is a frame trawl with a 5 m\2\ mouth area used 
for quantitative sampling of larval and juvenile pelagic fishes (see 
Figure A-3 of SWFSC's EA for a photograph). Towing depth of the net is 
easily controlled by adjusting the warp length, and the net samples a 
large size range of juvenile fishes and micronekton (Oozeki et al., 
2004).
    2. The Isaacs-Kidd midwater trawl (IKMT) is used to collect 
deepwater biological specimens larger than those taken by standard 
plankton nets. The mouth of the net is approximately 1.5 x 1.8 m, and 
is attached to a wide, V-shaped, rigid diving vane that keeps the mouth 
of the net open and maintains the net at depth for extended periods. 
The IKMT is a long, round net approximately 6.5 m long, with a series 
of hoops decreasing in size from the mouth of the net to the codend, 
which maintain the shape of the net during towing (Yasook et al., 
2007). While most trawls must be towed at speeds of 1-2 kn because of 
the high level of drag exerted by the net in the water, an IKMT can be 
towed at speeds as high as 5 kn.
    3. The Multiple Opening/Closing Net and Environmental Sensing 
System (MOCNESS) uses a stepping motor to sequentially control the 
opening and closing of the net. The MOCNESS uses underwater and 
shipboard electronics to control the device. The electronics system 
continuously monitors the functioning of the nets, frame angle, 
horizontal velocity, vertical velocity, volume filtered, and selected 
environmental parameters, such as salinity and temperature. The MOCNESS 
is used for specialized zooplankton surveys.
    4. The Tucker trawl is a medium-sized single-warp net used to study 
pelagic fish and zooplankton. The Tucker trawl, similar to the MOCNESS, 
consists of a series of nets that can be opened and closed sequentially 
via stepping motor without retrieving the net from the fishing depth. 
It is designed for deep oblique tows where up to three replicate nets 
can be sequentially operated by a double release mechanism and is 
typically equipped with a full suite of instruments, including inside 
and outside flow meters, CTD, and pitch sensor.
    The remainder of nets described here are plankton nets, which 
usually consist of fine mesh attached to a weighted frame which spreads 
the mouth of the net to cover a known surface area in order to sample 
plankton and fish eggs from various parts of the water column.
    5. Bongo nets are towed through the water at an oblique angle to 
sample plankton over a range of depths. The Bongo nets used by SWFSC 
have openings 71 cm in diameter and employ a 505-[mu]m mesh. The nets 
are 3 m in length with a 1.5 m cylindrical section coupled to a 1.5 m 
conical portion that tapers to a detachable codend constructed of 333-
[mu]m or 505-[mu]m nylon mesh (see Figure A-6 of SWFSC's EA for a 
schematic diagram). During each plankton tow, the bongo nets are 
deployed to a depth of approximately 210 m and are then retrieved at a 
controlled rate so that the volume of water sampled is uniform across 
the range of depths. In shallow areas, sampling protocol is adjusted to 
prevent contact between the bongo nets and the seafloor. A collecting 
bucket, attached to the codend of the net, is used to contain the 
plankton sample. When the net is retrieved, the collecting bucket can 
be detached and easily transported to a laboratory. Some bongo nets can 
be opened and closed using remote control to enable the collection of 
samples from particular depth ranges. A group of depth-specific bongo 
net samples can be used to establish the vertical distribution of 
zooplankton species in the water column at a site. Bongo nets are 
generally used to collect zooplankton for research purposes, and are 
not used for commercial harvest.
    6. The Pairovet is a bongo-type device consisting of two nets. The 
Pairovet frame was designed to facilitate comparison of nets 
constructed of various materials and to provide replicate observations 
when using similar nets. The frame is constructed of aluminum with 
stainless steel fittings. The nets are nylon mesh attached to the frame 
with adjustable stainless steel strapping.
    7. Manta nets are towed horizontally at the surface of the water to 
sample neuston (organisms living at or near the water surface). The 
frame of the Manta net is supported at the ocean surface by aquaplanes 
(wings) that provide lift as the net is towed horizontally through the 
water (see Figure A-7 of SWFSC's EA for a schematic diagram). To ensure 
repeatability between samples, the towing speed, angle of the wire, and 
tow duration must be carefully controlled. The Manta nets used by SWFSC 
employ 505-[mu]m nylon mesh in the body of the net and 303-[mu]m mesh 
in the codend. The frame has a mouth area of 0.13 m\2\.
    Longline--Longline vessels fish with baited hooks attached to a 
mainline (or groundline). The length of the longline and the number of 
hooks depend on the species targeted, the size of the vessel, and the 
purpose of the fishing activity. Hooks are attached to the mainline by 
another thinner line called a gangion. The length of the gangion and 
the distance between gangions depends on the purpose of the fishing 
activity. Depending on the fishery, longline gear can be deployed on 
the seafloor (bottom longline), in which case weights are attached to 
the mainline, or near the surface of the water (pelagic longline), in 
which case buoys are attached to the mainline to provide flotation and 
keep the baited hooks suspended in the water. Radar reflectors, radio 
transmitters, and light sources are often used to help fishers 
determine the location of the longline gear prior to retrieval.
    A commercial pelagic longline can be over 100 km long and have 
thousands of hooks attached, although longlines used for research 
surveys are shorter. The pelagic longline gear used for SWFSC research 
surveys typically use 200-400 hooks attached to a steel or monofilament 
mainline from 3-19 km long. For SWFSC research the gangions are 3-11 m 
long and are attached to the mainline at intervals of 15-30 m. There 
are no internationally recognized standard measurements for hook size, 
and a given size may be inconsistent between manufacturers. Larger 
hooks, as are used in longlining, are referenced by increasing whole 
numbers followed by a slash and a zero as size increases (e.g., 1/0 up 
to 20/0). The numbers represent relative sizes, normally associated 
with the gap (the distance from the point tip to the shank). Because 
pelagic longline gear is not anchored to the seafloor, it floats freely 
in the water and may drift considerable distances between the time of 
deployment and the time of retrieval. Please see Figure A-4 of SWFSC's 
EA for a schematic diagram. Bottom longlines used for commercial 
fishing can be up to several miles long, but those used for SWFSC 
research use shorter lines with approximately 75 hooks per line.
    The time period between deployment and retrieval of the longline 
gear is the soak time. Soak time is an important parameter for 
calculating fishing effort. For commercial fisheries the goal is to 
optimize the soak time in order to maximize catch of the target species 
while minimizing the bycatch rate and minimizing damage to target 
species that may result from predation by sharks or other predators.

[[Page 8173]]

    1. Deep-set buoy gear is a particular type of pelagic longline, 
targeting swordfish (Xiphias gladius), that includes a buoy flotation 
system (i.e., a strike-indicator float/flag, a large, non-compressible 
buoy and a float affixed with a radar reflector). A set of gear 
consists of 500-lb (227-kg) test mainline monofilament rigged with a 1-
2 kg drop sinker to orient the mainline and terminal fishing gear 
vertically in the water column. Other pelagic longline gear typically 
uses a long monofilament mainline suspended horizontally near the 
surface of the water. However, deep-set buoy gear uses a vertically-
oriented mainline with two monofilament gangions that branch from the 
mainline at a target depth below the thermocline (250-400 m for SWFSC) 
and are constructed of 400-lb (181-kg) test monofilament leader 
containing a crimped 14/0 circle hook (see Figure A-5 of SWFSC's EA for 
a schematic diagram).
    Continuous, Underway Fish Egg Sampler (CUFES)--The CUFES is used to 
collect pelagic fish eggs from the water column while the vessel is 
underway. The CUFES device consists of a water intake approximately 3 m 
below the surface of the water connected to a high capacity pump 
capable of pumping approximately 640 L/min through the device. 
Particles in the bulk water stream are concentrated by an oscillating 
mesh. Samples are transferred to a collecting device at a rate of 
approximately 20 L/min, while the bulk water is discharged overboard 
(see Figure A-8 of SWFSC's EA for a schematic diagram). Samples are 
collected and preserved on mesh net over sequential sampling intervals. 
Ancillary data including temperature, salinity, chlorophyll-a 
fluorescence, time, and location are also collected automatically. The 
fish eggs within each sequential sample are identified and counted, and 
the preserved sample is cataloged for future reference.
    Remotely operated vehicles (ROV)--The SWFSC maintains and deploys 
two ROVs (see Figures A-9 and A-10 of the SWFSC's EA for a photograph 
and schematic diagram, respectively). The ROVs are used to count fish 
and shellfish, photograph fish for identification, and provide views of 
the bottom for habitat-type classification studies via still and video 
camera images. Precise georeferenced data from ROV platforms also 
enables SCUBA divers to utilize bottom time more effectively for 
collection of brood stock and other specimens.
    SWFSC operates a Phantom DS4 ROV to collect video and still camera 
images. The Phantom DS4 platform is driven horizontally by four \1/2\-
hp thrusters and vertically by two \1/4\-hp thrusters, and can operate 
at a maximum depth of 600 m. Standard instrumentation on the ROV 
includes a directional hydrophone, a CTD, a differential GPS, pitch and 
roll sensors, still cameras, and video cameras; additional 
instrumentation can be added to the platform as needed. The ROV 
platform also includes a reference laser system to facilitate in situ 
specimen measurements and to determine the distance of the ROV platform 
from underwater objects.
    The SWFSC has also designed and constructed a custom high-
definition high-voltage (HDHV) ROV for surveying deepwater 
environments. The HDHV ROV is powered by six 300-V brushless DC 
thrusters, which are efficient and quiet to maximize bottom time while 
minimizing behavioral disturbance to target species. The HDHV ROV 
platform is equipped with video and still cameras, an illumination 
system, scanning sonar, CTD, a dissolved oxygen sensor, laser 
rangefinding and laser caliper systems, and has the capability to 
process data while underway to facilitate real-time georeferenced 
collection of oceanographic data.
    California Current Ecosystem--Here we describe all surveys planned 
by SWFSC in the CCE. Please see Table 1.1 of SWFSC's application for a 
detailed summary of these surveys.
    1. California Cooperative Oceanic Fisheries Investigations 
(CalCOFI) Surveys--CalCOFI is a partnership founded in 1949 between 
NMFS, the California Department of Fish and Game, and Scripps 
Institution of Oceanography (SIO) to study the ecological aspects of 
the sardine population collapse off California. CalCOFI's focus today 
is more generally the study of the marine environment off the coast of 
California, the management of its living resources, and monitoring the 
indicators of El Ni[ntilde]o and climate change. CalCOFI conducts 
quarterly cruises off southern and central California, collecting a 
suite of hydrographic and biological data on station and underway. The 
four annual CalCOFI surveys are designed to describe the physical and 
biological characteristics of the southern portion of the California 
Current epipelagic habitat and require a total of approximately ninety 
survey days per year. More detail may be found in SWFSC documents or at 
www.calcofi.org.
    Winter--This survey is conducted annually during January and 
February, extending from San Diego to San Francisco, and is designed to 
capture early spawning hake (Merluccius productus) and some rockfish 
(Family Scorpaenidae). It is usually conducted on a NOAA ship and 
protocols include use of multi-frequency active acoustic devices, 
CUFES, various plankton nets, CTD with an array of vertically profiling 
instruments and bottles to collect water samples at discrete depths, 
marine mammal and bird observations, meteorological observations using 
a wide-range of passive sensors, and small, fine-mesh trawls for 
sampling mesopelagic organisms at selected stations.
    Spring--This survey is conducted annually in April. It also extends 
from San Diego to San Francisco but is designed to capture spring 
spawning fishes (e.g., anchovy [Engraulis mordax], sardine [Sardinops 
sagax], jack mackerel [Trachurus symmetricus]). It is usually conducted 
on a NOAA ship and the survey protocols are the same as described for 
the winter survey.
    Summer--This survey is conducted annually in July in the Southern 
California Bight solely on a SIO University-National Oceanographic 
Laboratory System (UNOLS) vessel. Protocols are the same as for the 
winter and spring surveys.
    Fall--This survey is conducted annually in October in the Southern 
California Bight, usually on a UNOLS vessel. Protocols are the same as 
for the other surveys.
    2. Coastal Pelagic Species Surveys--These surveys, also known as 
sardine surveys, are conducted annually or biennially in the spring 
(April-May) or the summer (July-August) and extend from San Diego, CA, 
to Cape Flattery, WA. The survey is broken into southern and northern 
portions on two survey vessels (either two NOAA ships or a NOAA ship 
and a charter vessel), with the southern portion done in conjunction 
with the spring or summer CalCOFI survey. Midwater trawling for 
sardines informs the annual assessment of sardine and the corresponding 
harvest guidelines. The survey requires about seventy survey days per 
year.
    The protocol for the sardine survey includes deployment of the NETS 
Nordic 264 two-warp rope trawl in the upper 10 m of the water column at 
night in order to sample adult sardines. The trawl is deployed for 
thirty-minute tows at the target depth at 3 kn during dark hours when 
sardines are dispersed and near the surface. Estimates of daily 
fecundity are derived from the samples and combined with estimates of 
daily egg production to produce an estimate of spawning stock biomass. 
Additional protocols for this survey are similar to the CalCOFI surveys 
described previously.

[[Page 8174]]

    3. Juvenile Salmon Survey--This survey is conducted annually in 
June and September, extending from central California to southern 
Oregon, and is designed to complement similar surveys conducted by 
NMFS' Northwest Fisheries Science Center. The survey measures ocean 
survival of juvenile salmon (coho [Oncorhynchus kisutch] and chinook 
[O. tshawytscha]) and produces early estimates of adult salmon returns. 
The juvenile salmon survey is usually conducted on a charter vessel and 
requires about thirty survey days. The protocols for this survey 
include deployment of the NETS Nordic 264 midwater trawl for thirty-
minute tows at the target depth during daylight hours at 15-30 m depth. 
Depending on vessel capabilities, additional operations may include 
multi-frequency active acoustic devices, CTD profiles, plankton tows, 
and single-warp Tucker midwater trawls.
    4. Juvenile Rockfish Survey--This survey, conducted annually from 
May to mid-June from southern California to Washington, targets the 
pelagic phase of juvenile rockfish. Results of the survey inform 
assessments of several rockfish populations and may be used in 
assessments of central California salmon productivity. It is either 
conducted on a NOAA ship or a charter vessel and requires about 45 
survey days. The protocols for this survey include underway multi-
frequency active acoustic devices, modified-Cobb midwater trawls, 
various plankton tows, and CTD profiles at fixed stations. The 
modified-Cobb trawl is deployed for fifteen-minute tows at 2 kn during 
dark hours at 15-30 m depth.
    5. Pacific Coast Ocean Observing System (PaCOOS) Central 
California--This survey is conducted annually in July and October and 
involves the extension of CalCOFI observation protocols to established 
CalCOFI transect lines off Monterey Bay and San Francisco during summer 
and fall surveys when the CalCOFI sampling grid is confined to the 
Southern California Bight. Surveys are conducted in conjunction with 
the Monterey Bay Aquarium Research Institute (MBARI); the University of 
California, Santa Cruz; and the Naval Postgraduate School, and are 
usually conducted on the Moss Landing Marine Laboratories R/V Point 
Sur, lasting about six survey days. Protocols include the use of 
various plankton nets, CTD profiles, marine mammal and bird 
observations, and meteorological observations using a wide-range of 
passive sensors.
    6. PaCOOS Northern California--These are monthly plankton and 
oceanographic surveys of a single line of stations off of Eureka, CA 
conducted in conjunction with Humboldt State University (HSU) and 
usually conducted on the HSU R/V Coral Sea. The surveys require about 
twelve survey days per year. Protocols are generally the same as those 
described for PaCOOS Central California.
    7. Highly Migratory Species (HMS) Survey--This survey is conducted 
annually from June through July and extends from southern to central 
California, targeting blue sharks (Prionace glauca), shortfin mako 
sharks (Isurus oxyrinchus) and swordfish as well as other HMS as a 
basis for stock assessments and support for HMS Fishery Management 
Plans. Sharks are caught, measured, tagged, and released. The survey, 
which requires about thirty survey days, has historically been 
conducted on a NOAA ship but in recent years has been conducted on a 
charter vessel. Primary research methodology involves a pelagic 
longline deployed at fixed stations with two to four hour soak times. 
Length of the mainline is 3.2-6.4 km with 200-400 hooks spaced 15-30 m 
apart, 5.5-m gangions, and 9/0 J-type hooks. When targeting swordfish, 
the mainline may be up to 19 km in length with 11-m gangions and 16/0 
circle-type hooks and soak times may last up to eight hours. Typical 
bait used is whole mackerel or market squid. Depending on vessel 
capabilities, additional protocols may include multi-frequency active 
acoustic devices, CTD profiles, and plankton tows.
    8. Thresher Shark Survey--This survey is conducted annually in 
September, targeting common thresher shark (Alopias vulpinus) pupping 
areas from the Southern California Bight up to central California. 
Results of this survey are used to support stock assessment and 
management of thresher sharks, which are subject to commercial and 
recreational fisheries. Sharks are caught, measured, sampled, tagged, 
and released. The survey is usually conducted on a charter vessel and 
requires about twenty survey days. Primary research methodology 
involves deployment of an anchored pelagic longline at fixed stations 
with two to four hour soak times. Length of the mainline is 3.2-6.4 km 
with 200-400 hooks spaced 15-30 m apart, 5.5-m gangions and 16/0 
circle-type hooks. Typical bait used is whole mackerel or market squid. 
Depending on vessel capabilities, additional protocols may include the 
use of multi-frequency active acoustic devices, CTD profiles, and 
plankton tows.
    9. Survey to Research Reproductive Life History Analysis of 
Sablefish--This survey to research reproductive life history analysis 
of sablefish (Anoplopoma fimbria) is conducted monthly each year near 
Bodega Bay off the central California coast. The primary objective of 
the survey is to collect adult sablefish for reproductive studies using 
small-scale bottom longline gear. The gear uses 75 hooks per line that 
are baited with squid and set at or near the bottom, usually at depths 
between 360-450 m. Two to three sets are made per trip over the course 
of thirty days per year.
    10. Swordfish Tagging Deep-Set Buoy Survey--The swordfish tagging 
deep-set buoy survey is conducted annually from June through November 
in the Southern California Bight. The survey's main objective is to 
investigate the use of this gear to capture swordfish while minimizing 
bycatch of non-target species. Approximately 300-600 sets are made 
annually.
    11. Marine Mammal Ecosystem Surveys--These large-scale surveys are 
conducted annually from August to December, and require substantial 
blocks of continuous time on two NOAA ships (about 60-120 survey days). 
Results inform status assessments of marine mammal populations. Surveys 
rotate among geographic areas and do not occur in all specified 
geographical regions in every year. In the CCE and other offshore 
waters of the northern Pacific, these projects include the Oregon, 
California and Washington Line-transect and Ecosystem survey (ORCAWALE) 
and the Structure of Populations, Levels of Abundance, and Status of 
Humpbacks survey (SPLASH; located outside the CCE in the northern 
Pacific).
    Primary effort of these surveys includes line transect surveys of 
marine mammals and seabirds. Observations are made of schools or 
aggregations of marine mammals and, for a subset of observations, 
survey effort is suspended and aggregations are approached for 
estimation of aggregation size and species composition. This work 
constitutes research directed at marine mammals, meaning that any take 
of marine mammals resulting from the survey effort would not be 
considered incidental. Separate scientific research permits are 
obtained from NMFS under the MMPA for this component of these surveys; 
this directed research is therefore not considered further in this 
document.
    However, additional scientific effort during marine mammal 
ecosystem surveys (e.g., environmental observation) is not directed at 
marine mammals and take of marine mammals resulting from that effort 
would be

[[Page 8175]]

considered incidental take. Therefore, these additional components of 
marine mammal ecosystem surveys are considered in this document. 
Additional research protocols include use of multi-frequency active 
acoustic devices, single-warp IKMT with 1-mm mesh net for sampling 
macro-zooplankton, 3-m\2\ dip net with 2-mm mesh for sampling flying 
fish (Family Exocoetidae), CTD profiles, XBTs, and meteorological 
observations using a wide-range of passive sensors.
    12. White Abalone Survey--This survey utilizes still and video 
camera observations via ROV to monitor population recovery in deep-
water habitat for the endangered white abalone (Haliotis sorenseni). It 
is usually conducted on a charter vessel for about 25 survey days. The 
surveys are confined to offshore banks and island margins, 30-150 m 
depth, in the Southern California Bight. Since 2002, over 1,000 ROV 
transects have been conducted along the entire U.S. west coast. The 
average and maximum speed of the ROV was 0.5 and 2.4 kn, respectively. 
The tether that connects the ROV to the ship is 19-mm diameter and is 
securely attached to a stainless steel cable and down-weight to 
minimize slack in the tether and to prevent any loops.
    13. Collaborative Optical Acoustical Survey Technology (COAST) 
Survey--These are surveys of offshore banks conducted in collaboration 
with the charter boat fishing industry to monitor the recovery of 
rockfish. The COAST surveys are usually conducted on a NOAA ship 
augmented by a charter vessel and require about forty survey days. 
Protocols include the use of multi-frequency active acoustic devices 
and still and video camera observations using an ROV.
    14. Habitat Surveys--The focus of these surveys includes adult 
rockfish Essential Fish Habitat (MSA; see 16 U.S.C. 1802 sec. 3(10)) 
and habitat use of a variety of other species. They are usually 
conducted on a NOAA ship for about fifty survey days. The protocols may 
include use of the Nordic 264 midwater trawl, pelagic longlines, 
plankton and other small mesoplankton trawls, CTD profiles, and visual 
observations from ships and submersibles.
    15. Small Boats--Numerous field operations use small boats (e.g., 
for attaching tags to fish). These operations require a total of about 
75 survey days per year.
    Eastern Tropical Pacific--Here we describe all surveys planned by 
SWFSC in the ETP. Please see Table 1.1 of SWFSC's application for a 
detailed summary of these surveys.
    1. Marine Mammal Ecosystem Surveys--These surveys, conducted 
annually during August to December and requiring 60-120 annual survey 
days, follow the description provided under CCE. Surveys rotate among 
geographic areas and do not occur in all specified geographical regions 
in every year. In the ETP and other tropical Pacific waters, these 
projects include the Stenella Abundance Research survey (STAR) and the 
Hawaiian Islands Cetacean and Ecosystem Assessment Survey (HICEAS). The 
STAR surveys are designed to monitor the recovery of several dolphin 
stocks (i.e., Stenella spp.) that were depleted by the yellowfin tuna 
(Thunnus albacares) purse-seine fishery in the ETP.
    2. HMS Surveys--To date, these surveys have not been conducted in 
the ETP; however, the SWFSC believes they will likely occur during the 
five-year period of validity of this proposed rule. They may be 
conducted up to thirty days annually during June-July. Protocols follow 
those described for HMS surveys in CCE.
    Antarctic Marine Living Resources Ecosystem--Here we describe all 
surveys planned by SWFSC in the AMLR. Please see Table 1.1 of SWFSC's 
application for a detailed summary of these surveys. Surveys occurring 
in AMLR during austral winter (i.e., June-August) may encounter 
pinnipeds hauled out on ice. We anticipate that the presence of vessels 
engaged in SWFSC survey activities may result in behavioral disturbance 
of these animals. These reactions could result from airborne sound or 
from visual disturbance alone. It should be noted that these activities 
do not entail intentional approaches to pinnipeds on ice (i.e., any 
incidents of behavioral disturbance would constitute incidental take). 
Behavioral disturbance of this nature is expected only in the AMLR.
    1. Antarctic Survey--These surveys are conducted annually during 
January through March or in August, are usually conducted on a charter 
vessel, and require about seventy survey days annually. Shipboard 
surveys are designed to map the distribution of Antarctic krill 
relative to the distributions of krill predators (e.g., penguins, 
pinnipeds, and flying birds) as well as to estimate krill biomass 
within the survey area. The physical and biological environment is also 
characterized. Every two to three years a bottom trawl is used to 
assess benthic invertebrates and fish on the continental shelf. Gear 
used is a towed camera array and the two-warp NET Systems Hard Bottom 
Snapper Trawl. Additional protocols include the use of a single-warp 
IKMT, multi-frequency active acoustic devices, CTD profiles, marine 
mammal and bird observations, and meteorological observations using a 
wide-range of passive sensors. SWFSC is also currently investigating 
use of a single-warp Tucker trawl on these surveys.
    Description of Active Acoustic Sound Sources--This section contains 
a brief technical background on sound, the characteristics of certain 
sound types, and on metrics used in this proposal inasmuch as the 
information is relevant to SWFSC's specified activity and to a 
discussion of the potential effects of the specified activity on marine 
mammals found later in this document. We also describe the active 
acoustic devices used by SWFSC.
    Sound travels in waves, the basic components of which are 
frequency, wavelength, velocity, and amplitude. Frequency is the number 
of pressure waves that pass by a reference point per unit of time and 
is measured in hertz (Hz) or cycles per second. Wavelength is the 
distance between two peaks or corresponding points of a sound wave 
(length of one cycle). Higher frequency sounds have shorter wavelengths 
than lower frequency sounds, and typically attenuate (decrease) more 
rapidly, except in certain cases in shallower water. Amplitude is the 
height of the sound pressure wave or the ``loudness'' of a sound and is 
typically described using the relative unit of the decibel (dB). A 
sound pressure level (SPL) in dB is described as the ratio between a 
measured pressure and a reference pressure (for underwater sound, this 
is 1 microPascal [[mu]Pa]), and is a logarithmic unit that accounts for 
large variations in amplitude; therefore, a relatively small change in 
dB corresponds to large changes in sound pressure. The source level 
(SL) represents the SPL referenced at a distance of 1 m from the source 
(referenced to 1 [mu]Pa), while the received level is the SPL at the 
listener's position (referenced to 1 [mu]Pa).
    Root mean square (rms) is the quadratic mean sound pressure over 
the duration of an impulse. Rms is calculated by squaring all of the 
sound amplitudes, averaging the squares, and then taking the square 
root of the average (Urick, 1983). Rms accounts for both positive and 
negative values; squaring the pressures makes all values positive so 
that they may be accounted for in the summation of pressure levels 
(Hastings and Popper, 2005). This measurement is often used in the 
context of discussing behavioral effects,

[[Page 8176]]

in part because behavioral effects, which often result from auditory 
cues, may be better expressed through averaged units than by peak 
pressures.
    Sound exposure level (SEL; represented as dB re 1 [mu]Pa\2\-s) 
represents the total energy contained within a pulse, and considers 
both intensity and duration of exposure. For a single pulse, the 
numerical value of the SEL measurement is usually 5-15 dB lower than 
the rms sound pressure in dB re 1 [mu]Pa, with the comparative 
difference between measurements of rms and SEL measurements often 
tending to decrease with increasing range (Greene, 1997; McCauley et 
al., 1998). Peak sound pressure is the maximum instantaneous sound 
pressure measurable in the water at a specified distance from the 
source, and is represented in the same units as the rms sound pressure. 
Another common metric is peak-to-peak sound pressure (p-p), which is 
the algebraic difference between the peak positive and peak negative 
sound pressures. Peak-to-peak pressure is typically approximately 6 dB 
higher than peak pressure (Southall et al., 2007).
    When underwater objects vibrate or activity occurs, sound-pressure 
waves are created. These waves alternately compress and decompress the 
water as the sound wave travels. Underwater sound waves radiate in a 
manner similar to ripples on the surface of a pond and may be either 
directed in a beam or beams (as for the sources considered here) or may 
radiate in all directions (omnidirectional sources). The compressions 
and decompressions associated with sound waves are detected as changes 
in pressure by aquatic life and man-made sound receptors such as 
hydrophones.
    Even in the absence of sound from the specified activity, the 
underwater environment is typically loud due to ambient sound. Ambient 
sound is defined as environmental background sound levels lacking a 
single source or point (Richardson et al., 1995), and the sound level 
of a region is defined by the total acoustical energy being generated 
by known and unknown sources. These sources may include physical (e.g., 
waves, earthquakes, ice, atmospheric sound), biological (e.g., sounds 
produced by marine mammals, fish, and invertebrates), and anthropogenic 
(e.g., vessels, dredging, construction) sound. A number of sources 
contribute to ambient sound, including the following (Richardson et 
al., 1995):
     Wind and waves: The complex interactions between wind and 
water surface, including processes such as breaking waves and wave-
induced bubble oscillations and cavitation, are a main source of 
naturally occurring ambient sound for frequencies between 200 Hz and 50 
kHz (Mitson, 1995). In general, ambient sound levels tend to increase 
with increasing wind speed and wave height. Surf sound becomes 
important near shore, with measurements collected at a distance of 8.5 
km from shore showing an increase of 10 dB in the 100 to 700 Hz band 
during heavy surf conditions.
     Precipitation: Sound from rain and hail impacting the 
water surface can become an important component of total sound at 
frequencies above 500 Hz, and possibly down to 100 Hz during quiet 
times.
     Biological: Marine mammals can contribute significantly to 
ambient sound levels, as can some fish and shrimp. The frequency band 
for biological contributions is from approximately 12 Hz to over 100 
kHz.
     Anthropogenic: Sources of ambient sound related to human 
activity include transportation (surface vessels), dredging and 
construction, oil and gas drilling and production, seismic surveys, 
sonar, explosions, and ocean acoustic studies. Vessel noise typically 
dominates the total ambient sound for frequencies between 20 and 300 
Hz. In general, the frequencies of anthropogenic sounds are below 1 kHz 
and, if higher frequency sound levels are created, they attenuate 
rapidly. Sound from identifiable anthropogenic sources other than the 
activity of interest (e.g., a passing vessel) is sometimes termed 
background sound, as opposed to ambient sound.
    The sum of the various natural and anthropogenic sound sources at 
any given location and time--which comprise ``ambient'' or 
``background'' sound--depends not only on the source levels (as 
determined by current weather conditions and levels of biological and 
human activity) but also on the ability of sound to propagate through 
the environment. In turn, sound propagation is dependent on the 
spatially and temporally varying properties of the water column and sea 
floor, and is frequency-dependent. As a result of the dependence on a 
large number of varying factors, ambient sound levels can be expected 
to vary widely over both coarse and fine spatial and temporal scales. 
Sound levels at a given frequency and location can vary by 10-20 dB 
from day to day (Richardson et al., 1995). The result is that, 
depending on the source type and its intensity, sound from the 
specified activity may be a negligible addition to the local 
environment or could form a distinctive signal that may affect marine 
mammals. Details of source types are described in the following text.
    Sounds are often considered to fall into one of two general types: 
Pulsed and non-pulsed (defined in the following). The distinction 
between these two sound types is important because they have differing 
potential to cause physical effects, particularly with regard to 
hearing (e.g., Ward, 1997 in Southall et al., 2007). Please see 
Southall et al. (2007) for an in-depth discussion of these concepts.
    Pulsed sound sources (e.g., explosions, gunshots, sonic booms, 
impact pile driving) produce signals that are brief (typically 
considered to be less than one second), broadband, atonal transients 
(ANSI, 1986, 2005; Harris, 1998; NIOSH, 1998; ISO, 2003) and occur 
either as isolated events or repeated in some succession. Pulsed sounds 
are all characterized by a relatively rapid rise from ambient pressure 
to a maximal pressure value followed by a rapid decay period that may 
include a period of diminishing, oscillating maximal and minimal 
pressures, and generally have an increased capacity to induce physical 
injury as compared with sounds that lack these features.
    Non-pulsed sounds can be tonal, narrowband, or broadband, brief or 
prolonged, and may be either continuous or non-continuous (ANSI, 1995; 
NIOSH, 1998). Some of these non-pulsed sounds can be transient signals 
of short duration but without the essential properties of pulses (e.g., 
rapid rise time). Examples of non-pulsed sounds include those produced 
by vessels, aircraft, machinery operations such as drilling or 
dredging, vibratory pile driving, and active sonar systems (such as 
those used by the U.S. Navy). The duration of such sounds, as received 
at a distance, can be greatly extended in a highly reverberant 
environment.
    We use generic sound exposure thresholds (see Table 1) to determine 
when an activity that produces sound might result in impacts to a 
marine mammal such that a take by harassment might occur. These 
thresholds should be considered guidelines for estimating when 
harassment may occur (i.e., when an animal is exposed to levels equal 
to or exceeding the relevant criterion) in specific contexts; however, 
useful contextual information that may inform our assessment of effects 
is typically lacking and we consider these thresholds as step 
functions. NMFS is currently revising these acoustic guidelines; for 
more information on that process, please visit www.nmfs.noaa.gov/pr/acoustics/

[[Page 8177]]

guidelines.htm. NMFS has determined that the 160-dB threshold for 
impulsive sources is most appropriate for use in considering the 
potential effects of the SWFSC's activities.

               Table 1--Current Acoustic Exposure Criteria
------------------------------------------------------------------------
           Criterion                Definition           Threshold
------------------------------------------------------------------------
Level A harassment              Injury (PTS--any   180 dB (cetaceans)/
 (underwater).                   level above that   190 dB (pinnipeds)
                                 which is known     (rms)
                                 to cause TTS).
Level B harassment              Behavioral         160 dB (impulsive
 (underwater).                   disruption.        source)/120 dB
                                                    (continuous source)
                                                    (rms)
------------------------------------------------------------------------

    A wide range of active acoustic devices are used in SWFSC fisheries 
surveys for remotely sensing bathymetric, oceanographic, and biological 
features of the environment. Most of these sources involve relatively 
high frequency, directional, and brief repeated signals tuned to 
provide sufficient focus and resolution on specific objects. SWFSC also 
uses passive listening sensors (i.e., remotely and passively detecting 
sound rather than producing it), which do not have the potential to 
impact marine mammals. SWFSC active acoustic sources include various 
echosounders (e.g., multibeam systems), scientific sonar systems, 
positional sonars (e.g., net sounders for determining trawl position), 
and environmental sensors (e.g., current profilers).
    Mid- and high-frequency underwater acoustic sources typically used 
for scientific purposes operate by creating an oscillatory overpressure 
through rapid vibration of a surface, using either electromagnetic 
forces or the piezoelectric effect of some materials. A vibratory 
source based on the piezoelectric effect is commonly referred to as a 
transducer. Transducers are usually designed to excite an acoustic wave 
of a specific frequency, often in a highly directive beam, with the 
directional capability increasing with operating frequency. The main 
parameter characterizing directivity is the beam width, defined as the 
angle subtended by diametrically opposite ``half power'' (-3 dB) points 
of the main lobe. For different transducers at a single operating 
frequency the beam width can vary from 180[deg] (almost 
omnidirectional) to only a few degrees. Transducers are usually 
produced with either circular or rectangular active surfaces. For 
circular transducers, the beam width in the horizontal plane (assuming 
a downward pointing main beam) is equal in all directions, whereas 
rectangular transducers produce more complex beam patterns with 
variable beam width in the horizontal plane. Please see Zykov and Carr 
(2014) for further discussion of electromechanical sound sources.
    The types of active sources employed in fisheries acoustic research 
and monitoring may be considered in two broad categories here, based 
largely on their respective operating frequency (e.g., within or 
outside the known audible range of marine species) and other output 
characteristics (e.g., signal duration, directivity). As described 
below, these operating characteristics result in differing potential 
for acoustic impacts on marine mammals.
    Category 1 active fisheries acoustic sources include those with 
high output frequencies (>180 kHz) that are outside the known 
functional hearing capability of any marine mammal. Sounds that are 
above the functional hearing range of marine animals may be audible if 
sufficiently loud (e.g., M[oslash]hl, 1968). However, the relative 
output levels of these sources mean that they would potentially be 
detectable to marine mammals at maximum distances of only a few meters, 
and are highly unlikely to be of sufficient intensity to result in 
behavioral harassment. These sources also generally have short duration 
signals and highly directional beam patterns, meaning that any 
individual marine mammal would be unlikely to even receive a signal 
that would almost certainly be inaudible. Therefore, Category 1 sources 
are not expected to have any effect on marine mammals and are not 
considered further in this document.
    Category 2 acoustic sources, which are present on most SWFSC 
fishery research vessels, include a variety of single, dual, and multi-
beam echosounders (many with a variety of modes), sources used to 
determine the orientation of trawl nets, and several current profilers 
with lower output frequencies than Category 1 sources. Category 2 
active acoustic sources have moderate to high output frequencies (10 to 
180 kHz) that are generally within the functional hearing range of 
marine mammals and therefore have the potential to cause behavioral 
harassment. However, while likely potentially audible to certain 
species, these sources have generally short ping durations and are 
typically focused (highly directional) to serve their intended purpose 
of mapping specific objects, depths, or environmental features. These 
characteristics reduce the likelihood of an animal receiving or 
perceiving the signal. A number of these sources, particularly those 
with relatively lower output frequencies coupled with higher output 
levels can be operated in different output modes (e.g., energy can be 
distributed among multiple output beams) that may lessen the likelihood 
of perception by and potential impact on marine mammals.
    We now describe specific acoustic sources used by SWFSC. The 
acoustic system used during a particular survey is optimized for 
surveying under specific environmental conditions (e.g., depth and 
bottom type). Lower frequencies of sound travel further in the water 
(i.e., good range) but provide lower resolution (i.e., are less 
precise). Pulse width and power may also be adjusted in the field to 
accommodate a variety of environmental conditions. Signals with a 
relatively long pulse width travel further and are received more 
clearly by the transducer (i.e., good signal-to-noise ratio) but have a 
lower range resolution. Shorter pulses provide higher range resolution 
and can detect smaller and more closely spaced objects in the water. 
Similarly, higher power settings may decrease the utility of collected 
data. Power level is also adjusted according to bottom type, as some 
bottom types have a stronger return and require less power to produce 
data of sufficient quality. Power is typically set to the lowest level 
possible in order to receive a clear return with the best data. Survey 
vessels may be equipped with multiple acoustic systems; each system has 
different advantages that may be utilized depending on the specific 
survey area or purpose. In addition, many systems may be operated at 
one of two frequencies or at a range of frequencies. Characteristics of 
these sources are summarized in Table 2.

[[Page 8178]]

    (1) Multi-Frequency Narrow Beam Scientific Echosounders--
Echosounders and sonars work by transmitting acoustic pulses into the 
water that travel through the water column, reflect off the seafloor, 
and return to the receiver. Water depth is measured by multiplying the 
time elapsed by the speed of sound in water (assuming accurate sound 
speed measurement for the entire signal path), while the returning 
signal itself carries information allowing ``visualization'' of the 
seafloor. Multi-frequency split-beam sensors are deployed from SWFSC 
survey vessels to acoustically map the distributions and estimate the 
abundances and biomasses of many types of fish; characterize their 
biotic and abiotic environments; investigate ecological linkages; and 
gather information about their schooling behavior, migration patterns, 
and avoidance reactions to the survey vessel. The use of multiple 
frequencies allows coverage of a broad range of marine acoustic survey 
activity, ranging from studies of small plankton to large fish schools 
in a variety of environments from shallow coastal waters to deep ocean 
basins. Simultaneous use of several discrete echosounder frequencies 
facilitates accurate estimates of the size of individual fish, and can 
also be used for species identification based on differences in 
frequency-dependent acoustic backscattering between species. The SWFSC 
operates Simrad EK500 and EK60 systems, which transmit and receive at 
six frequencies ranging from 18-333 kHz.
    (2) Multibeam Echosounder and Sonar--Multibeam echosounders and 
sonars operate similarly to the devices described above. However, the 
use of multiple acoustic ``beams'' allows coverage of a greater area 
compared to single beam sonar. The sensor arrays for multibeam 
echosounders and sonars are usually mounted on the keel of the vessel 
and have the ability to look horizontally in the water column as well 
as straight down. Multibeam echosounders and sonars are used for 
mapping seafloor bathymetry, estimating fish biomass, characterizing 
fish schools, and studying fish behavior. The SWFSC operates the Simrad 
ME70 and MS70 systems, which are mounted to the hull of the research 
vessels and emit frequencies in the 70-120 kHz range.
    (3) Single-Frequency Omnidirectional Sonar--Low-frequency, high-
resolution, long range fishery sonars operate with user selectable 
frequencies between 20-30 kHz, which provide longer range and prevent 
interference from other vessels. These sources provide omnidirectional 
imaging around the source with three different vertical beamwidths 
available (single or dual vertical view and 180[deg] tiltable). At the 
30-kHz operating frequency, the vertical beamwidth is less than 7[deg] 
and can be electronically tilted from +10 to -80[deg], which results in 
differential transmitting beam patterns. The cylindrical multi-element 
transducer allows the omnidirectional sonar beam to be electronically 
tilted down to -60[deg], allowing automatic tracking of schools of fish 
within the entire water volume around the vessel. SWFSC operates the 
Simrad SX90 system.
    (4) Acoustic Doppler Current Profiler (ADCP)--An ADCP is a type of 
sonar used for measuring water current velocities simultaneously at a 
range of depths. Whereas current depth profile measurements in the past 
required the use of long strings of current meters, the ADCP enables 
measurements of current velocities across an entire water column. The 
ADCP measures water currents with sound, using the Doppler effect. A 
sound wave has a higher frequency when it moves towards the sensor 
(blue shift) than when it moves away (red shift). The ADCP works by 
transmitting ``pings'' of sound at a constant frequency into the water. 
As the sound waves travel, they ricochet off particles suspended in the 
moving water, and reflect back to the instrument. Due to the Doppler 
effect, sound waves bounced back from a particle moving away from the 
profiler have a slightly lowered frequency when they return. Particles 
moving toward the instrument send back higher frequency waves. The 
difference in frequency between the waves the profiler sends out and 
the waves it receives is called the Doppler shift. The instrument uses 
this shift to calculate how fast the particle and the water around it 
are moving. Sound waves that hit particles far from the profiler take 
longer to come back than waves that strike close by. By measuring the 
time it takes for the waves to return to the sensor, and the Doppler 
shift, the profiler can measure current speed at many different depths 
with each series of pings.
    An ADCP anchored to the seafloor can measure current speed not just 
at the bottom, but at equal intervals to the surface. An ADCP 
instrument may be anchored to the seafloor or can be mounted to a 
mooring or to the bottom of a boat. ADCPs that are moored need an 
anchor to keep them on the bottom, batteries, and a data logger. 
Vessel-mounted instruments need a vessel with power, a shipboard 
computer to receive the data, and a GPS navigation system so the ship's 
movements can be subtracted from the current velocity data. ADCPs 
operate at frequencies between 75 and 300 kHz.
    (5) Net Monitoring Systems--During trawling operations, a range of 
sensors may be used to assist with controlling and monitoring gear. Net 
sounders give information about the concentration of fish around the 
opening to the trawl, as well as the clearances around the opening and 
the bottom of the trawl; catch sensors give information about the rate 
at which the codend is filling; symmetry sensors give information about 
the optimal geometry of the trawls; and tension sensors give 
information about how much tension is in the warps and sweeps. SWFSC 
uses the Simrad ITI Catch Monitoring System, which allows monitoring of 
the exact position of the gear and of what is happening in and around 
the trawl, and the Simrad FS70 Third Wire Net Sonde, which allows 
monitoring of the trawl opening.

                                           Table 2--Operating Characteristics of SWFSC Active Acoustic Sources
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                      Single ping duration
       Active acoustic system         Operating frequencies   Maximum source level    (ms) and repetition        Orientation/        Nominal beamwidth
                                                                                           rate (Hz)            directionality
--------------------------------------------------------------------------------------------------------------------------------------------------------
Simrad EK500 and EK60 narrow beam    18, 38, 70, 120, 200,   224 dB................  Variable; most common  Downward looking.....  7[deg].
 echosounders.                        333 kHz; primary                                settings are 1 ms
                                      frequencies                                     and 0.5 Hz.
                                      italicized.
Simrad ME70 multibeam echosounder..  70-120 kHz............  205 dB................  0.06-5 ms; 1-4 Hz....  Primarily downward     130[deg].
                                                                                                             looking.
Simrad MS70 multibeam sonar........  75-112 kHz............  206 dB................  2-10 ms; 1-2 Hz......  Primarily side-        60[deg].
                                                                                                             looking.

[[Page 8179]]

 
Simrad SX90 narrow beam sonar......  20-30 kHz.............  219 dB................  Variable.............  Omnidirectional......  4-5[deg] (variable
                                                                                                                                    for tilt angles from
                                                                                                                                    0-45[deg] from
                                                                                                                                    horizontal).
Teledyne RD Instruments ADCP, Ocean  75 kHz................  224 dB................  0.2 Hz...............  Downward looking.....  30[deg].
 Surveyor.
Simrad ITI Catch Monitoring System.  27-33 kHz.............  214 dB................  0.05-0.5 Hz..........  Downward looking.....  40[deg].
Simrad FS70 Third Wire Net Sonde...  120 kHz...............  Unknown, maximum        Variable.............  Downward looking.....  40[deg].
                                                              transmit power is 1
                                                              kW.
--------------------------------------------------------------------------------------------------------------------------------------------------------

Proposed Mitigation

    In order to issue an incidental take authorization under section 
101(a)(5)(A) of the MMPA, NMFS must set forth the permissible methods 
of taking pursuant to such activity, ``and other means of effecting the 
least practicable adverse impact on such species or stock and its 
habitat, paying particular attention to rookeries, mating grounds, and 
areas of similar significance, and on the availability of such species 
or stock for subsistence uses.'' Note that taxonomic information for 
certain species mentioned in this section is provided in the following 
section (``Description of Marine Mammals in the Area of the Specified 
Activity'').
    Since 2008, the SWFSC has invested significant time and effort in 
identifying technologies, practices, and equipment to minimize the 
impact of the proposed activities on marine mammal species and stocks 
and their habitat. These efforts have resulted in the consideration of 
many potential mitigation measures, including those the SWFSC has 
determined to be feasible and has implemented since 2009 as a standard 
part of sampling protocols. These measures include the ``move-on 
rule,'' protected species visual watches and use of acoustic pingers on 
trawl gear, as well as use of a marine mammal excluder device (MMED) in 
Nordic 264 midwater trawls.

