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

Federal RegisterFeb 13, 2015

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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

50 CFR Part 219

[Docket No. 121102600-5093-01]

RIN 0648-BB87

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

AGENCY:

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

ACTION:

Proposed rule; request for comments.

SUMMARY:

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

DATES:

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

ADDRESSES:

You may submit comments on this document, identified by NOAA-NMFS-2015-0026, by any of the following methods:

•

Electronic submission:

Submit all electronic public comments via the federal e-Rulemaking Portal. Go to

www.regulations.gov,

enter 0648-BB87 in the “Search” box, click the “Comment Now!” icon, complete the required fields, and enter or attach your comments.

•

Mail:

Comments should be addressed to Jolie Harrison, Chief, Permits and Conservation Division, Office of Protected Resources, National Marine Fisheries Service, 1315 East West Highway, Silver Spring, MD 20910.

Instructions:

NMFS is not responsible for comments sent by any other method, to any other address or individual, or received after the end of the comment period. Attachments to electronic comments will be accepted in Microsoft Word or Excel or Adobe PDF file formats only. To help NMFS process and review comments more efficiently, please use only one method to submit comments. All comments received are a part of the public record and will generally be posted on

www.regulations.gov

without change. All personal identifying information (

e.g.,

name, address) voluntarily submitted by the commenter may be publicly accessible. Do not submit confidential business information or otherwise sensitive or protected information. NMFS will accept anonymous comments (enter N/A in the required fields if you wish to remain anonymous).

FOR FURTHER INFORMATION CONTACT:

Ben Laws, Office of Protected Resources, NMFS, (301) 427-8401.

SUPPLEMENTARY INFORMATION:

Availability

A copy of SWFSC's application and any supporting documents, as well as a list of the references cited in this document, may be obtained by visiting the Internet at:

www.nmfs.noaa.gov/pr/permits/incidental/research.htm.

In case of problems accessing these documents, please call the contact listed above (see

FOR FURTHER INFORMATION CONTACT

Executive Summary

These proposed regulations, under the Marine Mammal Protection Act (16 U.S.C. 1361

et seq.

), establish frameworks for authorizing the take of marine mammals incidental to the SWFSC's fisheries research activities in three separate specified geographical regions (

i.e.,

the California Current Ecosystem, the Eastern Tropical Pacific, and the Antarctic Marine Living Resources Ecosystem).

Purpose and Need for This Regulatory Action

We received an application from the SWFSC requesting five-year regulations and authorization to take multiple species of marine mammals. Take would occur by Level B harassment incidental to the use of active acoustic devices in each of the three specified geographical regions, as well as by visual disturbance of pinnipeds in the Antarctic only, and by Level A harassment, serious injury, or mortality incidental to the use of fisheries research gear in the California Current and Eastern Tropical Pacific only. For each specified geographical region, the regulations would be valid from 2015 to 2019. Please see “Background” below for definitions of harassment.

Section 101(a)(5)(A) of the MMPA directs the Secretary of Commerce to allow, upon request, the incidental, but not intentional taking of small numbers of marine mammals by U.S. citizens who engage in a specified activity (other than commercial fishing) within a specified geographical region if, after notice and public comment, the agency makes certain findings and issues regulations. These proposed regulations would contain mitigation, monitoring, and reporting requirements.

Legal Authority for the Regulatory Action

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

Summary of Major Provisions Within the Proposed Regulations

The following provides a summary of some of the major provisions within these proposed rulemakings for the SWFSC fisheries research activities in the three specified geographical regions. We have preliminarily determined that the SWFSC's adherence to the proposed mitigation, monitoring, and reporting measures listed below would achieve the least practicable adverse impact on the affected marine mammals. They include:

• Required monitoring of the sampling areas to detect the presence of marine mammals before deployment of pelagic trawl nets or pelagic longline gear.

• Required use of marine mammal excluder devices on one type of pelagic trawl net and required use of acoustic deterrent devices on all pelagic trawl nets.

• Required implementation of the mitigation strategy known as the “move-on rule,” which incorporates best professional judgment, when necessary during pelagic trawl and pelagic longline operations.

Background

Sections 101(a)(5)(A) and (D) of the MMPA (16 U.S.C. 1361

et seq.

) direct the Secretary of Commerce to allow, upon request, the incidental, but not intentional, taking of small numbers of marine mammals by U.S. citizens who engage in a specified activity (other than commercial fishing) within a specified geographical region if certain findings

are made and either regulations are issued or, if the taking is limited to harassment, a notice of a proposed authorization is provided to the public for review.

An authorization for incidental takings shall be granted if NMFS finds that the taking will have a negligible impact on the species or stock(s), will not have an unmitigable adverse impact on the availability of the species or stock(s) for subsistence uses (where relevant), and if the permissible methods of taking and requirements pertaining to the mitigation, monitoring and reporting of such takings are set forth. NMFS has defined “negligible impact” in 50 CFR 216.103 as “an impact resulting from the specified activity that cannot be reasonably expected to, and is not reasonably likely to, adversely affect the species or stock through effects on annual rates of recruitment or survival.”

Except with respect to certain activities not pertinent here, the MMPA defines “harassment” as: Any act of pursuit, torment, or annoyance which (i) has the potential to injure a marine mammal or marine mammal stock in the wild [Level A harassment]; or (ii) has the potential to disturb a marine mammal or marine mammal stock in the wild by causing disruption of behavioral patterns, including, but not limited to, migration, breathing, nursing, breeding, feeding, or sheltering [Level B harassment].

Summary of Request

On April 25, 2013, we received an adequate and complete request from SWFSC for authorization to take marine mammals incidental to fisheries research activities. We received an initial draft of the request on February 11, 2012, followed by revised drafts on June 29 and December 21, 2012. On May 2, 2013 (78 FR 25703), we published a notice of receipt of SWFSC's application in the

Federal Register

, requesting comments and information related to the SWFSC request for thirty days. We received comments from the Marine Mammal Commission, which we considered in development of this proposed rule and which are available on the Internet at:

www.nmfs.noaa.gov/pr/permits/incidental/research.htm.

SWFSC proposes to conduct fisheries research using pelagic trawl gear used at various levels in the water column, pelagic longlines with multiple hooks, bottom-contact trawls, and other gear. If a marine mammal interacts with gear deployed by SWFSC, the outcome could potentially be Level A harassment, serious injury (

i.e.,

any injury that will likely result in mortality), or mortality. However, there is not sufficient information upon which to base a prediction of what the outcome may be for any particular interaction. Therefore, SWFSC has pooled the estimated number of incidents of take resulting from gear interactions, and we have assessed the potential impacts accordingly. SWFSC also uses various active acoustic devices in the conduct of fisheries research, and use of these devices has the potential to result in Level B harassment of marine mammals. Level B harassment of pinnipeds hauled out on ice may also occur, in the Antarctic only, as a result of visual disturbance from vessels conducting SWFSC research. The proposed regulations would be valid for five years from the date of issuance.

The SWFSC conducts fisheries research surveys in the California Current Ecosystem (CCE), the Eastern Tropical Pacific (ETP), and the Antarctic Marine Living Resources Ecosystem (AMLR). As required by the MMPA, SWFSC's request is considered separately for each specified geographical region. In the CCE, SWFSC requests authorization to take individuals of seventeen species by Level A harassment, serious injury, or mortality (hereafter referred to as M/SI + Level A) and of 34 species by Level B harassment. In the ETP, SWFSC requests authorization to take individuals of eleven species by M/SI + Level A and of 31 species by Level B harassment. In the AMLR, SWFSC requests authorization to take individuals of seventeen species by Level B harassment. No takes by M/SI + Level A are anticipated in the AMLR.

Contents

(1) Description of the Specified Activity

(a) Overview

(b) Dates and Duration

(i) California Current Ecosystem

(ii) Eastern Tropical Pacific

(iii) Antarctic Marine Living Resources Ecosystem

(d) Detailed Description of Activities

(i) Trawl Nets

(ii) Conductivity, Temperature, and Depth Profilers (CTD)

(iii) Expendable Bathythermographs (XBT)

(iv) Other Nets

(v) Longline

(vi) Continuous, Underway Fish Egg Sampler (CUFES)

(vii) Remotely Operated Vehicles (ROV)

(viii) California Current Ecosystem

(ix) Eastern Tropical Pacific

(x) Antarctic Marine Living Resources Ecosystem

(xi) Description of Active Acoustic Sound Sources

(2) Proposed Mitigation

(a) Development of Mitigation Measures

(b) General Measures

(i) Coordination and Communication

(ii) Vessel Speed

(iii) Other Gears

(iv) Handling Procedures

(i) Marine Mammal Excluder Devices

(ii) Acoustic Deterrent Devices

(iii) AMLR Bottom Trawl Surveys

(d) Longline Survey Visual Monitoring and Operational Protocols

(3) Description of Marine Mammals in the Area of the Specified Activity

(a) California Current Ecosystem

(i) Take Reduction Planning

(ii) Unusual Mortality Events (UME)

(b) Eastern Tropical Pacific

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

(a) Ship Strike

(b) Research Gear

(i) Trawl Nets

(ii) Longlines

(iii) Other Research Gear

(i) Marine Mammal Hearing

(ii) Potential Effects of Underwater Sound

1. Temporary Threshold Shift

2. Behavioral Effects

3. Stress Responses

4. Auditory Masking

(iii) Potential Effects of SWFSC Activity

(d) Potential Effects of Visual Disturbance

(e) Anticipated Effects on Marine Mammal Habitat

(i) Effects to Prey

(ii) Acoustic Habitat

(5) Estimated Take by Incidental Harassment, Serious Injury, or Mortality

(a) Estimated Take Due to Gear Interaction

(b) Historical Interactions

(i) Midwater Trawl

(ii) Pelagic Longline

(d) Eastern Tropical Pacific

(e) Antarctic Marine Living Resources Ecosystem

(f) Estimated Take Due to Acoustic Harassment

(i) Sound Source Characteristics

(ii) Calculating Effective Line-Kilometers

(iii) Calculating Volume of Water Ensonified

(iv) Marine Mammal Densities

(v) Using Area of Ensonification and Volumetric Density To Estimate Exposures

(vi) California Current Ecosystem

(vii) Eastern Tropical Pacific

(viii) Antarctic Marine Living Resources Ecosystem

(g) Estimated Take Due to Physical Disturbance, Antarctic

(h) Summary of Estimated Incidental Take

(6) Analyses and Preliminary Determinations

(a) Negligible Impact Analyses

(i) California Current Ecosystem

(ii) Eastern Tropical Pacific

(iii) Antarctic Marine Living Resources Ecosystem

(b) Small Numbers Analyses

(i) California Current Ecosystem

(ii) Eastern Tropical Pacific

(iii) Antarctic Marine Living Resources Ecosystem

(7) Proposed Monitoring and Reporting

(a) Visual Monitoring

(b) Acoustic Monitoring

(d) Analysis of Bycatch Patterns

(e) Training

(f) Handling Procedures and Data Collection

(g) Reporting

(8) Adaptive Management

(9) Impact on Availability of Affected Species for Taking for Subsistence Uses

(10) Endangered Species Act (ESA)

(11) National Environmental Policy Act (NEPA)

(12) Classification

Description of the Specified Activity

Overview

The SWFSC collects a wide array of information necessary to evaluate the status of exploited fishery resources and the marine environment. SWFSC scientists conduct fishery-independent research onboard NOAA-owned and operated vessels or on chartered vessels. A few surveys are conducted onboard commercial fishing vessels, but the SWFSC designs and executes the studies and funds vessel time. The SWFSC proposes to administer and conduct approximately fourteen survey programs over the five-year period. The gear types used fall into several categories: Pelagic trawl gear used at various levels in the water column, pelagic longlines, bottom-contact trawls, and other gear. Only use of pelagic trawl and pelagic longline gears are likely to result in interaction with marine mammals. The majority of these surveys also use active acoustic devices.

The federal government has a responsibility to conserve and protect living marine resources in U.S. waters and has also entered into a number of international agreements and treaties related to the management of living marine resources in international waters outside the United States. NOAA has the primary responsibility for managing marine fin and shellfish species and their habitats, with that responsibility delegated within NOAA to NMFS.

In order to direct and coordinate the collection of scientific information needed to make informed fishery management decisions, Congress created six Regional Fisheries Science Centers, each a distinct organizational entity and the scientific focal point within NMFS for region-based federal fisheries-related research. This research is aimed at monitoring fish stock recruitment, abundance, survival and biological rates, geographic distribution of species and stocks, ecosystem process changes, and marine ecological research. The SWFSC is the research arm of NMFS in the southwest region of the U.S. The SWFSC conducts research and provides scientific advice to manage fisheries and conserve protected species in the three geographic research areas described below and provides scientific information to support the Pacific Fishery Management Council and numerous other domestic and international fisheries management organizations.

Dates and Duration

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

Specified Geographical Regions

Please see Figure 1 for a map of the three research areas described below. In addition to general knowledge and other citations contained herein, this section relies upon the descriptions found in Sherman and Hempel (2009) and Wilkinson

et al.

(2009). As referred to here, productivity refers to fixated carbon (

i.e.,

g C/m

/yr) and can be related to the carrying capacity of an ecosystem.

California Current Ecosystem

—The SWFSC conducts research surveys off the Pacific coast within the California Current Research Area (CCRA). This area extends outside of both the California Current Large Marine Ecosystem (LME) and the U.S. Exclusive Economic Zone (EEZ), from the Mexican Baja Peninsula north to waters off of Washington (see Figure 2.1 of SWFSC's application). This region is considered to be of moderately high productivity. Sea surface temperature (SST) is fairly consistent, ranging from 9-14 °C in winter and 13-15 °C in summer. Major biogeographic breaks are found at Point Conception and Cape Mendocino, and the region includes major estuaries such as San Francisco Bay, the Columbia River, and Puget Sound. The shelf is generally narrow in this region, and shelf-break topography (

e.g.,

underwater canyons) creates localized upwelling conditions that concentrate nutrients into areas of high topographic relief.

BILLING CODE 3510-22-P

EP13FE15.003

The California Current determines the general hydrography off the coast of California. The current is part of the North Pacific Gyre, related to the anticyclonic circulation of the central North Pacific, and brings cool waters southward. In general, an area of divergence parallels the coast of California, with a zone of convergence 200-300 km from the coastline. The current moves south along the western coast of North America, beginning off southern British Columbia and flowing southward past Washington, Oregon and California, before ending off southern Baja California (Bograd

et al.,

2010). Extensive seasonal upwelling of colder, nutrient-rich subsurface waters is predominant in the area south of Cape Mendocino, and supports large populations of whales, seabirds and important fisheries. Significant interannual variation in productivity results from the effects of this coastal upwelling as well as from the El Niño-Southern Oscillation and the Pacific Decadal Oscillation. Both oscillations involve transitions from cooler, more productive conditions to warmer, less productive conditions, but over different timescales.

On the shoreward side of the California Current, the California Current Front separates cold, low-salinity upwelled waters from the warmer, saltier waters close to shore. Offshore frontal filaments transport the frontal water across the entire ecosystem. In winter, the wind-driven Davidson Current is the dominant nearshore system, and its associated front forms along the boundary between inshore subtropical waters and colder offshore temperate and subarctic waters. Surface flow of the California Current appears to be diverted offshore at Point Conception and again at Punta Eugenia, while semi-permanent eddies exist south of these headlands.

Eastern Tropical Pacific

—The SWFSC conducts a separate suite of research surveys within the Eastern Tropical Pacific Research Area (ETPRA), a portion of the Pacific Ocean extending from San Diego west to Hawaii and south to Peru (see Figure 2.2 of SWFSC's application). There is some overlap between the ETPRA and CCRA in nearshore and offshore waters of Baja California. The SWFSC's ETPRA spans the boundaries of several LMEs, from the California Current LME in the north to the Humboldt Current LME in the south, and also includes a large amount of offshore waters outside of coastal LME boundaries. The eastern, coastal boundaries of the ETP to the north and south are regions of mixing, characterized by relatively high species diversity and biogeographic transition zones for fish and invertebrates. These areas transition through the furthest extent of influence of south- and north-flowing cool currents into year-round tropical seas.

