Tuesday, October 14, 2008

Part III

Department of Commerce National Oceanic and Atmospheric Administration

50 CFR Part 216 Taking and Importing Marine Mammals; U.S. Navy Training in the Southern California Range Complex; Proposed Rule

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DEPARTMENT OF COMMERCE Word, Excel, WordPerfect, or Adobe marine mammal stock in the wild [Level A PDF file formats only. Harassment]; or National Oceanic and Atmospheric (ii) any act that disturbs or is likely to FOR FURTHER INFORMATION CONTACT: Jolie Administration disturb a marine mammal or marine mammal Harrison, Office of Protected Resources, stock in the wild by causing disruption of NMFS, (301) 713–2289, ext. 166. natural behavioral patterns, including, but 50 CFR Part 216 SUPPLEMENTARY INFORMATION: not limited to, migration, surfacing, nursing, breeding, feeding, or sheltering, to a point [Docket No. 0808061069–81171–01] Availability where such behavioral patterns are abandoned or significantly altered [Level B RIN 0648–AW91 A copy of the Navy’s application may Harassment]. be obtained by writing to the address Taking and Importing Marine specified above (see ADDRESSES), Summary of Request Mammals; U.S. Navy Training in the telephoning the contact listed above (see On April 1, 2008, NMFS received an Southern California Range Complex FOR FURTHER INFORMATION CONTACT), or application from the Navy requesting AGENCY: National Marine Fisheries visiting the internet at: http:// authorization for the take of individuals Service (NMFS), National Oceanic and www.nmfs.noaa.gov/pr/permits/ of 37 species of marine mammals Atmospheric Administration (NOAA), incidental.htm. The Navy’s Draft incidental to upcoming Navy training Commerce. Environmental Impact Statement (DEIS) activities, maintenance, and research, for SOCAL was published on April 4, development, testing, and evaluation ACTION: Proposed rule; request for 2008, and may be viewed at http:// (RDT&E) activities to be conducted comments. www.nmfs.noaa.gov/pr/permits/ within SOCAL, which extends SUMMARY: NMFS has received a request incidental.htm. NMFS is participating southwest approximately 600 nm in the from the U.S. Navy (Navy) for in the development of the Navy’s EIS as general shape of a 200-nm wide authorization to take marine mammals a cooperating agency under NEPA. rectangle (see the Navy’s application), over the course of 5 years. These incidental to training activities Background conducted in the Southern California training activities are military readiness Range Complex (SOCAL), which Sections 101(a)(5)(A) and (D) of the activities under the provisions of the extends south and southwest off the MMPA (16 U.S.C. 1361 et seq.) direct NDAA. The Navy states, and NMFS southern California coast, for the period the Secretary of Commerce (Secretary) concurs, that these military readiness of January 2009 through January 2014. to allow, upon request, the incidental, activities may incidentally take marine Pursuant to the Marine Mammal but not intentional taking of marine mammals present within SOCAL by Protection Act (MMPA), NMFS is mammals by U.S. citizens who engage exposing them to sound from mid- proposing regulations to govern that in a specified activity (other than frequency or high frequency active take and requesting information, commercial fishing) during periods of sonar (MFAS/HFAS) or underwater suggestions, and comments on these not more than five consecutive years detonations. The Navy requests proposed regulations. each if certain findings are made and authorization to take individuals of 37 regulations are issued or, if the taking is species of marine mammals by Level B DATES: Comments and information must limited to harassment, notice of a Harassment. Further, though they do not be received no later than November 13, proposed authorization is provided to anticipate it to occur, the Navy requests 2008. the public for review. authorization to take, by injury or ADDRESSES: You may submit comments, Authorization shall be granted if mortality, up to 10 beaked whales over identified by 0648–AW91, by any one of NMFS finds that the taking will have a the course of the 5-yr regulations. the following methods: • negligible impact on the species or Background of Request Electronic Submissions: Submit all stock(s), will not have an unmitigable electronic public comments via the adverse impact on the availability of the The Navy’s mission is to maintain, Federal eRulemaking Portal, http:// species or stock(s) for subsistence uses, train, and equip combat-ready naval www.regulations.gov. forces capable of winning wars, • and if the permissible methods of taking Hand delivery or mailing of paper, and requirements pertaining to the deterring aggression, and maintaining disk, or CD–ROM comments should be mitigation, monitoring and reporting of freedom of the seas. Title 10, U.S. Code addressed to Michael Payne, Chief, such taking are set forth. NMFS has (U.S.C.) 5062 directs the Chief of Naval Permits, Conservation and Education defined ‘‘negligible impact’’ in 50 CFR Operations to train all naval forces for Division, Office of Protected Resources, 216.103 as: combat. The Chief of Naval Operations National Marine Fisheries Service, 1315 meets that direction, in part, by East-West Highway, Silver Spring, MD An impact resulting from the specified conducting at-sea training exercises and 20910–3225. activity that cannot be reasonably expected to, and is not reasonably likely to, adversely ensuring naval forces have access to Instructions: All comments received affect the species or stock through effects on ranges, operating areas (OPAREAs) and are a part of the public record and will annual rates of recruitment or survival. airspace where they can develop and generally be posted to http:// maintain skills for wartime missions www.regulations.gov without change. The National Defense Authorization and conduct research, development, All Personal Identifying Information (for Act of 2004 (NDAA) (Pub. L. 108–136) testing, and evaluation (RDT&E) of naval example, name, address, etc.) modified the MMPA by removing the weapons systems. voluntarily submitted by the commenter ‘‘small numbers’’ and ‘‘specified The Navy proposes to implement may be publicly accessible. Do not geographical region’’ limitations and actions within the SOCAL Range submit Confidential Business amended the definition of ‘‘harassment’’ Complex to: Information or otherwise sensitive or as it applies to a ‘‘military readiness • Increase training and RDT&E protected information. activity’’ to read as follows (Section operations from current levels as NMFS will accept anonymous 3(18)(B) of the MMPA): necessary to support the Navy-wide comments. Attachments to electronic (i) any act that injures or has the significant training plan, known as the Fleet comments will be accepted in Microsoft potential to injure a marine mammal or Readiness Training Plan (FRTP);

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• Accommodate mission Special Use Airspace (SUA) Description of Specified Activities requirements associated with force As mentioned above, the Navy has structure changes and introduction of The SOCAL Range Complex includes military airspace designated as Warning requested MMPA authorization to take new weapons and systems to the Fleet; marine mammals incidental to training and Area 291 (W–291). W–291 comprises 2 2 activities in the SOCAL Range Complex • 113,000 nm (209,276 km ) of SUA that Implement enhanced range that would result in the generation of complex capabilities. generally overlies the SOCAL OPAREAs and SCI, extending to the southwest sound or pressure waves in the water at The Proposed Action would result in from approximately 12 nm (22 km) off or above levels that NMFS has selectively focused but critical increases the coast to approximately 600 nm determined will likely result in take (see in training, and range enhancements (1,111 km). W–291 is the largest Acoustic Take Criteria Section), either (including the establishment and use of component of SUA in the Navy’s range through the use of MFAS/HFAS or the a shallow-water minefield and inventory. detonation of explosives in the water. construction of a shallow-water training These activities are discussed below. range) to address testing and training San Clemente Island (SCI) resource shortfalls, as necessary to Activities Utilizing Active Sonar Sources SCI, a component part of the SOCAL ensure the SOCAL Range Complex For the SOCAL Range Complex, the Range Complex, is comprised of existing supports Navy and Marine Corps training activities that utilize active land ranges and training areas that are training and readiness objectives. The tactical sonar sources fall into the integral to training of Pacific Fleet air, proposed action would result in category of Anti-submarine Warfare surface, and subsurface units; First approximately a 12-percent increase in (ASW) exercises. This section includes Marine Expeditionary Force (I MEF) the amount of MFAS/HFAS currently a description of ASW, the active units; Naval Special Warfare (NSW) used. acoustic devices used in ASW exercises, units; and selected formal schools. SCI as well as the exercise types in which Overview of SOCAL Range Complex provides instrumented ranges, operating these acoustic sources are used. The U.S. Navy has been training and areas, and associated facilities to operating in the area now defined as the conduct and evaluate a wide range of ASW Training and Active Sonar SOCAL Range Complex for over 70 exercises within the scope of naval ASW involves helicopter and sea years. The SOCAL Range Complex has warfare. SCI also provides ranges and control aircraft, ships, and submarines, three primary components: Ocean services for RDT&E activities. Over 20 operating alone or in combination, in Operating Areas (SOCAL OPAREAs), Navy and Marine Corps commands operations to locate, track, and Special Use Airspace (SUA), and San conduct training and testing activities neutralize submarines. Controlling the Clemente Island (SCI). The Range on SCI. Due to its unique capabilities to undersea battlespace is a unique naval Complex is situated between Dana Point support multiple training operations, capability and a vital aspect of sea and San Diego, and extends more than SCI training activities encompass every control. Undersea battlespace 600 nautical miles (nm) (1,111 Navy primary mission area (PMAR), and dominance requires proficiency in kilometers (km)) southwest into the SCI provides critical training resources ASW. Every deploying strike group and Pacific Ocean (See the Navy’s for Expeditionary Strike Group (ESG), individual ASW-capable combatant application). The components of the Carrier Strike Group (CSG), and Marine must possess this capability. SOCAL Range Complex encompass Expeditionary Unit (MEU) certification Various types of active and passive 120,000 square nm (nm2) (411,600 exercises. sonars are used by the Navy to square km (km2)) of sea space, 113,000 SCI provides an extensive suite of determine water depth, locate mines, nm2 (387,500 km2) of SUA, and over 42 range capabilities for tactical training. and identify, track, and target nm2 (144 km2) of land (SCI). To SCI includes a Shore Bombardment submarines. Passive sonar ‘‘listens’’ for facilitate range management and Area (SHOBA), landing beaches, several sound waves by using underwater scheduling, the SOCAL Range Complex live-fire training areas and ranges microphones, called hydrophones, is divided into numerous sub- (TARs) for small arms, maneuver areas, which receive, amplify and process component ranges and training areas, and other dedicated ranges for the underwater sounds. No sound is which are described below. conduct of training in all Primary introduced into the water when using Mission Areas (PMARs). SCI includes passive sonar. Passive sonar can SOCAL OPAREAS extensive instrumentation, and provides indicate the presence, character and The ocean areas of the SOCAL Range robust opposing force simulation and movement of submarines. Passive sonar, Complex include surface and subsurface targets for use in land, sea-based, and air alternatively, provides only a bearing OPAREAs extending generally live-fire training. SCI also contains an (direction) to a sound-emitting source; it southwest from the coastline of airfield and other infrastructure for does not provide an accurate range southern California between Dana Point training and logistical support. (distance) to the source. Active sonar is and San Diego for approximately 600 Overlap With Point Mugu Sea Range for needed to locate objects because active nm into international waters to the west Certain Anti-Submarine Warfare sonar provides both bearing and range of Baja California, Mexico. Most of the Training (ASW) to the detected contact (such as an SOCAL OPAREAS are located under the enemy submarine). Warning Area 291 Airspace mentioned The Point Mugu Sea Range is a Navy Active sonar transmits pulses of below. Several SOCAL OPAREAs do not ocean range area north of and generally sound that travel through the water, lie under W–291. These OPAREAS are adjacent to the SOCAL Range Complex. reflect off objects and return to a used for ocean surface and subsurface ASW training conducted in the course receiver. By knowing the speed of sound training. Military aviation activities may of major exercises occurs across the in water and the time taken for the be conducted in airspace that is not boundaries of the SOCAL Range sound wave to travel to the object and designated as SUA, however, these Complex into the Point Mugu Sea back, active sonar systems can quickly aviation activities do not include use of Range. These cross-boundary events are calculate direction and distance from live or inert ordnance. addressed in this authorization request. the sonar platform to the underwater

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object. There are three types of active depth, hunting mines and guiding Acoustic Sources Used for ASW sonar: Low-frequency, mid-frequency, torpedoes. Exercises in SOCAL and high-frequency. Mid-frequency active sonar (MFAS) Low-frequency sonar operates below 1 operates between 1 and 10 kHz, with Modern sonar technology has kilohertz (kHz) and is designed to detect detection ranges up to 10 nautical miles developed a multitude of sonar sensor extremely quiet diesel-electric (nm). Because of this detection ranging and processing systems. In concept, the submarines at ranges far beyond the capability, MFAS is the Navy’s primary simplest active sonars emit omni- capabilities of mid-frequency active tool for conducting ASW. Many ASW directional pulses (‘‘pings’’) and time sonars. There are only two ships in use experiments and exercises have the arrival of the reflected echoes from by the U.S. Navy that are equipped with demonstrated that this improved the target object to determine range. low-frequency sonar; both are ocean capability for long range detection of More sophisticated active sonar emits surveillance vessels operated by adversary submarines before they are an omni-directional ping and then Military Sealift Command. Low- able to conduct an attack is essential to rapidly scans a steered receiving beam frequency active sonar is not presently U.S. ship survivability. Today, ASW is to provide directional, as well as range, utilized in the SOCAL Range Complex, the Navy’s #1 war-fighting priority. information. More advanced active Navies across the world utilize modern, and use of low-frequency active sonar is sonars transmit multiple preformed quiet, diesel-electric submarines which not contemplated in the Proposed beams, listening to echoes from several Action. pose the primary threat to the U.S. High-frequency active sonar (HFAS), Navy’s ability to perform a number of directions simultaneously and operates at frequencies greater than 10 critically necessary missions. Extensive providing efficient detection of both kilohertz (kHz). At higher acoustic training is necessary of sailors, ASW- direction and range. The types of active frequencies, sound rapidly dissipates in capable units, and strike groups are to sonar sources employed during ASW the ocean environment, resulting in gain proficiency in using MFAS. If a active sonar training exercises in the short detection ranges, typically less strike group does not demonstrate SOCAL Range Complex are identified in than five nm. High-frequency sonar is MFAS proficiency, it cannot be certified Table 1. used primarily for determining water as combat ready. BILLING CODE 3510–22–P

