Takes of Marine Mammals Incidental to Specified Activities; U.S. Navy Training and Testing Activities in the Hawaii-Southern California Training and Testing Study Area
Federal RegisterJan 31, 2013
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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
50 CFR Part 218
[Docket No. 130107014-3024-01]
RIN 0648-BC52
Takes of Marine Mammals Incidental to Specified Activities; U.S. Navy Training and Testing Activities in the Hawaii-Southern California Training and Testing Study Area
AGENCY:
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
ACTION:
Proposed rule; request for comments and information.
SUMMARY:
NMFS has received a request from the U.S. Navy (Navy) for authorization to take marine mammals incidental to the training and testing activities conducted in the Hawaii-Southern California Training and Testing (HSTT) study area from January 2014 through January 2019. Pursuant to the Marine Mammal Protection Act (MMPA), NMFS is requesting comments on its proposal to issue regulations and subsequent Letters of Authorization (LOAs) to the Navy to incidentally harass marine mammals.
DATES:
Comments and information must be received no later than March 11, 2013.
ADDRESSES:
You may submit comments, identified by 0648-BC52, by either of the following methods:
•
Electronic submissions:
Submit all electronic public comments via the Federal eRulemaking Portal
http://www.regulations.gov.
• Hand delivery or mailing of paper, disk, or CD-ROM comments should be addressed to P. Michael Payne, Chief, Permits and Conservation Division, Office of Protected Resources, National Marine Fisheries Service, 1315 East-West Highway, Silver Spring, MD 20910-3225.
Instructions:
All comments received are a part of the public record and will generally be posted to
http://www.regulations.gov
without change. All Personal Identifying Information (for example, name, address, etc.) 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). Attachments to electronic comments will be accepted in Microsoft Word, Excel, WordPerfect, or Adobe PDF file formats only.
FOR FURTHER INFORMATION CONTACT:
Michelle Magliocca, Office of Protected Resources, NMFS, (301) 427-8401.
SUPPLEMENTARY INFORMATION:
Availability
A copy of the Navy's application may be obtained by visiting the internet at:
http://www.nmfs.noaa.gov/pr/permits/incidental.htm#applications.
The Navy's Draft Environmental Impact Statement/Overseas Environmental Impact Statement (DEIS/OEIS) for HSTT was made available to the public on May 11, 2012 (77 FR 27743) and may also be viewed at
http://www.nmfs.noaa.gov/pr/permits/incidental.htm#applications.
Documents cited in this notice may also be viewed, by appointment, during regular business hours, at the aforementioned address.
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 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.
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.”
The National Defense Authorization Act of 2004 (NDAA) (Pub. L. 108-136) removed the “small numbers” and “specified geographical region” limitations indicated above and amended the definition of “harassment” as applies to a “military readiness activity” to read as follows (section 3(18)(B) of the MMPA): “(i) Any act that injures or has the significant potential to injure a marine mammal or marine mammal stock in the wild [Level A Harassment]; or (ii) any act that disturbs or is likely to disturb a marine mammal or marine mammal stock in the wild by causing disruption of natural behavioral patterns, including, but not limited to, migration, surfacing, nursing, breeding, feeding, or sheltering, to a point where such behavioral patterns are abandoned or significantly altered [Level B Harassment].”
Summary of Request
On April 13, 2012, NMFS received an application from the Navy requesting two LOAs for the take of 39 species of marine mammals incidental to Navy training and testing activities to be conducted in the HSTT Study Area over 5 years. The Navy submitted an addendum on September 24, 2012 and the application was considered complete. The Navy is requesting regulations that would establish a process for authorizing take, via two separate 5-year LOAs, of marine mammals for training activities and testing activities, each proposed to be conducted from 2014 through 2019. The Study Area includes three existing range complexes (Southern California (SOCAL) Range Complex, Hawaii Range Complex (HRC), and Silver Strand Training Complex (SSTC)) plus pierside locations and areas on the high seas where maintenance, training, or testing may occur. The proposed activities are classified as military readiness activities. Marine mammals present in the Study Area may be exposed to sound from active sonar, underwater detonations, and/or pile driving and removal. In addition, incidental takes of marine mammals may occur from ship strikes. The Navy is requesting authorization to take 38 marine mammal species by Level B harassment and 24 marine mammal species by Level A harassment or mortality.
The Navy's application and the HSTT DEIS/OEIS contain proposed acoustic criteria and thresholds that would, in some instances, represent changes from what NMFS has used to evaluate the Navy's proposed activities for past incidental take authorizations. The revised thresholds are based on evaluation of recent scientific studies; a detailed explanation of how they were derived is provided in the HSTT DEIS/OEIS Criteria and Thresholds Technical Report. NMFS is currently updating and revising all of its acoustic criteria and thresholds. Until that process is complete, NMFS will continue its long-standing practice of considering specific
modifications to the acoustic criteria and thresholds currently employed for incidental take authorizations only after providing the public with an opportunity for review and comment. NMFS is requesting comments on all aspects of the proposed rule, and specifically requests comments on the proposed acoustic criteria and thresholds.
Background of Request
The Navy's mission is to maintain, train, and equip combat-ready naval forces capable of winning wars, deterring aggression, and maintaining freedom of the seas. Section 5062 of Title 10 of the United States Code directs the Chief of Naval Operations to train all military forces for combat. The Chief of Naval Operations meets that direction, in part, by conducting at-sea training exercises and ensuring naval forces have access to ranges, operating areas (OPAREAs) and airspace where they can develop and maintain skills for wartime missions and conduct research, development, testing, and evaluation (RDT&E) of naval systems.
The Navy proposes to continue conducting training and testing activities within the HSTT Study Area, which have been ongoing since the 1940s. Recently, most of these activities were analyzed in three separate EISs completed between 2008 and 2011; the Hawaii Range Complex (HRC) EIS/OEIS (U.S. Department of the Navy, 2008a), the Southern California (SOCAL) Range Complex EIS/OEIS (U.S. Department of the Navy, 2008b), and the Silver Strand Training Complex (SSTC) EIS (U.S. Department of the Navy, 2011a). These documents, among others, and their associated MMPA regulations and authorizations, describe the baseline of training and testing activities currently conducted in the Study Area. The tempo and types of training and testing activities have fluctuated due to changing requirements; new technologies; the dynamic nature of international events; advances in warfighting doctrine and procedures; and changes in basing locations for ships, aircraft, and personnel. Such developments influence the frequency, duration, intensity, and location of required training and testing. The Navy's LOA request covers training and testing activities that would occur for a 5-year period following the expiration of the current MMPA authorizations. The Navy has also prepared a DEIS/OEIS analyzing the effects on the human environment of implementing their preferred alternative (among others).
Description of the Specified Activity
The Navy is requesting authorization to take marine mammals incidental to conducting training and testing activities. The Navy has determined that sonar use, underwater detonations, pile driving and removal, and ship strike are the stressors most likely to result in impacts on marine mammals that could rise to the level of harassment. Detailed descriptions of these activities are provided in the HSTT DEIS/OEIS and LOA application (
http://www.nmfs.noaa.gov/pr/permits/incidental.htm
) and are summarized here.
Overview of Training Activities
The Navy routinely trains in the HSTT Study Area in preparation for national defense missions. Training activities are categorized into eight functional warfare areas (anti-air warfare; amphibious warfare; strike warfare; anti-surface warfare; anti-submarine warfare; electronic warfare; mine warfare; and naval special warfare). The Navy determined that the following stressors used in these warfare areas are most likely to result in impacts on marine mammals:
• Amphibious warfare (underwater detonations, pile driving and removal)
• Anti-surface warfare (underwater detonations)
• Anti-submarine warfare (active sonar, underwater detonations)
• Mine warfare (active sonar, underwater detonations, and marine mammal systems (see description below))
• Naval special warfare (underwater detonations)
The Navy's activities in anti-air warfare, strike warfare, and electronic warfare do not involve stressors that could result in harassment of marine mammals. Therefore, these activities are not discussed further.
Amphibious Warfare
The mission of amphibious warfare is to project military power from the sea to the shore through the use of naval firepower and Marine Corps landing forces. The Navy uses amphibious warfare to attack a threat located on land by a military force embarked on ships. Amphibious warfare training ranges from individual, crew, and small unit events to large task force exercises. Individual and crew training include amphibious vehicles and naval gunfire support training for shore assaults, boat raids, airfield or port seizures, and reconnaissance. Large-scale amphibious exercises involve ship-to-shore maneuver, naval fire support, such as shore bombardment, and air strike and close air support training. However, the Navy only analyzed those portions of amphibious warfare training that occur at sea, in particular, underwater detonations associated with naval gunfire support training. The Navy conducts other amphibious warfare support activities that could potentially affect marine mammals (such as pile driving and removal) in the near shore region from the beach to about 914 meters (m) from shore.
Anti-Surface Warfare
The mission of anti-surface warfare is to defend against enemy ships or boats. When conducting anti-surface warfare, aircraft use cannons, air-launched cruise missiles, or other precision-guided munitions; ships use torpedoes, naval guns, and surface-to-surface missiles; and submarines use torpedoes or submarine-launched, anti-ship cruise missiles. Anti-surface warfare training includes surface-to-surface gunnery and missile exercises, air-to-surface gunnery and missile exercises, and submarine missile or exercise torpedo launch events.
Anti-Submarine Warfare
The mission of anti-submarine warfare is to locate, neutralize, and defeat hostile submarine threats to surface forces. Anti-submarine warfare is based on the principle of a layered defense of surveillance and attack aircraft, ships, and submarines all searching for hostile submarines. These forces operate together or independently to gain early warning and detection, and to localize, track, target, and attack hostile submarine threats. Anti-submarine warfare training addresses basic skills such as detection and classification of submarines, distinguishing between sounds made by enemy submarines and those of friendly submarines, ships, and marine life. More advanced, integrated anti-submarine warfare training exercises are conducted in coordinated, at-sea training events involving submarines, ships, and aircraft. This training integrates the full spectrum of anti-submarine warfare from detecting and tracking a submarine to attacking a target using either exercise torpedoes or simulated weapons.
Mine Warfare
The mission of mine warfare is to detect, and avoid or neutralize mines to protect Navy ships and submarines and to maintain free access to ports and shipping lanes. Mine warfare also includes offensive mine laying to gain control or deny the enemy access to sea
space. Naval mines can be laid by ships, submarines, or aircraft. Mine warfare training includes exercises in which ships, aircraft, submarines, underwater vehicles, or marine mammal detection systems search for mines. Certain personnel train to destroy or disable mines by attaching and detonating underwater explosives to simulated mines. Other neutralization techniques involve impacting the mine with a bullet-like projectile or intentionally triggering the mine to detonate.
Finally, the Navy deploys California sea lions in the HSTT Study Area for integrated training involving two primary missions areas: To find objects such as inert mine shapes, and to detect swimmers or other intruders around Navy facilities such as piers. When deployed, the animals are part of what the Navy refers to as marine mammal systems. These systems include one or more motorized small boats, several crew members, and a trained marine mammal. Each trained animal is deployed under behavioral control to find the intruding swimmer or submerged object.
Naval Special Warfare
The mission of naval special warfare is to conduct unconventional warfare, direct action, combat terrorism, special reconnaissance, information warfare, security assistance, counter-drug operations, and recovery of personnel from hostile situations. Naval special warfare operations are highly specialized and require continual and intense training. Naval special warfare units are required to utilize a combination of specialized training, equipment, and tactics, including insertion and extraction operations using parachutes, submerged vehicles, rubber boats, and helicopters; boat-to-shore and boat-to-boat gunnery; underwater demolition training; reconnaissance; and small arms training.
Overview of Testing Activities
The Navy researches, develops, tests, and evaluates new platforms, systems, and technologies. Testing activities may occur independently of or in conjunction with training activities. Many testing activities are conducted similarly to Navy training activities and are also categorized under one of the primary mission areas. Other testing activities are unique and are described within their specific testing categories. The Navy determined that stressors used during the following testing activities are most likely to result in impacts on marine mammals:
• Naval Air Systems Command (NAVAIR) Testing
○ Anti-surface warfare testing (underwater detonations)
○ Anti-submarine warfare testing (active sonar, underwater detonations)
○ Mine warfare testing (active sonar, underwater detonations)
• Naval Sea Systems command (NAVSEA) Testing
○ New ship construction (active sonar, underwater detonations)
○ Life cycle activities (active sonar, underwater detonations)
○ Anti-surface warfare/anti-submarine warfare testing (active sonar, underwater detonations)
○ Mine warfare testing (active sonar, underwater detonations)
○ Ship protection systems and swimmer defense testing (active sonar, airguns)
○ Unmanned vehicle testing (active sonar)
○ Other testing (active sonar)
• Space and Naval Warfare Systems Commands (SPAWAR) Testing
○ SPAWAR research, development, test, and evaluation (active sonar)
• Office of Naval Research (ONR) and Naval Research Laboratory (NRL) Testing
○ ONR/NRL research, development, test, and evaluation (active sonar)
Other Navy testing activities do not involve stressors that could result in marine mammal harassment. Therefore, these activities are not discussed further.
Naval Air Systems Command Testing (NAVAIR)
NAVAIR events include testing of new aircraft platforms, weapons, and systems before delivery to the fleet for training activities. NAVAIR also conducts lot acceptance testing of weapons and systems, such as sonobuoys. In general, NAVAIR conducts its testing activities the same way the fleet conducts its training activities. However, NAVAIR testing activities may occur in different locations than equivalent fleet training activities and testing of a particular system may differ slightly from the way the fleet trains with the same system.
Anti-surface Warfare Testing
—Anti-surface warfare testing includes air-to-surface gunnery, missile, and rocket exercises. Testing is required to ensure the equipment is fully functional for defense from surface threats. Testing may be conducted on new guns or run rounds, missiles, rockets, and aircraft, and also in support of scientific research to assess new and emerging technologies. Testing events are often integrated into training activities and in most cases the systems are used in the same manner in which they are used for fleet training activities.
Anti-submarine Warfare Testing
—Anti-submarine warfare testing addresses basic skills such as detection and classification of submarines, distinguishing between sounds made by enemy submarines and those of friendly submarines, ships, and marine life. More advanced, integrated anti-submarine warfare testing is conducted in coordinated, at-sea training events involving submarines, ships, and aircraft. This testing integrates the full spectrum of anti-submarine warfare from detecting and tracking a submarine to attacking a target using various torpedoes and weapons.
Mine Warfare Testing
—Mine warfare testing includes activities in which aircraft detection systems are used to search for and record the location of mines for subsequent neutralization. Mine neutralization tests evaluate a system's effectiveness at intentionally detonating or otherwise disabling the mine. Different mine neutralization systems are designed to neutralize mines either at the sea surface or deployed deeper within the water column. All components of these systems are tested in the at-sea environment to ensure they meet mission requirements.
Naval Sea Systems Command Testing (NAVSEA)
NAVSEA testing activities are aligned with its mission of new ship construction, life cycle support, and other weapon systems development and testing.
New Ship Construction Activities
—Ship construction activities include pierside testing of ship systems, tests to determine how the ship performs at sea (sea trials), and developmental and operational test and evaluation programs for new technologies and systems. Pierside and at-sea testing of systems aboard a ship may include sonar, acoustic countermeasures, radars, and radio equipment. During sea trials, each new ship propulsion engine is operated at full power and subjected to high-speed runs and steering tests. At-sea test firing of shipboard weapon systems, including guns, torpedoes, and missiles, are also conducted.
Life Cycle Activities
—Testing activities are conducted throughout the life of a Navy ship to verify performance and mission capabilities. Sonar system testing occurs pierside during maintenance, repair, and overhaul availabilities, and at sea immediately following most major overhaul periods. A Combat System Ship Qualification
Trial is conducted for new ships and for ships that have undergone modification or overhaul of their combat systems. Radar cross signature testing of surface ships is conducted on new vessels and periodically throughout a ship's life to measure how detectable the ship is by radar. Electromagnetic measurements of off-board electromagnetic signature are also conducted for submarines, ships, and surface craft periodically.
Other Weapon Systems Development and Testing
—Numerous test activities and technical evaluations, in support of NAVSEA's systems development mission, often occur with fleet activities within the Study Area. Tests within this category include, but are not limited to, anti-surface, anti-submarine, and mine warfare, using torpedoes, sonobuoys, and mine detection and neutralization systems.