Located generally within the Pacific Trade Wind Biome, between the subtropical gyres of the North and South Pacific, the ETP contains some of the most productive tropical ocean waters in the world. Cool, low-salinity eastern

boundary current waters flow into the ETP from the north and south via the California Current and Peru Current, respectively, while warm, high-salinity subtropical surface waters flow into the ETP after being subducted into the thermocline primarily in the southern Subtropical Convergence. As a result of upwelling, the surface layer has relatively cool temperatures, high salinity, and high nutrient concentrations along the equator, coastal Peru and Baja California, and at the Costa Rica Dome. Nutrient-rich thermocline waters lie close to the surface along the countercurrent thermocline ridge between the North Equatorial Countercurrent and the North Equatorial Current. Deep and bottom waters formed in the Antarctic and North Atlantic are relatively homogeneous in the ETP (Fiedler and Lavin, 2006).

This region is considered to be of moderate to high productivity in coastal regions, as a result of equatorial upwelling, open ocean and coastal upwellings, and nutrient inputs from river runoff in more tropical areas, while the open ocean portions of the ETP are considered to be of low productivity (Longhurst

et al.,

1995). SST varies considerably, reflecting the region's range across subtropical to tropical waters. Mean SST ranges around 15-18 °C during winter and 19-22 °C during summer at higher latitudes to 26-28 °C and 29.5 °C, respectively, at lower latitudes.

Antarctic Marine Living Resources Ecosystem

—The AMLR region includes the waters encircling Antarctica and coincides with the Antarctic LME, which is defined by the Antarctic Convergence (or Polar Front). The convergence, which separates colder Antarctic surface waters from the warmer sub-Antarctic waters to the north, fluctuates seasonally between 48-60 °C. The SWFSC's Antarctic Research Area in particular is located generally within the Scotia Sea between South America and the Antarctic Peninsula and encompassing survey areas in the South Shetland Islands and South Orkney Islands (see Figure 2.3 of SWFSC's application). Research is generally conducted in the extended area around the South Shetland and South Orkney archipelagos in the Scotia Sea, the eastern section of the Bellingshausen Sea (on the western side of the Antarctic Peninsula), and the northwestern section of the Weddell Sea.

Cold waters flowing north from Antarctica mix with warm sub-Antarctic waters in the Antarctic Ocean. The Antarctic Circumpolar Current moves eastward around Antarctica, providing a partial return of water to northern ocean basins. There are only limited areas of shallow waters in the Southern Ocean, where the average depth is between 4,000 and 5,000 m over most of its extent, although the southern Weddell Sea is one of the largest shelf areas around the Antarctic continent.

Antarctic waters are considered of moderate productivity. Seasonal production is linked with extreme weather conditions and limited light penetration of winter ice and is strongly influenced by ice formation in the fall and melting in the spring and summer. Antarctic krill is the keystone species of the Antarctic ecosystem, providing an important food source for marine mammals, seabirds, and fishes. Mean SST is approximately −1 °C (Locarnini

et al.,

2006).

Detailed Description of Activities

The federal government has a trust responsibility to protect living marine resources in waters of the United States. These waters extend to 200 nm from the shoreline and include the EEZ. The U.S. government has also entered into a number of international agreements and treaties related to the management of living marine resources in international waters outside of the U.S. EEZ (

i.e.,

the high seas). To carry out its responsibilities over U.S. and international waters, Congress has enacted several statutes authorizing certain federal agencies to administer programs to manage and protect living marine resources. Among these federal agencies, NOAA has the primary responsibility for protecting marine finfish and shellfish species and their habitats. Within NOAA, NMFS has been delegated primary responsibility for the science-based management, conservation, and protection of living marine resources under statutes including the Magnuson-Stevens Fishery Conservation and Management Act (MSA), the Tuna Conventions Act, the Endangered Species Act, the International Dolphin Conservation Program Act, and the Antarctic Marine Living Resources Convention Act.

Within NMFS, six Regional Fisheries Science Centers direct and coordinate the collection of scientific information needed to inform fisheries management decisions. Each Fisheries Science Center is a distinct entity and is the scientific focal point for a particular region. SWFSC conducts research and provides scientific advice to manage fisheries and conserve protected species along the U.S. west coast, throughout the eastern tropical Pacific Ocean, and in the Southern Ocean off Antarctica. SWFSC provides scientific information to support the Pacific Fishery Management Council and other domestic and international fisheries management organizations.

The gear types used fall into several categories: Pelagic trawl gear used at various levels in the water column, pelagic longlines with multiple hooks, bottom-contact trawls, and other gear. Only pelagic trawl and pelagic longline gears are likely to interact with marine mammals. The majority of these surveys also use active acoustic devices. These surveys may be conducted aboard NOAA-operated research vessels (R/V), including the

McArthur II, Bell M. Shimada, Miller Freeman,

and

Reuben Lasker,

aboard vessels owned and operated by cooperating agencies and institutions, or aboard charter vessels.

In the following discussion, we first summarily describe various gear types used by SWFSC and then describe specific fisheries and ecosystem research activities conducted by the SWFSC, separated by specified geographical region. This is not an exhaustive list of gear and/or devices that may be utilized by SWFSC but is representative of gear categories and is complete with regard to all gears with potential for interaction with marine mammals. Additionally, relevant active acoustic devices, which are commonly used in SWFSC survey activities, are described separately in a subsequent section.

Trawl nets

—A trawl is a funnel-shaped net towed behind a boat to capture fish. The codend (or bag) is the fine-meshed portion of the net most distant from the towing vessel where fish and other organisms larger than the mesh size are retained. In contrast to commercial fishery operations, which generally use larger mesh to capture marketable fish, research trawls often use smaller mesh to enable estimates of the size and age distributions of fish in a particular area. The body of a trawl net is generally constructed of relatively coarse mesh that functions to gather schooling fish so that they can be collected in the codend. The opening of

the net, called the mouth, is extended horizontally by large panels of wide mesh called wings. The mouth of the net is held open by hydrodynamic force exerted on the trawl doors attached to the wings of the net. As the net is towed through the water, the force of the water spreads the trawl doors horizontally apart. The top of a net is called the headrope, and the bottom is called the footrope.

The trawl net is usually deployed over the stern of the vessel and attached with two cables (or warps) to winches on the deck of the vessel. The cables are played out until the net reaches the fishing depth. Commercial trawl vessels travel at speeds of 2-5 kn while towing the net for time periods up to several hours. The duration of the tow depends on the purpose of the trawl, the catch rate, and the target species. At the end of the tow the net is retrieved and the contents of the codend are emptied onto the deck. For research purposes, the speed and duration of the tow and the characteristics of the net must be standardized to allow meaningful comparisons of data collected at different times and locations. Active acoustic devices (described later) incorporated into the research vessel and the trawl gear monitor the position and status of the net, speed of the tow, and other variables important to the research design. Most SWFSC research trawling activities utilize pelagic (or midwater) trawls, which are designed to operate at various depths within the water column but not to contact the seafloor.

1. NETS Nordic 264—Several SWFSC research programs utilize a Nordic 264 two-warp rope trawl, manufactured by Net Systems, Inc. (Bainbridge Island, WA). The forward portion of this large two-warp rope trawl is constructed of a series of ropes that function to gather fish into the body of the net. The effective mouth opening of the Nordic 264 is approximately 380 m

, spread by a pair of 3-m Lite trawl doors (Churnside

et al.,

2009). For surface trawls, used to capture fish at or near the surface of the water, clusters of polyfoam buoys are attached to each wing tip of the headrope and additional polyfoam floats are clipped onto the center of the headrope. Mesh sizes range from approximately 163 cm in the throat of the trawl to 9 cm in the codend (Churnside

et al.

2009). For certain research activities, a liner may be sewn into the codend to minimize the loss of small fish.

2. Modified-Cobb—A modified-Cobb midwater trawl net has a headrope length of approximately 26 m, a mouth of 80 m

and uses a 0.95-cm codend liner to catch juvenile fish. The net is towed for periods of approximately fifteen minutes at depth at a speed of approximately 2-2.5 kn. The target headrope depth is 30 m for the vast majority of stations but is 10 m for some of the more nearshore (shallow) stations. There are historical and infrequently occupied depth-stratified stations that are also sampled to 100 m depth. The fishing depth is monitored using an electronic net monitoring system and is adjusted by varying the length of trawl line connecting the net to the boat.

3. NETS Hard-Bottom Snapper Trawl—The lower edge of this bottom trawl net is normally protected by a thick footrope ballasted with heavy rubber discs or bobbins, often called roller gear or tire gear. Flotation devices attached to the headrope hold the net open vertically as it is towed through the water. Bottom trawl nets used for commercial purposes can be up to 100 m wide. This net has a headrope length of 28 m and a footrope length of approximately 39 m (Stauffer, 2004). Please see Figure A-2 of SWFSC's EA for a schematic diagram of the net.

Conductivity, temperature, and depth profilers (CTD)

—A CTD profiler is the primary research tool for determining chemical and physical properties of seawater (see Figure A-12 of SWFSC's EA for a photograph). A shipboard CTD is made up of a set of small probes attached to a large (1-2 m diameter) metal rosette wheel. The rosette is lowered through the water column on a cable, and CTD data are observed in real time via a conducting cable connecting the CTD to a computer on the ship. The rosette also holds a series of sampling bottles that can be triggered to close at different depths in order to collect a suite of water samples that can be used to determine additional properties of the water over the depth of the CTD cast. A standard CTD cast, depending on water depth, requires two to five hours to complete. The data from a suite of samples collected at different depths are often called a depth profile and are plotted with the value of the variable of interest on the x-axis and the water depth on the y-axis. Depth profiles for different variables can be compared in order to glean information about physical, chemical, and biological processes occurring in the water column.

Conductivity is measured as a proxy for salinity, which is expressed in practical salinity units representing the sum of the concentrations of several different ions. Temperature is generally measured using a high-sensitivity thermistor protected inside a thin-walled stainless steel tube. The resistance across the thermistor is measured as the CTD profiler is lowered through the water column to give a continuous profile of the water temperature at all water depths. The depth of the CTD sensor array is continuously monitored using an electronic pressure sensor. Salinity, temperature, and depth data measured by the CTD instrument are essential for characterization of seawater properties.

Expendable bathythermographs (XBT)

—SWFSC also uses Lockheed Martin Sippican's XBT to provide ocean temperature versus depth profiles. A standard XBT system consists of an expendable probe, a data processing/recording system, and a launcher. An electrical connection between the probe and the processor/recorder is made when the canister containing the probe is placed within the launcher and the launcher breech door is closed. Following launch, wire de-reels from the probe as it descends vertically through the water. Simultaneously, wire de-reels from a spool within the probe canister, compensating for any movement of the ship and allowing the probe to freefall from the sea surface unaffected by ship motion or sea state.

The XBT probes consist of a metal weight surrounding a temperature probe, attached to a copper wire that conducts the signal to the vessel. The copper wire is protected within a plastic housing (see Figure A-13 of SWFSC's EA for a photograph). Probes are generally launched from the leeward side of the vessel and as far aft as possible. Launching from these locations helps obtain high reliability and minimizes the chances that the fine copper probe wire will come in contact with the ship's hull which may cause spikes in the data or a catastrophic wire break. A portable shipboard data acquisition system records, processes, and interprets the data the probes collect.

XBT drops occur at predetermined times along with surface chlorophyll sampling. Opportunistic drops may also occur. Typically, three XBT drops are made per survey day. XBT drops may be repeated if the displayed profile does not show a well-defined mixed layer and thermocline. Deep Blue probes are preferred, as they survey to a depth of 760 m and take approximately two minutes per drop. Probes are launched using a hand-held launcher. As the XBT probes are expendable, they are not retrieved and are left on the seafloor after data collection.

Other nets

—SWFSC surveys in all of the research areas utilize various small, fine-mesh, towed nets designed to sample small fish and pelagic

invertebrates. These nets can be broadly categorized as small trawls (which are separated from large trawl nets due to discountable potential for interaction with marine mammals; see “Potential Effects of the Specified Activity on Marine Mammals and Their Habitat”) and plankton nets.

1. The Oozeki net is a frame trawl with a 5 m

mouth area used for quantitative sampling of larval and juvenile pelagic fishes (see Figure A-3 of SWFSC's EA for a photograph). Towing depth of the net is easily controlled by adjusting the warp length, and the net samples a large size range of juvenile fishes and micronekton (Oozeki

et al.,

2004).

2. The Isaacs-Kidd midwater trawl (IKMT) is used to collect deepwater biological specimens larger than those taken by standard plankton nets. The mouth of the net is approximately 1.5 × 1.8 m, and is attached to a wide, V-shaped, rigid diving vane that keeps the mouth of the net open and maintains the net at depth for extended periods. The IKMT is a long, round net approximately 6.5 m long, with a series of hoops decreasing in size from the mouth of the net to the codend, which maintain the shape of the net during towing (Yasook

et al.,

2007). While most trawls must be towed at speeds of 1-2 kn because of the high level of drag exerted by the net in the water, an IKMT can be towed at speeds as high as 5 kn.

3. The Multiple Opening/Closing Net and Environmental Sensing System (MOCNESS) uses a stepping motor to sequentially control the opening and closing of the net. The MOCNESS uses underwater and shipboard electronics to control the device. The electronics system continuously monitors the functioning of the nets, frame angle, horizontal velocity, vertical velocity, volume filtered, and selected environmental parameters, such as salinity and temperature. The MOCNESS is used for specialized zooplankton surveys.

4. The Tucker trawl is a medium-sized single-warp net used to study pelagic fish and zooplankton. The Tucker trawl, similar to the MOCNESS, consists of a series of nets that can be opened and closed sequentially via stepping motor without retrieving the net from the fishing depth. It is designed for deep oblique tows where up to three replicate nets can be sequentially operated by a double release mechanism and is typically equipped with a full suite of instruments, including inside and outside flow meters, CTD, and pitch sensor.

The remainder of nets described here are plankton nets, which usually consist of fine mesh attached to a weighted frame which spreads the mouth of the net to cover a known surface area in order to sample plankton and fish eggs from various parts of the water column.

5. Bongo nets are towed through the water at an oblique angle to sample plankton over a range of depths. The Bongo nets used by SWFSC have openings 71 cm in diameter and employ a 505-μm mesh. The nets are 3 m in length with a 1.5 m cylindrical section coupled to a 1.5 m conical portion that tapers to a detachable codend constructed of 333-μm or 505-μm nylon mesh (see Figure A-6 of SWFSC's EA for a schematic diagram). During each plankton tow, the bongo nets are deployed to a depth of approximately 210 m and are then retrieved at a controlled rate so that the volume of water sampled is uniform across the range of depths. In shallow areas, sampling protocol is adjusted to prevent contact between the bongo nets and the seafloor. A collecting bucket, attached to the codend of the net, is used to contain the plankton sample. When the net is retrieved, the collecting bucket can be detached and easily transported to a laboratory. Some bongo nets can be opened and closed using remote control to enable the collection of samples from particular depth ranges. A group of depth-specific bongo net samples can be used to establish the vertical distribution of zooplankton species in the water column at a site. Bongo nets are generally used to collect zooplankton for research purposes, and are not used for commercial harvest.

6. The Pairovet is a bongo-type device consisting of two nets. The Pairovet frame was designed to facilitate comparison of nets constructed of various materials and to provide replicate observations when using similar nets. The frame is constructed of aluminum with stainless steel fittings. The nets are nylon mesh attached to the frame with adjustable stainless steel strapping.

7. Manta nets are towed horizontally at the surface of the water to sample neuston (organisms living at or near the water surface). The frame of the Manta net is supported at the ocean surface by aquaplanes (wings) that provide lift as the net is towed horizontally through the water (see Figure A-7 of SWFSC's EA for a schematic diagram). To ensure repeatability between samples, the towing speed, angle of the wire, and tow duration must be carefully controlled. The Manta nets used by SWFSC employ 505-μm nylon mesh in the body of the net and 303-μm mesh in the codend. The frame has a mouth area of 0.13 m

Longline

—Longline vessels fish with baited hooks attached to a mainline (or groundline). The length of the longline and the number of hooks depend on the species targeted, the size of the vessel, and the purpose of the fishing activity. Hooks are attached to the mainline by another thinner line called a gangion. The length of the gangion and the distance between gangions depends on the purpose of the fishing activity. Depending on the fishery, longline gear can be deployed on the seafloor (bottom longline), in which case weights are attached to the mainline, or near the surface of the water (pelagic longline), in which case buoys are attached to the mainline to provide flotation and keep the baited hooks suspended in the water. Radar reflectors, radio transmitters, and light sources are often used to help fishers determine the location of the longline gear prior to retrieval.