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BILLING CODE 3510–22–C and target enemy submarines and fixed-wing aircraft into the ocean in a ASW sonar systems are deployed surface ships. Because submarine MF predetermined pattern with a few buoys from certain classes of surface ships, active sonar (AN/BQQ–10) use is very covering a very large area. The AN/ submarines, helicopters, and fixed wing rare and in those rare instances, very SSQ–110A Sonobuoy Series is an maritime patrol aircraft (Table 1). The brief (only approximately 2 pings per expendable and commandable surface ships used are typically hour), it is extremely unlikely that use sonobuoy. Upon command from the equipped with hull-mounted sonars of active sonar by submarines would aircraft, the bottom payload is released (active and passive) and towed-array have any measurable effect on marine to sink to a designated operating depth. passive sonar for the detection of mammals. However, submarine sonar A second command is required from the submarines. Helicopters equipped with was included in the modeling for aircraft to cause the second payload to dipping sonar or sonobuoys are utilized estimating exposures of marine release and detonate generating a to locate submarines or submarine mammals to sonar sounds. Estimates of ‘‘ping’’. There is only one detonation in targets within the training area. In exposure are also included for the HF the pattern of buoys at a time. The AN/ addition, fixed wing marine patrol AN/BQQ–15 which is used for SSQ–110A is listed in this table because aircraft (MPA) are used to deploy both navigation. it functions like a sonar ping, however, active and passive sonobuoys to assist Aircraft Sonar Systems—Aircraft the source creates an explosive in locating and tracking submarines sonar systems that would operate in the detonation and its effects are considered during the duration of the exercise. SOCAL Range Complex include DICASS in the underwater explosive section. Submarines are equipped with hull- sonobuoys (AN/SSQ–62; source level of Torpedoes—Torpedoes are the mounted sonars sometimes used to 201 dB) and dipping sonar (AN/AQS– primary ASW weapon used by surface locate and prosecute other submarines 22). Sonobuoys may be deployed by ships, aircraft, and submarines. The and/or surface ships during the exercise. maritime patrol aircraft or helicopters; guidance systems of these weapons can The platforms used in ASW exercises dipping sonars are used by carrier-based be autonomous or electronically are identified below. helicopters. A sonobuoy is an controlled from the launching platform Surface Ship Sonars—A variety of expendable device used by aircraft for through an attached wire. The surface ships participate in testing and the detection of underwater acoustic autonomous guidance systems are training events. Some ships (e.g., aircraft energy and for conducting vertical water acoustically based. They operate either carriers, amphibious assault ships) do column temperature measurements. passively, exploiting the emitted sound not have any onboard active sonar Most sonobuoys are passive, but some energy by the target, or actively, by systems, other than fathometers. Others, can generate active acoustic signals, as reflecting a sonar signal off the target like guided missile cruisers, are well as listen passively. Dipping sonar and using the received echoes for equipped with active as well as passive is an active or passive sonar device guidance. The MK–48 torpedo was tactical sonars for mine avoidance and lowered on cable by helicopters to modeled for active sonar transmissions submarine detection and tracking. For detect or maintain contact with during specified training operations purposes of the analysis, the SQS–53 underwater targets. During ASW within the SOCAL Range Complex. The was modeled as having a nominal training, these systems active modes are MK–48 sonar with a higher source level source level of 235 decibels (dB) re only used briefly for localization of was also conservatively used to account 1 µPa @ 1 m, and the SQS–56 was contacts and are not used in primary for MK–46 torpedo exercises. modeled as having a nominal source search capacity. Because active mode Other Acoustic Sources—The Navy level of 225 decibels (dB) re 1 µPa @ 1 dipping sonar use is very brief and has also utilizes the sources listed below in m. Sonar ping transmission durations a lower normal source level than hull- ASW exercises. However, based on were modeled as lasting 1 second per mounted active sonars, it is extremely operational characteristics (such as ping and omni-directional, which is a unlikely its use would have any effect frequency and source level), the Navy conservative assumption that will on marine mammals. However, the AN/ determined that use of the following overestimate potential effects. Actual AQS–22 dipping sonar was modeled acoustic sources would not likely result ping durations will be less than 1 based on estimated use during major in the take of marine mammals: second. The SQS–53 hull-mounted training exercises within the SOCAL • Acoustic Device Countermeasures sonar transmits at center frequencies of Range Complex. (ADC)—Several types of acoustic 2.6 kHz and 3.5 kHz. The SQS–56 sonar Extended Echo Ranging and Improved counter measure devices could be transmits at a center frequency of 7.5 Extended Echo Ranging (EER/IEER) deployed during Fleet training kHz. Details concerning the tactical use Systems—EER/IEER are airborne ASW exercises, including the free-floating of specific frequencies and the systems used in conducting large area submarine launched Acoustic Device repetition rate for the sonar pings is searches for submarines. These systems Countermeasure (MK–1, MK–2, MK–3, classified but was modeled based on the are made up of airborne avionics, ASW MK–4), the free-floating submarine required tactical training setting. acoustic processing and sonobuoy types launched Noise Acoustic Emitter (NAE), Hull-mounted active sonars that are deployed in pairs. The IEER and the surface ship towed AN/SLQ– occasionally operate in a mode called System’s active sonobuoy component, 25A (NIXIE). Countermeasure devices ‘‘Kingfisher,’’ which is designed to the AN/SSQ–110A Sonobuoy, would are submarine simulators and act as better detect smaller objects. The generate a sonar ‘‘ping’’ (actually small decoys to avert localization and torpedo Kingfisher mode uses the same source explosive detonation) and the passive attacks. level and frequency as normal search AN/SSQ–101A ADAR Sonobuoy would • Training Targets—ASW training modes, however, it uses a different ‘‘listen’’ for the return echo of the sonar targets consisting of MK–30 and/or MK– waveform (designed for small objects), a ping that has been bounced off the 39 EMATT are used to simulate shorter pulse length (< 1 sec), a higher surface of a submarine. These opposition submarines. They are pulse repetition rate (due to the short sonobuoys are designed to provide equipped with one or a combination of ranges), and the ping is not underwater acoustic data necessary for the following devices: (1) Acoustic omnidirectional, but directed forward. naval aircrews to quickly and accurately projectors emanating sounds to simulate Submarine Sonars—Submarine active detect submerged submarines. The submarine acoustic signatures; (2) echo and passive sonars are used to detect sonobuoy pairs are dropped from a repeaters to simulate the characteristics

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of the echo of a particular sonar signal end of this section, summarizes the Torpedo Exercise (TORPEX) reflected from a specific type of exercise types (both sonar and Anti-submarine Warfare Torpedo submarine; and (3) magnetic sources to explosive) and they are further Exercises (ASW TORPEX) operations, trigger magnetic detectors. described below. Note that the names • which are independent unit-level Range Sources. Range pingers are and exact composition of these exercises exercises, train crews in tracking and active acoustic devices that allow each may change, however, the basic attack of submerged targets, firing one or of the in-water platforms on the range components are described here and the two exercise torpedoes (EXTORPs) or (e.g., ships, submarines, target total hours of sonar sound source and recoverable exercise torpedoes simulators, and exercise torpedoes) to explosive use will not exceed those (REXTORPs). TORPEX targets used in be tracked by the instrumented range described in this document. the Offshore Areas include live hydrophones on the Southern California submarines, MK 48 torpedoes, MK–30 Antisubmarine Warfare Tracking ASW Range (SOAR) west of San ASW training targets, and MK–39 Clemente Island. In addition to Exercise (TRACKEX) Expendable Mobile ASW Training passively tracking the pinger signal from A TRACKEX, which is an Targets (EMATT). The target may be each range participant, the range non-evading while operating on a transducer nodes also are capable of independent unit-level exercise, tests the Naval Strike Group’s (NSG) ability specified track, or it may be fully transmitting acoustic signals for a evasive, depending on the training limited set of functions. These functions to locate and track an unknown or hostile submarine over a predetermined requirements of the operation. include submarine warning signals, The ASW TORPEX-Surface involves a time. This operation tests the NSG’s acoustic commands to submarine target surface ship using hull-mounted and simulators (acoustic command link), ability to coordinate the positioning of towed sonar arrays to search for, detect, and occasional voice or data assets including surface, air, and classify, localize, and track a simulated communications (received by subsurface, and the effective threat submarine. Submarines participating ships and submarines on communication and turnover of periodically conduct TORPEXs within range). responsibility for maintaining coverage the SOCAL Range Complex. Typical of the unknown submarine. Types of ASW Exercises in the SOCAL duration of a submarine TORPEX The TRACKEX-surface involves a exercise is 10 hours, while air and The Navy’s ASW training plan, surface ASW platform TORPEX including the use of active sonar in at- surface ship employing hull mounted operations are considerably shorter. sea training scenarios, includes multiple and/or towed array sonar against a target levels of training. Independent Unit- which may be an Expendable Mobile Ship ASW Readiness and Evaluation level ASW training (such as TRACKEX Anti-submarine Warfare Training Target Measuring (SHAREM) (EMATT) or live submarine. The target and TORPEX exercises) addresses basic SHAREM is a Chief of Naval skills such as detection and may be either non-evading and assigned to a specified track or fully evasive Operations (CNO) chartered program classification of contacts, distinguishing with the overall objective to collect and depending on the state of training of the discrete acoustic signatures including analyze high-quality data to ship and crew. Passive and active sonar those of ships, submarines, and marine quantitatively ‘‘assess’’ surface ship may be employed depending on the life, and identifying the characteristics, ASW readiness and effectiveness. The functions, and effects of controlled type of threat submarine, the tactical SHAREM is an integrated unit-level jamming and evasion devices. situation, and water conditions that may event and will typically involve The Navy must execute training affect sonar effectiveness. Active sonar multiple ships, submarines, and aircraft involving ships, aircraft, submarines, transmits at varying power levels, pulse in several coordinated events over a and Marine Corps forces operating in types, and intervals, while passive sonar period of a week or less. A SHAREM multiple dimensions (at sea, undersea, listens for noise emitted by the threat may take place once per year in SOCAL. in the air, and on land) in order to submarine. Passive sonar is typically ensure the readiness of naval forces. employed first for tactical reasons, Sustainment Exercise Unit training proceeds on a continuum, followed by active sonar to determine Included in the FRTP is a requirement ranging from events involving a small an exact target location; however, active to conduct post-deployment number of ships, submarines, or aircraft sonar may be employed during the sustainment, training, and maintenance. engaged in training tailored to specific initial search phase against an extremely The sustainment exercise, which is an tasks, to large-scale pre-deployment or quiet submarine or in situations where integrated unit-level exercise, ensures readiness exercises involving Strike the water conditions do not support that the components of a Strike Group Groups. Exercises involving an entire acceptable passive reception. There is maintain an acceptable level of Strike Group are referred to as major no ordnance expended in this exercise. readiness after returning from range events (JTFEX and COMPTUEX). An ASW TRACKEX-Surface usually deployment. A sustainment exercise is Smaller, integrated unit-level exercises lasts two to four hours. an exercise designed to challenge the are complex events (SHAREM, IAC2, or strike group in all warfare areas. This sustainment exercise), but of lesser This exercise may involve a single ship, or may be undertaken in the exercise is similar to a COMPTUEX but scope than major range events, which of shorter duration. One to two pursue tailored training objectives for context of a coordinated larger exercise involving multiple aircraft and/or ships, sustainment exercises may occur each components of a Strike Group. It is year in SOCAL. useful to view larger exercises as being including a major range event. composed of individual training events The Navy also conducts Submarine Integrated ASW Course Phase II (IAC2) conducted in a coordinated fashion. For TRACKEX exercises. However, during IAC2 exercises are combined aircraft example, the ASW portions of a major this event, passive sonar is used almost and surface ship events. The IAC2 range event might include multiple exclusively; active sonar use is tactically consists of two 12-hour events TRACKEX and TORPEX events, proscribed because it would reveal the conducted primarily on SOAR over a 2– conducted simultaneously with aviation tracking submarine’s presence to the 3 day period. SOAR is an undersea or amphibious training. Table 2, at the target submarine. warfare range providing instrumented

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three dimensional tracking over a 670 sq expeditionary strike group (ESG) is a Corps forces. Special Operations nm area within the large Southern complicated polygon covering an area as training may also be integrated with the California Offshore Range (SCORE). The large as 50,000 nm 2. exercise scenario. The COMPTUEX is typical participants include four A major range event is comprised of typically 21 days in length. The exercise helicopters, two P–3 aircraft, two several ‘‘unit level’’ range operations is conducted in accordance with a adversary submarines, and two Mk 30 or conducted by several units operating schedule of events, which may include Mk 39 targets. Frequently, IAC2s together while commanded and two 1-day, scenario-driven, ‘‘mini’’ include the introduction of an off-range controlled by a single commander. battle problems, culminating with a Mk 30 target. Four IAC2 exercises may These exercises typically employ an scenario-driven free play (as opposed to occur per year. exercise scenario developed to train and scripted) 3-day Final Battle Problem evaluate the Strike Group/Force in where the strike group is required to Major Range Events required naval tactical tasks. In a major respond to dynamic maneuvers.’’ The Navy conducts large-scale range event, most of the operations and exercises, or major ranges events, in the activities being directed and COMPTUEX occurs three to four times SOCAL Range Complex. These exercises coordinated by the Strike Group per year. are required for pre-deployment commander are identical in nature to • Joint Task Force Exercise (JTFEX). certification of naval formations. The the operations conducted in the course The JTFEX is a dynamic and complex composition of the force to be trained, of individual, crew, and smaller-unit major range event that is the and the nature of its mission upon training events. In a major range event, culminating exercise in the Sustainment deployment, determines the scope of the however, these disparate training tasks Phase training and certification event exercise. The Navy currently conducts are conducted in concert, rather than in for the CSGs and ESGs. For an ESG, the up to eight major range events per year. isolation. exercise incorporates an Amphibious Major range events bring together the Major range events include: • Ready Group (ARG) Certification component elements of a Strike Group Composite Training Unit Exercise Exercise (ARG CERT) for the or Strike Force (that is, all of the various (COMPTUEX). The COMPTUEX is an amphibious ships and a Special Integration Phase, at-sea, major range ships, submarines, aircraft, and Marine Operations Capable Certification Corps forces) to train in complex event. For the CSG, this exercise (SOCCERT) for the MEU. When command, control, operational integrates the aircraft carrier and carrier schedules align, the JTFEX may be coordination, and logistics functions. air wing with surface and submarine conducted concurrently for an ESG and Major range events require vast areas of units in a challenging operational sea space and airspace for the exercise environment. For the ESG, this exercise CSG. JTFEX emphasizes mission of realistic training, as well as land areas integrates amphibious ships with their planning and effective execution by all for conducting land attack training associated air wing, surface ships, primary and support warfare events. The training space required for submarines, and Marine Expeditionary commanders, including command and these events is a function of naval Unit. Live-fire operations that may take control, surveillance, intelligence, warfighting doctrine, which favors place during COMPTUEX include long- logistics support, and the integration of widely dispersed units capable of range air strikes, Naval Surface Fire tactical fires. JTFEX is mostly a free-play projecting forces and firepower at high Support (NSFS), and surface-to-air, (as opposed to scripted) event. JTFEX is speeds across distances of up to several surface-to-surface, and air-to-surface normally 10 days long, not including a hundred miles in a coordinated fashion, missile exercises. The MEU also 3-day in-port Force Protection Exercise, to concentrate on an objective. The conducts realistic training based on and is the final at-sea exercise for the three-dimensional space required to anticipated operational requirements CSG or ESG prior to deployment. JTFEX conduct a major range event involving and to further develop the required occurs three to four times per year. a carrier strike group (CSG) or coordination between Navy and Marine BILLING CODE 3510–22–P

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Activities Utilizing Underwater the water, and so a ‘‘hit’’ is not modeled chosen to represent the worst case of the Detonations (i.e., the energy (either acoustic or possible scenarios as related to potential Underwater detonation activities can pressure) from the hit is not expected to marine mammals impacts). Exercises occur at various depths depending on reach levels that would result in take of may utilize either live or inert ordnance the activity (sinking exercise [SINKEX] marine mammals). When a live weapon of the types listed in Table 3. and mine neutralization), but may also misses, it is modeled as exploding Additionally, successful hit rates are include activities which may have below the water surface at 1 ft (5-inch known to the Navy and are utilized in detonations at or just below the surface naval gunfire, 76-mm rounds), 2 meters the effects modeling. Training events (SINKEX, gunnery exercise [GUNEX], or (Maverick, Harpoon, MK–82, MK–83, that involve explosives and underwater missile exercise [MISSILEX]). When the MK–84), or 50 ft (MK–48 torpedo) as detonations occur throughout the year weapons hit the target, except for live shown in Appendix A of the Navy’s and are described below and torpedo shot, there is no explosion in application, Table A–7 (the depth is summarized in Table 2.