Space and Naval Warfare Systems Command Testing (SPAWAR)
The mission of SPAWAR is to acquire, develop, deliver, and sustain decision superiority for the warfighter at the right time and for the right cost. SPAWAR Systems Center Pacific is the research and development part of SPAWAR focused on developing and transitioning technologies in the area of command, control, communications, computers, intelligence, surveillance, and reconnaissance. SPAWAR Systems Center Pacific conducts research, development, test, and evaluation projects to support emerging technologies for intelligence, surveillance, and reconnaissance; anti-terrorism and force protection; mine countermeasures; anti-submarine warfare; oceanographic research; remote sensing; and communications. These activities include, but are not limited to, the testing of unmanned undersea and surface vehicles, a wide variety of intelligence, surveillance, and reconnaissance sensor systems, underwater surveillance technologies, and underwater communications.
Office of Naval Research and Naval Research Laboratory Testing (ONR and NRL)
As the Navy's science and technology provider, ONR and NRL provide technology solutions for Navy and Marine Corps needs. ONR's mission is to plan, foster, and encourage scientific research in recognition of its paramount importance as related to the maintenance of future naval power, and the preservation of national security. Further, ONR manages the Navy's basic, applied, and advanced research to foster transition from science and technology to higher levels of research, development, test, and evaluation. The Ocean Battlespace Sensing Department explores science and technology in the areas of oceanographic and meteorological observations, modeling, and prediction in the battlespace environment; submarine detection and classification (anti-submarine warfare); and mine warfare applications for detecting and neutralizing mines in both the ocean and littoral environment. ONR events include research, development, test, and evaluation activities; surface processes acoustic communications experiments; shallow water acoustic communications experiments; sediment acoustics experiments; shallow water acoustic propagation experiments; and long range acoustic propagation experiments.
Sonar, Ordnance, Targets, and Other Systems
The Navy uses a variety of sensors, platforms, weapons, and other devices to meet its mission. Training and testing with these systems may introduce acoustic (sound) energy into the environment. This section describes and organizes sonar systems, ordnance, munitions, targets, and other systems to facilitate understanding of the activities in which these systems are used. Underwater sound is described as one of two types for the purposes of the Navy's application: impulsive and non-impulsive. Underwater detonations of explosives and other percussive events are impulsive sounds. Sonar and similar sound producing systems are categorized as non-impulsive sound sources.
Sonar and Other Non-impulsive Sources
—Modern sonar technology includes a variety of sonar sensor and processing systems. The simplest active sonar emits sound waves, or “pings,” sent out in multiple directions and the sound waves then reflect off of the target object in multiple directions. The sonar source calculates the time it takes for the reflected sound waves to return; this calculation determines the distance to the target object. More sophisticated active sonar systems emit a ping and then rapidly scan or listen to the sound waves in a specific area. This provides both distance to the target and directional information. Even more advanced sonar systems use multiple receivers to listen to echoes from several directions simultaneously and provide efficient detection of both direction and distance. The Navy rarely uses active sonar continuously throughout activities. When sonar is in use, the pings occur at intervals, referred to as a duty cycle, and the signals themselves are very short in duration. For example, sonar that emits a 1-second ping every 10 seconds has a 10-percent duty cycle. The Navy utilizes sonar systems and other acoustic sensors in support of a variety of mission requirements. Primary uses include the detection of and defense against submarines (anti-submarine warfare) and mines (mine warfare); safe navigation and effective communications; use of unmanned undersea vehicles; and oceanographic surveys.
Ordnance and Munitions
—Most ordnance and munitions used during training and testing events fall into three basic categories: Projectiles (such as gun rounds), missiles (including rockets), and bombs. Ordnance can be further defined by their net explosive weight, which considers the type and quantity of the explosive substance without the packaging, casings, bullets, etc. Net explosive weight (NEW) is the trinitrotoluene (TNT) equivalent of energetic material, which is the standard measure of strength of bombs and other explosives. For example, a 12.7-centimeter(cm) shell fired from a Navy gun is analyzed at about 9.5 pounds (lb) (4.3 kilograms (kg)) of NEW. The Navy also uses non-explosive ordnance in place of high explosive ordnance in many training and testing events. Non-explosive ordnance munitions look and perform similarly to high explosive ordnance, but lack the main explosive charge.
Defense Countermeasures
—Naval forces depend on effective defensive countermeasures to protect themselves against missile and torpedo attack. Defensive countermeasures are devices designed to confuse, distract, and confound precision guided munitions. Defensive countermeasures analyzed in this LOA application include acoustic countermeasures, which are used by surface ships and submarines to defend against torpedo attack. Acoustic countermeasures are either released from ships and submarines, or towed at a distance behind the ship.
Mine Warfare Systems
—The Navy divides mine warfare systems into two categories: mine detection and mine neutralization. Mine detection systems are used to locate, classify, and map suspected mines, on the surface, in the water column, or on the sea floor. The Navy analyzed the following mine detection systems for potential impacts to marine mammals:
• Towed or hull-mounted mine detection systems. These detection systems use acoustic and laser or video sensors to locate and classify suspect mines. Fixed and rotary wing platforms, ships, and unmanned vehicles are used
for towed systems, which can rapidly assess large areas.
• Unmanned/remotely operated vehicles. These vehicles use acoustic and video or lasers to locate and classify mines and provide unique capabilities in nearshore littoral areas, surf zones, ports, and channels.
• Marine mammal systems. The Navy deploys trained Atlantic bottlenose dolphins (
Tursiops truncatus
) and California sea lions (
Zalopus californianus
) for integrated training involving two primary mission areas: to find objects such as inert mine shapes, and to detect swimmers or other intruders around Navy facilities such as piers. These systems also include one or more motorized small boats and several crew members for each trained marine mammal. When not engaged in training, Navy marine mammals are housed in temporary enclosures either on land or aboard ships.
Mine Neutralization Systems
—Mine neutralization systems disrupt, disable, or detonate mines to clear ports and shipping lanes, as well as littoral, surf, and beach areas in support of naval amphibious operations. The Navy analyzed the following mine neutralization systems for potential impacts to marine mammals:
• Towed influence mine sweep systems. These systems use towed equipment that mimic a particular ship's magnetic and acoustic signature triggering the mine and causing it to explode.
• Unmanned/remotely operated mine neutralization systems. Surface ships and helicopters operate these systems, which place explosive charges near or directly against mines to destroy the mine.
• Airborne projectile-based mine clearance systems. These systems neutralize mines by firing a small or medium-caliber non-explosive, supercavitating projectile from a hovering helicopter.
• Diver emplaced explosive charges. Operating from small craft, divers put explosive charges near or on mines to destroy the mine or disrupt its ability to function.
Classification of Non-Impulsive and Impulsive Sources Analyzed
In order to better organize and facilitate the analysis of about 300 sources of underwater non-impulsive sound or impulsive energy, the Navy developed a series of source classifications, or source bins. This method of analysis provides the following benefits:
• Allows for new sources to be covered under existing authorizations, as long as those sources fall within the parameters of a “bin;”
• Simplifies the data collection and reporting requirements anticipated under the MMPA;
• Ensures a conservative approach to all impact analysis because all sources in a single bin are modeled as the loudest source (e.g., lowest frequency, highest source level, longest duty cycle, or largest net explosive weight within that bin);
• Allows analysis to be conducted more efficiently, without compromising the results;
• Provides a framework to support the reallocation of source usage (hours/explosives) between different source bins, as long as the total number and severity of marine mammal takes remain within the overall analyzed and authorized limits. This flexibility is required to support evolving Navy training and testing requirements, which are linked to real world events.
A description of each source classification is provided in Tables 1-3. Non-impulsive sources are grouped into bins based on the frequency, source level when warranted, and how the source would be used. Impulsive bins are based on the net explosive weight of the munitions or explosive devices. The following factors further describe how non-impulsive sources are divided:
• Frequency of the non-impulsive source:
○ Low-frequency sources operate below 1 kilohertz (kHz)
○ Mid-frequency sources operate at or above 1 kHz, up to and including 10 kHz
○ High-frequency sources operate above 10 kHz, up to and including 100 kHz
○ Very high-frequency sources operate above 100, but below 200 kHz
• Source level of the non-impulsive source:
○ Greater than 160 decibels (dB), but less than 180 dB
○ Equal to 180 dB and up to 200 dB
○ Greater than 200 dB
How a sensor is used determines how the sensor's acoustic emissions are analyzed. Factors to consider include pulse length (time source is on); beam pattern (whether sound is emitted as a narrow, focused beam, or, as with most explosives, in all directions); and duty cycle (how often a transmission occurs in a given time period during an event).
There are also non-impulsive sources with characteristics that are not anticipated to result in takes of marine mammals. These sources have low source levels, narrow beam widths, downward directed transmission, short pulse lengths, frequencies beyond known hearing ranges of marine mammals, or some combination of these factors. These sources were not modeled by the Navy, but are qualitatively analyzed in Table 1-4 of the LOA application and the HSTT DEIS/OEIS.
Table 1—Impulsive Training and Testing Source Classes Analyzed
Source class
Representative munitions
Net explosive weight (lbs)
E1
Medium-caliber projectiles
0.1-0.25 (45.4-113.4 g)
E2
Medium-caliber projectiles
0.26-0.5 (117.9-226.8 g)
E3
Large-caliber projectiles
>0.5-2.5 (>226.8 g-1.1 kg)
E4
Improved Extended Echo Ranging Sonobuoy
>2.5-5.0 (1.1-2.3 kg)
E5
5 in. (12.7 cm) projectiles
>5-10 (>2.3-4.5 kg)
E6
15 lb. (6.8 kg) shaped charge
>10-20 (>4.5-9.1 kg)
E7
40 lb. (18.1 kg) demo block/shaped charge
>20-60 (>9.1-27.2 kg)
E8
250 lb. (113.4 kg) bomb
>60-100 (>27.2-45.4 kg)
E9
500 lb. (226.8 kg) bomb
>100-250 (>45.4-113.4 kg)
E10
1,000 lb. (453.6 kg) bomb
>250-500 (>113.4-226.8 kg)
E11
650 lb. (294.8 kg) mine
>500-650 (>226.8-294.8 kg)
E12
2,000 lb. (907.2 kg) bomb
>650-1,000 (>294.8-453.6 kg)
E13
1,200 lb. (544.3 kg) HBX charge
>1,000-1,740 (>453.6-789.3 kg)
Table 2—Non-Impulsive Training Source Classes Analyzed
Source class category
Source class
Description
Mid-Frequency (MF): Tactical and non-tactical sources that produce mid-frequency (1 to 10 kHz) signals
MF1
Active hull-mounted surface ship sonar (e.g., AN/SQS-53C and AN/SQS-60).
MF1K
Kingfisher object avoidance mode associated with MF1 sonar.
MF2
Active hull-mounted surface ship sonar (e.g., AN/SQS-56).
MF2K
Kingfisher mode associated with MF2 sonar.
MF3
Active hull-mounted submarine sonar (e.g., AN/BQQ-10).
MF4
Active helicopter-deployed dipping sonar (e.g., AN/AQS-22 and AN/AQS-13).
MF5
Active acoustic sonobuoys (e.g., AN/SSQ-62 DICASS).
MF6
Active underwater sound signal devices (e.g., MK-84).
MF11
Hull-mounted surface ship sonar with an active duty cycle greater than 80%.
MF12
High duty cycle—variable depth sonar.
High-Frequency (HF) and Very High-Frequency (VHF): Tactical and non-tactical sources that produce high-frequency (greater than 10 kHz but less than 200 kHz) signals
HF1
HF4
Active hull-mounted submarine sonar (e.g., AN/BQQ-15).
Active mine detection, classification, and neutralization sonar (e.g., AN/SQS-20).
Anti-Submarine Warfare (ASW): Tactical sources such as active sonobuoys and acoustic countermeasures systems used during ASW training activities
ASW1
ASW2
MF active Deep Water Active Distributed System (DWADS).
MF active Multistatic Active Coherent (MAC) sonobuoy (e.g., AN/SSQ-125).
ASW3
MF active towed active acoustic countermeasure systems (e.g., AN/SLQ-25 NIXIE).
ASW4
MF active expendable active acoustic device countermeasures (e.g., MK-3).
Torpedoes (TORP): Source classes associated with active acoustic signals produced by torpedoes
TORP1
HF active lightweight torpedo sonar (e.g., MK-46, MK-54, or Anti-Torpedo Torpedo).
TORP2
HF active heavyweight torpedo sonar (e.g., MK-48).
Table 3—Non-Impulsive Testing Source Classes Analyzed
Source class category
Source class
Description
Low-Frequency (LF): Sources that produce low-frequency (less than 1 kilohertz [kHz]) signals
LF4
Low-frequency sources equal to 180 dB and up to 200 dB.
LF5
Low-frequency sources less than 180 dB.
LF6
Low-frequency sonar currently in development (e.g., anti-submarine warfare sonar associated with the Littoral Combat Ship).
Mid-Frequency (MF): Tactical and non-tactical sources that produce mid-frequency (1 to 10 kHz) signals
MF1
MF1K
Hull-mounted surface ship sonar (e.g., AN/SQS-53C and AN/SQS-60).
Kingfisher mode associated with MF1 sonar (Sound Navigation and Ranging).
MF2
Hull-mounted surface ship sonar (e.g., AN/SQS-56).
MF3
Hull-mounted submarine sonar (e.g., AN/BQQ-10).
MF4
Helicopter-deployed dipping sonar (e.g., AN/AQS-22 and AN/AQS-13).
MF5
Active acoustic sonobuoys (e.g., DICASS).
MF6
Active underwater sound signal devices (e.g., MK-84).
MF8
Active sources (greater than 200 dB).
MF9
Active sources (equal to 180 dB and up to 200 dB).
MF10
Active sources (greater than 160 dB, but less than 180 dB) not otherwise binned.
MF12
High duty cycle—variable depth sonar.
High-Frequency (HF) and Very High-Frequency (VHF): Tactical and non-tactical sources that produce high-frequency (greater than 10 kHz but less than 200 kHz) signals
HF1
HF3
HF4
Hull-mounted submarine sonar (e.g., AN/BQQ-10).
Hull-mounted submarine sonar (classified).
Mine detection, classification, and neutralization sonar (e.g., AN/SQS-20).
HF5
Active sources (greater than 200 dB).
HF6
Active sources (equal to 180 dB and up to 200 dB).
Anti-Submarine Warfare (ASW): Tactical sources such as active sonobuoys and acoustic countermeasures systems used during the conduct of anti-submarine warfare testing activities
ASW1
Mid-frequency Deep Water Active Distributed System (DWADS).
ASW2
ASW2H
Mid-frequency Multistatic Active Coherent sonobuoy (e.g., AN/SSQ-125).
Mid-frequency sonobuoy (e.g., high duty cycle)—Sources that are analyzed by hours.
ASW3
Mid-frequency towed active acoustic countermeasure systems (e.g., AN/SLQ-25).
ASW4
Mid-frequency expendable active acoustic device countermeasures (e.g., MK-3).
Torpedoes (TORP): Source classes associated with the active acoustic signals produced by torpedoes
TORP1
Lightweight torpedo (e.g., MK-46, MK-54, or Surface Ship Defense System).
TORP2
Heavyweight torpedo (e.g., MK-48).
Acoustic Modems (M): Systems used to transmit data acoustically through water
M3
Mid-frequency acoustic modems (greater than 190 dB).
Swimmer Detection Sonar (SD): Systems used to detect divers and submerged
swimmers
SD1-SD2
High-frequency sources with short pulse lengths, used for the detection of swimmers and other objects for the purpose of port security.
Airguns (AG): Underwater airguns are used during swimmer defense and diver deterrent training and testing activities
AG
Up to 60 cubic inch airguns (e.g., Sercel Mini-G).
Synthetic Aperture Sonar (SAS): Sonar in which active acoustic signals are post-processed to form high-resolution images of the seafloor
SAS1
SAS2
SAS3
MF SAS systems.
HF SAS systems.
VHF SAS systems.