A commercial pelagic longline can be over 100 km long and have thousands of hooks attached, although longlines used for research surveys are shorter. The pelagic longline gear used for SWFSC research surveys typically use 200-400 hooks attached to a steel or monofilament mainline from 3-19 km long. For SWFSC research the gangions are 3-11 m long and are attached to the mainline at intervals of 15-30 m. There are no internationally recognized standard measurements for hook size, and a given size may be inconsistent between manufacturers. Larger hooks, as are used in longlining, are referenced by increasing whole numbers followed by a slash and a zero as size increases (

e.g.,

1/0 up to 20/0). The numbers represent relative sizes, normally associated with the gap (the distance from the point tip to the shank). Because pelagic longline gear is not anchored to the seafloor, it floats freely in the water and may drift considerable distances between the time of deployment and the time of retrieval. Please see Figure A-4 of SWFSC's EA for a schematic diagram. Bottom longlines used for commercial fishing can be up to several miles long, but those used for SWFSC research use shorter lines with approximately 75 hooks per line.

The time period between deployment and retrieval of the longline gear is the soak time. Soak time is an important parameter for calculating fishing effort. For commercial fisheries the goal is to optimize the soak time in order to maximize catch of the target species while minimizing the bycatch rate and minimizing damage to target species that may result from predation by sharks or other predators.

1. Deep-set buoy gear is a particular type of pelagic longline, targeting swordfish (

Xiphias gladius

), that includes a buoy flotation system (

i.e.,

a strike-indicator float/flag, a large, non-compressible buoy and a float affixed with a radar reflector). A set of gear consists of 500-lb (227-kg) test mainline monofilament rigged with a 1-2 kg drop sinker to orient the mainline and terminal fishing gear vertically in the water column. Other pelagic longline gear typically uses a long monofilament mainline suspended horizontally near the surface of the water. However, deep-set buoy gear uses a vertically-oriented mainline with two monofilament gangions that branch from the mainline at a target depth below the thermocline (250-400 m for SWFSC) and are constructed of 400-lb (181-kg) test monofilament leader containing a crimped 14/0 circle hook (see Figure A-5 of SWFSC's EA for a schematic diagram).

Continuous, Underway Fish Egg Sampler (CUFES)

—The CUFES is used to collect pelagic fish eggs from the water column while the vessel is underway. The CUFES device consists of a water intake approximately 3 m below the surface of the water connected to a high capacity pump capable of pumping approximately 640 L/min through the device. Particles in the bulk water stream are concentrated by an oscillating mesh. Samples are transferred to a collecting device at a rate of approximately 20 L/min, while the bulk water is discharged overboard (see Figure A-8 of SWFSC's EA for a schematic diagram). Samples are collected and preserved on mesh net over sequential sampling intervals. Ancillary data including temperature, salinity, chlorophyll-

fluorescence, time, and location are also collected automatically. The fish eggs within each sequential sample are identified and counted, and the preserved sample is cataloged for future reference.

Remotely operated vehicles (ROV)

—The SWFSC maintains and deploys two ROVs (see Figures A-9 and A-10 of the SWFSC's EA for a photograph and schematic diagram, respectively). The ROVs are used to count fish and shellfish, photograph fish for identification, and provide views of the bottom for habitat-type classification studies via still and video camera images. Precise georeferenced data from ROV platforms also enables SCUBA divers to utilize bottom time more effectively for collection of brood stock and other specimens.

SWFSC operates a Phantom DS4 ROV to collect video and still camera images. The Phantom DS4 platform is driven horizontally by four

1/2

-hp thrusters and vertically by two

1/4

-hp thrusters, and can operate at a maximum depth of 600 m. Standard instrumentation on the ROV includes a directional hydrophone, a CTD, a differential GPS, pitch and roll sensors, still cameras, and video cameras; additional instrumentation can be added to the platform as needed. The ROV platform also includes a reference laser system to facilitate in situ specimen measurements and to determine the distance of the ROV platform from underwater objects.

The SWFSC has also designed and constructed a custom high-definition high-voltage (HDHV) ROV for surveying deepwater environments. The HDHV ROV is powered by six 300-V brushless DC thrusters, which are efficient and quiet to maximize bottom time while minimizing behavioral disturbance to target species. The HDHV ROV platform is equipped with video and still cameras, an illumination system, scanning sonar, CTD, a dissolved oxygen sensor, laser rangefinding and laser caliper systems, and has the capability to process data while underway to facilitate real-time georeferenced collection of oceanographic data.

California Current Ecosystem

—Here we describe all surveys planned by SWFSC in the CCE. Please see Table 1.1 of SWFSC's application for a detailed summary of these surveys.

California Cooperative Oceanic Fisheries Investigations (CalCOFI) Surveys

—CalCOFI is a partnership founded in 1949 between NMFS, the California Department of Fish and Game, and Scripps Institution of Oceanography (SIO) to study the ecological aspects of the sardine population collapse off California. CalCOFI's focus today is more generally the study of the marine environment off the coast of California, the management of its living resources, and monitoring the indicators of El Niño and climate change. CalCOFI conducts quarterly cruises off southern and central California, collecting a suite of hydrographic and biological data on station and underway. The four annual CalCOFI surveys are designed to describe the physical and biological characteristics of the southern portion of the California Current epipelagic habitat and require a total of approximately ninety survey days per year. More detail may be found in SWFSC documents or at

www.calcofi.org.

Winter

—This survey is conducted annually during January and February, extending from San Diego to San Francisco, and is designed to capture early spawning hake (

Merluccius productus

) and some rockfish (Family Scorpaenidae). It is usually conducted on a NOAA ship and protocols include use of multi-frequency active acoustic devices, CUFES, various plankton nets, CTD with an array of vertically profiling instruments and bottles to collect water samples at discrete depths, marine mammal and bird observations, meteorological observations using a wide-range of passive sensors, and small, fine-mesh trawls for sampling mesopelagic organisms at selected stations.

Spring

—This survey is conducted annually in April. It also extends from San Diego to San Francisco but is designed to capture spring spawning fishes (

e.g.,

anchovy [

Engraulis mordax

], sardine [

Sardinops sagax

], jack mackerel [

Trachurus symmetricus

]). It is usually conducted on a NOAA ship and the survey protocols are the same as described for the winter survey.

Summer

—This survey is conducted annually in July in the Southern California Bight solely on a SIO University-National Oceanographic Laboratory System (UNOLS) vessel. Protocols are the same as for the winter and spring surveys.

Fall

—This survey is conducted annually in October in the Southern California Bight, usually on a UNOLS vessel. Protocols are the same as for the other surveys.

Coastal Pelagic Species Surveys

—These surveys, also known as sardine surveys, are conducted annually or biennially in the spring (April-May) or the summer (July-August) and extend from San Diego, CA, to Cape Flattery, WA. The survey is broken into southern and northern portions on two survey vessels (either two NOAA ships or a NOAA ship and a charter vessel), with the southern portion done in conjunction with the spring or summer CalCOFI survey. Midwater trawling for sardines informs the annual assessment of sardine and the corresponding harvest guidelines. The survey requires about seventy survey days per year.

The protocol for the sardine survey includes deployment of the NETS Nordic 264 two-warp rope trawl in the upper 10 m of the water column at night in order to sample adult sardines. The trawl is deployed for thirty-minute tows at the target depth at 3 kn during dark hours when sardines are dispersed and near the surface. Estimates of daily fecundity are derived from the samples and combined with estimates of daily egg production to produce an estimate of spawning stock biomass. Additional protocols for this survey are similar to the CalCOFI surveys described previously.

Juvenile Salmon Survey

—This survey is conducted annually in June and September, extending from central California to southern Oregon, and is designed to complement similar surveys conducted by NMFS' Northwest Fisheries Science Center. The survey measures ocean survival of juvenile salmon (coho [

Oncorhynchus kisutch

] and chinook [

O. tshawytscha

]) and produces early estimates of adult salmon returns. The juvenile salmon survey is usually conducted on a charter vessel and requires about thirty survey days. The protocols for this survey include deployment of the NETS Nordic 264 midwater trawl for thirty-minute tows at the target depth during daylight hours at 15-30 m depth. Depending on vessel capabilities, additional operations may include multi-frequency active acoustic devices, CTD profiles, plankton tows, and single-warp Tucker midwater trawls.

Juvenile Rockfish Survey

—This survey, conducted annually from May to mid-June from southern California to Washington, targets the pelagic phase of juvenile rockfish. Results of the survey inform assessments of several rockfish populations and may be used in assessments of central California salmon productivity. It is either conducted on a NOAA ship or a charter vessel and requires about 45 survey days. The protocols for this survey include underway multi-frequency active acoustic devices, modified-Cobb midwater trawls, various plankton tows, and CTD profiles at fixed stations. The modified-Cobb trawl is deployed for fifteen-minute tows at 2 kn during dark hours at 15-30 m depth.

Pacific Coast Ocean Observing System (PaCOOS) Central California

—This survey is conducted annually in July and October and involves the extension of CalCOFI observation protocols to established CalCOFI transect lines off Monterey Bay and San Francisco during summer and fall surveys when the CalCOFI sampling grid is confined to the Southern California Bight. Surveys are conducted in conjunction with the Monterey Bay Aquarium Research Institute (MBARI); the University of California, Santa Cruz; and the Naval Postgraduate School, and are usually conducted on the Moss Landing Marine Laboratories R/V

Point Sur,

lasting about six survey days. Protocols include the use of various plankton nets, CTD profiles, marine mammal and bird observations, and meteorological observations using a wide-range of passive sensors.

PaCOOS Northern California

—These are monthly plankton and oceanographic surveys of a single line of stations off of Eureka, CA conducted in conjunction with Humboldt State University (HSU) and usually conducted on the HSU R/V

Coral Sea.

The surveys require about twelve survey days per year. Protocols are generally the same as those described for PaCOOS Central California.

Highly Migratory Species (HMS) Survey

—This survey is conducted annually from June through July and extends from southern to central California, targeting blue sharks (

Prionace glauca

), shortfin mako sharks (

Isurus oxyrinchus

) and swordfish as well as other HMS as a basis for stock assessments and support for HMS Fishery Management Plans. Sharks are caught, measured, tagged, and released. The survey, which requires about thirty survey days, has historically been conducted on a NOAA ship but in recent years has been conducted on a charter vessel. Primary research methodology involves a pelagic longline deployed at fixed stations with two to four hour soak times. Length of the mainline is 3.2-6.4 km with 200-400 hooks spaced 15-30 m apart, 5.5-m gangions, and 9/0 J-type hooks. When targeting swordfish, the mainline may be up to 19 km in length with 11-m gangions and 16/0 circle-type hooks and soak times may last up to eight hours. Typical bait used is whole mackerel or market squid. Depending on vessel capabilities, additional protocols may include multi-frequency active acoustic devices, CTD profiles, and plankton tows.

Thresher Shark Survey

—This survey is conducted annually in September, targeting common thresher shark (

Alopias vulpinus

) pupping areas from the Southern California Bight up to central California. Results of this survey are used to support stock assessment and management of thresher sharks, which are subject to commercial and recreational fisheries. Sharks are caught, measured, sampled, tagged, and released. The survey is usually conducted on a charter vessel and requires about twenty survey days. Primary research methodology involves deployment of an anchored pelagic longline at fixed stations with two to four hour soak times. Length of the mainline is 3.2-6.4 km with 200-400 hooks spaced 15-30 m apart, 5.5-m gangions and 16/0 circle-type hooks. Typical bait used is whole mackerel or market squid. Depending on vessel capabilities, additional protocols may include the use of multi-frequency active acoustic devices, CTD profiles, and plankton tows.

Survey to Research Reproductive Life History Analysis of Sablefish

—This survey to research reproductive life history analysis of sablefish (

Anoplopoma fimbria

) is conducted monthly each year near Bodega Bay off the central California coast. The primary objective of the survey is to collect adult sablefish for reproductive studies using small-scale bottom longline gear. The gear uses 75 hooks per line that are baited with squid and set at or near the bottom, usually at depths between 360-450 m. Two to three sets are made per trip over the course of thirty days per year.

10.

Swordfish Tagging Deep-Set Buoy Survey

—The swordfish tagging deep-set buoy survey is conducted annually from June through November in the Southern California Bight. The survey's main objective is to investigate the use of this gear to capture swordfish while minimizing bycatch of non-target species. Approximately 300-600 sets are made annually.

11.

Marine Mammal Ecosystem Surveys

—These large-scale surveys are conducted annually from August to December, and require substantial blocks of continuous time on two NOAA ships (about 60-120 survey days). Results inform status assessments of marine mammal populations. Surveys rotate among geographic areas and do not occur in all specified geographical regions in every year. In the CCE and other offshore waters of the northern Pacific, these projects include the Oregon, California and Washington Line-transect and Ecosystem survey (ORCAWALE) and the Structure of Populations, Levels of Abundance, and Status of Humpbacks survey (SPLASH; located outside the CCE in the northern Pacific).

Primary effort of these surveys includes line transect surveys of marine mammals and seabirds. Observations are made of schools or aggregations of marine mammals and, for a subset of observations, survey effort is suspended and aggregations are approached for estimation of aggregation size and species composition. This work constitutes research directed at marine mammals, meaning that any take of marine mammals resulting from the survey effort would not be considered incidental. Separate scientific research permits are obtained from NMFS under the MMPA for this component of these surveys; this directed research is therefore not considered further in this document.

However, additional scientific effort during marine mammal ecosystem surveys (

e.g.,

environmental observation) is not directed at marine mammals and take of marine mammals resulting from that effort would be

considered incidental take. Therefore, these additional components of marine mammal ecosystem surveys are considered in this document. Additional research protocols include use of multi-frequency active acoustic devices, single-warp IKMT with 1-mm mesh net for sampling macro-zooplankton, 3-m

dip net with 2-mm mesh for sampling flying fish (Family Exocoetidae), CTD profiles, XBTs, and meteorological observations using a wide-range of passive sensors.

12.

White Abalone Survey

—This survey utilizes still and video camera observations via ROV to monitor population recovery in deep-water habitat for the endangered white abalone (

Haliotis sorenseni

). It is usually conducted on a charter vessel for about 25 survey days. The surveys are confined to offshore banks and island margins, 30-150 m depth, in the Southern California Bight. Since 2002, over 1,000 ROV transects have been conducted along the entire U.S. west coast. The average and maximum speed of the ROV was 0.5 and 2.4 kn, respectively. The tether that connects the ROV to the ship is 19-mm diameter and is securely attached to a stainless steel cable and down-weight to minimize slack in the tether and to prevent any loops.

13.

Collaborative Optical Acoustical Survey Technology (COAST) Survey

—These are surveys of offshore banks conducted in collaboration with the charter boat fishing industry to monitor the recovery of rockfish. The COAST surveys are usually conducted on a NOAA ship augmented by a charter vessel and require about forty survey days. Protocols include the use of multi-frequency active acoustic devices and still and video camera observations using an ROV.

14.

Habitat Surveys

—The focus of these surveys includes adult rockfish Essential Fish Habitat (MSA; see 16 U.S.C. 1802 sec. 3(10)) and habitat use of a variety of other species. They are usually conducted on a NOAA ship for about fifty survey days. The protocols may include use of the Nordic 264 midwater trawl, pelagic longlines, plankton and other small mesoplankton trawls, CTD profiles, and visual observations from ships and submersibles.

15.

Small Boats

—Numerous field operations use small boats (

e.g.,

for attaching tags to fish). These operations require a total of about 75 survey days per year.

Eastern Tropical Pacific

—Here we describe all surveys planned by SWFSC in the ETP. Please see Table 1.1 of SWFSC's application for a detailed summary of these surveys.