Development of Mitigation Measures

    In survey year 2008 in the CCE, there were dramatically more 
incidental takes of marine mammals in research gear, in terms of both 
interactions and animals captured, than in any other year (historical 
incidents are detailed below in ``Estimated Take by Incidental 
Harassment, Serious Injury, or Mortality''). The SWFSC had previously 
conducted over a thousand midwater trawl survey tows over more than 25 
years, with very few incidents of marine mammal interactions (Hewitt, 
2009), but the number of incidental takes in 2008 exceeded the 
aggregate total over all preceding years. Following the first SWFSC 
survey cruise in April 2008, during which a number of marine mammals 
were captured in trawl gear, the SWFSC convened a workshop involving 
SWFSC staff with expertise in survey design and operations and marine 
mammal bycatch mitigation (Hewitt, 2009). Participants worked to 
determine appropriate mitigation measures and to consider changes to 
sampling protocols in an effort to reduce marine mammal interactions, 
and the SWFSC subsequently implemented an expanded mitigation protocol. 
The SWFSC also allocated resources towards the design, construction, 
and testing of a MMED that could be incorporated into the Nordic 264 
trawl net.
    During the 2008 meeting, survey results were reviewed, including 
all known circumstances associated with instances of marine mammal 
bycatch (e.g., time of day, distance offshore, forage fish catch, sea 
conditions), but no obvious association with any factor was noted. 
Consensus recommendations from this expert working group included 
altering the survey protocol to approach the sample station at full 
speed and conduct trawl operations as soon as possible, in order to 
avoid attracting marine mammals to the survey activity, and to deploy 
acoustic deterrent devices (pingers) on the trawl nets. In 2009, the 
MMED was tested and use of the device added to standard survey protocol 
for the Nordic 264 net (Dotson et al., 2010). It is unclear to what 
extent mitigation measures have played a role, but incidental marine 
mammal interactions have not approached 2008 levels in the years since 
implementation of expanded mitigation protocols (see Tables 10 and 11).

General Measures

    Coordination and communication--When SWFSC survey effort is 
conducted aboard NOAA-owned vessels, there are both vessel officers and 
crew and a scientific party. Vessel officers and crew are not composed 
of SWFSC staff, but are employees of NOAA's Office of Marine and 
Aviation Operations (OMAO), which is responsible for the management and 
operation of NOAA fleet ships and aircraft and is composed of uniformed 
officers of the NOAA Commissioned Corps as well as civilians. The 
ship's officers and crew provide mission support and assistance to 
embarked scientists, and the vessel's Commanding Officer (CO) has 
ultimate responsibility for vessel and passenger safety and, therefore, 
decision authority. When SWFSC survey effort is conducted aboard 
cooperative platforms (i.e., non-NOAA vessels), ultimate responsibility 
and decision authority again rests with non-SWFSC personnel (i.e., 
vessel's master or captain). Decision authority includes the 
implementation of mitigation measures (e.g., whether to stop deployment 
of trawl gear upon observation of marine mammals). The scientific party 
involved in any SWFSC survey effort is composed, in part or whole, of 
SWFSC staff and is led by a Chief Scientist (CS). Therefore, because 
the SWFSC--not OMAO or any other entity that may have authority over 
survey platforms used by SWFSC--is the applicant to whom any incidental 
take authorization issued under the authority of these proposed 
regulations would be issued, we require that the SWFSC take all 
necessary measures to coordinate and communicate in advance of each 
specific survey with OMAO, or other relevant parties, to ensure that 
all mitigation measures and monitoring requirements described herein, 
as well as the specific manner of implementation and relevant event-

[[Page 8180]]

contingent decision-making processes, are clearly understood and 
agreed-upon. This may involve description of all required measures when 
submitting cruise instructions to OMAO or when completing contracts 
with external entities. SWFSC will coordinate and conduct briefings at 
the outset of each survey and as necessary between ship's crew (CO/
master or designee(s), as appropriate) and scientific party in order to 
explain responsibilities, communication procedures, marine mammal 
monitoring protocol, and operational procedures. The CS will be 
responsible for coordination with the Officer on Deck (OOD; or 
equivalent on non-NOAA platforms) to ensure that requirements, 
procedures, and decision-making processes are understood and properly 
implemented.
    Vessel speed--Vessel speed during active sampling rarely exceeds 5 
kn, with typical speeds being 2-4 kn. Transit speeds vary from 6-14 kn 
but average 10 kn. These low vessel speeds minimize the potential for 
ship strike (see ``Potential Effects of the Specified Activity on 
Marine Mammals and Their Habitat'' for an in-depth discussion of ship 
strike). At any time during a survey or in transit, if a crew member 
standing watch or dedicated marine mammal observer sights marine 
mammals that may intersect with the vessel course that individual will 
immediately communicate the presence of marine mammals to the bridge 
for appropriate course alteration or speed reduction, as possible, to 
avoid incidental collisions.
    Other gears--The SWFSC deploys a wide variety of gear to sample the 
marine environment during all of their research cruises. Many of these 
types of gear (e.g., plankton nets, video camera and ROV deployments) 
are not considered to pose any risk to marine mammals and are therefore 
not subject to specific mitigation measures. In addition, specific 
aspects of gear design, survey protocols (e.g., number of hooks), and 
frequency of use indicate that certain types of gears that may 
otherwise be expected to have the potential to result in take of marine 
mammals (e.g., bottom longline used in sablefish life history surveys) 
do not pose significant risk to marine mammals and are not subject to 
specific mitigation measures. However, at all times when the SWFSC is 
conducting survey operations at sea, the OOD and/or CS and crew will 
monitor for any unusual circumstances that may arise at a sampling site 
and use best professional judgment to avoid any potential risks to 
marine mammals during use of all research equipment.
    Handling procedures--The SWFSC will implement a number of handling 
protocols to minimize potential harm to marine mammals that are 
incidentally taken during the course of fisheries research activities. 
In general, protocols have already been prepared for use on commercial 
fishing vessels. Because incidental take of marine mammals in fishing 
gear is similar for commercial fisheries and research surveys, SWFSC 
proposes to adopt these protocols, which are expected to increase post-
release survival. In general, following a ``common sense'' approach to 
handling captured or entangled marine mammals will present the best 
chance of minimizing injury to the animal and of decreasing risks to 
scientists and vessel crew. Handling or disentangling marine mammals 
carries inherent safety risks, and using best professional judgment and 
ensuring human safety is paramount.
    SWFSC staff will be provided with a guide to ``Identification, 
Handling and Release of Protected Species'' (see Appendix B.1 of the 
SWFSC's application) for more specific guidance on protected species 
handling and will be required to follow the protocols described 
therein. SWFSC staff will be instructed on how to identify different 
species; handle and bring marine mammals aboard a vessel; assess the 
level of consciousness; remove fishing gear; and return marine mammals 
to water.

Trawl Survey Visual Monitoring and Operational Protocols

    The mitigation requirements described here are applicable to all 
midwater trawl operations conducted by the SWFSC (currently conducted 
using the Nordic 264 and modified-Cobb nets). Marine mammal watches 
(visual observation) will be initiated no less than thirty minutes 
prior to arrival on station to determine if marine mammals are in the 
vicinity of the planned sample location. Marine mammal watches will be 
conducted by scanning the surrounding waters with the naked eye and 
rangefinding binoculars (or monocular). During nighttime operations, 
visual observation will be conducted using the naked eye and available 
vessel lighting. The visual observation period typically occurs during 
transit leading up to arrival at the sampling station, rather than upon 
arrival on station. However, in some cases it may be necessary to 
conduct a bongo plankton tow or other small net cast prior to deploying 
trawl gear. In these cases, the visual watch will continue until trawl 
gear is ready to be deployed. Aside from this required thirty-minute 
minimum pre-trawl monitoring period, the OOD/CS and crew standing watch 
will visually scan for marine mammals during all daytime operations.
    The primary purpose of conducting the pre-trawl visual monitoring 
period is to implement the ``move-on rule.'' If marine mammals are 
sighted within 1 nm of the planned set location in the thirty minutes 
before setting the trawl gear, the vessel will transit to a different 
section of the sampling area to maintain a minimum set distance of 1 nm 
from the observed marine mammals. If, after moving on, marine mammals 
remain within the 1 nm exclusion zone, the CS or watch leader may 
decide to move again or to skip the station. However, the effectiveness 
of visual monitoring may be limited depending on weather and lighting 
conditions, and it may not always be possible to conduct visual 
observations out to 1 nm radial distance. The OOD, CS or watch leader 
will determine the best strategy to avoid potential takes of marine 
mammals based on the species encountered and their numbers and 
behavior, position, and vector relative to the vessel, as well as any 
other factors. For example, a whale transiting through the sampling 
area in the distance may only require a short move from the designated 
station, whereas a pod of dolphins in close proximity to the vessel may 
require a longer move from the station or possibly cancellation of the 
planned tow if the group follows the vessel. In any case, no trawl gear 
will be deployed if marine mammals have been sighted within 1 nm of the 
planned set location during the thirty-minute watch period.
    In general, trawl operations will be conducted immediately upon 
arrival on station (and on conclusion of the thirty-minute pre-watch 
period) in order to minimize the time during which marine mammals 
(particularly pinnipeds) may become attracted to the vessel. However, 
in some cases it will be necessary to conduct small net tows (e.g., 
bongo net) prior to deploying trawl gear in order to avoid trawling 
through extremely high densities of gelatinous zooplankton that can 
damage trawl gear.
    Once the trawl net is in the water, the OOD, CS, and/or crew 
standing watch will continue to visually monitor the surrounding waters 
and will maintain a lookout for marine mammal presence as far away as 
environmental conditions allow. If marine mammals are sighted before 
the gear is fully retrieved, the most appropriate response to avoid 
marine mammal interaction will be determined by the professional 
judgment of the CS, watch leader, OOD and other experienced crew as

[[Page 8181]]

necessary. This judgment will be based on past experience operating 
trawl gears around marine mammals (i.e., best professional judgment) 
and on SWFSC training sessions that will facilitate dissemination of 
expertise operating in these situations (e.g., factors that contribute 
to marine mammal gear interactions and those that aid in successfully 
avoiding such events). Best professional judgment takes into 
consideration the species, numbers, and behavior of the animals, the 
status of the trawl net operation (e.g., net opening, depth, and 
distance from the stern), the time it would take to retrieve the net, 
and safety considerations for changing speed or course. We recognize 
that it is not possible to dictate in advance the exact course of 
action that the OOD or CS should take in any given event involving the 
presence of marine mammals in proximity to an ongoing trawl tow, given 
the sheer number of potential variables, combinations of variables that 
may determine the appropriate course of action, and the need to 
consider human safety in the operation of fishing gear at sea. 
Nevertheless, we require a full accounting of factors that shape both 
successful and unsuccessful decisions and these details will be fed 
back into SWFSC training efforts and ultimately help to refine the best 
professional judgment that determines the course of action taken in any 
given scenario (see further discussion in ``Proposed Monitoring and 
Reporting'').
    If trawling operations have been suspended because of the presence 
of marine mammals, the vessel will resume trawl operations (when 
practicable) only when the animals are believed to have departed the 1 
nm exclusion zone. This decision is at the discretion of the OOD/CS and 
is dependent on the situation.
    Standard survey protocols that are expected to lessen the 
likelihood of marine mammal interactions include standardized tow 
durations and distances. Standard tow durations of not more than thirty 
minutes at the target depth will be implemented, excluding deployment 
and retrieval time (which may require an additional thirty minutes, 
depending on target depth), to reduce the likelihood of attracting and 
incidentally taking marine mammals. Short tow durations decrease the 
opportunity for marine mammals to find the vessel and investigate. 
Trawl tow distances will be less than 3 nm--typically 1-2 nm, depending 
on the specific survey and trawl speed--which is expected to reduce the 
likelihood of attracting and incidentally taking marine mammals. In 
addition, care will be taken when emptying the trawl to avoid damage to 
marine mammals that may be caught in the gear but are not visible upon 
retrieval. The gear will be emptied as quickly as possible after 
retrieval in order to determine whether or not marine mammals are 
present. The vessel's crew will clean trawl nets prior to deployment to 
remove prey items that might attract marine mammals. Catch volumes are 
typically small with every attempt made to collect all organisms caught 
in the trawl.
    Marine mammal excluder devices--Excluder devices are specialized 
modifications, typically used in trawl nets, which are designed to 
reduce bycatch by allowing non-target taxa to escape the net. These 
devices generally consist of a grid of bars fitted into the net that 
allow target species to pass through the bars into the codend while 
larger, unwanted taxa (e.g., turtles, sharks, mammals) strike the bars 
and are ejected through an opening in the net. Marine turtle bycatch in 
the commercial shrimp trawl industry led to the development of turtle 
excluder devices (TED) (e.g., Mitchell et al., 1995) in the 1970s. TEDs 
are perhaps the most commonly used excluder devices, but devices 
designed specifically for the exclusion of marine mammals have also 
been developed for various fisheries around the world where marine 
mammal interactions are problematic (e.g., Gibson and Isakssen, 1998; 
Northridge, 2003).
    Similar to TEDs, MMEDs generally consist of a large aluminum grate 
positioned in the intermediate portion of the net forward of the codend 
and below an escape opening constructed into the upper net panel above 
the grate. These devices enable target species to pass through a grid 
or mesh barrier and into the codend while preventing the passage of 
marine mammals, which are ejected out through an escape opening or swim 
back out of the mouth of the net. The angled aluminum grate is intended 
to guide marine mammals through the escape opening. For full details of 
design and testing of the SWFSC MMED designed for the Nordic 264 net, 
please see Dotson et al. (2010). All Nordic 264 trawl nets will be 
fitted with MMEDs to allow marine mammals caught during trawling 
operations an opportunity to escape.
    MMEDs have not been proven to be fully effective at preventing 
marine mammal capture in trawl nets (e.g., Chilvers, 2008) and are not 
expected to prevent marine mammal capture in SWFSC trawl surveys. It is 
difficult to effectively test such devices, in terms of effectiveness 
in excluding marine mammals as opposed to effects on target species 
catchability, because realistic field trials would necessarily involve 
marine mammal interactions with trawl nets. Use of artificial 
surrogates in field trials has not been shown to be a realistic 
substitute (Gibson and Isakssen, 1998). Nevertheless, we believe it 
reasonable to assume that use of MMEDs may reduce the likelihood of a 
given marine mammal interaction with trawl gear resulting in mortality. 
We do not infer causality, but note that annual marine mammal 
interactions with the Nordic 264 trawl net have been much reduced 
(relative to 2008) since use of the MMED began (see Table 10).
    Two types of nets are used in SWFSC pelagic trawl surveys: The 
Nordic 264 and the modified-Cobb midwater trawls. As noted, all Nordic 
264 nets are outfitted with excluder devices developed specifically for 
SWFSC survey operations. Modified-Cobb trawl nets are considerably 
smaller than Nordic 264 trawl nets (80 m\2\ versus 380 m\2\ net 
opening), are fished at slower speeds, and have a different shape and 
functionality than the Nordic 264. Very few marine mammal interactions 
with SWFSC pelagic trawl gear have involved the modified-Cobb net (five 
of thirty total incidents from 2006-14; Table 10). Due to the smaller 
size and different functionality of the modified-Cobb, there is no 
suitable MMED yet available. However, the SWFSC plans to perform 
research and design work to develop an effective excluder, if possible, 
which will not appreciably affect the catchability of the net and 
therefore maintain continuity of the fisheries research dataset. Please 
see ``Proposed Monitoring and Reporting'' for additional discussion.
    Acoustic deterrent devices--Acoustic deterrent devices (pingers) 
are underwater sound-emitting devices that have been shown to decrease 
the probability of interactions with certain species of marine mammals 
when fishing gear is fitted with the devices. Multiple studies have 
reported large decreases in harbor porpoise mortality (approximately 
eighty to ninety percent) in bottom-set gillnets (nets composed of 
vertical panes of netting, typically set in a straight line and either 
anchored to the bottom or drifting) during controlled experiments 
(e.g., Kraus et al., 1997; Trippel et al., 1999; Gearin et al., 2000). 
Using commercial fisheries data rather than a controlled experiment, 
Palka et al. (2008) reported that harbor porpoise bycatch rates in the 
northeast U.S gillnet fishery when fishing without pingers was about 
two to three times higher compared to when pingers were used. After 
conducting a controlled experiment in a California drift gillnet

[[Page 8182]]

fishery during 1996-97, Barlow and Cameron (2003) reported 
significantly lower bycatch rates when pingers were used for all 
cetacean species combined, all pinniped species combined, and 
specifically for short-beaked common dolphins (85 percent reduction) 
and California sea lions (69 percent reduction). While not a 
statistically significant result, catches of Pacific white-sided 
dolphins (which are historically one of the most frequently captured 
species in SWFSC surveys; see Table 10) were reduced by seventy 
percent. Carretta et al. (2008) subsequently examined nine years of 
observer data from the same drift gillnet fishery and found that pinger 
use had eliminated beaked whale bycatch. Carretta and Barlow (2011) 
assessed the long-term effectiveness of pingers in reducing marine 
mammal bycatch in the California drift gillnet fishery by evaluating 
fishery data from 1990-2009 (with pingers in use beginning in 1996), 
finding that bycatch rates of cetaceans were reduced nearly fifty 
percent in sets using a sufficient number of pingers. However, in 
contrast to the findings of Barlow and Cameron (2003), they report no 
significant difference in pinniped bycatch.
    To be effective, a pinger must emit a signal that is sufficiently 
aversive to deter the species of concern, which requires that the 
signal is perceived while also deterring investigation. In rare cases, 
aversion may be learned as a warning when an animal has survived 
interaction with gear fitted with pingers (Dawson, 1994). The 
mechanisms by which pingers work in operational settings are not fully 
understood, but field trials and captive studies have shown that sounds 
produced by pingers are aversive to harbor porpoises (e.g., Laake et 
al., 1998; Kastelein et al., 2000; Culik et al., 2001), and it is 
assumed that when marine mammals are deterred from interacting with 
gear fitted with pingers that it is because the sounds produced by the 
devices are aversive. Two primary concerns expressed with regard to 
pinger effectiveness in reducing marine mammal bycatch relate to 
habituation (i.e., marine mammals may become habituated to the sounds 
made by the pingers, resulting in increasing bycatch rates over time; 
Dawson, 1994; Cox et al., 2001; Carlstr[ouml]m et al., 2009) and the 
``dinner bell effect'' (Dawson, 1994; Richardson et al., 1995), which 
implies that certain predatory marine mammal species (e.g., sea lions) 
may come to associate pingers with a food source (e.g., fish caught in 
nets) with the result that bycatch rates may be higher in nets with 
pingers than in those without.
    Palka et al. (2008) report that habituation has not occurred on a 
level that affects the bycatch estimate for the northeast U.S. gillnet 
fishery, while cautioning that the data studied do not provide a direct 
method to study habituation. Similarly, Carretta and Barlow (2011) 
report that habituation is not apparent in the California drift gillnet 
fishery, with the proportion of pinger-fitted sets with bycatch not 
significantly different for either cetaceans or pinnipeds between the 
periods 1996-2001 and 2001-09; in fact, bycatch rates for both taxa 
overall were lower in the latter period. We are not aware of any long-
term behavioral studies investigating habituation. Bycatch rates of 
California sea lions, specifically, did increase during the latter 
period. However, the authors do not attribute the increase to pinger 
use (i.e., the ``dinner bell effect''); rather, they believe that 
continuing increases in population abundance for the species (Carretta 
et al., 2014) coincident with a decline in fishery effort are 
responsible for the increased rate of capture. Despite these potential 
limitations on the effectiveness of pingers, and while effectiveness 
has not been tested on trawl gear, we believe that the available 
evidence supports an assumption that use of pingers is likely to reduce 
the potential for marine mammal interactions with SWFSC trawl gear.
    If one assumes that use of a pinger is effective in deterring 
marine mammals from interacting with fishing gear, one must therefore 
assume that receipt of the acoustic signal has a disturbance effect on 
those marine mammals (i.e., Level B harassment). However, Level B 
harassment that may be incurred as a result of SWFSC use of pingers 
does not constitute take that must be authorized under the MMPA. The 
MMPA prohibits the taking of marine mammals by U.S. citizens or within 
the U.S. EEZ unless such taking is appropriately permitted or 
authorized. However, the MMPA provides several narrowly defined 
exemptions from this requirement (e.g., for Alaskan natives; for 
defense of self or others; for Good Samaritans [16 U.S.C. 1371(b)-
(d)]). Section 109(h) of the MMPA (16 U.S.C. 1379(h)) allows for the 
taking of marine mammals in a humane manner by federal, state, or local 
government officials or employees in the course of their official 
duties if the taking is necessary for ``the protection or welfare of 
the mammal,'' ``the protection of the public health and welfare,'' or 
``the non-lethal removal of nuisance animals.'' SWFSC use of pingers as 
a deterrent device, which may cause Level B harassment of marine 
mammals, is intended solely for the avoidance of potential marine 
mammal interactions with SWFSC research gear (i.e., avoidance of Level 
A harassment, serious injury, or mortality). Therefore, use of such 
deterrent devices, and the taking that may result, is for the 
protection and welfare of the mammal and is covered explicitly under 
MMPA section 109(h)(1)(A). Potential taking of marine mammals resulting 
from SWFSC use of pingers is not discussed further in this document.
    Pingers will be deployed during all pelagic trawl operations and on 
all types of midwater trawl nets (i.e., the Nordic 264 and modified-
Cobb nets), with two to four pingers placed along the footrope and/or 
headrope. The vessel's crew will ensure that pingers are operational 
prior to deployment. Pingers are manufactured by STM Products (Model 
DDD-03H), with the following attributes: (1) Operational depth of 10-
200 m; (2) tones range from 100 ms to seconds in duration; (3) variable 
frequency of 5-500 kHz; and (4) maximum source level of 176 dB rms re 1 
[mu]Pa at 30-80 kHz. Please see ``Marine Mammal Hearing'' below for 
reference to functional and best hearing ranges for marine mammals 
present in the CCE.
    AMLR bottom trawl surveys--The SWFSC has no documented interactions 
with marine mammals in bottom trawl gear used periodically in the AMLR, 
and standard trawl protocols described above are not required for these 
surveys. Please see ``Potential Effects of the Specified Activity on 
Marine Mammals and Their Habitat'' for further discussion of this gear. 
However, SWFSC staff conduct visual and acoustic surveys prior to 
deploying bottom trawl gear to assess the bathymetry and whether marine 
mammals are present in the area. These visual and acoustic surveys have 
resulted in very few detections of marine mammals during trawling 
operations. Visual and acoustic monitoring will continue as a regular 
part of future bottom trawl surveys in the AMLR study area, and if 
detections increase, indicating a higher potential for marine mammal 
interactions, we will consider the need to implement the standard trawl 
protocols described above during AMLR bottom trawl surveys.

Longline Survey Visual Monitoring and Operational Protocols

    Visual monitoring requirements for all pelagic longline surveys are 
the same as those described above for trawl surveys. Please see that 
section for full details of the visual monitoring and ``move-on''

[[Page 8183]]

protocols. These protocols are not required for bottom longline or 
vertical longline operations, as there have been no documented marine 
mammal interactions for SWFSC use of these gears and because we believe 
there is very little risk of interaction even without these measures. 
Please see ``Potential Effects of the Specified Activity on Marine 
Mammals and Their Habitat'' for further discussion of these gears. In 
summary, requirements for pelagic longline surveys are to: (1) Conduct 
visual monitoring for a period not less than thirty minutes prior to 
arrival on station; (2) implement the ``move-on rule'' if marine 
mammals are observed within a 1-nm exclusion zone around the vessel; 
(3) deploy gear as soon as possible upon arrival on station (contingent 
on clearance of the exclusion zone); and (4) maintain visual monitoring 
effort throughout deployment and retrieval of the longline gear. As was 
described for trawl gear, the OOD, CS, or watch leader will use best 
professional judgment to minimize the risk to marine mammals from 
potential gear interactions during deployment and retrieval of gear. If 
marine mammals are detected during setting operations and are 
considered to be at risk, immediate retrieval or suspension of 
operations may be warranted. If operations have been suspended because 
of the presence of marine mammals, the vessel will resume setting (when 
practicable) only when the animals are believed to have departed the 1-
nm exclusion zone. If marine mammals are detected during retrieval 
operations and are considered to be at risk, haul-back may be 
postponed. These decisions are at the discretion of the OOD/CS and are 
dependent on the situation.
    We propose one exception to these requirements for longline gear. 
If five or fewer California sea lions are sighted within the 1-nm 
exclusion zone during the thirty-minute pre-clearance period, longline 
gear may be deployed (observations of more than five California sea 
lions would trigger the ``move-on rule'' or suspension of gear 
deployment or retrieval, as appropriate and, for the latter, as 
indicated by best professional judgment). This exception has been 
defined in an effort to strike a balance between the rarity of past 
interactions between longline gear and California sea lions and the 
increasing abundance of the species in order to preserve practicability 
of implementation. Given the anecdotally-observed density of California 
sea lions in the areas where longline surveys are conducted, the SWFSC 
believes that implementation of, for example, the ``move-on rule'' upon 
observation of five or fewer California sea lions would preclude 
sampling in some areas and introduce significant bias into survey 
results. The SWFSC believes that a group size threshold of six 
represents a reasonable trigger that would allow sampling in areas 
where target species are likely to be caught without increasing the 
number of interactions between California sea lions and longline gear.
    As for trawl surveys, some standard survey protocols are expected 
to minimize the potential for marine mammal interactions. Typical soak 
times are two to four hours, measured from the time the last hook is in 
the water to when the first hook is brought out of the water (but may 
be as long as eight hours when targeting swordfish). SWFSC longline 
protocols specifically prohibit chumming (releasing additional bait to 
attract target species to the gear). However, spent bait may be 
discarded during gear retrieval while gear is still in the water. SWFSC 
believes from prior experience that this practice increases survey 
efficiency and notes that it has not resulted in marine mammal 
interactions. Anecdotal observations indicate that pinnipeds do not 
gather immediately aft of the survey vessel as a result of discarding 
spent bait. However, if marine mammal interactions with longline gear 
increase or if SWFSC staff observe that this practice may contribute to 
increased potential for interactions, we will consider the need to 
retain spent bait until all gear is retrieved.
    We have carefully evaluated the SWFSC's proposed mitigation 
measures and considered a range of other measures in the context of 
ensuring that we prescribed the means of effecting the least 
practicable adverse impact on the affected marine mammal species and 
stocks and their habitat. Our evaluation of potential measures included 
consideration of the following factors in relation to one another: (1) 
The manner in which, and the degree to which, the successful 
implementation of the measure is expected to minimize adverse impacts 
to marine mammals, (2) the proven or likely efficacy of the specific 
measure to minimize adverse impacts as planned; and (3) the 
practicability of the measure for applicant implementation.
    Any mitigation measure(s) we prescribe should be able to 
accomplish, have a reasonable likelihood of accomplishing (based on 
current science), or contribute to the accomplishment of one or more of 
the general goals listed below:
    (1) Avoidance or minimization of injury or death of marine mammals 
wherever possible (goals 2, 3, and 4 may contribute to this goal).
    (2) A reduction in the number (total number or number at 
biologically important time or location) of individual marine mammals 
exposed to stimuli expected to result in incidental take (this goal may 
contribute to 1, above, or to reducing takes by behavioral harassment 
only).
    (3) A reduction in the number (total number or number at 
biologically important time or location) of times any individual marine 
mammal would be exposed to stimuli expected to result in incidental 
take (this goal may contribute to 1, above, or to reducing takes by 
behavioral harassment only).
    (4) A reduction in the intensity of exposure to stimuli expected to 
result in incidental take (this goal may contribute to 1, above, or to 
reducing the severity of behavioral harassment only).
    (5) Avoidance or minimization of adverse effects to marine mammal 
habitat, paying particular attention to the prey base, blockage or 
limitation of passage to or from biologically important areas, 
permanent destruction of habitat, or temporary disturbance of habitat 
during a biologically important time.
    (6) For monitoring directly related to mitigation, an increase in 
the probability of detecting marine mammals, thus allowing for more 
effective implementation of the mitigation.
    Based on our evaluation of the SWFSC's proposed measures, as well 
as other measures we considered, we have preliminarily determined that 
the proposed mitigation measures provide the means of effecting the 
least practicable adverse impact on marine mammal species or stocks and 
their habitat, paying particular attention to rookeries, mating 
grounds, and areas of similar significance.

Description of Marine Mammals in the Area of the Specified Activity

    We have reviewed SWFSC's species descriptions--which summarize 
available information regarding status and trends, distribution and 
habitat preferences, behavior and life history, and auditory 
capabilities of the potentially affected species--for accuracy and 
completeness and refer the reader to Sections 3 and 4 of SWFSC's 
application, as well as to NMFS' Stock Assessment Reports (SARs; 
www.nmfs.noaa.gov/pr/sars/), instead of reprinting the information 
here. Tables 3-5 list all species with expected potential for 
occurrence in the specified

[[Page 8184]]

geographical regions where SWFSC proposes to conduct the specified 
activity and summarize information related to the population or stock, 
including potential biological removal (PBR). For taxonomy, we follow 
Committee on Taxonomy (2014). PBR, defined by the MMPA as the maximum 
number of animals, not including natural mortalities, that may be 
removed from a marine mammal stock while allowing that stock to reach 
or maintain its optimum sustainable population, is discussed in greater 
detail later in this document (see ``Negligible Impact Analyses''). 
Species that could potentially occur in the proposed research areas but 
are not expected to have the potential for interaction with SWFSC 
research gear or that are not likely to be harassed by SWFSC's use of 
active acoustic devices are described briefly but omitted from further 
analysis. These include extralimital species, which are species that do 
not normally occur in a given area but for which there are one or more 
occurrence records that are considered beyond the normal range of the 
species.
    For status of species, we provide information regarding U.S. 
regulatory status under the MMPA and ESA but also provide International 
Union for the Conservation of Nature (IUCN) status for some species in 
the ETP and AMLR, where stocks are generally not defined by NMFS. The 
IUCN systematically assesses the relative risk of extinction for 
terrestrial and aquatic plant and animal species via a classification 
scheme using five designations, including three threatened categories 
(Critically Endangered, Endangered, and Vulnerable) and two non-
threatened categories (Near Threatened and Least Concern) (IUCN, 2014). 
These assessments are generally made relative to the species' global 
status, and therefore may have limited applicability when marine mammal 
stocks are defined because we analyze the potential population-level 
effects of the specified activity to the relevant stock. However, where 
stocks are not defined, IUCN status can provide a useful reference.
    Marine mammal abundance estimates presented in this document 
represent the total number of individuals that make up a given stock or 
the total number estimated within a particular study area. NMFS' stock 
abundance estimates for most species represent the total estimate of 
individuals within the geographic area, if known, that comprises that 
stock. For some species, this geographic area may extend beyond U.S. 
waters. Survey abundance (as compared to stock or species abundance) is 
the total number of individuals estimated within the survey area, which 
may or may not align completely with a stock's geographic range as 
defined in the SARs. These surveys may also extend beyond U.S. waters.

California Current Ecosystem

    In the CCE, 34 species (with forty managed stocks) are considered 
to have the potential to co-occur with SWFSC activities. Extralimital 
species or stocks in the CCE include the Bryde's whale (Balaenoptera 
edeni brydei) and the North Pacific right whale (Eubalaena japonica). 
In addition, the sea otter is found in coastal waters of the CCE, with 
the southern sea otter (Enhydra lutris nereis) found in California and 
the northern (or eastern) sea otter (E. l. kenyoni; Washington stock 
only) found in Washington. However, sea otters are managed by the U.S. 
Fish and Wildlife Service and are not considered further in this 
document. Most survey activity occurs offshore and is therefore less 
likely to interact with coastal species such as harbor porpoise, the 
coastal stock of bottlenose dolphin, or gray whales (during the 
northbound migration), although these species are considered further in 
this document. All managed stocks in the CCE are assessed in NMFS' U.S. 
Pacific SARs (e.g., Carretta et al., 2014), with the exception of the 
west coast transient stock of killer whales, the eastern North Pacific 
stock of the northern fur seal, and the eastern stock of the Steller 
sea lion, which are considered in the U.S. Alaska SARs (e.g., Allen and 
Angliss, 2014). All values presented in Table 3 are from the most 
recent SARs (i.e., 2013).
    Two populations of gray whales are recognized, eastern and western 
North Pacific (ENP and WNP). WNP whales are known to feed in the 
Okhotsk Sea and off of Kamchatka before migrating south to poorly known 
wintering grounds, possibly in the South China Sea. The two populations 
have historically been considered geographically isolated from each 
other; however, recent data from satellite-tracked whales indicate that 
there is some overlap between the stocks. Two WNP whales were tracked 
from Russian foraging areas along the Pacific rim to Baja California 
(Mate et al., 2011), and, in one case where the satellite tag remained 
attached to the whale for a longer period, a WNP whale was tracked from 
Russia to Mexico and back again (IWC, 2012). Between 22-24 WNP whales 
are known to have occurred in the eastern Pacific through comparisons 
of ENP and WNP photo-identification catalogs (IWC, 2012; Weller et al., 
2011; Burdin et al., 2011), and WNP animals comprised 8.1 percent of 
gray whales identified during a recent field season off of Vancouver 
Island (Weller et al., 2012). In addition, two genetic matches of WNP 
whales have been recorded off of Santa Barbara, CA (Lang et al., 2011). 
More recently, Urban et al. (2013) compared catalogs of photo-
identified individuals from Mexico with photographs of whales off 
Russia and reported a total of 21 matches. Therefore, a portion of the 
WNP population is assumed to migrate, at least in some years, to the 
eastern Pacific during the winter breeding season.
    However, the SWFSC does not believe that any gray whale (WNP or 
ENP) would be likely to interact with its research gear, and the 
likelihood of a WNP gray whale being exposed to underwater sound 
produced by the specified activity is so low as to be discountable. For 
example, of the approximately 20,000 gray whales migrating annually 
through the Southern California Bight, it is extremely unlikely that 
one in close proximity to SWFSC research activity would be one of the 
approximately twenty WNP whales that have been documented in the 
eastern Pacific (less than one percent probability). The likelihood 
that a WNP whale would interact with SWFSC research gear or be exposed 
to elevated levels of sound from the specified activities is 
insignificant and discountable, and WNP gray whales are omitted from 
further analysis.

[[Page 8185]]



                           Table 3--Marine Mammals Potentially Present in the Vicinity of SWFSC Research Activities in the CCE
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                    Stock abundance (CV,
                                                                                 ESA/MMPA status;     Nmin, most recent                     Annual M/SI
           Common name                Scientific name            Stock           Strategic  (Y/N)    abundance  survey)         PBR             \3\
                                                                                       \1\                   \2\
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                          Order Cetartiodactyla--Cetacea--Superfamily Mysticeti (baleen whales)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                  Family Eschrichtiidae
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gray whale.......................  Eschrichtius          Eastern North         --; N                19,126 (0.071;                   558        \13\ 127
                                    robustus.             Pacific.                                   18,017; 2007).
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                            Family Balaenopteridae (rorquals)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Humpback whale...................  Megaptera             California/Oregon/    E/D; Y               1,918 (0.03; 1,855;          \12\ 22           >=5.5
                                    novaeangliae kuzira.  Washington (CA/OR/                         2011).
                                                          WA).
Minke whale......................  Balaenoptera          CA/OR/WA............  --; N                478 (1.36; 202;                    2               0
                                    acutorostrata                                                    2008).
                                    scammoni.
Sei whale........................  B. borealis borealis  Eastern North         E/D; Y               126 (0.53; 83; 2008)            0.17               0
                                                          Pacific.
Fin whale........................  B. physalus physalus  CA/OR/WA............  E/D; Y               3,051 (0.18; 2,598;               16             2.2
                                                                                                     2008).
Blue whale.......................  B. musculus musculus  Eastern North         E/D; Y               1,647 (0.07; 1,551;         \12\ 9.3             1.9
                                                          Pacific.                                   2011).
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                            Superfamily Odontoceti (toothed whales, dolphins, and porpoises)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                   Family Physeteridae
--------------------------------------------------------------------------------------------------------------------------------------------------------
Sperm whale......................  Physeter              CA/OR/WA............  E/D; Y               971 (0.31; 751;                  1.5               4
                                    macrocephalus.                                                   2008).
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                     Family Kogiidae
--------------------------------------------------------------------------------------------------------------------------------------------------------
Pygmy sperm whale................  Kogia breviceps.....  CA/OR/WA............  --; N                579 (1.02; 271;                  2.7               0
                                                                                                     2008).
Dwarf sperm whale................  K. sima.............  CA/OR/WA \5\........  --; N                Unknown.............            Unk.               0
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                            Family Ziphiidae (beaked whales)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Cuvier's beaked whale............  Ziphius cavirostris.  CA/OR/WA............  --; Y                6,590 (0.55; 4,481;               45               0
                                                                                                     2008).
Baird's beaked whale.............  Berardius bairdii...  CA/OR/WA............  --; N                847 (0.81; 466;                  4.7               0
                                                                                                     2008).
Hubbs' beaked whale..............  Mesoplodon            CA/OR/WA \6\........  --; Y                694 (0.65; 389;                  3.9               0
                                    carlhubbsi.                                                      2008).
Blainville's beaked whale........  M. densirostris.....
Ginkgo-toothed beaked whale......  M. ginkgodens.......
Perrin's beaked whale............  M. perrini..........
Lesser (pygmy) beaked whale......  M. peruvianus.......
Stejneger's beaked whale.........  M. stejnegeri.......
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                   Family Delphinidae
--------------------------------------------------------------------------------------------------------------------------------------------------------
Common bottlenose dolphin........  Tursiops truncatus    CA/OR/WA Offshore...  --; N                1,006 (0.48; 684;                5.5             >=2
                                    truncatus.                                                       2008).
                                                         California Coastal..  --; N                323 (0.13; 290;                  2.4             0.2
                                                                                                     2005).
Striped dolphin..................  Stenella              CA/OR/WA............  --; N                10,908 (0.34; 8,231;              82               0
                                    coeruleoalba.                                                    2008).
Long-beaked common dolphin.......  Delphinus capensis    California..........  --; N                107,016 (0.42;                   610            13.8
                                    capensis.                                                        76,224; 2009).
Short-beaked common dolphin......  D. delphis delphis..  CA/OR/WA............  --; N                411,211 (0.21;                 3,440              64
                                                                                                     343,990; 2008).
Pacific white-sided dolphin......  Lagenorhynchus        CA/OR/WA............  --; N                26,930 (0.28;                    171       \14\ 17.8
                                    obliquidens.                                                     21,406; 2008).
Northern right whale dolphin.....  Lissodelphis          CA/OR/WA............  --; N                8,334 (0.4; 6,019;                48        \14\ 4.8
                                    borealis.                                                        2008).
Risso's dolphin..................  Grampus griseus.....  CA/OR/WA............  --; N                6,272 (0.3; 4,913;                39             1.6
                                                                                                     2008).
Killer whale.....................  Orcinus orca \4\....  West Coast Transient  --; N                243 (n/a; 2006).....             2.4               0
                                                          \7\.

[[Page 8186]]

 
                                                         Eastern North         --; N                240 (0.49; 162;                  1.6               0
                                                          Pacific Offshore.                          2008).
                                                         Eastern North         E/D; Y               85 (n/a; 2012)......            0.14               0
                                                          Pacific Southern
                                                          Resident.
Short-finned pilot whale.........  Globicephala          CA/OR/WA............  --; N                760 (0.64; 465;                  4.6               0
                                    macrorhynchus.                                                   2008).
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                             Family Phocoenidae (porpoises)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Harbor porpoise..................  Phocoena phocoena     Morro Bay...........  --; N                2,917 (0.41; 2,102;               21           >=0.6
                                    vomerina.                                                        2012).
                                                         Monterey Bay........  --; N                3,715 (0.51; 2,480;               25               0
                                                                                                     2011).
                                                         San Francisco-        --; N                9,886 (0.51; 6,625;               66               0
                                                          Russian River.                             2011).
                                                         Northern CA/Southern  --; N                35,769 (0.52;                    475           >=0.6
                                                          OR.                                        23,749; 2011).
                                                         Northern OR/WA Coast  --; N                21,487 (0.44;                    151             >=3
                                                                                                     15,123; 2011).
                                                         Washington Inland     --; N                10,682 (0.38; 7,841;          Undet.           >=2.2
                                                          Waters 8 9.                                2003).
Dall's porpoise..................  Phocoenoides dalli    CA/OR/WA............  --; N                42,000 (0.33;                    257           >=0.4
                                    dalli.                                                           32,106; 2008).
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                         Order Carnivora--Superfamily Pinnipedia
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                      Family Otariidae (eared seals and sea lions)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Guadalupe fur seal...............  Arctocephalus          \(8)\..............  T/D; Y               7,408 (n/a; 3,028;            Undet.          \15\ 0
                                    philippii townsendi.                                             1993).
Northern fur seal................  Callorhinus ursinus.  Pribilof Islands/     D; Y                 639,545 (n/a;                 11,638             471
                                                          Eastern Pacific.                           541,317; 2008-11).
                                                         California..........  --; N                12,844 (n/a; 6,722;              403        \14\ 2.6
                                                                                                     2011).
California sea lion..............  Zalophus              United States.......  --; N                296,750 (n/a;                  9,200      \14\ >=431
                                    californianus.                                                   153,337; 2008).
Steller sea lion.................  Eumetopias jubatus    Eastern U.S. \10\...  D; N                 63,160-78,198 (n/a;            1,552            65.1
                                    monteriensis.                                                    34,485; 2008-11)
                                                                                                     \11\.
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                             Family Phocidae (earless seals)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Harbor seal......................  Phoca vitulina        California..........  --; N                30,196 (n/a; 26,667;           1,600              31
                                    richardii.                                                       2009).
                                                         OR/WA Coast \8\.....  --; N                24,732 (0.12;                 Undet.            10.6
                                                                                                     22,380; 1999).
                                                         Washington Inland     --; N                14,612 (0.15;                 Undet.            13.4
                                                          Waters 8 9.                                12,844; 1999).
Northern elephant seal...........  Mirounga              California Breeding.  --; N                124,000 (n/a;                  4,382          >=10.4
                                    angustirostris.                                                  74,913; 2005).
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Endangered Species Act (ESA) status: Endangered (E), Threatened (T)/MMPA status: Depleted (D). A dash (--) indicates that the species is not listed
  under the ESA or designated as depleted under the MMPA. Under the MMPA, a strategic stock is one for which the level of direct human-caused mortality
  exceeds PBR or which is determined to be declining and likely to be listed under the ESA within the foreseeable future. Any species or stock listed
  under the ESA is automatically designated under the MMPA as depleted and as a strategic stock.
\2\ NMFS marine mammal stock assessment reports at: www.nmfs.noaa.gov/pr/sars/. CV is coefficient of variation; Nmin is the minimum estimate of stock
  abundance. In some cases, CV is not applicable. For two stocks of killer whales, the abundance values represent direct counts of individually
  identifiable animals; therefore there is only a single abundance estimate with no associated CV. For certain stocks of pinnipeds, abundance estimates
  are based upon observations of animals (often pups) ashore multiplied by some correction factor derived from knowledge of the species' (or similar
  species') life history to arrive at a best abundance estimate; therefore, there is no associated CV. In these cases, the minimum abundance may
  represent actual counts of all animals ashore.
\3\ These values, found in NMFS' SARs, represent annual levels of human-caused mortality plus serious injury from all sources combined (e.g., commercial
  fisheries, subsistence hunting, ship strike). Annual M/SI often cannot be determined precisely and is in some cases presented as a minimum value.
\4\ Transient and resident killer whales are considered unnamed subspecies (Committee on Taxonomy, 2014).
\5\ No information is available to estimate the population size of dwarf sperm whales off the U.S. west coast, as no sightings of this species have been
  documented despite numerous vessel surveys of this region (Carretta et al., 2014). Dwarf and pygmy sperm whales are difficult to differentiate at sea
  but, based on previous sighting surveys and historical stranding data, it is thought that recent ship survey sightings were of pygmy sperm whales.

[[Page 8187]]

 
\6\ The six species of Mesoplodont beaked whales occurring in the CCE are managed as a single stock due to the rarity of records and the difficulty in
  distinguishing these animals to species in the field. Based on bycatch and stranding records, it appears that M. carlhubbsi is the most commonly
  encountered of these species (Carretta et al., 2008; Moore and Barlow, 2013). Additional managed stocks in the Pacific include M. stejnegeri in
  Alaskan waters and M. densirostris in Hawaiian waters.
\7\ The abundance estimate for this stock includes only animals from the ``inner coast'' population occurring in inside waters of southeastern Alaska,
  British Columbia, and Washington--excluding animals from the ``outer coast'' subpopulation, including animals from California--and therefore should be
  considered a minimum count. For comparison, the previous abundance estimate for this stock, including counts of animals from California that are now
  considered outdated, was 354.
\8\ Abundance estimates for these stocks are greater than eight years old and are not considered current. PBR is therefore considered undetermined for
  these stocks, as there is no current minimum abundance estimate for use in calculation. We nevertheless present the most recent abundance estimates,
  as these represent the best available information for use in this document.
\9\ Based on location of SWFSC research, no take is likely to occur for Washington inland waters stocks. Therefore, such stocks of harbor porpoise and
  harbor seal are excluded from further analysis.
\10\ The eastern distinct population segment of the Steller sea lion, previously listed as threatened, was delisted under the ESA on December 4, 2013
  (78 FR 66140; November 4, 2013).
\11\ Best abundance is calculated as the product of pup counts and a factor based on the birth rate, sex and age structure, and growth rate of the
  population. A range is presented because the extrapolation factor varies depending on the vital rate parameter resulting in the growth rate (i.e.,
  high fecundity or low juvenile mortality).
\12\ These stocks are known to spend a portion of their time outside the U.S. EEZ. Therefore, only a portion of the PBR presented here is allocated for
  U.S. waters. U.S. PBR allocation is one-quarter of the total for blue whales (2.3) and half the total for humpback whales (11). Annual M/SI presented
  for these species is for U.S. waters only.
\13\ Includes annual Russian harvest of 123 whales.
\14\ These species have been historically taken in SWFSC research surveys (see Tables 10 and 11). Values for total annual human-caused M/SI include 6.0
  Pacific white-sided dolphins, 1.2 northern right whale dolphins, 1.0 northern fur seals (California stock), and 3.0 California sea lions taken
  annually in SWFSC research surveys. Two northern fur seals from the eastern Pacific stock were taken in SWFSC research surveys between 2007-11, but
  these mortalities are not accounted for in the total annual M/SI value presented in the SAR.
\15\ This represents annual M/SI in U.S. waters. However, the vast majority of M/SI for this stock--the level of which is unknown--would likely occur in
  Mexican waters.