BILLING CODE 3510–22–C • Two-hundred and fifty rounds for a 42 FAST or a MK–58 marker (smoke) Sinking Exercise (SINKEX) 5-inch gun. buoy. The gun systems employed • One MK–48 heavyweight against surface targets include the 5- In a SINKEX, a specially prepared, submarine-launched torpedo. inch, 76 millimeter (mm), 57-mm, 25- deactivated vessel is deliberately sunk mm chain gun, 20-mm Close-in Weapon using multiple weapons systems. The Air-to-Surface Gunnery Exercise (A–S GUNEX) System (CIWS), and .50 caliber machine exercise provides training to ship and gun. Typical ordnance expenditure for a aircraft crews in delivering both live Air-to-Surface GUNEX operations, single GUNEX is 21–70 rounds of 5- and inert ordnance on a real target. which may be conducted in W291, are inch, 76-mm, or 57-mm ammunition, These target vessels are empty, cleaned, conducted by fixed or rotary-wing and approximately 150 rounds of 25- and environmentally remediated ship aircraft against stationary targets mm or .50-caliber ammunition. Both hulk (i.e., a hulk that has been stripped (Floating at-sea Target [FAST] and live and inert training rounds are used. of all hazardous materials and potential smoke buoy). Rotary-wing aircraft After impacting the water, the rounds marine water contaminants in involved in this operation would and fragments sink to the bottom of the accordance with the requirements of 40 include a single SH–60 using either ocean. A GUNEX lasts up to 2.5 hours, CFR 229.2 [Transport of target vessels]). 7.62-mm or .50-caliber door-mounted depending on target services and A SINKEX target is towed to sea and set machine guns. A typical A–S GUNEX weather conditions. The live 5-inch, 57- adrift at the SINKEX location. The will last approximately one hour and mm and 76-mm rounds are considered duration of a SINKEX is unpredictable involve the expenditure of in the underwater detonation modeling. since it ends when the target sinks, approximately 400 rounds of 0.50- Naval Surface Fire Support exercises sometimes immediately after the first caliber or 7.62-mm ammunition. Due to (NSFS), in which crews train in naval weapon impact and sometimes only the inert nature of the ammunition and gunnery against shore targets using the after multiple impacts by a variety of the small size of the rounds, they are not same ammunition as a GUNEX, are weapons. Typically, the exercise lasts considered to have an underwater included with GUNEX both in Table 2 for 4 to 8 hours over 1 to 2 days. detonation impact. and further discussion (though separate SINKEXs occur only occasionally Surface-to-Surface Gunnery Exercise mitigation is described in the Mitigation during SOCAL Range Complex (S–S GUNEX) section). NSFS may be conducted in exercises. SOAR, MIR, or SHOBA. Some or all of the following weapons Surface gunnery exercises (GUNEX) may be employed in a SINKEX: take place in the open ocean (W291 and Air-to-Surface Missile Exercise (A–S • Three HARPOON surface-to-surface SOAR) to provide gunnery practice for MISSILEX) and air-to-surface missiles. Navy and Coast Guard ship crews. This The air-to-surface missile exercise • Two to eight air-to-surface Maverick exercise may involve a single firing (MISSILEX [A–S]) consists of the missiles. ship, or be undertaken in the context of attacking platform releasing a forward- • Two to four MK–82 General a coordinated larger exercise involving fired, guided weapon at the designated Purpose Bombs. multiple ships, including a major range towed target. The exercise involves • Two Hellfire air-to-surface missiles. event. GUNEX training operations locating the target, then designating the • One SLAM–ER air-to-surface conducted in the Offshore OPAREA target, usually with a laser. MISSILEX missile. involve stationary targets such as a MK– (A–S) training that does not involve the

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release of a live weapon can take place smoke buoy or other floating target, and weight used against each mine ranges if the attacking platform is carrying a then set up a racetrack pattern, dropping from less than 1 pound to 20 pounds. captive air training missile (CATM) on the target with each pass. A Various types of surveying equipment simulating the weapon involved in the BOMBEX may involve either live or may be used during mine detection. training. The CATM MISSILEX is inert ordnance. Examples include the Canadian Route identical to a live-fire exercise in every Mine Warfare (MIW)/ Mine Survey System that hydrographically aspect except that a weapon is not Countermeasures (MCM) maps the ocean floor using multi-beam released. The operation requires a laser- side scan sonar and the Bottom Object safe range as the target is designated just MIW is the naval warfare area Inspection Vehicle used for object as in a live-fire exercise. involving the detection, avoidance, and identification. These units can help in From 1 to 16 aircraft, carrying live, neutralization of mines to protect Navy supporting mine detection prior to inert, or CATMs, or flying without ships and submarines, and offensive Special Warfare Operations ordnance (dry runs) are used during the mine laying in naval operations. A naval (SPECWAROPS) and amphibious exercise. At sea, seaborne powered mine is a self-contained explosive exercises. targets (SEPTARs), Improved Surface device placed in water to destroy ships All demolition activities are Towed Targets (ISTTs), and or submarines. Naval mines are conducted in accordance with decommissioned hulks are used as deposited and left in place until established Navy guidelines and targets. MISSILEX (A–S) assets include triggered by the approach of or a contact procedures for disposal of explosives at helicopters and/or 1 to 16 fixed wing with an enemy ship, or are destroyed or sea. Before any explosive is detonated, aircraft with air-to-surface missiles and removed. Naval mines can be laid by divers are transported a safe distance anti-radiation missiles (electromagnetic purpose-built minelayers, other ships, away from the explosive. submarines, or airplanes. MIW training radiation source seeking missiles). Standard practices for tethered mines includes Mine Countermeasures (MCM) When a high-speed anti-radiation in the SOCAL Range Complex require Exercises and Mine Laying Exercises missile (HARM) is used, the exercise is ground mine explosive charges to be (MINEX). MCM training is currently called a HARMEX. Targets include suspended 10 feet below the surface of conducted on the Kingfisher Range and SEPTARs, ISTTs, and excess ship hulks. the water. offshore areas in the Tanner and Cortes Surface-to-Surface Missile Exercise (S– Banks. MCM training engages ships’ Mine neutralization exercises would S MISSILEX) crews in the use of sonar for mine involve training using Organic Airborne Surface-to-surface missile exercise detection and avoidance, and minefield Mine Countermeasures (OAMCM) (MISSILEX [S–S]) involves the attack of navigation and reporting. The proposed systems employed by helicopters in surface targets at sea by use of cruise extension of the SOAR is intended for simulated threat minefields with the missiles or other missile systems, use in such training. MINEX events goal of clearing a safe channel through usually by a single ship conducting involve aircraft dropping inert training the minefield for the passage of friendly training in the detection, classification, shapes, and less frequently submarine ships. Once a mine shape is located, tracking and engagement of a surface mine laying. MINEX events are mine neutralization is simulated. target. Engagement is usually with conducted on the MINEX Training Helicopters engaged in MCM training Harpoon missiles or Standard missiles Ranges in the Castle Rock, Eel Point, would be configured with one or more China Point, and Pyramid Head areas of the following systems: in the surface-to-surface mode. Targets • could include virtual targets or the offshore of SCI. AN/AQS–20 Mine Hunting System: SEPTAR or ship deployed surface target. Mine Neutralization operations The AQS–20 is an active high MISSILEX (S–S) training is routinely involve the detection, identification, resolution, side-looking, multibeam conducted on individual ships with evaluation, rendering safe, and disposal sonar system used for mine hunting of embedded training devices. of mines and unexploded ordnance deeper mine threats along the ocean A MISSILEX (S–S) could include 4 to (UXO) that constitutes a threat to ships bottom. It is towed by a helicopter. A 20 surface-to-surface missiles, or personnel. Mine neutralization small diameter electromechanical cable SEPTARs, a weapons recovery boat, and training can be conducted by a variety is used to tow the rapidly-deployable a helicopter for environmental and of air, surface and sub-surface assets. system that provides real-time sonar photo evaluation. All missiles are Potential harassment would be from images to operators in the helicopter. • equipped with instrumentation underwater detonation. AN/AES–1 Airborne Laser Mine packages or a warhead. Surface-to-air Tactics for neutralization of ground or Detection System (ALMDS): ALMDS is missiles can also be used in a surface- bottom mines involve the diver placing a helicopter-mounted system that uses to-surface mode. MISSILEX (S–S) a specific amount of explosives, which Light Detection and Ranging (LIDAR) activities are conducted withinW–291. when detonated underwater at a specific blue-green laser technology to detect, Each exercise typically lasts five hours. distance from a mine results in classify, and localize floating and near- Future MISSILEX S–S could range from neutralization of the mine. Floating, or surface moored mines in shallow water. • 4 to 35 hours. moored, mines involve the diver placing AN/ALQ–220 Organic Airborne S–S MISSILEX exercises only occur a specific amount of explosives directly Surface Influence Sweep (OASIS). during SINKEX exercises, and the hours on the mine. Floating mines OASIS is a helicopter deployed, towed- of S–S MISSILEX are included in the encountered by Fleet ships in open- body, 10 ft long and 20 inches in total hours of SINKEX indicated in ocean areas will be detonated at the diameter that is self-contained, allowing Table 2. surface. In support of an expeditionary for the emulation of magnetic and assault, divers and Navy marine acoustic signatures of the ships. Bombing Exercise (BOMBEX) mammal assets deploy in very shallow • Airborne Mine Neutralization Fixed-wing aircraft conduct bombing water depths (10 to 40 feet) to locate System (AMNS): AMNS is a helicopter- exercise (BOMBEX [Sea]) operations mines and obstructions. Divers are deployed underwater vehicle that against stationary targets (MK–42 FAST transported to the mines by boat or searches for, locates, and destroys or MK–58 smoke buoy) at sea. An helicopter. Inert dummy mines are used mines. This vehicle is a self-propelled, aircraft will clear the area, deploy a in the exercises. The total net explosive unmanned, wire-guided munition with

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homing capability that expends itself avoidance. Use of the ARPA shallow additional areas of the current SOAR, during the mine destruction process. water minefield would be expanded one 250nm2 (463-km2) area to the west • AN/AWS–2 Rapid Airborne Mine from its current use by submarines to of the already instrumented (deep Clearance System (RAMCIS): RAMICS is include surface ships and helicopters. water) section, in the area of Tanner/ a helicopter-borne weapon system that On the ARPA, 35 mine shapes Cortes Banks, and one 250 nm2 (463- fires a 30mm projectile from a gun or approximately 30–35 inches in km2) area between the deep water cannon to neutralize surface and near- diameter, constructed of cylinders section and the southern section of SCI surface mines. RAMICS uses LIDAR weighted with cement, are placed (See Figure 2–3). Once in place, the new technology to detect mines. approximately 500–700 yards apart, instrumentation in the SWTR would Mine neutralization exercises also either moored (no drilling is required) expand the areas of the Navy’s existing would involve shipboard MCM systems, or simply set on the sea floor. Mine program on SOAR to enhance the ability including the Remote Minehunting shapes are recoverable and replaceable, to use passive hydrophones to detect System (RMS). The RMS is an and typically need maintenance or and track marine mammals. If installed unmanned, semi-submersible vehicle cleaning every two years. in these areas, use of the SWTR would that tows a variable-depth sensor to In addition to expanded use of the increase the use of these areas for ASW detect, localize, classify and identify ARPA, the Navy proposes to establish training involving MFAS. mines. The RMS includes a shipboard an offshore shallow water minefield on The proposed instrumentation would launch and recovery system. Tanner Banks. The training area would be in the form of undersea cables and Mine neutralization exercises also be approximately 2 by 3 nm in size. sensor nodes. The cables and sensors would involve submarine-deployed Mine shapes like those used at ARPA would be similar to those that MCM systems, the Long-term Mine would be placed on the ocean floor, instrument the current deep water range Reconnaissance System (LMRS). The with a total of 15 mine shapes in three at (SOAR). The new areas would form LMRS employs a self-propelled rows of five. This offshore MCM range an integral SWTR capability for SOAR. underwater vehicle equipped with would be utilized by surface ships The combination of deep water and forward-looking search sonar and side- training to detect, classify and localize shallow water instrumentation would looking classification sonar. underwater mines. support a seamless tracking interface Locations proposed for mine MCM training involving ships or from deep to shallow water, which is an neutralization training are: Pyramid helicopters typically employ mid-to essential element of effective ASW Cove; Northwest Harbor; Kingfisher high-frequency navigation and mine training. The instrumented area would Training Range; MTR–1, MTR–2, and detecting sonar systems. Once a mine be connected to shore via multiple trunk Advanced Research Project Agency shape is located, mine neutralization is cables. (ARPA). simulated. Surface ships engaged in The SWTR instrumentation would be The unusual physical bathymetries, MCM training at ARPA and Tanner an undersea cables system integrated the low numbers of protected species Banks MCM ranges would utilize the with hydrophone and underwater and the training routines at the sites Remote Mine Hunting System (RMS). telephone sensors, called nodes, where these exercises are conducted The RMS is an unmanned, semi- connected to each other and then combine with the unusual pressure- submersible vehicle that will be connected by up to eight trunk cable(s) wave propagation characteristics of the deployed from both the DDG–51 Class to a land-based facility where the Northwest Harbor, where multiple destroyer and the LCS. The RMS is collected range data are used to evaluate charges are used, to allow exceptionally launched and recovered by the host ship the performance of participants in reliable and effective mitigation using a davit system. After deployment, shallow water (120’-600’deep) training procedures. The exceptional reliability the RMS enters the target zone to exercises. The basic proposed features of visual detection of protected species perform reconnaissance for bottom-laid of the instrumentation and construction at these sites allows for complete mines. An area search is conducted follow. mitigation within a radius that extends following an operator-programmed The transducer nodes are capable of out to the distance at which only the search pattern. The RMS searches using both transmitting and receiving acoustic lowest degree of temporary auditory low-power (< 85dB) acoustic sonar. signals from ships operating within the threshold shift (onset-TTS) would be Upon detecting a mine, the RMS unit instrumented areas of SOAR (a expected to occur (if mitigation were not will localize and photograph the object transducer is an instrument that so effective at the site). Therefore, the for classification, and then continue on converts one form of energy into another Navy and NMFS do not expect mine its programmed search. When the search [in this case, underwater sound into an neutralization exercises to result in the portion of the mission is completed, the electrical signal or vice-versa]). Some take of marine mammals and no take RMS will proceed to a programmed nodes are configured to only support authorization pursuant to this activity location for recovery. receiving signals, some can both type has been proposed. The exercises that will be conducted transmit and receive, and others are on these minefields have been described transmit-only versions. The acoustic Shallow Water Minefield in previous sections and any expected signals that are sent from the exercise Currently, the Navy conducts mine take of marine mammals will be participants (e.g., submarines, countermeasures (MCM) training on two included when those exercise types are torpedoes, ships) to the receive-capable existing ranges in the SOCAL Range analyzed in later sections. NMFS does range nodes allow the position of the Complex: the Kingfisher Range off SCI not expect the actual expansion and participants to be determined and stored and the ARPA Training Minefield off La formation of the minefields to result in electronically for both real-time and Jolla. The ARPA has historically been any take of marine mammals. future evaluation. The transmit-capable used for shallow water submarine and nodes allow communication from the MCM training, and is the desired Shallow Water Training Range (SWTR) range to ships or other devices that are location for expanding MCM training. Extension being tracked. More specifically: ARPA currently supports the submarine The SWTR component of the • The SWTR extension would consist training requirement for a shallow water Proposed Action would provide of no more than 500 sensor nodes minefield to train in small object underwater instrumentation for two spread on the ocean floor over a 500-nm