Marine Mammal Ecosystem Surveys

—These surveys, conducted annually during August to December and requiring 60-120 annual survey days, follow the description provided under CCE. Surveys rotate among geographic areas and do not occur in all specified geographical regions in every year. In the ETP and other tropical Pacific waters, these projects include the

Stenella

Abundance Research survey (STAR) and the Hawaiian Islands Cetacean and Ecosystem Assessment Survey (HICEAS). The STAR surveys are designed to monitor the recovery of several dolphin stocks (

i.e., Stenella

spp.) that were depleted by the yellowfin tuna (

Thunnus albacares

) purse-seine fishery in the ETP.

HMS Surveys

—To date, these surveys have not been conducted in the ETP; however, the SWFSC believes they will likely occur during the five-year period of validity of this proposed rule. They may be conducted up to thirty days annually during June-July. Protocols follow those described for HMS surveys in CCE.

Antarctic Marine Living Resources Ecosystem

—Here we describe all surveys planned by SWFSC in the AMLR. Please see Table 1.1 of SWFSC's application for a detailed summary of these surveys. Surveys occurring in AMLR during austral winter (

i.e.,

June-August) may encounter pinnipeds hauled out on ice. We anticipate that the presence of vessels engaged in SWFSC survey activities may result in behavioral disturbance of these animals. These reactions could result from airborne sound or from visual disturbance alone. It should be noted that these activities do not entail intentional approaches to pinnipeds on ice (

i.e.,

any incidents of behavioral disturbance would constitute incidental take). Behavioral disturbance of this nature is expected only in the AMLR.

Antarctic Survey

—These surveys are conducted annually during January through March or in August, are usually conducted on a charter vessel, and require about seventy survey days annually. Shipboard surveys are designed to map the distribution of Antarctic krill relative to the distributions of krill predators (

e.g.,

penguins, pinnipeds, and flying birds) as well as to estimate krill biomass within the survey area. The physical and biological environment is also characterized. Every two to three years a bottom trawl is used to assess benthic invertebrates and fish on the continental shelf. Gear used is a towed camera array and the two-warp NET Systems Hard Bottom Snapper Trawl. Additional protocols include the use of a single-warp IKMT, multi-frequency active acoustic devices, CTD profiles, marine mammal and bird observations, and meteorological observations using a wide-range of passive sensors. SWFSC is also currently investigating use of a single-warp Tucker trawl on these surveys.

Description of Active Acoustic Sound Sources

—This section contains a brief technical background on sound, the characteristics of certain sound types, and on metrics used in this proposal inasmuch as the information is relevant to SWFSC's specified activity and to a discussion of the potential effects of the specified activity on marine mammals found later in this document. We also describe the active acoustic devices used by SWFSC.

Sound travels in waves, the basic components of which are frequency, wavelength, velocity, and amplitude. Frequency is the number of pressure waves that pass by a reference point per unit of time and is measured in hertz (Hz) or cycles per second. Wavelength is the distance between two peaks or corresponding points of a sound wave (length of one cycle). Higher frequency sounds have shorter wavelengths than lower frequency sounds, and typically attenuate (decrease) more rapidly, except in certain cases in shallower water. Amplitude is the height of the sound pressure wave or the “loudness” of a sound and is typically described using the relative unit of the decibel (dB). A sound pressure level (SPL) in dB is described as the ratio between a measured pressure and a reference pressure (for underwater sound, this is 1 microPascal [μPa]), and is a logarithmic unit that accounts for large variations in amplitude; therefore, a relatively small change in dB corresponds to large changes in sound pressure. The source level (SL) represents the SPL referenced at a distance of 1 m from the source (referenced to 1 μPa), while the received level is the SPL at the listener's position (referenced to 1 μPa).

Root mean square (rms) is the quadratic mean sound pressure over the duration of an impulse. Rms is calculated by squaring all of the sound amplitudes, averaging the squares, and then taking the square root of the average (Urick, 1983). Rms accounts for both positive and negative values; squaring the pressures makes all values positive so that they may be accounted for in the summation of pressure levels (Hastings and Popper, 2005). This measurement is often used in the context of discussing behavioral effects,

in part because behavioral effects, which often result from auditory cues, may be better expressed through averaged units than by peak pressures.

Sound exposure level (SEL; represented as dB re 1 μPa

-s) represents the total energy contained within a pulse, and considers both intensity and duration of exposure. For a single pulse, the numerical value of the SEL measurement is usually 5-15 dB lower than the rms sound pressure in dB re 1 μPa, with the comparative difference between measurements of rms and SEL measurements often tending to decrease with increasing range (Greene, 1997; McCauley

et al.,

1998). Peak sound pressure is the maximum instantaneous sound pressure measurable in the water at a specified distance from the source, and is represented in the same units as the rms sound pressure. Another common metric is peak-to-peak sound pressure (p-p), which is the algebraic difference between the peak positive and peak negative sound pressures. Peak-to-peak pressure is typically approximately 6 dB higher than peak pressure (Southall

et al.,

2007).

When underwater objects vibrate or activity occurs, sound-pressure waves are created. These waves alternately compress and decompress the water as the sound wave travels. Underwater sound waves radiate in a manner similar to ripples on the surface of a pond and may be either directed in a beam or beams (as for the sources considered here) or may radiate in all directions (omnidirectional sources). The compressions and decompressions associated with sound waves are detected as changes in pressure by aquatic life and man-made sound receptors such as hydrophones.

Even in the absence of sound from the specified activity, the underwater environment is typically loud due to ambient sound. Ambient sound is defined as environmental background sound levels lacking a single source or point (Richardson

et al.,

1995), and the sound level of a region is defined by the total acoustical energy being generated by known and unknown sources. These sources may include physical (

e.g.,

waves, earthquakes, ice, atmospheric sound), biological (

e.g.,

sounds produced by marine mammals, fish, and invertebrates), and anthropogenic (

e.g.,

vessels, dredging, construction) sound. A number of sources contribute to ambient sound, including the following (Richardson

et al.,

1995):

• Wind and waves: The complex interactions between wind and water surface, including processes such as breaking waves and wave-induced bubble oscillations and cavitation, are a main source of naturally occurring ambient sound for frequencies between 200 Hz and 50 kHz (Mitson, 1995). In general, ambient sound levels tend to increase with increasing wind speed and wave height. Surf sound becomes important near shore, with measurements collected at a distance of 8.5 km from shore showing an increase of 10 dB in the 100 to 700 Hz band during heavy surf conditions.

• Precipitation: Sound from rain and hail impacting the water surface can become an important component of total sound at frequencies above 500 Hz, and possibly down to 100 Hz during quiet times.

• Biological: Marine mammals can contribute significantly to ambient sound levels, as can some fish and shrimp. The frequency band for biological contributions is from approximately 12 Hz to over 100 kHz.

• Anthropogenic: Sources of ambient sound related to human activity include transportation (surface vessels), dredging and construction, oil and gas drilling and production, seismic surveys, sonar, explosions, and ocean acoustic studies. Vessel noise typically dominates the total ambient sound for frequencies between 20 and 300 Hz. In general, the frequencies of anthropogenic sounds are below 1 kHz and, if higher frequency sound levels are created, they attenuate rapidly. Sound from identifiable anthropogenic sources other than the activity of interest (

e.g.,

a passing vessel) is sometimes termed background sound, as opposed to ambient sound.

The sum of the various natural and anthropogenic sound sources at any given location and time—which comprise “ambient” or “background” sound—depends not only on the source levels (as determined by current weather conditions and levels of biological and human activity) but also on the ability of sound to propagate through the environment. In turn, sound propagation is dependent on the spatially and temporally varying properties of the water column and sea floor, and is frequency-dependent. As a result of the dependence on a large number of varying factors, ambient sound levels can be expected to vary widely over both coarse and fine spatial and temporal scales. Sound levels at a given frequency and location can vary by 10-20 dB from day to day (Richardson

et al.,

1995). The result is that, depending on the source type and its intensity, sound from the specified activity may be a negligible addition to the local environment or could form a distinctive signal that may affect marine mammals. Details of source types are described in the following text.

Sounds are often considered to fall into one of two general types: Pulsed and non-pulsed (defined in the following). The distinction between these two sound types is important because they have differing potential to cause physical effects, particularly with regard to hearing (

e.g.,

Ward, 1997 in Southall

et al.,

2007). Please see Southall

et al.

(2007) for an in-depth discussion of these concepts.

Pulsed sound sources (

e.g.,

explosions, gunshots, sonic booms, impact pile driving) produce signals that are brief (typically considered to be less than one second), broadband, atonal transients (ANSI, 1986, 2005; Harris, 1998; NIOSH, 1998; ISO, 2003) and occur either as isolated events or repeated in some succession. Pulsed sounds are all characterized by a relatively rapid rise from ambient pressure to a maximal pressure value followed by a rapid decay period that may include a period of diminishing, oscillating maximal and minimal pressures, and generally have an increased capacity to induce physical injury as compared with sounds that lack these features.

Non-pulsed sounds can be tonal, narrowband, or broadband, brief or prolonged, and may be either continuous or non-continuous (ANSI, 1995; NIOSH, 1998). Some of these non-pulsed sounds can be transient signals of short duration but without the essential properties of pulses (

e.g.,

rapid rise time). Examples of non-pulsed sounds include those produced by vessels, aircraft, machinery operations such as drilling or dredging, vibratory pile driving, and active sonar systems (such as those used by the U.S. Navy). The duration of such sounds, as received at a distance, can be greatly extended in a highly reverberant environment.

We use generic sound exposure thresholds (see Table 1) to determine when an activity that produces sound might result in impacts to a marine mammal such that a take by harassment might occur. These thresholds should be considered guidelines for estimating when harassment may occur (

i.e.,

when an animal is exposed to levels equal to or exceeding the relevant criterion) in specific contexts; however, useful contextual information that may inform our assessment of effects is typically lacking and we consider these thresholds as step functions. NMFS is currently revising these acoustic guidelines; for more information on that process, please visit

www.nmfs.noaa.gov/pr/acoustics/

guidelines.htm.

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

Table 1—Current Acoustic Exposure Criteria

Criterion

Definition

Threshold

Level A harassment (underwater)

Injury (PTS—any level above that which is known to cause TTS)

180 dB (cetaceans)/190 dB (pinnipeds) (rms)

Level B harassment (underwater)

Behavioral disruption

160 dB (impulsive source)/120 dB (continuous source) (rms)

A wide range of active acoustic devices are used in SWFSC fisheries surveys for remotely sensing bathymetric, oceanographic, and biological features of the environment. Most of these sources involve relatively high frequency, directional, and brief repeated signals tuned to provide sufficient focus and resolution on specific objects. SWFSC also uses passive listening sensors (

i.e.,

remotely and passively detecting sound rather than producing it), which do not have the potential to impact marine mammals. SWFSC active acoustic sources include various echosounders (

e.g.,

multibeam systems), scientific sonar systems, positional sonars (

e.g.,

net sounders for determining trawl position), and environmental sensors (

e.g.,

current profilers).

Mid- and high-frequency underwater acoustic sources typically used for scientific purposes operate by creating an oscillatory overpressure through rapid vibration of a surface, using either electromagnetic forces or the piezoelectric effect of some materials. A vibratory source based on the piezoelectric effect is commonly referred to as a transducer. Transducers are usually designed to excite an acoustic wave of a specific frequency, often in a highly directive beam, with the directional capability increasing with operating frequency. The main parameter characterizing directivity is the beam width, defined as the angle subtended by diametrically opposite “half power” (−3 dB) points of the main lobe. For different transducers at a single operating frequency the beam width can vary from 180° (almost omnidirectional) to only a few degrees. Transducers are usually produced with either circular or rectangular active surfaces. For circular transducers, the beam width in the horizontal plane (assuming a downward pointing main beam) is equal in all directions, whereas rectangular transducers produce more complex beam patterns with variable beam width in the horizontal plane. Please see Zykov and Carr (2014) for further discussion of electromechanical sound sources.

The types of active sources employed in fisheries acoustic research and monitoring may be considered in two broad categories here, based largely on their respective operating frequency (

e.g.,

within or outside the known audible range of marine species) and other output characteristics (

e.g.,

signal duration, directivity). As described below, these operating characteristics result in differing potential for acoustic impacts on marine mammals.

Category 1 active fisheries acoustic sources include those with high output frequencies (>180 kHz) that are outside the known functional hearing capability of any marine mammal. Sounds that are above the functional hearing range of marine animals may be audible if sufficiently loud (

e.g.,

Møhl, 1968). However, the relative output levels of these sources mean that they would potentially be detectable to marine mammals at maximum distances of only a few meters, and are highly unlikely to be of sufficient intensity to result in behavioral harassment. These sources also generally have short duration signals and highly directional beam patterns, meaning that any individual marine mammal would be unlikely to even receive a signal that would almost certainly be inaudible. Therefore, Category 1 sources are not expected to have any effect on marine mammals and are not considered further in this document.

Category 2 acoustic sources, which are present on most SWFSC fishery research vessels, include a variety of single, dual, and multi-beam echosounders (many with a variety of modes), sources used to determine the orientation of trawl nets, and several current profilers with lower output frequencies than Category 1 sources. Category 2 active acoustic sources have moderate to high output frequencies (10 to 180 kHz) that are generally within the functional hearing range of marine mammals and therefore have the potential to cause behavioral harassment. However, while likely potentially audible to certain species, these sources have generally short ping durations and are typically focused (highly directional) to serve their intended purpose of mapping specific objects, depths, or environmental features. These characteristics reduce the likelihood of an animal receiving or perceiving the signal. A number of these sources, particularly those with relatively lower output frequencies coupled with higher output levels can be operated in different output modes (

e.g.,

energy can be distributed among multiple output beams) that may lessen the likelihood of perception by and potential impact on marine mammals.

We now describe specific acoustic sources used by SWFSC. The acoustic system used during a particular survey is optimized for surveying under specific environmental conditions (

e.g.,

depth and bottom type). Lower frequencies of sound travel further in the water (

i.e.,

good range) but provide lower resolution (

i.e.,

are less precise). Pulse width and power may also be adjusted in the field to accommodate a variety of environmental conditions. Signals with a relatively long pulse width travel further and are received more clearly by the transducer (

i.e.,

good signal-to-noise ratio) but have a lower range resolution. Shorter pulses provide higher range resolution and can detect smaller and more closely spaced objects in the water. Similarly, higher power settings may decrease the utility of collected data. Power level is also adjusted according to bottom type, as some bottom types have a stronger return and require less power to produce data of sufficient quality. Power is typically set to the lowest level possible in order to receive a clear return with the best data. Survey vessels may be equipped with multiple acoustic systems; each system has different advantages that may be utilized depending on the specific survey area or purpose. In addition, many systems may be operated at one of two frequencies or at a range of frequencies. Characteristics of these sources are summarized in Table 2.

(1)

Multi-Frequency Narrow Beam Scientific Echosounders

—Echosounders and sonars work by transmitting acoustic pulses into the water that travel through the water column, reflect off the seafloor, and return to the receiver. Water depth is measured by multiplying the time elapsed by the speed of sound in water (assuming accurate sound speed measurement for the entire signal path), while the returning signal itself carries information allowing “visualization” of the seafloor. Multi-frequency split-beam sensors are deployed from SWFSC survey vessels to acoustically map the distributions and estimate the abundances and biomasses of many types of fish; characterize their biotic and abiotic environments; investigate ecological linkages; and gather information about their schooling behavior, migration patterns, and avoidance reactions to the survey vessel. The use of multiple frequencies allows coverage of a broad range of marine acoustic survey activity, ranging from studies of small plankton to large fish schools in a variety of environments from shallow coastal waters to deep ocean basins. Simultaneous use of several discrete echosounder frequencies facilitates accurate estimates of the size of individual fish, and can also be used for species identification based on differences in frequency-dependent acoustic backscattering between species. The SWFSC operates Simrad EK500 and EK60 systems, which transmit and receive at six frequencies ranging from 18-333 kHz.