Proposed Action
The Navy proposes to continue conducting training and testing activities within the HSTT Study Area. The Navy has been conducting military readiness training and testing activities in the HSTT Study Area since the 1940s. Recently, these activities were analyzed in three separate EISs completed between 2008 and 2011; the Hawaii Range Complex (HRC) EIS/OEIS (U.S. Department of the Navy 2008a), the SOCAL Range Complex EIS/OEIS (U.S. Department of the Navy 2008b), and the Silver Strand Training Complex (SSTC) EIS (U.S. Department of the Navy 2011a). These documents, among others, and their associated MMPA regulations and authorizations, describe the baseline of training and testing activities currently conducted in the Study Area.
The tempo and types of training and testing activities have fluctuated due to changing requirements; the introduction of new technologies; the dynamic nature of international events; advances in warfighting doctrine and procedures; and changes in basing locations for ships, aircraft, and personnel (force structure changes). Such developments have influenced the frequency, duration, intensity, and location of required training and testing.
Training
The Navy proposes to conduct training activities in the Study Area as described in Tables 4 and 5. Detailed information about each proposed activity (stressor, training event, description, sound source, duration, and geographic location) can be found in Appendix A of the HSTT DEIS/OEIS. NMFS used the detailed information in Appendix A of the HSTT DEIS/OEIS to analyze the potential impacts to marine mammals. Table 4 describes the annual number of impulsive source detonations during testing activities within the HSTT Study Area, and Table 5 describes the annual number of hours or items of non-impulsive sources used during training within the HSTT Study Area. The Navy's proposed action is an adjustment to existing baseline training activities to accommodate the following:
• Force structure changes including the relocation of ships, aircraft, and personnel;
• Planned new aircraft platforms, new vessel classes, and new weapons systems;
• Ongoing training activities that were not addressed in previous documentation; and
• New range capabilities, such as hydrophone modifications, upgrades, and replacement at instrumented Navy underwater tracking ranges.
Table 4—Proposed Annual Number of Impulsive Source Detonations During Training in the HSTT Study Area
Explosive class
Net explosive weight (NEW)
Annual in-water detonations (training)
E1
(0.1 lb.-0.25 lb.)
19,840
E2
(0.26 lb.-0.5 lb.)
1,044
E3
(0.6 lb.-2.5 lb.)
3,020
E4
(>2.5 lb.-5 lb.)
668
E5
(>5 lb.-10 lb.)
8,154
E6
(>10 lb.-20 lb.)
538
E7
(>20 lb.-60 lb.)
407
E8
(>60 lb.-100 lb.)
64
E9
(>100 lb.-250 lb.)
16
E10
(>250 lb.-500 lb.)
19
E11
(>500 lb.-650 lb.)
8
E12
(>650 lb.-1000 lb.)
224
E13
(>1000 lb.-1,740 lb.)
9
Table 5—Annual Hours and Items of Non-Impulsive Sources Used During Training Within the HSTT Study Area
Source class category
Source class
Annual use
Mid-Frequency (MF) Active sources from 1 to 10 kHz
MF1
11,588 hours.
MF1K
88 hours.
MF2
3,060 hours.
MF2K
34 hours.
MF3
2,336 hours.
MF4
888 hours.
MF5
13,718 items.
MF11
1,120 hours.
MF12
1,094 hours.
High-Frequency (HF) and Very High-Frequency (VHF) tactical and non-tactical sources that produce signals greater than 10kHz but less than 200 kHz
HF1
1,754 hours.
HF4
4,848 hours.
Anti-Submarine Warfare (ASW)
ASW1
224 hours.
Active ASW sources
ASW2
1,800 items.
ASW3
16,561 hours.
ASW4
1,540 items.
Torpedoes (TORP)
TORP1
170 items.
Active torpedo sonar
TORP2
400 items.
Testing
The Navy's proposed testing activities are described in Tables 6 and 7. Detailed information about each proposed activity (stressor, testing event, description, sound source, duration, and geographic location) can be found in Appendix A of the HSTT DEIS/OEIS. NMFS used the detailed information in Appendix A of the HSTT DEIS/OEIS to analyze the potential impacts from testing activities on marine mammals. Table 6 describes the annual number of impulsive source detonations during testing activities within the HSTT Study Area, and Table 7 describes the annual number of hours or items of non-impulsive sources used during testing within the HSTT Study Area.
Table 6—Proposed Annual Number of Impulsive Source Detonations During Testing Activities Within the HSTT Study Area
Explosive class
Net explosive weight
(NEW)
Annual in-water detonations (testing)
E1
(0.1 lb.-0.25 lb.)
14,501
E2
(0.26 lb.-0.5 lb.)
0
E3
(0.6 lb.-2.5 lb.)
2,990
E4
(>2.5 lb.-5 lb.)
753
E5
(>5 lb.-10 lb.)
202
E6
(>10 lb.-20 lb.)
37
E7
(>20 lb.-60 lb.)
21
E8
(>60 lb.-100 lb.)
12
E9
(>100 lb.-250 lb.)
0
E10
(>250 lb.-500 lb.)
31
E11
(>500 lb.-650 lb.)
14
E12
(>650 lb.-1000 lb.)
0
E13
(>1000 lb.-1,740 lb.)
0
Table 7—Annual Hours and Items of Non-Impulsive Sources Used During Testing Within the HSTT Study Area
Source class category
Source class
Annual use
Low-Frequency (LF) Sources that produce signals less than 1 kHz
LF4
52 hours.
LF5
2,160 hours.
LF6
192 hours.
Mid-Frequency (MF) Tactical and non-tactical sources that produce signals from 1 to 10 kHz
MF1
180 hours.
MF1K
18 hours.
MF2
84 hours.
MF3
392 hours.
MF4
693 hours.
MF5
5,024 items.
MF6
540 items.
MF8
2 hours.
MF9
3,039 hours.
MF10
35 hours.
MF12
336 hours.
High-Frequency (HF) and Very High-Frequency (VHF): Tactical and non-tactical sources that produce signals greater than 10kHz but less than 200kHz
HF1
1,025 hours.
HF3
273 hours.
HF4
1,336 hours.
HF5
1,094 hours.
HF6
3,460 hours.
Anti-Submarine Warfare (ASW) Tactical sources used during anti-submarine warfare training and testing activities
ASW1
224 hours.
ASW2
2,260 items.
ASW2H
255 hours.
ASW3
1,278 hours.
ASW4
477 items.
Torpedoes (TORP) Source classes associated with active acoustic signals produced by torpedoes
TORP1
701 items.
TORP2
732 items.
Acoustic Modems (M) Transmit data acoustically through the water
M3
4,995 hours.
Swimmer Detection Sonar (SD) Used to detect divers and submerged swimmers
SD1
38 hours.
Airguns (AG) Used during swimmer defense and diver deterrent training and testing activities
AG
5 uses.
Synthetic Aperture Sonar (SAS): Sonar in which active acoustic signals are post-processed to form high-resolution images of the seafloor
SAS1
2,700 hours.
SAS2
4,956 hours.
SAS3
3,360 hours.
Vessels
Vessels used as part of the proposed action include ships, submarines, boats, and Unmanned Undersea Vehicles (UUVs) ranging in size from small, 5-m Rigid Hull Inflatable Boats to 333-m long aircraft carriers. Representative Navy vessel types, lengths, and speeds used in both training and testing activities are shown in Table 8. While these speeds are representative, some vessels operate outside of these speeds due to unique training or safety requirements for a given event. Examples include increased speeds needed for flight operations, full speed runs to test engineering equipment, time critical positioning needs, etc. Examples of decreased speeds include speeds less than 5 knots or completely stopped for launching small boats, certain tactical maneuvers, target launch or retrievals, UUVs etc.
The number of Navy vessels in the HSTT Study Area varies based on training and testing schedules. Most activities include either one or two vessels, with an average of one vessel per activity, and last from a few hours up to two weeks. Multiple ships, however, can be involved with major training events. Vessel movement and the use of in-water devices as part of the proposed action would be concentrated in portions of the Study Area within SOCAL, naval installations at San Diego and Pearl Harbor, and on instrumented underwater ranges. Surface and sub-surface vessel operations in the Study Area may result in marine mammal strikes.
Table 8—Typical Navy Boat and Vessel Types With Length Greater Than 18 Meters Used Within the HSTT Study Area
Vessel type (>18 m)
Example(s) (specifications in meters (m) for length, metric tons (mt) for mass, and knots for speed)
Typical operating speed
(knots)
Aircraft Carrier
Aircraft Carrier (CVN) length: 333 m beam: 41 m draft: 12 m displacement: 81,284 mt max. speed: 30+ knots
10 to 15.
Surface Combatants
Cruiser (CG) length: 173 m beam: 17 m draft: 10 m displacement: 9,754 mt max. speed: 30+ knots
10 to 15.
Destroyer (DDG) length: 155 m beam: 18 m draft: 9 m displacement: 9,648 mt max. speed: 30+ knots
Frigate (FFG) length: 136 m beam: 14 m draft: 7 m displacement: 4,166 mt max. speed: 30+ knots
Littoral Combat Ship (LCS) length: 115 m beam: 18 m draft: 4 m displacement: 3,000 mt max. speed: 40+ knots
Amphibious Warfare Ships
Amphibious Assault Ship (LHA, LHD) length: 253 m beam: 32 m draft: 8 m displacement: 42,442 mt max. speed: 20+ knots
10 to 15.
Amphibious Transport Dock (LPD) length: 208 m beam: 32 m draft: 7 m displacement: 25,997 mt max. speed: 20+ knots
Dock Landing Ship (LSD) length: 186 m beam: 26 m draft: 6 m displacement: 16,976 mt max. speed: 20+ knots
Mine Warship Ship
Mine Countermeasures Ship (MCM) length: 68 m beam: 12 m draft: 4 m displacement: 1,333 max. speed: 14 knots
5 to 8.
Submarines
Attack Submarine (SSN) length: 115 m beam: 12 m draft: 9 m displacement: 12,353 mt max. speed: 20+ knots
8 to 13.
Guided Missile Submarine (SSGN) length: 171 m beam: 13 m draft: 12 m displacement: 19,000 mt max. speed: 20+ knots
Combat Logistics Force Ships*
Fast Combat Support Ship (T-AOE) length: 230 m beam: 33 m draft: 12 m displacement: 49,583 max. speed: 25 knots
8 to 12.
Dry Cargo/Ammunition Ship (T-AKE) length: 210 m beam: 32 m draft: 9 m displacement: 41,658 mt max speed: 20 knots
Fleet Replenishment Oilers (T-AO) length: 206 m beam: 30 m draft: 11 displacement: 42,674 mt max. speed: 20 knots
Fleet Ocean Tugs (T-ATF) length: 69 m beam: 13 m draft: 5 m displacement: 2,297 max. speed: 14 knots
Support Craft/Other
Landing Craft, Utility (LCU) length: 41m beam: 9 m draft: 2 m displacement: 381 mt max. speed: 11 knots
3 to 5.
Landing Craft, Mechanized (LCM) length: 23 m beam: 6 m draft: 1 m displacement: 107 mt max. speed: 11 knots
Support Craft/Other Specialized High Speed
MK V Special Operations Craft length: 25 m beam: 5 m displacement: 52 mt max. speed: 50 knots
Variable.
* CLF vessels are not homeported in Pearl Harbor or San Diego, but are frequently used for various fleet support and training support events in the HSTT Study Area.
Duration and Location
Training and testing activities would be conducted in the HSTT Study Area from January 2014 through January 2019. The HSTT Study Area is comprised of established operating and warning areas across the north-central Pacific Ocean, from Southern California to Hawaii and the International Date Line. The defined Study Area has expanded beyond the areas included in previous Navy authorizations to include transit routes and pierside locations. This expansion is not an increase in the Navy's training and testing area, but rather an increase in the area to be analyzed (i.e., not previously analyzed) under an incidental take authorization in support of the HSTT EIS/OEIS. The Study Area includes three existing range complexes: the Hawaii Range Complex (HRC), the Southern California (SOCAL) Range Complex, and the Silver Strand Training Complex (SSTC). Each range complex is an organized and designated set of specifically bounded geographic areas, which includes a water component (above and below the surface), airspace, and sometimes a land component. Operating areas (OPAREAs) and special use airspace are established within each range complex. These designations are further described in Chapter 2 of the Navy's LOA application. In addition to Navy range complexes, the Study Area includes Navy pierside locations where sonar maintenance and testing activities occur (San Diego Bay, Pearl Harbor) and transit corridors on the high seas where training and sonar testing may occur during vessel transit.
Hawaii Range Complex (HRC)
—The HRC geographically encompasses ocean areas located around the Hawaiian Islands chain. The largest component of the HRC is the temporary operating area, which extends north and west from the island of Kauai and totals over 2 million square nautical miles (nm
2
) of air and sea space. This area is used for Navy ship transit throughout the year and for missile defense testing activities as required to support missile defense testing activities. Nearly all of the training and testing activities within the HRC take place within the smaller Hawaii OPAREA, which consists of 235,000 nm
2
of special use airspace, and sea and undersea space. The Hawaii OPAREA is the portion of the range complex immediately surrounding the island chain of Hawaii. Military activities and exercises were excluded from the list of prohibitions triggered when the Monument was established in 2006, so long as the activities are “carried out in a manner that avoids, to the extent practicable and consistent with operational requirements, adverse impacts on monument resources and qualities.” More detailed information on the HRC, including maps, is provided in Chapter 2 of the Navy's LOA application (
http://www.nmfs.noaa.gov/pr/permits/incidental.htm#applications
).
Southern California (SOCAL) Range Complex
—The SOCAL Range Complex is situated between Dana Point and San Diego, and extends more than 600 nm southwest into the Pacific Ocean. The two primary components of the SOCAL Range Complex are the ocean operating areas and the special use airspace. The SOCAL Range Complex includes San Diego Bay and a small portion of the Point Mugu Sea Range. The Silver Strand Training Complex is also included as part of the Southern California portion for this application. More detailed information on the SOCAL Range Complex, including maps, is provided in Chapter 2 of the Navy's LOA application (
http://www.nmfs.noaa.gov/pr/permits/incidental.htm#applications
).
Transit Corridor
—In addition to the three range complexes, a transit corridor outside the bounds of existing range
complexes is included in the Navy's request. This transit corridor is important to the Navy in that it provides adequate air, sea, and undersea space in which ships and aircraft can conduct training and some sonar maintenance and testing while en route between Southern California and Hawaii. The transit corridor is an area encompassing the shortest distance from San Diego to the center of the HRC. While in transit, ships and aircraft would, at times, conduct basic and routine unit level training as long as the training does not interfere with the primary objective of reaching their intended destination. Ships would also conduct sonar maintenance, which includes active sonar transmissions. The portion of the transit corridor to the east of 140° west longitude is included in the analysis of SOCAL activities and the area to the west of that meridian is included in the analysis of HRC activities since these portions of the corridor correspond with the marine mammal stocks in those range complexes.
Pierside Locations
—The Study Area also includes select pierside locations where Navy surface ship and submarine sonar maintenance testing occur. These pierside locations include channels and transit routes in ports, and facilities associated with ports and shipyards at Navy piers in San Diego, California, and Navy piers, shipyards, and the Intermediate Maintenance Facility in Pearl Harbor, Hawaii.
Description of Marine Mammals in the Area of the Specified Activities
Thirty-nine marine mammal species are known to occur in the Study Area, including seven mysticetes (baleen whales), 25 odontocetes (dolphins and toothed whales), six pinnipeds (seals and sea lions), and the Southern sea otter. Among these species, there are 72 stocks managed by NMFS or the U.S. Fish and Wildlife Service (USFWS) in the U.S. Exclusive Economic Zone (EEZ). These species and their numbers are presented in Table 9 and relevant information on their status, distribution, and seasonal distribution (when applicable) is presented in Chapter 4 of the Navy's LOA application (
http://www.nmfs.noaa.gov/pr/permits/incidental.htm#applications
). Consistent with NMFS most recent Pacific Stock Assessment Report, a single species may include multiple stocks recognized for management purposes (e.g., spinner dolphin), while other species are grouped into a single stock due to limited species-specific information (e.g., beaked whales belonging to the genus
Mesoplodon
).
Species that may have once inhabited and transited the Study Area, but have not been sighted in recent years, include the North Pacific right whale (
Eubalaena japonica
), harbor porpoise (
Phocoena phocoena
), and Steller sea lion (
Eumetopias jubatus
). These species are not expected to be exposed to or affected by any project activities and, therefore, are not discussed further.