    Take reduction planning--Take reduction plans are designed to help 
recover and prevent the depletion of strategic marine mammal stocks 
that interact with certain U.S. commercial fisheries, as required by 
Section 118 of the MMPA. The immediate goal of a take reduction plan is 
to reduce, within six months of its implementation, the M/SI of marine 
mammals incidental to commercial fishing to less than the PBR level. 
The long-term goal is to reduce, within five years of its 
implementation, the M/SI of marine mammals incidental to commercial 
fishing to insignificant levels, approaching a zero serious injury and 
mortality rate, taking into account the economics of the fishery, the 
availability of existing technology, and existing state or regional 
fishery management plans. Take reduction teams are convened to develop 
these plans.
    For marine mammals in the California Current Ecosystem, there is 
currently one take reduction plan in effect (Pacific Offshore Cetacean 
Take Reduction Plan). The goal of this plan is to reduce M/SI of 
several marine mammal stocks incidental to the California thresher 
shark/swordfish drift gillnet fishery (CA DGN). A team was convened in 
1996 and a final plan produced in 1997 (62 FR 51805; October 3, 1997). 
Marine mammal stocks of concern initially included the California, 
Oregon, and Washington stocks for all CCE beaked whales, short-finned 
pilot whales, pygmy sperm whales, sperm whales, and humpback whales. 
The most recent five-year averages of M/SI for these stocks are below 
PBR, and none of these species were taken in the fishery in 2012-13. 
More information is available on the Internet at: www.nmfs.noaa.gov/pr/interactions/trt/poctrp.htm. Of the stocks of concern, the SWFSC has 
requested the authorization of incidental M/SI + Level A for the short-
finned pilot whale only (see ``Estimated Take by Incidental 
Harassment'' later in this document). The most recent reported average 
annual human-caused mortality for short-finned pilot whales (2004-08) 
is zero animals. The SWFSC does not use drift gillnets in its fisheries 
research program; therefore, take reduction measures applicable to the 
CA DGN fisheries are not relevant to the SWFSC.
    Unusual Mortality Events (UME)--A UME is defined under the MMPA as 
``a stranding that is unexpected; involves a significant die-off of any 
marine mammal population; and demands immediate response.'' From 1991 
to the present, there have been fifteen formally recognized UMEs on the 
U.S. west coast involving species under NMFS' jurisdiction. The most 
recent of these, and the only one involving a currently ongoing 
investigation, involved California sea lions. Beginning in January 
2013, elevated strandings of California sea lion pups were observed in 
southern California, with live sea lion strandings nearly three times 
higher than the historical average. Findings to date indicate that a 
likely contributor to the large number of stranded, malnourished pups 
was a change in the availability of sea lion prey for nursing mothers, 
especially sardines. The causes and mechanisms of this UME remain under 
investigation (www.nmfs.noaa.gov/pr/health/mmume/californiasealions2013.htm; accessed May 8, 2014).
    Additional UMEs in the past ten years include those involving 
harbor porpoises in California (2008; cause determined to be ecological 
factors); Guadalupe fur seals in the northwest (2007; undetermined); 
large whales in California (2007; human interaction); cetaceans in 
California (2007; undetermined); and harbor porpoises in the Pacific 
Northwest (2006; undetermined). For more information on UMEs, please 
visit the Internet at: www.nmfs.noaa.gov/pr/health/mmume/ mmume/.

Eastern Tropical Pacific

    In the ETP, 32 species--including multiple stocks for some 
species--are considered to have the potential to co-occur with SWFSC 
activities. As in the CCE, an undifferentiated stock of Mesoplodont 
beaked whales (Mesoplodon spp.) is present, but is not defined in the 
sense that the U.S.-managed CCE stock is. In the ETP, Mesoplodont 
beaked whales likely include Blainville's, ginkgo-toothed, and lesser 
(pygmy) beaked whales, but would encompass any Mesoplodont species 
occurring in the ETP. Although some of the ETP species are the same as 
those found in the CCE, in many cases different stocks or populations 
are present than those found in the CCE. However, because the majority 
of these do not constitute stocks under U.S. jurisdiction, the stocks 
are not managed by NMFS and there are no SARs. Therefore, substantially 
less information is available for these species in relation to the 
stocks or populations and their occurrence in the ETP (e.g., PBR is 
generally not calculated for ETP stocks, and strategic designations are 
not

[[Page 8188]]

made). Extralimital species in the ETP include the pygmy sperm whale, 
southern bottlenose whale (Hyperoodon planifrons), long-finned pilot 
whale (Globicephala melas), Burmeister's porpoise (Phocoena 
spinipinnis), and Dall's porpoise.

                           Table 4--Marine Mammals Potentially Present in the Vicinity of SWFSC Research Activities in the ETP
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                         ESA/MMPA/IUCN    Abundance (CV, Nmin)
             Common name                  Scientific name             Stock \2\           status \3\              \5\                    PBR \16\
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                          Order Cetartiodactyla--Cetacea--Superfamily Mysticeti (baleen whales)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                            Family Balaenopteridae (rorquals)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Humpback whale......................  Megaptera novaeangliae.  CA/OR/WA & Breeding              E/D/LC  \6\ 2,566..............  .......................
                                                                Stock G.
Minke whale.........................  Balaenoptera             .......................           --/LC  \6\ 115................  .......................
                                       acutorostrata scammoni.
Bryde's whale.......................  B. edeni brydei........  Eastern North Pacific &           --/DD  \7\ 10,411 (0.20)......  .......................
                                                                Peruvian.
Sei whale...........................  B. borealis borealis...  .......................          E/D/EN  \6\ 0..................  .......................
Fin whale...........................  B. physalus physalus...  .......................          E/D/EN  \6\ 574................  .......................
Blue whale..........................  B. musculus musculus...  Eastern North Pacific..          E/D/EN  \8\ 1,415 (0.24).......  .......................
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                            Superfamily Odontoceti (toothed whales, dolphins, and porpoises)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                   Family Physeteridae
--------------------------------------------------------------------------------------------------------------------------------------------------------
Sperm whale.........................  Physeter macrocephalus.  .......................          E/D/VU  \7\ 4,145 (0.73).......  .......................
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                     Family Kogiidae
--------------------------------------------------------------------------------------------------------------------------------------------------------
Dwarf sperm whale...................  Kogia sima.............  .......................           --/DD  \8\ 11,200 (0.29;                             88
                                                                                                         8,789).
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                            Family Ziphiidae (beaked whales)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Cuvier's beaked whale...............  Ziphius cavirostris....  .......................           --/LC  8 9 20,000 (0.27)......  .......................
Longman's beaked whale..............  Indopacetus pacificus..  .......................           --/DD  \10\ 1,007 (1.26)......  .......................
Blainville's beaked whale...........  Mesoplodon densirostris  .......................           --/DD  \8\ 25,300 (0.20)......  .......................
Ginkgo-toothed beaked whale.........  M. ginkgodens..........
Lesser (pygmy) beaked whale.........  M. peruvianus..........
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                   Family Delphinidae
--------------------------------------------------------------------------------------------------------------------------------------------------------
Rough-toothed dolphin...............  Steno bredanensis......  .......................           --/LC  \11\ 107,663 (0.22;                          897
                                                                                                         89,653).
Common bottlenose dolphin...........  Tursiops truncatus       .......................           --/LC  \11\ 335,834 (0.20;                        2,850
                                       truncatus.                                                        284,952).
Striped dolphin.....................  Stenella coeruleoalba..  .......................           --/LC  \11\ 964,362 (0.21;                        8,116
                                                                                                         811,592).
Pantropical spotted dolphin.........  S. attenuata attenuata.  Northeastern Offshore..        \4\ --/D  \11\ 857,884 (0.23)....                   12,334
                                                               Western and Southern                 --  \11\ 439,208 (0.29)....  .......................
                                                                Offshore.
                                      S. a. graffmani........  Coastal................        \4\ --/D  \11\ 278,155 (0.59)....  .......................
Spinner dolphin.....................  S. longirostris........  Whitebelly.............              --  734,837 (0.61) \11\....  .......................
                                      S. l. orientalis.......  Eastern................        \4\ --/D  \11\ 1,062,879 (0.26)..  .......................
                                      S. l. centroamericana..  Central American.......              --  Unknown................  .......................
Long-beaked common dolphin..........  Delphinus capensis       .......................           --/DD  \6\ 372,429 (0.36;                         2,787
                                       capensis.                                                         278,651).
Short-beaked common dolphin.........  D. delphis delphis.....  Northern                             --  \11\ 3,127,203 (0.26;                     25,133
                                                               Central................                   2,513,269).
                                                               Southern...............
Fraser's dolphin....................  Lagenodelphis hosei....  .......................           --/LC  \8\ 289,300 (0.34).....  .......................
Dusky dolphin.......................  Lagenorhynchus obscurus  .......................           --/DD  \6\ 40,211.............  .......................
                                       posidonia.
Risso's dolphin.....................  Grampus griseus........  .......................           --/LC  \11\ 110,457 (0.35;                          831
                                                                                                         83,092).
Melon-headed whale..................  Peponocephala electra..  .......................           --/LC  \8\ 45,400 (0.47)......  .......................
Pygmy killer whale..................  Feresa attenuata.......  .......................           --/DD  \8\ 38,990 (0.31)......  .......................
False killer whale..................  Pseudorca crassidens...  .......................           --/DD  \8\ 39,800 (0.64)......                      244
Killer whale........................  Orcinus orca \1\.......  .......................           --/DD  \8\ 8,500 (0.37;         .......................
                                                                                                         24,365).

[[Page 8189]]

 
Short-finned pilot whale............  Globicephala             .......................           --/DD  \7\ 589,315 (0.26;                         4,751
                                       macrorhynchus.                                                    475,141).
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                         Order Carnivora--Superfamily Pinnipedia
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                      Family Otariidae (eared seals and sea lions)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Guadalupe fur seal..................  Arctocephalus philippii  .......................          T/D/NT  12 13 Unknown..........  .......................
                                       townsendi.
California sea lion.................  Zalophus californianus.  .......................           --/LC  12 14 105,000..........                    1,050
South American sea lion.............  Otaria byronia.........  .......................           --/LC  12 15 150,000..........                    1,500
Northern elephant seal..............  Mirounga angustirostris  .......................           --/LC  12 13 Unknown..........  .......................
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Defined ecotypes have not yet been recognized for the ETP, although available evidence (e.g., observed predation on marine mammals, genetic
  analysis) indicates that observed animals may be of the transient ecotype (e.g., Pitman et al., 2007; Olson and Gerrodette, 2008).
\2\ For most species in the ETP, stocks are not delineated and entries refer generally to individuals of the species occurring in the ETP. Coastal
  regions of the ETP include wintering areas for humpback whales from both the northern (CA/OR/WA [i.e., U.S.-managed] stock; M. n. kuzira) and southern
  (Breeding Stock G, which feeds off the Antarctic Peninsula and southern Chile; M. n. australis) hemispheres. The IWC recognizes eastern North Pacific
  and Peruvian stocks of Bryde's whale (Carretta et al., 2007), although Wade and Gerrodette (1993) suggested that Bryde's whales in the ETP may
  comprise two stocks based on a gap in distribution between 7[deg]N and 9[deg]N. The offshore form of the pantropical spotted dolphin is found in
  oceanic tropical waters worldwide, while the coastal form is found only in coastal waters of the ETP. These two forms are recognized as subspecies.
  Offshore spotted dolphins occurring in the ETP are divided into a northeastern and combined western/southern stock. Whitebelly spinner dolphins are
  considered hybrids of the eastern spinner and the Gray's spinner (S. l. longirostris; Gray's spinner is a subspecies found in oceanic tropical waters
  worldwide), and is considered a stock for management purposes. The Central American subspecies is restricted to coastal waters over the ETP shelf,
  from southern Mexico to Costa Rica. The eastern subspecies is found in pelagic waters of the ETP east of 145[deg]W, from 24[deg]N off Baja California
  to 10[deg]S off Peru, exclusive of the range of S. l. centroamericana. Short-beaked common dolphins are divided into northern, central and southern
  stocks, although no recent stock-specific abundance estimates are available. A hiatus at 13-20[deg]N and at about 3[deg]N divide the offshore
  populations into the respective stocks. The central form occurs at 3-18[deg]N and the southern common dolphin ranges from 3[deg]N to at least 13[deg]S
  (Dizon et al. 1994).
\3\ Endangered Species Act (ESA) status: Endangered (E), Threatened (T)/MMPA status: Depleted (D). A dash (--) indicates that the species is not listed
  under the ESA or designated as depleted under the MMPA. Any species listed under the ESA is automatically designated under the MMPA as depleted. IUCN
  status: Endangered (EN), Vulnerable (VU), Near Threatened (NT), Least Concern (LC), Data Deficient (DD). IUCN status not provided for species with
  defined stocks in the ETP.
\4\ These stocks of the genus Stenella are designated as depleted under the MMPA due to high levels of bycatch in the yellowfin tuna purse-seine fishery
  in the eastern tropical Pacific beginning in the 1950s.
\5\ CV is coefficient of variation; Nmin is the minimum estimate of stock abundance. In some cases, CV and/or Nmin is not available. These metrics are
  not applicable to either species of sea lion because population estimates were made based on counts of animals in aerial photographs. These counts are
  considered as actual population size so there is no associated error.
\6\ Unpublished abundance estimates derived by SWFSC from 1998-2000, 2003, and 2006 ETP survey data reported in Kinzey et al. (1999; 2000; 2001) and
  Jackson et al. (2004; 2008). NMFS' policy is that abundance estimates greater than eight years old are not considered current; however, these data
  represent the best available information for these species. CVs were not calculated for these species. Wade and Gerrodette (1993) provide a CV of 0.64
  for false killer whales; it is the highest CV reported in that paper or that we are aware of for the ETP. We suggest here that this is an appropriate
  conservative proxy for species for which there is no calculated CV.
\7\ Abundance estimates derived from 2000 ETP survey data, as reported in Gerrodette and Forcada (2002).
\8\ Abundance estimates derived from 1986-1990 ETP survey data, as reported in Wade and Gerrodette (1993).
\9\ Abundance estimate for Cuvier's beaked whale is considered to be an underestimate, as it is not corrected for animals missed along the survey track
  line. The abundance estimate for unidentified Ziphiids was prorated between Cuvier's beaked whales and Mesoplodon spp.
\10\ Abundance estimate derived from 2002 Hawaiian EEZ survey data, as reported in Barlow (2006).
\11\ Abundance estimates derived from 2006 ETP survey data, as reported in Gerrodette et al. (2008).
\12\ With the exception of the South American sea lion, which is generally observed along the Peruvian coast, all pinniped species are typically sighted
  only at the northern end of the ETPRA along the coast of Baja California.
\13\ The best abundance estimates for all Guadalupe fur seals and for the California breeding population of northern elephant seals are 7,408 and
  124,000, respectively, as reported in NMFS' SARs. However, no estimate specific to the ETP exists for either species.
\14\ Abundance estimate is the sum of estimates for western Baja California, Mexico (75,000-87,000; Lowry and Maravilla-Chavez, 2005) and the Gulf of
  California (24,062-31,159; Szteren et al. 2006). We used the lower bound for Baja California and rounded down the upper bound for the Gulf of
  California for an approximate total abundance of 105,000. Because abundance is based on actual counts, there is no error associated with the estimate.
\15\ Abundance estimate is the sum of estimates for Peru (60,000) and Chile (90,000-100,000) (Campagna, 2008). Although it is unlikely that this entire
  population would occur in the ETPRA, we assume here that it would. Because abundance is based on actual counts, there is no error associated with the
  estimate.
\16\ PBR calculated for this analysis by SWFSC for species anticipated to be taken by M/SI + Level A only using accepted calculations for minimum
  population estimates and PBR (NMFS, 2005) and assuming Fr = 0.5 and Rmax = 0.04 for cetaceans and 0.12 for pinnipeds. A pooled PBR was calculated for
  all stocks of the pantropical spotted dolphin.

Antarctic Marine Living Resources Ecosystem

    The SWFSC's Antarctic Research Area (ARA) comprises a portion of 
the AMLR ecosystem. In the ARA, seventeen species are considered to 
have the potential to co-occur with SWFSC activities. Marine mammals in 
the AMLR do not constitute stocks under U.S. jurisdiction; therefore, 
the stocks are not managed by NMFS, there are no SARs, and 
substantially less information is available for these species in 
relation to the stocks or populations and their occurrence in the ARA 
than is available for CCE stocks (e.g., PBR is not calculated for AMLR 
stocks, and strategic designations are not made). Extralimital species 
in the ARA include the pygmy right whale (Caperea marginata), sei 
whale, Cuvier's beaked whale, Shepherd's beaked whale (Tasmacetus 
shepherdi), Gray's beaked whale (Mesoplodon grayi), and strap-toothed 
beaked whale (M. layardii), which have distributions that only border 
the northernmost edge of the

[[Page 8190]]

ARA. The Ross seal (Ommatophoca rossii) is also considered extralimital 
to the ARA due to its preference for dense pack ice, which is not 
typically present in the ARA.

      Table 5--Marine Mammals Potentially Present in the Vicinity of SWFSC Research Activities in the AMLR
----------------------------------------------------------------------------------------------------------------
                                                                                ESA/MMPA
           Common name               Scientific name         Stock \2\         status \3\     Abundance (CV) \4\
----------------------------------------------------------------------------------------------------------------
                      Order Cetartiodactyla--Cetacea--Superfamily Mysticeti (baleen whales)
----------------------------------------------------------------------------------------------------------------
                                        Family Balaenidae (right whales)
----------------------------------------------------------------------------------------------------------------
Southern right whale.............  Eubalaena australis  ...................          E/D/LC  \5\ 1,755 (0.62)
----------------------------------------------------------------------------------------------------------------
                                        Family Balaenopteridae (rorquals)
----------------------------------------------------------------------------------------------------------------
Humpback whale...................  Megaptera            ...................          E/D/LC  \5\ 9,484 (0.28)
                                    novaeangliae
                                    australis.
Antarctic minke whale............  Balaenoptera         ...................           --/DD  \5\ 18,125 (0.28)
                                    bonaerensis.
Fin whale........................  B. physalus quoyi..  ...................          E/D/EN  \5\ 4,672 (0.42)
Blue whale.......................  B. musculus          ...................          E/D/EN  \6\ 1,700 (95% CI
                                    intermedia.                                               860-2,900)
----------------------------------------------------------------------------------------------------------------
                        Superfamily Odontoceti (toothed whales, dolphins, and porpoises)
----------------------------------------------------------------------------------------------------------------
                                               Family Physeteridae
----------------------------------------------------------------------------------------------------------------
Sperm whale......................  Physeter             ...................          E/D/VU  \7\ 12,069 (0.17)
                                    macrocephalus.
----------------------------------------------------------------------------------------------------------------
                                        Family Ziphiidae (beaked whales)
----------------------------------------------------------------------------------------------------------------
Arnoux' beaked whale.............  Berardius arnuxii..  ...................           --/DD  Unknown.
----------------------------------------------------------------------------------------------------------------
Southern bottlenose whale........  Hyperoodon           ...................           --/LC  \8\ 53,743 (0.12)
                                    planifrons.
----------------------------------------------------------------------------------------------------------------
                                               Family Delphinidae
----------------------------------------------------------------------------------------------------------------
Hourglass dolphin................  Lagenorhynchus       ...................           --/LC  \9\ 144,300 (0.17)
                                    cruciger.
Killer whale.....................  Orcinus orca \1\...  ...................           --/DD  \8\ 24,790 (0.23)
Long-finned pilot whale..........  Globicephala melas   ...................           --/DD  \9\ 200,000 (0.35)
                                    edwardii.
----------------------------------------------------------------------------------------------------------------
                                         Family Phocoenidae (porpoises)
----------------------------------------------------------------------------------------------------------------
Spectacled porpoise..............  Phocoena dioptrica.  ...................           --/DD  Unknown.
----------------------------------------------------------------------------------------------------------------
                                     Order Carnivora--Superfamily Pinnipedia
----------------------------------------------------------------------------------------------------------------
                                  Family Otariidae (eared seals and sea lions)
----------------------------------------------------------------------------------------------------------------
Antarctic fur seal...............  Arctocephalus        South Georgia......           --/LC  \10\ 2,700,000
                                    gazella.
----------------------------------------------------------------------------------------------------------------
                                         Family Phocidae (earless seals)
----------------------------------------------------------------------------------------------------------------
Southern elephant seal...........  Mirounga leonina...  South Georgia......           --/LC  \11\ 401,572
Weddell seal.....................  Leptonychotes        ...................           --/LC  \12\ 500,000-
                                    weddellii.                                                1,000,000
Crabeater seal...................  Lobodon              ...................           --/LC  \12\ 5,000,000-
                                    carcinophaga.                                             10,000,000
Leopard seal.....................  Hydrurga leptonyx..  ...................           --/LC  \12\ 222,000-
                                                                                              440,000
----------------------------------------------------------------------------------------------------------------
\1\ Three distinct forms of killer whale have been described from Antarctic waters; referred to as types A, B,
  and C, they are purported prey specialists on Antarctic minke whales, seals, and fish, respectively (Pitman
  and Ensor, 2003).
\2\ For most species in the AMLR, stocks are not delineated and entries refer generally to individuals of the
  species occurring in the ARA.
\3\ Endangered Species Act (ESA) status: Endangered (E), Threatened (T)/MMPA status: Depleted (D). A dash (--)
  indicates that the species is not listed under the ESA or designated as depleted under the MMPA. Any species
  listed under the ESA is automatically designated under the MMPA as depleted. IUCN status: Endangered (EN),
  Vulnerable (VU), Least Concern (LC), Data Deficient (DD).
\4\ CV is coefficient of variation. All abundance estimates, except for those from Reilly et al. (2004) (right,
  humpback, minke, and fin whales), are for entire Southern Ocean (i.e., waters south of 60[deg]S) and not the
  smaller area comprising the SWFSC ARA.
\5\ Abundance estimates reported in Reilly et al. (2004) for the Commission for the Conservation of Antarctic
  Marine Living Resources (CCAMLR) survey area from 2000. Surveys include Antarctic Peninsula (473,300 km\2\)
  and Scotia Sea (1,109,800 km\2\) strata, which correspond roughly to ARA, as reported by Hewitt et al. (2004).
\6\ Southern Ocean abundance estimate (Branch et al., 2007). CI is confidence interval.
\7\ Southern Ocean abundance estimate (IWC, 2001 in Whitehead, 2002).
\8\ Southern Ocean abundance estimate from circumpolar surveys covering 68 percent of waters south of 60[deg]S
  from 1991-98 (Branch and Butterworth, 2001).
\9\ Southern Ocean abundance estimate derived from surveys conducted from 1976-88 (Kasamatsu and Joyce, 1995).
\10\ South Georgia abundance estimate; likely >95 percent of range-wide abundance (Forcada and Staniland, 2009).
  Genetic evidence shows two distinct population regions, likely descended from surviving post-sealing
  populations at South Georgia, Bouvet[oslash]ya, and Kerguelen Islands (Wynen et al., 2000; Forcada and
  Staniland, 2009). Individuals from the South Georgia population (including breeding populations at the South
  Orkney and South Shetland Islands, which are within the ARA) are likely to occur in the ARA.

[[Page 8191]]

 
\11\ Four genetically distinct populations are recognized: The Peninsula Vald[eacute]s population in Argentina,
  the South Georgia population in the South Atlantic Ocean, the Kerguelen population in the South Indian Ocean
  and the Macquarie population in the South Pacific Ocean (Slade et al., 1998; Hoelzel et al., 2001). Animals
  occurring in ARA are likely to belong to South Georgia population, which includes subpopulations at South
  Georgia Island (>=99% of population) and at the South Orkney and South Shetland Islands; South Georgia
  population abundance estimate from 2001 (McMahon et al., 2005).
\12\ Range-wide abundance estimates (Thomas and Terhune, 2009; Bengtson, 2009; Rogers, 2009).

Potential Effects of the Specified Activity on Marine Mammals and Their 
Habitat

    This section includes a summary and discussion of the ways that 
components of the specified activity (e.g., gear deployment, use of 
active acoustic sources, visual disturbance) may impact marine mammals 
and their habitat. The ``Estimated Take by Incidental Harassment'' 
section later in this document will include a quantitative analysis of 
the number of individuals that are expected to be taken by this 
activity. The ``Negligible Impact Analysis'' section will include an 
analysis of how this specific activity will impact marine mammals and 
will consider the content of this section, the ``Estimated Take by 
Incidental Harassment'' section, and the ``Proposed Mitigation'' 
section, to draw conclusions regarding the likely impacts of this 
activity on the reproductive success or survivorship of individuals and 
from that on the affected marine mammal populations or stocks. In the 
following discussion, we consider potential effects to marine mammals 
from ship strike, physical interaction with the gear types described 
previously, use of active acoustic sources, and visual disturbance of 
pinnipeds.

Ship Strike

    Vessel collisions with marine mammals, or ship strikes, can result 
in death or serious injury of the animal. Wounds resulting from ship 
strike may include massive trauma, hemorrhaging, broken bones, or 
propeller lacerations (Knowlton and Kraus, 2001). An animal at the 
surface may be struck directly by a vessel, a surfacing animal may hit 
the bottom of a vessel, or an animal just below the surface may be cut 
by a vessel's propeller. More superficial strikes may not kill or 
result in the death of the animal. These interactions are typically 
associated with large whales (e.g., fin whales), which are occasionally 
found draped across the bulbous bow of large commercial ships upon 
arrival in port. Although smaller cetaceans or pinnipeds are more 
maneuverable in relation to large vessels than are large whales, they 
may also be susceptible to strike. The severity of injuries typically 
depends on the size and speed of the vessel, with the probability of 
death or serious injury increasing as vessel speed increases (Knowlton 
and Kraus, 2001; Laist et al., 2001; Vanderlaan and Taggart, 2007; Conn 
and Silber, 2013). Impact forces increase with speed, as does the 
probability of a strike at a given distance (Silber et al., 2010; Gende 
et al., 2011).
    Pace and Silber (2005) found that the probability of death or 
serious injury increased rapidly with increasing vessel speed. 
Specifically, the predicted probability of serious injury or death 
increased from 45 to 75 percent as vessel speed increased from 10 to 14 
kn, and exceeded ninety percent at 17 kn. Higher speeds during 
collisions result in greater force of impact, but higher speeds also 
appear to increase the chance of severe injuries or death through 
increased likelihood of collision by pulling whales toward the vessel 
(Clyne, 1999; Knowlton et al., 1995). In a separate study, Vanderlaan 
and Taggart (2007) analyzed the probability of lethal mortality of 
large whales at a given speed, showing that the greatest rate of change 
in the probability of a lethal injury to a large whale as a function of 
vessel speed occurs between 8.6 and 15 kn. The chances of a lethal 
injury decline from approximately eighty percent at 15 kn to 
approximately twenty percent at 8.6 kn. At speeds below 11.8 kn, the 
chances of lethal injury drop below fifty percent, while the 
probability asymptotically increases toward one hundred percent above 
15 kn.
    In an effort to reduce the number and severity of strikes of the 
endangered North Atlantic right whale (Eubalaena glacialis), NMFS 
implemented speed restrictions in 2008 (73 FR 60173; October 10, 2008). 
These restrictions require that vessels greater than or equal to 65 ft 
(19.8 m) in length travel at less than or equal to 10 kn near key port 
entrances and in certain areas of right whale aggregation along the 
U.S. eastern seaboard. Conn and Silber (2013) estimated that these 
restrictions reduced total ship strike mortality risk levels by eighty 
to ninety percent.
    For vessels used in SWFSC research activities, transit speeds 
average 10 kn (but vary from 6-14 kn), while vessel speed during active 
sampling is typically only 2-4 kn. At sampling speeds, both the 
possibility of striking a marine mammal and the possibility of a strike 
resulting in serious injury or mortality are discountable. At average 
transit speed, the probability of serious injury or mortality resulting 
from a strike is less than fifty percent. However, the likelihood of a 
strike actually happening is again discountable. Ship strikes, as 
analyzed in the studies cited above, generally involve commercial 
shipping, which is much more common in both space and time than is 
research activity. Jensen and Silber (2004) summarized ship strikes of 
large whales worldwide from 1975-2003 and found that most collisions 
occurred in the open ocean and involved large vessels (e.g., commercial 
shipping). Commercial fishing vessels were responsible for three 
percent of recorded collisions, while only one such incident (0.75 
percent) was reported for a research vessel during that time period.
    It is possible for ship strikes to occur while traveling at slow 
speeds. For example, a NOAA-chartered survey vessel traveling at low 
speed (5.5 kn) while conducting multi-beam mapping surveys off the 
central California coast struck and killed a blue whale in 2009. The 
State of California determined that the whale had suddenly and 
unexpectedly surfaced beneath the hull, with the result that the 
propeller severed the whale's vertebrae, and that this was an 
unavoidable event. This strike represents the only such incident in 
approximately 540,000 hours of similar coastal mapping activity (p = 
1.9 x 10-\6\; 95% CI = 0-5.5 x 10-\6\; NMFS, 
2013). In addition, a research vessel reported a fatal strike in 2011 
of a dolphin in the Atlantic, demonstrating that it is possible for 
strikes involving smaller cetaceans or pinnipeds to occur. In that 
case, the incident report indicated that an animal apparently was 
struck by the vessel's propeller as it was intentionally swimming near 
the vessel. While indicative of the type of unusual events that cannot 
be ruled out, neither of these instances represents a circumstance that 
would be considered reasonably foreseeable or that would be considered 
preventable.
    In summary, we anticipate that vessel collisions involving SWFSC 
research vessels, while not impossible, represent unlikely, 
unpredictable events for which there are no preventive measures. No 
ship strikes have been reported from any fisheries research activities 
conducted or funded by the SWFSC in any of the three research areas. 
Given

[[Page 8192]]

the relatively slow speeds of research vessels, the presence of bridge 
crew watching for obstacles at all times (including marine mammals), 
the presence of marine mammal observers on some surveys, and the small 
number of research cruises, we believe that the possibility of ship 
strike is discountable and, further, that were a strike of a large 
whale to occur, it would be unlikely to result in serious injury or 
mortality. No incidental take resulting from ship strike is 
anticipated, and this potential effect of research will not be 
discussed further in the following analysis.

Research Gear

    The types of research gear used by SWFSC were described previously 
under ``Detailed Description of Activity.'' Here, we broadly categorize 
these gears into those whose use we consider to have extremely unlikely 
potential to result in marine mammal interaction and those whose use we 
believe may result in marine mammal interaction. Gears in the former 
category are not considered further, while those in the latter category 
are carried forward for further analysis. Gears with likely potential 
for marine mammal interaction include midwater trawls, used in the CCE 
only, and pelagic longlines, used in the CCE and ETP. Bottom trawls, 
used in the AMLR only, and bottom longlines, used in the CCE only, are 
not considered to have the likely potential for marine mammal 
interaction and are addressed in the general trawl and longline 
sections below.
    Trawl nets and longline gears deployed by SWFSC are similar to gear 
used in various commercial fisheries, and the potential for and history 
of marine mammal interaction with these gears through physical contact 
(i.e., capture or entanglement) is well-documented. Read et al. (2006) 
estimated marine mammal bycatch in U.S. fisheries from 1990-99 and 
derived an estimate of global marine mammal bycatch by expanding U.S. 
bycatch estimates using data on fleet composition from the United 
Nations Food and Agriculture Organization (FAO). Although most U.S. 
bycatch for both cetaceans (84 percent) and pinnipeds (98 percent) 
occurred in gillnets (a gear type not used by SWFSC), global marine 
mammal bycatch in trawl nets and longlines is likely substantial given 
that total global bycatch is thought to number in the hundreds of 
thousands of individuals (Read et al., 2006). In addition, global 
bycatch via longline has likely increased, as longlines have become the 
most common method of capturing swordfish and tuna since the U.N. 
banned the use of high seas driftnets over 2.5 km long in 1991 (high 
seas driftnets were previously often 40-60 km long) (Read, 2008; FAO, 
2001).
    Marine mammals are widely regarded as being quite intelligent and 
inquisitive, and when their pursuit of prey coincides with human 
pursuit of the same resources, it should be expected that physical 
interaction with fishing gear may occur (e.g., Beverton, 1985). 
Fishermen and marine mammals are both drawn to areas of high prey 
density, and certain fishing activities may further attract marine 
mammals by providing food (e.g., bait, captured fish, bycatch discards) 
or by otherwise making it easier for animals to feed on a concentrated 
food source. Provision of foraging opportunities near the surface may 
present an advantage by negating the need for energetically expensive 
deep foraging dives (Hamer and Goldsworthy, 2006). Trawling, for 
example, can make available previously unexploited food resources by 
gathering prey that may otherwise be too fast or deep for normal 
predation, or may concentrate calories in an otherwise patchy landscape 
(Fertl and Leatherwood, 1997). Pilot whales, which are generally 
considered to be teuthophagous (i.e., feeding primarily on squid), were 
commonly observed in association with Atlantic mackerel (Scomber 
scombrus) trawl fisheries from 1977-88 in the northeast U.S. EEZ 
(Waring et al., 1990). Not surprisingly, stomach contents of captured 
whales were observed to have high proportions of mackerel (68 percent 
of non-trace food items), indicating that the ready availability of a 
novel, concentrated, high-calorie prey item resulted in changed dietary 
composition (Read, 1994).
    These interactions can result in injury or death for the animal(s) 
involved and/or damage to fishing gear. Coastal animals, including 
various pinnipeds, bottlenose dolphins, and harbor porpoises, are 
perhaps the most vulnerable to these interactions and set or passive 
fishing gear (e.g., gillnets, traps) the most likely to be interacted 
with (e.g., Beverton, 1985; Barlow et al., 1994; Read et al., 2006; 
Byrd et al., 2014). Although interactions are less common for use of 
trawl nets and longlines (gear used by SWFSC), they do occur with 
sufficient frequency to necessitate the establishment of required 
mitigation measures for multiple U.S. fisheries using both types of 
gear (NMFS, 2014). It is likely that no species of marine mammal can be 
definitively excluded from the potential for interaction with fishing 
gear (e.g., Northridge, 1984); however, the extent of interactions is 
likely dependent on the biology, ecology, and behavior of the species 
involved and the type, location, and nature of the fishery.
    Trawl nets--As described previously, trawl nets are towed nets 
(i.e., active fishing) consisting of a cone-shaped net with a codend or 
bag for collecting the fish and can be designed to fish at the bottom, 
surface, or any other depth in the water column. Here we refer to 
bottom trawls and midwater trawls (i.e., any net not designed to tend 
the bottom while fishing). Trawl nets in general have the potential to 
capture or entangle marine mammals, which have been known to be caught 
in bottom trawls, presumably when feeding on fish caught therein, and 
in midwater trawls, which may or may not be coincident with their 
feeding (Northridge, 1984).
    Capture or entanglement may occur whenever marine mammals are 
swimming near the gear, intentionally (e.g., foraging) or 
unintentionally (e.g., migrating), and any animal captured in a net is 
at significant risk of drowning unless quickly freed. Animals can also 
be captured or entangled in netting or tow lines (also called lazy 
lines) other than the main body of the net; animals may become 
entangled around the head, body, flukes, pectoral fins, or dorsal fin. 
Interaction that does not result in the immediate death of the animal 
by drowning can cause injury (i.e., Level A harassment) or serious 
injury. Constricting lines wrapped around the animal can immobilize the 
animal or injure by cutting into or through blubber, muscles and bone 
(i.e., penetrating injuries) or constricting blood flow to or severing 
appendages. Immobilization of the animal, if it does not result in 
immediate drowning, can cause internal injuries from prolonged stress 
and/or severe struggling and/or impede the animal's ability to feed 
(resulting in starvation or reduced fitness) (Andersen et al., 2008).
    Marine mammal interactions with trawl nets, through capture or 
entanglement, are well-documented. Dolphins are known to attend 
operating nets in order to either benefit from disturbance of the 
bottom or to prey on discards or fish within the net. For example, 
Leatherwood (1975) reported that the most frequently observed feeding 
pattern for bottlenose dolphins in the Gulf of Mexico involved herds 
following working shrimp trawlers, apparently feeding on organisms 
stirred up from the benthos. Bearzi and di Sciara (1997) 
opportunistically investigated working trawlers in the Adriatic Sea 
from 1990-94 and found that ten percent were accompanied by

[[Page 8193]]

foraging bottlenose dolphins. However, midwater trawls have greater 
potential to capture cetaceans, because the nets may be towed at faster 
speeds, these trawls are more likely to target species that are 
important prey for marine mammals (e.g., squid, mackerel), and the 
likelihood of working in deeper waters means that a more diverse 
assemblage of species could potentially be present (Hall et al., 2000).
    Globally, at least seventeen cetacean species are known to feed in 
association with trawlers and individuals of at least 25 species are 
documented to have been killed by trawl nets, including several large 
whales, porpoises, and a variety of delphinids (Karpouzli and Leaper, 
2004; Hall et al., 2000; Fertl and Leatherwood, 1997; Northridge, 
1991). At least eighteen species of seals and sea lions are known to 
have been killed in trawl nets (Wickens, 1995). Generally, direct 
interaction between trawl nets and marine mammals (both cetaceans and 
pinnipeds) has been recorded wherever trawling and animals co-occur. 
Tables 6 and 7 display records of interactions between marine mammals 
and trawl nets by taxonomy and geography; please note that this should 
not be considered exhaustive. A lack of recorded interactions where 
animals are present may indicate that trawling is absent or an 
insignificant component of fisheries in that region or that 
interactions were not observed, recorded, or reported.
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Tables 6 and 7 are intended to illustrate the general vulnerability of 
marine mammals to interaction with trawl nets, without considering the 
specific type of net or the manner in which that risk may be mitigated. 
Some of the records supporting development of these tables are from 
discontinued fisheries or from fisheries where management measures have 
subsequently mitigated the risk of interaction to a substantial degree. 
Table 13 (below) displays more recent information regarding 
interactions specifically in U.S. fisheries and is more relevant to the 
development of take estimates for this proposed rule. In evaluating 
risk relative to a specific fishery (or comparable research survey), 
one must consider the size of the net as well as frequency, timing, and 
location of deployment. These considerations inform determinations of 
whether interaction with marine mammals is likely.

    Of the three net types described previously under ``Trawl Nets'', 
SWFSC has recorded marine mammal interactions with both midwater nets 
(NETS Nordic 264 and modified Cobb), which are used only in the CCE. No 
marine mammal interactions have been recorded for the bottom trawl 
(NETS Hard-Bottom Snapper Trawl), which is deployed only in the 
Antarctic. While a lack of historical interactions does not in and of 
itself indicate that future interactions are unlikely, we believe that 
the historical record for SWFSC operations in AMLR, considered in 
context with the frequency and timing of these bottom trawl surveys, as 
well as mitigation measures employed provide substantial support for a 
determination that future marine mammal interactions with this gear are 
extremely unlikely. In addition, as described above, bottom trawls 
generally involve less risk of interaction than do midwater trawls.
    Incidental takes of fur seals have been documented in Antarctic 
krill fisheries using midwater trawls (Hooper et al., 2005) and rarely 
in demersal trawls for Patagonian toothfish (Dissostichus eleginoides) 
near Australian subantarctic islands (Wienecke and Robertson, 2002), 
but there are no documented takes of any species in any other gear by 
U.S. vessels in the region. We are not aware of any such takes in 
bottom trawls deployed anywhere in Antarctic waters. Further, fisheries 
using bottom trawl gear are known to typically interact with cetaceans 
such as porpoises and bottlenose dolphins, which are not present in the 
AMLR. SWFSC researchers conduct visual and acoustic surveys prior to 
deploying bottom trawl gear to assess the bathymetry and whether marine 
mammals are present in the area; these surveys have resulted in very 
few detections of marine mammals during trawling operations, indicating 
that there is likely little spatio-temporal overlap between bottom 
trawl surveys and significant densities of marine

[[Page 8195]]

mammals. This survey is conducted infrequently--only every two to three 
years--and at low volume relative to similar commercial fisheries, 
involving approximately one hundred tows of thirty-minutes each when it 
does occur. SWFSC use of bottom trawl nets, which are deployed only in 
AMLR, is not discussed further in this document.
    Longlines--Longlines are basically strings of baited hooks that are 
either anchored to the bottom, for targeting groundfish, or are free-
floating, for targeting pelagic species and represent a passive fishing 
technique. Pelagic longlines, which notionally fish near the surface 
with the use of floats, may be deployed in such a way as to fish at 
different depths in the water column. For example, deep-set longlines 
targeting tuna may have a target depth of 400 m, while a shallow-set 
longline targeting swordfish is set at 30-90 m depth. We refer here to 
bottom and pelagic longlines. Any longline generally consists of a 
mainline from which leader lines (gangions) with baited hooks branch 
off at a specified interval, and is left to passively fish, or soak, 
for a set period of time before the vessel returns to retrieve the 
gear. Longlines are marked by two or more floats that act as visual 
markers and may also carry radio beacons; aids to detection are of 
particular importance for pelagic longlines, which may drift a 
significant distance from the deployment location. Pelagic longlines 
are generally composed of various diameter monofilament line and are 
generally much longer, and with more hooks, than are bottom longlines. 
Bottom longlines may be of monofilament or multifilament natural or 
synthetic lines.
    Marine mammals may be hooked or entangled in longline gear, with 
interactions potentially resulting in death due to drowning, 
strangulation, severing of carotid arteries or the esophagus, 
infection, an inability to evade predators, or starvation due to an 
inability to catch prey (Hofmeyr et al., 2002), although it is more 
likely that animals will survive being hooked if they are able to reach 
the surface to breathe. Injuries, which may include serious injury, 
include lacerations and puncture wounds. Animals may attempt to 
depredate either bait or catch, with subsequent hooking, or may become 
accidentally entangled. As described for trawls, entanglement can lead 
to constricting lines wrapped around the animals and/or immobilization, 
and even if entangling materials are removed the wounds caused may 
continue to weaken the animal or allow further infection (Hofmeyr et 
al., 2002). Large whales may become entangled in a longline and then 
break free with a portion of gear trailing, resulting in alteration of 
swimming energetics due to drag and ultimate loss of fitness and 
potential mortality (Andersen et al., 2008). Weight of the gear can 
cause entangling lines to further constrict and further injure the 
animal. Hooking injuries and ingested gear are most common in small 
cetaceans and pinnipeds, but have been observed in large cetaceans 
(e.g., sperm whales). The severity of the injury depends on the 
species, whether ingested gear includes hooks, whether the gear works 
its way into the gastrointestinal (GI) tract, whether the gear 
penetrates the GI lining, and the location of the hooking (e.g., 
embedded in the animal's stomach or other internal body parts) 
(Andersen et al., 2008). Bottom longlines pose less of a threat to 
marine mammals due to their deployment on the ocean bottom, but can 
still result in entanglement in buoy lines or hooking as the line is 
either deployed or retrieved. The rate of interaction between longline 
fisheries and marine mammals depends on the degree of overlap between 
longline effort and species distribution, hook style and size, type of 
bait and target catch, and fishing practices (such as setting/hauling 
during the day or at night).
    Tables 8 and 9 display records of interactions between marine 
mammals and longlines by taxonomy and geography; please note this 
should not be considered exhaustive. A lack of recorded interactions 
where animals are present may indicate that longlining is absent or an 
insignificant component of fisheries in that region or that 
interactions were not observed, recorded, or reported.
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    Tables 8 and 9 are intended to illustrate the general vulnerability 
of marine mammals to interaction with longlines, without considering 
the

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specific type of gear or the manner in which that risk may be 
mitigated. Some of the records supporting development of these tables 
are from discontinued fisheries or from fisheries where management 
measures have subsequently mitigated the risk of interaction to a 
substantial degree. Table 13 (see ``Estimated Take Due to Gear 
Interaction'') displays more recent information regarding interactions 
specifically in U.S. fisheries and is more relevant to the development 
of take estimates for this proposed rule. In evaluating risk relative 
to a specific fishery (or research survey), one must consider the 
length of the line and number of hooks deployed as well as frequency, 
timing, and location of deployment. These considerations inform 
determinations of whether interaction with marine mammals is likely.
    SWFSC has recorded marine mammal interactions with traditional 
pelagic longlines, which are used in the CCE and planned for use in the 
ETP, but not with vertical pelagic longlines or with bottom longlines 
(CCE only). While a lack of historical interactions does not in and of 
itself indicate that future interactions are unlikely, we believe that 
the historical record, considered in context with the frequency and 
timing of these activities, as well as mitigation measures employed 
provide substantial support for a determination that future marine 
mammal interactions with these gears are extremely unlikely. In 
addition, as described above, bottom longlines generally involve less 
risk of interaction than do pelagic longlines.
    Vertical longline gear, planned for use in the deep-set buoy gear 
surveys, is similar to gear used in the Atlantic, and there are no 
recorded marine mammal interactions in either location. The only known 
U.S. fishery using similar gear is the Hawaii vertical longline 
fishery, which has nine participants (meaning there is likely greater 
effort than the minimal 54 sets and 2,200 hook hours logged by SWFSC), 
and is categorized as a Category III fishery (i.e., remote likelihood 
of or no known M/SI) with no documented incidental M/SI. The gear has 
been designed specifically to eliminate protected species interactions, 
with minimal visual and/or sensory attractants to the gear in the upper 
water column (e.g., no surface chumming or offal discharge, no visual 
cues from multiple hooks that are sinking to depth slowly), and with a 
single weighted monofilament line with virtually no slack or sag. These 
features minimize the risk of hooking or entanglement.
    The SWFSC deploys bottom longlines at an extremely limited scale 
for one survey (Sablefish Life History) in one location (near Bodega 
Bay in central California). The survey is conducted once per month, 
with approximately two to three sets of 75 hooks each per trip 
(approximately two hundred hooks per month). Commercial fisheries 
involving bottom longlines that have documented incidental M/SI operate 
at much larger spatio-temporal scales with much greater hook hours than 
this survey, which we consider de minimis. Neither vertical longlines 
nor bottom longlines are discussed further in this document.
    Other research gear--The only SWFSC research gears with any record 
of marine mammal interactions are midwater trawls (NETS Nordic 264 and 
modified-Cobb) and pelagic longline gear. Bottom trawls and other types 
of longlines were discussed in the preceding sections. All other gears 
used in SWFSC fisheries research (e.g., a variety of plankton nets, 
CTDs, ROVs) do not have the expected potential for marine mammal 
interactions, and are not known to have been involved in any marine 
mammal interaction anywhere. Specifically, we consider CTDs, XBTs, 
CUFES, ROVs, small trawls (Oozeki, IKMT, MOCNESS, and Tucker trawls), 
plankton nets (Bongo, Pairovet, and Manta nets), and vertically 
deployed or towed imaging systems to be no-impact gear types.
    Unlike trawl nets and longline gear, which are used in both 
scientific research and commercial fishing applications, these other 
gears are not considered similar or analogous to any commercial fishing 
gear and are not designed to capture any commercially salable species, 
or to collect any sort of sample in large quantities. They are not 
considered to have the potential to take marine mammals primarily 
because of their design how they are deployed. For example, CTDs are 
typically deployed in a vertical cast on a cable and have no loose 
lines or other entanglement hazards. A Bongo net is typically deployed 
on a cable, whereas neuston nets (these may be plankton nets or small 
trawls) are often deployed in the upper one meter of the water column; 
either net type has very small size (e.g., two bongo nets of 0.5 m\2\ 
each or a neuston net of approximately 2 m\2\) and no trailing lines to 
present an entanglement risk. These other gear types are not considered 
further in this document.