(2)

Multibeam Echosounder and Sonar

—Multibeam echosounders and sonars operate similarly to the devices described above. However, the use of multiple acoustic “beams” allows coverage of a greater area compared to single beam sonar. The sensor arrays for multibeam echosounders and sonars are usually mounted on the keel of the vessel and have the ability to look horizontally in the water column as well as straight down. Multibeam echosounders and sonars are used for mapping seafloor bathymetry, estimating fish biomass, characterizing fish schools, and studying fish behavior. The SWFSC operates the Simrad ME70 and MS70 systems, which are mounted to the hull of the research vessels and emit frequencies in the 70-120 kHz range.

(3)

Single-Frequency Omnidirectional Sonar

—Low-frequency, high-resolution, long range fishery sonars operate with user selectable frequencies between 20-30 kHz, which provide longer range and prevent interference from other vessels. These sources provide omnidirectional imaging around the source with three different vertical beamwidths available (single or dual vertical view and 180° tiltable). At the 30-kHz operating frequency, the vertical beamwidth is less than 7° and can be electronically tilted from +10 to −80°, which results in differential transmitting beam patterns. The cylindrical multi-element transducer allows the omnidirectional sonar beam to be electronically tilted down to −60°, allowing automatic tracking of schools of fish within the entire water volume around the vessel. SWFSC operates the Simrad SX90 system.

(4)

Acoustic Doppler Current Profiler (ADCP)

—An ADCP is a type of sonar used for measuring water current velocities simultaneously at a range of depths. Whereas current depth profile measurements in the past required the use of long strings of current meters, the ADCP enables measurements of current velocities across an entire water column. The ADCP measures water currents with sound, using the Doppler effect. A sound wave has a higher frequency when it moves towards the sensor (blue shift) than when it moves away (red shift). The ADCP works by transmitting “pings” of sound at a constant frequency into the water. As the sound waves travel, they ricochet off particles suspended in the moving water, and reflect back to the instrument. Due to the Doppler effect, sound waves bounced back from a particle moving away from the profiler have a slightly lowered frequency when they return. Particles moving toward the instrument send back higher frequency waves. The difference in frequency between the waves the profiler sends out and the waves it receives is called the Doppler shift. The instrument uses this shift to calculate how fast the particle and the water around it are moving. Sound waves that hit particles far from the profiler take longer to come back than waves that strike close by. By measuring the time it takes for the waves to return to the sensor, and the Doppler shift, the profiler can measure current speed at many different depths with each series of pings.

An ADCP anchored to the seafloor can measure current speed not just at the bottom, but at equal intervals to the surface. An ADCP instrument may be anchored to the seafloor or can be mounted to a mooring or to the bottom of a boat. ADCPs that are moored need an anchor to keep them on the bottom, batteries, and a data logger. Vessel-mounted instruments need a vessel with power, a shipboard computer to receive the data, and a GPS navigation system so the ship's movements can be subtracted from the current velocity data. ADCPs operate at frequencies between 75 and 300 kHz.

(5)

Net Monitoring Systems

—During trawling operations, a range of sensors may be used to assist with controlling and monitoring gear. Net sounders give information about the concentration of fish around the opening to the trawl, as well as the clearances around the opening and the bottom of the trawl; catch sensors give information about the rate at which the codend is filling; symmetry sensors give information about the optimal geometry of the trawls; and tension sensors give information about how much tension is in the warps and sweeps. SWFSC uses the Simrad ITI Catch Monitoring System, which allows monitoring of the exact position of the gear and of what is happening in and around the trawl, and the Simrad FS70 Third Wire Net Sonde, which allows monitoring of the trawl opening.

Table 2—Operating Characteristics of SWFSC Active Acoustic Sources

Active acoustic system

Operating frequencies

Maximum source level

Single ping duration (ms) and repetition rate (Hz)

Orientation/directionality

Nominal beamwidth

Simrad EK500 and EK60 narrow beam echosounders

18,

38, 70,

120, 200,

333 kHz; primary frequencies italicized

224 dB

Variable; most common settings are 1 ms and 0.5 Hz

Downward looking

7°.

Simrad ME70 multibeam echosounder

70-120 kHz

205 dB

0.06-5 ms; 1-4 Hz

Primarily downward looking

130°.

Simrad MS70 multibeam sonar

75-112 kHz

206 dB

2-10 ms; 1-2 Hz

Primarily side-looking

60°.

Simrad SX90 narrow beam sonar

20-30 kHz

219 dB

Variable

Omnidirectional

4-5° (variable for tilt angles from 0-45° from horizontal).

Teledyne RD Instruments ADCP, Ocean Surveyor

75 kHz

224 dB

0.2 Hz

Downward looking

30°.

Simrad ITI Catch Monitoring System

27-33 kHz

214 dB

0.05-0.5 Hz

Downward looking

40°.

Simrad FS70 Third Wire Net Sonde

120 kHz

Unknown, maximum transmit power is 1 kW

Variable

Downward looking

40°.

Proposed Mitigation

In order to issue an incidental take authorization under section 101(a)(5)(A) of the MMPA, NMFS must set forth the permissible methods of taking pursuant to such activity, “and other means of effecting the least practicable adverse impact on such species or stock and its habitat, paying particular attention to rookeries, mating grounds, and areas of similar significance, and on the availability of such species or stock for subsistence uses.” Note that taxonomic information for certain species mentioned in this section is provided in the following section (“Description of Marine Mammals in the Area of the Specified Activity”).

Since 2008, the SWFSC has invested significant time and effort in identifying technologies, practices, and equipment to minimize the impact of the proposed activities on marine mammal species and stocks and their habitat. These efforts have resulted in the consideration of many potential mitigation measures, including those the SWFSC has determined to be feasible and has implemented since 2009 as a standard part of sampling protocols. These measures include the “move-on rule,” protected species visual watches and use of acoustic pingers on trawl gear, as well as use of a marine mammal excluder device (MMED) in Nordic 264 midwater trawls.

Development of Mitigation Measures

In survey year 2008 in the CCE, there were dramatically more incidental takes of marine mammals in research gear, in terms of both interactions and animals captured, than in any other year (historical incidents are detailed below in “Estimated Take by Incidental Harassment, Serious Injury, or Mortality”). The SWFSC had previously conducted over a thousand midwater trawl survey tows over more than 25 years, with very few incidents of marine mammal interactions (Hewitt, 2009), but the number of incidental takes in 2008 exceeded the aggregate total over all preceding years. Following the first SWFSC survey cruise in April 2008, during which a number of marine mammals were captured in trawl gear, the SWFSC convened a workshop involving SWFSC staff with expertise in survey design and operations and marine mammal bycatch mitigation (Hewitt, 2009). Participants worked to determine appropriate mitigation measures and to consider changes to sampling protocols in an effort to reduce marine mammal interactions, and the SWFSC subsequently implemented an expanded mitigation protocol. The SWFSC also allocated resources towards the design, construction, and testing of a MMED that could be incorporated into the Nordic 264 trawl net.

During the 2008 meeting, survey results were reviewed, including all known circumstances associated with instances of marine mammal bycatch (

e.g.,

time of day, distance offshore, forage fish catch, sea conditions), but no obvious association with any factor was noted. Consensus recommendations from this expert working group included altering the survey protocol to approach the sample station at full speed and conduct trawl operations as soon as possible, in order to avoid attracting marine mammals to the survey activity, and to deploy acoustic deterrent devices (pingers) on the trawl nets. In 2009, the MMED was tested and use of the device added to standard survey protocol for the Nordic 264 net (Dotson

et al.,

2010). It is unclear to what extent mitigation measures have played a role, but incidental marine mammal interactions have not approached 2008 levels in the years since implementation of expanded mitigation protocols (see Tables 10 and 11).

General Measures

Coordination and communication

—When SWFSC survey effort is conducted aboard NOAA-owned vessels, there are both vessel officers and crew and a scientific party. Vessel officers and crew are not composed of SWFSC staff, but are employees of NOAA's Office of Marine and Aviation Operations (OMAO), which is responsible for the management and operation of NOAA fleet ships and aircraft and is composed of uniformed officers of the NOAA Commissioned Corps as well as civilians. The ship's officers and crew provide mission support and assistance to embarked scientists, and the vessel's Commanding Officer (CO) has ultimate responsibility for vessel and passenger safety and, therefore, decision authority. When SWFSC survey effort is conducted aboard cooperative platforms (

i.e.,

non-NOAA vessels), ultimate responsibility and decision authority again rests with non-SWFSC personnel (

i.e.,

vessel's master or captain). Decision authority includes the implementation of mitigation measures (

e.g.,

whether to stop deployment of trawl gear upon observation of marine mammals). The scientific party involved in any SWFSC survey effort is composed, in part or whole, of SWFSC staff and is led by a Chief Scientist (CS). Therefore, because the SWFSC—not OMAO or any other entity that may have authority over survey platforms used by SWFSC—is the applicant to whom any incidental take authorization issued under the authority of these proposed regulations would be issued, we require that the SWFSC take all necessary measures to coordinate and communicate in advance of each specific survey with OMAO, or other relevant parties, to ensure that all mitigation measures and monitoring requirements described herein, as well as the specific manner of implementation and relevant event-

contingent decision-making processes, are clearly understood and agreed-upon. This may involve description of all required measures when submitting cruise instructions to OMAO or when completing contracts with external entities. SWFSC will coordinate and conduct briefings at the outset of each survey and as necessary between ship's crew (CO/master or designee(s), as appropriate) and scientific party in order to explain responsibilities, communication procedures, marine mammal monitoring protocol, and operational procedures. The CS will be responsible for coordination with the Officer on Deck (OOD; or equivalent on non-NOAA platforms) to ensure that requirements, procedures, and decision-making processes are understood and properly implemented.

Vessel speed

—Vessel speed during active sampling rarely exceeds 5 kn, with typical speeds being 2-4 kn. Transit speeds vary from 6-14 kn but average 10 kn. These low vessel speeds minimize the potential for ship strike (see “Potential Effects of the Specified Activity on Marine Mammals and Their Habitat” for an in-depth discussion of ship strike). At any time during a survey or in transit, if a crew member standing watch or dedicated marine mammal observer sights marine mammals that may intersect with the vessel course that individual will immediately communicate the presence of marine mammals to the bridge for appropriate course alteration or speed reduction, as possible, to avoid incidental collisions.

Other gears

—The SWFSC deploys a wide variety of gear to sample the marine environment during all of their research cruises. Many of these types of gear (

e.g.,

plankton nets, video camera and ROV deployments) are not considered to pose any risk to marine mammals and are therefore not subject to specific mitigation measures. In addition, specific aspects of gear design, survey protocols (

e.g.,

number of hooks), and frequency of use indicate that certain types of gears that may otherwise be expected to have the potential to result in take of marine mammals (

e.g.,

bottom longline used in sablefish life history surveys) do not pose significant risk to marine mammals and are not subject to specific mitigation measures. However, at all times when the SWFSC is conducting survey operations at sea, the OOD and/or CS and crew will monitor for any unusual circumstances that may arise at a sampling site and use best professional judgment to avoid any potential risks to marine mammals during use of all research equipment.

Handling procedures

—The SWFSC will implement a number of handling protocols to minimize potential harm to marine mammals that are incidentally taken during the course of fisheries research activities. In general, protocols have already been prepared for use on commercial fishing vessels. Because incidental take of marine mammals in fishing gear is similar for commercial fisheries and research surveys, SWFSC proposes to adopt these protocols, which are expected to increase post-release survival. In general, following a “common sense” approach to handling captured or entangled marine mammals will present the best chance of minimizing injury to the animal and of decreasing risks to scientists and vessel crew. Handling or disentangling marine mammals carries inherent safety risks, and using best professional judgment and ensuring human safety is paramount.

SWFSC staff will be provided with a guide to “Identification, Handling and Release of Protected Species” (see Appendix B.1 of the SWFSC's application) for more specific guidance on protected species handling and will be required to follow the protocols described therein. SWFSC staff will be instructed on how to identify different species; handle and bring marine mammals aboard a vessel; assess the level of consciousness; remove fishing gear; and return marine mammals to water.

Trawl Survey Visual Monitoring and Operational Protocols

The mitigation requirements described here are applicable to all midwater trawl operations conducted by the SWFSC (currently conducted using the Nordic 264 and modified-Cobb nets). Marine mammal watches (visual observation) will be initiated no less than thirty minutes prior to arrival on station to determine if marine mammals are in the vicinity of the planned sample location. Marine mammal watches will be conducted by scanning the surrounding waters with the naked eye and rangefinding binoculars (or monocular). During nighttime operations, visual observation will be conducted using the naked eye and available vessel lighting. The visual observation period typically occurs during transit leading up to arrival at the sampling station, rather than upon arrival on station. However, in some cases it may be necessary to conduct a bongo plankton tow or other small net cast prior to deploying trawl gear. In these cases, the visual watch will continue until trawl gear is ready to be deployed. Aside from this required thirty-minute minimum pre-trawl monitoring period, the OOD/CS and crew standing watch will visually scan for marine mammals during all daytime operations.

The primary purpose of conducting the pre-trawl visual monitoring period is to implement the “move-on rule.” If marine mammals are sighted within 1 nm of the planned set location in the thirty minutes before setting the trawl gear, the vessel will transit to a different section of the sampling area to maintain a minimum set distance of 1 nm from the observed marine mammals. If, after moving on, marine mammals remain within the 1 nm exclusion zone, the CS or watch leader may decide to move again or to skip the station. However, the effectiveness of visual monitoring may be limited depending on weather and lighting conditions, and it may not always be possible to conduct visual observations out to 1 nm radial distance. The OOD, CS or watch leader will determine the best strategy to avoid potential takes of marine mammals based on the species encountered and their numbers and behavior, position, and vector relative to the vessel, as well as any other factors. For example, a whale transiting through the sampling area in the distance may only require a short move from the designated station, whereas a pod of dolphins in close proximity to the vessel may require a longer move from the station or possibly cancellation of the planned tow if the group follows the vessel. In any case, no trawl gear will be deployed if marine mammals have been sighted within 1 nm of the planned set location during the thirty-minute watch period.

In general, trawl operations will be conducted immediately upon arrival on station (and on conclusion of the thirty-minute pre-watch period) in order to minimize the time during which marine mammals (particularly pinnipeds) may become attracted to the vessel. However, in some cases it will be necessary to conduct small net tows (

e.g.,

bongo net) prior to deploying trawl gear in order to avoid trawling through extremely high densities of gelatinous zooplankton that can damage trawl gear.

Once the trawl net is in the water, the OOD, CS, and/or crew standing watch will continue to visually monitor the surrounding waters and will maintain a lookout for marine mammal presence as far away as environmental conditions allow. If marine mammals are sighted before the gear is fully retrieved, the most appropriate response to avoid marine mammal interaction will be determined by the professional judgment of the CS, watch leader, OOD and other experienced crew as

necessary. This judgment will be based on past experience operating trawl gears around marine mammals (

i.e.,

best professional judgment) and on SWFSC training sessions that will facilitate dissemination of expertise operating in these situations (

e.g.,

factors that contribute to marine mammal gear interactions and those that aid in successfully avoiding such events). Best professional judgment takes into consideration the species, numbers, and behavior of the animals, the status of the trawl net operation (

e.g.,

net opening, depth, and distance from the stern), the time it would take to retrieve the net, and safety considerations for changing speed or course. We recognize that it is not possible to dictate in advance the exact course of action that the OOD or CS should take in any given event involving the presence of marine mammals in proximity to an ongoing trawl tow, given the sheer number of potential variables, combinations of variables that may determine the appropriate course of action, and the need to consider human safety in the operation of fishing gear at sea. Nevertheless, we require a full accounting of factors that shape both successful and unsuccessful decisions and these details will be fed back into SWFSC training efforts and ultimately help to refine the best professional judgment that determines the course of action taken in any given scenario (see further discussion in “Proposed Monitoring and Reporting”).

If trawling operations have been suspended because of the presence of marine mammals, the vessel will resume trawl operations (when practicable) only when the animals are believed to have departed the 1 nm exclusion zone. This decision is at the discretion of the OOD/CS and is dependent on the situation.