Table 9—Marine Mammals With Possible or Confirmed Presence Within the HSTT Study Area
Common name
Scientific name
Study area
Stock
Stock abundance
CV
Study area
abundance
(CV)
Occurrence in study area
ESA/MMPA
Status
Order Cetacea
Suborder Mysticeti (Baleen Whales)
Family Balaenopteridae (Rorquals)
Humpback whale
Megaptera novaeangliae
SOCAL
California, Oregon, & Washington
2,043
−0.1
36
−0.51
Seasonal; More sightings around the northern Channel Islands
Endangered/Depleted.
HRC
Central North Pacific
10,103
(N/A)
4,491
(N/A)
Seasonal; Throughout known breeding grounds during winter and spring (most common November through April)
Endangered/Depleted.
Blue whale
Balaenoptera musculus
SOCAL
Eastern North Pacific
2,497
−0.24
842
−0.2
Seasonal; arrive April-May; more common late summer to fall
Endangered/Depleted.
HRC
Central North Pacific
No data.
No data.
Seasonal; infrequent winter migrant; few sightings
Endangered/Depleted.
Fin whale
Balaenoptera physalus
SOCAL
California, Oregon, & Washington
3,044
−0.18
359
−0.4
Year-round presence
Endangered/Depleted.
HRC
Hawaiian
174
−0.72
174
−0.72
Seasonal; mainly fall and winter although considered rare in HRC
Endangered/Depleted.
Sei whale
Balaenoptera borealis
SOCAL
Eastern North Pacific
126
−0.53
7
−1.07
Rare; infrequently sighted in California. Only nine confirmed sightings on WA/OR/CA surveys from 1991-2008
Endangered/Depleted.
HRC
Hawaiian
77
−1.06
77
−1.06
Rare; limited sightings of seasonal migrants that feed at higher latitudes
Endangered/Depleted.
Bryde's whale
Balaenoptera edeni
SOCAL
Eastern Tropical Pacific
13,000
−0.2
7
−1.07
Limited summer occurrence
HRC
Hawaiian
469
−0.45
469
−0.45
Uncommon; distributed throughout the Hawaii Exclusive Economic Zone
Minke whale
Balaenoptera acutorostrata
SOCAL
California, Oregon, & Washington
478
−1.36
226
−1.02
Less common in summer; small numbers around northern Channel Islands
HRC
Hawaiian
No data.
No data.
Regular but seasonal occurrence (November-March)
Family Eschrichtildae (Gray Whale)
Gray whale
Eschrichtius robustus
SOCAL
Eastern North Pacific
18,813
−0.07
Population migrates through SOCAL
Transient during seasonal migrations
HRC
No known occurrence
Suborder Odontoceti (Toothed Whales)
Family Physeteridae (Sperm Whale)
Sperm whale
Physeter macrocephalus
SOCAL
California, Oregon, & Washington
971
−0.31
607
−0.57
Common year round; more likely in waters > 1,000 m, most often > 2,000 m
Endangered/Depleted.
HRC
Hawaiian
6,919
−0.81
6,919
−0.81
Widely distributed year round; more likely in waters > 1,000 m, most often > 2,000 m
Endangered/Depleted.
Family Kogiidae (Pygmy and Dwarf Sperm Whale)
Pygmy sperm whale
Kogia breviceps
SOCAL
California, Oregon, & Washington
579
−1.02
Seaward of 500-1000 m; limited sightings over entire Southern Cal. Bight
HRC
Hawaiian
7,138
−1.12
7,138
−1.12
Stranding numbers suggest this species is more common than infrequent sightings during survey (Barlow 2006) indicated.
Dwarf sperm whale
Kogia sima
SOCAL
California, Oregon, & Washington
Unknown
Seaward of 500-1000 m; no confirmed sightings over entire Southern Cal. Bight (all Kogia spp. or Kogia breviceps)
HRC
Hawaiian
17,519
−0.74
17,519
−0.74
Stranding numbers suggest this species is more common than infrequent sightings during survey (Barlow 2006) indicated
Family Delphinidae (Dolphins)
Killer whale
Orcinus orca
SOCAL
Eastern North Pacific Offshore
240
−0.49
30
−0.73
Uncommon; occurs infrequently; more likely in winter
SOCAL
Eastern North Pacific Transient
451
−0.49
Uncommon; occurs infrequently; more likely in winter
HRC
Hawaiian
349
−0.98
349
−0.98
Uncommon; infrequent sightings
False killer whale
Pseudorca crassidens
SOCAL
Eastern Tropical Pacific
Unknown
Uncommon; warm water species; although stranding records from the Channel Islands
HRC
Hawaii Insular [7],[8]
151
−0.2
151
−0.2
Regular
Endangered.
HRC
Hawaii Pelagic
7
1,503
−0.66
1,503
−0.66
Regular
HRC
Northwest Hawaiian Islands
7
522
−1.09
522
−1.09
Regular
Pygmy killer whale
Feresa attenuata
SOCAL
Tropical
Unknown
Extralimital.
Extralimital within the south-west boundary of the SOCAL Range Complex
HRC
Hawaiian
956
−0.83
956
−0.83
Year-round resident; abundance based on 3 sightings (Barlow 2006).
Short-finned pilot whale
Globicephala macrorhynchus
SOCAL
California, Oregon, & Washington
760
−0.64
118
−1.04
Uncommon; more common before 1982
HRC
Hawaiian
8,870
−0.38
8,870
−0.38
Commonly observed around main Hawaiian Islands and Northwestern Hawaiian Islands
Melon-headed whale
Peponocephala electra
SOCAL
No known occurrence
HRC
Hawaiian
2,950
−1.17
2,950
−1.17
Regular.
Long-beaked common dolphin
Delphinus capensis
SOCAL
California
27,046
−0.59
17,530
−0.57
Common; more inshore distribution (within 50 nm of coast)
HRC
No known occurrence
Short-beaked common dolphin
Delphinus delphis
SOCAL
California, Oregon, & Washington
411,211
−0.21
165,400
−0.19
Common; one of the most abundant SOCAL dolphins; higher summer densities
HRC
No known occurrence
Bottlenose dolphin
Tursiops truncatus
SOCAL
California Coastal
323
−0.13
323
−0.13
Limited, small population within 1 km of shore
SOCAL
California, Oregon, & Washington Offshore
1,006
−0.48
1,831
−0.47
Common
HRC
Hawaii Pelagic
3,178
−0.59
3,178
−0.59
Common in deep offshore waters
HRC
Kauai and Niihau
147
−0.11
147
−0.11
Common in shallow nearshore waters (1000 m or less)
HRC
Oahu
594
−0.54
594
−0.54
Common in shallow nearshore waters (1000 m or less)
HRC
4-Islands Region
153
−0.24
153
−0.24
Common in shallow nearshore waters (1000 m or less)
HRC
Hawaii Island
102
−0.13
102
−0.13
Common in shallow nearshore waters (1000 m or less)
Pantropical spotted dolphin
Stenella attenuata
SOCAL
Eastern Tropical Pacific
Unknown.
Rare; associated with warm tropical surface waters
HRC
Hawaiian
8,978
−0.48
8,978
−0.48
Common; primary occurrence between 100 and 4,000 meters depth
Striped dolphin
Stenella coerulealba
SOCAL
California, Oregon, & Washington
10,908
−0.34
8,697
−0.34
Occasional visitor; warm water oceanic species
HRC
Hawaiian
13,143
−0.46
13,143
−0.46
Occurs regularly year round but infrequent sighting data
Spinner dolphin
Stenella longirostris
SOCAL
No known occurrence
HRC
Hawaii Pelagic
Unknown.
3,351
−0.74 for entire Hawaiian Islands Stock Complex
Common year round in offshore waters
HRC
Hawaii Island
Unknown.
3,351
−0.74 for entire Hawaiian Islands Stock Complex
Common year round; rest in nearshore waters during the day and move offshore to feed at night
HRC
Oahu/4-Islands
Unknown.
3,351
−0.74 for entire Hawaiian Islands Stock Complex
Common year round; rest in nearshore waters during the day and move offshore to feed at night
HRC
Kauai/Niihau
Unknown.
3,351
−0.74 for entire Hawaiian Islands Stock Complex
Common year round; rest in nearshore waters during the day and move offshore to feed at night
HRC
Pearl and Hermes Reef
Unknown.
3,351
−0.74 for entire Hawaiian Islands Stock Complex
Common year round; rest in nearshore waters during the day and move offshore to feed at night
HRC
Kure/Midway
Unknown.
3,351
−0.74 for entire Hawaiian Islands Stock Complex
Common year round; rest in nearshore waters during the day and move offshore to feed at night
Rough-toothed dolphin
Steno bredanensis
SOCAL
Tropical and warm temperate
Unknown.
Rare; more tropical offshore species
HRC
Hawaiian
8,709
−0.45
8,709
−0.45
Common throughout the main Hawaiian Islands and Hawaii Exclusive Economic Zone
Pacific white-sided dolphin
Lagenorhynchus obliquidens
SOCAL
California, Oregon, & Washington
26,930
−0.28
2,196
−0.71
Common; year-round cool water species; more abundant November-April
HRC
No known occurrence
Northern right whale dolphin
Lissodelphis borealis
SOCAL
California, Oregon, & Washington
8,334
−0.4
1,172
−0.52
Common; cool water species; more abundant November-April
HRC
No known occurrence
Fraser's dolphin
Lagenodelphis hosei
SOCAL
No known occurrence
HRC
Hawaiian
10,226
−1.16
10,226
−1.16
Tropical species only recently documented within Hawaii Exclusive Economic Zone (2002 survey)
Risso's dolphins
Grampus griseus
SOCAL
California, Oregon, & Washington
6,272
−0.3
3,418
−0.31
Common; present in summer, but higher densities November-April
HRC
Hawaiian
2,372
−0.97
2,372
−0.97
Have been considered rare but six sightings in Hawaii Exclusive Economic Zone during 2002 survey
Family Phocoenidae (Porpoises)
Dall's porpoise
Phocoenoidea dalli
SOCAL
California, Oregon, & Washington
42,000
−0.33
727
−0.99
Common in cold water periods; more abundant November-April
HRC
No known occurrence
Family Ziphiidae (Beaked Whales)
Cuvier's beaked whale
Ziphius cavirostris
SOCAL
California, Oregon, & Washington
2,143
−0.65
911
−0.68
Possible year-round occurrence but difficult to detect due to diving behavior
HRC
Hawaiian
15,242
−1.43
15,242
−1.43
Year-round occurrence but difficult to detect due to diving behavior
Baird's beaked whale
Berardius bairdii
SOCAL
California, Oregon, & Washington
907
−0.49
127
−1.14
Primarily along continental slope from late spring to early fall
HRC
No known occurrence
Longman's beaked whale
Indopacetus pacificus
SOCAL
No known occurrence
HRC
Hawaiian
1,007
−1.26
1,007
−1.26
One of the rarest and least known cetacean species; abundance based on Barlow 2006 with 3 sightings, however, multiple sightings during 2010 HICEAS
Blainville's beaked whale
Mesoplodon densirostris
SOCAL
California, Oregon, & Washington
603
−1.16
132
(0.96; for Mesoplodon spp.).
Distributed throughout deep waters and continental slope regions; difficult to detect given diving behavior
HRC
Hawaiian
2,872
−1.25
2,872
−1.25
Year-round occurrence but difficult to detect due to diving behavior
Mesoplodont beaked whales (SOCAL estimates also include Blainville's beaked whale listed separately above)
Mesoplodon spp.
SOCAL
California, Oregon, & Washington
1,024
−0.77
132
−0.96
Distributed throughout deep waters and continental slope regions; difficult to detect given diving behavior. Limited sightings; generally seaward of 500-1000 m
HRC
No known occurrence of five Mesoplodon species (M. carlhubbsi, M. ginkgodens, M. perrini, M. peruvianus, M. stejnegeri)
Suborder Pinnipedia [9, 10]
Family Otariidae (Fur Seals and Sea Lions)
California sea lion
Zalophus californianus
SOCAL
U.S. Stock
238,000
Most common pinniped, Channel Islands breeding sites in summer
HRC
No known occurrence
Northern fur seal
Callorhinus ursinus
SOCAL
San Miguel Island
9,968
Stock is outside of SOCAL.
Common; small population breeds on San Miguel Island. May-October
HRC
No known occurrence
Guadalupe fur seal
Arctocephalus townsendi
SOCAL
Mexico
7,408
Rare; Occasional visitor to northern Channel Islands; mainly breeds on Guadalupe Island, Mexico, May-July
Threatened/Depleted.
HRC
No known occurrence
Family Phocidae (True Seals)
Hawaiian monk seal
Monachus schauinslandi
SOCAL
No known occurrence
HRC
Hawaiian
1,161
1,161
Predominantly occur at Northwestern Hawaiian Islands; approximately 150 in Main Hawaiian Islands
Endangered/Depleted.
Northern elephant seal
Mirounga angustirostris
SOCAL
California Breeding
124,000
SNI 9,794 pups in 2000. SCI up to 16 through 2000
Common; Channel Island haul-outs of different age classes; including SCI December-March and April-August; spend 8-10 months at sea
HRC
Extralimital
Harbor seal
Phoca vitulina
SOCAL
California
34,233
5,271
(All age classes from aerial counts).
Common; Channel Islands haul-outs including SCI and La Jolla; bulk of stock found north of Pt. Conception
HRC
No known occurrence
Information on the status, distribution, abundance, and vocalizations of marine mammal species in the Study Area may be viewed in Chapter 4 of their LOA application (
http://www.nmfs.noaa.gov/pr/permits/incidental.htm#applications
). Further information on the general biology and ecology of marine mammals is included in the HSTT Draft EIS/OEIS. In addition, NMFS publishes annual stock assessment reports for marine mammals, including stocks that occur within the Study Area (
http://www.nmfs.noaa.gov/pr/species/mammals
).
Marine Mammal Hearing and Vocalizations
Cetaceans have an auditory anatomy that follows the basic mammalian pattern, with some changes to adapt to the demands of hearing underwater. The typical mammalian ear is divided into an outer ear, middle ear, and inner ear. The outer ear is separated from the inner ear by a tympanic membrane, or eardrum. In terrestrial mammals, the outer ear, eardrum, and middle ear transmit airborne sound to the inner ear, where the sound waves are propagated through the cochlear fluid. Since the impedance of water is close to that of the tissues of a cetacean, the outer ear is not required to transduce sound energy as it does when sound waves travel from air to fluid (inner ear). Sound waves traveling through the inner ear cause the basilar membrane to vibrate. Specialized cells, called hair cells, respond to the vibration and produce nerve pulses that are transmitted to the central nervous system. Acoustic energy causes the basilar membrane in the cochlea to vibrate. Sensory cells at different positions along the basilar membrane are excited by different frequencies of sound (Pickles, 1998).
Marine mammal vocalizations often extend both above and below the range of human hearing; vocalizations with frequencies lower than 20 Hz are labeled as infrasonic and those higher than 20 kHz as ultrasonic (National Research Council (NRC), 2003; Figure 4-1). Measured data on the hearing abilities of cetaceans are sparse, particularly for the larger cetaceans such as the baleen whales. The auditory thresholds of some of the smaller
odontocetes have been determined in captivity. It is generally believed that cetaceans should at least be sensitive to the frequencies of their own vocalizations. Comparisons of the anatomy of cetacean inner ears and models of the structural properties and the response to vibrations of the ear's components in different species provide an indication of likely sensitivity to various sound frequencies. The ears of small toothed whales are optimized for receiving high-frequency sound, while baleen whale inner ears are best in low to infrasonic frequencies (Ketten, 1992; 1997; 1998).