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area. The distance between nodes would junction box located outside the evaluation (RDT&E), engineering, and vary between 0.5nm and 3nm, nearshore area and places the trunk fleet support for command, control, and depending on water depth. Each sensor cable in a horizontally directionally communications systems and ocean node would be similar on construction drilled bore that terminates on shore. surveillance in the SOCAL Range to the existing SOAR instrumentation. The size of the SWTR may require up Complex, primarily in the vicinity of The sensor nodes are small spherical to 8 junction boxes and 8 trunk cables. SCI. Specific events include ship shapes of less than 6 inches in diameter. Multiple horizontal bores are in the tracking and torpedo tests, unmanned The sensors would be either suspended SOAR. Every effort would be made to underwater vehicle (UUV) tests; and up to 15 feet in the water column or lie take advantage of any excess bore sonobuoy quality assurance/quality flat on the seafloor. Sensor nodes capacity available in the SOAR. control. located in shallow water with a • The in-water instrumentation The San Diego Division of the Naval presence of commercial fishing activity system would be structured to achieve Undersea Warfare Center (NUWC) is a would have an additional protective a long operating life, with a goal of 20 Naval Sea Systems Command device surrounding or overlaying a years and with a minimum of (NAVSEA) organization supporting the sensor. These mechanical protective maintenance and repair throughout the Pacific Fleet. NUWC operates and devices would be 3–4 feet round or life-cycle. This is due to the high cost maintains the SCI Underwater Range rectangular with a shallow height. The of performing at-sea repairs on (SCIUR). NUWC conducts tests, final physical characteristics of the transducer nodes and cables, the analysis, and evaluation of submarine sensor nodes would be determined inherently long lead-time to plan, USW exercises and test programs. based upon local geographic conditions permit, fund and conduct such repairs NUWC also provides engineering and and to accommodate man-made threats (6–18 months) and the loss of range technical support for Undersea Warfare such as fishing activity. Sensor nodes capability while awaiting completion. (USW) programs and exercises, design would be connected to each other by The long life performance would be cognizance of underwater weapons interconnect cable (standard submarine achieved by using high quality acoustic and tracking ranges and telecommunications cable with components, proven designs, and associated range equipment, and diameters less than 1 inch). multiple levels of redundancy in the provides proof testing and evaluation Approximately 900nm of interconnect system design. This includes back-up for underwater weapons, weapons cable would be deployed. capacity for key electronic components systems, and components. • A series of sensor nodes would be and fault tolerance to the loss of Additional information on the Navy’s connected via the interconnect cable to individual sensors or even an entire proposed activities may be found in the an underwater junction box(es) located sensor string. The use of materials LOA Application and Appendix A of in diver-accessible water depths. A capable of withstanding long term the Navy’s SOCAL DEIS. junction box is rectangular in shape exposure to high water pressure and salt Description of Marine Mammals in the with dimensions of 10–15 feet on each water-induced corrosion is also Area of the Specified Activities side. The junction box(es) would important. Periodic inspection and connect to a shore-based facility via maintenance in accessible areas also The California Current passes through trunk cable(s) (submarine cables up to 2 extends system life. the SOCAL Range Complex, creating a inch diameter with additional data The Navy would submit cable area mixing of temperate and tropical waters, capacity). The trunk cable(s) eliminate coordinates to the National Geospatial and making this area one of the most the need to have numerous interconnect Intelligence Agency (NGA) and request productive ocean systems in the world cables running to shore. Up to 8 trunk that the combined SWTR/SOAR area be (Hickey 1979, Hickey 1992, Daily et al. cables with a combined length of 375nm noted on charts within the appropriate 1993, DoN 2002a). Because of this would be employed. Trunk cables warning area. This area would be noted productive environment, there is a rich would be protected in the sea-shore area in the U.S. Coast Pilot as a Military marine mammal fauna, as evidenced in by horizontally directionally drilled Operating Area (MOA), as are other abundance and species diversity pipes running beneath the shoreline. areas on the West Coast. The Navy may (Leatherwood et al., 1988; Bonnell and • The interconnect and trunk cables promulgate a Notice to Mariners Dailey, 1993). In addition to many would be deployed using a ship with a (NOTMAR) and a Notice to Airmen marine mammal species that live in the length overall up to 300 feet. The trunk (NOTAM) within 72 hours of the area year-round and use the region’s cable paths would be routed through the training activities, as appropriate. coasts and islands for breeding and deep water as much as is possible. Installation of the SWTR hauling out, there is a community of Trunk cable deployed in shallow water instrumentation array may be done in seasonal residents and migrants. The may require cable burial. Burial phases. For example, the Tanner Bank narrow continental shelf along the equipment would cut (hard bottom) or area could be installed first, followed by Pacific coast and the presence of the plow (soft sediment) a furrow 4 inches the eastern area. The decision as to cold California Current sweeping down (10 cm) wide by up to 36 inches deep. whether or not to proceed in phases, from Alaska allows cold-water marine Burial equipment (tracked vehicle or how many phases, and the order in mammal species to reach nearshore towed plow) would be deployed from a which the phases are executed is based waters as far south as Baja California. ship. The trunk cable, which passes on multiple factors, including weather, The Southern California Bight (SCB) is through the sea-shore area, would ship availability and capacity, the major geological region occurring terminate in SOAR’s current cable production schedules for nodes and within the SOCAL Range Complex and termination facility (CTF) at West Cove. cable, installation time, total can be described as a complex From there, information gathered on the environmental impact of installation, combination of islands, ridges, and SWTR would be transmitted via an funding availability, and efficiency. basins that exhibit wide ranges in water existing microwave datalink to the temperature. San Diego Bay, a naturally Southern California Offshore Range RDT&E formed, crescent-shaped embayment is (SCORE) Range Operations Center Space and Naval Warfare Systems located along the southern end of the (ROC) on Naval Air Station North Center (SPAWARSYSCEN) conducts SCB (Largier, 1995; DoN, 2000); the bay Island. The adjacent SOAR has a single research, development, testing, and provides habitat for a number of oceanic

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and estuarine species as the ebb and fissiped species (the sea otter, which is north/south shifts in distribution for flood of tides within the Bay circulate managed by the U.S. Fish and Wildlife Dall’s porpoises, common dolphins, and and mix ocean and Bay waters, creating Service and will not be addressed Pacific white-sided dolphins, and they for distinct circulation zones within San further here). Information on marine identified significant inshore/offshore Diego Bay (see Chapter 2 of the mammal occurrence at the Point Mugu differences for northern right whale application for further detail regarding Sea Range (just to the north of the dolphins and humpback whales. Several these zones) (Largier et al., 1996; DoN, SOCAL Range Complex) is analyzed in authors have noted the impact of the El 2000). Koski et al. (1998). Temperate and Nin˜ o events of 1982/1983 and 1997/ Populations/stocks of forty-one warm-water toothed whales often 1998 on marine mammal occurrence marine mammal species have been change their distribution and abundance patterns and population dynamics in confirmed or may possibly occur in the study area off southern California (see as oceanographic conditions vary both the waters off California (Wells et al., Table 4), including 34 cetacean (whales, seasonally (Forney and Barlow, 1998) 1990; Forney and Barlow, 1998; Benson dolphins, and porpoises), six pinniped and interannually (Forney 2000). Forney et al., 2002). (seals, sea lions, and fur seals), and one and Barlow (1998) noted significant BILLING CODE 3510–22–P

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BILLING CODE 3510–22–C reviewed literature, the Navy Marine ships. This information may be viewed The Navy has compiled information Resource Assessment for the SOCAL in the Navy’s LOA application and/or on the abundance, behavior, status and Operating Area, NMFS Stock the Navy’s DEIS for SOCAL (see distribution, and vocalizations of Assessment Reports, and marine Availability). Additional information is marine mammal species in SOCAL mammal surveys using acoustics or available in NMFS Stock Assessment Range Complex waters from peer visual observations from aircraft or Reports, which may be viewed at:

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http://www.nmfs.noaa.gov/pr/sars/ based fisheries was in northern overlap completely with all eight sonar species.htm. California, in 1994, with the California/ areas (shown in Figure 3–1 of the Oregon drift gillnet fishery (NMFS, application), so further refinement of Species Not Considered Further 2000). The last sighting of a Steller sea densities to sonar areas was not Killer whale, Southern Resident lion in Southern California was that of necessary. Area 8 includes all areas Stock—The Southern Resident stock of a subadult male that was briefly on San outside the previous seven areas that are killer whale is not likely to be present Miguel Island in 1998 (Thorson et al., within the quasi-rectangular region within Southern California. This stock 1998). For the reasons listed above, bounded in latitude by 29° N and 34° N, is most commonly seen in the inland Steller sea lions are not likely to be and in longitude by 120°30′ W and waters of Washington state and southern present in the action area, and will not 116°30′ W but is not indicated in Figure Vancouver Island; however, individuals be considered in greater detail. 3–1 of the application. from this stock have been observed in Pinniped at-sea density is not often Monterey Bay, California in January, Marine Mammal Density Estimates known because pinniped abundance is 2000 and March, 2003, near the Farallon The southern California region has obtained via shore counts of animals at Islands in February 2005 and off Point been systematically surveyed for several known rookeries and haulouts. Reyes in January 2006 (Pacific Fishery years (1991–1993, 1996, 2001, 2005) by Therefore, densities of pinnipeds were Management Council (PFMC) and the National Marine Fisheries Service derived quite differently from those of NMFS 2006). Based on the above known (NMFS), both via aircraft (e.g., Carretta cetaceans. Several parameters were information, there is a very low and Forney, 1993) and vessel (e.g., identified from the literature, including likelihood of Southern Resident killer Ferguson and Barlow, 2003; Barlow, area of stock occurrence, number of whales being present in the action area, 2003; Forney, 2007). The most recent animals (which may vary seasonally) so this species will not be considered in vessel survey was conducted in the U.S. and season, and those parameters were greater detail. Exclusive Economic Zone (EEZ) out to then used to calculate density. Once North Pacific right whale—The 300 nm offshore of California, Oregon density per ‘‘pinniped season’’ was likelihood of a North Pacific right whale and Washington by NMFS in summer determined, those values were prorated being present in the action area is and fall 2005 (Barlow, 2007; Forney, to fit the warm water (May–October) extremely low. It may be the most 2007). There has also been regional and cold water (November–April) endangered of the large whale species survey effort in the area of the proposed seasons. Pinniped geographic (Perry et al. 1999) and currently there is action, particularly around San distributions do not overlap all sonar no reliable population estimate, Clemente Island and in extreme near areas, so density was further refined as although the population in the eastern shore areas (e.g., Carretta et al., 2000; the percentage of each sonar area North Pacific Ocean is considered to be Carretta, 2003). Consequently there are actually overlapped by the species very small, perhaps in the tens to low several density estimates available for distribution. Determining density in this hundreds of animals. Despite many most cetacean species in southern manner is risky as the parameters used years of systematic aerial and ship- California. usually contain error (e.g., geographic based surveys for marine mammals off For this LOA, NMFS Southwest range is not exactly known and needs to the western coast of the U.S., only seven Fisheries Science Center calculated be estimated, abundance estimates documented sightings of right whales marine mammal density estimates based usually have large variances) and, as is were made from 1990 through 2000 on compiled densities from vessel true of all density estimates, it assumes (Waite et al., 2003). Based on this surveys conducted from 1986 to 2005, that animals are always distributed information, it is highly unlikely for this and provided it to the Navy as evenly within an area which is likely species to be present in the action area. Government Furnished Information never true. However, this remains one of Consequently, this species will not be (GFI). A new multiple-covariate, line- the few means available to determine at- considered in greater detail. transect approach (Marques and sea density for pinnipeds. Steller sea lion (Eumetopias jubatus) Buckland, 2003) was used to account for The detailed density estimate Eastern Distinct Population Segment— multiple factors that affect the distance methods and results may be viewed in Steller sea lions are also not expected to at which cetaceans can be seen in Section 3.5 of the Navy’s LOA be present in the action area. Steller sea different conditions. Other application. Density and abundance are lions range along the North Pacific Rim computational procedures were as summarized in Table 13. from northern Japan to California described in Barlow (2007) and Forney (Loughlin et al., 1984), with centers of (2007). Depth Distribution of Marine Mammals abundance and distribution in the Gulf These density compilations prorate There are limited depth distribution of Alaska and Aleutian Islands, densities of ‘‘unidentified’’ species data for most marine mammals. This is respectively. In U.S. waters, there are groups (such as unidentified dolphins, especially true for cetaceans, as they two separate stocks of Steller sea lions: small whales, rorquals, large whales, must be tagged at-sea and by using a tag an eastern U.S. stock, which includes etc.) with densities of identified species, that either must be implanted in the animals east of Cape Suckling, Alaska so likely represent the most skin/blubber in some manner or adhere (144° W longitude), and a western U.S. conservative densities at this time for to the skin. There is slightly more data stock, which includes animals at and the southern California region. Densities for some pinnipeds, as they can be west of Cape Suckling (Loughlin 1997). are presented for warm (May–October) tagged while on shore during breeding The closest rookery to the action area is and cold water (November–April) or molting seasons and the tags can be An˜ o Nuevo Island, which declined by seasons north of 30° N, which is the glued to the pelage rather than 85% between 1970 and 1987 (LeBoeuf southern extent of NMFS marine implanted. There are a few different et al., 1991). Steller sea lions are rarely mammal survey cruises. Gray whale methodologies/techniques that can be sighted in Southern California waters densities were taken from Carretta et al. used to determine depth distribution and have not been documented (2000), and are applicable for January– percentages, but by far the most widely interacting with southern California April only. The geographic distributions used technique currently is the time- fisheries in over a decade. The last of cetacean species for which densities depth recorder. These instruments are documented interaction with California- are available off southern California attached to the animal for a fairly short