Standard survey protocols that are expected to lessen the likelihood of marine mammal interactions include standardized tow durations and distances. Standard tow durations of not more than thirty minutes at the target depth will be implemented, excluding deployment and retrieval time (which may require an additional thirty minutes, depending on target depth), to reduce the likelihood of attracting and incidentally taking marine mammals. Short tow durations decrease the opportunity for marine mammals to find the vessel and investigate. Trawl tow distances will be less than 3 nm—typically 1-2 nm, depending on the specific survey and trawl speed—which is expected to reduce the likelihood of attracting and incidentally taking marine mammals. In addition, care will be taken when emptying the trawl to avoid damage to marine mammals that may be caught in the gear but are not visible upon retrieval. The gear will be emptied as quickly as possible after retrieval in order to determine whether or not marine mammals are present. The vessel's crew will clean trawl nets prior to deployment to remove prey items that might attract marine mammals. Catch volumes are typically small with every attempt made to collect all organisms caught in the trawl.

Marine mammal excluder devices

—Excluder devices are specialized modifications, typically used in trawl nets, which are designed to reduce bycatch by allowing non-target taxa to escape the net. These devices generally consist of a grid of bars fitted into the net that allow target species to pass through the bars into the codend while larger, unwanted taxa (

e.g.,

turtles, sharks, mammals) strike the bars and are ejected through an opening in the net. Marine turtle bycatch in the commercial shrimp trawl industry led to the development of turtle excluder devices (TED) (

e.g.,

Mitchell

et al.,

1995) in the 1970s. TEDs are perhaps the most commonly used excluder devices, but devices designed specifically for the exclusion of marine mammals have also been developed for various fisheries around the world where marine mammal interactions are problematic (

e.g.,

Gibson and Isakssen, 1998; Northridge, 2003).

Similar to TEDs, MMEDs generally consist of a large aluminum grate positioned in the intermediate portion of the net forward of the codend and below an escape opening constructed into the upper net panel above the grate. These devices enable target species to pass through a grid or mesh barrier and into the codend while preventing the passage of marine mammals, which are ejected out through an escape opening or swim back out of the mouth of the net. The angled aluminum grate is intended to guide marine mammals through the escape opening. For full details of design and testing of the SWFSC MMED designed for the Nordic 264 net, please see Dotson

et al.

(2010). All Nordic 264 trawl nets will be fitted with MMEDs to allow marine mammals caught during trawling operations an opportunity to escape.

MMEDs have not been proven to be fully effective at preventing marine mammal capture in trawl nets (

e.g.,

Chilvers, 2008) and are not expected to prevent marine mammal capture in SWFSC trawl surveys. It is difficult to effectively test such devices, in terms of effectiveness in excluding marine mammals as opposed to effects on target species catchability, because realistic field trials would necessarily involve marine mammal interactions with trawl nets. Use of artificial surrogates in field trials has not been shown to be a realistic substitute (Gibson and Isakssen, 1998). Nevertheless, we believe it reasonable to assume that use of MMEDs may reduce the likelihood of a given marine mammal interaction with trawl gear resulting in mortality. We do not infer causality, but note that annual marine mammal interactions with the Nordic 264 trawl net have been much reduced (relative to 2008) since use of the MMED began (see Table 10).

Two types of nets are used in SWFSC pelagic trawl surveys: The Nordic 264 and the modified-Cobb midwater trawls. As noted, all Nordic 264 nets are outfitted with excluder devices developed specifically for SWFSC survey operations. Modified-Cobb trawl nets are considerably smaller than Nordic 264 trawl nets (80 m

versus 380 m

net opening), are fished at slower speeds, and have a different shape and functionality than the Nordic 264. Very few marine mammal interactions with SWFSC pelagic trawl gear have involved the modified-Cobb net (five of thirty total incidents from 2006-14; Table 10). Due to the smaller size and different functionality of the modified-Cobb, there is no suitable MMED yet available. However, the SWFSC plans to perform research and design work to develop an effective excluder, if possible, which will not appreciably affect the catchability of the net and therefore maintain continuity of the fisheries research dataset. Please see “Proposed Monitoring and Reporting” for additional discussion.

Acoustic deterrent devices

—Acoustic deterrent devices (pingers) are underwater sound-emitting devices that have been shown to decrease the probability of interactions with certain species of marine mammals when fishing gear is fitted with the devices. Multiple studies have reported large decreases in harbor porpoise mortality (approximately eighty to ninety percent) in bottom-set gillnets (nets composed of vertical panes of netting, typically set in a straight line and either anchored to the bottom or drifting) during controlled experiments (

e.g.,

Kraus

et al.,

1997; Trippel

et al.,

1999; Gearin

et al.,

2000). Using commercial fisheries data rather than a controlled experiment, Palka

et al.

(2008) reported that harbor porpoise bycatch rates in the northeast U.S gillnet fishery when fishing without pingers was about two to three times higher compared to when pingers were used. After conducting a controlled experiment in a California drift gillnet

fishery during 1996-97, Barlow and Cameron (2003) reported significantly lower bycatch rates when pingers were used for all cetacean species combined, all pinniped species combined, and specifically for short-beaked common dolphins (85 percent reduction) and California sea lions (69 percent reduction). While not a statistically significant result, catches of Pacific white-sided dolphins (which are historically one of the most frequently captured species in SWFSC surveys; see Table 10) were reduced by seventy percent. Carretta

et al.

(2008) subsequently examined nine years of observer data from the same drift gillnet fishery and found that pinger use had eliminated beaked whale bycatch. Carretta and Barlow (2011) assessed the long-term effectiveness of pingers in reducing marine mammal bycatch in the California drift gillnet fishery by evaluating fishery data from 1990-2009 (with pingers in use beginning in 1996), finding that bycatch rates of cetaceans were reduced nearly fifty percent in sets using a sufficient number of pingers. However, in contrast to the findings of Barlow and Cameron (2003), they report no significant difference in pinniped bycatch.

To be effective, a pinger must emit a signal that is sufficiently aversive to deter the species of concern, which requires that the signal is perceived while also deterring investigation. In rare cases, aversion may be learned as a warning when an animal has survived interaction with gear fitted with pingers (Dawson, 1994). The mechanisms by which pingers work in operational settings are not fully understood, but field trials and captive studies have shown that sounds produced by pingers are aversive to harbor porpoises (

e.g.,

Laake

et al.,

1998; Kastelein

et al.,

2000; Culik

et al.,

2001), and it is assumed that when marine mammals are deterred from interacting with gear fitted with pingers that it is because the sounds produced by the devices are aversive. Two primary concerns expressed with regard to pinger effectiveness in reducing marine mammal bycatch relate to habituation (

i.e.,

marine mammals may become habituated to the sounds made by the pingers, resulting in increasing bycatch rates over time; Dawson, 1994; Cox

et al.,

2001; Carlström

et al.,

2009) and the “dinner bell effect” (Dawson, 1994; Richardson

et al.,

1995), which implies that certain predatory marine mammal species (

e.g.,

sea lions) may come to associate pingers with a food source (

e.g.,

fish caught in nets) with the result that bycatch rates may be higher in nets with pingers than in those without.

Palka

et al.

(2008) report that habituation has not occurred on a level that affects the bycatch estimate for the northeast U.S. gillnet fishery, while cautioning that the data studied do not provide a direct method to study habituation. Similarly, Carretta and Barlow (2011) report that habituation is not apparent in the California drift gillnet fishery, with the proportion of pinger-fitted sets with bycatch not significantly different for either cetaceans or pinnipeds between the periods 1996-2001 and 2001-09; in fact, bycatch rates for both taxa overall were lower in the latter period. We are not aware of any long-term behavioral studies investigating habituation. Bycatch rates of California sea lions, specifically, did increase during the latter period. However, the authors do not attribute the increase to pinger use (

i.e.,

the “dinner bell effect”); rather, they believe that continuing increases in population abundance for the species (Carretta

et al.,

2014) coincident with a decline in fishery effort are responsible for the increased rate of capture. Despite these potential limitations on the effectiveness of pingers, and while effectiveness has not been tested on trawl gear, we believe that the available evidence supports an assumption that use of pingers is likely to reduce the potential for marine mammal interactions with SWFSC trawl gear.

If one assumes that use of a pinger is effective in deterring marine mammals from interacting with fishing gear, one must therefore assume that receipt of the acoustic signal has a disturbance effect on those marine mammals (

i.e.,

Level B harassment). However, Level B harassment that may be incurred as a result of SWFSC use of pingers does not constitute take that must be authorized under the MMPA. The MMPA prohibits the taking of marine mammals by U.S. citizens or within the U.S. EEZ unless such taking is appropriately permitted or authorized. However, the MMPA provides several narrowly defined exemptions from this requirement (

e.g.,

for Alaskan natives; for defense of self or others; for Good Samaritans [16 U.S.C. 1371(b)-(d)]). Section 109(h) of the MMPA (16 U.S.C. 1379(h)) allows for the taking of marine mammals in a humane manner by federal, state, or local government officials or employees in the course of their official duties if the taking is necessary for “the protection or welfare of the mammal,” “the protection of the public health and welfare,” or “the non-lethal removal of nuisance animals.” SWFSC use of pingers as a deterrent device, which may cause Level B harassment of marine mammals, is intended solely for the avoidance of potential marine mammal interactions with SWFSC research gear (

i.e.,

avoidance of Level A harassment, serious injury, or mortality). Therefore, use of such deterrent devices, and the taking that may result, is for the protection and welfare of the mammal and is covered explicitly under MMPA section 109(h)(1)(A). Potential taking of marine mammals resulting from SWFSC use of pingers is not discussed further in this document.

Pingers will be deployed during all pelagic trawl operations and on all types of midwater trawl nets (

i.e.,

the Nordic 264 and modified-Cobb nets), with two to four pingers placed along the footrope and/or headrope. The vessel's crew will ensure that pingers are operational prior to deployment. Pingers are manufactured by STM Products (Model DDD-03H), with the following attributes: (1) Operational depth of 10-200 m; (2) tones range from 100 ms to seconds in duration; (3) variable frequency of 5-500 kHz; and (4) maximum source level of 176 dB rms re 1 μPa at 30-80 kHz. Please see “Marine Mammal Hearing” below for reference to functional and best hearing ranges for marine mammals present in the CCE.

AMLR bottom trawl surveys

—The SWFSC has no documented interactions with marine mammals in bottom trawl gear used periodically in the AMLR, and standard trawl protocols described above are not required for these surveys. Please see “Potential Effects of the Specified Activity on Marine Mammals and Their Habitat” for further discussion of this gear. However, SWFSC staff conduct visual and acoustic surveys prior to deploying bottom trawl gear to assess the bathymetry and whether marine mammals are present in the area. These visual and acoustic surveys have resulted in very few detections of marine mammals during trawling operations. Visual and acoustic monitoring will continue as a regular part of future bottom trawl surveys in the AMLR study area, and if detections increase, indicating a higher potential for marine mammal interactions, we will consider the need to implement the standard trawl protocols described above during AMLR bottom trawl surveys.

Longline Survey Visual Monitoring and Operational Protocols

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

protocols. These protocols are not required for bottom longline or vertical longline operations, as there have been no documented marine mammal interactions for SWFSC use of these gears and because we believe there is very little risk of interaction even without these measures. Please see “Potential Effects of the Specified Activity on Marine Mammals and Their Habitat” for further discussion of these gears. In summary, requirements for pelagic longline surveys are to: (1) Conduct visual monitoring for a period not less than thirty minutes prior to arrival on station; (2) implement the “move-on rule” if marine mammals are observed within a 1-nm exclusion zone around the vessel; (3) deploy gear as soon as possible upon arrival on station (contingent on clearance of the exclusion zone); and (4) maintain visual monitoring effort throughout deployment and retrieval of the longline gear. As was described for trawl gear, the OOD, CS, or watch leader will use best professional judgment to minimize the risk to marine mammals from potential gear interactions during deployment and retrieval of gear. If marine mammals are detected during setting operations and are considered to be at risk, immediate retrieval or suspension of operations may be warranted. If operations have been suspended because of the presence of marine mammals, the vessel will resume setting (when practicable) only when the animals are believed to have departed the 1-nm exclusion zone. If marine mammals are detected during retrieval operations and are considered to be at risk, haul-back may be postponed. These decisions are at the discretion of the OOD/CS and are dependent on the situation.

We propose one exception to these requirements for longline gear. If five or fewer California sea lions are sighted within the 1-nm exclusion zone during the thirty-minute pre-clearance period, longline gear may be deployed (observations of more than five California sea lions would trigger the “move-on rule” or suspension of gear deployment or retrieval, as appropriate and, for the latter, as indicated by best professional judgment). This exception has been defined in an effort to strike a balance between the rarity of past interactions between longline gear and California sea lions and the increasing abundance of the species in order to preserve practicability of implementation. Given the anecdotally-observed density of California sea lions in the areas where longline surveys are conducted, the SWFSC believes that implementation of, for example, the “move-on rule” upon observation of five or fewer California sea lions would preclude sampling in some areas and introduce significant bias into survey results. The SWFSC believes that a group size threshold of six represents a reasonable trigger that would allow sampling in areas where target species are likely to be caught without increasing the number of interactions between California sea lions and longline gear.

As for trawl surveys, some standard survey protocols are expected to minimize the potential for marine mammal interactions. Typical soak times are two to four hours, measured from the time the last hook is in the water to when the first hook is brought out of the water (but may be as long as eight hours when targeting swordfish). SWFSC longline protocols specifically prohibit chumming (releasing additional bait to attract target species to the gear). However, spent bait may be discarded during gear retrieval while gear is still in the water. SWFSC believes from prior experience that this practice increases survey efficiency and notes that it has not resulted in marine mammal interactions. Anecdotal observations indicate that pinnipeds do not gather immediately aft of the survey vessel as a result of discarding spent bait. However, if marine mammal interactions with longline gear increase or if SWFSC staff observe that this practice may contribute to increased potential for interactions, we will consider the need to retain spent bait until all gear is retrieved.

We have carefully evaluated the SWFSC's proposed mitigation measures and considered a range of other measures in the context of ensuring that we prescribed the means of effecting the least practicable adverse impact on the affected marine mammal species and stocks and their habitat. Our evaluation of potential measures included consideration of the following factors in relation to one another: (1) The manner in which, and the degree to which, the successful implementation of the measure is expected to minimize adverse impacts to marine mammals, (2) the proven or likely efficacy of the specific measure to minimize adverse impacts as planned; and (3) the practicability of the measure for applicant implementation.

Any mitigation measure(s) we prescribe should be able to accomplish, have a reasonable likelihood of accomplishing (based on current science), or contribute to the accomplishment of one or more of the general goals listed below:

(1) Avoidance or minimization of injury or death of marine mammals wherever possible (goals 2, 3, and 4 may contribute to this goal).

(2) A reduction in the number (total number or number at biologically important time or location) of individual marine mammals exposed to stimuli expected to result in incidental take (this goal may contribute to 1, above, or to reducing takes by behavioral harassment only).

(3) A reduction in the number (total number or number at biologically important time or location) of times any individual marine mammal would be exposed to stimuli expected to result in incidental take (this goal may contribute to 1, above, or to reducing takes by behavioral harassment only).

(4) A reduction in the intensity of exposure to stimuli expected to result in incidental take (this goal may contribute to 1, above, or to reducing the severity of behavioral harassment only).

(5) Avoidance or minimization of adverse effects to marine mammal habitat, paying particular attention to the prey base, blockage or limitation of passage to or from biologically important areas, permanent destruction of habitat, or temporary disturbance of habitat during a biologically important time.

(6) For monitoring directly related to mitigation, an increase in the probability of detecting marine mammals, thus allowing for more effective implementation of the mitigation.

Based on our evaluation of the SWFSC's proposed measures, as well as other measures we considered, we have preliminarily determined that the proposed mitigation measures provide the means of effecting the least practicable adverse impact on marine mammal species or stocks and their habitat, paying particular attention to rookeries, mating grounds, and areas of similar significance.