Baleen whale vocalizations are composed primarily of frequencies below 1 kHz, and some contain fundamental frequencies as low as 16 Hz (Watkins
et al.,
1987; Richardson
et al.,
1995; Rivers, 1997; Moore
et al.,
1998; Stafford
et al.,
1999; Wartzok and Ketten, 1999) but can be as high as 24 kHz (humpback whale; Au
et al.,
2006). Clark and Ellison (2004) suggested that baleen whales use low-frequency sounds not only for long-range communication, but also as a simple form of echo ranging, using echoes to navigate and orient relative to physical features of the ocean. Information on auditory function in baleen whales is extremely lacking. Sensitivity to low-frequency sound by baleen whales has been inferred from observed vocalization frequencies, observed reactions to playback of sounds, and anatomical analyses of the auditory system. Although there is apparently much variation, the source levels of most baleen whale vocalizations lie in the range of 150-190 dB re 1 µPa at 1 m. Low-frequency vocalizations made by baleen whales and their corresponding auditory anatomy suggest that they have good low-frequency hearing (Ketten, 2000), although specific data on sensitivity, frequency or intensity discrimination, or localization abilities are lacking. Marine mammals, like all mammals, have typical U-shaped audiograms that begin with relatively low sensitivity (high threshold) at some specified low frequency with increased sensitivity (low threshold) to a species specific optimum followed by a generally steep rise at higher frequencies (high threshold) (Fay, 1988).
The toothed whales produce a wide variety of sounds, which include species-specific broadband “clicks” with peak energy between 10 and 200 kHz, individually variable “burst pulse” click trains, and constant frequency or frequency-modulated (FM) whistles ranging from 4 to 16 kHz (Wartzok and Ketten, 1999). The general consensus is that the tonal vocalizations (whistles) produced by toothed whales play an important role in maintaining contact between dispersed individuals, while broadband clicks are used during echolocation (Wartzok and Ketten, 1999). Burst pulses have also been strongly implicated in communication, with some scientists suggesting that they play an important role in agonistic encounters (McCowan and Reiss, 1995), while others have proposed that they represent “emotive” signals in a broader sense, possibly representing graded communication signals (Herzing, 1996). Sperm whales, however, are known to produce only clicks, which are used for both communication and echolocation (Whitehead, 2003). Most of the energy of toothed whale social vocalizations is concentrated near 10 kHz, with source levels for whistles as high as 100 to 180 dB re 1 µPa at 1 m (Richardson
et al.,
1995). No odontocete has been shown audiometrically to have acute hearing (<80 dB re 1 µPa) below 500 Hz (DoN, 2001). Sperm whales produce clicks, which may be used to echolocate (Mullins
et al.,
1988), with a frequency range from less than 100 Hz to 30 kHz and source levels up to 230 dB re 1 µPa 1 m or greater (Mohl
et al.,
2000).
Marine Mammal Density Estimates
A quantitative analysis of impacts on a species requires data on the abundance and distribution of the species population in the potentially impacted area. One metric for performing this type of analysis is density, which is the number of animals present per unit area. The Navy compiled existing, publically available density data for use in the quantitative acoustic impact analysis. There is no single source of density data for every area of the world, species, and season because of the costs, resources, and effort required to provide adequate survey coverage to sufficiently estimate density. Therefore, to estimate marine mammal densities for large areas like the HSTT Study Area, the Navy compiled data from several sources. The Navy developed a hierarchy of density data sources to select the best available data based on species, area, and time (season). The resulting Geographic Information System database, called the Navy Marine Species Density Database, includes seasonal density values for every marine mammal species present within the HSTT Study Area (Navy, 2012).
The Navy Marine Species Density Database includes a compilation of the best available density data from several primary sources and published works including survey data from NMFS within the U.S. Exclusive Economic Zone. The Navy ranked their modeling methods as follows:
1. Density spatial model based estimates will be used when available (e.g., NMFS' Southwest Fisheries Science Center models for the California Current Ecosystem and the Central Pacific).
2. If no density spatial model based estimates are available, the following can be used in order of preference:
a. Density estimates using designed-based methods incorporating line-transect survey data and involving spatial stratification (i.e., estimates split by depth strata or arbitrary survey sub-regions).
b. Density estimates using designed-based methods incorporating only line-transect survey data (i.e., regional density estimate, stock assessment report).
c. Density estimates derived using a Relative Environmental Suitability (RES) model in conjunction with survey data from Sea Mammal Research Unit (SMRU) Ltd or in conjunction with a global population estimate from Kaschner
et al.'
s (2006) density data.
In some cases, extrapolation from neighboring regional density estimates or population/stock assessments is appropriate based on expert opinion. This is often preferred over using RES models because of discrepancies identified by local expert knowledge. This includes an extrapolation of no occurrence based on other sources of data such as the NMFS stock assessment reports or expert judgment. Additional information on the density data sources and how the database was applied to the HSTT Study Area is detailed in the Navy Marine Species Density Database Technical Report (
hstteis.com/DocumentsandReferences/HSTTDocuments/SupportingTechnicalDocuments.aspx
).
Brief Background on Sound
An understanding of the basic properties of underwater sound is necessary to comprehend many of the concepts and analyses presented in this document. A summary is included below.
Sound is a wave of pressure variations propagating through a medium (e.g., water). Pressure variations are created by compressing and relaxing the medium. Sound measurements can be expressed in two forms: Intensity and pressure. Acoustic intensity is the average rate of energy transmitted through a unit area in a specified direction and is expressed in watts per square meter (W/m
2
). Acoustic intensity is rarely measured directly, but rather
from ratios of pressures; the standard reference pressure for underwater sound is 1 microPascal (µPa); for airborne sound, the standard reference pressure is 20 µPa (Richardson
et al.,
1995).
Acousticians have adopted a logarithmic scale for sound intensities, which is denoted in decibels (dB). Decibel measurements represent the ratio between a measured pressure value and a reference pressure value (in this case 1 µPa or, for airborne sound, 20 µPa). The logarithmic nature of the scale means that each 10-dB increase is a ten-fold increase in acoustic power (and a 20-dB increase is then a 100-fold increase in power; and a 30-dB increase is a 1,000-fold increase in power). A ten-fold increase in acoustic power does not mean that the sound is perceived as being ten times louder, however. Humans perceive a 10-dB increase in sound level as a doubling of loudness, and a 10-dB decrease in sound level as a halving of loudness. The term “sound pressure level” implies a decibel measure and a reference pressure that is used as the denominator of the ratio. Throughout this document, NMFS uses 1 microPascal (denoted re: 1µPa) as a standard reference pressure unless noted otherwise.
It is important to note that decibel values underwater and decibel values in air are not the same (different reference pressures and densities/sound speeds between media) and should not be directly compared. Because of the different densities of air and water and the different decibel standards (i.e., reference pressures) in air and water, a sound with the same level in air and in water would be approximately 62 dB lower in air. Thus, a sound that measures 160 dB (re 1 µPa) underwater would have the same approximate effective level as a sound that is 98 dB (re 20 µPa) in air.
Sound frequency is measured in cycles per second, or Hertz (abbreviated Hz), and is analogous to musical pitch; high-pitched sounds contain high frequencies and low-pitched sounds contain low frequencies. Natural sounds in the ocean span a huge range of frequencies: From earthquake noise at 5 Hz to harbor porpoise clicks at 150,000 Hz (150 kHz). These sounds are so low or so high in pitch that humans cannot even hear them; acousticians call these infrasonic (typically below 20 Hz) and ultrasonic (typically above 20,000 Hz) sounds, respectively. A single sound may be made up of many different frequencies together. Sounds made up of only a small range of frequencies are called “narrowband”, and sounds with a broad range of frequencies are called “broadband”; explosives are an example of a broadband sound source and active tactical sonars are an example of a narrowband sound source.
When considering the influence of various kinds of sound on the marine environment, it is necessary to understand that different kinds of marine life are sensitive to different frequencies of sound. Based on available behavioral data, audiograms derived using behavioral protocols or auditory evoked potential (AEP) techniques, anatomical modeling, and other data, Southall
et al.
(2007) designate “functional hearing groups” for marine mammals and estimate the lower and upper frequencies of functional hearing of the groups. Further, the frequency range in which each group's hearing is estimated as being most sensitive is represented in the flat part of the M-weighting functions (which are derived from the audiograms described above; see Figure 1 in Southall
et al.,
2007) developed for each broad group. The functional groups and the associated frequencies are indicated below (though, again, animals are less sensitive to sounds at the outer edge of their functional range and most sensitive to sounds of frequencies within a smaller range somewhere in the middle of their functional hearing range):
• Low-frequency cetaceans—functional hearing is estimated to occur between approximately 7 Hz and 30 kHz;
• Mid-frequency cetaceans—functional hearing is estimated to occur between approximately 150 Hz and 160 kHz;
• High-frequency cetaceans—functional hearing is estimated to occur between approximately 200 Hz and 180 kHz;
• Pinnipeds in water—functional hearing is estimated to occur between approximately 75 Hz and 75 kHz.
The estimated hearing range for low-frequency cetaceans has been extended slightly from previous analyses (from 22 to 30 kHz). This decision is based on data from Watkins
et al.
(1986) for numerous mysticete species, Au
et al.
(2006) for humpback whales, an abstract from Frankel (2005) and paper from Lucifredi and Stein (2007) on gray whales, and an unpublished report (Ketten and Mountain, 2009) and abstract (Tubelli
et al.,
2012) for minke whales. As more data from more species and/or individuals become available, these estimated hearing ranges may require modification.
When sound travels (propagates) from its source, its loudness decreases as the distance traveled by the sound increases. Thus, the loudness of a sound at its source is higher than the loudness of that same sound a kilometer away. Acousticians often refer to the loudness of a sound at its source (typically referenced to one meter from the source) as the source level and the loudness of sound elsewhere as the received level (i.e., typically the receiver). For example, a humpback whale 3 km from a device that has a source level of 230 dB may only be exposed to sound that is 160 dB loud, depending on how the sound travels through water (e.g., spherical spreading [3 dB reduction with doubling of distance] was used in this example). As a result, it is important to understand the difference between source levels and received levels when discussing the loudness of sound in the ocean or its impacts on the marine environment.
As sound travels from a source, its propagation in water is influenced by various physical characteristics, including water temperature, depth, salinity, and surface and bottom properties that cause refraction, reflection, absorption, and scattering of sound waves. Oceans are not homogeneous and the contribution of each of these individual factors is extremely complex and interrelated. The physical characteristics that determine the sound's speed through the water will change with depth, season, geographic location, and with time of day (as a result, in actual active sonar operations, crews will measure oceanic conditions, such as sea water temperature and depth, to calibrate models that determine the path the sonar signal will take as it travels through the ocean and how strong the sound signal will be at a given range along a particular transmission path). As sound travels through the ocean, the intensity associated with the wavefront diminishes, or attenuates. This decrease in intensity is referred to as propagation loss, also commonly called transmission loss.
Metrics Used in This Document
This section includes a brief explanation of the two sound measurements (sound pressure level (SPL) and sound exposure level (SEL)) frequently used to describe sound levels in the discussions of acoustic effects in this document.
Sound pressure level (SPL)—Sound pressure is the sound force per unit area, and is usually measured in micropascals (µPa), where 1 Pa is the pressure resulting from a force of one newton exerted over an area of one square meter. SPL is expressed as the ratio of a measured sound pressure and a reference level.
SPL (in dB) = 20 log (pressure/reference pressure)
The commonly used reference pressure level in underwater acoustics is 1 µPa, and the units for SPLs are dB re: 1 µPa. SPL is an instantaneous pressure measurement and can be expressed as the peak, the peak-peak, or the root mean square (rms). Root mean square pressure, which is the square root of the arithmetic average of the squared instantaneous pressure values, is typically used in discussions of the effects of sounds on vertebrates and all references to SPL in this document refer to the root mean square. SPL does not take the duration of exposure into account. SPL is the applicable metric used in the risk continuum, which is used to estimate behavioral harassment takes (see Level B Harassment Risk Function (Behavioral Harassment) Section).
Sound exposure level (SEL)—SEL is an energy metric that integrates the squared instantaneous sound pressure over a stated time interval. The units for SEL are dB re: 1 µPa
2
-s. Below is a simplified formula for SEL.
SEL = SPL + 10log(duration in seconds)
As applied to active sonar, the SEL includes both the SPL of a sonar ping and the total duration. Longer duration pings and/or pings with higher SPLs will have a higher SEL. If an animal is exposed to multiple pings, the SEL in each individual ping is summed to calculate the cumulative SEL. The cumulative SEL depends on the SPL, duration, and number of pings received. The thresholds that NMFS uses to indicate at what received level the onset of temporary threshold shift (TTS) and permanent threshold shift (PTS) in hearing are likely to occur are expressed as cumulative SEL.
Potential Effects of Specified Activities on Marine Mammals
The Navy has requested authorization for the take of marine mammals that may occur incidental to training and testing activities in the Study Area. The Navy has analyzed potential impacts to marine mammals from impulsive and non-impulsive sound sources and vessel strike.
Other potential impacts to marine mammals from training activities in the Study Area were analyzed in the Navy's HSTT DEIS/OEIS, in consultation with NMFS as a cooperating agency, and determined to be unlikely to result in marine mammal harassment. Therefore, the Navy has not requested authorization for take of marine mammals that might occur incidental to other components of their proposed activities. In this document, NMFS analyzes the potential effects on marine mammals from exposure to non-impulsive sound sources (sonar and other active acoustic sources), impulsive sound sources (underwater detonations and pile driving), and vessel strikes.
For the purpose of MMPA authorizations, NMFS' effects assessments serve four primary purposes: (1) To prescribe the permissible methods of taking (i.e., Level B harassment (behavioral harassment), Level A harassment (injury), or mortality, including an identification of the number and types of take that could occur by harassment or mortality) and to prescribe other means of effecting the least practicable adverse impact on such species or stock and its habitat (i.e., mitigation); (2) to determine whether the specified activity would have a negligible impact on the affected species or stocks of marine mammals (based on the likelihood that the activity would adversely affect the species or stock through effects on annual rates of recruitment or survival); (3) to determine whether the specified activity would have an unmitigable adverse impact on the availability of the species or stock(s) for subsistence uses; and (4) to prescribe requirements pertaining to monitoring and reporting.
More specifically, for activities involving non-impulsive or impulsive sources, NMFS' analysis will identify the probability of lethal responses, physical trauma, sensory impairment (permanent and temporary threshold shifts and acoustic masking), physiological responses (particular stress responses), behavioral disturbance (that rises to the level of harassment), and social responses (effects to social relationships) that would be classified as a take and whether such take would have a negligible impact on such species or stocks. Vessel strikes, which have the potential to result in incidental take from direct injury and/or mortality, will be discussed in more detail in the Estimated Take of Marine Mammals section. In this section, we will focus qualitatively on the different ways that non-impulsive and impulsive sources may affect marine mammals (some of which NMFS would not classify as harassment). Then, in the Estimated Take of Marine Mammals section, we will relate the potential effects to marine mammals from non-impulsive and impulsive sources to the MMPA definitions of Level A and Level B Harassment, along with the potential effects from vessel strikes, and attempt to quantify those effects.
Non-Impulsive Sources
Direct Physiological Effects
Based on the literature, there are two basic ways that non-impulsive sources might directly result in physical trauma or damage: Noise-induced loss of hearing sensitivity (more commonly-called “threshold shift”) and acoustically mediated bubble growth. Separately, an animal's behavioral reaction to an acoustic exposure might lead to physiological effects that might ultimately lead to injury or death, which is discussed later in the Stranding section.
Threshold Shift (noise-induced loss of hearing)
—When animals exhibit reduced hearing sensitivity (i.e., sounds must be louder for an animal to detect them) following exposure to an intense sound or sound for long duration, it is referred to as a noise-induced threshold shift (TS). An animal can experience temporary threshold shift (TTS) or permanent threshold shift (PTS). TTS can last from minutes or hours to days (i.e., there is complete recovery), can occur in specific frequency ranges (i.e., an animal might only have a temporary loss of hearing sensitivity between the frequencies of 1 and 10 kHz), and can be of varying amounts (for example, an animal's hearing sensitivity might be reduced initially by only 6 dB or reduced by 30 dB). PTS is permanent, but some recovery is possible. PTS can also occur in a specific frequency range and amount as mentioned above for TTS.