Acoustic Effects

    We previously provided general background information on sound and 
the specific sources used by the SWFSC (see ``Description of Active 
Acoustic Sound Sources''). Here, we first provide background 
information on marine mammal hearing before discussing the potential 
effects of SWFSC use of active acoustic sources on marine mammals.
    Marine mammal hearing--Hearing is the most important sensory 
modality for marine mammals underwater, and exposure to anthropogenic 
sound can have deleterious effects. To appropriately assess the 
potential effects of exposure to sound, it is necessary to understand 
the frequency ranges marine mammals are able to hear. Current data 
indicate that not all marine mammal species have equal hearing 
capabilities (e.g., Richardson et al., 1995; Wartzok and Ketten, 1999; 
Au and Hastings, 2008). To reflect this, Southall et al. (2007) 
recommended that marine mammals be divided into functional hearing 
groups based on directly measured or estimated hearing ranges on the 
basis of available behavioral response data, audiograms derived using 
auditory evoked potential techniques, anatomical modeling, and other 
data. Note that no direct measurements of hearing ability have been 
successfully completed for low-frequency cetaceans. The functional 
groups and the associated frequencies are indicated below (note that 
these frequency ranges correspond to the range for the composite group, 
with the entire range not necessarily reflecting the capabilities of 
every species within that group):
     Low-frequency cetaceans (mysticetes): functional hearing 
is estimated to occur between approximately 7 Hz and 25 kHz (up to 30 
kHz in some species), with best hearing estimated to be from 100 Hz to 
8 kHz (Watkins, 1986; Ketten, 1998; Houser et al., 2001; Au et al., 
2006; Lucifredi and Stein, 2007; Ketten et al., 2007; Parks et al., 
2007a; Ketten and Mountain, 2009; Tubelli et al., 2012);
     Mid-frequency cetaceans (larger toothed whales, beaked 
whales, and most delphinids): functional hearing is estimated to occur 
between approximately 150 Hz and 160 kHz, with best hearing from 10 to 
less than 100 kHz (Johnson, 1967; White, 1977; Richardson et al., 1995; 
Szymanski et al., 1999; Kastelein et al., 2003; Finneran et al., 2005a, 
2009; Nachtigall et al., 2005, 2008; Yuen et al., 2005; Popov et al., 
2007; Au and Hastings, 2008; Houser et al., 2008; Pacini et al., 2010, 
2011; Schlundt et al., 2011);
     High-frequency cetaceans (porpoises, river dolphins, and 
members of the genera Kogia and Cephalorhynchus; including two members 
of the genus Lagenorhynchus, including the hourglass dolphin, on the

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basis of recent echolocation data and genetic data [May-Collado and 
Agnarsson, 2006; Kyhn et al. 2009, 2010; Tougaard et al. 2010]): 
functional hearing is estimated to occur between approximately 200 Hz 
and 180 kHz (Popov and Supin, 1990a, b; Kastelein et al., 2002; Popov 
et al., 2005); and
     Pinnipeds in water; Phocidae (true seals): functional 
hearing is estimated to occur between approximately 75 Hz to 100 kHz, 
with best hearing between 1-50 kHz (M[oslash]hl, 1968; Terhune and 
Ronald, 1971, 1972; Richardson et al., 1995; Kastak and Schusterman, 
1999; Reichmuth, 2008; Kastelein et al., 2009);
     Pinnipeds in water; Otariidae (eared seals): functional 
hearing is estimated to occur between 100 Hz and 40 kHz for Otariidae, 
with best hearing between 2-48 kHz (Schusterman et al., 1972; Moore and 
Schusterman, 1987; Babushina et al., 1991; Richardson et al., 1995; 
Kastak and Schusterman, 1998; Kastelein et al., 2005a; Mulsow and 
Reichmuth, 2007; Mulsow et al., 2011a, b).
    The pinniped functional hearing group was modified from Southall et 
al. (2007) on the basis of data indicating that phocid species have 
consistently demonstrated an extended frequency range of hearing 
compared to otariids, especially in the higher frequency range 
(Hemil[auml] et al., 2006; Kastelein et al., 2009; Reichmuth et al., 
2013).
    Within the CCE, 34 marine mammal species (28 cetacean and six 
pinniped [four otariid and two phocid] species) have the potential to 
co-occur with SWFSC research activities. Please refer to Tables 3-5. Of 
the 28 cetacean species that may be present, six are classified as low-
frequency cetaceans (i.e., all mysticete species), eighteen are 
classified as mid-frequency cetaceans (i.e., all delphinid and ziphiid 
species and the sperm whale), and four are classified as high-frequency 
cetaceans (i.e., porpoises and Kogia spp.). Within the ETP, 32 marine 
mammal species (28 cetacean and four pinniped [three otariid and one 
phocid] species) have the potential to co-occur with SWFSC research 
activities. Of the 28 cetacean species that may be present, six are 
classified as low-frequency cetaceans (i.e., all mysticete species), 21 
are classified as mid-frequency cetaceans (i.e., all delphinid and 
ziphiid species and the sperm whale), and one is classified as a high-
frequency cetacean (i.e., dwarf sperm whale). Within the AMLR, 
seventeen marine mammal species (twelve cetacean and five pinniped [one 
otariid and four phocid] species) have the potential to co-occur with 
SWFSC research activities. Of the twelve cetacean species that may be 
present, five are classified as low-frequency cetaceans (i.e., all 
mysticete species), five are classified as mid-frequency cetaceans 
(i.e., all delphinid and ziphiid species [excluding the hourglass 
dolphin] and the sperm whale), and two are classified as high-frequency 
cetaceans (i.e., the hourglass dolphin and spectacled porpoise).
    Potential effects of underwater sound--Please refer to the 
information given previously (``Description of Active Acoustic 
Sources'') regarding sound, characteristics of sound types, and metrics 
used in this document. Anthropogenic sounds cover a broad range of 
frequencies and sound levels and can have a range of highly variable 
impacts on marine life, from none or minor to potentially severe 
responses, depending on received levels, duration of exposure, 
behavioral context, and various other factors. The potential effects of 
underwater sound from active acoustic sources can potentially result in 
one or more of the following: temporary or permanent hearing 
impairment, non-auditory physical or physiological effects, behavioral 
disturbance, stress, and masking (Richardson et al., 1995; Gordon et 
al., 2004; Nowacek et al., 2007; Southall et al., 2007; G[ouml]tz et 
al., 2009). The degree of effect is intrinsically related to the signal 
characteristics, received level, distance from the source, and duration 
of the sound exposure. In general, sudden, high level sounds can cause 
hearing loss, as can longer exposures to lower level sounds. Temporary 
or permanent loss of hearing will occur almost exclusively for noise 
within an animal's hearing range. We first describe specific 
manifestations of acoustic effects before providing discussion specific 
to SWFSC's use of active acoustic sources (e.g., echosounders).
    Richardson et al. (1995) described zones of increasing intensity of 
effect that might be expected to occur, in relation to distance from a 
source and assuming that the signal is within an animal's hearing 
range. First is the area within which the acoustic signal would be 
audible (potentially perceived) to the animal, but not strong enough to 
elicit any overt behavioral or physiological response. The next zone 
corresponds with the area where the signal is audible to the animal and 
of sufficient intensity to elicit behavioral or physiological 
responsiveness. Third is a zone within which, for signals of high 
intensity, the received level is sufficient to potentially cause 
discomfort or tissue damage to auditory or other systems. Overlaying 
these zones to a certain extent is the area within which masking (i.e., 
when a sound interferes with or masks the ability of an animal to 
detect a signal of interest that is above the absolute hearing 
threshold) may occur; the masking zone may be highly variable in size.
    We describe the more severe effects (i.e., permanent hearing 
impairment, certain non-auditory physical or physiological effects) 
only briefly as we do not expect that there is a reasonable likelihood 
that SWFSC use of active acoustic sources may result in such effects 
(see below for further discussion). Marine mammals exposed to high-
intensity sound, or to lower-intensity sound for prolonged periods, can 
experience hearing threshold shift (TS), which is the loss of hearing 
sensitivity at certain frequency ranges (Kastak et al., 1999; Schlundt 
et al., 2000; Finneran et al., 2002, 2005b). TS can be permanent (PTS), 
in which case the loss of hearing sensitivity is not fully recoverable, 
or temporary (TTS), in which case the animal's hearing threshold would 
recover over time (Southall et al., 2007). Repeated sound exposure that 
leads to TTS could cause PTS. In severe cases of PTS, there can be 
total or partial deafness, while in most cases the animal has an 
impaired ability to hear sounds in specific frequency ranges (Kryter, 
1985).
    When PTS occurs, there is physical damage to the sound receptors in 
the ear (i.e., tissue damage), whereas TTS represents primarily tissue 
fatigue and is reversible (Southall et al., 2007). In addition, other 
investigators have suggested that TTS is within the normal bounds of 
physiological variability and tolerance and does not represent physical 
injury (e.g., Ward, 1997). Therefore, NMFS does not consider TTS to 
constitute auditory injury.
    Relationships between TTS and PTS thresholds have not been studied 
in marine mammals--PTS data exists only for a single harbor seal 
(Kastak et al., 2008)--but are assumed to be similar to those in humans 
and other terrestrial mammals. PTS typically occurs at exposure levels 
at least several decibels above (a 40-dB threshold shift approximates 
PTS onset; e.g., Kryter et al., 1966; Miller, 1974) that inducing mild 
TTS (a 6-dB threshold shift approximates TTS onset; e.g., Southall et 
al. 2007). Based on data from terrestrial mammals, a precautionary 
assumption is that the PTS thresholds for impulse sounds (such as 
impact pile driving pulses as received close to the source) are at 
least 6 dB higher than the TTS threshold on a peak-pressure basis and 
PTS cumulative sound exposure level thresholds are 15 to 20 dB higher 
than TTS cumulative sound exposure level thresholds (Southall et al., 
2007). Given the higher level of sound or

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longer exposure duration necessary to cause PTS as compared with TTS, 
it is considerably less likely that PTS could occur.
    Non-auditory physiological effects or injuries that theoretically 
might occur in marine mammals exposed to high level underwater sound or 
as a secondary effect of extreme behavioral reactions (e.g., change in 
dive profile as a result of an avoidance reaction) caused by exposure 
to sound include neurological effects, bubble formation, resonance 
effects, and other types of organ or tissue damage (Cox et al., 2006; 
Southall et al., 2007; Zimmer and Tyack, 2007). SWFSC activities do not 
involve the use of devices such as explosives or mid-frequency active 
sonar that are associated with these types of effects.
    When a live or dead marine mammal swims or floats onto shore and is 
incapable of returning to sea, the event is termed a ``stranding'' (16 
U.S.C. 1421h(3)). Marine mammals are known to strand for a variety of 
reasons, such as infectious agents, biotoxicosis, starvation, fishery 
interaction, ship strike, unusual oceanographic or weather events, 
sound exposure, or combinations of these stressors sustained 
concurrently or in series (e.g., Geraci et al., 1999). However, the 
cause or causes of most strandings are unknown (e.g., Best, 1982). 
Combinations of dissimilar stressors may combine to kill an animal or 
dramatically reduce its fitness, even though one exposure without the 
other would not be expected to produce the same outcome (e.g., Sih et 
al., 2004). For further description of stranding events see, e.g., 
Southall et al., 2006; Jepson et al., 2013; Wright et al., 2013.
    1. Temporary threshold shift--TTS is the mildest form of hearing 
impairment that can occur during exposure to sound (Kryter, 1985). 
While experiencing TTS, the hearing threshold rises, and a sound must 
be at a higher level in order to be heard. In terrestrial and marine 
mammals, TTS can last from minutes or hours to days (in cases of strong 
TTS). In many cases, hearing sensitivity recovers rapidly after 
exposure to the sound ends. Few data on sound levels and durations 
necessary to elicit mild TTS have been obtained for marine mammals, and 
none of the data published at the time of this writing concern TTS 
elicited by exposure to multiple pulses of sound.
    Marine mammal hearing plays a critical role in communication with 
conspecifics, and interpretation of environmental cues for purposes 
such as predator avoidance and prey capture. Depending on the degree 
(elevation of threshold in dB), duration (i.e., recovery time), and 
frequency range of TTS, and the context in which it is experienced, TTS 
can have effects on marine mammals ranging from discountable to 
serious. For example, a marine mammal may be able to readily compensate 
for a brief, relatively small amount of TTS in a non-critical frequency 
range that occurs during a time where ambient noise is lower and there 
are not as many competing sounds present. Alternatively, a larger 
amount and longer duration of TTS sustained during time when 
communication is critical for successful mother/calf interactions could 
have more serious impacts.
    Currently, TTS data only exist for four species of cetaceans 
(bottlenose dolphin, beluga whale [Delphinapterus leucas], harbor 
porpoise, and Yangtze finless porpoise [Neophocoena asiaeorientalis]) 
and three species of pinnipeds (northern elephant seal, harbor seal, 
and California sea lion) exposed to a limited number of sound sources 
(i.e., mostly tones and octave-band noise) in laboratory settings 
(e.g., Finneran et al., 2002; Nachtigall et al., 2004; Kastak et al., 
2005; Lucke et al., 2009; Popov et al., 2011). In general, harbor seals 
(Kastak et al., 2005; Kastelein et al., 2012a) and harbor porpoises 
(Lucke et al., 2009; Kastelein et al., 2012b) have a lower TTS onset 
than other measured pinniped or cetacean species. Additionally, the 
existing marine mammal TTS data come from a limited number of 
individuals within these species. There are no data available on noise-
induced hearing loss for mysticetes. For summaries of data on TTS in 
marine mammals or for further discussion of TTS onset thresholds, 
please see Southall et al. (2007) and Finneran and Jenkins (2012).
    2. Behavioral effects--Behavioral disturbance may include a variety 
of effects, including subtle changes in behavior (e.g., minor or brief 
avoidance of an area or changes in vocalizations), more conspicuous 
changes in similar behavioral activities, and more sustained and/or 
potentially severe reactions, such as displacement from or abandonment 
of high-quality habitat. Behavioral responses to sound are highly 
variable and context-specific and any reactions depend on numerous 
intrinsic and extrinsic factors (e.g., species, state of maturity, 
experience, current activity, reproductive state, auditory sensitivity, 
time of day), as well as the interplay between factors (e.g., 
Richardson et al., 1995; Wartzok et al., 2003; Southall et al., 2007; 
Weilgart, 2007; Archer et al., 2010). Behavioral reactions can vary not 
only among individuals but also within an individual, depending on 
previous experience with a sound source, context, and numerous other 
factors (Ellison et al., 2012), and can vary depending on 
characteristics associated with the sound source (e.g., whether it is 
moving or stationary, number of sources, distance from the source). 
Please see Appendices B-C of Southall et al. (2007) for a review of 
studies involving marine mammal behavioral responses to sound.
    Habituation can occur when an animal's response to a stimulus wanes 
with repeated exposure, usually in the absence of unpleasant associated 
events (Wartzok et al., 2003). Animals are most likely to habituate to 
sounds that are predictable and unvarying. It is important to note that 
habituation is appropriately considered as a ``progressive reduction in 
response to stimuli that are perceived as neither aversive nor 
beneficial,'' rather than as, more generally, moderation in response to 
human disturbance (Bejder et al., 2009). The opposite process is 
sensitization, when an unpleasant experience leads to subsequent 
responses, often in the form of avoidance, at a lower level of 
exposure. As noted, behavioral state may affect the type of response. 
For example, animals that are resting may show greater behavioral 
change in response to disturbing sound levels than animals that are 
highly motivated to remain in an area for feeding (Richardson et al., 
1995; NRC, 2003; Wartzok et al., 2003). Controlled experiments with 
captive marine mammals have showed pronounced behavioral reactions, 
including avoidance of loud sound sources (Ridgway et al., 1997; 
Finneran et al., 2003). Observed responses of wild marine mammals to 
loud pulsed sound sources (typically seismic airguns or acoustic 
harassment devices) have been varied but often consist of avoidance 
behavior or other behavioral changes suggesting discomfort (Morton and 
Symonds, 2002; see also Richardson et al., 1995; Nowacek et al., 2007).
    Available studies show wide variation in response to underwater 
sound; therefore, it is difficult to predict specifically how any given 
sound in a particular instance might affect marine mammals perceiving 
the signal. If a marine mammal does react briefly to an underwater 
sound by changing its behavior or moving a small distance, the impacts 
of the change are unlikely to be significant to the individual, let 
alone the stock or population. However, if a sound source displaces 
marine mammals from an important feeding or breeding area for a 
prolonged period, impacts on individuals and populations could be 
significant (e.g., Lusseau and

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Bejder, 2007; Weilgart, 2007; NRC, 2005). However, there are broad 
categories of potential response, which we describe in greater detail 
here, that include alteration of dive behavior, alteration of foraging 
behavior, effects to breathing, interference with or alteration of 
vocalization, avoidance, and flight.
    Changes in dive behavior can vary widely, and may consist of 
increased or decreased dive times and surface intervals as well as 
changes in the rates of ascent and descent during a dive (e.g., Frankel 
and Clark, 2000; Costa et al., 2003; Ng and Leung, 2003; Nowacek et 
al.; 2004). Variations in dive behavior may reflect interruptions in 
biologically significant activities (e.g., foraging) or they may be of 
little biological significance. The impact of an alteration to dive 
behavior resulting from an acoustic exposure depends on what the animal 
is doing at the time of the exposure and the type and magnitude of the 
response.
    Disruption of feeding behavior can be difficult to correlate with 
anthropogenic sound exposure, so it is usually inferred by observed 
displacement from known foraging areas, the appearance of secondary 
indicators (e.g., bubble nets or sediment plumes), or changes in dive 
behavior. As for other types of behavioral response, the frequency, 
duration, and temporal pattern of signal presentation, as well as 
differences in species sensitivity, are likely contributing factors to 
differences in response in any given circumstance (e.g., Croll et al., 
2001; Nowacek et al.; 2004; Madsen et al., 2006; Yazvenko et al., 
2007). A determination of whether foraging disruptions incur fitness 
consequences would require information on or estimates of the energetic 
requirements of the affected individuals and the relationship between 
prey availability, foraging effort and success, and the life history 
stage of the animal.
    Variations in respiration naturally vary with different behaviors 
and alterations to breathing rate as a function of acoustic exposure 
can be expected to co-occur with other behavioral reactions, such as a 
flight response or an alteration in diving. However, respiration rates 
in and of themselves may be representative of annoyance or an acute 
stress response. Various studies have shown that respiration rates may 
either be unaffected or could increase, depending on the species and 
signal characteristics, again highlighting the importance in 
understanding species differences in the tolerance of underwater noise 
when determining the potential for impacts resulting from anthropogenic 
sound exposure (e.g., Kastelein et al., 2001, 2005b, 2006; Gailey et 
al., 2007).
    Marine mammals vocalize for different purposes and across multiple 
modes, such as whistling, echolocation click production, calling, and 
singing. Changes in vocalization behavior in response to anthropogenic 
noise can occur for any of these modes and may result from a need to 
compete with an increase in background noise or may reflect increased 
vigilance or a startle response. For example, in the presence of 
potentially masking signals, humpback whales and killer whales have 
been observed to increase the length of their songs (Miller et al., 
2000; Fristrup et al., 2003; Foote et al., 2004), while right whales 
have been observed to shift the frequency content of their calls upward 
while reducing the rate of calling in areas of increased anthropogenic 
noise (Parks et al., 2007b). In some cases, animals may cease sound 
production during production of aversive signals (Bowles et al., 1994).
    Avoidance is the displacement of an individual from an area or 
migration path as a result of the presence of a sound or other 
stressors, and is one of the most obvious manifestations of disturbance 
in marine mammals (Richardson et al., 1995). For example, gray whales 
are known to change direction--deflecting from customary migratory 
paths--in order to avoid noise from seismic surveys (Malme et al., 
1984). Avoidance may be short-term, with animals returning to the area 
once the noise has ceased (e.g., Bowles et al., 1994; Goold, 1996; 
Stone et al., 2000; Morton and Symonds, 2002; Gailey et al., 2007). 
Longer-term displacement is possible, however, which may lead to 
changes in abundance or distribution patterns of the affected species 
in the affected region if habituation to the presence of the sound does 
not occur (e.g., Blackwell et al., 2004; Bejder et al., 2006; Teilmann 
et al., 2006).
    A flight response is a dramatic change in normal movement to a 
directed and rapid movement away from the perceived location of a sound 
source. The flight response differs from other avoidance responses in 
the intensity of the response (e.g., directed movement, rate of 
travel). Relatively little information on flight responses of marine 
mammals to anthropogenic signals exist, although observations of flight 
responses to the presence of predators have occurred (Connor and 
Heithaus, 1996). The result of a flight response could range from 
brief, temporary exertion and displacement from the area where the 
signal provokes flight to, in extreme cases, marine mammal strandings 
(Evans and England, 2001). However, it should be noted that response to 
a perceived predator does not necessarily invoke flight (Ford and 
Reeves, 2008), and whether individuals are solitary or in groups may 
influence the response.
    Behavioral disturbance can also impact marine mammals in more 
subtle ways. Increased vigilance may result in costs related to 
diversion of focus and attention (i.e., when a response consists of 
increased vigilance, it may come at the cost of decreased attention to 
other critical behaviors such as foraging or resting). These effects 
have generally not been demonstrated for marine mammals, but studies 
involving fish and terrestrial animals have shown that increased 
vigilance may substantially reduce feeding rates (e.g., Beauchamp and 
Livoreil, 1997; Fritz et al., 2002; Purser and Radford, 2011). In 
addition, chronic disturbance can cause population declines through 
reduction of fitness (e.g., decline in body condition) and subsequent 
reduction in reproductive success, survival, or both (e.g., Harrington 
and Veitch, 1992; Daan et al., 1996; Bradshaw et al., 1998). However, 
Ridgway et al. (2006) reported that increased vigilance in bottlenose 
dolphins exposed to sound over a five-day period did not cause any 
sleep deprivation or stress effects.
    Many animals perform vital functions, such as feeding, resting, 
traveling, and socializing, on a diel cycle (24-hour cycle). Disruption 
of such functions resulting from reactions to stressors such as sound 
exposure are more likely to be significant if they last more than one 
diel cycle or recur on subsequent days (Southall et al., 2007). 
Consequently, a behavioral response lasting less than one day and not 
recurring on subsequent days is not considered particularly severe 
unless it could directly affect reproduction or survival (Southall et 
al., 2007). Note that there is a difference between multi-day 
substantive behavioral reactions and multi-day anthropogenic 
activities. For example, just because an activity lasts for multiple 
days does not necessarily mean that individual animals are either 
exposed to activity-related stressors for multiple days or, further, 
exposed in a manner resulting in sustained multi-day substantive 
behavioral responses.
    3. Stress responses--An animal's perception of a threat may be 
sufficient to trigger stress responses consisting of some combination 
of behavioral responses, autonomic nervous system responses, 
neuroendocrine responses, or immune responses (e.g., Seyle, 1950; 
Moberg, 2000). In many cases, an animal's first and sometimes most

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economical (in terms of energetic costs) response is behavioral 
avoidance of the potential stressor. Autonomic nervous system responses 
to stress typically involve changes in heart rate, blood pressure, and 
gastrointestinal activity. These responses have a relatively short 
duration and may or may not have a significant long-term effect on an 
animal's fitness.
    Neuroendocrine stress responses often involve the hypothalamus-
pituitary-adrenal system. Virtually all neuroendocrine functions that 
are affected by stress--including immune competence, reproduction, 
metabolism, and behavior--are regulated by pituitary hormones. Stress-
induced changes in the secretion of pituitary hormones have been 
implicated in failed reproduction, altered metabolism, reduced immune 
competence, and behavioral disturbance (e.g., Moberg, 1987; Blecha, 
2000). Increases in the circulation of glucocorticoids are also equated 
with stress (Romano et al., 2004).
    The primary distinction between stress (which is adaptive and does 
not normally place an animal at risk) and ``distress'' is the cost of 
the response. During a stress response, an animal uses glycogen stores 
that can be quickly replenished once the stress is alleviated. In such 
circumstances, the cost of the stress response would not pose serious 
fitness consequences. However, when an animal does not have sufficient 
energy reserves to satisfy the energetic costs of a stress response, 
energy resources must be diverted from other functions. This state of 
distress will last until the animal replenishes its energetic reserves 
sufficient to restore normal function.
    Relationships between these physiological mechanisms, animal 
behavior, and the costs of stress responses are well-studied through 
controlled experiments and for both laboratory and free-ranging animals 
(e.g., Holberton et al., 1996; Hood et al., 1998; Jessop et al., 2003; 
Krausman et al., 2004; Lankford et al., 2005). Stress responses due to 
exposure to anthropogenic sounds or other stressors and their effects 
on marine mammals have also been reviewed (Fair and Becker, 2000; 
Romano et al., 2002b) and, more rarely, studied in wild populations 
(e.g., Romano et al., 2002a). For example, Rolland et al. (2012) found 
that noise reduction from reduced ship traffic in the Bay of Fundy was 
associated with decreased stress in North Atlantic right whales. These 
and other studies lead to a reasonable expectation that some marine 
mammals will experience physiological stress responses upon exposure to 
acoustic stressors and that it is possible that some of these would be 
classified as ``distress.'' In addition, any animal experiencing TTS 
would likely also experience stress responses (NRC, 2003).
    4. Auditory masking--Sound can disrupt behavior through masking, or 
interfering with, an animal's ability to detect, recognize, or 
discriminate between acoustic signals of interest (e.g., those used for 
intraspecific communication and social interactions, prey detection, 
predator avoidance, navigation) (Richardson et al., 1995). Masking 
occurs when the receipt of a sound is interfered with by another 
coincident sound at similar frequencies and at similar or higher 
intensity, and may occur whether the sound is natural (e.g., snapping 
shrimp, wind, waves, precipitation) or anthropogenic (e.g., shipping, 
sonar, seismic exploration) in origin. The ability of a noise source to 
mask biologically important sounds depends on the characteristics of 
both the noise source and the signal of interest (e.g., signal-to-noise 
ratio, temporal variability, direction), in relation to each other and 
to an animal's hearing abilities (e.g., sensitivity, frequency range, 
critical ratios, frequency discrimination, directional discrimination, 
age or TTS hearing loss), and existing ambient noise and propagation 
conditions.
    Under certain circumstances, marine mammals experiencing 
significant masking could also be impaired from maximizing their 
performance fitness in survival and reproduction. Therefore, when the 
coincident (masking) sound is man-made, it may be considered harassment 
when disrupting or altering critical behaviors. It is important to 
distinguish TTS and PTS, which persist after the sound exposure, from 
masking, which occurs during the sound exposure. Because masking 
(without resulting in TS) is not associated with abnormal physiological 
function, it is not considered a physiological effect, but rather a 
potential behavioral effect.
    The frequency range of the potentially masking sound is important 
in determining any potential behavioral impacts. For example, low-
frequency signals may have less effect on high-frequency echolocation 
sounds produced by odontocetes but are more likely to affect detection 
of mysticete communication calls and other potentially important 
natural sounds such as those produced by surf and some prey species. 
The masking of communication signals by anthropogenic noise may be 
considered as a reduction in the communication space of animals (e.g., 
Clark et al., 2009) and may result in energetic or other costs as 
animals change their vocalization behavior (e.g., Miller et al., 2000; 
Foote et al., 2004; Parks et al., 2007b; Di Iorio and Clark, 2009; Holt 
et al., 2009). Masking can be reduced in situations where the signal 
and noise come from different directions (Richardson et al., 1995), 
through amplitude modulation of the signal, or through other 
compensatory behaviors (Houser and Moore, 2014). Masking can be tested 
directly in captive species (e.g., Erbe, 2008), but in wild populations 
it must be either modeled or inferred from evidence of masking 
compensation. There are few studies addressing real-world masking 
sounds likely to be experienced by marine mammals in the wild (e.g., 
Branstetter et al., 2013).
    Masking affects both senders and receivers of acoustic signals and 
can potentially have long-term chronic effects on marine mammals at the 
population level as well as at the individual level. Low-frequency 
ambient sound levels have increased by as much as 20 dB (more than 
three times in terms of SPL) in the world's ocean from pre-industrial 
periods, with most of the increase from distant commercial shipping 
(Hildebrand, 2009). All anthropogenic sound sources, but especially 
chronic and lower-frequency signals (e.g., from vessel traffic), 
contribute to elevated ambient sound levels, thus intensifying masking.
    Potential effects of SWFSC activity--As described previously (see 
``Description of Active Acoustic Sound Sources''), the SWFSC proposes 
to use various active acoustic sources, including echosounders (e.g., 
multibeam systems), scientific sonar systems, positional sonars (e.g., 
net sounders for determining trawl position), and environmental sensors 
(e.g., current profilers). These acoustic sources, which are present on 
most SWFSC fishery research vessels, include a variety of single, dual, 
and multi-beam echosounders (many with a variety of modes), sources 
used to determine the orientation of trawl nets, and several current 
profilers.
    Many typically investigated acoustic sources (e.g., seismic 
airguns, low- and mid-frequency active sonar used for military 
purposes, pile driving, vessel noise)--sources for which certain of the 
potential acoustic effects described above have been observed or 
inferred--produce signals that are either much lower frequency and/or 
higher total energy (considering output sound levels and signal 
duration) than the high-frequency mapping and fish-finding systems used 
by the SWFSC. There has

[[Page 8202]]

been relatively little attention given to the potential impacts of 
high-frequency sonar systems on marine life, largely because their 
combination of high output frequency and relatively low output power 
means that such systems are less likely to impact many marine species. 
However, some marine mammals do hear and produce sounds within the 
frequency range used by these sources and ambient noise is much lower 
at high frequencies, increasing the probability of signal detection 
relative to other sounds in the environment.
    As noted above, relatively high levels of sound are likely required 
to cause TTS in most pinnipeds and odontocete cetaceans. While 
dependent on sound exposure frequency, level, and duration, NMFS' 
acoustics experts believe that existing studies indicate that for the 
kinds of relatively brief exposures potentially associated with 
transient sounds such as those produced by the active acoustic sources 
used by the SWFSC, SPLs in the range of approximately 180-220 dB rms 
might be required to induce onset TTS levels for most species (SWFSC, 
2013). However, it should be noted that there may be increased 
sensitivity to TTS for certain species generally (harbor porpoise; 
Lucke et al., 2009) or specifically at higher sound exposure 
frequencies, which correspond to a species' best hearing range (20 kHz 
vs. 3 kHz for bottlenose dolphins; Finneran and Schlundt, 2010). 
However, for these animals, which are better able to hear higher 
frequencies and may be more sensitive to higher frequencies, exposures 
on the order of approximately 170 dB rms or higher for brief transient 
signals are likely required for even temporary (recoverable) changes in 
hearing sensitivity that would likely not be categorized as 
physiologically damaging (SWFSC, 2013). The corresponding estimates for 
PTS would be at very high received levels that would rarely be 
experienced in practice.
    Based on discussion provided by Southall et al. (2007), Lurton and 
DeRuiter (2011) modeled the potential impacts of conventional 
echosounders on marine mammals, estimating PTS onset at typical 
distances of 10-100 m for the kinds of sources considered here. Kremser 
et al. (2005) modeled the potential for TTS in blue, sperm, and beaked 
whales (please see Kremser et al. [2005] for discussion of assumptions 
regarding TTS onset in these species) from a multibeam echosounder, 
finding similarly that TTS would likely only occur at very close ranges 
to the hull of the vessel. The authors estimated ship movement at 12 kn 
(faster than SWFSC vessels would typically move), which would result in 
an underestimate of the potential for TTS to occur, but the modeled 
system (Hydrosweep) operates at lower frequencies and with a wider beam 
pattern than do typical SWFSC systems, which would result in a likely 
more significant overestimate of TTS potential. The results of both 
studies emphasize that these effects would very likely only occur in 
the cone ensonified below the ship and that animal responses to the 
vessel (sound or physical presence) at these extremely close ranges 
would very likely influence their probability of being exposed to these 
levels. At the same distances, but to the side of the vessel, animals 
would not be exposed to these levels, greatly decreasing the potential 
for an animal to be exposed to the most intense signals. For example, 
Kremser et al. (2005) note that SPLs outside the vertical lobe, or 
beam, decrease rapidly with distance, such that SPLs within the 
horizontal lobes are about 20 dB less than the value found in the 
center of the beam. For certain species (i.e., odontocete cetaceans and 
especially harbor porpoises), these ranges may be somewhat greater 
based on more recent data (Lucke et al., 2009; Finneran and Schlundt, 
2010) but are likely still on the order of hundreds of meters. In 
addition, potential behavioral responses further reduce the already low 
likelihood that an animal may approach close enough for any type of 
hearing loss to occur.
    Various other studies have evaluated the environmental risk posed 
by use of specific scientific sonar systems. Burkhardt et al. (2007) 
considered both the Hydrosweep system evaluated by Kremser et al. 
(2005) and the Simrad EK60, which is used by the SWFSC, and concluded 
that direct injury (i.e., sound energy causes direct tissue damage) and 
indirect injury (i.e., self-damaging behavior as response to acoustic 
exposure) would be unlikely given source and operational use (i.e., 
vessel movement) characteristics, and that any behavioral responses 
would be unlikely to be significant. Similarly, Boebel et al. (2006) 
considered the Hydrosweep system in relation to the risk for direct or 
indirect injury, concluding that (1) risk of TTS (please see Boebel et 
al. [2006] for assumptions regarding TTS onset) would be less than two 
percent of the risk of ship strike and (2) risk of behaviorally-induced 
damage would be essentially nil due to differences in source 
characteristics between scientific sonars and sources typically 
associated with stranding events (e.g., mid-frequency active sonar, but 
see discussion of Madagascar stranding event below). It should be noted 
that the risk of direct injury may be greater when a vessel operates 
sources while on station (i.e., stationary), as there is a greater 
chance for an animal to receive the signal when the vessel is not 
moving.
    Boebel et al. (2005) report the results of a workshop in which a 
structured, qualitative risk analysis of a range of acoustic technology 
was undertaken, specific to use of such technology in the Antarctic. 
The authors assessed a single-beam echosounder commonly used for 
collecting bathymetric data (12 kHz, 232 dB, 10[deg] beam width), an 
array of single-beam echosounders used for mapping krill (38, 70, 120, 
and 200 kHz; 230 dB; 7[deg] beam width), and a multibeam echosounder 
(30 kHz, 236 dB, 150[deg] x 1[deg] swath width). For each source, the 
authors produced a matrix displaying the severity of potential 
consequences (on a six-point scale) against the likelihood of 
occurrence for a given degree of severity. For the former two systems, 
the authors determined on the basis of the volume of water potentially 
affected by the system and comparisons between its output and available 
TTS data that the chance of TTS is only in a small volume immediately 
under the transducers, and that consequences of level four and above 
were inconceivable, whereas level one consequences (``Individuals show 
no response, or only a temporary (minutes) behavior change'') would be 
expected in almost all instances. Some minor displacement of animals in 
the immediate vicinity of the ship may occur. For the multibeam 
echosounder, Boebel et al. (2005) note that the high output and broad 
width of the swath abeam of the vessel makes displacement of animals 
more likely. However, the fore and aft beam width is small and the 
pulse length very short, so the risk of ensonification above TTS levels 
is still considered quite small and the likelihood of auditory or other 
injuries low. In general, the authors reached the same conclusions 
described for the single-beam systems, but note that more severe 
impacts--including fatalities resulting from herding of sensitive 
species in narrow sea ways--are at least possible (i.e., may occur in 
exceptional circumstances). However, the probability of herding remains 
low not just because of the rarity of the necessary confluence of 
species, bathymetry, and likely other factors, but because the 
restricted beam shape makes it unlikely that an animal would be exposed 
more than briefly during the

[[Page 8203]]

passage of the vessel (Boebel et al., 2005).
    We have, however, considered the potential for severe behavioral 
responses such as stranding and associated indirect injury or mortality 
from SWFSC use of the multibeam echosounder, on the basis of a 2008 
mass stranding of approximately one hundred melon-headed whales in a 
Madagascar lagoon system. An investigation of the event indicated that 
use of a high-frequency mapping system (12-kHz multibeam echosounder; 
it is important to note that all SWFSC sources operate at higher 
frequencies [see Table 2]) was the most plausible and likely initial 
behavioral trigger of the event, while providing the caveat that there 
is no unequivocal and easily identifiable single cause (Southall et 
al., 2013). The panel's conclusion was based on (1) very close temporal 
and spatial association and directed movement of the survey with the 
stranding event; (2) the unusual nature of such an event coupled with 
previously documented apparent behavioral sensitivity of the species to 
other sound types (Southall et al., 2006; Brownell et al., 2009); and 
(3) the fact that all other possible factors considered were determined 
to be unlikely causes. Specifically, regarding survey patterns prior to 
the event and in relation to bathymetry, the vessel transited in a 
north-south direction on the shelf break parallel to the shore, 
ensonifying large areas of deep-water habitat prior to operating 
intermittently in a concentrated area offshore from the stranding site; 
this may have trapped the animals between the sound source and the 
shore, thus driving them towards the lagoon system.
    The investigatory panel systematically excluded or deemed highly 
unlikely nearly all potential reasons for these animals leaving their 
typical pelagic habitat for an area extremely atypical for the species 
(i.e., a shallow lagoon system). Notably, this was the first time that 
such a system has been associated with a stranding event.
    The panel also noted several site- and situation-specific secondary 
factors that may have contributed to the avoidance responses that led 
to the eventual entrapment and mortality of the whales. Specifically, 
shoreward-directed surface currents and elevated chlorophyll levels in 
the area preceding the event may have played a role (Southall et al., 
2013). The report also notes that prior use of a similar system in the 
general area may have sensitized the animals and also concluded that, 
for odontocete cetaceans that hear well in higher frequency ranges 
where ambient noise is typically quite low, high-power active sonars 
operating in this range may be more easily audible and have potential 
effects over larger areas than low frequency systems that have more 
typically been considered in terms of anthropogenic noise impacts. It 
is, however, important to note that the relatively lower output 
frequency, higher output power, and complex nature of the system 
implicated in this event, in context of the other factors noted here, 
likely produced a fairly unusual set of circumstances that indicate 
that such events would likely remain rare and are not necessarily 
relevant to use of lower-power, higher-frequency systems more commonly 
used for scientific applications. The risk of similar events recurring 
may be very low, given the extensive use of active acoustic systems 
used for scientific and navigational purposes worldwide on a daily 
basis and the lack of direct evidence of such responses previously 
reported.
    Characteristics of the sound sources predominantly used by SWFSC 
further reduce the likelihood of effects to marine mammals, as well as 
the intensity of effect assuming that an animal perceives the signal. 
Intermittent exposures--as would occur due to the brief, transient 
signals produced by these sources--require a higher cumulative SEL to 
induce TTS than would continuous exposures of the same duration (i.e., 
intermittent exposure results in lower levels of TTS) (Mooney et al., 
2009a; Finneran et al., 2010). In addition, intermittent exposures 
recover faster in comparison with continuous exposures of the same 
duration (Finneran et al., 2010). Although echosounder pulses are, in 
general, emitted rapidly, they are not dissimilar to odontocete 
echolocation click trains. Research indicates that marine mammals 
generally have extremely fine auditory temporal resolution and can 
detect each signal separately (e.g., Au et al., 1988; Dolphin et al., 
1995; Supin and Popov, 1995; Mooney et al., 2009b), especially for 
species with echolocation capabilities. Therefore, it is likely that 
marine mammals would indeed perceive echosounder signals as being 
intermittent.
    We conclude here that, on the basis of available information on 
hearing and potential auditory effects in marine mammals, high-
frequency cetacean species would be the most likely to potentially 
incur temporary hearing loss from a vessel operating high-frequency 
sonar sources, and the potential for PTS to occur for any species is so 
unlikely as to be discountable. Even for high-frequency cetacean 
species, individuals would have to make a very close approach and also 
remain very close to vessels operating these sources in order to 
receive multiple exposures at relatively high levels, as would be 
necessary to cause TTS. Additionally, given that behavioral responses 
typically include the temporary avoidance that might be expected (see 
below), the potential for auditory effects considered physiological 
damage (injury) is considered extremely low in relation to realistic 
operations of these devices. Given the fact that fisheries research 
survey vessels are moving, the likelihood that animals may avoid the 
vessel to some extent based on either its physical presence or due to 
aversive sound (vessel or active acoustic sources), and the 
intermittent nature of many of these sources, the potential for TTS is 
probably low for high-frequency cetaceans and very low to zero for 
other species.
    Based on the source operating characteristics, most of these 
sources may be detected by odontocete cetaceans (and particularly high-
frequency specialists such as porpoises) but are unlikely to be audible 
to mysticetes (i.e., low-frequency cetaceans) and most pinnipeds. While 
low-frequency cetaceans and pinnipeds have been observed to respond 
behaviorally to low- and mid-frequency sounds (e.g., Frankel, 2005), 
there is little evidence of behavioral responses in these species to 
high-frequency sound exposure (e.g., Jacobs and Terhune, 2002; 
Kastelein et al., 2006). If a marine mammal does perceive a signal from 
a SWFSC active acoustic source, it is likely that the response would 
be, at most, behavioral in nature. Behavioral reactions of free-ranging 
marine mammals to scientific sonars are likely to vary by species and 
circumstance. For example, Watkins et al. (1985) note that sperm whales 
did not appear to be disturbed by or even aware of signals from 
scientific sonars and pingers (36-60 kHz) despite being very close to 
the transducers, but Gerrodette and Pettis (2005) report that, when a 
38-kHz echosounder and ADCP were on (1) the average size of detected 
schools of spotted dolphins and pilot whales was decreased; (2) 
perpendicular sighting distances increased for spotted and spinner 
dolphins; and (3) sighting rates decreased for beaked whales. As 
described above, behavioral responses of marine mammals are extremely 
variable, depending on multiple exposure factors, with the most common 
type of observed response being behavioral avoidance of areas around

[[Page 8204]]

aversive sound sources. Certain odontocete cetaceans (particularly 
harbor porpoises and beaked whales) are known to avoid high-frequency 
sound sources in both field and laboratory settings (e.g., Kastelein et 
al., 2000, 2005b, 2008a, b; Culik et al., 2001; Johnston, 2002; Olesiuk 
et al., 2002; Carretta et al., 2008). There is some additional, low 
probability for masking to occur for high-frequency specialists, but 
similar factors (directional beam pattern, transient signal, moving 
vessel) mean that the significance of any potential masking is probably 
inconsequential.