Description of Marine Mammals in the Area of the Specified Activity

We have reviewed SWFSC's species descriptions—which summarize available information regarding status and trends, distribution and habitat preferences, behavior and life history, and auditory capabilities of the potentially affected species—for accuracy and completeness and refer the reader to Sections 3 and 4 of SWFSC's application, as well as to NMFS' Stock Assessment Reports (SARs;

www.nmfs.noaa.gov/pr/sars/

), instead of reprinting the information here. Tables 3-5 list all species with expected potential for occurrence in the specified

geographical regions where SWFSC proposes to conduct the specified activity and summarize information related to the population or stock, including potential biological removal (PBR). For taxonomy, we follow Committee on Taxonomy (2014). PBR, defined by the MMPA as the maximum number of animals, not including natural mortalities, that may be removed from a marine mammal stock while allowing that stock to reach or maintain its optimum sustainable population, is discussed in greater detail later in this document (see “Negligible Impact Analyses”). Species that could potentially occur in the proposed research areas but are not expected to have the potential for interaction with SWFSC research gear or that are not likely to be harassed by SWFSC's use of active acoustic devices are described briefly but omitted from further analysis. These include extralimital species, which are species that do not normally occur in a given area but for which there are one or more occurrence records that are considered beyond the normal range of the species.

For status of species, we provide information regarding U.S. regulatory status under the MMPA and ESA but also provide International Union for the Conservation of Nature (IUCN) status for some species in the ETP and AMLR, where stocks are generally not defined by NMFS. The IUCN systematically assesses the relative risk of extinction for terrestrial and aquatic plant and animal species via a classification scheme using five designations, including three threatened categories (Critically Endangered, Endangered, and Vulnerable) and two non-threatened categories (Near Threatened and Least Concern) (IUCN, 2014). These assessments are generally made relative to the species' global status, and therefore may have limited applicability when marine mammal stocks are defined because we analyze the potential population-level effects of the specified activity to the relevant stock. However, where stocks are not defined, IUCN status can provide a useful reference.

Marine mammal abundance estimates presented in this document represent the total number of individuals that make up a given stock or the total number estimated within a particular study area. NMFS' stock abundance estimates for most species represent the total estimate of individuals within the geographic area, if known, that comprises that stock. For some species, this geographic area may extend beyond U.S. waters. Survey abundance (as compared to stock or species abundance) is the total number of individuals estimated within the survey area, which may or may not align completely with a stock's geographic range as defined in the SARs. These surveys may also extend beyond U.S. waters.

California Current Ecosystem

In the CCE, 34 species (with forty managed stocks) are considered to have the potential to co-occur with SWFSC activities. Extralimital species or stocks in the CCE include the Bryde's whale (

Balaenoptera edeni brydei

) and the North Pacific right whale (

Eubalaena japonica

). In addition, the sea otter is found in coastal waters of the CCE, with the southern sea otter (

Enhydra lutris nereis

) found in California and the northern (or eastern) sea otter (

E. l. kenyoni;

Washington stock only) found in Washington. However, sea otters are managed by the U.S. Fish and Wildlife Service and are not considered further in this document. Most survey activity occurs offshore and is therefore less likely to interact with coastal species such as harbor porpoise, the coastal stock of bottlenose dolphin, or gray whales (during the northbound migration), although these species are considered further in this document. All managed stocks in the CCE are assessed in NMFS' U.S. Pacific SARs (

e.g.,

Carretta

et al.,

2014), with the exception of the west coast transient stock of killer whales, the eastern North Pacific stock of the northern fur seal, and the eastern stock of the Steller sea lion, which are considered in the U.S. Alaska SARs (

e.g.,

Allen and Angliss, 2014). All values presented in Table 3 are from the most recent SARs (

i.e.,

2013).

Two populations of gray whales are recognized, eastern and western North Pacific (ENP and WNP). WNP whales are known to feed in the Okhotsk Sea and off of Kamchatka before migrating south to poorly known wintering grounds, possibly in the South China Sea. The two populations have historically been considered geographically isolated from each other; however, recent data from satellite-tracked whales indicate that there is some overlap between the stocks. Two WNP whales were tracked from Russian foraging areas along the Pacific rim to Baja California (Mate

et al.,

2011), and, in one case where the satellite tag remained attached to the whale for a longer period, a WNP whale was tracked from Russia to Mexico and back again (IWC, 2012). Between 22-24 WNP whales are known to have occurred in the eastern Pacific through comparisons of ENP and WNP photo-identification catalogs (IWC, 2012; Weller

et al.,

2011; Burdin

et al.,

2011), and WNP animals comprised 8.1 percent of gray whales identified during a recent field season off of Vancouver Island (Weller

et al.,

2012). In addition, two genetic matches of WNP whales have been recorded off of Santa Barbara, CA (Lang

et al.,

2011). More recently, Urban

et al.

(2013) compared catalogs of photo-identified individuals from Mexico with photographs of whales off Russia and reported a total of 21 matches. Therefore, a portion of the WNP population is assumed to migrate, at least in some years, to the eastern Pacific during the winter breeding season.

However, the SWFSC does not believe that any gray whale (WNP or ENP) would be likely to interact with its research gear, and the likelihood of a WNP gray whale being exposed to underwater sound produced by the specified activity is so low as to be discountable. For example, of the approximately 20,000 gray whales migrating annually through the Southern California Bight, it is extremely unlikely that one in close proximity to SWFSC research activity would be one of the approximately twenty WNP whales that have been documented in the eastern Pacific (less than one percent probability). The likelihood that a WNP whale would interact with SWFSC research gear or be exposed to elevated levels of sound from the specified activities is insignificant and discountable, and WNP gray whales are omitted from further analysis.

Table 3—Marine Mammals Potentially Present in the Vicinity of SWFSC Research Activities in the CCE

Common name

Scientific name

Stock

ESA/MMPA status;

Strategic

(Y/N)

Stock abundance (CV, N

min

, most recent abundance

survey)

PBR

Annual M/SI

Order Cetartiodactyla—Cetacea—Superfamily Mysticeti (baleen whales)

Family Eschrichtiidae

Gray whale

Eschrichtius robustus

Eastern North Pacific

—; N

19,126 (0.071; 18,017; 2007)

558

127

Family Balaenopteridae (rorquals)

Humpback whale

Megaptera novaeangliae kuzira

California/Oregon/Washington (CA/OR/WA)

E/D; Y

1,918 (0.03; 1,855; 2011)

≥5.5

Minke whale

Balaenoptera acutorostrata scammoni

CA/OR/WA

—; N

478 (1.36; 202; 2008)

Sei whale

B. borealis borealis

Eastern North Pacific

E/D; Y

126 (0.53; 83; 2008)

0.17

Fin whale

B. physalus physalus

CA/OR/WA

E/D; Y

3,051 (0.18; 2,598; 2008)

2.2

Blue whale

B. musculus musculus

Eastern North Pacific

E/D; Y

1,647 (0.07; 1,551; 2011)

9.3

1.9

Superfamily Odontoceti (toothed whales, dolphins, and porpoises)

Family Physeteridae

Sperm whale

Physeter macrocephalus

CA/OR/WA

E/D; Y

971 (0.31; 751; 2008)

1.5

Family Kogiidae

Pygmy sperm whale

Kogia breviceps

CA/OR/WA

—; N

579 (1.02; 271; 2008)

2.7

Dwarf sperm whale

K. sima

CA/OR/WA

—; N

Unknown

Unk.

Family Ziphiidae (beaked whales)

Cuvier's beaked whale

Ziphius cavirostris

CA/OR/WA

—; Y

6,590 (0.55; 4,481; 2008)

Baird's beaked whale

Berardius bairdii

CA/OR/WA

—; N

847 (0.81; 466; 2008)

4.7

Hubbs' beaked whale

Mesoplodon carlhubbsi

CA/OR/WA

—; Y

694 (0.65; 389; 2008)

3.9

Blainville's beaked whale

M. densirostris

Ginkgo-toothed beaked whale

M. ginkgodens

Perrin's beaked whale

M. perrini

Lesser (pygmy) beaked whale

M. peruvianus

Stejneger's beaked whale

M. stejnegeri

Family Delphinidae

Common bottlenose dolphin

Tursiops truncatus truncatus

CA/OR/WA Offshore

—; N

1,006 (0.48; 684; 2008)

5.5

≥2

California Coastal

—; N

323 (0.13; 290; 2005)

2.4

0.2

Striped dolphin

Stenella coeruleoalba

CA/OR/WA

—; N

10,908 (0.34; 8,231; 2008)

Long-beaked common dolphin

Delphinus capensis capensis

California

—; N

107,016 (0.42; 76,224; 2009)

610

13.8

Short-beaked common dolphin

D. delphis delphis

CA/OR/WA

—; N

411,211 (0.21; 343,990; 2008)

3,440

Pacific white-sided dolphin

Lagenorhynchus obliquidens

CA/OR/WA

—; N

26,930 (0.28; 21,406; 2008)

171

17.8

Northern right whale dolphin

Lissodelphis borealis

CA/OR/WA

—; N

8,334 (0.4; 6,019; 2008)

4.8

Risso's dolphin

Grampus griseus

CA/OR/WA

—; N

6,272 (0.3; 4,913; 2008)

1.6

Killer whale

Orcinus orca

West Coast Transient

—; N

243 (n/a; 2006)

2.4

Eastern North Pacific Offshore

—; N

240 (0.49; 162; 2008)

1.6

Eastern North Pacific Southern Resident

E/D; Y

85 (n/a; 2012)

0.14

Short-finned pilot whale

Globicephala macrorhynchus

CA/OR/WA

—; N

760 (0.64; 465; 2008)

4.6

Family Phocoenidae (porpoises)

Harbor porpoise

Phocoena phocoena vomerina

Morro Bay

—; N

2,917 (0.41; 2,102; 2012)

≥0.6

Monterey Bay

—; N

3,715 (0.51; 2,480; 2011)

San Francisco-Russian River

—; N

9,886 (0.51; 6,625; 2011)

Northern CA/Southern OR

—; N

35,769 (0.52; 23,749; 2011)

475

≥0.6

Northern OR/WA Coast

—; N

21,487 (0.44; 15,123; 2011)

151

≥3

Washington Inland Waters

8 9

—; N

10,682 (0.38; 7,841; 2003)

Undet.

≥2.2

Dall's porpoise

Phocoenoides dalli dalli

CA/OR/WA

—; N

42,000 (0.33; 32,106; 2008)

257

≥0.4

Order Carnivora—Superfamily Pinnipedia

Family Otariidae (eared seals and sea lions)

Guadalupe fur seal

Arctocephalus philippii townsendi

(8)

T/D; Y

7,408 (n/a; 3,028; 1993)

Undet.

Northern fur seal

Callorhinus ursinus

Pribilof Islands/Eastern Pacific

D; Y

639,545 (n/a; 541,317; 2008-11)

11,638

471

California

—; N

12,844 (n/a; 6,722; 2011)

403

2.6

California sea lion

Zalophus californianus

United States

—; N

296,750 (n/a; 153,337; 2008)

9,200

≥431

Steller sea lion

Eumetopias jubatus monteriensis

Eastern U.S.

D; N

63,160-78,198 (n/a; 34,485; 2008-11)

1,552

65.1

Family Phocidae (earless seals)

Harbor seal

Phoca vitulina richardii

California

—; N

30,196 (n/a; 26,667; 2009)

1,600

OR/WA Coast

—; N

24,732 (0.12; 22,380; 1999)

Undet.

10.6

Washington Inland Waters

8 9

—; N

14,612 (0.15; 12,844; 1999)

Undet.

13.4

Northern elephant seal

Mirounga angustirostris

California Breeding

—; N

124,000 (n/a; 74,913; 2005)

4,382

≥10.4

Endangered Species Act (ESA) status: Endangered (E), Threatened (T)/MMPA status: Depleted (D). A dash (—) indicates that the species is not listed under the ESA or designated as depleted under the MMPA. Under the MMPA, a strategic stock is one for which the level of direct human-caused mortality exceeds PBR or which is determined to be declining and likely to be listed under the ESA within the foreseeable future. Any species or stock listed under the ESA is automatically designated under the MMPA as depleted and as a strategic stock.

NMFS marine mammal stock assessment reports at:

www.nmfs.noaa.gov/pr/sars/.

CV is coefficient of variation; N

min

is the minimum estimate of stock abundance. In some cases, CV is not applicable. For two stocks of killer whales, the abundance values represent direct counts of individually identifiable animals; therefore there is only a single abundance estimate with no associated CV. For certain stocks of pinnipeds, abundance estimates are based upon observations of animals (often pups) ashore multiplied by some correction factor derived from knowledge of the species' (or similar species') life history to arrive at a best abundance estimate; therefore, there is no associated CV. In these cases, the minimum abundance may represent actual counts of all animals ashore.

These values, found in NMFS' SARs, represent annual levels of human-caused mortality plus serious injury from all sources combined (

e.g.,

commercial fisheries, subsistence hunting, ship strike). Annual M/SI often cannot be determined precisely and is in some cases presented as a minimum value.

Transient and resident killer whales are considered unnamed subspecies (Committee on Taxonomy, 2014).

No information is available to estimate the population size of dwarf sperm whales off the U.S. west coast, as no sightings of this species have been documented despite numerous vessel surveys of this region (Carretta

et al.,

2014). Dwarf and pygmy sperm whales are difficult to differentiate at sea but, based on previous sighting surveys and historical stranding data, it is thought that recent ship survey sightings were of pygmy sperm whales.

The six species of Mesoplodont beaked whales occurring in the CCE are managed as a single stock due to the rarity of records and the difficulty in distinguishing these animals to species in the field. Based on bycatch and stranding records, it appears that

M. carlhubbsi

is the most commonly encountered of these species (Carretta

et al.,

2008; Moore and Barlow, 2013). Additional managed stocks in the Pacific include

M. stejnegeri

in Alaskan waters and

M. densirostris

in Hawaiian waters.

The abundance estimate for this stock includes only animals from the “inner coast” population occurring in inside waters of southeastern Alaska, British Columbia, and Washington—excluding animals from the “outer coast” subpopulation, including animals from California—and therefore should be considered a minimum count. For comparison, the previous abundance estimate for this stock, including counts of animals from California that are now considered outdated, was 354.

Abundance estimates for these stocks are greater than eight years old and are not considered current. PBR is therefore considered undetermined for these stocks, as there is no current minimum abundance estimate for use in calculation. We nevertheless present the most recent abundance estimates, as these represent the best available information for use in this document.

Based on location of SWFSC research, no take is likely to occur for Washington inland waters stocks. Therefore, such stocks of harbor porpoise and harbor seal are excluded from further analysis.

The eastern distinct population segment of the Steller sea lion, previously listed as threatened, was delisted under the ESA on December 4, 2013 (78 FR 66140; November 4, 2013).

Best abundance is calculated as the product of pup counts and a factor based on the birth rate, sex and age structure, and growth rate of the population. A range is presented because the extrapolation factor varies depending on the vital rate parameter resulting in the growth rate (

i.e.,

high fecundity or low juvenile mortality).

These stocks are known to spend a portion of their time outside the U.S. EEZ. Therefore, only a portion of the PBR presented here is allocated for U.S. waters. U.S. PBR allocation is one-quarter of the total for blue whales (2.3) and half the total for humpback whales (11). Annual M/SI presented for these species is for U.S. waters only.

Includes annual Russian harvest of 123 whales.

These species have been historically taken in SWFSC research surveys (see Tables 10 and 11). Values for total annual human-caused M/SI include 6.0 Pacific white-sided dolphins, 1.2 northern right whale dolphins, 1.0 northern fur seals (California stock), and 3.0 California sea lions taken annually in SWFSC research surveys. Two northern fur seals from the eastern Pacific stock were taken in SWFSC research surveys between 2007-11, but these mortalities are not accounted for in the total annual M/SI value presented in the SAR.

This represents annual M/SI in U.S. waters. However, the vast majority of M/SI for this stock—the level of which is unknown—would likely occur in Mexican waters.

Take reduction planning

—Take reduction plans are designed to help recover and prevent the depletion of strategic marine mammal stocks that interact with certain U.S. commercial fisheries, as required by Section 118 of the MMPA. The immediate goal of a take reduction plan is to reduce, within six months of its implementation, the M/SI of marine mammals incidental to commercial fishing to less than the PBR level. The long-term goal is to reduce, within five years of its implementation, the M/SI of marine mammals incidental to commercial fishing to insignificant levels, approaching a zero serious injury and mortality rate, taking into account the economics of the fishery, the availability of existing technology, and existing state or regional fishery management plans. Take reduction teams are convened to develop these plans.