The following physiological mechanisms are thought to play a role in inducing auditory TS: Effects to sensory hair cells in the inner ear that reduce their sensitivity, modification of the chemical environment within the sensory cells, residual muscular activity in the middle ear, displacement of certain inner ear membranes, increased blood flow, and post-stimulatory reduction in both efferent and sensory neural output (Southall
et al.,
2007). The amplitude, duration, frequency, temporal pattern, and energy distribution of sound exposure all can affect the amount of associated TS and the frequency range in which it occurs. As amplitude and duration of sound exposure increase, so, generally, does the amount of TS, along with the recovery time. For intermittent sounds, less TS could occur than compared to a continuous exposure with the same energy (some recovery could occur between intermittent exposures depending on the duty cycle between sounds) (Kryter
et al.,
1966; Ward, 1997). For example, one short but loud (higher SPL) sound exposure may
induce the same impairment as one longer but softer sound, which in turn may cause more impairment than a series of several intermittent softer sounds with the same total energy (Ward, 1997). Additionally, though TTS is temporary, prolonged exposure to sounds strong enough to elicit TTS, or shorter-term exposure to sound levels well above the TTS threshold, can cause PTS, at least in terrestrial mammals (Kryter, 1985). Although in the case of mid- and high-frequency active sonar (MFAS/HFAS), animals are not expected to be exposed to levels high enough or durations long enough to result in PTS.
PTS is considered auditory injury (Southall
et al.,
2007). Irreparable damage to the inner or outer cochlear hair cells may cause PTS; however, other mechanisms are also involved, such as exceeding the elastic limits of certain tissues and membranes in the middle and inner ears and resultant changes in the chemical composition of the inner ear fluids (Southall
et al.,
2007).
Although the published body of scientific literature contains numerous theoretical studies and discussion papers on hearing impairments that can occur with exposure to a loud sound, only a few studies provide empirical information on the levels at which noise-induced loss in hearing sensitivity occurs in nonhuman animals. For marine mammals, published data are limited to the captive bottlenose dolphin, beluga, harbor porpoise, and Yangtze finless porpoise (Finneran
et al.,
2000, 2002b, 2003, 2005a, 2007, 2010a, 2010b; Finneran and Schlundt, 2010; Lucke
et al.,
2009; Mooney
et al.,
2009a, 2009b; Popov
et al.,
2011a, 2011b; Kastelein
et al.,
2012a; Schlundt
et al.,
2000; Nachtigall
et al.,
2003, 2004). For pinnipeds in water, data are limited to measurements of TTS in harbor seals, an elephant seal, and California sea lions (Kastak
et al.,
1999, 2005; Kastelein
et al.,
2012b).
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 (similar to those discussed in auditory masking, below). 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. Also, depending on the degree and frequency range, the effects of PTS on an animal could range in severity, although it is considered generally more serious because it is a permanent condition. Of note, reduced hearing sensitivity as a simple function of aging has been observed in marine mammals, as well as humans and other taxa (Southall
et al.,
2007), so we can infer that strategies exist for coping with this condition to some degree, though likely not without cost.
Acoustically Mediated Bubble Growth
—One theoretical cause of injury to marine mammals is rectified diffusion (Crum and Mao, 1996), the process of increasing the size of a bubble by exposing it to a sound field. This process could be facilitated if the environment in which the ensonified bubbles exist is supersaturated with gas. Repetitive diving by marine mammals can cause the blood and some tissues to accumulate gas to a greater degree than is supported by the surrounding environmental pressure (Ridgway and Howard, 1979). The deeper and longer dives of some marine mammals (for example, beaked whales) are theoretically predicted to induce greater supersaturation (Houser
et al.,
2001b). If rectified diffusion were possible in marine mammals exposed to high-level sound, conditions of tissue supersaturation could theoretically speed the rate and increase the size of bubble growth. Subsequent effects due to tissue trauma and emboli would presumably mirror those observed in humans suffering from decompression sickness.
It is unlikely that the short duration of sonar pings or explosion sounds would be long enough to drive bubble growth to any substantial size, if such a phenomenon occurs. However, an alternative but related hypothesis has also been suggested: Stable bubbles could be destabilized by high-level sound exposures such that bubble growth then occurs through static diffusion of gas out of the tissues. In such a scenario the marine mammal would need to be in a gas-supersaturated state for a long enough period of time for bubbles to become of a problematic size.
Yet another hypothesis (decompression sickness) has speculated that rapid ascent to the surface following exposure to a startling sound might produce tissue gas saturation sufficient for the evolution of nitrogen bubbles (Jepson
et al.,
2003; Fernandez
et al.,
2005). In this scenario, the rate of ascent would need to be sufficiently rapid to compromise behavioral or physiological protections against nitrogen bubble formation. Alternatively, Tyack
et al.
(2006) studied the deep diving behavior of beaked whales and concluded that: “Using current models of breath-hold diving, we infer that their natural diving behavior is inconsistent with known problems of acute nitrogen supersaturation and embolism.” Collectively, these hypotheses can be referred to as “hypotheses of acoustically mediated bubble growth.”
Although theoretical predictions suggest the possibility for acoustically mediated bubble growth, there is considerable disagreement among scientists as to its likelihood (Piantadosi and Thalmann, 2004; Evans and Miller, 2003). Crum and Mao (1996) hypothesized that received levels would have to exceed 190 dB in order for there to be the possibility of significant bubble growth due to supersaturation of gases in the blood (i.e., rectified diffusion). More recent work conducted by Crum
et al.
(2005) demonstrated the possibility of rectified diffusion for short duration signals, but at SELs and tissue saturation levels that are highly improbable to occur in diving marine mammals. To date, energy levels (ELs) predicted to cause in vivo bubble formation within diving cetaceans have not been evaluated (NOAA, 2002b). Although it has been argued that traumas from some recent beaked whale strandings are consistent with gas emboli and bubble-induced tissue separations (Jepson
et al.,
2003), there is no conclusive evidence of this. However, Jepson
et al.
(2003, 2005) and Fernandez
et al.
(2004, 2005) concluded that in vivo bubble formation, which may be exacerbated by deep, long-duration, repetitive dives may explain why beaked whales appear to be particularly vulnerable to sonar exposures. Further investigation is needed to further assess the potential validity of these hypotheses. More information regarding hypotheses that attempt to explain how behavioral responses to non-impulsive sources can lead to strandings is included in the Stranding and Mortality section.
Acoustic Masking
Marine mammals use acoustic signals for a variety of purposes, which differ among species, but include communication between individuals, navigation, foraging, reproduction, and
learning about their environment (Erbe and Farmer 2000, Tyack 2000). Masking, or auditory interference, generally occurs when sounds in the environment are louder than and of a similar frequency to, auditory signals an animal is trying to receive. Masking is a phenomenon that affects animals that are trying to receive acoustic information about their environment, including sounds from other members of their species, predators, prey, and sounds that allow them to orient in their environment. Masking these acoustic signals can disturb the behavior of individual animals, groups of animals, or entire populations.
The extent of the masking interference depends on the spectral, temporal, and spatial relationships between the signals an animal is trying to receive and the masking noise, in addition to other factors. In humans, significant masking of tonal signals occurs as a result of exposure to noise in a narrow band of similar frequencies. As the sound level increases, though, the detection of frequencies above those of the masking stimulus decreases also. This principle is expected to apply to marine mammals as well because of common biomechanical cochlear properties across taxa.
Richardson
et al.
(1995b) argued that the maximum radius of influence of an industrial noise (including broadband low frequency sound transmission) on a marine mammal is the distance from the source to the point at which the noise can barely be heard. This range is determined by either the hearing sensitivity of the animal or the background noise level present. Industrial masking is most likely to affect some species' ability to detect communication calls and natural sounds (i.e., surf noise, prey noise, etc.; Richardson
et al.,
1995).
The echolocation calls of toothed whales are subject to masking by high frequency sound. Human data indicate low-frequency sound can mask high-frequency sounds (i.e., upward masking). Studies on captive odontocetes by Au
et al.
(1974, 1985, 1993) indicate that some species may use various processes to reduce masking effects (e.g., adjustments in echolocation call intensity or frequency as a function of background noise conditions). There is also evidence that the directional hearing abilities of odontocetes are useful in reducing masking at the high-frequencies these cetaceans use to echolocate, but not at the low-to-moderate frequencies they use to communicate (Zaitseva
et al.,
1980). A recent study by Nachtigall and Supin (2008) showed that false killer whales adjust their hearing to compensate for ambient sounds and the intensity of returning echolocation signals.
As mentioned previously, the functional hearing ranges of mysticetes, odontocetes, and pinnipeds underwater all encompass the frequencies of the sonar sources used in the Navy's MFAS/HFAS training exercises. Additionally, almost all species' vocal repertoires span across the frequencies of these sonar sources used by the Navy. The closer the characteristics of the masking signal to the signal of interest, the more likely masking is to occur. For hull-mounted sonar, which accounts for the largest takes of marine mammals (because of the source strength and number of hours it's conducted), the pulse length and low duty cycle of the MFAS/HFAS signal makes it less likely that masking would occur as a result.
Impaired Communication
In addition to making it more difficult for animals to perceive acoustic cues in their environment, anthropogenic sound presents separate challenges for animals that are vocalizing. When they vocalize, animals are aware of environmental conditions that affect the “active space” of their vocalizations, which is the maximum area within which their vocalizations can be detected before it drops to the level of ambient noise (Brenowitz, 2004; Brumm
et al.,
2004; Lohr
et al.,
2003). Animals are also aware of environmental conditions that affect whether listeners can discriminate and recognize their vocalizations from other sounds, which is more important than simply detecting that a vocalization is occurring (Brenowitz, 1982; Brumm
et al.,
2004; Dooling, 2004, Marten and Marler, 1977; Patricelli
et al.,
2006). Most animals that vocalize have evolved with an ability to make adjustments to their vocalizations to increase the signal-to-noise ratio, active space, and recognizability/distinguishability of their vocalizations in the face of temporary changes in background noise (Brumm
et al.,
2004; Patricelli
et al.,
2006). Vocalizing animals can make adjustments to vocalization characteristics such as the frequency structure, amplitude, temporal structure, and temporal delivery.
Many animals will combine several of these strategies to compensate for high levels of background noise. Anthropogenic sounds that reduce the signal-to-noise ratio of animal vocalizations, increase the masked auditory thresholds of animals listening for such vocalizations, or reduce the active space of an animal's vocalizations impair communication between animals. Most animals that vocalize have evolved strategies to compensate for the effects of short-term or temporary increases in background or ambient noise on their songs or calls. Although the fitness consequences of these vocal adjustments remain unknown, like most other trade-offs animals must make, some of these strategies probably come at a cost (Patricelli
et al.,
2006). For example, vocalizing more loudly in noisy environments may have energetic costs that decrease the net benefits of vocal adjustment and alter a bird's energy budget (Brumm, 2004; Wood and Yezerinac, 2006). Shifting songs and calls to higher frequencies may also impose energetic costs (Lambrechts, 1996).
Stress Responses
Classic stress responses begin when an animal's central nervous system perceives a potential threat to its homeostasis. That perception triggers stress responses regardless of whether a stimulus actually threatens the animal; the mere perception of a threat is sufficient to trigger a stress response (Moberg, 2000; Sapolsky
et al.,
2005; Seyle, 1950). Once an animal's central nervous system perceives a threat, it mounts a biological response or defense that consists of a combination of the four general biological defense responses: Behavioral responses, autonomic nervous system responses, neuroendocrine responses, or immune responses.
In the case of many stressors, an animal's first and sometimes most economical (in terms of biotic costs) response is behavioral avoidance of the potential stressor or avoidance of continued exposure to a stressor. An animal's second line of defense to stressors involves the sympathetic part of the autonomic nervous system and the classical “fight or flight” response which includes the cardiovascular system, the gastrointestinal system, the exocrine glands, and the adrenal medulla to produce changes in heart rate, blood pressure, and gastrointestinal activity that humans commonly associate with “stress.” These responses have a relatively short duration and may or may not have significant long-term effect on an animal's welfare.
An animal's third line of defense to stressors involves its neuroendocrine systems; the system that has received the most study has been the hypothalmus-pituitary-adrenal system (also known as the HPA axis in mammals or the hypothalamus-pituitary-interrenal axis in fish and some reptiles). Unlike stress responses associated with the autonomic nervous
system, virtually all neuro-endocrine 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 (Moberg, 1987; Rivier, 1995), altered metabolism (Elasser
et al.,
2000), reduced immune competence (Blecha, 2000), and behavioral disturbance. Increases in the circulation of glucocorticosteroids (cortisol, corticosterone, and aldosterone in marine mammals; see Romano
et al.,
2004) have been equated with stress for many years.
The primary distinction between stress (which is adaptive and does not normally place an animal at risk) and distress is the biotic 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 a risk to the animal's welfare. 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 biotic function, which impairs those functions that experience the diversion. For example, when mounting a stress response diverts energy away from growth in young animals, those animals may experience stunted growth. When mounting a stress response diverts energy from a fetus, an animal's reproductive success and its fitness will suffer. In these cases, the animals will have entered a pre-pathological or pathological state which is called “distress” (sensu Seyle 1950) or “allostatic loading” (sensu McEwen and Wingfield, 2003). This pathological state will last until the animal replenishes its biotic reserves sufficient to restore normal function. Note that these examples involved a long-term (days or weeks) stress response exposure to stimuli.
Relationships between these physiological mechanisms, animal behavior, and the costs of stress responses have also been documented fairly well through controlled experiments; because this physiology exists in every vertebrate that has been studied, it is not surprising that stress responses and their costs have been documented in both laboratory and free-living animals (for examples see, Holberton
et al.,
1996; Hood
et al.,
1998; Jessop
et al.,
2003; Krausman
et al.,
2004; Lankford
et al.,
2005; Reneerkens
et al.,
2002; Thompson and Hamer, 2000). Information has also been collected on the physiological responses of marine mammals to exposure to anthropogenic sounds (Fair and Becker, 2000; Romano
et al.,
2002; Wright
et al.,
2008). 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. In a conceptual model developed by the Population Consequences of Acoustic Disturbance (PCAD) working group, serum hormones were identified as possible indicators of behavioral effects that are translated into altered rates of reproduction and mortality. The Office of Naval Research hosted a workshop (Effects of Stress on Marine Mammals Exposed to Sound) in 2009 that focused on this very topic (ONR, 2009).
Studies of other marine animals and terrestrial animals would also lead us to expect some marine mammals to experience physiological stress responses and, perhaps, physiological responses that would be classified as “distress” upon exposure to high frequency, mid-frequency and low-frequency sounds. For example, Jansen (1998) reported on the relationship between acoustic exposures and physiological responses that are indicative of stress responses in humans (for example, elevated respiration and increased heart rates). Jones (1998) reported on reductions in human performance when faced with acute, repetitive exposures to acoustic disturbance. Trimper
et al.
(1998) reported on the physiological stress responses of osprey to low-level aircraft noise while Krausman
et al.
(2004) reported on the auditory and physiology stress responses of endangered Sonoran pronghorn to military overflights. Smith
et al.
(2004a, 2004b), for example, identified noise-induced physiological transient stress responses in hearing-specialist fish (i.e., goldfish) that accompanied short- and long-term hearing losses. Welch and Welch (1970) reported physiological and behavioral stress responses that accompanied damage to the inner ears of fish and several mammals.
Hearing is one of the primary senses marine mammals use to gather information about their environment and to communicate with conspecifics. Although empirical information on the relationship between sensory impairment (TTS, PTS, and acoustic masking) on marine mammals remains limited, it seems reasonable to assume that reducing an animal's ability to gather information about its environment and to communicate with other members of its species would be stressful for animals that use hearing as their primary sensory mechanism. Therefore, we assume that acoustic exposures sufficient to trigger onset PTS or TTS would be accompanied by physiological stress responses because terrestrial animals exhibit those responses under similar conditions (NRC, 2003). More importantly, marine mammals might experience stress responses at received levels lower than those necessary to trigger onset TTS. Based on empirical studies of the time required to recover from stress responses (Moberg, 2000), we also assume that stress responses are likely to persist beyond the time interval required for animals to recover from TTS and might result in pathological and pre-pathological states that would be as significant as behavioral responses to TTS.
