[Federal Register Volume 87, Number 164 (Thursday, August 25, 2022)]
[Notices]
[Pages 52368-52371]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-18349]


-----------------------------------------------------------------------

DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

[RTID 0648-XC205]


Guidelines for Preparing Stock Assessment Reports Pursuant to the 
Marine Mammal Protection Act; Draft Revisions to Procedural Directive 
(NMFS PD 02-204-01)

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

ACTION: Notice; request for comments.

-----------------------------------------------------------------------

SUMMARY: The National Marine Fisheries Service (NMFS) solicits public 
comments on draft revisions to the Guidelines for Preparing Stock 
Assessment Reports Pursuant to the Marine Mammal Protection Act (NMFS 
Procedural Directive (PD) 02-204-01).

DATES: Comments must be received by September 26, 2022.

ADDRESSES: The draft revisions to the Guidelines for Preparing Stock 
Assessment Reports Pursuant to the Marine Mammal Protection Act (NMFS 
PD 02-204-01) are available at: https://www.regulations.gov/docket/NOAA-NMFS-2022-0081. You may submit comments on the draft revisions, 
through the Federal e-Rulemaking Portal:
    1. Go to https://www.regulations.gov and enter NOAA-NMFS-2022-0081 
in the Search box.
    2. Click the ``Comment'' icon, and complete the required fields.
    3. Enter or attach your comments.
    Instructions: NMFS may not consider comments if they are sent by 
any other

[[Page 52369]]

method, to any other address or individual, or received after the end 
of the comment period. Due to delays in processing mail related to 
COVID-19 and health and safety concerns, no mail, courier, or hand 
deliveries will be accepted. All comments received are a part of the 
public record and will generally be posted for public viewing on http://www.regulations.gov without change. All personal identifying 
information (e.g., name, address, etc.), confidential business 
information, or otherwise sensitive information submitted voluntarily 
by the commenter may be publicly accessible. NMFS will also accept 
anonymous comments (enter ``N/A'' in the required fields if you wish to 
remain anonymous). Attachments to electronic comments will be accepted 
in Microsoft Word, Excel, or Adobe PDF file formats only.

FOR FURTHER INFORMATION CONTACT: Eric Patterson, NMFS Office of 
Protected Resources, (301) 427-8415, [email protected]; or 
Zachary Schakner, NMFS Office of Science and Technology, 301-427-8106, 
[email protected].