Potential Effects of Visual Disturbance

    During AMLR surveys conducted during the southern hemisphere 
winter, pinnipeds are expected to be hauled out on ice and at times 
experience incidental close approaches by the survey vessel during the 
course of its fisheries research activities. SWFSC expects some of 
these animals will exhibit a behavioral response to the visual stimuli 
(e.g., including alert behavior, movement, vocalizing, or flushing). 
NMFS does not consider the lesser reactions (e.g., alert behavior) to 
constitute harassment. These events are expected to be infrequent and 
cause only a temporary disturbance on the order of minutes. Monitoring 
results from other activities involving the disturbance of pinnipeds 
and relevant studies of pinniped populations that experience more 
regular vessel disturbance indicate that individually significant or 
population level impacts are unlikely to occur.
    In areas where disturbance of haul-outs due to periodic human 
activity (e.g., researchers approaching on foot, passage of small 
vessels, maintenance activity) occurs, monitoring results have 
generally indicated that pinnipeds typically move or flush from the 
haul-out in response to human presence or visual disturbance, although 
some individuals typically remain hauled-out (e.g., SCWA, 2012). The 
nature of response is generally dependent on species. For example, 
California sea lions and northern elephant seals have been observed as 
less sensitive to stimulus than harbor seals during monitoring at 
numerous sites. Monitoring of pinniped disturbance as a result of 
abalone research in the Channel Islands showed that while harbor seals 
flushed at a rate of 69 percent, California sea lions flushed at a rate 
of only 21 percent. The rate for elephant seals declined to 0.1 percent 
(VanBlaricom, 2010).
    Upon the occurrence of low-severity disturbance (i.e., the approach 
of a vessel or person as opposed to an explosion or sonic boom), 
pinnipeds typically exhibit a continuum of responses, beginning with 
alert movements (e.g., raising the head), which may then escalate to 
movement away from the stimulus and possible flushing into the water. 
Flushed pinnipeds typically re-occupy the haul-out within minutes to 
hours of the stimulus.
    In a popular tourism area of the Pacific Northwest where human 
disturbances occurred frequently, past studies observed stable 
populations of seals over a twenty-year period (Calambokidis et al., 
1991). Despite high levels of seasonal disturbance by tourists using 
both motorized and non-motorized vessels, Calambokidis et al. (1991) 
observed an increase in site use (pup rearing) and classified this area 
as one of the most important pupping sites for seals in the region. 
Another study observed an increase in seal vigilance when vessels 
passed the haul-out site, but then vigilance relaxed within ten minutes 
of the vessels' passing (Fox, 2008). If vessels passed frequently 
within a short time period (e.g., 24 hours), a reduction in the total 
number of seals present was also observed (Fox, 2008).
    Level A harassment, serious injury, or mortality could likely only 
occur as a result of trampling in a stampede (a potentially dangerous 
occurrence in which large numbers of animals succumb to mass panic and 
rush away from a stimulus) or abandonment of pups. However, AMLR 
surveys that have the potential to disturb pinnipeds on ice occur 
during austral winter and are unlikely to overlap in time with the 
periods when pups would be vulnerable to extended separation or 
trampling. While data on Antarctic pinniped phenology are limited, 
available information supports the intuitive conclusion that winter 
surveys would not overlap with pupping or lactation periods. The range 
of earliest to latest phocid pup observation over the course of five 
research voyages in east Antarctica from 1985-1999 was October 2, while 
the latest was December 25 (Southwell et al., 2003). Given the nature 
of potential disturbance--which would entail the gradual and highly 
visible approach of a large vessel--we would expect that pinnipeds 
would exhibit a gradual response escalation, and that stampeding would 
likely not be an issue.
    Disturbance of pinnipeds caused by SWFSC survey activities--which 
are sparsely distributed in space and time--would be expected to last 
for only short periods of time, separated by significant amounts of 
time in which no disturbance occurred. Because such disturbance is 
sporadic, rather than chronic, and of low intensity, individual marine 
mammals are unlikely to incur any detrimental impacts to vital rates or 
ability to forage and, thus, loss of fitness. Correspondingly, even 
local populations, much less the overall stocks of animals, are 
extremely unlikely to accrue any significantly detrimental impacts.

Anticipated Effects on Marine Mammal Habitat

    Effects to prey--In addition to direct, or operational, 
interactions between fishing gear and marine mammals, indirect (i.e., 
biological or ecological) interactions occur as well, in which marine 
mammals and fisheries both utilize the same resource, potentially 
resulting in competition that may be mutually disadvantageous (e.g., 
Northridge, 1984; Beddington et al., 1985; Wickens, 1995). Marine 
mammal prey varies by species, season, and location and, for some, is 
not well documented. There is some overlap in prey of marine mammals in 
the CCE and the species sampled and removed during SWFSC research 
surveys, with primary species of concern being small, energy-rich, 
schooling species such as Pacific sardine, anchovies, and jack 
mackerel.
    However, the total amount of these species taken in research 
surveys is very small relative to their overall biomass in the area 
(See Section 4.2.3 of the SWFSC EA for more information on fish catch 
during research surveys). For example, the average annual catch of 
Pacific sardines in the course of all SWFSC research surveys during 
2007-11 was approximately 1.6 metric tons (mt). Research catch is 
therefore a very small fraction of the estimated biomass for Pacific 
sardines (157 million mt; Hill et al., 2011), and is negligible 
compared to the combined commercial harvest for sardines (145,861 mt) 
in the CCE (2010 data; Hill et al., 2011). The average annual catch of 
anchovies in the course of all SWFSC research surveys in the past five 
years is about 1.2 mt. Biomass estimates are not available for this 
species, but the overfishing level has been set at 139,000 mt and 
commercial harvests off the U.S. Pacific coast are about 2,093 mt per 
year (2010 data, Hill et al., 2011). For jack mackerel, average 
combined SWFSC research catch (0.4 mt) compares to an overfishing level 
of 126,000 mt and commercial harvests of about 309 mt (2010 data, Hill 
et al., 2011). Other species of fish and invertebrates that are used as 
prey by marine mammals are taken in research

[[Page 8205]]

surveys as well but, as exemplified by these three predominant species, 
the proportions of research catch compared to biomass and commercial 
harvest is very small.
    In addition to the small total biomass taken, some of the size 
classes of fish targeted in research surveys are very small (e.g., 
juvenile rockfish are typically only centimeters long) and these small 
size classes are not known to be prey of marine mammals in the CCE. 
Research catches are also distributed over a wide area because of the 
random sampling design covering large sample areas. Fish removals by 
research are therefore highly localized and unlikely to affect the 
spatial concentrations and availability of prey for any marine mammal 
species. This is especially true for pinnipeds in the CCE, which are 
opportunistic predators that consume a wide assortment of fish and 
squid, and judging by their increasing populations throughout their 
range and expanding range into the Pacific Northwest (Caretta et al., 
2014), food availability does not appear to be a limiting factor 
(Baraff and Loughlin, 2000; Scordino, 2010). The overall effect of 
research catches on marine mammals through competition for prey may 
therefore be considered insignificant for all species in the CCE.
    SWFSC research catches in the ETP are currently limited to tiny 
amounts of plankton (about 20 kg total) and juvenile fish (about 1 kg 
total) collected over vast areas of the ocean. The effects on marine 
mammals are therefore insignificant for all species in the ETP. The 
addition of a few longline sets would likely take some species and size 
classes used as prey by marine mammals, but the effort would be so 
small and distributed over such a large area that it would not change 
this conclusion.
    In the AMLR, SWFSC surveys are primarily focused on Antarctic 
krill, which are a key component of the food web for numerous marine 
mammals (including fur seals and baleen whales) as well as penguins and 
other birds. Acoustic data are used to measure abundance and 
distribution of krill but very small amounts of krill and zooplankton 
are also captured in small-mesh nets (e.g., IKMT) for biometric data. 
Krill abundance and distribution is driven by weather and oceanographic 
forces and varies tremendously over space (patchy distribution) and 
over time. Biomass estimates are only available in the few places where 
research occurs (South Shetland Islands and Elephant Island). Estimates 
of krill biomass in each of three monitored areas have averaged between 
0.5-2.5 million mt in the past few years (e.g., Van Cise, 2009). The 
amount of krill and other zooplankton collected during research is an 
insignificant fraction of overall biomass and would not affect the 
abundance or availability of prey for any marine mammals. The SWFSC 
also conducts periodic bottom trawl surveys in the South Orkney Islands 
area to monitor the recovery of several finfish that were overfished in 
the 1970s-80s. These surveys are only conducted every two or three 
years as funds and appropriate charter vessels become available. During 
one recent survey, a total of 7.7 mt of fish were collected from 65 
species (Van Cise, 2009). This data has been used to estimate densities 
of the different species in the area, with the most common species 
caught having densities up to 7 mt/nm\2\. It is not known how important 
these species or size classes taken during research are to marine 
mammals in the area. However, given the periodic nature of the surveys 
and the relatively small amount of fish removed from the system over a 
large area, it is unlikely to affect the distribution or availability 
of prey for any marine mammal species.
    Acoustic habitat--Acoustic habitat is the soundscape--which 
encompasses all of the sound present in a particular location and time, 
as a whole--when considered from the perspective of the animals 
experiencing it. Animals produce sound for, or listen for sounds 
produced by, conspecifics (communication during feeding, mating, and 
other social activities), other animals (finding prey or avoiding 
predators), and the physical environment (finding suitable habitats, 
navigating). Together, sounds made by animals and the geophysical 
environment (e.g., produced by earthquakes, lightning, wind, rain, 
waves) make up the natural contributions to the total acoustics of a 
place. These acoustic conditions, termed acoustic habitat, are one 
attribute of an animal's total habitat.
    Soundscapes are also defined by, and acoustic habitat influenced 
by, the total contribution of anthropogenic sound. This may include 
incidental emissions from sources such as vessel traffic, or may be 
intentionally introduced to the marine environment for data acquisition 
purposes (as in the SWFSC's use of active acoustic sources). 
Anthropogenic noise varies widely in its frequency content, duration, 
and loudness and these characteristics greatly influence the potential 
habitat-mediated effects to marine mammals (please see also the 
previous discussion on masking under ``Acoustic Effects''), which may 
range from local effects for brief periods of time to chronic effects 
over large areas and for long durations. Depending on the extent of 
effects to habitat, animals may alter their communications signals 
(thereby potentially expending additional energy) or miss acoustic cues 
(either conspecific or adventitious). For more detail on these concepts 
see, e.g., Barber et al., 2010; Pijanowski et al., 2011; Francis and 
Barber, 2013; Lillis et al., 2014.
    Problems arising from a failure to detect cues are more likely to 
occur when noise stimuli are chronic and overlap with biologically 
relevant cues used for communication, orientation, and predator/prey 
detection (Francis and Barber, 2013). As described above (``Acoustic 
Effects''), the signals emitted by SWFSC active acoustic sources are 
generally high frequency, of short duration, and transient. These 
factors mean that the signals will attenuate rapidly (not travel over 
great distances), may not be perceived or affect perception even when 
animals are in the vicinity, and would not be considered chronic in any 
given location. SWFSC use of these sources is widely dispersed in both 
space and time. In conjunction with the prior factors, this means that 
it is highly unlikely that SWFSC use of these sources would, on their 
own, have any appreciable effect on acoustic habitat. Sounds emitted by 
SWFSC vessels would be of lower frequency and continuous, but would 
also be widely dispersed in both space and time. SWFSC vessel traffic--
including both sound from the vessel itself and from the active 
acoustic sources--is of very low density compared to commercial 
shipping traffic or commercial fishing vessels and would therefore be 
expected to represent an insignificant incremental increase in the 
total amount of anthropogenic sound input to the marine environment.
    Aside from bottom trawling in the AMLR--which is conducted only 
every two to three years in a relatively limited portion of the overall 
region, and therefore represents an insignificant impact--SWFSC 
activities would not be expected to have any impact on physical habitat 
in any specified geographical region. As described in the preceding, 
the potential for SWFSC research to affect the availability of prey to 
marine mammals or to meaningfully impact the quality of acoustic 
habitat is considered to be insignificant for all species, in all three 
specified geographical regions. Effects to habitat will not be 
discussed further in this document.

[[Page 8206]]

Estimated Take by Incidental Harassment, Serious Injury, or Mortality
    Except with respect to certain activities not pertinent here, the 
MMPA defines ``harassment'' as: Any act of pursuit, torment, or 
annoyance which (i) has the potential to injure a marine mammal or 
marine mammal stock in the wild [Level A harassment]; or (ii) 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 [Level B harassment]. Serious injury means any injury that 
will likely result in mortality (50 CFR 216.3).
    Take of marine mammals incidental to SWFSC research activities 
could occur as a result of (1) injury or mortality due to gear 
interaction (CCE and ETP only; Level A harassment, serious injury, or 
mortality); (2) behavioral disturbance resulting from the use of active 
acoustic sources (Level B harassment only); or (3) behavioral 
disturbance of pinnipeds on ice resulting from close proximity of 
research vessels (AMLR only; Level B harassment only).

Estimated Take Due to Gear Interaction

Historical Interactions
    In order to estimate the number of potential incidents of take that 
could occur by M/SI + Level A through gear interaction, we first 
consider SWFSC's record of past such incidents, and then consider in 
addition other species that may have similar vulnerabilities to SWFSC 
midwater trawl and pelagic longline gear as those species for which we 
have historical interaction records. Historical interactions with SWFSC 
research gear are described in Tables 10 and 11. Available records are 
for the years 2006 through present. All historical interactions have 
taken place in the California Current Ecosystem. Please see Figures 
4.2-1 and 4.2-2 in the SWFSC EA for specific locations of these 
incidents.

                                                    Table 10--Historical Interactions With Trawl Gear
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                   Number
                 Gear \1\                             Survey                 Date               Species               Number      released      Total
                                                                                                                      killed       alive
--------------------------------------------------------------------------------------------------------------------------------------------------------
Midwater trawl...........................  Coastal Pelagic Species         4/24/2006  Northern fur seal (CA                  1  ...........            1
                                            (CPS).                                     stock).
Midwater trawl...........................  CPS.........................    4/29/2007  Northern fur seal (CA                  1  ...........            1
                                                                                       stock).
Midwater trawl \2\.......................  Juvenile Rockfish...........    5/30/2007  Northern fur seal (eastern             1  ...........            1
                                                                                       Pacific stock).
Midwater trawl...........................  CPS.........................    4/18/2008  California sea lion........            1  ...........            1
Midwater trawl...........................  CPS.........................    4/21/2008  Pacific white-sided dolphin            1  ...........            1
Midwater trawl...........................  CPS.........................    4/26/2008  Pacific white-sided dolphin            2  ...........            2
Midwater trawl...........................  CPS.........................    4/27/2008  California sea lion........            1  ...........            1
Midwater trawl...........................  CPS.........................    4/27/2008  Northern fur seal (eastern             1  ...........            1
                                                                                       Pacific stock).
Midwater trawl \2\.......................  Juvenile Rockfish...........    6/15/2008  California sea lion........            1            2            3
Midwater trawl...........................  CPS.........................    7/19/2008  Pacific white-sided dolphin            1  ...........            1
Midwater trawl...........................  CPS.........................    7/28/2008  California sea lion........            1  ...........            1
Midwater trawl...........................  CPS.........................    7/31/2008  Northern fur seal (CA                  1  ...........            1
                                                                                       stock).
Midwater trawl...........................  CPS.........................     8/3/2008  Northern fur seal (CA                  1  ...........            1
                                                                                       stock).
Midwater trawl...........................  CPS.........................     8/9/2008  Pacific white-sided dolphin           11  ...........           11
Midwater trawl...........................  CPS.........................     8/9/2008  Northern right whale                   6  ...........            6
                                                                                       dolphin.
Midwater trawl...........................  CPS.........................    8/14/2008  California sea lion........            9  ...........            9
Midwater trawl...........................  CPS.........................     5/1/2009  Pacific white-sided dolphin  ...........            3            3
Midwater trawl \2\.......................  Juvenile Rockfish...........    5/25/2009  California sea lion........  ...........            1            1
Midwater trawl...........................  CPS.........................    4/18/2010  Pacific white-sided dolphin  ...........            1            1
Midwater trawl...........................  CPS.........................    4/25/2010  Pacific white-sided dolphin            1  ...........            1
Midwater trawl \2\.......................  Juvenile Rockfish...........    9/10/2010  Pacific white-sided dolphin            1  ...........            1
Midwater trawl...........................  CPS.........................     4/3/2011  Pacific white-sided dolphin            1  ...........            1
Midwater trawl...........................  Juvenile Salmon.............     9/9/2011  California sea lion........            1  ...........            1
Midwater trawl...........................  Juvenile Salmon.............    9/10/2011  Pacific white-sided dolphin            6  ...........            6
Midwater trawl...........................  CPS.........................    6/29/2012  Pacific white-sided dolphin  ...........            1            1
Midwater trawl...........................  CPS.........................    8/18/2012  Pacific white-sided dolphin            1  ...........            1
Midwater trawl...........................  CPS.........................    8/24/2012  Pacific white-sided dolphin            2  ...........            2
Midwater trawl...........................  CPS.........................     8/1/2013  Pacific white-sided dolphin            1            2            3
Midwater trawl...........................  Juvenile Salmon.............    9/14/2013  Pacific white-sided dolphin            3  ...........            3
Midwater trawl \2\.......................  Juvenile Rockfish...........     6/1/2014  Pacific white-sided dolphin            1  ...........            1
    Total individuals captured (total number of interactions given in parentheses)..  Northern fur seal (6)......            6  ...........            6
                                                                                      California sea lion (7)....           14            3           17
                                                                                      Pacific white-sided dolphin           32            7           39
                                                                                       (16).                                 6                         6
                                                                                      Northern right whale
                                                                                       dolphin (1).
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ All incidents involved use of the NETS Nordic 264 midwater trawl, except as noted below.
\2\ These incidents involved use of the modified-Cobb midwater trawl.


                                                  Table 11--Historical Interactions With Longline Gear
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                   Number
                   Gear                               Survey                 Date               Species               Number      released      Total
                                                                                                                      killed       alive
--------------------------------------------------------------------------------------------------------------------------------------------------------
Pelagic longline.........................  Highly Migratory Species         9/6/2008  California sea lion........  ...........            1            1
                                            (HMS).
Pelagic longline.........................  HMS.........................    9/15/2008  California sea lion........  ...........            1            1
Pelagic longline.........................  Thresher Shark..............    9/18/2009  California sea lion........  ...........            1            1
Pelagic longline.........................  HMS.........................    7/27/2010  California sea lion........  ...........            1            1
Pelagic longline.........................  HMS.........................    6/23/2012  California sea lion........  ...........            1            1

[[Page 8207]]

 
Pelagic longline.........................  HMS.........................    7/10/2013  California sea lion........  ...........            1            1
Pelagic longline.........................  HMS.........................     7/2/2014  California sea lion........  ...........            1            1
                                          --------------------------------------------------------------------------------------------------------------
    Total................................  ............................  ...........  ...........................  ...........            7            7
--------------------------------------------------------------------------------------------------------------------------------------------------------

    The SWFSC has no recorded interactions with any gear other than 
midwater trawl and pelagic longline. As noted previously in ``Potential 
Effects of the Specified Activity on Marine Mammals,'' we do not 
anticipate any future interactions in any other gears, including the 
bottom trawl gear periodically employed by the SWFSC in the AMLR. 
Although some historical interactions resulted in the animal(s) being 
released alive, no serious injury determinations (NMFS, 2012a; 2012b) 
were made, and it is possible that some of these animals later died. In 
order to use these historical interaction records in a precautionary 
manner as the basis for the take estimation process, and because we 
have no specific information to indicate whether any given future 
interaction might result in M/SI versus Level A harassment, we 
conservatively assume that all interactions equate to mortality.
    During trawl surveys, SWFSC has recorded interactions with northern 
fur seals (California and eastern Pacific stocks; six total 
interactions with six individual animals); California sea lions (seven 
total interactions with seventeen animals); Pacific white-sided 
dolphins (sixteen interactions with 39 animals); and northern right 
whale dolphins (one interaction with six animals). No northern fur seal 
has been captured since 2008, and northern right whale dolphins have 
been involved in only one incident, also in 2008. Therefore, California 
sea lions and Pacific white-sided dolphins are the species most likely 
to interact with SWFSC trawl gear. Averages of 2.4 sea lions and 2.4 
dolphins have been captured per interaction; however, these numbers are 
skewed by separate, single incidents in which nine sea lions and eleven 
dolphins were captured. The latter of these was the same trawl in which 
six northern right whale dolphins were captured and is the only 
incident in which more than one species was captured. Excluding these 
likely outliers leaves an average of 1.3 sea lions and 1.8 dolphins 
captured per event. For longline gear, only California sea lions have 
been captured. Each longline incident involved a single animal and all 
animals have been released alive; however, as for incidents involving 
trawl gear, no serious injury determinations were made.
    In order to produce the most precautionary take estimates possible, 
we use here the most recent five years of data that includes 2008 
(e.g., 2008-12). As previously noted, there were dramatically more of 
both interactions and animals captured (41 animals captured in fourteen 
interactions across both longline and trawl gear) in the year 2008 than 
in any other year (an average of 4.3 animals captured in 2.8 
interactions in all other years). We believe a five-year time frame 
provides enough data to adequately capture year-to-year variation in 
take levels, while reflecting recent environmental conditions and 
survey protocols that may change over time.

California Current Ecosystem

    In order to estimate the potential number of incidents of M/SI + 
Level A that could occur incidental to the SWFSC's use of midwater 
trawl and pelagic longline gear in the CCE over the five-year period 
from 2015-19, we first look at the four species described that have 
been taken historically and then evaluate the potential vulnerability 
of additional species to these gears. Table 12 shows the five-year 
annual average captures of these four species and the projected five-
year totals for this proposed rule, for both trawl and longline gear. 
In order to produce precautionary estimates, we calculate the annual 
average for the designated five-year period (2008-12), round up to the 
nearest whole number, and assume that this number may be taken in each 
future year. This is precautionary in part because we include 2008 in 
the five-year average, which skews the data for all species captured in 
trawl gear (though not for longline). These estimates are based on the 
assumption that annual effort (e.g., total annual trawl tow time) over 
the proposed five-year authorization period will not exceed the annual 
effort during the period 2008-12.

                       Table 12--Annual Average Captures (2008-12) and Projected Five-Year Total for Historically Captured Species
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                              Maximum for   Average per    Projected 5-
                  Gear                              Species            2008    2009    2010    2011    2012   any set \1\      year       year total \2\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Trawl...................................  Pacific white-sided             15       3       3       7       4           11           6.4               35
                                           dolphin.
                                          California sea lion.......      15       1       0       1       0            9           3.4               20
                                          Northern right whale             6       0       0       0       0            6           1.2               10
                                           dolphin.
                                          Northern fur seal.........       3       0       0       0       0            1           0.6                5
Longline................................  California sea lion.......       2       1       1       0       1            1           1                  5
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ The maximum number of individual animals captured in a single trawl tow or longline set, 2008-12.
\2\ The estimated total is the product of the 2008-12 annual average rounded up to the nearest whole number and multiplied by the five-year timespan of
  the proposed rule.

    As background to the process of determining which species not 
historically taken may have sufficient vulnerability to capture in 
SWFSC gear to justify inclusion in the take authorization request, we 
note that the SWFSC is NMFS' research arm in the southwest portion of 
the West Coast Region and may be considered as a leading source of 
expert knowledge regarding marine mammals (e.g., behavior, abundance, 
density) in the

[[Page 8208]]

areas where they operate. The species for which the take request was 
formulated were selected by the SWFSC, and we have concurred with these 
decisions.
    In order to evaluate the potential vulnerability of additional 
species to midwater trawl and pelagic longline gear, we first consulted 
NMFS' List of Fisheries (LOF), which classifies U.S. commercial 
fisheries into one of three categories according to the level of 
incidental marine mammal M/SI that is known to occur on an annual basis 
over the most recent five-year period (generally) for which data has 
been analyzed: Category I, frequent incidental M/SI; Category II, 
occasional incidental M/SI; and Category III, remote likelihood of or 
no known incidental M/SI. We provide this information, as presented in 
the 2014 LOF (79 FR 14418; April 14, 2014), in Table 13 (note that 
Table 13 includes information for CCE and ETP species). In order to 
simplify information presented, and to encompass information related to 
other similar species from different locations, we group marine mammals 
by genus (where there is more than one member of the genus found in 
U.S. waters). Where there are documented incidents of M/SI incidental 
to relevant commercial fisheries, we note whether we believe those 
incidents provide sufficient basis upon which to infer vulnerability to 
capture in SWFSC research gear. More information is available on the 
Internet at: www.nmfs.noaa.gov/pr/interactions/lof/ lof/.

                      Table 13--U.S. Commercial Fisheries Interactions for Midwater Trawl and Pelagic Longline for Relevant Species
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                  Midwater trawl    Location/fishery       Vulnerability       Pelagic longline  Location/fishery      Vulnerability
          Species \1\                  \2\                \3\              inferred? \4\             \2\                \3\            inferred? \4\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gray whale....................  N                  n/a..............  n/a                     N                  n/a.............  n/a
Humpback whale................  Y                  AK BSAI pollock    N                       Y                  HI shallow-set    N
                                                    trawl (2).                                                    longline (0.75).
Balaenoptera spp\5\...........  Y                  AK GOA pollock     N                       N                  n/a.............  n/a
                                                    trawl (0).
Sperm whale...................  N                  n/a..............  n/a                     Y                  HI deep-set       N
                                                                                                                  longline (3),
                                                                                                                  ATL large
                                                                                                                  pelagics
                                                                                                                  longline (0).
Kogia spp.....................  N                  n/a..............  n/a                     Y                  HI shallow-set    Y
                                                                                                                  longline (0).
Cuvier's beaked whale.........  N                  n/a..............  n/a                     Y                  American Samoa    N
                                                                                                                  longline (0),
                                                                                                                  ATL large
                                                                                                                  pelagics
                                                                                                                  longline (0).
Baird's beaked whale..........  N                  n/a..............  n/a                     N                  n/a.............  n/a
Mesoplodon spp................  N                  n/a..............  n/a                     Y                  HI shallow-set    N
                                                                                                                  longline
                                                                                                                  (1),\7\ ATL
                                                                                                                  large pelagics
                                                                                                                  longline (0).
Rough-toothed dolphin.........  N                  n/a..............  n/a                     Y                  American Samoa    Y
                                                                                                                  longline (10.9).
Common bottlenose dolphin.....  N                  n/a..............  n/a                     Y                  HI deep-set       Y
                                                                                                                  longline (9),
                                                                                                                  HI shallow-set
                                                                                                                  longline (7),
                                                                                                                  ATL large
                                                                                                                  pelagics
                                                                                                                  longline (23.8).
Stenella spp..................  N                  n/a..............  n/a                     Y                  HI deep-set       Y
                                                                                                                  longline (7),
                                                                                                                  HI shallow-set
                                                                                                                  longline (3),
                                                                                                                  ATL large
                                                                                                                  pelagics
                                                                                                                  longline (16).
Delphinis spp.................  Y                  MA midwater trawl  Y                       Y                  ATL large         Y
                                                    (3.2), NE                                                     pelagics
                                                    midwater trawl                                                longline (8.5).
                                                    (0).
Fraser's dolphin..............  N                  n/a..............  n/a                     N                  n/a.............  n/a
Lagenorhynchus spp\6\.........  n/a                n/a..............  n/a                     N                  n/a.............  n/a
Northern right whale dolphin    n/a                n/a..............  n/a                     N                  n/a.............  n/a
 \6\.
Risso's dolphin...............  Y                  MA midwater trawl  Y                       Y                  HI deep-set       Y
                                                    (1).                                                          longline (8),
                                                                                                                  HI shallow-set
                                                                                                                  longline (18),
                                                                                                                  ATL large
                                                                                                                  pelagics
                                                                                                                  longline (49).
Melon-headed whale............  N                  n/a..............  n/a                     N                  n/a.............  n/a
Pygmy killer whale............  N                  n/a..............  n/a                     N                  n/a.............  n/a
False killer whale............  N                  n/a..............  n/a                     Y                  HI deep-set       Y
                                                                                                                  longline
                                                                                                                  (112),\8\ HI
                                                                                                                  shallow-set
                                                                                                                  longline
                                                                                                                  (2.5),\8\
                                                                                                                  American Samoa
                                                                                                                  longline (23.5).
Killer whale..................  N                  n/a..............  n/a                     Y                  ATL large         N
                                                                                                                  pelagics
                                                                                                                  longline (0).
Globicephala spp..............  Y                  MA midwater trawl  N                       Y                  HI deep-set       Y
                                                    (12), NE                                                      longline
                                                    midwater trawl                                                (5.5),\8\ HI
                                                    (16).                                                         shallow-set
                                                                                                                  longline
                                                                                                                  (0.5),\8\
                                                                                                                  American Samoa
                                                                                                                  longline (0),
                                                                                                                  ATL large
                                                                                                                  pelagics
                                                                                                                  longline (598).

[[Page 8209]]

 
Harbor porpoise...............  N                  n/a..............  n/a                     N                  n/a.............  n/a
Dall's porpoise...............  Y                  AK BSAI pollock    Y                       N                  n/a.............  n/a
                                                    trawl (1.2); AK
                                                    GOA pollock
                                                    trawl (0).
Guadalupe fur seal............  N                  n/a..............  n/a                     N                  n/a.............  n/a
Northern fur seal \6\.........  n/a                n/a..............  n/a                     N                  n/a.............  n/a
California sea lion \6\.......  n/a                n/a..............  n/a                     n/a                n/a.............  n/a
Steller sea lion..............  Y                  AK BSAI pollock    Y                       N                  n/a.............  n/a
                                                    trawl (36.8); AK
                                                    GOA pollock
                                                    trawl (0).
Phoca spp.....................  Y                  AK BSAI pollock    Y                       N                  n/a.............  n/a
                                                    trawl (1.2), NE
                                                    midwater trawl
                                                    (3.3).
Northern elephant seal........  Y                  AK GOA pollock     Y                       N                  n/a.............  n/a
                                                    trawl (0).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Category I fisheries using midwater trawl or pelagic longline gear (estimated # fishery participants): Hawaii (HI) deep-set longline (129); Atlantic
  Ocean, Caribbean, Gulf of Mexico (ATL) large pelagics longline (420)
Category II fisheries: HI shallow-set longline (20); Alaska Bering Sea, Aleutian Islands (AK BSAI) pollock (Theragra chalcogramma) trawl (95); American
  Samoa longline (24); HI shortline (11; no documented incidental M/SI); Mid-Atlantic (MA) midwater trawl (322); Northeast (NE) midwater trawl (1,103)
Category III fisheries: AK Gulf of Alaska (GOA) pollock trawl (62); California pelagic longline (1; no documented incidental M/SI); HI vertical longline
  (9; no documented incidental M/SI); AK food/bait herring trawl (4; no documented incidental M/SI)
\1\ Please refer to Table 3 for taxonomic reference.
\2\ Indicates whether any member of the genus has documented incidental M/SI in a U.S. fishery using that gear in the most recent five-year timespan for
  which data is available.
\3\ Values in parentheses represent estimates of M/SI for that fishery in the most recent five-year timespan for which data is available (2007-11 in
  most cases). An interaction may be prorated if it is documented as an injury but the severity of the injury is unknown (e.g., one entanglement may be
  estimated as 0.75 M/SI). Where there is less than one hundred percent observer coverage, documented M/SI is extrapolated to produce whole-fishery
  estimates. Associated CVs are not presented here; please refer to relevant SARs for more information. Some species have zero M/SI for 2007-11, but
  remain listed on that fishery's current list of marine mammal species/stocks injured/killed due to older interactions (e.g., one Cuvier's beaked whale
  capture was documented in the ATL large pelagics longline fishery in 2003).
\4\ Where there are no documented incidents of M/SI incidental to relevant commercial fisheries, this is not applicable.
\5\ One minke whale was captured in a midwater trawl and released alive by NMFS' Northeast Fisheries Science Center in 2009. It was later determined
  that this capture constituted a serious injury.
\6\ This exercise is considered ``not applicable'' for those species historically captured in SWFSC gear. Historical record, rather than analogy, is
  considered the best information upon which to base a take estimate.
\7\ One additional unidentified beaked whale was incidentally captured in this fishery during 2007-11.
\8\ These include documented interactions with unidentified ``blackfish'' (i.e., pilot whales or false killer whales) and are prorated to species based
  on distance from shore.

    Information related to incidental M/SI in relevant commercial 
fisheries is not, however, the sole determinant of whether it may be 
appropriate to authorize M/SI + Level A incidental to SWFSC survey 
operations. A number of factors (e.g., species-specific knowledge 
regarding animal behavior, overall abundance in the geographic region, 
density relative to SWFSC survey effort, feeding ecology, propensity to 
travel in groups commonly associated with other species historically 
taken) were taken into account by the SWFSC to determine whether a 
species may have a similar vulnerability to certain types of gear as 
historically taken species. In some cases, we have determined that 
species without documented M/SI may nevertheless be vulnerable to 
capture in SWFSC research gear. Similarly, we have determined that some 
species groups with documented M/SI are not likely to be vulnerable to 
capture in SWFSC gear. In these instances, we provide further 
explanation below. Those species with no records of historical 
interaction with SWFSC research gear and no documented M/SI in relevant 
commercial fisheries, and for which the SWFSC has not requested the 
authorization of incidental take, are not considered further in this 
section. The SWFSC believes generally that any sex or age class of 
those species for which take authorization is requested could be 
captured.
    In order to estimate a number of individuals that could potentially 
be captured in SWFSC research gear for those species not historically 
captured, we first determine which species may have vulnerability to 
capture in a given gear. Of those species, we then determine which may 
have a similar propensity to capture in a given gear as a historically 
captured species and which likely do not. For the former, we assume 
that, given similar propensity, it is possible that a worst-case 
scenario of take in a single trawl tow or longline set could occur 
while at the same time contending that, absent significant range shifts 
or changes in habitat usage, capture of a species not historically 
captured would likely be a very rare event. The former assumption also 
accounts for the likelihood that, for species that often travel in 
groups, an incident involving capture of that species is likely to 
involve more than one individual.
    For example, we believe that the Risso's dolphin is potentially 
vulnerable to capture in midwater trawl gear and may have similar 
propensity to capture in that gear as does the Pacific white-sided 
dolphin. Because the greatest number of Pacific white-sided dolphins 
captured in any one trawl tow was eleven individuals (see Table 12), we 
assume that eleven Risso's dolphins could also be captured in a single 
incident. However, in recognition of the fact that any incident 
involving the

[[Page 8210]]

capture of Risso's dolphins would likely be a rare event, we propose a 
total take authorization over the five-year period of the number that 
may result from a single, worst-case incident (eleven dolphins). While 
we do not necessarily believe that eleven Risso's dolphins would be 
captured in a single incident--and that more capture incidents 
involving fewer individuals could occur, as opposed to a single, worst-
case incident--we believe that this is a reasonable approach to 
estimating potential incidents of M/SI + Level A while balancing what 
could happen in a worst-case scenario with the potential likelihood 
that no incidents of capture would actually occur. The historical 
capture of northern right whale dolphins in 2008 provides an 
instructive example of a situation where a worst-case scenario (six 
dolphins captured in a single trawl tow) did occur, but overall capture 
of this species was very rare (no other capture incidents before or 
since).
    Separately, for those species that we believe may have a 
vulnerability to capture in given gear but that we do not believe may 
have a similar propensity to capture in that gear as a historically 
captured species, we assume that capture would be a rare event that 
could involve multiple individuals captured in a single incident or one 
or two individuals captured in one or two incidents. For example, from 
the LOF we infer vulnerability to capture in trawl gear for the Dall's 
porpoise but do not believe that this species has a similar propensity 
for interaction in trawl gear as any historically captured species. 
Therefore, we assume that capture would represent a rare event that 
could occur in any year of the five-year period of proposed 
authorization and may involve one or more individuals. For these 
species we propose to authorize a total taking by M/SI + Level A of 
five individuals over the five-year timespan. These examples are 
provided to illustrate the process while more detail specific to gear 
types is given below.
    Midwater trawl--From the 2014 LOF, we infer vulnerability to 
midwater trawl gear in the CCE for the Risso's dolphin, short- and 
long-beaked common dolphins, Dall's porpoise, Steller sea lion, harbor 
seal, and northern elephant seal. In addition, we consider some of 
these species to have a similar propensity for interaction with trawl 
gear as that demonstrated by the Pacific white-sided dolphin (Risso's 
dolphin, short- and long-beaked common dolphins) and some of these to 
have similar propensity for interaction with trawl gear as that 
demonstrated by the California sea lion (Steller sea lion and harbor 
seal).
    For some species, we believe that there is a reasonable likelihood 
of incidental take although there are no records of incidental M/SI in 
relevant commercial fisheries. The proposed take authorization for 
these species was determined to be appropriate based on analogy to 
other similar species that have been taken either in SWFSC operations 
or in analogous commercial fishery operations. Among species with no 
records of incidental M/SI in the LOF, we believe that the striped 
dolphin and bottlenose dolphin have a similar propensity for 
interaction with trawl gear as that demonstrated by the Pacific white-
sided dolphin and that the harbor porpoise likely has vulnerability 
similar to that demonstrated by the Dall's porpoise. Note also that, 
while the current LOF has no documented incidents of M/SI for these 
species incidental to midwater trawl fisheries, all have been taken 
incidentally in fisheries using bottom trawl gear.
    It is also possible that a captured animal may not be able to be 
identified to species with certainty. Certain pinnipeds and small 
cetaceans are difficult to differentiate at sea, especially in low-
light situations or when a quick release is necessary. For example, a 
captured delphinid that is struggling in the net may escape or be freed 
before positive identification is made. Therefore, the SWFSC has 
requested the authorization of incidental M/SI + Level A for one 
unidentified pinniped and one unidentified small cetacean over the 
course of the five-year period of proposed authorization.
    Pelagic longline--The process is the same as is described above for 
midwater trawl gear. From the 2014 LOF, we infer vulnerability to 
pelagic longline gear in the CCE for the Risso's dolphin, bottlenose 
dolphin, striped dolphin, pygmy and dwarf sperm whale (i.e., Kogia 
spp.), short- and long-beaked common dolphins, and short-finned pilot 
whale. Despite an absence of records of incidental M/SI in the LOF for 
Steller sea lions, we also believe that this species is vulnerable to 
capture in pelagic longlines. We note here that, while the current LOF 
has no documented incidents of M/SI for Steller sea lions incidental to 
pelagic longline fisheries, the species has been taken in fisheries 
using bottom longline gear. We do not believe that any of these species 
have a similar propensity for interaction with pelagic longline gear as 
that demonstrated by the California sea lion, which is often present at 
high densities in the areas where SWFSC longline research is conducted. 
We also propose to authorize incidental M/SI + Level A for one 
unidentified pinniped over the course of the five-year period of 
proposed authorization.

              Table 14--Total Estimated M/SI + Level A Due to Gear Interaction in the CCE, 2015-19
----------------------------------------------------------------------------------------------------------------
                                                          Estimated 5-year   Estimated 5-year
                        Species                           total, midwater     total, pelagic     Total, trawl +
                                                             trawl \1\         longline \1\         longline
----------------------------------------------------------------------------------------------------------------
Kogia spp.\2\..........................................  .................                  1                  1
Bottlenose dolphin (all stocks) \3\....................  .................                  1                  1
Bottlenose dolphin (CA/OR/WA offshore) \4\.............                  8  .................                  8
Bottlenose dolphin (CA coastal) \4\....................                  3  .................                  3
Striped dolphin........................................                 11                  1                 12
Short-beaked common dolphin............................                 11                  1                 12
Long-beaked common dolphin.............................                 11                  1                 12
Pacific white-sided dolphin............................                 35  .................                 35
Northern right whale dolphin...........................                 10  .................                 10
Risso's dolphin........................................                 11                  1                 12
Short-finned pilot whale...............................  .................                  1                  1
Harbor porpoise \4\....................................                  5  .................                  5
Dall's porpoise........................................                  5  .................                  5
Northern fur seal \5\..................................                  5  .................                  5
California sea lion....................................                 20                  5                 25
Steller sea lion.......................................                  9                  1                 10

[[Page 8211]]

 
Harbor seal \4\........................................                  9  .................                  9
Northern elephant seal.................................                  5  .................                  5
Unidentified pinniped..................................                  1                  1                  2
Unidentified cetacean..................................                  1  .................                  1
----------------------------------------------------------------------------------------------------------------
\1\ Please see Table 12 and preceding text for derivation of take estimates.
\2\ We expect that only one Kogia spp. may be taken over the five-year timespan and that it could be either a
  pygmy or dwarf sperm whale.
\3\ As a species believed to have similar propensity for capture in trawl gear as that demonstrated by the
  Pacific white-sided dolphin, we assume that eleven bottlenose dolphins could be captured over the five-year
  timespan. Total potential take of bottlenose dolphins in trawl gear has been apportioned by stock according to
  typical occurrence of that stock relative to SWFSC survey locations. We assume that a maximum of one total
  take of a bottlenose dolphin from either stock may occur in longline gear.
\4\ Incidental take may be of animals from any stock, excluding Washington inland waters stocks.
\5\ Incidental take may be of animals from either the eastern Pacific or California stocks.

    For large whales, beaked whales, and killer whales, observed M/SI 
is extremely rare for trawl gear and, for most of these species, only 
slightly more common in longline gear. Although large whale species 
could become captured or entangled in SWFSC gear, the probability of 
interaction is extremely low considering the lower level of effort 
relative to that of commercial fisheries. For example, there were 
estimated to be three total incidents of sperm whale M/SI in the Hawaii 
deep-set longline fishery from 2007-11. This fishery has 129 
participants, and the fishery as a whole exerts substantially greater 
effort in a given year than does the SWFSC. In a very rough estimate, 
we can say that these three estimated incidents between 2007-11 
represent an insignificant per-participant interaction rate of 0.005 
per year, despite the greater effort. Similarly, there were zero 
documented interactions from 2007-11 in the Atlantic Ocean, Caribbean, 
Gulf of Mexico large pelagics longline fishery, despite a reported 
fishing effort of 8,044 sets and 5,955,800 hooks in 2011 alone 
(Garrison and Stokes, 2012). With an average soak time of ten to 
fourteen hours, this represents an approximate minimum of almost sixty 
million hook hours. For reference, an approximate maximum estimate of 
SWFSC effort is 135,000 hook hours per year. Other large whales, beaked 
whales and killer whales have similarly low rates of interaction with 
commercial fisheries, despite the significantly greater effort. In 
addition, large whales, beaked whales, and killer whales generally 
have, with few exceptions, very low densities in the CCE relative to 
other species (see Table 19). We believe it extremely unlikely that any 
large whale, beaked whale, or killer whale would be captured or 
entangled in SWFSC research gear. Finally, although pilot whales have 
demonstrated vulnerability to midwater trawl gear in Atlantic 
fisheries, we do not infer vulnerability to capture in SWFSC trawl gear 
in the CCE because of the very low density of short-finned pilot whales 
(Table 19).

Eastern Tropical Pacific

    The SWFSC does not currently conduct longline surveys in the ETP, 
but proposes to over the five-year period of this proposed rulemaking. 
The take estimates presented here reflect that likelihood. Assuming 
that longline surveys will be conducted in the ETP, the SWFSC 
anticipates that it will deploy an equal number (or less) of longline 
sets in the ETP relative to the number of sets currently being deployed 
in the CCE. The process described above for the CCE was used in 
determining vulnerability and appropriate take estimates for species in 
the ETP. We assume that a similar level of interaction with pelagic 
longline gear as that demonstrated by the California sea lion in the 
CCE could occur in the ETP, and also assume that the South American sea 
lion may have similar propensity for interaction with longline gear as 
that demonstrated by the California sea lion.
    For all other species listed in Table 15, we infer vulnerability to 
pelagic longline gear in the ETP from the 2014 LOF (see Table 13), and 
assume that capture would likely be a rare event occurring at most once 
over the five-year period proposed for this rulemaking. We also propose 
to authorize incidental M/SI + Level A for one unidentified pinniped 
over the course of the five-year period of proposed authorization.
    Those species with no records of historical interaction with SWFSC 
research gear and no documented M/SI in relevant commercial fisheries, 
and for which the SWFSC has not requested the authorization of 
incidental take, are not considered further in this section. Our 
rationale for excluding large whales, beaked whales, and killer whales 
from the species for which take is proposed to be authorized is the 
same as described previously for the CCE. As for the CCE, these species 
generally are estimated to have very low densities relative to other 
species (see Table 22). Finally, although Stenella spp. have 
demonstrated a general vulnerability to pelagic longline gear in U.S. 
commercial fisheries (see Table 13), there is no documented M/SI for 
spinner dolphins specifically. All Stenella spp. present in the ETP are 
also present in Hawaiian waters and, while Hawaii longline fisheries 
have documented interactions with striped dolphins and pantropical 
spotted dolphins, there are none for spinner dolphins. Therefore, we do 
not infer vulnerability to capture in SWFSC pelagic longline gear in 
the ETP for spinner dolphins.


 Table 15--Total Estimated M/SI + Level A Due to Gear Interaction in the
                              ETP, 2015-19
------------------------------------------------------------------------
                                                        Estimated 5-year
                       Species                           total, pelagic
                                                          longline \1\
------------------------------------------------------------------------
Dwarf sperm whale....................................                  1
Rough-toothed dolphin................................                  1
Bottlenose dolphin...................................                  1

[[Page 8212]]

 
Striped dolphin......................................                  1
Pantropical spotted dolphin \2\......................                  1
Short-beaked common dolphin \2\......................                  1
Long-beaked common dolphin...........................                  1
Risso's dolphin......................................                  1
False killer whale...................................                  1
Short-finned pilot whale.............................                  1
California sea lion..................................                  5
South American sea lion..............................                  5
Unidentified pinniped................................                  1
------------------------------------------------------------------------
\1\ Please see Tables 12 and 13 and preceding text for derivation of
  take estimates.
\2\ Incidental take may be of animals from any stock.