For marine mammals in the California Current Ecosystem, there is currently one take reduction plan in effect (Pacific Offshore Cetacean Take Reduction Plan). The goal of this plan is to reduce M/SI of several marine mammal stocks incidental to the California thresher shark/swordfish drift gillnet fishery (CA DGN). A team was convened in 1996 and a final plan produced in 1997 (62 FR 51805; October 3, 1997). Marine mammal stocks of concern initially included the California, Oregon, and Washington stocks for all CCE beaked whales, short-finned pilot whales, pygmy sperm whales, sperm whales, and humpback whales. The most recent five-year averages of M/SI for these stocks are below PBR, and none of these species were taken in the fishery in 2012-13. More information is available on the Internet at:

www.nmfs.noaa.gov/pr/interactions/trt/poctrp.htm.

Of the stocks of concern, the SWFSC has requested the authorization of incidental M/SI + Level A for the short-finned pilot whale only (see “Estimated Take by Incidental Harassment” later in this document). The most recent reported average annual human-caused mortality for short-finned pilot whales (2004-08) is zero animals. The SWFSC does not use drift gillnets in its fisheries research program; therefore, take reduction measures applicable to the CA DGN fisheries are not relevant to the SWFSC.

Unusual Mortality Events (UME)

—A UME is defined under the MMPA as “a stranding that is unexpected; involves a significant die-off of any marine mammal population; and demands immediate response.” From 1991 to the present, there have been fifteen formally recognized UMEs on the U.S. west coast involving species under NMFS' jurisdiction. The most recent of these, and the only one involving a currently ongoing investigation, involved California sea lions. Beginning in January 2013, elevated strandings of California sea lion pups were observed in southern California, with live sea lion strandings nearly three times higher than the historical average. Findings to date indicate that a likely contributor to the large number of stranded, malnourished pups was a change in the availability of sea lion prey for nursing mothers, especially sardines. The causes and mechanisms of this UME remain under investigation (

www.nmfs.noaa.gov/pr/health/mmume/californiasealions2013.htm;

accessed May 8, 2014).

Additional UMEs in the past ten years include those involving harbor porpoises in California (2008; cause determined to be ecological factors); Guadalupe fur seals in the northwest (2007; undetermined); large whales in California (2007; human interaction); cetaceans in California (2007; undetermined); and harbor porpoises in the Pacific Northwest (2006; undetermined). For more information on UMEs, please visit the Internet at:

www.nmfs.noaa.gov/pr/health/mmume/.

Eastern Tropical Pacific

In the ETP, 32 species—including multiple stocks for some species—are considered to have the potential to co-occur with SWFSC activities. As in the CCE, an undifferentiated stock of Mesoplodont beaked whales (

Mesoplodon

spp.) is present, but is not defined in the sense that the U.S.-managed CCE stock is. In the ETP, Mesoplodont beaked whales likely include Blainville's, ginkgo-toothed, and lesser (pygmy) beaked whales, but would encompass any Mesoplodont species occurring in the ETP. Although some of the ETP species are the same as those found in the CCE, in many cases different stocks or populations are present than those found in the CCE. However, because the majority of these do not constitute stocks under U.S. jurisdiction, the stocks are not managed by NMFS and there are no SARs. Therefore, substantially less information is available for these species in relation to the stocks or populations and their occurrence in the ETP (

e.g.,

PBR is generally not calculated for ETP stocks, and strategic designations are not

made). Extralimital species in the ETP include the pygmy sperm whale, southern bottlenose whale (

Hyperoodon planifrons

), long-finned pilot whale (

Globicephala melas

), Burmeister's porpoise (

Phocoena spinipinnis

), and Dall's porpoise.

Table 4—Marine Mammals Potentially Present in the Vicinity of SWFSC Research Activities in the ETP

Common name

Scientific name

Stock

ESA/MMPA/IUCN status

Abundance (CV, N

min

)

PBR

Order Cetartiodactyla—Cetacea—Superfamily Mysticeti (baleen whales)

Family Balaenopteridae (rorquals)

Humpback whale

Megaptera novaeangliae

CA/OR/WA & Breeding Stock G

E/D/LC

2,566

Minke whale

Balaenoptera acutorostrata scammoni

—/LC

115

Bryde's whale

B. edeni brydei

Eastern North Pacific & Peruvian

—/DD

10,411 (0.20)

Sei whale

B. borealis borealis

E/D/EN

Fin whale

B. physalus physalus

E/D/EN

574

Blue whale

B. musculus musculus

Eastern North Pacific

E/D/EN

1,415 (0.24)

Superfamily Odontoceti (toothed whales, dolphins, and porpoises)

Family Physeteridae

Sperm whale

Physeter macrocephalus

E/D/VU

4,145 (0.73)

Family Kogiidae

Dwarf sperm whale

Kogia sima

—/DD

11,200 (0.29; 8,789)

Family Ziphiidae (beaked whales)

Cuvier's beaked whale

Ziphius cavirostris

—/LC

8 9

20,000 (0.27)

Longman's beaked whale

Indopacetus pacificus

—/DD

1,007 (1.26)

Blainville's beaked whale

Mesoplodon densirostris

—/DD

25,300 (0.20)

Ginkgo-toothed beaked whale

M. ginkgodens

Lesser (pygmy) beaked whale

M. peruvianus

Family Delphinidae

Rough-toothed dolphin

Steno bredanensis

—/LC

107,663 (0.22; 89,653)

897

Common bottlenose dolphin

Tursiops truncatus truncatus

—/LC

335,834 (0.20; 284,952)

2,850

Striped dolphin

Stenella coeruleoalba

—/LC

964,362 (0.21; 811,592)

8,116

Pantropical spotted dolphin

S. attenuata attenuata

Northeastern Offshore

—/D

857,884 (0.23)

12,334

Western and Southern Offshore

—

439,208 (0.29)

S. a. graffmani

Coastal

—/D

278,155 (0.59)

Spinner dolphin

S. longirostris

Whitebelly

—

734,837 (0.61)

S. l. orientalis

Eastern

—/D

1,062,879 (0.26)

S. l. centroamericana

Central American

—

Unknown

Long-beaked common dolphin

Delphinus capensis capensis

—/DD

372,429 (0.36; 278,651)

2,787

Short-beaked common dolphin

D. delphis delphis

Northern

Central

Southern

—

3,127,203 (0.26; 2,513,269)

25,133

Fraser's dolphin

Lagenodelphis hosei

—/LC

289,300 (0.34)

Dusky dolphin

Lagenorhynchus obscurus posidonia

—/DD

40,211

Risso's dolphin

Grampus griseus

—/LC

110,457 (0.35; 83,092)

831

Melon-headed whale

Peponocephala electra

—/LC

45,400 (0.47)

Pygmy killer whale

Feresa attenuata

—/DD

38,990 (0.31)

False killer whale

Pseudorca crassidens

—/DD

39,800 (0.64)

244

Killer whale

Orcinus orca

—/DD

8,500 (0.37; 24,365)

Short-finned pilot whale

Globicephala macrorhynchus

—/DD

589,315 (0.26; 475,141)

4,751

Order Carnivora—Superfamily Pinnipedia

Family Otariidae (eared seals and sea lions)

Guadalupe fur seal

Arctocephalus philippii townsendi

T/D/NT

12 13

Unknown

California sea lion

Zalophus californianus

—/LC

12 14

105,000

1,050

South American sea lion

Otaria byronia

—/LC

12 15

150,000

1,500

Northern elephant seal

Mirounga angustirostris

—/LC

12 13

Unknown

Defined ecotypes have not yet been recognized for the ETP, although available evidence (

e.g.,

observed predation on marine mammals, genetic analysis) indicates that observed animals may be of the transient ecotype (

e.g.,

Pitman

et al.,

2007; Olson and Gerrodette, 2008).

For most species in the ETP, stocks are not delineated and entries refer generally to individuals of the species occurring in the ETP. Coastal regions of the ETP include wintering areas for humpback whales from both the northern (CA/OR/WA [

i.e.,

U.S.-managed] stock;

M. n. kuzira

) and southern (Breeding Stock G, which feeds off the Antarctic Peninsula and southern Chile;

M. n. australis

) hemispheres. The IWC recognizes eastern North Pacific and Peruvian stocks of Bryde's whale (Carretta

et al.,

2007), although Wade and Gerrodette (1993) suggested that Bryde's whales in the ETP may comprise two stocks based on a gap in distribution between 7°N and 9°N. The offshore form of the pantropical spotted dolphin is found in oceanic tropical waters worldwide, while the coastal form is found only in coastal waters of the ETP. These two forms are recognized as subspecies. Offshore spotted dolphins occurring in the ETP are divided into a northeastern and combined western/southern stock. Whitebelly spinner dolphins are considered hybrids of the eastern spinner and the Gray's spinner (

S. l. longirostris;

Gray's spinner is a subspecies found in oceanic tropical waters worldwide), and is considered a stock for management purposes. The Central American subspecies is restricted to coastal waters over the ETP shelf, from southern Mexico to Costa Rica. The eastern subspecies is found in pelagic waters of the ETP east of 145°W, from 24°N off Baja California to 10°S off Peru, exclusive of the range of

S. l. centroamericana.

Short-beaked common dolphins are divided into northern, central and southern stocks, although no recent stock-specific abundance estimates are available. A hiatus at 13-20°N and at about 3°N divide the offshore populations into the respective stocks. The central form occurs at 3-18°N and the southern common dolphin ranges from 3°N to at least 13°S (Dizon

et al.

1994).

Endangered Species Act (ESA) status: Endangered (E), Threatened (T)/MMPA status: Depleted (D). A dash (—) indicates that the species is not listed under the ESA or designated as depleted under the MMPA. Any species listed under the ESA is automatically designated under the MMPA as depleted. IUCN status: Endangered (EN), Vulnerable (VU), Near Threatened (NT), Least Concern (LC), Data Deficient (DD). IUCN status not provided for species with defined stocks in the ETP.

These stocks of the genus

Stenella

are designated as depleted under the MMPA due to high levels of bycatch in the yellowfin tuna purse-seine fishery in the eastern tropical Pacific beginning in the 1950s.

CV is coefficient of variation; N

min

is the minimum estimate of stock abundance. In some cases, CV and/or N

min

is not available. These metrics are not applicable to either species of sea lion because population estimates were made based on counts of animals in aerial photographs. These counts are considered as actual population size so there is no associated error.

Unpublished abundance estimates derived by SWFSC from 1998-2000, 2003, and 2006 ETP survey data reported in Kinzey

et al.

(1999; 2000; 2001) and Jackson

et al.

(2004; 2008). NMFS' policy is that abundance estimates greater than eight years old are not considered current; however, these data represent the best available information for these species. CVs were not calculated for these species. Wade and Gerrodette (1993) provide a CV of 0.64 for false killer whales; it is the highest CV reported in that paper or that we are aware of for the ETP. We suggest here that this is an appropriate conservative proxy for species for which there is no calculated CV.

Abundance estimates derived from 2000 ETP survey data, as reported in Gerrodette and Forcada (2002).

Abundance estimates derived from 1986-1990 ETP survey data, as reported in Wade and Gerrodette (1993).

Abundance estimate for Cuvier's beaked whale is considered to be an underestimate, as it is not corrected for animals missed along the survey track line. The abundance estimate for unidentified Ziphiids was prorated between Cuvier's beaked whales and

Mesoplodon

spp.

Abundance estimate derived from 2002 Hawaiian EEZ survey data, as reported in Barlow (2006).

Abundance estimates derived from 2006 ETP survey data, as reported in Gerrodette

et al.

(2008).

With the exception of the South American sea lion, which is generally observed along the Peruvian coast, all pinniped species are typically sighted only at the northern end of the ETPRA along the coast of Baja California.

The best abundance estimates for all Guadalupe fur seals and for the California breeding population of northern elephant seals are 7,408 and 124,000, respectively, as reported in NMFS' SARs. However, no estimate specific to the ETP exists for either species.

Abundance estimate is the sum of estimates for western Baja California, Mexico (75,000-87,000; Lowry and Maravilla-Chavez, 2005) and the Gulf of California (24,062-31,159; Szteren

et al.

2006). We used the lower bound for Baja California and rounded down the upper bound for the Gulf of California for an approximate total abundance of 105,000. Because abundance is based on actual counts, there is no error associated with the estimate.

Abundance estimate is the sum of estimates for Peru (60,000) and Chile (90,000-100,000) (Campagna, 2008). Although it is unlikely that this entire population would occur in the ETPRA, we assume here that it would. Because abundance is based on actual counts, there is no error associated with the estimate.

PBR calculated for this analysis by SWFSC for species anticipated to be taken by M/SI + Level A only using accepted calculations for minimum population estimates and PBR (NMFS, 2005) and assuming F

= 0.5 and R

max

= 0.04 for cetaceans and 0.12 for pinnipeds. A pooled PBR was calculated for all stocks of the pantropical spotted dolphin.

Antarctic Marine Living Resources Ecosystem

The SWFSC's Antarctic Research Area (ARA) comprises a portion of the AMLR ecosystem. In the ARA, seventeen species are considered to have the potential to co-occur with SWFSC activities. Marine mammals in the AMLR do not constitute stocks under U.S. jurisdiction; therefore, the stocks are not managed by NMFS, there are no SARs, and substantially less information is available for these species in relation to the stocks or populations and their occurrence in the ARA than is available for CCE stocks (

e.g.,

PBR is not calculated for AMLR stocks, and strategic designations are not made). Extralimital species in the ARA include the pygmy right whale (

Caperea marginata

), sei whale, Cuvier's beaked whale, Shepherd's beaked whale (

Tasmacetus shepherdi

), Gray's beaked whale (

Mesoplodon grayi

), and strap-toothed beaked whale (

M. layardii

), which have distributions that only border the northernmost edge of the

ARA. The Ross seal (

Ommatophoca rossii

) is also considered extralimital to the ARA due to its preference for dense pack ice, which is not typically present in the ARA.

Table 5—Marine Mammals Potentially Present in the Vicinity of SWFSC Research Activities in the AMLR

Common name

Scientific name

Stock

ESA/MMPA status

Abundance (CV)

Order Cetartiodactyla—Cetacea—Superfamily Mysticeti (baleen whales)

Family Balaenidae (right whales)

Southern right whale

Eubalaena australis

E/D/LC

1,755 (0.62)

Family Balaenopteridae (rorquals)

Humpback whale

Megaptera novaeangliae australis

E/D/LC

9,484 (0.28)

Antarctic minke whale

Balaenoptera bonaerensis

—/DD

18,125 (0.28)

Fin whale

B. physalus quoyi

E/D/EN

4,672 (0.42)

Blue whale

B. musculus intermedia

E/D/EN

1,700 (95% CI 860-2,900)

Superfamily Odontoceti (toothed whales, dolphins, and porpoises)

Family Physeteridae

Sperm whale

Physeter macrocephalus

E/D/VU

12,069 (0.17)

Family Ziphiidae (beaked whales)

Arnoux' beaked whale

Berardius arnuxii

—/DD

Unknown.

Southern bottlenose whale

Hyperoodon planifrons

—/LC

53,743 (0.12)

Family Delphinidae

Hourglass dolphin

Lagenorhynchus cruciger

—/LC

144,300 (0.17)

Killer whale

Orcinus orca

—/DD

24,790 (0.23)

Long-finned pilot whale

Globicephala melas edwardii

—/DD

200,000 (0.35)

Family Phocoenidae (porpoises)

Spectacled porpoise

Phocoena dioptrica

—/DD

Unknown.

Order Carnivora—Superfamily Pinnipedia

Family Otariidae (eared seals and sea lions)

Antarctic fur seal

Arctocephalus gazella

South Georgia

—/LC

2,700,000

Family Phocidae (earless seals)

Southern elephant seal

Mirounga leonina

South Georgia

—/LC

401,572

Weddell seal

Leptonychotes weddellii

—/LC

500,000-1,000,000

Crabeater seal

Lobodon carcinophaga

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