SUPPLEMENTARY INFORMATION: Section 117 of the Marine Mammal Protection 
Act (MMPA) (16 U.S.C. 1361 et seq.) requires NMFS and the U.S. Fish and 
Wildlife Service (FWS) to prepare stock assessments for each stock of 
marine mammals occurring in waters under the jurisdiction of the United 
States. These reports must contain information regarding the 
distribution and abundance of the stock, population growth rates and 
trends, estimates of annual human-caused mortality and serious injury 
from all sources, descriptions of the fisheries with which the stock 
interacts, and the status of the stock. Initial stock assessment 
reports (SARs) were completed in 1995.
    NMFS convened a workshop in June 1994, including representatives 
from NMFS, FWS, and the Marine Mammal Commission (Commission), to draft 
guidelines for preparing SARs. The report of this workshop (Barlow et 
al., 1995) included the guidelines for preparing SARs and a summary of 
the discussions upon which the guidelines were based. The draft 
guidelines were made available, along with the initial draft SARs, for 
public review and comment (59 FR 40527; August 9, 1994) and were 
finalized August 25, 1995 (60 FR 44308; August 25, 1995).
    In 1996, NMFS convened a second workshop (referred to as the 
Guidelines for Assessing Marine Mammal Stocks, or ``GAMMS,'' workshop) 
to review the guidelines and recommend changes, if appropriate. 
Workshop participants included representatives from NMFS, FWS, the 
Commission, and the three regional scientific review groups (SRGs). The 
report of that workshop (Wade and Angliss, 1997) summarized the 
discussion at the workshop and contained revised guidelines. The 
revised guidelines represented minor changes from the initial version. 
The revised guidelines were made available for public review and 
comment along with revised stock assessment reports on January 21, 1997 
(62 FR 3005; January 21, 1997) and later finalized.
    In September 2003, NMFS again convened a workshop (referred to as 
GAMMS II) to review guidelines and again recommend minor changes. 
Participants at the workshop included representatives of NMFS, FWS, the 
Commission, and the regional SRGs. Changes to the guidelines resulting 
from the 2003 workshop were directed primarily toward identifying 
population stocks and estimating PBR for declining stocks of marine 
mammals. The revised guidelines were made available for public review 
and comment on November 18, 2004 (69 FR 67541), and the revisions were 
completed and finalized on June 20, 2005 (70 FR 35397).
    In February 2011, NMFS convened another workshop (referred to as 
GAMMS III) to review guidelines for preparing SARs and again 
recommended changes to the guidelines. Participants at the workshop 
again included representatives from NMFS, FWS, the Commission, and the 
three regional SRGs. The objectives of the GAMMS III workshop were to 
(1) consider methods for assessing stock status (i.e., how to apply the 
PBR framework) when abundance data are outdated, nonexistent, or only 
partially available; (2) develop policies on stock identification and 
application of the PBR framework to small stocks, transboundary stocks, 
and situations where stocks mix; and (3) develop consistent national 
approaches to a variety of other issues, including reporting mortality 
and serious injury information in assessments. Nine specific topics 
were discussed at the workshop. The deliberations of these nine topics 
resulted in a series of recommended modifications to the guidelines. 
The main body of the GAMMS III workshop report included summaries of 
the presentations and discussions for each of the agenda topics, as 
well as recommended revisions to individual sections of the guidelines 
(Moore and Merrick, 2011). Appendices to the workshop report provided a 
variety of supporting documents, including the full draft revision of 
the guidelines (Appendix IV). The revised guidelines were made 
available for public review and comment on January 24, 2012 (77 FR 
3450), and revisions related to seven of the nine topics were finalized 
on March 2, 2016 (81 FR 10830) as a NMFS Procedural Directive (NMFS PD 
02-204-01) for the first time.
    In July 2020, NMFS once again began efforts to review and possibly 
revise the guidelines, with a focus on addressing some topics 
identified in the GAMMS III workshop but not finalized in 2016. In 
addition, per the NMFS Policy Directive System, the guidelines were 
scheduled for review in February 2021. Due to the COVID-19 pandemic and 
the targeted nature of the revision effort, an in-person workshop was 
not held as was typical in the past. Instead, an internal working group 
reviewed the guidelines and developed draft revisions, as appropriate. 
The working group identified eight topics that warranted potential 
revisions, a summary of which is provided below.
    Topic 1 relates to revising the guidelines to incorporate and 
reference NMFS Procedural Directive: Reviewing and Designating Stocks 
and Issuing Stock Assessment Reports under the Marine Mammal Protection 
Act (NMFS PDS 02-204-03). NMFS PDS 02-204-03, which was finalized in 
2019, established NMFS procedure for reviewing and designating stocks 
in the development of the SARs, including how stock designations relate 
to demographically independent populations (DIPs), as well as distinct 
population segments (DPSs) in cases where marine mammals are also 
listed as DPSs under the Endangered Species Act (ESA). The draft 
revisions summarize NMFS PDS 02-204-03 and incorporate the directive by 
reference. They describe the distinction between the delineation of 
DIPs and the designation of stocks and remove text that is no longer 
relevant as it relates to defining stocks, which is replaced with 
direction to rely on Martien et al. (2019) for DIP delineation and NMFS 
PDS 02-204-03 for stock designation. The draft revisions also provide 
additional guidance on how to define ranges given the possible DIP 
delineation and resulting stock designation outcomes. Finally, the 
draft revisions remove text on prospective stocks that was deemed no 
longer relevant given the process laid out in NMFS PDS 02-204-03.
    Topics 2 and 3 relate to the calculation of the minimum population 
abundance (Nmin) in post-survey years (Topic 2), and to address sources 
of bias (Topic 3), respectively. Previous versions of the guidelines 
state that if

[[Page 52370]]