Estimated Take Due to Acoustic Harassment

    As described previously (``Potential Effects of the Specified 
Activity on Marine Mammals''), we believe that SWFSC use of active 
acoustic sources has, at most, the potential to cause Level B 
harassment of marine mammals. In order to attempt to quantify the 
potential for Level B harassment to occur, NMFS (including the SWFSC 
and acoustics experts from other parts of NMFS) developed an analytical 
framework considering characteristics of the active acoustic systems 
described previously under ``Description of Active Acoustic Sound 
Sources,'' their expected patterns of use in each of the three SWFSC 
operational areas, and characteristics of the marine mammal species 
that may interact with them. We believe that this quantitative 
assessment benefits from its simplicity and consistency with current 
NMFS acoustic guidance regarding Level B harassment but caution that, 
based on a number of deliberately precautionary assumptions, the 
resulting take estimates should be seen as a likely substantial 
overestimate of the potential for behavioral harassment to occur as a 
result of the operation of these systems. Additional details on the 
approach used and the assumptions made that result in conservative 
estimates are described below.
    The assessment paradigm for active acoustic sources used in SWFSC 
fisheries research is relatively straightforward and has a number of 
key simplifying assumptions. NMFS' current acoustic guidance requires 
in most cases that we assume Level B harassment occurs when a marine 
mammal receives an acoustic signal at or above a simple step-function 
threshold. For use of these active acoustic systems, the appropriate 
threshold is 160 dB re 1 [mu]Pa (rms). Estimating the number of 
exposures at the specified received level requires several 
determinations, each of which is described sequentially below:
    (1) A detailed characterization of the acoustic characteristics of 
the effective sound source or sources in operation;
    (2) The operational areas exposed to levels at or above those 
associated with Level B harassment when these sources are in operation;
    (3) A method for quantifying the resulting sound fields around 
these sources; and
    (4) An estimate of the average density for marine mammal species in 
each area of operation.
    Quantifying the spatial and temporal dimension of the sound 
exposure footprint (or ``swath width'') of the active acoustic devices 
in operation on moving vessels and their relationship to the average 
density of marine mammals enables a quantitative estimate of the number 
of individuals for which sound levels exceed the relevant threshold for 
each area. The number of potential incidents of Level B harassment is 
ultimately estimated as the product of the volume of water ensonified 
at 160 dB rms or higher and the volumetric density of animals 
determined from simple assumptions about their vertical stratification 
in the water column. Specifically, reasonable assumptions based on what 
is known about diving behavior across different marine mammal species 
were made to segregate those that predominately remain in the upper 200 
m of the water column versus those that regularly dive deeper during 
foraging and transit. Methods for estimating each of these calculations 
are described in greater detail in the following sections, along with 
the simplifying assumptions made, and followed by the take estimates 
for each specified geographical region.
    Sound source characteristics--An initial characterization of the 
general source parameters for the primary active acoustic sources 
operated by the SWFSC was conducted, enabling a full assessment of all 
sound sources used by the SWFSC and delineation of Category 1 and 
Category 2 sources, the latter of which were carried forward for 
analysis here (see Table 2). This auditing of the active acoustic 
sources also enabled a determination of the predominant sources that, 
when operated, would have sound footprints exceeding those from any 
other simultaneously used sources. These sources were effectively those 
used directly in acoustic propagation modeling to estimate the zones 
within which the 160 dB rms received level would occur.
    Many of these sources can be operated in different modes and with 
different output parameters. In modeling their potential impact areas, 
those features among those given previously in Table 2 (e.g., lowest 
operating frequency) that would lead to the most precautionary estimate 
of maximum received level ranges (i.e., largest ensonified area) were 
used. The effective beam patterns took into account the normal modes in 
which these sources are typically operated. While these signals are 
brief and intermittent, a conservative assumption was taken in ignoring 
the temporal pattern of transmitted pulses in calculating Level B 
harassment events. Operating characteristics of each of the predominant 
sound sources were used in the calculation of effective line-kilometers 
and area of exposure for each source in each survey.

[[Page 8213]]



   Table 16--Effective Exposure Areas for Predominant Acoustic Sources
                         Across Two Depth Strata
------------------------------------------------------------------------
                                                           Effective
                                        Effective        exposure area:
                                      exposure area:     Sea surface to
      Active acoustic system          Sea surface to     depth at which
                                       200 m depth      160-dB threshold
                                         (km\2\)           is reached
                                                            (km\2\)
------------------------------------------------------------------------
Simrad EK500 and EK60 narrow beam            0.013072           0.135404
 echosounders.....................
Simrad ME70 multibeam echosounder.           0.018184           0.018184
Simrad MS70 multibeam sonar \1\...           0.007952           0.007952
Simrad SX90 narrow beam sonar \2\.           0.065275             0.1634
Teledyne RD Instruments ADCP,                  0.0086             0.0187
 Ocean Surveyor...................
------------------------------------------------------------------------
\1\ Effective exposure areas from 0-200 m depth were not separately
  calculated because MS70 operates in a side-looking mode. The estimated
  area ensonified to the maximum range of the 160-dB threshold was used
  for this source in determining the effective exposure area for both
  depth strata.
\2\ Exposure area varies greatly depending on the tilt angle setting of
  the SX90. To approximate the varied usage this system might receive,
  the exposure area for each depth strata was averaged by assuming equal
  usage at tilt angles of 5, 20, 45, and 80 degrees.

    Among Category 2 sources (Table 2), five predominant sources (Table 
16) were identified as having the largest potential impact zones during 
operations, based on their relatively lower output frequency, higher 
output power, and their operational pattern of use. Estimated effective 
cross-sectional areas of exposure were estimated for each of the five 
predominant sources using a commercial software package (MATLAB) and 
key input parameters including source-specific operational 
characteristics (i.e., frequency, beamwidth, source level, tilt angle, 
and horizontal and vertical resolution; see Table 2) and environmental 
characteristics (i.e., depth for attenuation coefficient, temperature, 
salinity, pH, and latitude). Where relevant, calculations were 
performed for different notional operational scenarios and the largest 
cross-sectional area used in estimating take. For example, the EK60 
cross-sectional area was calculated for (a) a simple cone at 3 dB 
points; (b) a rectangle derived from strip width * depth; and (c) 
integration of the nominal beam pattern, which assumes side lobes of 
ensonification (and which is displayed in Figure 6.1 of SWFSC's 
application).
    In determining the effective line-kilometers for each of these 
predominant sources, the operational patterns of use relative to one 
another were further applied to determine which source was the 
predominant one operating at any point in time for each survey. When 
multiple sound sources are used simultaneously, the one with the 
largest potential impact zone in each relevant depth strata is 
considered for use in estimating exposures. For example, when species 
(e.g., sperm whales) regularly dive deeper than 200 m, the largest 
potential impact zone was calculated for both depth strata and in some 
cases resulted in a different source being predominant in one depth 
stratum or the other. This enabled a more comprehensive way of 
accounting for maximum exposures for animals diving in a complex sound 
field resulting from simultaneous sources with different spatial 
profiles. This overall process effectively resulted in three sound 
sources (Table 16; SX90, EK60, and ME70) comprising the total effective 
line-kilometers, their relative proportions depending on the nature of 
each survey in each region.
    Calculating effective line-kilometers--As described below, based on 
the operating parameters for each source type, an estimated volume of 
water ensonified at or above the 160 dB rms threshold was determined. 
In all cases where multiple sources are operated simultaneously, the 
one with the largest estimated acoustic footprint was considered to be 
the effective source. This was calculated for each depth stratum (0-200 
m and greater than 200 m), which in some cases resulted in different 
sources being predominant in each depth stratum for all line-kilometers 
when multiple sources were in operation; this was accounted for in 
estimating overall exposures for species that utilize both depth strata 
(deep divers). For each ecosystem area, the total number of line-
kilometers that would be surveyed was determined, as was the relative 
percentage of surveyed linear kilometers associated with each source 
type. The total line-kilometers for each vessel in each region, the 
effective percentages associated with each of the resulting three 
predominant source types (SX90, EK60, and ME70), and the effective 
total line-kilometers of operation for each source type in each region 
are given below.
    Calculating volume of water ensonified--The cross-sectional area of 
water ensonified at or above the 160 dB rms threshold was calculated 
using a simple model of sound propagation loss, which accounts for the 
loss of sound energy over increasing range. We used a spherical 
spreading model (where propagation loss = 20 * log [range]; such that 
there would be a 6-dB reduction in sound level for each doubling of 
distance from the source), a reasonable approximation over the 
relatively short ranges involved, and accounted for the frequency-
dependent absorption coefficient ([alpha] at 15 [deg]C and 33 ppt) and 
beam pattern of these sound sources, which is generally highly 
directional. The lowest frequency was used for systems that are 
operated over a range of frequencies. The vertical extent of this area 
is calculated for two depth strata (0-200 m and surface to range at 
which the on-axis received level reaches 160 dB rms). These results, 
shown in Table 16, were applied differentially based on the typical 
vertical stratification of marine mammals (see Tables 6.9-6.11). A 
simple visualization of a two-dimensional slice of modeled sound 
propagation is shown in Figure 6.1 of SWFSC's application to illustrate 
the predicted area ensonified to the 160-dB threshold by an EK60 
operated at 18 kHz.
    Following the determination of effective sound exposure area for 
transmissions considered in two dimensions, the next step was to 
determine the effective volume of water ensonified at or above 160 dB 
rms for the entirety of each survey in each region. For each of the 
three predominant sound sources, the volume of water ensonified is 
estimated as the athwartship cross-sectional area (in square 
kilometers) of sound at or above 160 dB rms (as illustrated in Figure 
6.1 of SWFSC's application) multiplied by the total distance traveled 
by the ship. Where different sources operating simultaneously would be 
predominant in each different depth strata (e.g., ME70 and EK60 
operating simultaneously may be predominant in the shallow stratum and 
deep stratum, respectively), the

[[Page 8214]]

resulting cross-sectional area calculated took this into account. 
Specifically, for shallow-diving species this cross-sectional area was 
determined for whichever was predominant in the shallow stratum, 
whereas for deeper-diving species this area was calculated from the 
combined effects of the predominant source in the shallow stratum and 
the (sometimes different) source predominating in the deep stratum. 
This creates an effective total volume characterizing the area 
ensonified when each predominant source is operated and accounts for 
the fact that deeper-diving species may encounter a complex sound field 
in different portions of the water column.
    Marine mammal densities--One of the primary limitations to 
traditional estimates of behavioral harassment from acoustic exposure 
is the assumption that animals are uniformly distributed in time and 
space across very large geographical areas, such as those being 
considered here. There is ample evidence that this is in fact not the 
case and marine species are highly heterogeneous in terms of their 
spatial distribution, largely as a result of species-typical 
utilization of heterogeneous ecosystem features. Some more 
sophisticated modeling efforts have attempted to include species-
typical behavioral patterns and diving parameters in movement models 
that more adequately assess the spatial and temporal aspects of 
distribution and thus exposure to sound (e.g., Navy, 2013). While 
simulated movement models were not used to mimic individual diving or 
aggregation parameters in the determination of animal density in this 
estimation, the vertical stratification of marine mammals based on 
known or reasonably assumed diving behavior was integrated into the 
density estimates used.
    First, typical two-dimensional marine mammal density estimates 
(animals/km\2\) were obtained from various sources for each ecosystem 
area. These were estimated from marine mammal Stock Assessment Reports 
(Allen and Angliss, 2012; Carretta et al., 2011, 2012) and other 
sources (Barlow and Forney, 2007; ManTech-SRS Technologies, 2007) for 
the CCE, from abundance estimates using ship-based surveys of marine 
mammals in the ETP (Gerrodette et al., 2008), and from ship-based 
surveys in the Antarctic. There are a number of caveats associated with 
these estimates:
    (1) They are often calculated using visual sighting data collected 
during one season rather than throughout the year. The time of year 
when data were collected and from which densities were estimated may 
not always overlap with the timing of SWFSC fisheries surveys (detailed 
previously in ``Detailed Description of Activities''). ETP and CCE 
marine mammal densities are calculated from sightings collected from 
August through November. Antarctic densities were calculated from 
sightings collected from January through March.
    (2) The densities used for purposes of estimating acoustic 
exposures do not take into account the patchy distributions of marine 
mammals in an ecosystem, at least on the moderate to fine scales over 
which they are known to occur. Instead, animals are considered evenly 
distributed throughout the assessed area and seasonal movement patterns 
are not taken into account.
    In addition, and to account for at least some coarse differences in 
marine mammal diving behavior and the effect this has on their likely 
exposure to these kinds of often highly directional sound sources, a 
volumetric density of marine mammals of each species was determined. 
This value is estimated as the abundance averaged over the two-
dimensional geographic area of the surveys and the vertical range of 
typical habitat for the population. Habitat ranges were categorized in 
two generalized depth strata (0-200 m and 0 to greater than 200 m) 
based on gross differences between known generally surface-associated 
and typically deep-diving marine mammals (e.g., Reynolds and Rommel, 
1999; Perrin et al., 2009). Animals in the shallow-diving stratum were 
assumed, on the basis on empirical measurements of diving with 
monitoring tags and reasonable assumptions of behavior based on other 
indicators, to spend a large majority of their lives (i.e., greater 
than 75 percent) at depths shallower than 200 m. Their volumetric 
density and thus exposure to sound is therefore limited by this depth 
boundary. In contrast, species in the deeper-diving stratum were 
assumed to regularly dive deeper than 200 m and spend significant time 
at these greater depths. Their volumetric density and thus potential 
exposure to sound at or above the 160 dB rms threshold is extended from 
the surface to the depth at which this received level condition occurs 
(i.e., corresponding to the 0 to greater than 200 m depth stratum).
    The volumetric densities are estimates of the three-dimensional 
distribution of animals in their typical depth strata. For shallow-
diving species the volumetric density is the area density divided by 
0.2 km (i.e., 200 m). For deeper diving species, the volumetric density 
is the area density divided by a nominal value of 0.5 km (i.e., 500 m). 
The two-dimensional and resulting three-dimensional (volumetric) 
densities for each species in each ecosystem area are shown below.
    Using area of ensonification and volumetric density to estimate 
exposures--Estimates of potential incidents of Level B harassment 
(i.e., potential exposure to levels of sound at or exceeding the 160 dB 
rms threshold) are then calculated for each specified geographical 
region by using (1) the combined results from output characteristics of 
each source and identification of the predominant sources in terms of 
acoustic output; (2) their relative annual usage patterns for each 
operational area; (3) a source-specific determination made of the area 
of water associated with received sounds at either the extent of a 
depth boundary or the 160 dB rms received sound level; and (4) 
determination of a biologically-relevant volumetric density of marine 
mammal species in each area. Estimates of Level B harassment by 
acoustic sources are the product of the volume of water ensonified at 
160 dB rms or higher for the predominant sound source for each portion 
of the total line-kilometers for which it is used and the volumetric 
density of animals for each species. These annual estimates are given 
below for each ecosystem area. For each specified geographical region, 
we provide the information described in this paragraph.
    California Current Ecosystem--We first provide information related 
to relative annual usage patterns of predominant active acoustic 
sources in the CCE. For example, the R/V Bell M. Shimada, which is 
expected to travel 39,456 line-kilometers annually in the CCE, uses the 
ME70 during fifty percent of that distance and the EK60 during one 
hundred percent of that distance (Table 17). When the ME70 is on, it is 
the dominant source in the 0-200 m depth stratum (0.018 km\2\ cross-
sectional ensonified area versus 0.013 km\2\ cross-sectional ensonified 
area for the EK60; Table 16); therefore, the ME70 is the dominant 
active acoustic source for fifty percent of the line-kilometers and the 
EK60 is the dominant active acoustic source for the other fifty 
percent. However, in the deeper depth stratum, the EK60 is always the 
dominant source when compared with the ME70 (0.135 km\2\ cross-
sectional ensonified area versus 0.018 km\2\ cross-sectional ensonified 
area for the ME70; Table 16); therefore, the EK60 is the dominant 
active acoustic source in the deeper depth stratum at all times for the 
Shimada.

[[Page 8215]]



           Table 17--Annual Linear Survey Kilometers for Each Vessel Operating in the CCE and Its Predominant Sources Within Two Depth Strata
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                         % time      Line-km/      % time      Line-km/
                                               Line-kms/                                  Overall %      source      dominant      source      dominant
                   Vessel                        vessel               Source                source      dominant   source  (0-    dominant      source
                                                                                          usage \2\    (0-200 m)      200 m)      (>200 m)     (>200 m)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Lasker......................................       67,760  SX90........................           50           50       33,880           50       33,880
                                                           EK60........................          100           50       33,880           50       33,880
Shimada.....................................       39,456  ME70........................           50           50       19,728            0            0
                                                           EK60........................          100           50       19,728          100       39,456
Other.......................................       26,304  EK60........................          100          100       26,304          100       26,304
--------------------------------------------------------------------------------------------------------------------------------------------------------

    Table 18 then shows that, for example, the EK60 is the dominant 
source for sixty percent of total annual survey line-kilometers in the 
CCE in the 0-200 m depth stratum and is the dominant source for 75 
percent of total annual survey line-kilometers in the CCE in the deeper 
depth stratum.

Table 18--Effective Total Annual Survey Kilometers for Which Each Source Type Is the Predominant Acoustic Source
                                             Within Two Depth Strata
----------------------------------------------------------------------------------------------------------------
                                                      Summed         Dominant         Summed         Dominant
                                                  dominant line-  source % total  dominant line-  source % total
                     Source                       kms/source  (0-  line-kms  (0-    kms/source       line-kms
                                                      200 m)          200 m)         (>200 m)        (>200 m)
----------------------------------------------------------------------------------------------------------------
SX90............................................          33,880            25.4          33,880            25.4
EK60............................................          79,912            59.9          99,640            74.6
ME70............................................          19,728            14.8               0               0
----------------------------------------------------------------------------------------------------------------

    Next, we provide volumetric densities for marine mammals in the CCE 
and total estimated takes by Level B harassment, by dominant source and 
total, for each species in the CCE (Table 19). We also provide a sample 
calculation.
    We first determine the source-specific ensonified volume of water 
(i.e., the ensonified volume where we consider a specific source to be 
predominant and therefore have the potential to harass marine mammals) 
and then determine source- and species-specific exposure estimates for 
the shallow and deep (if applicable; Table 19) depth strata. First, we 
know the estimated source-specific cross-sectional ensonified area 
within the shallow and deep strata (Table 16) and the number of annual 
line-kilometers when a given source would be predominant in each 
stratum (Table 18) and use these values to derive an estimated source-
specific ensonified volume. In order to estimate the additional volume 
of ensonified water in the deep stratum, we first subtract the cross-
sectional ensonified area of the shallow stratum (which is already 
accounted for) from that of the deep stratum. Source- and stratum-
specific exposure estimates are the product of these ensonified volumes 
and the species-specific volumetric densities (Table 19).
    To illustrate the process, we focus on the EK60 and the sperm 
whale.
    (1) EK60 ensonified volume; 0-200 m: 0.013072 km\2\ * 79,912 km = 
1,044.6 km\3\
    (2) EK60 ensonified volume; >200 m: (0.135404 km\2\-0.013072 km\2\) 
* 99,640 km = 12,189.2 km\3\
    (3) Estimated exposures to sound >=160 dB rms; sperm whale; EK60: 
(0.0034 sperm whales/km\3\ * 1,044.6 km\3\ = 3.6 [rounded to 4]) + 
(0.0034 sperm whales/km\3\ * 12,189.2 km\3\ = 41.4 [rounded to 41]) = 
45 estimated sperm whale exposures to SPLs >=160 dB rms resulting from 
use of the EK60.

               Table 19--Densities and Estimated Source-, Stratum-, and Species-Specific Annual Estimates of Level B Harassment in the CCE
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                          Area                      Estimated Level B        Estimated Level B
                                                                        density   Volumetric       harassment, 0-200 m       harassment,  >200
                    Species                       Shallow      Deep    (animals/    density  ------------------------------          m            Total
                                                                         km\2\)    (animals/                               --------------------
                                                                          \1\     km\3\) \2\    EK60      ME70      SX90      EK60      SX90
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gray whale.....................................         X   .........        \3\     0.09565       100        34       212         0         0       346
                                                                         0.01913
Humpback whale.................................         X   .........    0.00083     0.00415         4         1         9         0         0        14
Minke whale....................................         X   .........    0.00072     0.00360         4         1         8         0         0        13
Sei whale......................................         X   .........    0.00009     0.00045         0         0         1         0         0         1
Fin whale......................................         X   .........    0.00184     0.00920        10         3        20         0         0        33
Blue whale.....................................         X   .........    0.00136     0.00680         7         2        15         0         0        24
Sperm whale....................................  .........         X     0.00170     0.00340         4         1         8        41        11        65
Kogia spp......................................  .........         X     0.00109     0.00218         2         1         5        27         7        42
Cuvier's beaked whale..........................  .........         X     0.00382     0.00764         8         3        17        93        25       146
Baird's beaked whale...........................  .........         X     0.00088     0.00176         2         1         4        21         6        34
Mesoplodont beaked whales......................  .........         X     0.00103     0.00206         2         1         5        25         7        40
Bottlenose dolphin.............................         X   .........    0.00178     0.00890         9         3        20         0         0        32
Striped dolphin................................         X   .........    0.01667     0.08335        87        30       184         0         0       301
Long-beaked common dolphin.....................         X   .........    0.01924     0.09620       100        35       213         0         0       348
Short-beaked common dolphin....................         X   .........    0.30935     1.54675     1,616       555     3,421         0         0     5,592

[[Page 8216]]

 
Pacific white-sided dolphin....................         X   .........    0.02093     0.10465       109        38       231         0         0       378
Northern right whale dolphin...................         X   .........    0.00975     0.04875        51        17       108         0         0       176
Risso's dolphin................................         X   .........    0.01046     0.05230        55        19       116         0         0       188
Killer whale...................................         X   .........    0.00071     0.00355         4         1         8         0         0        13
Short-finned pilot whale.......................  .........         X     0.00031     0.00062         1         0         1         8         2        12
Harbor porpoise................................         X   .........        \4\     0.18873       197        68       417         0         0       682
                                                                         0.03775
Dall's porpoise................................         X   .........    0.07553     0.37765       395       135       835         0         0     1,365
Guadalupe fur seal.............................         X   .........        \3\     0.03705        39        13        82         0         0       134
                                                                         0.00741
Northern fur seal..............................         X   .........        \3\     1.68275     1,758       604     3,721         0         0    11,791
                                                                         0.65239
California sea lion............................         X   .........        \3\     1.19000     1,243       427     2,632         0         0     5,363
                                                                         0.29675
Steller sea lion...............................         X   .........        \3\     0.29165       305       105       645         0         0     1,141
                                                                         0.06316
Harbor seal....................................         X   .........        \3\     0.25200       263        90       557         0         0       993
                                                                         0.05493
Northern elephant seal.........................  .........         X         \3\     0.24800       259        89       548     3,023       824     4,743
                                                                         0.12400
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ All density estimates from Barlow and Forney (2007) unless otherwise indicated.
\2\ Volumetric density estimates derived by dividing area density estimates by 0.2 km (for shallow species) or 0.5 km (for deep species), corresponding
  with defined depth strata.
\3\ Density estimates derived by SWFSC from SAR abundance estimates and notional study area of 1,000,000 km\2\.
\4\ ManTech-SRS Technologies (2007) estimated a harbor porpoise density for coastal and inland waters of Washington, which is used as the best available
  proxy here. There are no known density estimates for harbor porpoises in SWFSC survey areas in the CCE.

    Eastern Tropical Pacific--The process for estimating potential 
exposures of marine mammals in the ETP to sound from SWFSC active 
acoustic sources at or above the 160-dB rms threshold follows that 
described above. Please refer to that description; here, we provide the 
same information as for the CCE in tabular form.

           Table 20--Annual Linear Survey Kilometers for Each Vessel Operating in the ETP and Its Predominant Sources Within Two Depth Strata
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                         % Time      Line-km/      % Time      Line-km/
                                               Line-kms/                                  Overall %      source      dominant      source      dominant
                   Vessel                        vessel               Source                source      dominant   source  (0-    dominant      source
                                                                                          usage \2\    (0-200 m)      200 m)      (>200 m)     (>200 m)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Lasker......................................       37,710  SX90........................           25           25        9,428           25        9,428
                                                           EK60........................          100           75       28,283           75       28,283
Shimada.....................................       37,710  ME70........................           25           25        9,428            0            0
                                                           EK60........................          100           75       28,283          100       37,710
Other.......................................       18,985  EK60........................          100          100       18,985          100       18,985
--------------------------------------------------------------------------------------------------------------------------------------------------------


Table 21--Effective Total Annual Survey Kilometers for Which Each Source Type Is the Predominant Acoustic Source
                                             Within Two Depth Strata
----------------------------------------------------------------------------------------------------------------
                                                      Summed         Dominant         Summed         Dominant
                                                  dominant line-  source % total  dominant line-  source % total
                     Source                       kms/source  (0-  line-kms  (0-    kms/source       line-kms
                                                      200 m)          200 m)         (>200 m)        (>200 m)
----------------------------------------------------------------------------------------------------------------
SX90............................................           9,428              10           9,428              10
EK60............................................          75,550              80          84,978              90
ME70............................................           9,428              10               0               0
----------------------------------------------------------------------------------------------------------------


               Table 22--Densities and Estimated Source-, Stratum-, and Species-Specific Annual Estimates of Level B Harassment in the ETP
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                          Area                      Estimated Level B        Estimated Level B
                                                                        density   Volumetric       harassment, 0-200 m       harassment,  >200
                    Species                       Shallow      Deep    (animals/    density  ------------------------------          m            Total
                                                                         km\2\)    (animals/                               --------------------
                                                                          \1\     km\3\) \2\    EK60      ME70      SX90      EK60      SX90
--------------------------------------------------------------------------------------------------------------------------------------------------------
Humpback whale.................................         X   .........    0.00013     0.00067         1         0         0         0         0         1
Minke whale....................................         X   .........        \3\     0.00003         0         0         0         0         0         0
                                                                         0.00001
Bryde's whale..................................         X   .........    0.00049     0.00244         2         0         2         0         0         4
Sei whale......................................         X   .........    0.00000     0.00000         0         0         0         0         0         0
Fin whale......................................         X   .........    0.00003     0.00015         0         0         0         0         0         0
Blue whale.....................................         X   .........        \3\     0.00097         1         0         1         0         0         2
                                                                         0.00019
Sperm whale....................................  .........         X         \3\     0.00039         0         0         0         4         0         4
                                                                         0.00019
Dwarf sperm whale..............................  .........         X         \3\     0.00105         1         0         1        11         1        14
                                                                         0.00053
Cuvier's beaked whale..........................  .........         X         \3\     0.00187         2         0         1        19         2        24
                                                                         0.00094
Longman's beaked whale.........................  .........         X         \4\     0.00007         0         0         0         1         0         1
                                                                         0.00004

[[Page 8217]]

 
Mesoplodont beaked whales......................  .........         X         \3\     0.00237         2         0         1        25         2        30
                                                                         0.00119
Rough-toothed dolphin..........................         X   .........    0.00504     0.02521        25         4        16         0         0        45
Bottlenose dolphin.............................         X   .........    0.01573     0.07864        78        13        48         0         0       139
Striped dolphin................................         X   .........    0.04516     0.22582       223        39       139         0         0       401
Pantropical spotted dolphin....................         X   .........        \5\     0.61315       606       105       377         0         0     1,088
                                                                         0.12263
Spinner dolphin................................         X   .........        \6\     0.24889       246        43       153         0         0       442
                                                                         0.04978
Long-beaked common dolphin.....................         X   .........    0.01945     0.09725        96        17        60         0         0       173
Short-beaked common dolphin....................         X   .........        \7\     0.73227       723       126       451         0         0     1,300
                                                                         0.14645
Fraser's dolphin...............................         X   .........        \3\     0.06774        67        12        42         0         0       121
                                                                         0.01355
Dusky dolphin..................................         X   .........    0.00210     0.01050        10         2         6         0         0        18
Risso's dolphin................................         X   .........    0.00517     0.02587        26         4        16         0         0        46
Melon-headed whale.............................         X   .........        \3\     0.01063        10         2         7         0         0        19
                                                                         0.00213
Pygmy killer whale.............................         X   .........        \3\     0.00913         9         2         6         0         0        17
                                                                         0.00183
False killer whale.............................         X   .........        \3\     0.00932         9         2         6         0         0        17
                                                                         0.00186
Killer whale...................................         X   .........        \3\     0.00199         2         0         1         0         0         3
                                                                         0.00040
Short-finned pilot whale.......................  .........         X         \3\     0.05520        55         9        34       574        51       723
                                                                         0.02760
Guadalupe fur seal.............................         X   .........        \8\     0.03705        37         6        23         0         0        66
                                                                         0.00741
California sea lion............................         X   .........        \9\     0.81310       803       139       500         0         0     1,442
                                                                         0.16262
South American sea lion........................         X   .........        \9\     0.81310       803       139       500         0         0     1,442
                                                                         0.16262
Northern elephant seal.........................  .........         X         \8\     0.24800       245        43       153     2,578       229     3,248
                                                                         0.12400
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Please see footnotes to Table 4; densities calculated by SWFSC from sources listed. Note that values presented here are rounded to five digits,
  whereas the volumetric densities are calculated from the unrounded values. Densities derived from abundance estimates given in Gerrodette et al.
  (2008) calculated using given abundances divided by ETP area (sum of stratum areas given in first line of Table 1 in that publication). Densities
  calculated by SWFSC from abundance estimates reported in Wade and Gerrodette (1993) or, for those not reported in that publication, calculated from
  sighting data collected on board SWFSC cetacean and ecosystem assessment surveys in the ETP during 1998-2000, 2003, and 2006 using number of sightings
  (n), mean group size (s), total distance on effort (L) and effective strip width (w) (i.e., D = n*s/2/w/L).
\2\ Volumetric density estimates derived by dividing area density estimates by 0.2 km (for shallow species) or 0.5 km (for deep species), corresponding
  with defined depth strata.
\3\ The most recent abundance estimates are as reported in Table 4. SWFSC considered these species sufficiently rare in the core study area during 2006
  survey effort to not warrant attempting to estimate abundance (Gerrodette et al., 2008), but did estimate the unpublished ETP densities reported here.
\4\ The most recent abundance estimate was reported in Barlow (2006) (see Table 4). SWFSC estimated the unpublished ETP density reported here from
  sighting data collected during SWFSC surveys in 1998-2000, 2003, and 2006.
\5\ Given density is for northeastern offshore stock of pantropical spotted dolphins, and is calculated as stock abundance divided by the summed areas
  of Core, Core2, and N. Coastal strata (Gerrodette et al., 2008). This is the largest density value for the three stocks of spotted dolphin in the ETP
  and is conservatively used here to calculate potential Level B takes of spotted dolphin in the ETP.
\6\ Given density is for the eastern stock of spinner dolphins. This is the largest density value for the three stocks of spinner dolphin in the ETP and
  is conservatively used here to calculate potential Level B takes of spinner dolphin in the ETP. There is no estimate of abundance for the Central
  American stock of spinner dolphins.
\7\ Abundance estimate from which density estimate is derived includes parts of northern and southern stocks and all of the central stock (Gerrodette et
  al., 2008). There are no stock-specific abundance estimates.
\8\ No abundance information exists for Guadalupe fur seals or northern elephant seals in the ETP. Therefore, we use density estimates from the CCE
  (Table 19) as a reasonable proxy.
\9\ There are no available density estimates for California sea lions or South American sea lions in the ETP. The SWFSC reports that California sea
  lions are typically observed in the ETP only along the coast of Baja California, Mexico. Therefore, we estimate density for the California sea lion in
  the ETP using the upper bound of abundance for western Baja California (87,000; Lowry and Maravilla-Chavez, 2005) divided by the area of the N.
  Coastal stratum from Gerrodette et al. (2008). In the absence of other information, we use this value as a reasonable proxy for the South American sea
  lion.

    Antarctic Marine Living Resources Ecosystem--The process for 
estimating potential exposures of marine mammals in the AMLR to sound 
from SWFSC active acoustic sources at or above the 160-dB rms threshold 
follows that described above. Please refer to that description; here, 
we provide the same information as for the CCE and ETP in tabular form.

               Table 23--Annual Linear Survey Kilometers for Vessels Operating in the AMLR and Predominant Source Within Two Depth Strata
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                     % time       Line-km/       % time       Line-km/
                                         Line-kms/                                    Overall %      source       dominant       source       dominant
                Vessel                   vessel \1\              Source             source usage  dominant  (0-  source  (0-    dominant    source (>200
                                                                                         \2\         200 m)        200 m)       (>200 m)         m)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Other.................................       20,846  EK60                                   100           100        20,846           100        20,846
--------------------------------------------------------------------------------------------------------------------------------------------------------


    Table 24--Density (Number/km Surveyed) of Marine Mammals Recorded During AMLR Surveys 2006/07 to 2010/11
----------------------------------------------------------------------------------------------------------------
             Species                  2006/07         2007/08         2008/09         2009/10         2010/11
----------------------------------------------------------------------------------------------------------------
Southern right whale............          0              0.00080               0          0.0003          0
Humpback whale..................          0.0571         0.03049         0.03605          0.0676          0.041
Antarctic minke whale...........          0.0033         0.00064         0.00182          0.0043          0.002
Fin whale.......................          0.0323         0.04367         0.08391          0.0195          0.038
Southern bottlenose whale.......          0.0065         0               0.00061          0.0028          0.001
Hourglass dolphin...............          0              0               0.00151          0.0086          0.007

[[Page 8218]]

 
Killer whale....................          0              0               0.00151          0.0077          0.001
Long-finned pilot whale.........          0              0               0.00757               0          0
Antarctic fur seal..............          0.0140         0.08027         0.09996          0.0599          0.044
Southern elephant seal..........          0.0003         0.00016         0.00030          0.0006          0
Weddell seal....................          0.0007         0.00064               0               0          0
Crabeater seal..................          0.0003         0.00130               0          0.0003          0
Leopard seal....................          0              0               0.00030          0.0009          0
----------------------------------------------------------------------------------------------------------------
Source: Lipsky (2007), Van Cise (2008, 2009, 2011), Walsh (2014).

    Table 24 displays year-by-year sightings data for SWFSC AMLR 
surveys from the most recent five seasons for which data is available 
(note that not all species expected to potentially be present in the 
AMLR have been observed during these surveys). Due to a general lack of 
abundance information in the Antarctic, and because these data are from 
the same area where the SWFSC proposes to continue survey operations, 
we believe that this is the best available information for use in 
estimating potential exposures to sound from SWFSC active acoustic 
sources. These surveys are generally conducted using standard line-
transect theory by trained observers; however, the surveys are not 
conducted for the purpose of generating abundance estimates and 
effective strip width is not defined, nor are sightings data corrected 
for various biases (e.g., detection, perception) on an observer's 
ability to detect an animal. In order to produce precautionary 
estimates, we use the largest value recorded over the five seasons for 
use in calculating estimates of Level B harassment due to acoustic 
exposure in the AMLR (Table 25).

              Table 25--Densities and Estimated Source-, Stratum-, and Species-Specific Annual Estimates of Level B Harassment in the AMLR
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                    Estimated    Estimated
                                                                                                      Volumetric     Level B      Level B
                                                                                       Area density     density    harassment,  harassment,
                         Species                              Shallow        Deep       (animals/km    (animals/      0-200 m      >200 m       Total
                                                                                           \2\)       km\3\) \1\  --------------------------
                                                                                                                       EK60         EK60
--------------------------------------------------------------------------------------------------------------------------------------------------------
Southern right whale.....................................            X   ............   \2\ 0.0008        0.004              1            0            1
Humpback whale...........................................            X   ............   \2\ 0.0676        0.338             92            0           92
Antarctic minke whale....................................            X   ............   \2\ 0.0043        0.0215             6            0            6
Fin whale................................................            X   ............   \2\ 0.08391       0.41955          114            0          114
Blue whale...............................................            X   ............   \3\ 0.00012       0.0006             0            0            0
Sperm whale..............................................  ............            X    \3\ 0.00065       0.0013             0            3            3
Arnoux' beaked whale.....................................  ............            X    \4\ 0.0065        0.013              4           33           37
Southern bottlenose whale................................  ............            X    \2\ 0.0065        0.013              4           33           37
Hourglass dolphin........................................            X   ............   \2\ 0.0086        0.043             12            0           12
Killer whale.............................................            X   ............   \2\ 0.0077        0.0385            11            0           11
Long-finned pilot whale..................................  ............            X    \2\ 0.00757       0.01514            4           39           43
Spectacled porpoise......................................            X   ............   \5\ 0.0086        0.043             12            0           12
Antarctic fur seal.......................................            X   ............   \2\ 0.09996       0.4998           136            0          136
Southern elephant seal...................................  ............            X    \2\ 0.0006        0.0012             0            3            3
Weddell seal.............................................            X   ............   \2\ 0.0007        0.0035             1            0            1
Crabeater seal...........................................            X   ............   \2\ 0.0013        0.0065             2            0            2
Leopard seal.............................................            X   ............   \2\ 0.0009        0.0045             1            0            1
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Volumetric density estimates derived by dividing area density estimates by 0.2 km (for shallow species) or 0.5 km (for deep species), corresponding
  with defined depth strata.
\2\ Densities are the largest values recorded during AMLR surveys from 2006/07 through 2010/11. Please see Table 24.
\3\ See footnotes to Table 5; densities calculated by SWFSC from sources listed.
\4\ There is no available information for this species; therefore, we use the southern bottlenose whale as source of proxy information. However, this
  species is considered uncommon relative to the southern bottlenose whale (Taylor et al., 2008); therefore, this is a conservative estimate.
\5\ There is no available information for this species; therefore, we use the hourglass dolphin as source of proxy information. However, although
  considered to potentially have a circumpolar sub-Antarctic distribution, this species is seen only rarely at sea (Hammond et al., 2008) and use of
  this value likely produces a conservative estimate.

Estimated Take Due to Physical Disturbance, Antarctic

    Estimated take due to physical disturbance could potentially happen 
in the AMLR only as a result of the unintentional approach of SWFSC 
vessels to pinnipeds hauled out on ice, and would result in no greater 
than Level B harassment. During Antarctic ecosystem surveys conducted 
in the austral winter (i.e., June 1 through August 31), it is expected 
that shipboard activities may result in behavioral disturbance of some 
pinnipeds. It is likely that some pinnipeds on ice will move or flush 
from the haul-out into the water in response to the presence or sound 
of SWFSC survey vessels. Behavioral responses may be considered 
according to the scale shown in Table 26. We consider responses 
corresponding to Levels 2-3 to constitute Level B harassment.

[[Page 8219]]



                 Table 26--Seal Response to Disturbance
------------------------------------------------------------------------
             Level               Type of response        Definition
------------------------------------------------------------------------
1.............................  Alert............  Head orientation in
                                                    response to
                                                    disturbance. This
                                                    may include turning
                                                    head towards the
                                                    disturbance, craning
                                                    head and neck while
                                                    holding the body
                                                    rigid in a u-shaped
                                                    position, or
                                                    changing from a
                                                    lying to a sitting
                                                    position.
2.............................  Movement.........  Movements away from
                                                    the source of
                                                    disturbance, ranging
                                                    from short
                                                    withdrawals over
                                                    short distances to
                                                    hurried retreats
                                                    many meters in
                                                    length.
3.............................  Flight...........  All retreats
                                                    (flushes) to the
                                                    water, another group
                                                    of seals, or over
                                                    the ice.
------------------------------------------------------------------------

    The SWFSC has estimated potential incidents of Level B harassment 
due to physical disturbance (Table 27) using the vessel distance 
traveled (20,846 km) during a typical AMLR survey, an effective strip 
width of 200 m (animals are assumed to react if they are less than 100 
m from the vessel; see below), and the estimated population density for 
each species (Table 25). Although there is likely to be variation 
between individuals and species in reactions to a passing research 
vessel--that is, some animals assumed to react in this calculation will 
not react, and others assumed not to react because they are outside the 
effective strip width may in fact react--we believe that this approach 
is a reasonable effort towards accounting for this potential source of 
disturbance and have no information to indicate that the approach is 
biased either negatively or positively. SWFSC used an effective strip 
width of 200 m (i.e., 100 m on either side of a passing vessel) to be 
consistent with the regional marine mammal viewing guidelines that NMFS 
has established for Alaska, which restrict approaches to marine mammals 
to a distance of 100 m or greater in order to reduce the potential to 
cause inadvertent harm. Alaska is believed to have the most similar 
environment to the Antarctic of all regions for which NMFS has 
established viewing guidelines. Each estimate is the product of the 
species-specific density, annual line-kilometers, and the effective 
strip-width.

  Table 27--Estimated Annual Level B Harassment of Pinnipeds Associated
                       With AMLR Vessel Transects
------------------------------------------------------------------------
                                                  Density     Estimated
                    Species                      (animals/     Level B
                                                   km\2\)     harassment
------------------------------------------------------------------------
Antarctic fur seal............................      0.09996          417
Southern elephant seal........................       0.0006            3
Weddell seal..................................       0.0007            3
Crabeater seal................................       0.0013            5
Leopard seal..................................       0.0009            4
------------------------------------------------------------------------

Summary of Estimated Incidental Take

    Here we provide summary tables detailing the total proposed 
incidental take authorization on an annual basis for each specified 
geographical region, as well as other information relevant to the 
negligible impact analyses.

                             Table 28--Summary Information Related to Proposed Annual Take Authorization in the CCE, 2015-19
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                       Estimated
                                                        Proposed total    Percent of  Proposed total    maximum
                     Species \1\                        annual Level B    estimated   M/SI + Level A  annual M/SI    PBR \3\     % PBR \4\   Stock trend
                                                          harassment      population  authorization,   + Level A                                 \5\
                                                        authorization                     2015-19         \2\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Gray whale..........................................                346          1.8              0             0          n/a  ...........       [uarr]
Humpback whale......................................                 14          0.7              0             0          n/a  ...........       [uarr]
Minke whale.........................................                 13          2.7              0             0          n/a  ...........            ?
Sei whale...........................................                  1          0.8              0             0          n/a  ...........            ?
Fin whale...........................................                 33          1.1              0             0          n/a  ...........       [uarr]
Blue whale..........................................                 24          1.5              0             0          n/a  ...........            ?
Sperm whale.........................................                 65          6.7              0             0          n/a  ...........            ?
Kogia spp...........................................                 42          7.3              1           0.2          2.7          7.4            ?
Cuvier's beaked whale...............................                146          2.2              0             0          n/a  ...........       [darr]
Baird's beaked whale................................                 34          4.0              0             0          n/a  ...........            ?
Mesoplodont beaked whales...........................                 40          5.7              0             0          n/a  ...........       [darr]
Bottlenose dolphin (all stocks) \6\.................                 32          n/a              1           n/a          n/a  ...........          n/a
Bottlenose dolphin (CA/OR/WA offshore) \6\..........  .................       \9\3.2              8             2          5.5         36.4            ?
Bottlenose dolphin (CA coastal) \6\.................  .................       \9\9.9              3             1          2.4         41.7       [rarr]
Striped dolphin.....................................                301          2.8             12           2.6           82          3.2            ?
Long-beaked common dolphin..........................                348          0.3             12           2.6          610          0.4       [uarr]
Short-beaked common dolphin.........................              5,592          1.4             12           2.6        3,440          0.1            ?
Pacific white-sided dolphin.........................                378          1.4             35           7.2          171          4.2            ?
Northern right whale dolphin........................                176          2.1             10           2.2           48          4.6            ?
Risso's dolphin.....................................                188          3.0             12           2.6           39          6.7            ?
Killer whale \7\....................................                 13         15.3              0             0          n/a  ...........            ?
Short-finned pilot whale............................                 12          1.6              1           0.2          4.6          4.3            ?
Harbor porpoise \7\.................................                682         23.4              5           1.2           21          5.7            ?
Dall's porpoise.....................................              1,365          3.3              5           1.2          257          0.5            ?
Guadalupe fur seal..................................                134          1.8              0             0          n/a  ...........       [uarr]

[[Page 8220]]

 
Northern fur seal \7\ (PI/EP).......................         \8\ 11,555          1.8              5           1.2          403          0.3       [uarr]
Northern fur seal \7\ (CA)..........................            \8\ 236          1.8              5           1.2          403          0.3       [uarr]
California sea lion.................................              5,363          1.8             25           5.4        9,200          0.1       [uarr]
Steller sea lion....................................              1,141     \10\ 1.8             10           2.4        1,552          0.2       [uarr]
Harbor seal \7\.....................................                993          4.0              9             2        1,343          0.1      [uarr]/
                                                                                                                                                  [rarr]
Northern elephant seal..............................              4,743          3.8              5           1.2        4,382         0.03       [uarr]
Unidentified cetacean...............................                n/a          n/a              1           n/a          n/a  ...........          n/a
Unidentified pinniped...............................                n/a          n/a              2           n/a          n/a  ...........          n/a
--------------------------------------------------------------------------------------------------------------------------------------------------------
 Please see Tables 14 and 19 and preceding text for details.
\1\ For species with multiple stocks in CCE or for species groups (Kogia spp. and Mesoplodont beaked whales), indicated level of take could occur to
  individuals from any stock or species (not including Washington inland waters stocks of harbor porpoise and harbor seal).
\2\ This column represents the total number of incidents of M/SI + Level A that could potentially accrue to the specified species or stock and is the
  number carried forward for evaluation in the negligible impact analysis (later in this document). To reach this total, we add one to the total for
  each pinniped or cetacean that may be captured in trawl gear and one to the total for each pinniped that may be captured in longline gear. This
  represents the potential that the take of an unidentified pinniped or small cetacean could accrue to any given stock captured in that gear. The
  proposed take authorization is formulated as a five-year total; the annual average is used only for purposes of negligible impact analysis. We
  recognize that portions of an animal may not be taken in a given year.
\3\ See Table 3 and following discussion for more detail regarding PBR.
\4\ Estimated maximum annual M/SI + Level A expressed as a percentage of PBR.
\5\ See relevant SARs for more information regarding stock status and trends. Interannual increases may not be interpreted as evidence of a trend. For
  harbor seals, the CA stock is increasing, while the OR/WA coastal stock may have reached carrying capacity and appears stable. There are no evident
  trends for any harbor porpoise stock or for offshore killer whales.
\6\ Total potential take of bottlenose dolphins in trawl gear has been apportioned by stock according to typical occurrence of that stock relative to
  SWFSC survey locations. We assume that only one total take of a bottlenose dolphin from either stock may occur in longline gear; therefore the
  estimated annual maximum numbers for bottlenose dolphin reflect the stock-specific trawl estimate plus one for the longline take plus one for the
  potential take of an unidentified cetacean.
\7\ These species have multiple stocks in the CCE. Values for ``percent of estimated population'' and ``PBR'' (where relevant) calculated for the stock
  with the lowest population abundance and/or PBR (as appropriate). This approach assumes that all indicated takes would accrue to the stock in
  question, which is a very conservative assumption. Stocks in question are the southern resident killer whale, Morro Bay harbor porpoise, California
  northern fur seal, and OR/WA coastal harbor seal.
\8\ Calculated on the basis of relative abundance; i.e., of 6,083 total estimated incidents of Level B harassment, we would expect on the basis of
  relative abundance in the study area that 98 percent would accrue to the Pribilof Islands/Eastern Pacific stock and two percent would accrue to the
  California stock.
\9\ Calculated assuming that all 32 estimated annual incidents of Level B harassment occur to a given stock.
\10\ A range is provided for Steller sea lion abundance. We have used the lower bound of the given range for calculation of this value.