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period of time (several hours to a few in various ways, with some species 1µPa) as a standard reference pressure days) via a suction cup or glue, and then capable of regular deep dives (<800 m) unless noted otherwise. retrieved immediately after detachment and others regularly diving to <200 m, It is important to note that decibels or when the animal returns to the beach. regardless of the bottom depth. underwater and decibels in air are not Depth information can also be collected Assuming that all species are evenly the same and cannot be directly via satellite tags, sonic tags, digital tags, distributed from surface to bottom is compared. To estimate a comparison and, for sperm whales, via acoustic almost never appropriate and can between sound in air and underwater, tracking of sounds produced by the present a distorted view of marine because of the different densities of air animal itself. mammal distribution in any region. and water and the different decibel There are somewhat suitable depth By combining marine mammal standards (i.e., reference pressures) in distribution data for a few marine density with depth distribution water and air, a sound with the same mammal species. Sample sizes are information, as is done for the SOCAL intensity (i.e., power) in air and in water usually extremely small, nearly always Range Complex, a more accurate three- would be approximately 63 dB quieter fewer than 10 animals total and often dimensional density estimate is in air. Thus a sound that is 160 dB loud only one or two animals. Depth possible. These 3–D estimates allow underwater would have the same distribution information often must be more accurate modeling of potential approximate effective intensity as a interpreted from other dive and/or marine mammal exposures from specific sound that is 97 dB loud in air. preferred prey characteristics. Depth noise sources. Complete details on Sound frequency is measured in distributions for species for which no species biological parameters used in cycles per second, or Hertz (abbreviated data are available can be extrapolated sonar and explosives modeling are Hz), and is analogous to musical pitch; from similar species. provided in Appendix F to the SOCAL high-pitched sounds contain high Density is nearly always reported for DEIS. frequencies and low-pitched sounds an area, e.g., animals/km2. Analyses of contain low frequencies. Natural sounds survey results using Distance Sampling Brief Background on Sound in the ocean span a huge range of techniques include correction factors for An understanding of the basic frequencies: from earthquake noise at 5 animals at the surface but not seen as properties of underwater sound is Hz to harbor porpoise clicks at 150,000 well as animals below the surface and necessary to comprehend many of the Hz (150 kHz). These sounds are so low not seen. Therefore, although the area concepts and analyses presented in this or so high in pitch that humans cannot (e.g., km2) appears to represent only the document. A summary is included even hear them; acousticians call these surface of the water (two-dimensional), below. infrasonic (typically below 20 Hz) and density actually implicitly includes Sound is a wave of pressure variations ultrasonic (typically above 20,000 Hz) animals anywhere within the water propagating through a medium (for the sounds, respectively. A single sound column under that surface area. Density MFAS/HFAS considered in this may be made up of many different assumes that animals are uniformly proposed rule, the medium is marine frequencies together. Sounds made up distributed within the prescribed area, water). Pressure variations are created of only a small range of frequencies are even though this is likely rarely true. by compressing and relaxing the called ‘‘narrowband’’, and sounds with Marine mammals are usually clumped medium. Sound measurements can be a broad range of frequencies are called in areas of greater importance, for expressed in two forms: intensity and ‘‘broadband’’; explosives are an example example, areas of high productivity, pressure. Acoustic intensity is the of a broadband sound source and active lower predation, safe calving, etc. average rate of energy transmitted tactical sonars are an example of a Density estimates are typically derived through a unit area in a specified narrowband sound source. for large areas by NMFS, for instance the direction and is expressed in watts per When considering the influence of All California and Point Conception square meter (W/m2). Acoustic intensity various kinds of sound on the marine south stratas presented in Forney and is rarely measured directly, it is derived environment, it is necessary to Barlow, 2007. Often scientific from ratios of pressures; the standard understand that different kinds of information on smaller scale reference pressure for underwater sound marine life are sensitive to different distribution and density within discrete is 1 microPascal (µPa); for airborne frequencies of sound. Based on available areas such as the SOCAL modeling areas sound, the standard reference pressure behavioral data, audiograms derived used in the acoustic impact analysis is is 20 µPa (Richardson et al., 1995). using auditory evoked potential (AEP) lacking and larger scale densities have Acousticians have adopted a techniques, anatomical modeling, and to be used as an approximate. The logarithmic scale for sound intensities, other data, Southall et al. (2007) available NMFS derived density which is denoted in decibels (dB). designate ‘‘functional hearing groups’’ estimates are therefore used in lieu of Decibel measurements represent the for marine mammals and estimate the small scale density estimates. In ratio between a measured pressure value lower and upper frequencies of addition, as a further conservative and a reference pressure value (in this functional hearing of the groups. approach, these densities are evenly case 1 µPa or, for airborne sound, 20 Further, the frequency range in which distributed across a given model area µPa.). The logarithmic nature of the each group’s hearing is estimated as since the degree of daily, seasonal, and scale means that each 10 dB increase is being most sensitive is represented in yearly presence/absence or spatial a ten-fold increase in power (e.g., 20 dB the flat part of the M-weighting clumping is currently not well known is a 100-fold increase, 30 dB is a 1,000- functions developed for each group. The for many species. fold increase). Humans perceive a 10-dB functional groups and the associated Assuming that marine mammals are increase in noise as a doubling of frequencies are indicated below distributed evenly within the water loudness, or a 10 dB decrease in noise (though, again, animals are less column is not accurate. The ever- as a halving of loudness. The term sensitive to sounds at the outer edge of expanding database of marine mammal ‘‘sound pressure level’’ implies a their functional range and most behavioral and physiological parameters decibel measure and a reference sensitive to sounds of frequencies obtained through tagging and other pressure that is used as the denominator within a smaller range somewhere in technologies has demonstrated that of the ratio. Throughout this document, the middle of their functional hearing marine mammals use the water column NMFS uses 1 microPascal (denoted re: range):

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• Low frequency cetaceans (13 temperature and depth, to calibrate duration, and number of pings received. species of mysticetes): functional models that determine the path the The thresholds that NMFS uses to hearing is estimated to occur between sonar signal will take as it travels indicate at what received level the onset approximately 7 Hz and 22 kHz; through the ocean and how strong the of temporary threshold shift (TTS) and • Mid-frequency cetaceans (32 sound signal will be at a given range permanent threshold shift (PTS) in species of dolphins, six species of larger along a particular transmission path). As hearing are likely to occur are expressed toothed whales, and 19 species of sound travels through the ocean, the in SEL. beaked and bottlenose whales): intensity associated with the wavefront Potential Effects of Specified Activities functional hearing is estimated to occur diminishes, or attenuates. This decrease on Marine Mammals between approximately 150 Hz and 160 in intensity is referred to as propagation kHz; loss, also commonly called transmission Exposure to MFAS/HFAS • High frequency cetaceans (eight loss. species of true porpoises, six species of The Navy has requested authorization river dolphins, Kogia, the franciscana, Metrics Used in This Document for the take of marine mammals that may occur incidental to training and four species of cephalorhynchids): This section includes a brief activities in the SOCAL Range Complex functional hearing is estimated to occur explanation of the two sound utilizing MFAS/HFAS or underwater between approximately 200 Hz and 180 measurements (sound pressure level detonations. The Navy has analyzed the kHz; (SPL) and sound exposure level (SEL)) potential impacts to marine mammals • Pinnipeds in Water: functional frequently used in the discussions of from training activities in the SOCAL hearing is estimated to occur between acoustic effects in this document. approximately 75 Hz and 75 kHz, with Range Complex, including ship strike, the greatest sensitivity between SPL entanglement in or direct strike by approximately 700 Hz and 20 kHz. Sound pressure is the sound force per expended materials, ship noise, and Because ears adapted to function unit area, and is usually measured in others, and in consultation with NMFS underwater are physiologically different micropascals (µPa), where 1 Pa is the as a cooperating agency for the SOCAL from human ears, comparisons using pressure resulting from a force of one EIS, has determined that take of marine decibel measurements in air would still newton exerted over an area of one mammals incidental to these non- not be adequate to describe the effects square meter. SPL is expressed as the acoustic components of SOCAL is of a sound on a whale. When sound ratio of a measured sound pressure and unlikely and, therefore, has not travels away from its source, its a reference level. The commonly used requested authorization for take of loudness decreases as the distance reference pressure level in underwater marine mammals that might occur traveled (propagates) by the sound acoustics is 1 µPa, and the units for incidental to these non-acoustic increases. Thus, the loudness of a sound SPLs are dB re: 1 µPa. components. In this document, NMFS at its source is higher than the loudness SPL (in dB) = 20 log (pressure/ analyzes the potential effects on marine of that same sound a kilometer distant. reference pressure). mammals from exposure to MFAS/ Acousticians often refer to the loudness SPL is an instantaneous measurement HFAS and underwater detonations from of a sound at its source (typically and can be expressed as the peak, the the IEER. measured one meter from the source) as peak-peak, or the root mean square For the purpose of MMPA the source level and the loudness of (rms). Root mean square, which is the authorizations, NMFS’ effects sound elsewhere as the received level. square root of the arithmetic average of assessments serve three primary For example, a humpback whale three the squared instantaneous pressure purposes: (1) to put forth the kilometers from an airgun that has a values, is typically used in discussions permissible methods of taking within source level of 230 dB may only be of the effects of sounds on vertebrates the context of MMPA Level B exposed to sound that is 160 dB loud, and all references to SPL in this Harassment (behavioral harassment), depending on how the sound propagates document refer to the root mean square. Level A Harassment (injury), and (in this example, it is spherical SPL does not take the duration of a mortality (i.e., identify the number and spreading). As a result, it is important sound into account. SPL is the types of take that will occur); (2) to not to confuse source levels and applicable metric used in the risk determine whether the specified activity received levels when discussing the continuum, which is used to estimate will have a negligible impact on the loudness of sound in the ocean or its behavioral harassment takes (see Level affected species or stocks of marine impacts on the marine environment. B Harassment Risk Function (Behavioral mammals (based on the likelihood that As sound travels from a source, its Harassment) Section). the activity will adversely affect the propagation in water is influenced by species or stock through effects on various physical characteristics, SEL annual rates of recruitment or survival); including water temperature, depth, SEL is an energy metric that integrates and (3) to determine whether the salinity, and surface and bottom the squared instantaneous sound specified activity will have an properties that cause refraction, pressure over a stated time interval. The unmitigable adverse impact on the reflection, absorption, and scattering of units for SEL are dB re: 1 µPa2-s. availability of the species or stock(s) for sound waves. Oceans are not SEL = SPL + 10 log (duration in subsistence uses (however, there are no homogeneous and the contribution of seconds). subsistence communities that would be each of these individual factors is As applied to MFAS/HFAS, the SEL affected in the SOCAL Range Complex, extremely complex and interrelated. includes both the SPL of a sonar ping so this determination is inapplicable for The physical characteristics that and the total duration. Longer duration SOCAL). determine the sound’s speed through pings and/or pings with higher SPLs More specifically, for activities the water will change with depth, will have a higher SEL. involving sonar or underwater season, geographic location, and with If an animal is exposed to multiple detonations, NMFS’ analysis will time of day (as a result, in actual MFAS/ pings, the SEL in each individual ping identify the probability of lethal HFAS operations, crews will measure is summed to calculate the total SEL. responses, physical trauma, sensory oceanic conditions, such as sea water The total SEL depends on the SPL, impairment (permanent and temporary

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threshold shifts and acoustic masking), Threshold Shift (Noise-Induced Loss of to levels high enough or durations long physiological responses (particular Hearing) enough to result in PTS). stress responses), behavioral PTS is considered auditory injury disturbance (that rises to the level of When animals exhibit reduced (Southall et al., 2007). Irreparable harassment), and social responses that hearing sensitivity (i.e., sounds must be damage to the inner or outer cochlear would be classified as behavioral louder for an animal to recognize them) hair cells may cause PTS; however, following exposure to a sufficiently harassment or injury and/or would be other mechanisms are also involved, intense sound, it is referred to as a likely to adversely affect the species or such as exceeding the elastic limits of noise-induced threshold shift (TS). An certain tissues and membranes in the stock through effects on annual rates of animal can experience temporary middle and inner ears and resultant recruitment or survival. In this section, threshold shift (TTS) or permanent changes in the chemical composition of we will focus qualitatively on the threshold shift (PTS). TTS can last from the inner ear fluids (Southall et al., different ways that MFAS/HFAS and minutes or hours to days (i.e., there is 2007). underwater explosive detonations recovery), occurs in specific frequency Although the published body of (IEER) may affect marine mammals ranges (i.e., an animal might only have scientific literature contains numerous (some of which NMFS would not a temporary loss of hearing sensitivity theoretical studies and discussion classify as harassment). Then, in the between the frequencies of 1 and 10 papers on hearing impairments that can Estimated Take of Marine Mammals kHz), and can be of varying amounts (for occur with exposure to a loud sound, Section, NMFS will relate the potential example, an animal’s hearing sensitivity only a few studies provide empirical effects to marine mammals from MFAS/ might be reduced by only 6 dB or information on the levels at which HFAS and underwater detonation of reduced by 30 dB). PTS is permanent noise-induced loss in hearing sensitivity explosives to the MMPA regulatory (i.e., there is no recovery), but also occurs in nonhuman animals. For definitions of Level A and Level B occurs in a specific frequency range and cetaceans, published data on the onset Harassment and attempt to quantify amount as mentioned above for TTS. of TTS are limited to the captive those effects. bottlenose dolphin and beluga The following physiological (Finneran et al., 2000, 2002b, 2005a; In its June 21, 2008, Biological mechanisms are thought to play a role Schlundt et al., 2000; Nachtigall et al., Opinion of the U.S. Navy’s proposal to in inducing auditory TSs: Effects to 2003, 2004). For pinnipeds in water, conduct MFAS in the Hawaii Range sensory hair cells in the inner ear that data are limited to Kastak et al.’s Complex, NMFS presented a conceptual reduce their sensitivity, modification of measurement of TTS in one harbor seal, model of the potential responses of the chemical environment within the one elephant seal, and one California endangered and threatened species sensory cells, residual muscular activity sea lion. upon being exposed to MFAS/HFAS in the middle ear, displacement of Marine mammal hearing plays a and the pathways by which those certain inner ear membranes, increased critical role in communication with responses might affect the fitness of blood flow, and post-stimulatory conspecifics, and interpretation of individual animals that have been reduction in both efferent and sensory environmental cues for purposes such exposed, which may then affect the neural output (Southall et al., 2007). as predator avoidance and prey capture. The amplitude, duration, frequency, reproduction and/or survival of those Depending on the degree (elevation of temporal pattern, and energy individuals. Literature supporting the threshold in dB), duration (i.e., recovery distribution of sound exposure all affect time), and frequency range of TTS, and framework, with examples drawn from the amount of associated TS and the many taxa (both aquatic and terrestrial) the context in which it is experienced, frequency range in which it occurs. As TTS can have effects on marine was included in the ‘‘Application of this amplitude and duration of sound mammals ranging from discountable to Approach’’ and ‘‘Response Analyses’’ exposure increase, so, generally, does serious (similar to those discussed in sections of that document (available at: the amount of TS, along with the auditory masking, below). For example, http://www.nmfs.noaa.gov/pr/permits/ recovery time. For continuous sounds, a marine mammal may be able to readily incidental.htm). This conceptual exposures of equal energy (the same compensate for a brief, relatively small framework may also be used to describe SEL) will lead to approximately equal amount of TTS in a non-critical the responses and pathways for non- effects. For intermittent sounds, less TS frequency range that takes place during endangered and non-threatened species will occur than from a continuous a time when the animal is traveling and is included in Biological Opinion of exposure with the same energy (some through the open ocean, where ambient the U.S. Navy’s proposal to conduct recovery will occur between noise is lower and there are not as many MFAS in the Hawaii Range Complex. intermittent exposures) (Kryter et al., competing sounds present. 1966; Ward, 1997). For example, one Alternatively, a larger amount and Direct Physiological Effects short but loud (higher SPL) sound longer duration of TTS sustained during Based on the literature, there are two exposure may induce the same time when communication is critical for basic ways that MFAS/HFAS might impairment as one longer but softer successful mother/calf interactions directly result in physical trauma or sound, which in turn may cause more could have more serious impacts. Also, impairment than a series of several depending on the degree and frequency damage: Noise-induced loss of hearing intermittent softer sounds with the same range, the effects of PTS on an animal sensitivity (more commonly called total energy (Ward, 1997). Additionally, could range in severity, although it is ‘‘threshold shift’’) and acoustically though TTS is temporary, very considered generally more serious mediated bubble growth. Separately, an prolonged exposure to sound strong because it is a permanent condition. Of animal’s behavioral reaction to an enough to elicit TTS, or shorter-term note, reduced hearing sensitivity as a acoustic exposure might lead to exposure to sound levels well above the simple function of development and physiological effects that might TTS threshold, can cause PTS, at least aging has been observed in marine ultimately lead to injury or death, which in terrestrial mammals (Kryter, 1985) mammals, as well as humans and other is discussed later in the Stranding (although in the case of MFAS/HFAS, taxa (Southall et al., 2007), so we can section. animals are not expected to be exposed infer that strategies exist for coping with