eight years have transpired since the time of an abundance survey, Nmin 
is considered unknown. This creates a challenge for managing stocks. 
The draft revisions remove the 8-year expiration of abundance data for 
use in calculating Nmin. They provide additional detail on the survey 
frequency assumed in the original PBR performance testing scenarios 
conducted by Wade (1998) and note that if survey data are older than 
was assumed in these scenarios, Nmin should be adjusted to account for 
uncertain post-survey abundance changes. The draft revisions provide a 
non-exhaustive list of potential options for making such adjustments to 
Nmin and note that at some point even with adjustments, Nmin will 
become unreliable and should be considered unknown on a case-by-case 
basis.
    Topic 4 relates to designating stocks as strategic and related 
recovery factors. The MMPA defines the term ``strategic stock'' as a 
marine mammal stock: (A) for which the level of direct human caused 
mortality exceeds the potential biological removal (PBR) level; (B) 
which is declining and is likely to be listed as a threatened species 
under the ESA within the foreseeable future; or (C) which is listed as 
a threatened species or endangered species under the ESA or is 
designated as depleted under the MMPA. While applying criterion A or C 
may be relatively straightforward, applying criterion B is more 
subjective and previous versions of the guidelines did not provide any 
guidance related to criterion B. The draft revisions provide explicit 
guidelines for making strategic determinations based on each part of 
Section 3(19) of the MMPA (A-C). For Section 3(19)(A), the draft 
revisions provide direction for how to assess strategic status given 
varying levels of information on the minimum population size, which is 
necessary for calculating the PBR level, and human-caused mortality and 
serious injury (M/SI). For Section 3(19)(B), the draft revisions direct 
SAR authors to rely on information to be included in the SAR on the 
stock's trend and whether the stock is proposed to be listed under the 
ESA to inform strategic status. Finally, the draft revisions provide 
straightforward guidelines for determining strategic status under 
Section 3(19)(C) based on a stock's current depleted status under the 
MMPA and listing under the ESA.
    Topic 5 focuses on improving language related to quantifying and 
including unobserved mortality and serious injury. In recent years, 
estimates of unobserved or ``cryptic'' mortality of marine mammals, 
particularly of large whales, have been developed and in some cases, 
have been incorporated into the SARs. However, previous versions of the 
guidelines did not provide guidance specific to incorporating this 
information and whether or not it should be considered and counted 
against PBR. The draft revisions summarize the concept of undetected 
mortality and the state of the science as it relates to estimating 
undetected mortality in marine mammals and its inclusion in SARs. They 
then provide specific guidance directing SAR authors to correct human-
caused M/SI estimates for undetected mortality using the best available 
scientific information when possible and include several examples of 
how this may be accomplished. The draft revisions also provide guidance 
on using data from other stocks and how to appropriately deal with 
apportioning undetected mortality by cause, various biases that may 
exist, and multiple estimates of human-caused M/SI.
    Topic 6 relates to providing further guidance on the inclusion and 
incorporation of information on climate change, biologically important 
areas, and habitat issues. Inclusion of information on the effects of 
climate change in SARs has been a subject of discussion among SRGs. In 
addition, NMFS is in the process of completing climate vulnerability 
assessments for marine mammal stocks (Lettrich et al., 2019), and 
efforts are underway to update guidance on using climate information in 
various ESA and MMPA contexts. Somewhat related, for endangered/
threatened stocks, the SARs generally include information about 
critical habitat designations, while SARs may or may not include a 
description of biologically important areas when identified for a 
stock. The draft revisions provide a new section entitled ``Habitat 
Issues,'' which is mentioned in the current version of the guidelines 
as a possible section in the SARs, but with little specific guidance. 
The draft revisions provide guidance on the purpose of the habitat 
issues section of a SAR (to highlight habitat issues affecting the 
status of the stock), and when such a section may be warranted. They 
describe the type of information and level of detail that should be 
included in this section. The draft revisions focus on strategic 
stocks, given the requirements of the MMPA, but note that in some 
cases, a habitat issues section may be included for non-strategic 
stocks when warranted.
    Topic 7 clarifies expectations regarding peer-review of information 
included in SARs. Previous recommendations from the SRGs indicated that 
the peer-review expectations for information included in the SARs are 
not clearly laid out in the current guidelines. The draft revisions 
provide two new sections entitled ``Ensuring Appropriate Peer Review of 
New Information'' and ``Ensuring Appropriate Quality Assurance and 
Quality Control.'' The first section summarizes NOAA's mandates to 
include the best available scientific information in the SARs and 
provides direction for how this requirement may be met when including 
new information in draft SARs. It then describes three levels of peer 
review and how the different types of new information that may be 
included in the SARs fit into each level, with specific direction given 
on what level of review should be considered in each circumstance. The 
second section directs SAR authors to ensure draft SARs follow 
appropriate Quality Assurance and Quality Control procedures.
    Finally, Topic 8 relates to data sources and criteria used for 
documenting human-caused mortality and serious injury. Implementation 
of the 2016 guidelines resulted in some inconsistencies in how SARs 
report information on human-caused M/SI and the criteria used for such 
information. Such inconsistencies have led to differing estimates of 
human-caused M/SI among SARs and other NMFS documents. Additionally, 
under the previous guidelines, there was a lack of consistency in the 
SARs regarding human-caused injuries, especially fishery entanglements/
ingestions, that were determined to not be seriously injured and 
therefore not counting against PBR, particularly when there was 
intervention. The draft revisions modify the existing section titled 
``Annual Human-caused Mortality and Serious Injury.'' Specifically, the 
draft revisions divide this section into several new sections including 
sections on ``Undetected Mortality and Serious Injury'' (see Topic 5 
above), ``Incidental Commercial Fishery Mortality and Serious Injury,'' 
and ``Other Sources of Human-Caused Mortality and Serious Injury 
(Including Foreign Fisheries and Non-commercial U.S. Fisheries),'' and 
this now includes the existing ``Mortality Rates'' section. Within 
these sections, the draft revisions provide additional guidance on the 
data sources and criteria that should be considered when determining 
what constitutes the best available scientific information regarding 
human-caused M/SI. The draft revisions also provide details on how to 
include information on non-serious injuries, including serious injuries 
that were averted due to intervention.
    In addition, other minor revisions were made to improve 
readability,