                                            Table 29--Proposed Annual Take Authorization in the ETP, 2015-19
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                   Proposed                                  Estimated
                                                                 total annual   Percent of  Proposed total    maximum
                          Species \1\                              Level B      estimated   M/SI + Level A  annual M/SI        PBR \3\        % PBR \4\
                                                                  harassment    population  authorization,   + Level A
                                                                authorization      \1\          2015-19         \2\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Humpback whale................................................             1          0.04              0             0                 n/a  ...........
Minke whale...................................................             0             0              0             0                 n/a  ...........
Bryde's whale.................................................             4          0.04              0             0                 n/a  ...........
Sei whale.....................................................             0             0              0             0                 n/a  ...........
Fin whale.....................................................             0             0              0             0                 n/a  ...........
Blue whale....................................................             2           0.1              0             0                 n/a  ...........
Sperm whale...................................................             4           0.1              0             0                 n/a  ...........
Dwarf sperm whale.............................................            14           0.1              1           0.2            88 (0.2)          0.2
Cuvier's beaked whale.........................................            24           0.1              0             0                 n/a  ...........
Longman's beaked whale........................................             1           0.1              0             0                 n/a  ...........
Mesoplodont beaked whales.....................................            30           0.1              0             0                 n/a  ...........
Rough-toothed dolphin.........................................            45          0.04              1           0.2          897 (0.02)         0.02
Bottlenose dolphin............................................           139          0.04              1           0.2        2,850 (0.01)         0.01
Striped dolphin...............................................           401          0.04              1           0.2       8,116 (0.002)        0.002
Pantropical spotted dolphin...................................         1,088       \5\ 0.4              1           0.2      12,334 (0.002)        0.002
Spinner dolphin...............................................           442       \5\ 0.1              0             0                 n/a  ...........
Long-beaked common dolphin....................................           173          0.05              1           0.2        2,787 (0.01)         0.01
Short-beaked common dolphin...................................         1,300          0.04              1           0.2      25,133 (0.001)        0.001
Fraser's dolphin..............................................           121          0.04              0             0                 n/a  ...........
Dusky dolphin.................................................            18          0.04              0             0                 n/a  ...........
Risso's dolphin...............................................            46          0.04              1           0.2          831 (0.02)         0.02
Melon-headed whale............................................            19          0.04              0             0                 n/a  ...........
Pygmy killer whale............................................            17          0.04              0             0                 n/a  ...........
False killer whale............................................            17          0.04              1           0.2           244 (0.1)          0.1
Killer whale..................................................             3          0.04              0             0                 n/a  ...........
Short-finned pilot whale......................................           723           0.1              1           0.2       4,751 (0.004)        0.004

[[Page 8221]]

 
Guadalupe fur seal............................................            66        \6\0.9              0             0                 n/a  ...........
California sea lion...........................................         1,442           1.4              5           1.2         1,050 (0.1)          0.1
South American sea lion.......................................         1,442           1.0              5           1.2         1,500 (0.1)          0.1
Northern elephant seal........................................         3,248       \6\ 2.6              0             0                 n/a  ...........
Unidentified pinniped.........................................           n/a           n/a              1           n/a                 n/a  ...........
--------------------------------------------------------------------------------------------------------------------------------------------------------
Please see Tables 15 and 22 and preceding text for details.
\1\ For species with multiple stocks in ETP or for species groups (Mesoplodont beaked whales), indicated level of take could occur to individuals from
  any stock or species.
\2\ This column represents the total number of incidents of M/SI + Level A that could potentially accrue to the specified species and is the number
  carried forward for evaluation in the negligible impact analysis (later in this document). To reach this total, we add one to the total for each
  pinniped that may be captured in longline gear. This represents the potential that the take of an unidentified pinniped could accrue to any given
  species captured in that gear. The proposed take authorization is formulated as a five-year total; the annual average is used only for purposes of
  negligible impact analysis. We recognize that portions of an animal may not be taken in a given year.
\3\ PBR values calculated by SWFSC; a pooled PBR was calculated for all stocks of the pantropical spotted dolphin (see Table 4).
\4\ Estimated maximum annual M/SI + Level A expressed as a percentage of PBR.
\5\ Evaluated against the stock with the lowest estimated abundance. For spinner dolphin, there is no abundance estimate for the Central American stock.
\6\ There are no abundance estimates for these species in the ETP. We use the CCE abundance estimates as proxies in these calculations.


                        Table 30--Proposed Annual Take Authorization in the AMLR, 2015-19
----------------------------------------------------------------------------------------------------------------
                                                            Estimated
                                                              annual      Estimated      Proposed     Percent of
                                                             Level B    annual Level   total annual   estimated
                         Species                            harassment  B harassment     Level B      population
                                                            (acoustic      (on-ice      harassment       \1\
                                                            exposure)   disturbance)  authorization
----------------------------------------------------------------------------------------------------------------
Southern right whale.....................................            1             0             1           0.1
Humpback whale...........................................           92             0            92           1.0
Antarctic minke whale....................................            6             0             6          0.03
Fin whale................................................          114             0           114           2.4
Blue whale...............................................            0             0             0             0
Sperm whale..............................................            3             0             3          0.02
Arnoux' beaked whale \2\.................................           37             0            37           n/a
Southern bottlenose whale................................           37             0            37           0.1
Hourglass dolphin........................................           12             0            12          0.01
Killer whale.............................................           11             0            11          0.04
Long-finned pilot whale..................................           43             0            43          0.02
Spectacled porpoise \2\..................................           12             0            12           n/a
Antarctic fur seal.......................................          136           417           553          0.02
Southern elephant seal...................................            3             3             6         0.001
Weddell seal.............................................            1             3             4     \3\ 0.001
Crabeater seal...........................................            2             5             7    \3\ 0.0001
Leopard seal.............................................            1             4             5     \3\ 0.002
----------------------------------------------------------------------------------------------------------------
Please see Tables 25 and 27 and preceding text for details.
\1\ See Table 5 for abundance information.
\2\ There is no available abundance information for these species. See ``Small Numbers Analyses'' below for
  further discussion.
\3\ A range is provided for these species' abundance. We have used the lower bound of the given range for
  calculation of these values.

Analyses and Preliminary Determinations

    Here we provide separate negligible impact analyses and small 
numbers analyses for each of the three specified geographical regions 
for which we propose rulemaking.

Negligible Impact Analyses

    NMFS has defined ``negligible impact'' in 50 CFR 216.103 as ``. . . 
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.'' A negligible impact finding is based on the 
lack of likely adverse effects on annual rates of recruitment or 
survival (i.e., population-level effects). An estimate of the number of 
takes alone is not enough information on which to base an impact 
determination. In addition to considering estimates of the number of 
marine mammals that might be ``taken'' by mortality, serious injury, 
and Level A or Level B harassment, we consider other factors, such as 
the likely nature of any behavioral responses (e.g., intensity, 
duration), the context of any such responses (e.g., critical 
reproductive time or location, migration), as well as effects on 
habitat. We also evaluate the number, intensity, and context of 
estimated takes by evaluating this information relative to population 
status. The impacts from other past and ongoing anthropogenic 
activities are incorporated into these analyses via their impacts on 
the environmental baseline (e.g., as reflected in the density/
distribution and status of the species, population size and growth 
rate).
    In 1988, Congress amended the MMPA, with provisions for the

[[Page 8222]]

incidental take of marine mammals in commercial fishing operations. 
Congress directed NMFS to develop and recommend a new long-term regime 
to govern such incidental taking (see MMC, 1994). The need to set 
allowable take levels incidental to commercial fishing operations led 
NMFS to suggest a new and simpler conceptual means for assuring that 
incidental take does not cause any marine mammal species or stock to be 
reduced or to be maintained below the lower limit of its Optimum 
Sustainable Population (OSP) level. That concept (PBR) was incorporated 
in the 1994 amendments to the MMPA, wherein Congress enacted MMPA 
sections 117 and 118, establishing a new regime governing the 
incidental taking of marine mammals in commercial fishing operations 
and stock assessments.
    PBR, which is defined by the MMPA (16 U.S.C. 1362(20)) as ``the 
maximum number of animals, not including natural mortalities, that may 
be removed from a marine mammal stock while allowing that stock to 
reach or maintain its optimum sustainable population,'' is one tool 
that can be used to help evaluate the effects of M/SI on a marine 
mammal stock. OSP is defined by the MMPA (16 U.S.C. 1362(9)) as ``the 
number of animals which will result in the maximum productivity of the 
population or the species, keeping in mind the carrying capacity of the 
habitat and the health of the ecosystem of which they form a 
constituent element.'' A primary goal of the MMPA is to ensure that 
each stock of marine mammal either does not have a level of human-
caused M/SI that is likely to cause the stock to be reduced below its 
OSP level or, if the stock is depleted (i.e., below its OSP level), 
does not have a level of human-caused mortality and serious injury that 
is likely to delay restoration of the stock to OSP level by more than 
ten percent in comparison with recovery time in the absence of human-
caused M/SI.
    PBR appears within the MMPA only in section 117 (relating to 
periodic stock assessments) and in portions of section 118 describing 
requirements for take reduction plans for reducing marine mammal 
bycatch in commercial fisheries. PBR was not designed as an absolute 
threshold limiting human activities, but as a means to evaluate the 
relative impacts of those activities on marine mammal stocks. 
Specifically, assessing M/SI relative to a stock's PBR may signal to 
NMFS the need to establish take reduction teams in commercial fisheries 
and may assist NMFS and existing take reduction teams in the 
identification of measures to reduce and/or minimize the taking of 
marine mammals by commercial fisheries to a level below a stock's PBR. 
That is, where the total annual human-caused M/SI exceeds PBR, NMFS is 
not required to halt fishing activities contributing to total M/SI but 
rather may prioritize working with a take reduction team to further 
mitigate the effects of fishery activities via additional bycatch 
reduction measures.
    Since the introduction of PBR, NMFS has used the concept almost 
entirely within the context of implementing sections 117 and 118 and 
other commercial fisheries management-related provisions of the MMPA, 
including those within section 101(a)(5)(E) related to the taking of 
ESA-listed marine mammals incidental to commercial fisheries (64 FR 
28800; May 27, 1999). The MMPA requires that PBR be estimated in stock 
assessment reports and that it be used in applications related to the 
management of take incidental to commercial fisheries (i.e., the take 
reduction planning process described in section 118 of the MMPA), but 
nothing in the MMPA requires the application of PBR outside the 
management of commercial fisheries interactions with marine mammals. 
Although NMFS has not historically applied PBR outside the context of 
sections 117 and 118, NMFS recognizes that as a quantitative tool, PBR 
may be useful in certain instances for evaluating the impacts of other 
human-caused activities on marine mammal stocks. In this analysis, we 
consider incidental M/SI relative to PBR for each affected stock, in 
addition to considering the interaction of those removals with 
incidental taking of that stock by harassment, within our evaluation of 
the likely impacts of the proposed activities on marine mammal stocks 
and in determining whether those impacts are likely to be negligible. 
Our use of PBR in this case does not make up the entirety of our impact 
assessment, but rather is being utilized as a known, quantitative 
metric for evaluating whether the proposed activities are likely to 
have a population-level effect on the affected marine mammal stocks. 
For the purposes of analyzing this specified activity, NMFS 
acknowledges that some of the fisheries research activities use similar 
gear and may have similar effects, but on a smaller scale, as marine 
mammal take by commercial fisheries. The application of PBR for this 
specified activity of fisheries research allows NMFS to inform the take 
reduction team process which uses PBR to evaluate marine mammal bycatch 
in commercial fisheries due to the similarities of both activities.
    California Current Ecosystem--Please refer to Table 28 for 
information relating to this analysis. As described in greater depth 
previously (see ``Acoustic Effects''), we do not believe that SWFSC use 
of active acoustic sources has the likely potential to cause any effect 
exceeding Level B harassment of marine mammals. In addition, for the 
majority of species, the proposed annual take by Level B harassment is 
very low in relation to the population abundance estimate (less than 
ten percent) for each stock.
    We have produced what we believe to be conservative estimates of 
potential incidents of Level B harassment. The procedure for producing 
these estimates, described in detail in ``Estimated Take Due to 
Acoustic Harassment,'' represents NMFS' best effort towards balancing 
the need to quantify the potential for occurrence of Level B harassment 
due to production of underwater sound with a general lack of 
information related to the specific way that these acoustic signals, 
which are generally highly directional and transient, interact with the 
physical environment and to a meaningful understanding of marine mammal 
perception of these signals and occurrence in the areas where SWFSC 
operates. The sources considered here have moderate to high output 
frequencies (10 to 180 kHz), generally short ping durations, and are 
typically focused (highly directional) to serve their intended purpose 
of mapping specific objects, depths, or environmental features. In 
addition, some of these sources can be operated in different output 
modes (e.g., energy can be distributed among multiple output beams) 
that may lessen the likelihood of perception by and potential impacts 
on marine mammals in comparison with the quantitative estimates that 
guide our proposed take authorization.
    In particular, low-frequency hearing specialists (i.e., mysticetes) 
and certain pinnipeds (i.e., otariids) are less likely to perceive or, 
given perception, to react to these signals than the quantitative 
estimates indicate. These groups have reduced functional hearing at the 
higher frequencies produced by active acoustic sources considered here 
(e.g., primary operating frequencies of 40-180 kHz) and, based purely 
on their auditory capabilities, the potential impacts are likely much 
less (or non-existent) than we have calculated as these relevant 
factors are not taken into account.
    However, for purposes of this analysis, we assume that the take 
levels

[[Page 8223]]

proposed for authorization will occur. As described previously, there 
is some minimal potential for temporary effects to hearing for certain 
marine mammals (i.e., odontocete cetaceans), but most effects would 
likely be limited to temporary behavioral disturbance. Effects on 
individuals that are taken by Level B harassment will likely be limited 
to reactions such as increased swimming speeds, increased surfacing 
time, or decreased foraging (if such activity were occurring), 
reactions that are considered to be of low severity (e.g., Southall et 
al., 2007). There is the potential for behavioral reactions of greater 
severity, including displacement, but because of the directional nature 
of the sources considered here and because the source is itself moving, 
these outcomes are unlikely and would be of short duration if they did 
occur. Although there is no information on which to base any 
distinction between incidents of harassment and individuals harassed, 
the same factors, in conjunction with the fact that SWFSC survey effort 
is widely dispersed in space and time, indicate that repeated exposures 
of the same individuals would be very unlikely.
    We now consider the level of taking by M/SI + Level A proposed for 
authorization. First, it is likely that required injury determinations 
will show some undetermined number of gear interactions to result in 
Level A harassment rather than serious injury and that, therefore, our 
authorized take numbers are overestimates with regard solely to M/SI. 
In addition, we note that these proposed take levels are likely 
precautionary overall when considering that: (1) Estimates for 
historically taken species were developed assuming that the annual 
average number of takes from 2008-12, which is heavily influenced by 
inclusion of a year where dramatically more marine mammals were 
incidentally taken than any other year on record, would occur in each 
year from 2015-19; and that (2) the majority of species for which take 
authorization is proposed have never been taken in SWFSC surveys.
    However, assuming that all of the takes proposed for authorization 
actually occur, we assess these quantitatively by comparing to the 
calculated PBR for each stock. Estimated M/SI for all stocks is 
significantly less than PBR (below ten percent, even when making the 
unlikely assumption that all takes for species with multiple stocks 
would accrue to the stock with the lowest PBR) with the exception of 
the two bottlenose dolphin stocks. The annual average take by M/SI + 
Level A for these stocks--which for each assumes that the single take 
of a bottlenose dolphin in longline gear that is proposed for 
authorization occurs for that stock, as well as that the single take of 
an unidentified cetacean proposed for authorization occurs--is, 
however, well below the PBR (takes representing 36 and 42 percent). We 
also note that, for the California coastal stock, the PBR is likely 
biased low because the population abundance estimate, which is based on 
photographic mark-recapture surveys, does not reflect that 
approximately 35 percent of dolphins encountered lack identifiable 
dorsal fin marks (Defran and Weller, 1999). If 35 percent of all 
animals lack distinguishing marks, then the true population size (and 
therefore PBR) would be approximately 450-500 animals (i.e., 
approximately forty-fifty percent larger than the current estimate) 
(Carretta et al., 2014). The California coastal stock is believed to be 
stable, based on abundance estimates from 1987-89, 1996-98, and 2004-05 
(Dudzik et al., 2006), and current annual human-caused M/SI is 
considered to be insignificant and approaching zero (Carretta et al., 
2014). No population trends are known for the offshore stock. However, 
these proposed levels of take do not take into consideration the 
potential efficacy of the mitigation measures proposed by the SWFSC. 
Although potentially confounded by other unknown factors, incidental 
take of marine mammals in SWFSC survey gear (particularly trawl nets) 
has decreased significantly from the high in 2008 since the measures 
proposed here were implemented in 2009. We believe this demonstrates 
the likely potential for reduced takes of any species, including 
bottlenose dolphins, relative to these take estimates which are 
formulated based on the level of taking that occurred in 2008.
    For certain species of greater concern, we also evaluate the 
proposed take authorization for Level B harassment in conjunction with 
that proposed for M/SI + Level A. For the bottlenose dolphin, if all 
acoustic takes occurred to a single stock, it would comprise 9.9 
percent of the California coastal stock and only 3.2 percent of the 
offshore stock. However, it is unlikely that all of these takes would 
accrue to a single stock and the significance of this magnitude of 
Level B harassment is even lower. We do not consider the proposed level 
of acoustic take for bottlenose dolphin to represent a significant 
additional population stressor when considered in context with the 
proposed level of take by M/SI + Level A. Harbor porpoise are known to 
demonstrate increased sensitivity to acoustic signals in the frequency 
range produced by some SWFSC active acoustic sources (see discussion 
above under ``Acoustic Effects''). The total annual taking by Level B 
harassment proposed for authorization for harbor porpoise would likely 
be distributed across all five stocks of this species that occur in the 
CCE. Moreover, because the SWFSC does not regularly operate the surveys 
described above within the confines of Morro Bay, Monterey Bay, or San 
Francisco Bay, and because SWFSC survey effort is sparsely distributed 
in space and time, we would expect any incidents of take occurring to 
animals of those stocks to be transient events, largely occurring to 
individuals of those populations occurring outside those bays but 
within the general limit of harbor porpoise occurrence (i.e., the 200-m 
isobath). Finally, approximately 95 percent of annual SWFSC line-
kilometers traveled using active acoustic sources (see Table 17) are 
beyond the 200-m isobaths. This was not taken into account in the 
calculation of acoustic take estimates; therefore, these estimates are 
likely substantial overestimates of the number of incidents of Level B 
harassment that may occur for harbor porpoise.
    Based on the analysis contained herein of the likely effects of the 
specified activity on marine mammals and their habitat, and taking into 
consideration the implementation of the planned mitigation measures, we 
preliminarily find that the total marine mammal take from SWFSC's 
fisheries research activities will have a negligible impact on the 
affected marine mammal species or stocks in the California Current 
Ecosystem. In summary, this finding of negligible impact is founded on 
the following factors: (1) The possibility of injury, serious injury, 
or mortality from the use of active acoustic devices may reasonably be 
considered discountable; (2) the anticipated incidents of Level B 
harassment from the use of active acoustic devices consist of, at 
worst, temporary and relatively minor modifications in behavior; (3) 
the predicted number of incidents of combined Level A harassment, 
serious injury, and mortality are at insignificant levels relative to 
all affected stocks but two; (4) the predicted number of incidents of 
both Level B harassment and potential M/SI likely represent 
overestimates; and (5) the presumed efficacy of the planned mitigation 
measures in reducing the effects of the specified activity to the

[[Page 8224]]

level of least practicable adverse impact. In addition, no M/SI is 
proposed for authorization for any species or stock that is listed 
under the ESA or considered depleted under the MMPA. In combination, we 
believe that these factors demonstrate that the specified activity will 
have only short-term effects on individuals (resulting from Level B 
harassment) and that the total level of taking will not impact rates of 
recruitment or survival sufficiently to result in population-level 
impacts.
    Eastern Tropical Pacific--Please refer to Table 29 for information 
relating to this analysis. The entirety of the qualitative discussion 
provided above for the California Current Ecosystem is applicable to 
SWFSC use of active acoustic sources in the ETP, and is not repeated 
here. As for the CCE, we compare the maximum annual take estimate to 
the calculated PBR level. However, proposed take by M/SI + Level A is 
substantially less than one percent (in most cases, less than a tenth 
of a percent) of population abundance for all species for which such 
take is proposed to be authorized and, as for the CCE, these proposed 
levels of take are likely overestimates. We do propose to authorize one 
occurrence of M/SI over five years for the pantropical spotted dolphin; 
two of the three stocks of this species in the ETP are considered 
depleted under the MMPA. Therefore, although the maximum annual take 
estimate for this species is extremely low relative to the PBR level 
(0.002 percent), we provide additional discussion.
    In the ETP, yellowfin tuna are known to associate with several 
species of dolphin, including spinner, spotted, and common dolphins. As 
the ETP tuna purse-seine fishery began in the late 1950s, incidental 
take of dolphins increased to very high levels and continued through 
the 1960s and into the 1970s (Perrin, 1969). Through a series of 
combined actions, including passage of the MMPA in 1972, subsequent 
amendments, regulations, and mitigation measures, dolphin bycatch in 
the ETP has since decreased 99 percent in the international fishing 
fleet, and was eliminated by the U.S. fleet (Gerrodette and Forcada, 
2005). However, the northeastern offshore and coastal stocks of spotted 
dolphin are believed to have declined roughly eighty and sixty percent, 
respectively, from pre-exploitation abundance estimates (Perrin, 2009). 
Although incidental take by the international fishing fleet is believed 
to have declined to the low hundreds of individuals annually (Perrin, 
2009), the populations have not grown toward recovery as rapidly as 
expected (e.g., the population trend for the northeastern offshore 
stock is flat; Wade et al., 2007). Continued (non-lethal) chase and 
capture in the fishery may have an indirect effect on fecundity or 
survival, or there may have been a change in carrying capacity of the 
ecosystem for this species (Archer et al., 2004; Gerrodette and 
Forcada, 2005; Wade et al., 2007; Perrin, 2009). Nevertheless, the 
proposed authorized take of a single pantropical spotted dolphin over 
five years--which could occur to either the northeastern offshore or 
coastal stocks, or the non-depleted western and southern offshore 
stock--represents a negligible impact to any of these stocks, even when 
considered in context with incidental take in international commercial 
fisheries (the total taking, which is known only approximately would 
likely be around one percent of the total abundance). The taking 
proposed here represents an insignificant incremental increase over any 
incidental take occurring in commercial fisheries.
    Based on the analysis contained herein of the likely effects of the 
specified activity on marine mammals and their habitat, and taking into 
consideration the implementation of the planned mitigation measures, we 
preliminarily find that the total marine mammal take from SWFSC's 
fisheries research activities will have a negligible impact on the 
affected marine mammal species or stocks in the Eastern Tropical 
Pacific. In summary, this finding of negligible impact is founded on 
the following factors: (1) The possibility of injury, serious injury, 
or mortality from the use of active acoustic devices may reasonably be 
considered discountable; (2) the anticipated incidents of Level B 
harassment from the use of active acoustic devices consist of, at 
worst, temporary and relatively minor modifications in behavior; (3) 
the predicted number of incidents of combined Level A harassment, 
serious injury, and mortality are at insignificant levels relative to 
all affected stocks; (4) the predicted number of incidents of both 
Level B harassment and potential M/SI likely represent overestimates; 
and (5) the presumed efficacy of the planned mitigation measures in 
reducing the effects of the specified activity to the level of least 
practicable adverse impact. In addition, no M/SI is proposed for 
authorization for any species or stock that is listed under the ESA. In 
combination, we believe that these factors demonstrate that the 
specified activity will have only short-term effects on individuals 
(resulting from Level B harassment) and that the total level of taking 
will not impact rates of recruitment or survival sufficiently to result 
in population-level impacts.
    Antarctic Marine Living Resources Ecosystem--Please refer to Table 
30 for information relating to this analysis. No take by Level A 
harassment, serious injury, or mortality is proposed for authorization 
in the AMLR. The entirety of the qualitative discussion provided above 
for the California Current Ecosystem is applicable to SWFSC use of 
active acoustic sources in the AMLR, and is not repeated here. Given 
the limited spatio-temporal footprint of SWFSC survey activity in the 
Antarctic--survey activity only occurs within a limited area of 
Antarctic waters and only for a few months in any given year--we 
believe that the level of taking by Level B harassment proposed for 
authorization represents a negligible impact to these species.
    Based on the analysis contained herein of the likely effects of the 
specified activity on marine mammals and their habitat, and taking into 
consideration the implementation of the planned mitigation measures, we 
preliminarily find that the total marine mammal take from SWFSC's 
fisheries research activities will have a negligible impact on the 
affected marine mammal species or stocks in the Antarctic Marine Living 
Resources Ecosystem. In summary, this finding of negligible impact is 
founded on the following factors: (1) The possibility of injury, 
serious injury, or mortality from the use of active acoustic devices 
may reasonably be considered discountable; (2) the anticipated 
incidents of Level B harassment from the use of active acoustic devices 
consist of, at worst, temporary and relatively minor modifications in 
behavior; (3) no incidental take by Level A harassment, serious injury, 
or mortality is proposed; (4) the predicted number of incidents of 
Level B harassment likely represent overestimates; and (5) the presumed 
efficacy of the planned mitigation measures in reducing the effects of 
the specified activity to the level of least practicable adverse 
impact. In combination, we believe that these factors demonstrate that 
the specified activity will have only short-term effects on 
individuals. The specified activity is not expected to impact rates of 
recruitment or survival and will therefore not result in population-
level impacts.

Small Numbers Analyses

    California Current Ecosystem--Please see Table 28 for information 
relating to this small numbers analysis. The total amount of taking 
proposed for

[[Page 8225]]

authorization is less than ten percent for all stocks, with the 
exception of certain species-wide totals when evaluated against the 
stock with the smallest abundance. The total taking for killer whales 
represents approximately fifteen percent of the southern resident 
stock; however, given the limited range of this stock relative to SWFSC 
survey operations, it is extremely unlikely that all takes would accrue 
to that stock. The total taking represents less than ten percent of the 
population abundance for other stocks of killer whale. The total 
species-wide taking by Level B harassment for harbor porpoise 
represents approximately 23 percent of the Morro Bay stock of harbor 
porpoise, which has the smallest population abundance of five harbor 
porpoise stocks in the CCE. Although this value is within the bounds of 
takings that NMFS has considered to be small in the past, it is likely 
that the taking will be distributed in some fashion across the five 
stocks; and therefore, the amount of take occurring for any one stock 
would be much less than 23 percent.
    Based on the analysis contained herein of the likely effects of the 
specified activity on marine mammals and their habitat, and taking into 
consideration the implementation of the proposed mitigation measures, 
we preliminarily find that small numbers of marine mammals will be 
taken relative to the populations of the affected species or stocks in 
the California Current Ecosystem.
    Eastern Tropical Pacific--Please refer to Table 29 for information 
relating to this analysis. The total amount of taking proposed for 
authorization is less than three percent for all stocks.
    Based on the analysis contained herein of the likely effects of the 
specified activity on marine mammals and their habitat, and taking into 
consideration the implementation of the proposed mitigation measures, 
we preliminarily find that small numbers of marine mammals will be 
taken relative to the populations of the affected species or stocks in 
the Eastern Tropical Pacific.
    Antarctic Marine Living Resources Ecosystem--Please refer to Table 
30 for information relating to this analysis. The total amount of 
taking proposed for authorization is less than three percent for all 
stocks.
    Based on the analysis contained herein of the likely effects of the 
specified activity on marine mammals and their habitat, and taking into 
consideration the implementation of the proposed mitigation measures, 
we preliminarily find that small numbers of marine mammals will be 
taken relative to the populations of the affected species or stocks in 
the Antarctic Marine Living Resources Ecosystem.

Proposed Monitoring and Reporting

    In order to issue an incidental take authorization for an activity, 
section 101(a)(5)(A) of the MMPA states that NMFS must set forth 
``requirements pertaining to the monitoring and reporting of such 
taking.'' The MMPA implementing regulations at 50 CFR 216.104 (a)(13) 
indicate that requests for incidental take authorizations must include 
the suggested means of accomplishing the necessary monitoring and 
reporting that will result in increased knowledge of the species and of 
the level of taking or impacts on populations of marine mammals that 
are expected to be present in the proposed action area.
    Any monitoring requirement we prescribe should improve our 
understanding of one or more of the following:
     Occurrence of marine mammal species in action area (e.g., 
presence, abundance, distribution, density).
     Nature, scope, or context of likely marine mammal exposure 
to potential stressors/impacts (individual or cumulative, acute or 
chronic), through better understanding of: (1) Action or environment 
(e.g., source characterization, propagation, ambient noise); (2) 
affected species (e.g., life history, dive patterns); (3) co-occurrence 
of marine mammal species with the action; or (4) biological or 
behavioral context of exposure (e.g., age, calving, or feeding areas).
     Individual responses to acute stressors, or impacts of 
chronic exposures (behavioral or physiological).
     How anticipated responses to stressors impact either: (1) 
Long-term fitness and survival of an individual; or (2) population, 
species, or stock.
     Effects on marine mammal habitat and resultant impacts to 
marine mammals.
     Mitigation and monitoring effectiveness.
    SWFSC plans to make more systematic its training, operations, data 
collection, animal handling and sampling protocols, etc. in order to 
improve its ability to understand how mitigation measures influence 
interaction rates and ensure its research operations are conducted in 
an informed manner and consistent with lessons learned from those with 
experience operating these gears in close proximity to marine mammals. 
It is in this spirit that we propose the monitoring requirements 
described below.

Visual Monitoring

    Marine mammal watches are a standard part of conducting fisheries 
research activities, and are implemented as described previously in 
``Proposed Mitigation.'' Dedicated marine mammal visual monitoring 
occurs as described (1) for a minimum of thirty minutes prior to 
deployment of midwater trawl and pelagic longline gear; (2) throughout 
deployment and active fishing of all research gears; (3) for a minimum 
of thirty minutes prior to retrieval of pelagic longline gear; and (4) 
throughout retrieval of all research gear. This visual monitoring is 
performed by trained SWFSC personnel with no other responsibilities 
during the monitoring period. Observers record the species and 
estimated number of animals present and their behaviors, which may be 
valuable information towards an understanding of whether certain 
species may be attracted to vessels or certain survey gears. 
Separately, marine mammal watches are conducted by watch-standers 
(those navigating the vessel and other crew; these will typically not 
be SWFSC personnel) at all times when the vessel is being operated. The 
primary focus for this type of watch is to avoid striking marine 
mammals and to generally avoid navigational hazards. These watch-
standers typically have other duties associated with navigation and 
other vessel operations and are not required to record or report to the 
scientific party data on marine mammal sightings, except when gear is 
being deployed or retrieved.
    In the Antarctic only, the SWFSC will monitor any potential 
disturbance of pinnipeds on ice, paying particular attention to the 
distance at which different species of pinniped are disturbed. 
Disturbance will be recorded according to the three-point scale, 
representing increasing seal response to disturbance, shown in Table 
26.

Acoustic Monitoring

    SWFSC will log passive acoustic data before and during the conduct 
of each trawl (either pelagic trawl in the CCE or bottom trawl in the 
AMLR). These data would not be used to decide whether to trawl but may 
be useful in comparing the level of vocalization present in the event 
of a marine mammal interaction for post hoc analyses of patterns that 
may indicate when marine mammal interactions are likely.

Marine Mammal Excluder Device

    The SWFSC proposes to evaluate development of an MMED suitable for 
use in the modified-Cobb midwater trawl. Modified-Cobb trawl nets are

[[Page 8226]]

considerably smaller than Nordic 264 trawl nets, are fished at slower 
speeds, and have a different shape and functionality than the Nordic 
264. Due to the smaller size of the modified-Cobb net, this gear does 
not yet have a suitable marine mammal excluder device but research and 
design work are currently being performed to develop effective 
excluders that will not appreciably affect the catchability of the net 
and therefore maintain continuity of the fisheries research dataset.
    A reduction in target catch rates is an issue that has arisen from 
preliminary analyses of MMED use in Nordic 264 gear. Although sample 
sizes are small, these results have cast some doubt as to whether the 
MMED would be suitable for surveys with a primary objective of 
estimating abundance, as opposed to collecting biological samples. If 
data collected during testing of the modified-Cobb MMED continues to 
indicate reduced catch rates, SWFSC would continue testing to explore 
whether it is possible to calculate reliable conversion factors to 
equate catches when using the MMED to catches when it was not. If this 
is not possible, then use of the MMED for certain surveys may 
compromise primary research objectives. Therefore, use of the MMED may 
be considered not practicable.

Analysis of Bycatch Patterns

    In addition, SWFSC plans to explore patterns in past marine mammal 
bycatch in its fisheries research surveys to better understand what 
factors (e.g., oceanographic conditions) might increase the likelihood 
of take. SWFSC staff have been using predictive machine-learning 
methods (classification trees) for various applications; using similar 
methods, the SWFSC plans to examine research trawl data for any link 
between trawl variables and observed marine mammal bycatch. Some of the 
variables SWFSC is currently considering for this analysis are: Moon 
phase, sky cover, pinger presence, trawl speed, vessel sonar use during 
trawl, use of deck lights, etc. SWFSC staff will also review historical 
fisheries research data to determine whether sufficient data exist for 
similar analysis. If take patterns emerge, the SWFSC will focus future 
research on reducing or eliminating high-risk factors in ways that 
enable scientifically important surveys to continue with minimized 
environmental impact.

Training

    SWFSC anticipates that additional information on practices to avoid 
marine mammal interactions can be gleaned from training sessions and 
more systematic data collection standards. The SWFSC will conduct 
annual trainings for all chief scientists and other personnel who may 
be responsible for conducting dedicated marine mammal visual 
observations to explain mitigation measures and monitoring and 
reporting requirements, mitigation and monitoring protocols, marine 
mammal identification, recording of count and disturbance observations 
(relevant to AMLR surveys), completion of datasheets, and use of 
equipment. Some of these topics may be familiar to SWFSC staff, who may 
be professional biologists; the SWFSC shall determine the agenda for 
these trainings and ensure that all relevant staff have necessary 
familiarity with these topics.
    SWFSC will also dedicate a portion of training to discussion of 
best professional judgment (which is recognized as an integral 
component of mitigation implementation; see ``Proposed Mitigation''), 
including use in any incidents of marine mammal interaction and 
instructive examples where use of best professional judgment was 
determined to be successful or unsuccessful. We recognize that many 
factors come into play regarding decision-making at sea and that it is 
not practicable to simplify what are inherently variable and complex 
situational decisions into rules that may be defined on paper. However, 
it is our intent that use of best professional judgment be an iterative 
process from year to year, in which any at-sea decision-maker (i.e., 
responsible for decisions regarding the avoidance of marine mammal 
interactions with survey gear through the application of best 
professional judgment) learns from the prior experience of all relevant 
SWFSC personnel (rather than from solely their own experience). The 
outcome should be increased transparency in decision-making processes 
where best professional judgment is appropriate and, to the extent 
possible, some degree of standardization across common situations, with 
an ultimate goal of reducing marine mammal interactions. It is the 
responsibility of the SWFSC to facilitate such exchange.

Handling Procedures and Data Collection

    Improved standardization of handling procedures were discussed 
previously in ``Proposed Mitigation.'' In addition to the benefits 
implementing these protocols are believed to have on the animals 
through increased post-release survival, SWFSC believes adopting these 
protocols for data collection will also increase the information on 
which ``serious injury'' determinations (NMFS, 2012a, b) are based and 
improve scientific knowledge about marine mammals that interact with 
fisheries research gears and the factors that contribute to these 
interactions. SWFSC personnel will be provided standard guidance and 
training regarding handling of marine mammals, including how to 
identify different species, bring an individual aboard a vessel, assess 
the level of consciousness, remove fishing gear, return an individual 
to water and log activities pertaining to the interaction.
    SWFSC will record interaction information on either existing data 
forms created by other NMFS programs (e.g., see Appendix B.2 of SWFSC's 
application) or will develop their own standardized forms. To aid in 
serious injury determinations and comply with the current NMFS Serious 
Injury Guidelines (NMFS, 2012a, b), researchers will also answer a 
series of supplemental questions on the details of marine mammal 
interactions (see Appendix B.3 of SWFSC's application).
    Finally, for any marine mammals that are killed during fisheries 
research activities, scientists will collect data and samples pursuant 
to the SWFSC MMPA and ESA research and salvage permit and to the 
``Detailed Sampling Protocol for Marine Mammal and Sea Turtle 
Incidental Takes on SWFSC Research Cruises'' (see Appendix B.4 of 
SWFSC's application).

Reporting

    As is normally the case, SWFSC will coordinate with the relevant 
stranding coordinators for any unusual marine mammal behavior and any 
stranding, beached live/dead, or floating marine mammals that are 
encountered during field research activities. The SWFSC will follow a 
phased approach with regard to the cessation of its activities and/or 
reporting of such events, as described in the proposed regulatory texts 
following this preamble. In addition, Chief Scientists (or cruise 
leader, CS) will provide reports to SWFSC leadership and to the Office 
of Protected Resources (OPR) by event, survey leg, and cruise. As a 
result, when marine mammals interact with survey gear, whether killed 
or released alive, a report provided by the CS will fully describe any 
observations of the animals, the context (vessel and conditions), 
decisions made and rationale for decisions made in vessel and gear 
handling. The circumstances of these events are critical in enabling 
SWFSC and OPR to better evaluate the conditions under which takes are 
most likely occur. We believe in the long term

[[Page 8227]]

this will allow the avoidance of these types of events in the future.
    The SWFSC will submit annual summary reports to OPR including: (1) 
Annual line-kilometers surveyed during which the EK60, ME70, SX90 (or 
equivalent sources) were predominant (see ``Estimated Take by Acoustic 
Harassment'' for further discussion), specific to each region; (2) 
summary information regarding use of all longline (including bottom and 
vertical lines) and trawl (including bottom trawl) gear, including 
number of sets, hook hours, tows, etc., specific to each region and 
gear; (3) accounts of all incidents of marine mammal interactions, 
including circumstances of the event and descriptions of any mitigation 
procedures implemented or not implemented and why; (4) summary 
information related to any on-ice disturbance of pinnipeds, including 
event-specific total counts of animals present, counts of reactions 
according to the three-point scale shown in Table 26, and distance of 
closest approach; (5) a written evaluation of the effectiveness of 
SWFSC mitigation strategies in reducing the number of marine mammal 
interactions with survey gear, including best professional judgment and 
suggestions for changes to the mitigation strategies, if any; and (6) 
updates as appropriate regarding the development/implementation of 
MMEDs and analysis of bycatch patterns. The period of reporting will be 
a calendar year and the report must be submitted not less than ninety 
days following the end of a calendar year. Submission of this 
information is in service of an adaptive management framework allowing 
NMFS to make appropriate modifications to mitigation and/or monitoring 
strategies, as necessary, during the proposed five-year period of 
validity for these regulations.
    NMFS has established a formal incidental take reporting system, the 
Protected Species Incidental Take (PSIT) database, requiring that 
incidental takes of protected species be reported within 48 hours of 
the occurrence. The PSIT generates automated messages to NMFS 
leadership and other relevant staff, alerting them to the event and to 
the fact that updated information describing the circumstances of the 
event has been inputted to the database. The PSIT and CS reports 
represent not only valuable real-time reporting and information 
dissemination tools, but also serve as an archive of information that 
may be mined in the future to study why takes occur by species, gear, 
region, etc.
    SWFSC will also collect and report all necessary data, to the 
extent practicable given the primacy of human safety and the well-being 
of captured or entangled marine mammals, to facilitate serious injury 
(SI) determinations for marine mammals that are released alive. SWFSC 
will require that the CS complete data forms (already developed and 
used by commercial fisheries observer programs) and address 
supplemental questions, both of which have been developed to aid in SI 
determinations. SWFSC understands the critical need to provide as much 
relevant information as possible about marine mammal interactions to 
inform decisions regarding SI determinations. In addition, the SWFSC 
will perform all necessary reporting to ensure that any incidental M/SI 
is incorporated as appropriate into relevant SARs.

Adaptive Management

    The final regulations governing the take of marine mammals 
incidental to SWFSC fisheries research survey operations in three 
specified geographical regions would contain an adaptive management 
component. The inclusion of an adaptive management component will be 
both valuable and necessary within the context of five-year regulations 
for activities that have been associated with marine mammal mortality.
    The reporting requirements associated with these proposed rules are 
designed to provide OPR with monitoring data from the previous year to 
allow consideration of whether any changes are appropriate. OPR and the 
SWFSC will meet annually to discuss the monitoring reports and current 
science and whether mitigation or monitoring modifications are 
appropriate. The use of adaptive management allows OPR to consider new 
information from different sources to determine (with input from the 
SWFSC regarding practicability) on an annual or biennial basis if 
mitigation or monitoring measures should be modified (including 
additions or deletions). Mitigation measures could be modified if new 
data suggests that such modifications would have a reasonable 
likelihood of reducing adverse effects to marine mammals and if the 
measures are practicable.
    The following are some of the possible sources of applicable data 
to be considered through the adaptive management process: (1) Results 
from monitoring reports, as required by MMPA authorizations; (2) 
results from general marine mammal and sound research; and (3) any 
information which reveals that marine mammals may have been taken in a 
manner, extent, or number not authorized by these regulations or 
subsequent LOAs.

Impact on Availability of Affected Species for Taking for Subsistence 
Uses

    There are no relevant subsistence uses of marine mammals implicated 
by these actions, in any of the three specified geographical regions 
for which we propose rulemakings. Therefore, we have determined that 
the total taking of affected species or stocks would not have an 
unmitigable adverse impact on the availability of such species or 
stocks for taking for subsistence purposes.

Endangered Species Act (ESA)

    There are multiple marine mammal species listed under the ESA with 
confirmed or possible occurrence in the proposed specified geographical 
regions (see Tables 3-5). The proposed authorization of incidental take 
pursuant to the SWFSC's specified activity would not affect any 
designated critical habitat. OPR has initiated consultation with NMFS' 
West Coast Regional Office under section 7 of the ESA on the 
promulgation of five-year regulations and the subsequent issuance of 
LOAs to SWFSC under section 101(a)(5)(A) of the MMPA. This consultation 
will be concluded prior to issuing any final rule.

National Environmental Policy Act (NEPA)

    The SWFSC has prepared a Draft Environmental Assessment (EA; Draft 
Programmatic Environmental Assessment for Fisheries Research Conducted 
and Funded by the Southwest Fisheries Science Center) in accordance 
with NEPA and the regulations published by the Council on Environmental 
Quality. It is posted on the Internet at: www.nmfs.noaa.gov/pr/permits/incidental/research.htm. We have independently evaluated the Draft EA 
and are proposing to adopt it. We may prepare a separate NEPA analysis 
and incorporate relevant portions of SWFSC's EA by reference. 
Information in SWFSC's application, EA and this notice collectively 
provide the environmental information related to proposed issuance of 
these regulations for public review and comment. We will review all 
comments submitted in response to this notice as we complete the NEPA 
process, including a decision of whether to sign a Finding of No 
Significant Impact, prior to a final decision on the incidental take 
authorization request.

Request for Information

    NMFS requests interested persons to submit comments, information, 
and suggestions concerning the SWFSC request and the proposed 
regulations (see ADDRESSES). All comments will be

[[Page 8228]]

reviewed and evaluated as we prepare final rules and make final 
determinations on whether to issue the requested authorizations. This 
notice and referenced documents provide all environmental information 
relating to our proposed action for public review.

Classification

    Pursuant to the procedures established to implement Executive Order 
12866, the Office of Management and Budget has determined that this 
proposed rule is not significant.
    Pursuant to section 605(b) of the Regulatory Flexibility Act (RFA), 
the Chief Counsel for Regulation of the Department of Commerce has 
certified to the Chief Counsel for Advocacy of the Small Business 
Administration that this proposed rule, if adopted, would not have a 
significant economic impact on a substantial number of small entities. 
NMFS is the sole entity that would be subject to the requirements in 
these proposed regulations, and NMFS is not a small governmental 
jurisdiction, small organization, or small business, as defined by the 
RFA. Because of this certification, a regulatory flexibility analysis 
is not required and none has been prepared.
    Notwithstanding any other provision of law, no person is required 
to respond to nor shall a person be subject to a penalty for failure to 
comply with a collection of information subject to the requirements of 
the Paperwork Reduction Act (PRA) unless that collection of information 
displays a currently valid OMB control number. This proposed rule 
contains collection-of-information requirements subject to the 
provisions of the PRA. These requirements have been approved by OMB 
under control number 0648-0151 and include applications for 
regulations, subsequent LOAs, and reports. Send comments regarding any 
aspect of this data collection, including suggestions for reducing the 
burden, to NMFS and the OMB Desk Officer (see Addresses).

List of Subjects in 50 CFR Part 219

    Exports, Fish, Imports, Indians, Labeling, Marine mammals, 
Penalties, Reporting and recordkeeping requirements, Seafood, 
Transportation.

    Dated: February 5, 2015.
Samuel D. Rauch III,
Deputy Assistant Administrator for Regulatory Programs, National Marine 
Fisheries Service.

    For reasons set forth in the preamble, 50 CFR part 219 is proposed 
to be added as follows:

PART 219--REGULATIONS GOVERNING THE TAKING AND IMPORTING OF MARINE 
MAMMALS

Subpart A--Taking Marine Mammals Incidental to Southwest Fisheries 
Science Center Fisheries Research in the California Current
Sec.
219.1 Specified activity and specified geographical region.
219.2 [Reserved]
219.3 Permissible methods of taking.
219.4 Prohibitions.
219.5 Mitigation requirements.
219.6 Requirements for monitoring and reporting.
219.7 Letters of Authorization.
219.8 Renewals and modifications of Letters of Authorization.
219.9 [Reserved]
219.10 [Reserved]
Subpart B--Taking Marine Mammals Incidental to Southwest Fisheries 
Science Center Fisheries Research in the Eastern Tropical Pacific
Sec.
219.11 Specified activity and specified geographical region.
219.12 [Reserved]
219.13 Permissible methods of taking.
219.14 Prohibitions.
219.15 Mitigation requirements.
219.16 Requirements for monitoring and reporting.
219.17 Letters of Authorization.
219.18 Renewals and modifications of Letters of Authorization.
219.19 [Reserved]
219.20 [Reserved]
Subpart C--Taking Marine Mammals Incidental to Southwest Fisheries 
Science Center Fisheries Research in the Antarctic
Sec.
219.21 Specified activity and specified geographical region.
219.22 [Reserved]
219.23 Permissible methods of taking.
219.24 Prohibitions.
219.25 Mitigation requirements.
219.26 Requirements for monitoring and reporting.
219.27 Letters of Authorization.
219.28 Renewals and modifications of Letters of Authorization.
219.29 [Reserved]
219.30 [Reserved]

    Authority: 16 U.S.C. 1361 et seq.