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this condition to some degree, though Although theoretical predictions The extent of the masking interference likely not without cost. There is no suggest the possibility for acoustically depends on the spectral, temporal, and empirical evidence that exposure to mediated bubble growth, there is spatial relationships between the signals MFAS/HFAS can cause PTS in any considerable disagreement among an animal is trying to receive and the marine mammals; instead the scientists as to its likelihood (Piantadosi masking noise, in addition to other probability of PTS has been inferred and Thalmann, 2004; Evans and Miller, factors. In humans, significant masking from studies of TTS (see Richardson et 2003). Crum and Mao (1996) of tonal signals occurs as a result of al., 1995). hypothesized that received levels would exposure to noise in a narrow band of have to exceed 190 dB in order for there similar frequencies. As the sound level Acoustically Mediated Bubble Growth to be the possibility of significant increases, though, the detection of One theoretical cause of injury to bubble growth due to supersaturation of frequencies above those of the masking marine mammals is rectified diffusion gases in the blood (i.e., rectified stimulus decreases also. This principle (Crum and Mao, 1996), the process of diffusion). More recent work conducted is expected to apply to marine mammals increasing the size of a bubble by by Crum et al. (2005) demonstrated the as well because of common exposing it to a sound field. This possibility of rectified diffusion for biomechanical cochlear properties process could be facilitated if the short duration signals, but at SELs and across taxa. environment in which the ensonified tissue saturation levels that are highly Richardson et al. (1995b) argued that bubbles exist is supersaturated with gas. improbable to occur in diving marine the maximum radius of influence of an Repetitive diving by marine mammals mammals. To date, Energy Levels (ELs) industrial noise (including broadband can cause the blood and some tissues to predicted to cause in vivo bubble low-frequency sound transmission) on a accumulate gas to a greater degree than formation within diving cetaceans have marine mammal is the distance from the is supported by the surrounding not been evaluated (NOAA, 2002b). source to the point at which the noise environmental pressure (Ridgway and Although it has been argued that can barely be heard. This range is Howard, 1979). The deeper and longer traumas from some recent beaked whale determined by either the hearing dives of some marine mammals (for strandings are consistent with gas sensitivity of the animal or the example, beaked whales) are emboli and bubble-induced tissue background noise level present. theoretically predicted to induce greater separations (Jepson et al., 2003), there is Industrial masking is most likely to supersaturation (Houser et al., 2001b). If no conclusive evidence of this. affect some species’ ability to detect rectified diffusion were possible in However, Jepson et al. (2003, 2005) and communication calls and natural marine mammals exposed to high-level Fernandez et al. (2004, 2005) concluded sounds (i.e., surf noise, prey noise, etc.; sound, conditions of tissue that in vivo bubble formation, which Richardson et al., 1995). The echolocation calls of toothed supersaturation could theoretically may be exacerbated by deep, long- whales are subject to masking by high- speed the rate and increase the size of duration, repetitive dives may explain frequency sound. Human data indicate bubble growth. Subsequent effects due why beaked whales appear to be low-frequency sound can mask high- to tissue trauma and emboli would particularly vulnerable to MFAS/HFAS frequency sounds (i.e., upward presumably mirror those observed in exposures. Further investigation is masking). Studies on captive humans suffering from decompression needed to further assess the potential odontocetes by Au et al. (1974, 1985, sickness. validity of these hypotheses. More information regarding hypotheses that 1993) indicate that some species may It is unlikely that the short duration attempt to explain how behavioral use various processes to reduce masking of MFAS pings would be long enough responses to MFAS/HFAS can lead to effects (e.g., adjustments in echolocation to drive bubble growth to any strandings is included in the call intensity or frequency as a function substantial size, if such a phenomenon Behaviorally Mediated Bubble Growth of background noise conditions). There occurs. However, an alternative but Section, after the summary of is also evidence that the directional related hypothesis has also been strandings. hearing abilities of odontocetes are suggested: Stable bubbles could be useful in reducing masking at the high- destabilized by high-level sound Acoustic Masking frequencies these cetaceans use to exposures such that bubble growth then Marine mammals use acoustic signals echolocate, but not at the low-to- occurs through static diffusion of gas for a variety of purposes, which differ moderate frequencies they use to out of the tissues. In such a scenario the among species, but include communicate (Zaitseva et al., 1980). A marine mammal would need to be in a communication between individuals, recent study by Nachtigall and Supin gas-supersaturated state for a long navigation, foraging, reproduction, and (2008) showed that false killer whales enough period of time for bubbles to learning about their environment (Erbe adjust their hearing to compensate for become of a problematic size. and Farmer, 2000; Tyack, 2000). ambient sounds and the intensity of Yet another hypothesis Masking, or auditory interference, returning echolocation signals. (decompression sickness) has generally occurs when sounds in the speculated that rapid ascent to the environment are louder than and of a Nachtigall, P.E. and A.Y. Supin. 2008 surface following exposure to a startling similar frequency to, auditory signals an As mentioned previously, the sound might produce tissue gas animal is trying to receive. Masking is functional hearing ranges of mysticetes, saturation sufficient for the evolution of a phenomenon that affects animals that odontocetes, and pinnipeds underwater nitrogen bubbles (Jepson et al., 2003; are trying to receive acoustic all encompass the frequencies of the Fernandez et al., 2005). In this scenario, information about their environment, MFAS/HFAS sources used in the Navy’s the rate of ascent would need to be including sounds from other members MFAS/HFAS training exercises. sufficiently rapid to compromise of their species, predators, prey, and Additionally, in almost all species, behavioral or physiological protections sounds that allow them to orient in their vocal repertoires span across the against nitrogen bubble formation. environment. Masking these acoustic frequencies of these MFAS/HFAS Collectively, these hypotheses can be signals can disturb the behavior of sources used by the Navy. The closer referred to as ‘‘hypotheses of individual animals, groups of animals, the characteristics of the masking signal acoustically mediated bubble growth.’’ or entire populations. to the signal of interest, the more likely

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masking is to occur. For hull-mounted noisy environments may have energetic 2000) and behavioral disturbance. MFAS/HFAS—which accounts for the costs that decrease the net benefits of Increases in the circulation of largest part of the takes of marine vocal adjustment and alter a bird’s glucocorticosteroids (cortisol, mammals (because of the source energy budget (Brumm, 2004; Wood and corticosterone, and aldosterone in strength and number of hours it’s Yezerinac, 2006). Shifting songs and marine mammals; see Romano et al., conducted), the pulse length and duty calls to higher frequencies may also 2004) have been equated with stress for cycle of the MFAS/HFAS signal (∼ 1 impose energetic costs (Lambrechts, many years. second pulse twice a minute) makes it 1996). The primary distinction between less likely that masking will occur as a stress (which is adaptive and does not Stress Responses result. normally place an animal at risk) and Classic stress responses begin when distress is the biotic cost of the Impaired Communication an animal’s central nervous system response. During a stress response, an In addition to making it more difficult perceives a potential threat to its animal uses glycogen stores that can be for animals to perceive acoustic cues in homeostasis. That perception triggers quickly replenished once the stress is their environment, anthropogenic sound stress responses regardless of whether a alleviated. In such circumstances, the presents separate challenges for animals stimulus actually threatens the animal; cost of the stress response would not that are vocalizing. When they vocalize, the mere perception of a threat is pose a risk to the animal’s welfare. animals are aware of environmental sufficient to trigger a stress response However, when an animal does not have conditions that affect the ‘‘active space’’ (Moberg, 2000; Sapolsky et al., 2005; sufficient energy reserves to satisfy the of their vocalizations, which is the Seyle, 1950). Once an animal’s central energetic costs of a stress response, maximum area within which their nervous system perceives a threat, it energy resources must be diverted from vocalizations can be detected before it mounts a biological response or defense other biotic function, which impairs drops to the level of ambient noise that consists of a combination of the those functions that experience the (Brenowitz, 2004; Brumm et al., 2004; four general biological defense diversion. For example, when mounting Lohr et al., 2003). Animals are also responses: Behavioral responses, a stress response diverts energy away aware of environmental conditions that autonomic nervous system responses, from growth in young animals, those affect whether listeners can discriminate neuroendocrine responses, or immune animals may experience stunted growth. and recognize their vocalizations from response. When mounting a stress response other sounds, which is more important In the case of many stressors, an diverts energy from a fetus, an animal’s than simply detecting that a animal’s first and most economical (in reproductive success and its fitness will vocalization is occurring (Brenowitz, terms of biotic costs) response is suffer. In these cases, the animals will 1982; Brumm et al., 2004; Dooling, behavioral avoidance of the potential have entered a pre-pathological or 2004, Marten and Marler, 1977; stressor or avoidance of continued pathological state which is called Patricelli et al., 2006). Most animals that exposure to a stressor. An animal’s ‘‘distress’’ (sensu Seyle, 1950) or vocalize have evolved with an ability to second line of defense to stressors ‘‘allostatic loading’’ (sensu McEwen and make adjustments to their vocalizations involves the sympathetic part of the Wingfield, 2003). This pathological state to increase the signal-to-noise ratio, autonomic nervous system and the will last until the animal replenishes its active space, and recognizability/ classical ‘‘fight or flight’’ response biotic reserves sufficient to restore distinguishability of their vocalizations which includes the cardiovascular normal function. in the face of temporary changes in system, the gastrointestinal system, the Relationships between these background noise (Brumm et al., 2004; exocrine glands, and the adrenal physiological mechanisms, animal Patricelli et al., 2006). Vocalizing medulla to produce changes in heart behavior, and the costs of stress animals can make one or more of the rate, blood pressure, and gastrointestinal responses have also been documented following adjustments to their activity that humans commonly fairly well through controlled vocalizations: Adjust the frequency associate with ‘‘stress.’’ These responses experiment; because this physiology structure; adjust the amplitude; adjust have a relatively short duration and may exists in every vertebrate that has been temporal structure; or adjust temporal or may not have significant long-term studied, it is not surprising that stress delivery (see Biological Opinion). effect on an animal’s welfare. responses and their costs have been Many animals will combine several of An animal’s third line of defense to documented in both laboratory and free- these strategies to compensate for high stressors involves its neuroendocrine or living animals (for examples see, levels of background noise. sympathetic nervous systems; the Holberton et al., 1996; Hood et al., 1998; Anthropogenic sounds that reduce the system that has received the most study Jessop et al., 2003; Krausman et al., signal-to-noise ratio of animal has been the hypothalamus-pituitary- 2004; Lankford et al., 2005; Reneerkens vocalizations, increase the masked adrenal system (also known as the HPA et al., 2002; Thompson and Hamer, auditory thresholds of animals listening axis in mammals or the hypothalamus- 2000). Although no information has for such vocalizations, or reduce the pituitary-interrenal axis in fish and been collected on the physiological active space of an animal’s vocalizations some reptiles). Unlike stress responses responses of marine mammals to impair communication between associated with the autonomic nervous exposure to anthropogenic sounds, animals. Most animals that vocalize system, virtually all neuro-endocrine studies of other marine animals and have evolved strategies to compensate functions that are affected by stress— terrestrial animals would lead us to for the effects of short-term or temporary including immune competence, expect some marine mammals to increases in background or ambient reproduction, metabolism, and experience physiological stress noise on their songs or calls. Although behavior—are regulated by pituitary responses and, perhaps, physiological the fitness consequences of these vocal hormones. Stress-induced changes in responses that would be classified as adjustments remain unknown, like most the secretion of pituitary hormones have ‘‘distress’’ upon exposure to high other trade-offs animals must make, been implicated in failed reproduction frequency, mid-frequency and low- some of these strategies probably come (Moberg, 1987; Rivier, 1995) and altered frequency sounds. at a cost (Patricelli et al., 2006). For metabolism (Elasser et al., 2000), For example, Jansen (1998) reported example, vocalizing more loudly in reduced immune competence (Blecha, on the relationship between acoustic

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exposures and physiological responses certain sounds in the future (animals Flight Response—A flight response is that are indicative of stress responses in can also be innately pre-disposed to a dramatic change in normal movement humans (for example, elevated respond to certain sounds in certain to a directed and rapid movement away respiration and increased heart rates). ways) (Southall et al., 2007). Related to from the perceived location of a sound Jones (1998) reported on reductions in the sound itself, the perceived nearness source. Relatively little information on human performance when faced with of the sound, bearing of the sound flight responses of marine mammals to acute, repetitive exposures to acoustic (approaching vs. retreating), similarity anthropogenic signals exist, although disturbance. Trimper et al. (1998) of a sound to biologically relevant observations of flight responses to the reported on the physiological stress sounds in the animal’s environment presence of predators have occurred responses of osprey to low-level aircraft (i.e., calls of predators, prey, or (Connor and Heithaus, 1996). Flight noise while Krausman et al. (2004) conspecifics), and familiarity of the responses have been speculated as being reported on the auditory and physiology sound may effect the way an animal a component of marine mammal stress responses of endangered Sonoran responds to the sound (Southall et al., strandings associated with MFAS pronghorn to military overflights. Smith 2007). Individuals (of different age, activities (Evans and England, 2001). et al. (2004a, 2004b) identified noise- gender, reproductive status, etc.) among Response to Predator—Evidence induced physiological transient stress most populations will have variable suggests that at least some marine responses in hearing-specialist fish (i.e., hearing capabilities, and differing mammals have the ability to goldfish) that accompanied short- and behavioral sensitivities to sounds that acoustically identify potential predators. long-term hearing losses. Welch and will be affected by prior conditioning, For example, harbor seals that reside in Welch (1970) reported physiological experience, and current activities of the coastal waters off British Columbia and behavioral stress responses that those individuals. Often, specific are frequently targeted by certain groups accompanied damage to the inner ears acoustic features of the sound and of killer whales, but not others. The of fish and several mammals. contextual variables (i.e., proximity, seals discriminate between the calls of Hearing is one of the primary senses duration, or recurrence of the sound or threatening and non-threatening killer marine mammals use to gather the current behavior that the marine whales (Deecke et al., 2002), a capability information about their environment mammal is engaged in or its prior that should increase survivorship while and to communicate with conspecifics. experience), as well as entirely separate reducing the energy required for Although empirical information on the factors such as the physical presence of attending to and responding to all killer relationship between sensory a nearby vessel, may be more relevant whale calls. impairment (TTS, PTS, and acoustic to the animal’s response than the Diving—Changes in dive behavior can masking) on marine mammals remains received level alone. vary widely. They may consist of limited, it seems reasonable to assume increased or decreased dive times and that reducing an animal’s ability to Exposure of marine mammals to surface intervals as well as changes in gather information about its sound sources can result in (but is not the rates of ascent and descent during a environment and to communicate with limited to) the following observable dive. Variations in dive behavior may other members of its species would be responses: Increased alertness; reflect interruptions in biologically stressful for animals that use hearing as orientation or attraction to a sound significant activities (e.g., foraging) or their primary sensory mechanism. source; vocal modifications; cessation of they may be of little biological Therefore, we assume that acoustic feeding; cessation of social interaction; significance. Variations in dive behavior exposures sufficient to trigger onset PTS alteration of movement or diving may also expose an animal to or TTS would be accompanied by behavior; habitat abandonment potentially harmful conditions (e.g., physiological stress responses because (temporary or permanent); and, in increasing the chance of ship-strike) or terrestrial animals exhibit those severe cases, panic, flight, stampede, or may serve as an avoidance response that responses under similar conditions stranding, potentially resulting in death enhances survivorship. The impact of a (NRC, 2003). More importantly, marine (Southall et al., 2007). A review of variation in diving resulting from an mammals might experience stress marine mammal responses to acoustic exposure depends on what the responses at received levels lower than anthropogenic sound was first animal is doing at the time of the those necessary to trigger onset TTS. conducted by Richardson (1995). A exposure and the type and magnitude of Based on empirical studies of the time more recent review (Nowacek et al., the response. required to recover from stress 2007) addresses studies conducted since Nowacek et al. (2004) reported responses (Moberg, 2000), NMFS also 1995 and focuses on observations where disruptions of dive behaviors in foraging assumes that stress responses could the received sound level of the exposed North Atlantic right whales when persist beyond the time interval marine mammal(s) was known or could exposed to an alerting stimulus, an required for animals to recover from be estimated. The following sub- action, they noted, that could lead to an TTS and might result in pathological sections provide examples of behavioral increased likelihood of ship strike. and pre-pathological states that would responses that provide an idea of the However, the whales did not respond to be as significant as behavioral responses variability in behavioral responses that playbacks of either right whale social to TTS. would be expected given the differential sounds or vessel noise, highlighting the sensitivities of marine mammal species importance of the sound characteristics Behavioral Disturbance to sound and the wide range of potential in producing a behavioral reaction. Behavioral responses to sound are acoustic sources to which a marine Conversely, Indo-Pacific humpback highly variable and context-specific. mammal may be exposed. Estimates of dolphins have been observed to dive for Many different variables can influence the types of behavioral responses that longer periods of time in areas where an animal’s perception of and response could occur for a given sound exposure vessels were present and/or to (nature and magnitude) an acoustic should be determined from the approaching (Ng and Leung, 2003). In event. An animal’s prior experience literature that is available for each both of these studies, the influence of with a sound or sound source effects species, or extrapolated from closely the sound exposure cannot be whether it is less likely (habituation) or related species when no information decoupled from the physical presence of more likely (sensitization) to respond to exists. a surface vessel, thus complicating