[[Page 52371]]

formatting, and clarity, and ensure consistency with ongoing efforts to 
revise NMFS Serious Injury Procedural Directive (NMFS PD 02-038-01). 
The full draft revised Procedural Directive is available at: https://www.regulations.gov/docket/NOAA-NMFS-2022-0081. NMFS solicits public 
comments on the draft revisions.

References

Barlow, J., Swartz, S.L., Eagle, T.C., Wade, P.R.. 1995. U.S. Marine 
Mammal Stock Assessments: Guidelines for Preparation, Background, 
and a Summary of the 1995 Assessments. NOAA Technical Memorandum 
NMFS-OPR-6, 73 p. Available at: https://repository.library.noaa.gov/view/noaa/6219.
Lettrich, M.D., Asaro, M.J., Borggaard, D.L., Dick, D.M., Griffis, 
R.B., Litz, J.A., Orphanides, C.D., Palka, D.L., Pendleton, D.E., 
Soldevilla, M.S.. 2019. A Method for Assessing the Vulnerability of 
Marine Mammals to a Changing Climate. NOAA Technical Memorandum 
NMFSF-SPO-196, 73 p. Available at: https://spo.nmfs.noaa.gov/sites/default/files/TMSPO196_508.pdf.
Martien, K.K., Lang, A.R., Taylor, B.L., Rosel, P.E., Simmons, SE, 
Oleson, E.M., Boveng, P.L., M.B. Hanson. 2019. The DIP Delineation 
Handbook: A Guide to Using Multiple Lines of Evidence to Delineate 
Demographically Independent Populations of Marine Mammals. NOAA 
Technical Memorandum NMFS-SWFSC-622, 135 p. Available at: https://repository.library.noaa.gov/view/noaa/22660.
Moore, J.E., Merrick, R. (editors) 2011. Guidelines for Assessing 
Marine Mammal Stocks: Report of the GAMMS III Workshop, February 15-
18, 2011, La Jolla, California. NOAA Technical Memorandum NMFS-OPR-
47, 107 p. Available at: https://repository.library.noaa.gov/view/noaa/4022.
NMFS (National Marine Fisheries Service). 2019. Reviewing and 
Designating Stocks and Issuing Stock Assessment Reports under the 
Marine Mammal Protection Act. NMFS Procedure 02-203-04. Available 
at: https://www.fisheries.noaa.gov/national/laws-and-policies/policy-directive-system.
NMFS (National Marine Fisheries Service). 2012b. Renewed 2014. 
Procedural Directive: Process for Distinguishing Serious from Non-
Serious Injury of Marine Mammals. NMFS Procedure 02-238-01. 
Available at: https://media.fisheries.noaa.gov/dam-migration/02-238-01.pdf.
Wade, P.R. 1998. Calculating limits to the allowable human-caused 
mortality of cetaceans and pinnipeds. Marine Mammal Science 14:1-37.
Wade, P.R., Angliss, R.P. 1997. Guidelines for Assessing Marine 
Mammal Stocks: Report of the GAMMS Workshop, April 3-5, 1996, 
Seattle, WA. NOAA Technical Memorandum NMFS-OPS-12, 93 p. Available 
at: https://repository.library.noaa.gov/view/noaa/15963.

    Dated: August 18, 2022.
Kimberly Damon-Randall,
Director, Office of Protected Resources, National Marine Fisheries 
Service.
[FR Doc. 2022-18349 Filed 8-24-22; 8:45 am]
BILLING CODE 3510-22-P