Behavioral Disturbance
Behavioral responses to sound are highly variable and context-specific. Many different variables can influence an animal's perception of and response to (nature and magnitude) an acoustic event. An animal's prior experience with a sound or sound source effects whether it is less likely (habituation) or more likely (sensitization) to respond to certain sounds in the future (animals can also be innately pre-disposed to respond to certain sounds in certain ways) (Southall
et al.,
2007). Related to the sound itself, the perceived nearness of the sound, bearing of the sound (approaching vs. retreating), similarity of a sound to biologically relevant sounds in the animal's environment (i.e., calls of predators, prey, or conspecifics), and familiarity of the sound may affect the way an animal responds to the sound (Southall
et al.,
2007). Individuals (of different age, gender, reproductive status, etc.) among most populations will have variable hearing capabilities, and differing behavioral sensitivities to sounds that will be affected by prior conditioning, experience, and current activities of those individuals. Often, specific acoustic features of the sound and contextual variables (i.e., proximity, duration, or recurrence of the sound or the current behavior that the marine mammal is engaged in or its prior experience), as well as entirely separate factors such as the physical presence of a nearby vessel, may be more relevant to the animal's response than the received level alone.
Exposure of marine mammals to sound sources can result in no response or responses including, but not limited to: increased alertness; orientation or attraction to a sound source; vocal modifications; cessation of feeding;
cessation of social interaction; alteration of movement or diving behavior; habitat abandonment (temporary or permanent); and, in severe cases, panic, flight, stampede, or stranding, potentially resulting in death (Southall
et al.,
2007). A review of marine mammal responses to anthropogenic sound was first conducted by Richardson and others in 1995. A more recent review (Nowacek
et al.,
2007) addresses studies conducted since 1995 and focuses on observations where the received sound level of the exposed marine mammal(s) was known or could be estimated. The following sub-sections provide examples of behavioral responses that provide an idea of the variability in behavioral responses that would be expected given the differential sensitivities of marine mammal species to sound and the wide range of potential acoustic sources to which a marine mammal may be exposed. Estimates of the types of behavioral responses that could occur for a given sound exposure should be determined from the literature that is available for each species, or extrapolated from closely related species when no information exists.
Flight Response
—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. 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). Flight responses have been speculated as being a component of marine mammal strandings associated with sonar activities (Evans and England, 2001).
Response to Predator
—Evidence suggests that at least some marine mammals have the ability to acoustically identify potential predators. For example, harbor seals that reside in the coastal waters off British Columbia are frequently targeted by certain groups of killer whales, but not others. The seals discriminate between the calls of threatening and non-threatening killer whales (Deecke
et al.,
2002), a capability that should increase survivorship while reducing the energy required for attending to and responding to all killer whale calls. The occurrence of masking or hearing impairment provides a means by which marine mammals may be prevented from responding to the acoustic cues produced by their predators. Whether or not this is a possibility depends on the duration of the masking/hearing impairment and the likelihood of encountering a predator during the time that predator cues are impeded.
Diving
—Changes in dive behavior can vary widely. They 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. Variations in dive behavior may reflect interruptions in biologically significant activities (e.g., foraging) or they may be of little biological significance. Variations in dive behavior may also expose an animal to potentially harmful conditions (e.g., increasing the chance of ship-strike) or may serve as an avoidance response that enhances survivorship. The impact of a variation in diving 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.
Nowacek
et al.
(2004) reported disruptions of dive behaviors in foraging North Atlantic right whales when exposed to an alerting stimulus, an action, they noted, that could lead to an increased likelihood of ship strike. However, the whales did not respond to playbacks of either right whale social sounds or vessel noise, highlighting the importance of the sound characteristics in producing a behavioral reaction. Conversely, Indo-Pacific humpback dolphins have been observed to dive for longer periods of time in areas where vessels were present and/or approaching (Ng and Leung, 2003). In both of these studies, the influence of the sound exposure cannot be decoupled from the physical presence of a surface vessel, thus complicating interpretations of the relative contribution of each stimulus to the response. Indeed, the presence of surface vessels, their approach, and speed of approach, seemed to be significant factors in the response of the Indo-Pacific humpback dolphins (Ng and Leung, 2003). Low frequency signals of the Acoustic Thermometry of Ocean Climate (ATOC) sound source were not found to affect dive times of humpback whales in Hawaiian waters (Frankel and Clark, 2000) or to overtly affect elephant seal dives (Costa
et al.,
2003). They did, however, produce subtle effects that varied in direction and degree among the individual seals, illustrating the equivocal nature of behavioral effects and consequent difficulty in defining and predicting them.
Due to past incidents of beaked whale strandings associated with sonar operations, feedback paths are provided between avoidance and diving and indirect tissue effects. This feedback accounts for the hypothesis that variations in diving behavior and/or avoidance responses can possibly result in nitrogen tissue supersaturation and nitrogen off-gassing, possibly to the point of deleterious vascular bubble formation (Jepson
et al.,
2003). Although hypothetical, discussions surrounding this potential process are controversial.
Foraging
—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. Noise from seismic surveys was not found to impact the feeding behavior in western grey whales off the coast of Russia (Yazvenko
et al.,
2007) and sperm whales engaged in foraging dives did not abandon dives when exposed to distant signatures of seismic airguns (Madsen
et al.,
2006). Balaenopterid whales exposed to moderate low-frequency signals similar to the ATOC sound source demonstrated no variation in foraging activity (Croll
et al.,
2001), whereas five out of six North Atlantic right whales exposed to an acoustic alarm interrupted their foraging dives (Nowacek
et al.,
2004). Although the received sound pressure levels were similar in the latter two studies, the frequency, duration, and temporal pattern of signal presentation were different. These factors, as well as differences in species sensitivity, are likely contributing factors to the differential response. A determination of whether foraging disruptions incur fitness consequences will require information on or estimates of the energetic requirements of the individuals and the relationship between prey availability, foraging effort and success, and the life history stage of the animal.
Breathing
—Variations in respiration naturally vary with different behaviors and variations in respiration 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. Mean exhalation rates of gray whales at rest and while diving were found to be unaffected by seismic surveys conducted adjacent to the whale feeding grounds (Gailey
et al.,
2007). Studies with captive harbor porpoises showed increased respiration rates upon introduction of acoustic alarms (Kastelein
et al.,
2001; Kastelein
et al.,
2006a) and emissions for underwater data transmission (Kastelein
et al.,
2005). However, exposure of the same
acoustic alarm to a striped dolphin under the same conditions did not elicit a response (Kastelein
et al.,
2006a), 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.
Social relationships
—Social interactions between mammals can be affected by noise via the disruption of communication signals or by the displacement of individuals. Disruption of social relationships therefore depends on the disruption of other behaviors (e.g., caused avoidance, masking, etc.) and no specific overview is provided here. However, social disruptions must be considered in context of the relationships that are affected. Long-term disruptions of mother/calf pairs or mating displays have the potential to affect the growth and survival or reproductive effort/success of individuals, respectively.
Vocalizations
(also see Masking Section)—Vocal changes in response to anthropogenic noise can occur across the repertoire of sound production modes used by marine mammals, such as whistling, echolocation click production, calling, and singing. Changes may result in response to a need to compete with an increase in background noise or may reflect an increased vigilance or startle response. For example, in the presence of low-frequency active sonar, humpback whales have been observed to increase the length of their “songs” (Miller
et al.,
2000; Fristrup
et al.,
2003), possibly due to the overlap in frequencies between the whale song and the low-frequency active sonar. A similar compensatory effect for the presence of low-frequency vessel noise has been suggested for right whales; 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.,
2007). Killer whales off the northwestern coast of the U.S. have been observed to increase the duration of primary calls once a threshold in observing vessel density (e.g., whale watching) was reached, which has been suggested as a response to increased masking noise produced by the vessels (Foote
et al.,
2004). In contrast, both sperm and pilot whales potentially ceased sound production during the Heard Island feasibility test (Bowles
et al.,
1994), although it cannot be absolutely determined whether the inability to acoustically detect the animals was due to the cessation of sound production or the displacement of animals from the area.
Avoidance
—Avoidance is the displacement of an individual from an area as a result of the presence of a sound. Richardson
et al.,
(1995) noted that avoidance reactions are the most obvious manifestations of disturbance in marine mammals. It is qualitatively different from the flight response, but also differs in the magnitude of the response (i.e., directed movement, rate of travel, etc.). Oftentimes avoidance is temporary, and animals return to the area once the noise has ceased. Longer term displacement is possible, however, which can lead to changes in abundance or distribution patterns of the species in the affected region if they do not become acclimated to the presence of the sound (Blackwell
et al.,
2004; Bejder
et al.,
2006; Teilmann
et al.,
2006). Acute avoidance responses have been observed in captive porpoises and pinnipeds exposed to a number of different sound sources (Kastelein
et al.,
2001; Finneran
et al.,
2003; Kastelein
et al.,
2006a; Kastelein
et al.,
2006b). Short-term avoidance of seismic surveys, low frequency emissions, and acoustic deterrents have also been noted in wild populations of odontocetes (Bowles
et al.,
1994; Goold, 1996; 1998; Stone
et al.,
2000; Morton and Symonds, 2002) and to some extent in mysticetes (Gailey
et al.,
2007), while longer term or repetitive/chronic displacement for some dolphin groups and for manatees has been suggested to be due to the presence of chronic vessel noise (Haviland-Howell
et al.,
2007; Miksis-Olds
et al.,
2007).
Maybaum (1993) conducted sound playback experiments to assess the effects of MFAS on humpback whales in Hawaiian waters. Specifically, she exposed focal pods to sounds of a 3.3-kHz sonar pulse, a sonar frequency sweep from 3.1 to 3.6 kHz, and a control (blank) tape while monitoring behavior, movement, and underwater vocalizations. The two types of sonar signals (which both contained mid- and low-frequency components) differed in their effects on the humpback whales, but both resulted in avoidance behavior. The whales responded to the pulse by increasing their distance from the sound source and responded to the frequency sweep by increasing their swimming speeds and track linearity. In the Caribbean, sperm whales avoided exposure to mid-frequency submarine sonar pulses, in the range of 1000 Hz to 10,000 Hz (IWC 2005).
Kvadsheim
et al.,
(2007) conducted a controlled exposure experiment in which killer whales fitted with D-tags were exposed to mid-frequency active sonar (Source A: a 1.0 second upsweep 209 dB @ 1-2 kHz every 10 seconds for 10 minutes; Source B: with a 1.0 second upsweep 197 dB @ 6-7 kHz every 10 seconds for 10 minutes). When exposed to Source A, a tagged whale and the group it was traveling with did not appear to avoid the source. When exposed to Source B, the tagged whales along with other whales that had been carousel feeding, ceased feeding during the approach of the sonar and moved rapidly away from the source. When exposed to Source B, Kvadsheim and his co-workers reported that a tagged killer whale seemed to try to avoid further exposure to the sound field by the following behaviors: immediately swimming away (horizontally) from the source of the sound; engaging in a series of erratic and frequently deep dives that seemed to take it below the sound field; or swimming away while engaged in a series of erratic and frequently deep dives. Although the sample sizes in this study are too small to support statistical analysis, the behavioral responses of the orcas were consistent with the results of other studies.
In 2007, the first in a series of behavioral response studies, a collaboration by the Navy, NMFS, and other scientists showed one beaked whale (
Mesoplodon densirostris
) responding to an MFAS playback. Tyack
et al.
(2011) indicates that the playback began when the tagged beaked whale was vocalizing at depth (at the deepest part of a typical feeding dive), following a previous control with no sound exposure. The whale appeared to stop clicking significantly earlier than usual, when exposed to mid-frequency signals in the 130-140 dB (rms) received level range. After a few more minutes of the playback, when the received level reached a maximum of 140-150 dB, the whale ascended on the slow side of normal ascent rates with a longer than normal ascent, at which point the exposure was terminated. The results are from a single experiment and a greater sample size is needed before robust and definitive conclusions can be drawn.
Tyack
et al.
(2011) also indicates that Blainville's beaked whales—a resident species within the study area—appear to be sensitive to noise at levels well below expected TTS (~160 dB re1µPa). This sensitivity is manifest by an adaptive movement away from a sound source. This response was observed irrespective of whether the signal transmitted was within the band width of MFAS, which suggests that beaked whales may not respond to the specific sound signatures. Instead, they may be sensitive to any pulsed sound from a
point source in this frequency range. The response to such stimuli appears to involve maximizing the distance from the sound source.
Results from a 2007-2008 study conducted near the Bahamas showed a change in diving behavior of an adult Blainville's beaked whale to playback of mid-frequency source and predator sounds (Boyd
et al.,
2008; Tyack
et al.,
2011). Reaction to mid-frequency sounds included premature cessation of clicking and termination of a foraging dive, and a slower ascent rate to the surface. Preliminary results from a similar behavioral response study in southern California waters have been presented for the 2010-2011 field season (Southall
et al.,
2011). Cuvier's beaked whale responses suggested particular sensitivity to sound exposure as consistent with results for Blainville's beaked whale. Similarly, beaked whales exposed to sonar during British training exercises stopped foraging (DSTL 2007), and preliminary results of controlled playback of sonar may indicate feeding/foraging disruption of killer whales and sperm whales (Miller
et al.,
2011).
Orientation
—A shift in an animal's resting state or an attentional change via an orienting response represent behaviors that would be considered mild disruptions if occurring alone. As previously mentioned, the responses may co-occur with other behaviors; for instance, an animal may initially orient toward a sound source, and then move away from it. Thus, any orienting response should be considered in context of other reactions that may occur.
There are few empirical studies of avoidance responses of free-living cetaceans to MFAS. Much more information is available on the avoidance responses of free-living cetaceans to other acoustic sources, such as seismic airguns and low-frequency tactical sonar, than MFAS.
Behavioral Responses
Southall
et al.
(2007) reports the results of the efforts of a panel of experts in acoustic research from behavioral, physiological, and physical disciplines that convened and reviewed the available literature on marine mammal hearing and physiological and behavioral responses to human-made sound with the goal of proposing exposure criteria for certain effects. This peer-reviewed compilation of literature is very valuable, though Southall
et al.
(2007) note that not all data are equal, some have poor statistical power, insufficient controls, and/or limited information on received levels, background noise, and other potentially important contextual variables—such data were reviewed and sometimes used for qualitative illustration but were not included in the quantitative analysis for the criteria recommendations. All of the studies considered, however, contain an estimate of the received sound level when the animal exhibited the indicated response.
In the Southall
et al.
(2007) publication, for the purposes of analyzing responses of marine mammals to anthropogenic sound and developing criteria, the authors differentiate between single pulse sounds, multiple pulse sounds, and non-pulse sounds. MFAS/HFAS sonar is considered a non-pulse sound. Southall
et al.
(2007) summarize the studies associated with low-frequency, mid-frequency, and high-frequency cetacean and pinniped responses to non-pulse sounds, based strictly on received level, in Appendix C of their article (incorporated by reference and summarized in the three paragraphs below).
The studies that address responses of low-frequency cetaceans to non-pulse sounds include data gathered in the field and related to several types of sound sources (of varying similarity to MFAS/HFAS) including: vessel noise, drilling and machinery playback, low-frequency M-sequences (sine wave with multiple phase reversals) playback, tactical low-frequency active sonar playback, drill ships, Acoustic Thermometry of Ocean Climate (ATOC) source, and non-pulse playbacks. These studies generally indicate no (or very limited) responses to received levels in the 90 to 120 dB re: 1 µPa range and an increasing likelihood of avoidance and other behavioral effects in the 120 to 160 dB range. As mentioned earlier, though, contextual variables play a very important role in the reported responses and the severity of effects are not linear when compared to received level. Also, few of the laboratory or field datasets had common conditions, behavioral contexts or sound sources, so it is not surprising that responses differ.
The studies that address responses of mid-frequency cetaceans to non-pulse sounds include data gathered both in the field and the laboratory and related to several different sound sources (of varying similarity to MFAS/HFAS) including: pingers, drilling playbacks, ship and ice-breaking noise, vessel noise, Acoustic Harassment Devices (AHDs), Acoustic Deterrent Devices (ADDs), MFAS, and non-pulse bands and tones. Southall
et al.
(2007) were unable to come to a clear conclusion regarding the results of these studies. In some cases, animals in the field showed significant responses to received levels between 90 and 120 dB, while in other cases these responses were not seen in the 120 to 150 dB range. The disparity in results was likely due to contextual variation and the differences between the results in the field and laboratory data (animals typically responded at lower levels in the field).
The studies that address responses of high frequency cetaceans to non-pulse sounds include data gathered both in the field and the laboratory and related to several different sound sources (of varying similarity to MFAS/HFAS) including: pingers, AHDs, and various laboratory non-pulse sounds. All of these data were collected from harbor porpoises. Southall
et al.