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interpretations of the relative individuals and the relationship the whale song and the low-frequency contribution of each stimulus to the between prey availability, foraging effort active sonar. A similar compensatory response. Indeed, the presence of and success, and the life history stage of effect for the presence of low frequency surface vessels, their approach and the animal. vessel noise has been suggested for right speed of approach, seemed to be Breathing—Variations in respiration whales; right whales have been significant factors in the response of the naturally vary with different behaviors observed to shift the frequency content Indo-Pacific humpback dolphins (Ng and variations in respiration rate as a of their calls upward while reducing the and Leung, 2003). Low frequency function of acoustic exposure can be rate of calling in areas of increased signals of the Acoustic Thermometry of expected to co-occur with other anthropogenic noise (Parks et al., 2007). Ocean Climate (ATOC) sound source behavioral reactions, such as a flight Killer whales off the northwestern coast were not found to affect dive times of response or an alteration in diving. of the United States have been observed humpback whales in Hawaiian waters However, respiration rates in and of to increase the duration of primary calls (Frankel and Clark, 2000) or to overtly themselves may be representative of once a threshold in observing vessel affect elephant seal dives (Costa et al., annoyance or an acute stress response. density (e.g., whale watching) was 2003). They did, however, produce Mean exhalation rates of gray whales at reached, which has been suggested as a subtle effects that varied in direction rest and while diving were found to be response to increased masking noise and degree among the individual seals, unaffected by seismic surveys produced by the vessels (Foote et al., illustrating the equivocal nature of conducted adjacent to the whale feeding 2004). In contrast, both sperm and pilot behavioral effects and consequent grounds (Gailey et al., 2007). Studies whales potentially ceased sound difficulty in defining and predicting with captive harbor porpoises showed production during the Heard Island them. increased respiration rates upon feasibility test (Bowles et al., 1994), Due to past incidents of beaked whale introduction of acoustic alarms although it cannot be absolutely strandings associated with MFAS (Kastelein et al., 2001; Kastelein et al., determined whether the inability to operations, feedback paths are provided 2006a) and emissions for underwater acoustically detect the animals was due between avoidance and diving and data transmission (Kastelein et al., to the cessation of sound production or indirect tissue effects. This feedback 2005). However, exposure of the same the displacement of animals from the accounts for the hypothesis that acoustic alarm to a striped dolphin area. variations in diving behavior and/or under the same conditions did not elicit Avoidance—Avoidance is the avoidance responses can possibly result a response (Kastelein et al., 2006a), displacement of an individual from an in nitrogen tissue supersaturation and again highlighting the importance in area as a result of the presence of a nitrogen off-gassing, possibly to the understanding species differences in the sound. Richardson et al. (1995) noted point of deleterious vascular bubble tolerance of underwater noise when that avoidance reactions are the most formation (Jepson et al., 2003). determining the potential for impacts obvious manifestations of disturbance in Foraging—Disruption of feeding resulting from anthropogenic sound marine mammals. It is qualitatively behavior can be difficult to correlate exposure. different from the flight response, but with anthropogenic sound exposure, so Social relationships—Social also differs in the magnitude of the it is usually inferred by observed interactions between mammals can be response (i.e., directed movement, rate displacement from known foraging affected by noise via the disruption of of travel, etc.). Oftentimes avoidance is areas, the appearance of secondary communication signals or by the temporary, and animals return to the indicators (e.g., bubble nets or sediment displacement of individuals. Disruption area once the noise has ceased. Longer plumes), or changes in dive behavior. of social relationships therefore depends term displacement is possible, however, Noise from seismic surveys was not on the disruption of other behaviors which can lead to changes in abundance found to impact the feeding behavior in (e.g., caused avoidance, masking, etc.) or distribution patterns of the species in western grey whales off the coast of and no specific overview is provided the affected region if they do not Russia (Yazvenko et al., 2007) and here. However, social disruptions must become acclimated to the presence of sperm whales engaged in foraging dives be considered in context of the the sound (Blackwell et al., 2004; Bejder did not abandon dives when exposed to relationships that are affected. Long- et al., 2006; Teilmann et al., 2006). distant signatures of seismic airguns term disruptions of mother/calf pairs or Acute avoidance responses have been (Madsen et al., 2006). Balaenopterid mating displays have the potential to observed in captive porpoises and whales exposed to moderate low- affect the growth and survival or pinnipeds exposed to a number of frequency signals similar to the ATOC reproductive effort/success of different sound sources (Kastelein et al., sound source demonstrated no variation individuals, respectively. 2001; Finneran et al., 2003; Kastelein et in foraging activity (Croll et al., 2001), Vocalizations (also see Masking al., 2006a; Kastelein et al., 2006b). Short whereas five out of six North Atlantic Section)—Vocal changes in response to term avoidance of seismic surveys, low right whales exposed to an acoustic anthropogenic noise can occur across frequency emissions, and acoustic alarm interrupted their foraging dives the repertoire of sound production deterrents have also been noted in wild (Nowacek et al., 2004). Although the modes used by marine mammals, such populations of odontocetes (Bowles et received sound pressure level at the as whistling, echolocation click al., 1994; Goold, 1996; 1998; Stone et animals was similar in the latter two production, calling, and singing. al., 2000; Morton and Symonds, 2002) studies, the frequency, duration, and Changes may result in response to a and to some extent in mysticetes (Gailey temporal pattern of signal presentation need to compete with an increase in et al., 2007), while longer term or were different. These factors, as well as background noise or may reflect an repetitive/chronic displacement for differences in species sensitivity, are increased vigilance or startle response. some dolphin groups and for manatees likely contributing factors to the For example, in the presence of low- has been suggested to be due to the differential response. A determination frequency active sonar, humpback presence of chronic vessel noise of whether foraging disruptions incur whales have been observed to increase (Haviland-Howell et al., 2007; Miksis- fitness consequences will require the length of their ‘‘songs’’ (Miller et al., Olds et al., 2007). information on or estimates of the 2000; Fristrup et al., 2003), possibly due Orientation—A shift in an animal’s energetic requirements of the to the overlap in frequencies between resting state or an attentional change via

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an orienting response represent field and related to several types of porpoise, however, does not normally behaviors that would be considered sound sources (of varying similarity to occur within Southern California south mild disruptions if occurring alone. As MFAS/HFAS) including: vessel noise, of Point Conception, and would previously mentioned, the responses drilling and machinery playback, low- therefore, not be exposed to Navy may co-occur with other behaviors; for frequency M-sequences (sine wave with activities covered by this proposed rule. instance, an animal may initially orient multiple phase reversals) playback, There is no data to indicate whether toward a sound source, and then move tactical low-frequency active sonar other high frequency cetaceans are as away from it. Thus, any orienting playback, drill ships, Acoustic sensitive to anthropogenic sound as response should be considered in Thermometry of Ocean Climate (ATOC) harbor porpoises are. context of other reactions that may source, and non-pulse playbacks. These The studies that address the responses occur. studies generally indicate no (or very of pinnipeds in water to non-pulse There are few empirical studies of limited) responses to received levels in sounds include data gathered both in avoidance responses of free-living the 90 to 120 dB re: 1µPa range and an the field and the laboratory and related cetaceans to mid-frequency active increasing likelihood of avoidance and to several different sound sources (of sonars. Much more information is other behavioral effects in the 120 to varying similarity to MFAS/HFAS) available on the avoidance responses of 160 dB range. As mentioned earlier, including: AHDs, ATOC, various non- free-living cetaceans to other acoustic though, contextual variables play a very pulse sounds used in underwater data sources, such as seismic airguns and important role in the reported responses communication; underwater drilling, low frequency active sonar, than mid- and the severity of effects are not linear and construction noise. Few studies frequency active sonar. when compared to the received level. exist with enough information to include them in the analysis. The Behavioral Responses (Southall et al. Also, few of the laboratory or field limited data suggested that exposures to (2007)) datasets had common conditions, behavioral contexts or sound sources, so non-pulse sounds between 90 and 140 Southall et al. (2007) reports the it is not surprising that responses differ. dB generally do not result in strong results of the efforts of a panel of experts The studies that address responses of behavioral responses in pinnipeds in in acoustic research from behavioral, mid-frequency cetaceans to non-pulse water, but no data exist at higher physiological, and physical disciplines sounds include data gathered both in received levels. that convened and reviewed the the field and the laboratory and related In addition to summarizing the available literature on marine mammal to several different sound sources (of available data, the authors of Southall et hearing and physiological and varying similarity to MFAS/HFAS) al. (2007) developed a severity scaling behavioral responses to human-made including: pingers, drilling playbacks, system with the intent of ultimately sound with the goal of proposing ship and ice-breaking noise, vessel being able to assign some level of exposure criteria for certain effects. This noise, Acoustic Harassment Devices biological significance to a response. peer-reviewed compilation of literature (AHDs), Acoustic Deterrent Devices Following is a summary of their scoring is very valuable, though Southall et al. (ADDs), MFAS, and non-pulse bands system, a comprehensive list of the (2007) note that not all data are equal, and tones. Southall et al. (2007) were behaviors associated with each score some have poor statistical power, unable to come to a clear conclusion may be found in the report: insufficient controls, and/or limited regarding the results of these studies. In • 0–3 (Minor and/or brief behaviors) information on received levels, some cases, animals in the field showed includes, but is not limited to: No background noise, and other potentially significant responses to received levels response; minor changes in speed or important contextual variables—such between 90 and 120 dB, while in other locomotion (but with no avoidance); data were reviewed and sometimes used cases these responses were not seen in individual alert behavior; minor for qualitative illustration but were not the 120 to 150 dB range. The disparity cessation in vocal behavior; minor included in the quantitative analysis for in results was likely due to contextual changes in response to trained behaviors the criteria recommendations. All of the variation and the differences between (in laboratory) studies considered, however, contain an the results in the field and laboratory • 4–6 (Behaviors with higher estimate of the received sound level data (animals typically responded at potential to affect foraging, when the animal exhibited the indicated lower levels in the field). reproduction, or survival) includes, but response. The studies that address responses of is not limited to: Moderate changes in In the Southall et al. (2007) high frequency cetaceans to non-pulse speed, direction, or dive profile; brief publication, for the purposes of sounds include data gathered both in shift in group distribution; prolonged analyzing responses of marine mammals the field and the laboratory and related cessation or modification of vocal to anthropogenic sound and developing to several different sound sources (of behavior (duration > duration of sound), criteria, the authors differentiate varying similarity to MFAS/HFAS) minor or moderate individual and/or between single pulse sounds, multiple including: pingers, AHDs, and various group avoidance of sound; brief pulse sounds, and non-pulse sounds. laboratory non-pulse sounds. All of cessation of reproductive behavior; or MFAS/HFAS is considered a non-pulse these data were collected from harbor refusal to initiate trained tasks (in sound. Southall et al. (2007) summarize porpoises. Southall et al. (2007) laboratory) the studies associated with low- concluded that the existing data • 7–9 (Behaviors considered likely to frequency, mid-frequency, and high- indicate that harbor porpoises are likely affect the aforementioned vital rates) frequency cetacean and pinniped sensitive to a wide range of includes, but is not limited to: Extensive responses to non-pulse sounds, based anthropogenic sounds at low received or prolonged aggressive behavior; strictly on received level, in Appendix levels (∼90–120 dB), at least for initial moderate, prolonged or significant C of their article (incorporated by exposures. All recorded exposures separation of females and dependent reference and summarized in the three above 140 dB induced profound and offspring with disruption of acoustic paragraphs below). sustained avoidance behavior in wild reunion mechanisms; long-term The studies that address responses of harbor porpoises (Southall et al., 2007). avoidance of an area; outright panic, low frequency cetaceans to non-pulse Rapid habituation was noted in some stampede, stranding; threatening or sounds include data gathered in the but not all studies. The Pacific harbor attacking sound source (in laboratory)

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In Table 5 we have summarized the pinnipeds in water to non-pulse sounds. received level) that Southall et al. (2007) scores that Southall et al. (2007) This table is included simply to compiled in the effort to develop assigned to the papers that reported summarize the findings of the studies acoustic criteria. behavioral responses of low-frequency and opportunistic observations (all of cetaceans, mid-frequency cetaceans, and which were capable of estimating