Subpart A--Taking Marine Mammals Incidental to Southwest Fisheries 
Science Center Fisheries Research in the California Current


Sec.  219.1  Specified activity and specified geographical region.

    (a) Regulations in this subpart apply only to the National Marine 
Fisheries Service's (NMFS) Southwest Fisheries Science Center (SWFSC) 
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 
research survey program operations.
    (b) The taking of marine mammals by SWFSC may be authorized in a 
Letter of Authorization (LOA) only if it occurs within the California 
Current Ecosystem.


Sec.  219.2  [Reserved]


Sec.  219.3  Permissible methods of taking.

    (a) Under LOAs issued pursuant to Sec. Sec.  216.106 and 219.7 of 
this chapter, the Holder of the LOA (hereinafter ``SWFSC'') may 
incidentally, but not intentionally, take marine mammals within the 
area described in Sec.  219.1(b) of this chapter, provided the activity 
is in compliance with all terms, conditions, and requirements of the 
regulations in this subpart and the appropriate LOA.
    (b) The incidental take of marine mammals under the activities 
identified in Sec.  219.1(a) of this chapter is limited to the 
indicated number of takes on an annual basis (by Level B harassment) or 
over the five-year period of validity of these regulations (by 
mortality) of the following species:
    (1) Level B harassment:
    (i) Cetaceans:
    (A) Gray whale (Eschrichtius robustus)--346;
    (B) Humpback whale (Megaptera novaeangliae)--14;
    (C) Minke whale (Balaenoptera acutorostrata)--13;
    (D) Sei whale (Balaenoptera borealis)--1;
    (E) Fin whale (Balaenoptera physalus)--33;
    (F) Blue whale (Balaenoptera musculus)--24;
    (G) Sperm whale (Physeter macrocephalus)--65;
    (H) Pygmy or dwarf sperm whale (Kogia spp.)--42;
    (I) Cuvier's beaked whale (Ziphius cavirostris)--146;
    (J) Baird's beaked whale (Berardius bairdii)--34;
    (K) Hubbs', Blainville's, ginkgo-toothed, Perrin's, lesser, or 
Stejneger's beaked whales (Mesoplodon spp.)--40;
    (L) Bottlenose dolphin (Tursiops truncatus)--32;
    (M) Striped dolphin (Stenella coeruleoalba)--301;
    (N) Long-beaked common dolphin (Delphinis capensis)--348;
    (O) Short-beaked common dolphin (Delphinis delphis)--5,592;
    (P) Pacific white-sided dolphin (Lagenorhynchus obliquidens)--378;
    (Q) Northern right whale dolphin (Lissodelphis borealis)--176;

[[Page 8229]]

    (R) Risso's dolphin (Grampus griseus)--188;
    (S) Killer whale (Orcinus orca)--13;
    (T) Short-finned pilot whale (Globicephala macrorhynchus)--12;
    (U) Harbor porpoise (Phocoena phocoena)--682; and
    (V) Dall's porpoise (Phocoenoides dalli)--1,365.
    (ii) Pinnipeds:
    (A) Guadalupe fur seal (Arctocephalus philippii townsendi)--134;
    (B) Northern fur seal (Callorhinus ursinus), California stock--236;
    (C) Northern fur seal, Pribilof Islands/Eastern Pacific stock--
11,555;
    (D) California sea lion (Zalophus californianus)--4,302;
    (E) Steller sea lion (Eumetopias jubatus)--1,055;
    (F) Harbor seal (Phoca vitulina)--910; and
    (G) Northern elephant seal (Mirounga angustirostris)--4,743.
    (2) Mortality (midwater trawl gear only):
    (i) Cetaceans:
    (A) Bottlenose dolphin (California, Oregon, and Washington offshore 
stock)--8;
    (B) Bottlenose dolphin (California coastal stock)--3;
    (C) Striped dolphin--11;
    (D) Long-beaked common dolphin--11;
    (E) Short-beaked common dolphin--11;
    (F) Pacific white-sided dolphin--35;
    (G) Northern right whale dolphin--10;
    (H) Risso's dolphin--11;
    (I) Harbor porpoise--5;
    (J) Dall's porpoise--5;
    (K) Unidentified cetacean (Family Delphinidae or Family 
Phocoenidae)--1.
    (ii) Pinnipeds:
    (A) Northern fur seal--5;
    (B) California sea lion--20;
    (C) Steller sea lion--9;
    (D) Harbor seal--9;
    (E) Northern elephant seal--5; and
    (F) Unidentified pinniped--1.
    (3) Mortality (pelagic longline gear only):
    (i) Cetaceans:
    (A) Pygmy or dwarf sperm whale--1;
    (B) Bottlenose dolphin--1;
    (C) Striped dolphin--1;
    (D) Long-beaked common dolphin--1;
    (E) Short-beaked common dolphin--1;
    (F) Risso's dolphin--1; and
    (G) Short-finned pilot whale--1.
    (ii) Pinnipeds:
    (A) California sea lion--5;
    (B) Steller sea lion--1; and
    (C) Unidentified pinniped--1.


Sec.  219.4  Prohibitions.

    Notwithstanding takings contemplated in Sec.  219.1 of this chapter 
and authorized by a LOA issued under Sec. Sec.  216.106 and 219.7 of 
this chapter, no person in connection with the activities described in 
Sec.  219.1 of this chapter may:
    (a) Take any marine mammal not specified in Sec.  219.3(b) of this 
chapter;
    (b) Take any marine mammal specified in Sec.  219.3(b) of this 
chapter in any manner other than as specified;
    (c) Take a marine mammal specified in Sec.  219.3(b) of this 
chapter if NMFS determines such taking results in more than a 
negligible impact on the species or stocks of such marine mammal;
    (d) Take a marine mammal specified in Sec.  219.3(b) of this 
chapter 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; or
    (e) Violate, or fail to comply with, the terms, conditions, and 
requirements of this subpart or a LOA issued under Sec. Sec.  216.106 
and 219.7 of this chapter.


Sec.  219.5  Mitigation requirements.

    When conducting the activities identified in Sec.  219.1(a) of this 
chapter, the mitigation measures contained in any LOA issued under 
Sec. Sec.  216.106 and 219.7 of this chapter must be implemented. These 
mitigation measures shall include but are not limited to:
    (a) General conditions:
    (1) SWFSC shall take all necessary measures to coordinate and 
communicate in advance of each specific survey with the National 
Oceanic and Atmospheric Administration's (NOAA) Office of Marine and 
Aviation Operations (OMAO) or other relevant parties on non-NOAA 
platforms to ensure that all mitigation measures and monitoring 
requirements described herein, as well as the specific manner of 
implementation and relevant event-contingent decision-making processes, 
are clearly understood and agreed upon.
    (2) SWFSC shall coordinate and conduct briefings at the outset of 
each survey and as necessary between ship's crew (Commanding Officer/
master or designee(s), as appropriate) and scientific party in order to 
explain responsibilities, communication procedures, marine mammal 
monitoring protocol, and operational procedures.
    (3) SWFSC shall coordinate as necessary on a daily basis during 
survey cruises with OMAO personnel or other relevant personnel on non-
NOAA platforms to ensure that requirements, procedures, and decision-
making processes are understood and properly implemented.
    (4) When deploying any type of sampling gear at sea, SWFSC shall at 
all times monitor for any unusual circumstances that may arise at a 
sampling site and use best professional judgment to avoid any potential 
risks to marine mammals during use of all research equipment.
    (5) SWFSC shall implement handling and/or disentanglement protocols 
as specified in the guidance provided to SWFSC survey personnel 
(``Identification, Handling and Release of Protected Species'').
    (b) Midwater trawl survey protocols:
    (1) SWFSC shall conduct trawl operations as soon as is practicable 
upon arrival at the sampling station.
    (2) SWFSC shall initiate marine mammal watches (visual observation) 
no less than thirty minutes prior to sampling. Marine mammal watches 
shall be conducted by scanning the surrounding waters with the naked 
eye and rangefinding binoculars (or monocular). During nighttime 
operations, visual observation shall be conducted using the naked eye 
and available vessel lighting.
    (3) SWFSC shall implement the ``move-on rule.'' If one or more 
marine mammals are observed within 1 nm of the planned location in the 
thirty minutes before setting the trawl gear, SWFSC shall transit to a 
different section of the sampling area to maintain a minimum set 
distance of 1 nm from the observed marine mammals. If, after moving on, 
marine mammals remain within 1 nm, SWFSC may decide to move again or to 
skip the station. SWFSC may use best professional judgment in making 
this decision but may not elect to conduct midwater trawl survey 
activity when animals remain within the 1-nm zone.
    (4) SWFSC shall maintain visual monitoring effort during the entire 
period of time that midwater trawl gear is in the water (i.e., 
throughout gear deployment, fishing, and retrieval). If marine mammals 
are sighted before the gear is fully removed from the water, SWFSC 
shall take the most appropriate action to avoid marine mammal 
interaction. SWFSC may use best professional judgment in making this 
decision.
    (5) If trawling operations have been suspended because of the 
presence of marine mammals, SWFSC may resume trawl operations when 
practicable only when the animals are believed to have departed the 1 
nm area. SWFSC may use best professional judgment in making this 
determination.
    (6) SWFSC shall implement standard survey protocols, including 
maximum tow durations of thirty minutes at target depth and maximum tow 
distance of 3 nm and shall carefully empty the trawl

[[Page 8230]]

as quickly as possible upon retrieval. Trawl nets must be cleaned prior 
to deployment.
    (7) SWFSC must install and use a marine mammal excluder device at 
all times when the Nordic 264 trawl net or other net for which the 
device is appropriate is used.
    (8) SWFSC must install and use acoustic deterrent devices whenever 
any midwater trawl net is used, with two to four devices placed along 
the footrope and/or headrope of the net. SWFSC must ensure that the 
devices are operating properly before deploying the net.
    (c) Pelagic longline survey protocols:
    (1) SWFSC shall deploy longline gear as soon as is practicable upon 
arrival at the sampling station.
    (2) SWFSC shall initiate marine mammal watches (visual observation) 
no less than thirty minutes prior to both deployment and retrieval of 
the longline gear. Marine mammal watches shall be conducted by scanning 
the surrounding waters with the naked eye and rangefinding binoculars 
(or monocular). During nighttime operations, visual observation shall 
be conducted using the naked eye and available vessel lighting.
    (3) SWFSC shall implement the ``move-on rule.'' If one or more 
marine mammals are observed within 1 nm of the planned location in the 
thirty minutes before gear deployment, SWFSC shall transit to a 
different section of the sampling area to maintain a minimum set 
distance of 1 nm from the observed marine mammals. If, after moving on, 
marine mammals remain within 1 nm, SWFSC may decide to move again or to 
skip the station. SWFSC may use best professional judgment in making 
this decision but may not elect to conduct pelagic longline survey 
activity when animals remain within the 1-nm zone. Implementation of 
the ``move-on rule'' is not required upon observation of five or fewer 
California sea lions.
    (4) SWFSC shall maintain visual monitoring effort during the entire 
period of gear deployment or retrieval. If marine mammals are sighted 
before the gear is fully deployed or retrieved, SWFSC shall take the 
most appropriate action to avoid marine mammal interaction. SWFSC may 
use best professional judgment in making this decision.
    (5) If deployment or retrieval operations have been suspended 
because of the presence of marine mammals, SWFSC may resume such 
operations when practicable only when the animals are believed to have 
departed the 1 nm area. SWFSC may use best professional judgment in 
making this decision.
    (6) SWFSC shall implement standard survey protocols, including 
maximum soak duration of four hours and a prohibition on chumming.


Sec.  219.6  Requirements for monitoring and reporting.

    (a) Visual monitoring program:
    (1) Dedicated marine mammal visual monitoring, conducted by trained 
SWFSC personnel with no other responsibilities during the monitoring 
period, shall occur (1) for a minimum of thirty minutes prior to 
deployment of midwater trawl and pelagic longline gear; (2) throughout 
deployment of gear and active fishing of all research gears; (3) for a 
minimum of thirty minutes prior to retrieval of pelagic longline gear; 
and (4) throughout retrieval of all research gear.
    (2) Marine mammal watches shall be conducted by watch-standers 
(those navigating the vessel and/or other crew) at all times when the 
vessel is being operated.
    (b) Acoustic monitoring--SWFSC shall log passive acoustic data 
before and during the conduct of each midwater trawl.
    (c) Marine mammal excluder device (MMED)--SWFSC shall conduct an 
evaluation of the feasibility of MMED development for the modified-Cobb 
midwater trawl net.
    (d) Analysis of bycatch patterns--SWFSC shall conduct an analysis 
of past bycatch patterns in order to better understand what factors 
might increase the likelihood of incidental take in research survey 
gear. This shall include an analysis of research trawl data for any 
link between trawl variables and observed marine mammal bycatch, as 
well as a review of historical fisheries research data to determine 
whether sufficient data exist for similar analysis.
    (e) Training:
    (1) SWFSC must conduct annual training for all chief scientists and 
other personnel who may be responsible for conducting dedicated marine 
mammal visual observations to explain mitigation measures and 
monitoring and reporting requirements, mitigation and monitoring 
protocols, marine mammal identification, completion of datasheets, and 
use of equipment. SWFSC may determine the agenda for these trainings.
    (2) SWFSC shall also dedicate a portion of training to discussion 
of best professional judgment, including use in any incidents of marine 
mammal interaction and instructive examples where use of best 
professional judgment was determined to be successful or unsuccessful.
    (f) Handling procedures and data collection:
    (1) SWFSC must develop and implement standardized marine mammal 
handling, disentanglement, and data collection procedures. These 
standard procedures will be subject to approval by NMFS' Office of 
Protected Resources (OPR).
    (2) When practicable, for any marine mammal interaction involving 
the release of a live animal, SWFSC shall collect necessary data to 
facilitate a serious injury determination.
    (3) SWFSC shall provide its relevant personnel with standard 
guidance and training regarding handling of marine mammals, including 
how to identify different species, bring an individual aboard a vessel, 
assess the level of consciousness, remove fishing gear, return an 
individual to water, and log activities pertaining to the interaction.
    (4) SWFSC shall record such data on standardized forms, which will 
be subject to approval by OPR. SWFSC shall also answer a standard 
series of supplemental questions regarding the details of any marine 
mammal interaction.
    (g) Reporting:
    (1) SWFSC shall report all incidents of marine mammal interaction 
to NMFS' Protected Species Incidental Take database within 48 hours of 
occurrence.
    (2) SWFSC shall provide written reports to OPR following any marine 
mammal interaction (animal captured or entangled in research gear) and/
or survey leg or cruise, summarizing survey effort on the leg or 
cruise. In the event of a marine mammal interaction, these reports 
shall include full descriptions of any observations of the animals, the 
context (vessel and conditions), decisions made and rationale for 
decisions made in vessel and gear handling.
    (3) Annual reporting:
    (i) SWFSC shall submit an annual summary report to OPR not later 
than ninety days following the end of a calendar year, with the 
reporting period being a given calendar year.
    (ii) These reports shall contain, at minimum, the following:
    (A) Annual line-kilometers surveyed during which the EK60, ME70, 
SX90 (or equivalent sources) were predominant;
    (B) Summary information regarding use of all longline (including 
bottom and vertical lines) and trawl (including bottom trawl) gear, 
including number of sets, hook hours, tows, etc., specific to each 
gear;
    (C) Accounts of all incidents of marine mammal interactions, 
including

[[Page 8231]]

circumstances of the event and descriptions of any mitigation 
procedures implemented or not implemented and why;
    (D) A written evaluation of the effectiveness of SWFSC mitigation 
strategies in reducing the number of marine mammal interactions with 
survey gear, including best professional judgment and suggestions for 
changes to the mitigation strategies, if any;
    (E) Final outcome of serious injury determinations for all 
incidents of marine mammal interactions where the animal(s) were 
released alive; and
    (F) Updates as appropriate regarding the development/implementation 
of MMEDs and analysis of bycatch patterns.
    (h) Reporting of injured or dead marine mammals:
    (1) In the unanticipated event that the activity defined in Sec.  
219.1(a) of this chapter clearly causes the take of a marine mammal in 
a prohibited manner, SWFSC shall immediately cease the specified 
activities and report the incident to OPR and the West Coast Regional 
Stranding Coordinator, NMFS. The report must include the following 
information:
    (i) Time, date, and location (latitude/longitude) of the incident;
    (ii) Description of the incident;
    (iii) Environmental conditions (e.g., wind speed and direction, 
Beaufort sea state, cloud cover, 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) Status of all sound source use in the 24 hours preceding the 
incident;
    (vii) Water depth;
    (viii) Fate of the animal(s); and
    (ix) Photographs or video footage of the animal(s).
    Activities shall not resume until OPR is able to review the 
circumstances of the prohibited take. OPR shall work with SWFSC to 
determine what measures are necessary to minimize the likelihood of 
further prohibited take and ensure MMPA compliance. SWFSC may not 
resume their activities until notified by OPR.
    (2) In the event that SWFSC 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), SWFSC shall immediately report the incident to OPR 
and the West Coast Regional Stranding Coordinator, NMFS. The report 
must include the information identified in Sec.  219.6(h)(1) of this 
section. Activities may continue while OPR reviews the circumstances of 
the incident. OPR will work with SWFSC to determine whether additional 
mitigation measures or modifications to the activities are appropriate.
    (3) In the event that SWFSC 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.  219.1(a) of this chapter 
(e.g., previously wounded animal, carcass with moderate to advanced 
decomposition, scavenger damage), SWFSC shall report the incident to 
OPR and the West Coast Regional Stranding Coordinator, NMFS, within 24 
hours of the discovery. SWFSC shall provide photographs or video 
footage or other documentation of the stranded animal sighting to OPR.


Sec.  219.7  Letters of Authorization.

    (a) To incidentally take marine mammals pursuant to these 
regulations, SWFSC 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, SWFSC 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, SWFSC must apply 
for and obtain a modification of the LOA as described in Sec.  219.18 
of this chapter.
    (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 thirty days of a determination.


Sec.  219.8  Renewals and modifications of Letters of Authorization.

    (a) An LOA issued under Sec. Sec.  216.106 and 219.7 of this 
chapter for the activity identified in Sec.  219.1(a) of this chapter 
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 Sec.  219.8(c)(1) 
of this chapter), and
    (2) OPR 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 Sec.  219.8(c)(1) of this chapter) 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), OPR 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 219.7 of this 
chapter for the activity identified in Sec.  219.11(a) of this chapter 
may be modified by OPR under the following circumstances:
    (1) Adaptive Management--OPR may modify (including augment) the 
existing mitigation, monitoring, or reporting measures (after 
consulting with SWFSC 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 SWFSC'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, OPR will 
publish a notice of proposed LOA in the Federal Register and solicit 
public comment.
    (2) Emergencies--If OPR determines that an emergency exists that 
poses a significant risk to the well-being of the species or stocks of 
marine mammals specified in Sec.  219.12(b) of this chapter, an LOA may 
be modified without prior

[[Page 8232]]

notice or opportunity for public comment. Notice would be published in 
the Federal Register within thirty days of the action.


Sec.  219.9  [Reserved]


Sec.  219.10  [Reserved]

Subpart B--Taking Marine Mammals Incidental to Southwest Fisheries 
Science Center Fisheries Research in the Eastern Tropical Pacific


Sec.  219.11  Specified activity and specified geographical region.

    (a) Regulations in this subpart apply only to the National Marine 
Fisheries Service's (NMFS) Southwest Fisheries Science Center (SWFSC) 
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 
research survey program operations.
    (b) The taking of marine mammals by SWFSC may be authorized in a 
Letter of Authorization (LOA) only if it occurs within the Eastern 
Tropical Pacific.


Sec.  219.12  [Reserved]


Sec.  219.13  Permissible methods of taking.

    (a) Under LOAs issued pursuant to Sec. Sec.  216.106 and 219.17 of 
this chapter, the Holder of the LOA (hereinafter ``SWFSC'') may 
incidentally, but not intentionally, take marine mammals within the 
area described in Sec.  219.11(b) of this chapter, provided the 
activity is in compliance with all terms, conditions, and requirements 
of the regulations in this subpart and the appropriate LOA.
    (b) The incidental take of marine mammals under the activities 
identified in Sec.  219.11(a) of this chapter is limited to the 
indicated number of takes on an annual basis (by Level B harassment) or 
over the five-year period of validity of these regulations (by 
mortality) of the following species:
    (1) Level B harassment:
    (i) Cetaceans:
    (A) Humpback whale (Megaptera novaeangliae)--1;
    (B) Bryde's whale (Balaenoptera edeni)--4;
    (C) Blue whale (Balaenoptera musculus)--2;
    (D) Sperm whale (Physeter macrocephalus)--4;
    (E) Dwarf sperm whale (Kogia sima)--14;
    (F) Cuvier's beaked whale (Ziphius cavirostris)--24;
    (G) Longman's beaked whale (Indopacetus pacificus)--1;
    (H) Blainville's, ginkgo-toothed, or lesser beaked whales 
(Mesoplodon spp.)--30;
    (I) Rough-toothed dolphin (Steno bredanensis)--45;
    (J) Bottlenose dolphin (Tursiops truncatus)--139;
    (K) Striped dolphin (Stenella coeruleoalba)--401;
    (L) Pantropical spotted dolphin (Stenella attenuata)--1,088;
    (M) Spinner dolphin (Stenella longirostris)--442;
    (N) Long-beaked common dolphin (Delphinis capensis)--173;
    (O) Short-beaked common dolphin (Delphinis delphis)--1,300;
    (P) Fraser's dolphin (Lagenodelphis hosei)--121;
    (Q) Dusky dolphin (Lagenorhynchus obscurus)--18;
    (R) Risso's dolphin (Grampus griseus)--46;
    (S) Melon-headed whale (Peponocephala electra)--19;
    (T) Pygmy killer whale (Feresa attenuata)--17;
    (U) False killer whale (Pseudorca crassidens)--17;
    (V) Killer whale (Orcinus orca)--3; and
    (W) Short-finned pilot whale (Globicephala macrorhynchus)--723.
    (ii) Pinnipeds:
    (A) Guadalupe fur seal (Arctocephalus philippii townsendi)--66;
    (B) California sea lion (Zalophus californianus)--1,442;
    (C) South American sea lion (Otaria byronia)--1,442; and
    (D) Northern elephant seal (Mirounga angustirostris)--3,248.
    (2) Mortality (pelagic longline gear only):
    (i) Cetaceans:
    (A) Dwarf sperm whale--1;
    (B) Rough-toothed dolphin--1;
    (C) Bottlenose dolphin--1;
    (D) Striped dolphin--1;
    (E) Pantropical spotted dolphin--1;
    (F) Long-beaked common dolphin--1;
    (G) Short-beaked common dolphin--1;
    (H) Risso's dolphin--1;
    (I) False killer whale--1; and
    (J) Short-finned pilot whale--1.
    (ii) Pinnipeds:
    (A) California sea lion--5;
    (B) South American sea lion--5; and
    (C) Unidentified pinniped--1.


Sec.  219.14  Prohibitions.

    Notwithstanding takings contemplated in Sec.  219.11 of this 
chapter and authorized by a LOA issued under Sec. Sec.  216.106 and 
219.17 of this chapter, no person in connection with the activities 
described in Sec.  219.11 of this chapter may:
    (a) Take any marine mammal not specified in Sec.  219.13(b) of this 
chapter;
    (b) Take any marine mammal specified in Sec.  219.13(b) in any 
manner other than as specified;
    (c) Take a marine mammal specified in Sec.  219.13(b) of this 
chapter if NMFS determines such taking results in more than a 
negligible impact on the species or stocks of such marine mammal;
    (d) Take a marine mammal specified in Sec.  219.13(b) 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; 
or
    (e) Violate, or fail to comply with, the terms, conditions, and 
requirements of this subpart or a LOA issued under Sec. Sec.  216.106 
and 219.17 of this chapter.


Sec.  219.15  Mitigation requirements.

    When conducting the activities identified in Sec.  219.11(a), the 
mitigation measures contained in any LOA issued under Sec. Sec.  
216.106 and 219.17 of this chapter must be implemented. These 
mitigation measures shall include but are not limited to:
    (a) General conditions:
    (1) SWFSC shall take all necessary measures to coordinate and 
communicate in advance of each specific survey with the National 
Oceanic and Atmospheric Administration's (NOAA) Office of Marine and 
Aviation Operations (OMAO) or other relevant parties on non-NOAA 
platforms to ensure that all mitigation measures and monitoring 
requirements described herein, as well as the specific manner of 
implementation and relevant event-contingent decision-making processes, 
are clearly understood and agreed upon.
    (2) SWFSC shall coordinate and conduct briefings at the outset of 
each survey and as necessary between ship's crew (Commanding Officer/
master or designee(s), as appropriate) and scientific party in order to 
explain responsibilities, communication procedures, marine mammal 
monitoring protocol, and operational procedures.
    (3) SWFSC shall coordinate as necessary on a daily basis during 
survey cruises with OMAO personnel or other relevant personnel on non-
NOAA platforms to ensure that requirements, procedures, and decision-
making processes are understood and properly implemented.
    (4) When deploying any type of sampling gear at sea, SWFSC shall at 
all times monitor for any unusual circumstances that may arise at a 
sampling site and use best professional judgment to avoid any potential 
risks to

[[Page 8233]]

marine mammals during use of all research equipment.
    (5) SWFSC shall implement handling and/or disentanglement protocols 
as specified in the guidance provided to SWFSC survey personnel 
(``Identification, Handling and Release of Protected Species'').
    (b) Pelagic longline survey protocols:
    (1) SWFSC shall deploy longline gear as soon as is practicable upon 
arrival at the sampling station.
    (2) SWFSC shall initiate marine mammal watches (visual observation) 
no less than thirty minutes prior to both deployment and retrieval of 
the longline gear. Marine mammal watches shall be conducted by scanning 
the surrounding waters with the naked eye and rangefinding binoculars 
(or monocular). During nighttime operations, visual observation shall 
be conducted using the naked eye and available vessel lighting.
    (3) SWFSC shall implement the ``move-on rule.'' If one or more 
marine mammals are observed within 1 nm of the planned location in the 
thirty minutes before gear deployment, SWFSC shall transit to a 
different section of the sampling area to maintain a minimum set 
distance of 1 nm from the observed marine mammals. If, after moving on, 
marine mammals remain within 1 nm, SWFSC may decide to move again or to 
skip the station. SWFSC may use best professional judgment in making 
this decision but may not elect to conduct pelagic longline survey 
activity when animals remain within the 1-nm zone.
    (4) SWFSC shall maintain visual monitoring effort during the entire 
period of gear deployment or retrieval. If marine mammals are sighted 
before the gear is fully deployed or retrieved, SWFSC shall take the 
most appropriate action to avoid marine mammal interaction. SWFSC may 
use best professional judgment in making this decision.
    (5) If deployment or retrieval operations have been suspended 
because of the presence of marine mammals, SWFSC may resume such 
operations when practicable only when the animals are believed to have 
departed the 1 nm area. SWFSC may use best professional judgment in 
making this determination.
    (6) SWFSC shall implement standard survey protocols, including 
maximum soak duration of four hours and a prohibition on chumming.


Sec.  219.16  Requirements for monitoring and reporting.

    (a) Visual monitoring program:
    (1) Dedicated marine mammal visual monitoring, conducted by trained 
SWFSC personnel with no other responsibilities during the monitoring 
period, shall occur (1) for a minimum of thirty minutes prior to 
deployment of pelagic longline gear; (2) throughout deployment of gear 
and active fishing of all research gears; (3) for a minimum of thirty 
minutes prior to retrieval of pelagic longline gear; and (4) throughout 
retrieval of all research gear.
    (2) Marine mammal watches shall be conducted by watch-standers 
(those navigating the vessel and/or other crew) at all times when the 
vessel is being operated.
    (b) Training:
    (1) SWFSC must conduct annual training for all chief scientists and 
other personnel who may be responsible for conducting dedicated marine 
mammal visual observations to explain mitigation measures and 
monitoring and reporting requirements, mitigation and monitoring 
protocols, marine mammal identification, completion of datasheets, and 
use of equipment. SWFSC may determine the agenda for these trainings.
    (2) SWFSC shall also dedicate a portion of training to discussion 
of best professional judgment, including use in any incidents of marine 
mammal interaction and instructive examples where use of best 
professional judgment was determined to be successful or unsuccessful.
    (c) Handling procedures and data collection:
    (1) SWFSC must develop and implement standardized marine mammal 
handling, disentanglement, and data collection procedures. These 
standard procedures will be subject to approval by NMFS' Office of 
Protected Resources (OPR).
    (2) When practicable, for any marine mammal interaction involving 
the release of a live animal, SWFSC shall collect necessary data to 
facilitate a serious injury determination.
    (3) SWFSC shall provide its relevant personnel with standard 
guidance and training regarding handling of marine mammals, including 
how to identify different species, bring an individual aboard a vessel, 
assess the level of consciousness, remove fishing gear, return an 
individual to water, and log activities pertaining to the interaction.
    (4) SWFSC shall record such data on standardized forms, which will 
be subject to approval by NMFS' Office of Protected Resources (OPR). 
SWFSC shall also answer a standard series of supplemental questions 
regarding the details of any marine mammal interaction.
    (d) Reporting:
    (1) SWFSC shall report all incidents of marine mammal interaction 
to NMFS' Protected Species Incidental Take database within 48 hours of 
occurrence.
    (2) SWFSC shall provide written reports to OPR following any marine 
mammal interaction (animal captured or entangled in research gear) and/
or survey leg or cruise, summarizing survey effort on the leg or 
cruise. In the event of a marine mammal interaction, these reports 
shall include full descriptions of any observations of the animals, the 
context (vessel and conditions), decisions made and rationale for 
decisions made in vessel and gear handling.
    (3) Annual reporting:
    (i) SWFSC shall submit an annual summary report to OPR not later 
than ninety days following the end of a calendar year, with the 
reporting period being a given calendar year.
    (ii) These reports shall contain, at minimum, the following:
    (A) Annual line-kilometers surveyed during which the EK60, ME70, 
SX90 (or equivalent sources) were predominant;
    (B) Summary information regarding use of all longline gear, 
including number of sets, hook hours, etc.;
    (C) Accounts of all incidents of marine mammal interactions, 
including circumstances of the event and descriptions of any mitigation 
procedures implemented or not implemented and why;
    (D) A written evaluation of the effectiveness of SWFSC mitigation 
strategies in reducing the number of marine mammal interactions with 
survey gear, including best professional judgment and suggestions for 
changes to the mitigation strategies, if any; and
    (E) Final outcome of serious injury determinations for all 
incidents of marine mammal interactions where the animal(s) were 
released alive.
    (e) Reporting of injured or dead marine mammals:
    (1) In the unanticipated event that the activity defined in Sec.  
219.11(a) of this chapter clearly causes the take of a marine mammal in 
a prohibited manner, SWFSC shall immediately cease the specified 
activities and report the incident to OPR. Activities shall not resume 
until OPR is able to review the circumstances of the prohibited take. 
OPR shall work with SWFSC to determine what measures are necessary to 
minimize the likelihood of further prohibited take and ensure MMPA 
compliance. SWFSC may not resume their activities until notified by 
OPR. The report must include the following information:

[[Page 8234]]

    (i) Time, date, and location (latitude/longitude) of the incident;
    (ii) Description of the incident;
    (iii) Environmental conditions (e.g., wind speed and direction, 
Beaufort sea state, cloud cover, 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) Status of all sound source use in the 24 hours preceding the 
incident;
    (vii) Water depth;
    (viii) Fate of the animal(s); and
    (ix) Photographs or video footage of the animal(s).
    (2) In the event that SWFSC 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), SWFSC shall immediately report the incident to OPR. 
The report must include the same information identified in Sec.  
219.16(e)(1) of this section. Activities may continue while OPR reviews 
the circumstances of the incident. OPR will work with SWFSC to 
determine whether additional mitigation measures or modifications to 
the activities are appropriate.
    (3) In the event that SWFSC 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.  219.11(a) of this chapter 
(e.g., previously wounded animal, carcass with moderate to advanced 
decomposition, scavenger damage), SWFSC shall report the incident to 
OPR within 24 hours of the discovery. SWFSC shall provide photographs 
or video footage or other documentation of the stranded animal sighting 
to OPR.


Sec.  219.17  Letters of Authorization.

    (a) To incidentally take marine mammals pursuant to these 
regulations, SWFSC 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, SWFSC 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, SWFSC must apply 
for and obtain a modification of the LOA as described in Sec.  219.18 
of this chapter.
    (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 thirty days of a determination.


Sec.  219.18  Renewals and modifications of Letters of Authorization.

    (a) An LOA issued under Sec. Sec.  216.106 and 219.17 of this 
chapter for the activity identified in Sec.  219.11(a) of this chapter 
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 Sec.  
219.18(c)(1) of this chapter), and
    (2) OPR 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 Sec.  219.18(c)(1) of this chapter) 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), OPR 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 219.17 of this 
chapter for the activity identified in Sec.  219.11(a) of this chapter 
may be modified by OPR under the following circumstances:
    (1) Adaptive Management--OPR may modify (including augment) the 
existing mitigation, monitoring, or reporting measures (after 
consulting with SWFSC 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 SWFSC'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, OPR will 
publish a notice of proposed LOA in the Federal Register and solicit 
public comment.
    (2) Emergencies--If OPR determines that an emergency exists that 
poses a significant risk to the well-being of the species or stocks of 
marine mammals specified in Sec.  219.12(b) of this chapter, 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.  219.19  [Reserved]


Sec.  219.20  [Reserved]

Subpart C--Taking Marine Mammals Incidental to Southwest Fisheries 
Science Center Fisheries Research in the Antarctic


Sec.  219.21  Specified activity and specified geographical region.

    (a) Regulations in this subpart apply only to the National Marine 
Fisheries Service's (NMFS) Southwest Fisheries Science Center (SWFSC) 
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 
research survey program operations.
    (b) The taking of marine mammals by SWFSC may be authorized in a 
Letter of Authorization (LOA) only if it occurs within the Antarctic 
Marine Living Resources Ecosystem.


Sec.  219.22  [Reserved]


Sec.  219.23  Permissible methods of taking.

    (a) Under LOAs issued pursuant to Sec. Sec.  216.106 and 219.27 of 
this chapter, the Holder of the LOA (hereinafter ``SWFSC'') may 
incidentally, but not intentionally, take marine mammals within the 
area described in Sec.  219.21(b) of this chapter, provided the 
activity is in compliance with all terms,

[[Page 8235]]

conditions, and requirements of the regulations in this subpart and the 
appropriate LOA.
    (b) The incidental take of marine mammals under the activities 
identified in Sec.  219.21(a) of this chapter is limited to the 
indicated number of takes on an annual basis of the following species 
and is limited to Level B harassment:
    (1) Cetaceans:
    (i) Southern right whale (Eubalaena australis)--1;
    (ii) Humpback whale (Megaptera novaeangliae)--92;
    (iii) Antarctic minke whale (Balaenoptera bonaerensis)--6;
    (iv) Fin whale (Balaenoptera physalus)--114;
    (v) Sperm whale (Physeter macrocephalus)--3;
    (vi) Arnoux' beaked whale (Berardius arnuxii)--37;
    (vii) Southern bottlenose whale (Hyperoodon planifrons)--37;
    (viii) Hourglass dolphin (Lagenorhynchus cruciger)--12;
    (ix) Killer whale (Orcinus orca)--11;
    (x) Long-finned pilot whale (Globicephala melas)--43; and
    (xi) Spectacled porpoise (Phocoena dioptrica)--12.
    (2) Pinnipeds:
    (i) Antarctic fur seal (Arctocephalus philippii townsendi)--553;
    (ii) Southern elephant seal (Mirounga leonina)--6;
    (iii) Weddell seal (Leptonychotes weddellii)--4;
    (iv) Crabeater seal (Lobodon carcinophaga)--7; and
    (v) Leopard seal (Hydrurga leptonyx)--5.


Sec.  219.24  Prohibitions.

    Notwithstanding takings contemplated in Sec.  219.21 of this 
chapter and authorized by a LOA issued under Sec. Sec.  216.106 and 
219.27 of this chapter, no person in connection with the activities 
described in Sec.  219.21 of this chapter may:
    (a) Take any marine mammal not specified in Sec.  219.23(b) of this 
chapter;
    (b) Take any marine mammal specified in Sec.  219.23(b) in any 
manner other than as specified;
    (c) Take a marine mammal specified in Sec.  219.23(b) of this 
chapter if NMFS determines such taking results in more than a 
negligible impact on the species or stocks of such marine mammal;
    (d) Take a marine mammal specified in Sec.  219.23(b) 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; 
or
    (e) Violate, or fail to comply with, the terms, conditions, and 
requirements of this subpart or a LOA issued under Sec.  216.106 and 
Sec.  219.27 of this chapter.


Sec.  219.25  Mitigation requirements.

    When conducting the activities identified in Sec.  219.21(a), the 
mitigation measures contained in any LOA issued under Sec. Sec.  
216.106 and 219.27 of this chapter must be implemented. These 
mitigation measures shall include but are not limited to:
    (a) General conditions:
    (1) SWFSC shall take all necessary measures to coordinate and 
communicate in advance of each specific survey with the National 
Oceanic and Atmospheric Administration's (NOAA) Office of Marine and 
Aviation Operations (OMAO) or other relevant parties on non-NOAA 
platforms to ensure that all mitigation measures and monitoring 
requirements described herein, as well as the specific manner of 
implementation and relevant event-contingent decision-making processes, 
are clearly understood and agreed upon.
    (2) SWFSC shall coordinate and conduct briefings at the outset of 
each survey and as necessary between ship's crew (Commanding Officer/
master or designee(s), as appropriate) and scientific party in order to 
explain responsibilities, communication procedures, marine mammal 
monitoring protocol, and operational procedures.
    (3) SWFSC shall coordinate as necessary on a daily basis during 
survey cruises with OMAO personnel or other relevant personnel on non-
NOAA platforms to ensure that requirements, procedures, and decision-
making processes are understood and properly implemented.
    (4) When deploying any type of sampling gear at sea, SWFSC shall at 
all times monitor for any unusual circumstances that may arise at a 
sampling site and use best professional judgment to avoid any potential 
risks to marine mammals during use of all research equipment.
    (5) SWFSC shall implement handling and/or disentanglement protocols 
as specified in the guidance provided to SWFSC survey personnel 
(``Identification, Handling and Release of Protected Species'').
    (b) Trawl survey protocols--SWFSC shall conduct trawl operations as 
soon as is practicable upon arrival at the sampling station.


Sec.  219.26  Requirements for monitoring and reporting.

    (a) Visual monitoring program:
    (1) Marine mammal watches shall be conducted by watch-standers 
(those navigating the vessel and/or other crew) at all times when the 
vessel is being operated.
    (2) SWFSC shall monitor any potential disturbance of pinnipeds on 
ice, paying particular attention to the distance at which different 
species of pinniped are disturbed. Disturbance shall be recorded 
according to a three-point scale representing increasing seal response 
to disturbance.
    (b) Acoustic monitoring--SWFSC shall log passive acoustic data 
before and during the conduct of each trawl.
    (c) Training:
    (1) SWFSC must conduct annual training for all chief scientists and 
other personnel who may be responsible for conducting dedicated marine 
mammal visual observations to explain mitigation measures and 
monitoring and reporting requirements, mitigation and monitoring 
protocols, marine mammal identification, recording of count and 
disturbance observations, completion of datasheets, and use of 
equipment. SWFSC may determine the agenda for these trainings.
    (2) SWFSC shall also dedicate a portion of training to discussion 
of best professional judgment, including use in any incidents of marine 
mammal interaction and instructive examples where use of best 
professional judgment was determined to be successful or unsuccessful.
    (d) Handling procedures and data collection:
    (1) SWFSC must develop and implement standardized marine mammal 
handling, disentanglement, and data collection procedures. These 
standard procedures will be subject to approval by NMFS' Office of 
Protected Resources (OPR).
    (2) When practicable, for any marine mammal interaction involving 
the release of a live animal, SWFSC shall collect necessary data to 
facilitate a serious injury determination.
    (3) SWFSC shall provide its relevant personnel with standard 
guidance and training regarding handling of marine mammals, including 
how to identify different species, bring an individual aboard a vessel, 
assess the level of consciousness, remove fishing gear, return an 
individual to water, and log activities pertaining to the interaction.
    (4) SWFSC shall record such data on standardized forms, which will 
be subject to approval by OPR. SWFSC shall also answer a standard 
series of supplemental questions regarding the details of any marine 
mammal interaction.
    (e) Reporting:
    (1) SWFSC shall report all incidents of marine mammal interaction 
to NMFS'

[[Page 8236]]

Protected Species Incidental Take database within 48 hours of 
occurrence.
    (2) SWFSC shall provide written reports to OPR following any marine 
mammal interaction (animal captured or entangled in research gear) and/
or survey leg or cruise, summarizing survey effort on the leg or 
cruise. In the event of a marine mammal interaction, these reports 
shall include full descriptions of any observations of the animals, the 
context (vessel and conditions), decisions made and rationale for 
decisions made in vessel and gear handling.
    (3) Annual reporting:
    (i) SWFSC shall submit an annual summary report to OPR not later 
than ninety days following the end of a calendar year, with the 
reporting period being a given calendar year.
    (ii) These reports shall contain, at minimum, the following:
    (A) Annual line-kilometers surveyed during which the EK60, ME70, 
SX90 (or equivalent sources) were predominant;
    (B) Summary information regarding use of all trawl gear, including 
number of tows, etc.;
    (C) Accounts of all incidents of marine mammal interactions, 
including circumstances of the event and descriptions of any mitigation 
procedures implemented or not implemented and why;
    (D) Summary information related to any on-ice disturbance of 
pinnipeds, including event-specific total counts of animals present, 
counts of reactions according to a three-point scale of response 
severity (1 = alert; 2 = movement; 3 = flight), and distance of closest 
approach;
    (E) A written evaluation of the effectiveness of SWFSC mitigation 
strategies in reducing the number of marine mammal interactions with 
survey gear, including best professional judgment and suggestions for 
changes to the mitigation strategies, if any; and
    (F) Final outcome of serious injury determinations for all 
incidents of marine mammal interactions where the animal(s) were 
released alive.
    (f) Reporting of injured or dead marine mammals:
    (1) In the unanticipated event that the activity defined in Sec.  
219.21(a) of this chapter clearly causes the take of a marine mammal in 
a prohibited manner, SWFSC shall immediately cease the specified 
activities and report the incident to OPR. The report must include the 
following information:
    (i) Time, date, and location (latitude/longitude) of the incident;
    (ii) Description of the incident;
    (iii) Environmental conditions (e.g., wind speed and direction, 
Beaufort sea state, cloud cover, 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) Status of all sound source use in the 24 hours preceding the 
incident;
    (vii) Water depth;
    (viii) Fate of the animal(s); and
    (ix) Photographs or video footage of the animal(s).
    Activities shall not resume until OPR is able to review the 
circumstances of the prohibited take. OPR shall work with SWFSC to 
determine what measures are necessary to minimize the likelihood of 
further prohibited take and ensure MMPA compliance. SWFSC may not 
resume their activities until notified by OPR.
    (2) In the event that SWFSC 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), SWFSC shall immediately report the incident to OPR. 
The report must include the same information identified in Sec.  
219.26(f)(1) of this section. Activities may continue while OPR reviews 
the circumstances of the incident. OPR will work with SWFSC to 
determine whether additional mitigation measures or modifications to 
the activities are appropriate.
    (3) In the event that SWFSC 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.  219.21(a) of this chapter 
(e.g., previously wounded animal, carcass with moderate to advanced 
decomposition, scavenger damage), SWFSC shall report the incident to 
OPR within 24 hours of the discovery. SWFSC shall provide photographs 
or video footage or other documentation of the stranded animal sighting 
to OPR.


Sec.  219.27  Letters of Authorization.

    (a) To incidentally take marine mammals pursuant to these 
regulations, SWFSC 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, SWFSC 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, SWFSC must apply 
for and obtain a modification of the LOA as described in Sec.  219.28 
of this chapter.
    (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 thirty days of a determination.


Sec.  219.28  Renewals and modifications of Letters of Authorization.

    (a) An LOA issued under Sec. Sec.  216.106 and 219.27 of this 
chapter for the activity identified in Sec.  219.21(a) of this chapter 
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 Sec.  
219.28(c)(1) of this chapter), and
    (2) OPR 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 Sec.  219.28(c)(1) of this chapter) 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), OPR 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 219.27 of this 
chapter for the activity identified in Sec.  219.21(a) of this chapter 
may be modified by OPR under the following circumstances:
    (1) Adaptive Management--OPR may modify (including augment) the 
existing

[[Page 8237]]

mitigation, monitoring, or reporting measures (after consulting with 
SWFSC 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 SWFSC'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, OPR will 
publish a notice of proposed LOA in the Federal Register and solicit 
public comment.
    (2) Emergencies--If OPR determines that an emergency exists that 
poses a significant risk to the well-being of the species or stocks of 
marine mammals specified in Sec.  219.22(b) of this chapter, 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.  219.29  [Reserved]


Sec.  219.30  [Reserved]

[FR Doc. 2015-02831 Filed 2-12-15; 8:45 am]
BILLING CODE 3510-22-P