(2007) concluded that the existing data indicate that harbor porpoises are likely sensitive to a wide range of anthropogenic sounds at low received levels (~ 90 to 120 dB), at least for initial exposures. All recorded exposures above 140 dB induced profound and sustained avoidance behavior in wild harbor porpoises (Southall
et al.,
2007). Rapid habituation was noted in some but not all studies. There is no data to indicate whether other high frequency cetaceans are as sensitive to anthropogenic sound as harbor porpoises are.
The studies that address the responses of pinnipeds in water to non-pulse sounds include data gathered both in the field and the laboratory and related to several different sound sources (of varying similarity to MFAS/HFAS) including: AHDs, ATOC, various non-pulse sounds used in underwater data communication; underwater drilling, and construction noise. Few studies exist with enough information to include them in the analysis. The limited data suggested that exposures to non-pulse sounds between 90 and 140 dB generally do not result in strong behavioral responses in pinnipeds in water, but no data exist at higher received levels.
In addition to summarizing the available data, the authors of Southall
et al.
(2007) developed a severity scaling system with the intent of ultimately being able to assign some level of biological significance to a response. Following is a summary of their scoring system; a comprehensive list of the behaviors associated with each score, along with the assigned scores, may be found in the report:
• 0-3 (Minor and/or brief behaviors) includes, but is not limited to: no response; minor changes in speed or locomotion (but with no avoidance); individual alert behavior; minor cessation in vocal behavior; minor
changes in response to trained behaviors (in laboratory)
• 4-6 (Behaviors with higher potential to affect foraging, reproduction, or survival) includes, but is not limited to: moderate changes in speed, direction, or dive profile; brief shift in group distribution; prolonged cessation or modification of vocal behavior (duration > duration of sound), minor or moderate individual and/or group avoidance of sound; brief cessation of reproductive behavior; or refusal to initiate trained tasks (in laboratory)
• 7-9 (Behaviors considered likely to affect the aforementioned vital rates) includes, but is not limited to: extensive or prolonged aggressive behavior; moderate, prolonged or significant separation of females and dependent offspring with disruption of acoustic reunion mechanisms; long-term avoidance of an area; outright panic, stampede, stranding; threatening or attacking sound source (in laboratory)
Potential Effects of Behavioral Disturbance
The different ways that marine mammals respond to sound are sometimes indicators of the ultimate effect that exposure to a given stimulus will have on the well-being (survival, reproduction, etc.) of an animal. There is little marine mammal data quantitatively relating the exposure of marine mammals to sound to effects on reproduction or survival, though data exists for terrestrial species to which we can draw comparisons for marine mammals.
Attention is the cognitive process of selectively concentrating on one aspect of an animal's environment while ignoring other things (Posner, 1994). Because animals (including humans) have limited cognitive resources, there is a limit to how much sensory information they can process at any time. The phenomenon called “attentional capture” occurs when a stimulus (usually a stimulus that an animal is not concentrating on or attending to) “captures” an animal's attention. This shift in attention can occur consciously or subconsciously (for example, when an animal hears sounds that it associates with the approach of a predator) and the shift in attention can be sudden (Dukas, 2002; van Rij, 2007). Once a stimulus has captured an animal's attention, the animal can respond by ignoring the stimulus, assuming a “watch and wait” posture, or treat the stimulus as a disturbance and respond accordingly, which includes scanning for the source of the stimulus or “vigilance” (Cowlishaw
et al.,
2004).
Vigilance is normally an adaptive behavior that helps animals determine the presence or absence of predators, assess their distance from conspecifics, or to attend cues from prey (Bednekoff and Lima, 1998; Treves, 2000). Despite those benefits, however, vigilance has a cost of time; when animals focus their attention on specific environmental cues, they are not attending to other activities such as foraging. These costs have been documented best in foraging animals, where vigilance has been shown to substantially reduce feeding rates (Saino, 1994; Beauchamp and Livoreil, 1997; Fritz
et al.,
2002). Animals will spend more time being vigilant, which may translate to less time foraging or resting, when disturbance stimuli approach them more directly, remain at closer distances, have a greater group size (for example, multiple surface vessels), or when they co-occur with times that an animal perceives increased risk (for example, when they are giving birth or accompanied by a calf). Most of the published literature, however, suggests that direct approaches will increase the amount of time animals will dedicate to being vigilant. For example, bighorn sheep and Dall's sheep dedicated more time being vigilant, and less time resting or foraging, when aircraft made direct approaches over them (Frid, 2001; Stockwell
et al.,
1991).
Several authors have established that long-term and intense disturbance stimuli can cause population declines by reducing the body condition of individuals that have been disturbed, followed by reduced reproductive success, reduced survival, or both (Daan
et al.,
1996; Madsen, 1994; White, 1983). For example, Madsen (1994) reported that pink-footed geese in undisturbed habitat gained body mass and had about a 46-percent reproductive success rate compared with geese in disturbed habitat (being consistently scared off the fields on which they were foraging) which did not gain mass and had a 17-percent reproductive success rate. Similar reductions in reproductive success have been reported for mule deer disturbed by all-terrain vehicles (Yarmoloy
et al.,
1988), caribou disturbed by seismic exploration blasts (Bradshaw
et al.,
1998), caribou disturbed by low-elevation military jet-fights (Luick
et al.,
1996), and caribou disturbed by low-elevation jet flights (Harrington and Veitch, 1992). Similarly, a study of elk that were disturbed experimentally by pedestrians concluded that the ratio of young to mothers was inversely related to disturbance rate (Phillips and Alldredge, 2000).
The primary mechanism by which increased vigilance and disturbance appear to affect the fitness of individual animals is by disrupting an animal's time budget and, as a result, reducing the time they might spend foraging and resting (which increases an animal's activity rate and energy demand). For example, a study of grizzly bears reported that bears disturbed by hikers reduced their energy intake by an average of 12 kcal/minute (50.2 × 10
3
kJ/minute), and spent energy fleeing or acting aggressively toward hikers (White
et al.
1999). Alternately, Ridgway
et al.,
(2006) reported that increased vigilance in bottlenose dolphins exposed to sound over a 5-day period did not cause any sleep deprivation or stress effects such as changes in cortisol or epinephrine levels.
On a related note, many animals perform vital functions, such as feeding, resting, traveling, and socializing, on a diel cycle (24-hour cycle). Substantive behavioral reactions to noise exposure (such as disruption of critical life functions, displacement, or avoidance of important habitat) 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 1 day and not recurring on subsequent days is not considered particularly severe unless it could directly affect reproduction or survival (Southall
et al.,
2007).
In response to the National Research Council of the National Academies (2005) review, the Office of Naval Research founded a working group to formalize the Population Consequences of Acoustic Disturbance (PCAD) framework. The PCAD model connects observable data through a series of transfer functions using a case study approach. The long-term goal is to improve the understanding of how effects of sound on marine mammals transfer between behavior and life functions and between life functions and vital rates of individuals. Then, this understanding of how disturbance can affect the vital rates of individuals will facilitate the further assessment of the population level effects of anthropogenic sound on marine mammals by providing a quantitative approach to evaluate effects and the relationship between takes and possible changes to adult survival and/or annual recruitment.
Stranding and Mortality
When a live or dead marine mammal swims or floats onto shore and becomes
“beached” or incapable of returning to sea, the event is termed a “stranding” (Geraci
et al.,
1999; Perrin and Geraci, 2002; Geraci and Lounsbury, 2005; NMFS, 2007). The legal definition for a stranding within the U.S. is that (A) “a marine mammal is dead and is (i) on a beach or shore of the United States; or (ii) in waters under the jurisdiction of the United States (including any navigable waters); or (B) a marine mammal is alive and is (i) on a beach or shore of the United States and unable to return to the water; (ii) on a beach or shore of the United States and, although able to return to the water, is in need of apparent medical attention; or (iii) in the waters under the jurisdiction of the United States (including any navigable waters), but is unable to return to its natural habitat under its own power or without assistance.” (16 U.S.C. 1421h).
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. However, the cause or causes of most strandings are unknown (Geraci
et al.,
1976; Eaton, 1979; Odell
et al.,
1980; Best, 1982). Numerous studies suggest that the physiology, behavior, habitat relationships, age, or condition of cetaceans may cause them to strand or might predispose them to strand when exposed to another phenomenon. These suggestions are consistent with the conclusions of numerous other studies that have demonstrated that combinations of dissimilar stressors commonly combine to kill an animal or dramatically reduce its fitness, even though one exposure without the other does not produce the same result (Chroussos, 2000; Creel, 2005; DeVries
et al.,
2003; Fair and Becker, 2000; Foley
et al.,
2001; Moberg, 2000; Relyea, 2005a, 2005b; Romero, 2004; Sih
et al.,
2004). For reference, between 2001 and 2009, there was an annual average of 1,400 cetacean strandings and 4,300 pinniped strandings along the coasts of the continental U.S. and Alaska (NMFS, 2011).
Several sources have published lists of mass stranding events of cetaceans in an attempt to identify relationships between those stranding events and military sonar (Hildebrand, 2004; IWC, 2005; Taylor
et al.,
2004). For example, based on a review of stranding records between 1960 and 1995, the International Whaling Commission (2005) identified ten mass stranding events of Cuvier's beaked whales had been reported and one mass stranding of four Baird's beaked whale. The IWC concluded that, out of eight stranding events reported from the mid-1980s to the summer of 2003, seven had been coincident with the use of tactical mid-frequency sonar, one of those seven had been associated with the use of tactical low-frequency sonar, and the remaining stranding event had been associated with the use of seismic airguns.
Most of the stranding events reviewed by the International Whaling Commission involved beaked whales. A mass stranding of Cuvier's beaked whales in the eastern Mediterranean Sea occurred in 1996 (Frantzis, 1998) and mass stranding events involving Gervais' beaked whales, Blainville's beaked whales, and Cuvier's beaked whales occurred off the coast of the Canary Islands in the late 1980s (Simmonds and Lopez-Jurado, 1991). The stranding events that occurred in the Canary Islands and Kyparissiakos Gulf in the late 1990s and the Bahamas in 2000 have been the most intensively-studied mass stranding events and have been associated with naval maneuvers involving the use of tactical sonar.
Between 1960 and 2006, 48 strandings (68 percent) involved beaked whales, three (4 percent) involved dolphins, and 14 (20 percent) involved whale species. Cuvier's beaked whales were involved in the greatest number of these events (48 or 68 percent), followed by sperm whales (seven or 10 percent), and Blainville's and Gervais' beaked whales (four each or 6 percent). Naval activities (not just activities conducted by the U.S. Navy) that might have involved active sonar are reported to have coincided with nine or 10 (13 to 14 percent) of those stranding events. Between the mid-1980s and 2003 (the period reported by the International Whaling Commission), we identified reports of 44 mass cetacean stranding events of which at least seven were coincident with naval exercises that were using MFAS.
Strandings Associated With Impulse Sound
During a Navy training event on March 4, 2011 at the Silver Strand Training Complex in San Diego, California, three or possibly four dolphins were killed in an explosion. During an underwater detonation training event, a pod of 100 to 150 long-beaked common dolphins were observed moving toward the 700-yd (640.1-m) exclusion zone around the explosive charge, monitored by personnel in a safety boat and participants in a dive boat. Approximately 5 minutes remained on a time-delay fuse connected to a single 8.76 lb (3.97 kg) explosive charge (C-4 and detonation cord). Although the dive boat was placed between the pod and the explosive in an effort to guide the dolphins away from the area, that effort was unsuccessful and three long-beaked common dolphins near the explosion died. In addition to the three dolphins found dead on March 4, the remains of a fourth dolphin were discovered on March 7, 2011 near Ocean Beach, California (3 days later and approximately 11.8 mi. [19 km] from Silver Strand where the training event occurred), which might also have been related to this event. Association of the fourth stranding with the training event is uncertain because dolphins strand on a regular basis in the San Diego area. Details such as the dolphins' depth and distance from the explosive at the time of the detonation could not be estimated from the 250 yd (228.6 m) standoff point of the observers in the dive boat or the safety boat.
These dolphin mortalities are the only known occurrence of a U.S. Navy training or testing event involving impulse energy (underwater detonation) that caused mortality or injury to a marine mammal. Despite this being a rare occurrence, the Navy has reviewed training requirements, safety procedures, and possible mitigation measures and implemented changes to reduce the potential for this to occur in the future. Discussions of procedures associated with these and other training and testing events are presented in the Mitigation section.
Strandings Associated With MFAS
Over the past 16 years, there have been five stranding events coincident with military mid-frequency sonar use in which exposure to sonar is believed to have been a contributing factor: Greece (1996); the Bahamas (2000); Madeira (2000); Canary Islands (2002); and Spain (2006). Additionally, in 2004, during the Rim of the Pacific (RIMPAC) exercises, between 150 and 200 usually pelagic melon-headed whales occupied the shallow waters of Hanalei Bay, Kauai, Hawaii for over 28 hours. NMFS determined that MFAS was a plausible, if not likely, contributing factor in what may have been a confluence of events that led to the stranding. A number of other stranding events coincident with the operation of mid-frequency sonar, including the death of beaked whales or other species (minke whales, dwarf sperm whales, pilot whales), have been reported; however, the majority have not been investigated to the degree necessary to determine the cause of the stranding and only one of these stranding events, the Bahamas (2000),
was associated with exercises conducted by the U.S. Navy.
Greece (1996)
—Twelve Cuvier's beaked whales stranded atypically (in both time and space) along a 38.2-km strand of the Kyparissiakos Gulf coast on May 12 and 13, 1996 (Frantzis, 1998). From May 11 through May 15, the North Atlantic Treaty Organization (NATO) research vessel
Alliance
was conducting sonar tests with signals of 600 Hz and 3 kHz and source levels of 228 and 226 dB re: 1μPa, respectively (D'Amico and Verboom, 1998; D'Spain
et al.,
2006). The timing and location of the testing encompassed the time and location of the strandings (Frantzis, 1998).
Necropsies of eight of the animals were performed but were limited to basic external examination and sampling of stomach contents, blood, and skin. No ears or organs were collected, and no histological samples were preserved. No apparent abnormalities or wounds were found. Examination of photos of the animals, taken soon after their death, revealed that the eyes of at least four of the individuals were bleeding. Photos were taken soon after their death (Frantzis, 2004). Stomach contents contained the flesh of cephalopods, indicating that feeding had recently taken place (Frantzis, 1998).
All available information regarding the conditions associated with this stranding event were compiled, and many potential causes were examined including major pollution events, prominent tectonic activity, unusual physical or meteorological events, magnetic anomalies, epizootics, and conventional military activities (International Council for the Exploration of the Sea, 2005a). However, none of these potential causes coincided in time or space with the mass stranding, or could explain its characteristics (International Council for the Exploration of the Sea, 2005a). The robust condition of the animals, plus the recent stomach contents, is inconsistent with pathogenic causes. In addition, environmental causes can be ruled out as there were no unusual environmental circumstances or events before or during this time period and within the general proximity (Frantzis, 2004).
Because of the rarity of this mass stranding of Cuvier's beaked whales in the Kyparissiakos Gulf (first one in history), the probability for the two events (the military exercises and the strandings) to coincide in time and location, while being independent of each other, was thought to be extremely low (Frantzis, 1998). However, because full necropsies had not been conducted, and no abnormalities were noted, the cause of the strandings could not be precisely determined (Cox
et al.,
2006). A Bioacoustics Panel convened by NATO concluded that the evidence available did not allow them to accept or reject sonar exposures as a causal agent in these stranding events. The analysis of this stranding event provided support for, but no clear evidence for, the cause-and-effect relationship of tactical sonar training activities and beaked whale strandings (Cox
et al.,
2006).
Bahamas (2000)
—NMFS and the Navy prepared a joint report addressing the multi-species stranding in the Bahamas in 2000, which took place within 24 hours of U.S. Navy ships using MFAS as they passed through the Northeast and Northwest Providence Channels on March 15-16, 2000. The ships, which operated both AN/SQS-53C and AN/SQS-56, moved through the channel while emitting sonar pings approximately every 24 seconds. Of the 17 cetaceans that stranded over a 36-hr period (Cuvier's beaked whales,
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