Potential Effects of Behavioral and respond accordingly, which direct approaches over them (Frid, 2001; Disturbance includes scanning for the source of the Stockwell et al., 1991). The different ways that marine stimulus or ‘‘vigilance’’ (Cowlishaw et Several authors have established that mammals respond to sound are al., 2004). long-term and intense disturbance sometimes indicators of the ultimate Vigilance is normally an adaptive stimuli can cause population declines effect that exposure to a given stimulus behavior that helps animals determine by reducing the body condition of will have on the well-being (survival, the presence or absence of predators, individuals that have been disturbed, reproduction, etc.) of an animal. There assess their distance from conspecifics, followed by reduced reproductive is little marine mammal data or to attend cues from prey (Bednekoff success, reduced survival, or both (Daan quantitatively relating the exposure of and Lima, 1998; Treves, 2000). Despite et al., 1996; Madsen, 1994; White, marine mammals to sound to effects on those benefits, however, vigilance has a 1983). For example, Madsen (1994) reproduction or survival, though data cost of time: When animals focus their reported that pink-footed geese (Anser exists for terrestrial species to which we attention on specific environmental brachyrhynchus) in undisturbed habitat can draw comparisons for marine cues, they are not attending to other gained body mass and had about a 46- mammals. activities such a foraging. These costs percent reproductive success rate compared with geese in disturbed Attention is the cognitive process of have been documented best in foraging habitat (being consistently scared off the selectively concentrating on one aspect animals, where vigilance has been fields on which they were foraging) of an animal’s environment while shown to substantially reduce feeding which did not gain mass and has a 17- ignoring other things (Posner, 1994). rates (Saino, 1994; Beauchamp and percent reproductive success rate. Because animals (including humans) Livoreil, 1997; Fritz et al., 2002). have limited cognitive resources, there Similar reductions in reproductive is a limit to how much sensory Animals will spend more time being success have been reported for mule information they can process at any vigilant, which may translate to less deer (Odocoileus hemionus) disturbed time. The phenomenon called time foraging or resting, when by all-terrain vehicles (Yarmoloy et al., ‘‘attentional capture’’ occurs when a disturbance stimuli approach them 1988), caribou disturbed by seismic stimulus (usually a stimulus that an more directly, remain at closer exploration blasts (Bradshaw et al., animal is not concentrating on or distances, have a greater group size (for 1998), caribou disturbed by low- attending to) ‘‘captures’’ an animal’s example, multiple surface vessels), or elevation military jet-fights (Luick et al., attention. This shift in attention can when they co-occur with times that an 1996), and caribou disturbed by low- occur consciously or unconsciously (for animal perceives increased risk (for elevation jet flights (Harrington and example, when an animal hears sounds example, when they are giving birth or Veitch, 1992). Similarly, a study of elk that it associates with the approach of accompanied by a calf). Most of the (Cervus elaphus) that were disturbed a predator) and the shift in attention can published literature, however, suggests experimentally by pedestrians be sudden (Dukas, 2002; van Rij, 2007). that direct approaches will increase the concluded that the ratio of young to Once a stimulus has captured an amount of time animals will dedicate to mothers was inversely related to animal’s attention, the animal can being vigilant. For example, bighorn disturbance rate (Phillips and respond by ignoring the stimulus, sheep and Dall’s sheep dedicated more Alldredge, 2000). assuming a ‘‘watch and wait’’ posture, time to being vigilant, and less time The primary mechanism by which or treat the stimulus as a disturbance resting or foraging, when aircraft made increased vigilance and disturbance

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appear to affect the fitness of individual weather events, sound exposure, or (4 percent) involved dolphins, and 14 animals is by disrupting an animal’s combinations of these stressors (20 percent) involved whale species. time budget and, as a result, reducing sustained concurrently or in series. Cuvier’s beaked whales were involved the time they might spend foraging and However, the cause or causes of most in the greatest number of these events resting (which increases an animal’s strandings are unknown (Geraci et al., (48 or 68 percent), followed by sperm activity rate and energy demand). For 1976; Eaton, 1979, Odell et al., 1980; whales (7 or 10 percent), and example, a study of grizzly bears (Ursus Best, 1982). Numerous studies suggest Blainville’s and Gervais’ beaked whales horribilis) reported that bears disturbed that the physiology, behavior, habitat (4 each or 6 percent). Naval activities by hikers reduced their energy intake by relationships, age, or condition of that might have involved active sonar an average of 12 kcal/min (50.2 × 103kJ/ cetaceans may cause them to strand or are reported to have coincided with 9 min), and spent energy fleeing or acting might pre-dispose them to strand when (13 percent) or 10 (14 percent) of those aggressively toward hikers (White et al., exposed to another phenomenon. These stranding events. Between the mid- 1999). Alternately, Ridgway et al. (2006) suggestions are consistent with the 1980s and 2003 (the period reported by reported that increased vigilance in conclusions of numerous other studies the International Whaling Commission), bottlenose dolphins exposed to sound that have demonstrated that we identified reports of 44 mass over a five day period did not cause any combinations of dissimilar stressors cetacean stranding events of which at sleep deprivation or stress effects such commonly combine to kill an animal or least 7 were coincident with naval as changes in cortisol or epinephrine dramatically reduce its fitness, even exercises that were using mid-frequency levels. though one exposure without the other sonar. On a related note, many animals does not produce the same result Strandings Associated With MFAS perform vital functions, such as feeding, (Chroussos, 2000; Creel, 2005; DeVries resting, traveling, and socializing, on a et al., 2003; Fair and Becker, 2000; Foley Over the past 12 years, there have diel cycle (24-hr cycle). Substantive et al., 2001; Moberg, 2000; Relyea, been five stranding events coincident behavioral reactions to noise exposure 2005a; 2005b, Romero, 2004; Sih et al., with military mid-frequency active (such as disruption of critical life 2004). sonar use in which exposure to sonar is functions, displacement, or avoidance of Several sources have published lists believed to have been a contributing important habitat) are more likely to be of mass stranding events of cetaceans factor: Greece (1996); the Bahamas significant if they last more than one during attempts to identify relationships (2000); Madeira (2000); Canary Islands diel cycle or recur on subsequent days between those stranding events and (2002); and Spain (2006). A number of (Southall et al., 2007). Consequently, a military active sonar (Hildebrand, 2004; other stranding events coincident with behavioral response lasting less than IWC, 2005; Taylor et al., 2004). For the operation of MFAS including the one day and not recurring on example, based on a review of stranding death of beaked whales or other species subsequent days is not considered records between 1960 and 1995, the (minke whales, dwarf sperm whales, particularly severe unless it could International Whaling Commission pilot whales) have been reported, directly affect reproduction or survival (2005) identified ten mass stranding however, the majority have not been (Southall et al., 2007). events of Cuvier’s beaked whales that investigated to the degree necessary to had been reported and one mass determine the cause of the stranding. Stranding and Mortality stranding of four Baird’s beaked whales Greece (1996) When a live or dead marine mammal (Berardius bairdii). The IWC concluded swims or floats onto shore and becomes that, out of eight stranding events Twelve Cuvier’s beaked whales ‘‘beached’’ or incapable of returning to reported from the mid-1980s to the stranded atypically (in both time and sea, the event is termed a ‘‘stranding’’ summer of 2003, seven had been space) along a 38.2-kilometer strand of (Geraci et al., 1999; Perrin and Geraci, coincident with the use of MFAS, one the coast of the Kyparissiakos Gulf on 2002; Geraci and Lounsbury, 2005; of those seven had been associated with May 12 and 13, 1996 (Frantzis, 1998). National Marine Fisheries Service, the use of tactical low-frequency sonar, From May 11 through May 15, the 2007p). The legal definition for a and the remaining stranding event had NATO research vessel Alliance was stranding within the United States is been associated with the use of seismic conducting active sonar tests with that (A) ‘‘a marine mammal is dead and airguns. signals of 600 Hz and 3 kHz and source is (i) on a beach or shore of the United Most of the stranding events reviewed levels of 228 and 226 dB re: 1µPa, States; or (ii) in waters under the by the International Whaling respectively (D’Amico and Verboom, jurisdiction of the United States Commission involved beaked whales. A 1998; D’Spain et al., 2006). The timing (including any navigable waters); or (B) mass stranding of Cuvier’s beaked and the location of the testing a marine mammal is alive and is (i) on whales in the eastern Mediterranean Sea encompassed the time and location of a beach or shore of the United States occurred in 1996 (Franzis, 1998) and the whale strandings (Frantzis, 1998). and is unable to return to the water; (ii) mass stranding events involving Necropsies of eight of the animals on a beach or shore of the United States Gervais’ beaked whales, Blainville’s were performed but were limited to and, although able to return to the beaked whales, and Cuvier’s beaked basic external examination and water, is in need of apparent medical whales occurred off the coast of the sampling of stomach contents, blood, attention; or (iii) in the waters under the Canary Islands in the late 1980s and skin. No ears or organs were jurisdiction of the United States (Simmonds and Lopez-Jurado, 1991). collected, and no histological samples (including any navigable waters), but is The stranding events that occurred in were preserved. No apparent unable to return to its natural habitat the Canary Islands and Kyparissiakos abnormalities or wounds were found under its own power or without Gulf in the late 1990s and the Bahamas (Frantzis, 2004). Examination of photos assistance.’’ (16 U.S.C. 1421h). in 2000 have been the most intensively of the animals, taken soon after their Marine mammals are known to strand studied mass stranding events and have death, revealed that the eyes of at least for a variety of reasons, such as been associated with naval maneuvers four of the individuals were bleeding. infectious agents, biotoxicosis, involving the use of MFAS. Photos were taken soon after their death starvation, fishery interaction, ship Between 1960 and 2006, 48 strandings (Frantzis, 2004). Stomach contents strike, unusual oceanographic or (68 percent) involved beaked whales, 3 contained the flesh of cephalopods,

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indicating that feeding had recently unknown). As discussed in the Bahamas with the potential to cause cetaceans taken place (Frantzis, 1998). report (DOC/DON, 2001), there is no (especially beaked whales) to strand, All available information regarding likely association between the minke and therefore, suggests the need for the conditions associated with this whale and spotted dolphin strandings increased vigilance while operating stranding event were compiled, and and the operation of MFAS. MFAS in these areas, especially when many potential causes were examined Necropsies were performed on five of beaked whales (or potentially other including major pollution events, the stranded beaked whales. All five deep divers) are likely present. prominent tectonic activity, unusual necropsied beaked whales were in good physical or meteorological events, body condition, showing no signs of Madeira, Spain (2000) magnetic anomalies, epizootics, and infection, disease, ship strike, blunt From May 10–14, 2000, three Cuvier’s conventional military activities trauma, or fishery related injuries, and beaked whales were found atypically (International Council for the three still had food remains in their stranded on two islands in the Madeira Exploration of the Sea, 2005a). stomachs. Auditory structural damage archipelago, Portugal (Cox et al., 2006). However, none of these potential causes was discovered in four of the whales, A fourth animal was reported floating in coincided in time or space with the specifically bloody effusions or the Madeiran waters by fisherman but mass stranding, or could explain its hemorrhaging around the ears. Bilateral did not come ashore (Woods Hole characteristics (International Council for intracochlear and unilateral temporal Oceanographic Institution, 2005). Joint the Exploration of the Sea, 2005a). The region subarachnoid hemorrhage, with NATO amphibious training robust condition of the animals, plus the blood clots in the lateral ventricles, peacekeeping exercises involving recent stomach contents, is inconsistent were found in two of the whales. Three participants from 17 countries’ 80 with pathogenic causes (Frantzis, 2004). of the whales had small hemorrhages in warships, took place in Portugal during In addition, environmental causes can their acoustic fats (located along the jaw May 2–15, 2000. be ruled out as there were no unusual and in the melon). The bodies of the three stranded environmental circumstances or events A comprehensive investigation was whales were examined post mortem before or during this time period and conducted and all possible causes of the (Woods Hole Oceanographic Institution, within the general proximity (Frantzis, stranding event were considered, 2005), though only one of the stranded 2004). whether they seemed likely at the outset whales was fresh enough (24 hours after It was determined that because of the or not. Based on the way in which the stranding) to be necropsied (Cox et al., rarity of this mass stranding of Cuvier’s strandings coincided with ongoing 2006). Results from the necropsy beaked whales in the Kyparissiakos Gulf naval activity involving tactical MFAS revealed evidence of hemorrhage and (first one in history), the probability for use, in terms of both time and congestion in the right lung and both the two events (the military exercises geography, the nature of the kidneys (Cox et al., 2006). There was and the strandings) to coincide in time physiological effects experienced by the also evidence of intercochlear and and location, while being independent dead animals, and the absence of any intracranial hemorrhage similar to that of each other, was extremely low other acoustic sources, the investigation which was observed in the whales that (Frantzis, 1998). However, because full team concluded that MFAS aboard U.S. stranded in the Bahamas event (Cox et necropsies had not been conducted, and Navy ships that were in use during the al., 2006). There were no signs of blunt no abnormalities were noted, the cause active sonar exercise in question were trauma, and no major fractures (Woods of the strandings could not be precisely the most plausible source of this Hole Oceanographic Institution, 2005). determined (Cox et al., 2006). The acoustic or impulse trauma to beaked The cranial sinuses and airways were analysis of this stranding event whales. This sound source was active in found to be clear with little or no fluid provided support for, but no clear a complex environment that included deposition, which may indicate good evidence for, the cause-and-effect the presence of a surface duct, unusual preservation of tissues (Woods Hole relationship of active sonar training and steep bathymetry, a constricted Oceanographic Institution, 2005). activities and beaked whale strandings channel with limited egress, intensive Several observations on the Madeira (Cox et al., 2006). use of multiple, active sonar units over stranded beaked whales, such as the an extended period of time, and the pattern of injury to the auditory system, Bahamas (2000) presence of beaked whales that appear are the same as those observed in the NMFS and the Navy prepared a joint to be sensitive to the frequencies Bahamas strandings. Blood in and report addressing the multi-species produced by these active sonars. The around the eyes, kidney lesions, pleural stranding in the Bahamas in 2000, investigation team concluded that the hemorrhages, and congestion in the which took place within 24 hours of cause of this stranding event was the lungs are particularly consistent with U.S. Navy ships using MFAS as they confluence of the Navy MFAS and these the pathologies from the whales passed through the Northeast and contributory factors working together, stranded in the Bahamas, and are Northwest Providence Channels on and further recommended that the Navy consistent with stress and pressure March 15–16, 2000. The ships, which avoid operating MFAS in situations related trauma. The similarities in operated both AN/SQS–53C and AN/ where these five factors would be likely pathology and stranding patterns SQS–56, moved through the channel to occur. This report does not conclude between these two events suggest that a while emitting MFAS pings that all five of these factors must be similar pressure event may have approximately every 24 seconds. Of the present for a stranding to occur, nor that precipitated or contributed to the 17 cetaceans that stranded over a 36-hr beaked whales are the only species that strandings at both sites (Woods Hole period (Cuvier’s beaked whales, could potentially be affected by the Oceanographic Institution, 2005). Blainville’s beaked whales, Minke confluence of the other factors. Based on Even though no definitive causal link whales, and a spotted dolphin), seven this, NMFS believes that the operation can be made between the stranding animals died on the beach (5 Cuvier’s of MFAS in situations where surface event and naval exercises, certain beaked whales, 1 Blainville’s beaked ducts exist, or in marine environments conditions may have existed in the whale, and the spotted dolphin), while defined by steep bathymetry and/or exercise area that, in their aggregate, the other 10 were returned to the water constricted channels may increase the may have contributed to the marine alive (though their ultimate fate is likelihood of producing a sound field mammal strandings (Freitas, 2004):

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Exercises were conducted in areas of at determine after death (Jepson et al., pathologists, the most likely primary least 547 fathoms (1,000 m) depth near 2003). The livers of the necropsied cause of this type of beaked whale mass a shoreline where there is a rapid animals were the most consistently stranding event was anthropogenic change in bathymetry on the order of affected organ, which contained acoustic activities, most probably anti- 547 to 3,281 (1,000–6,000 m) fathoms macroscopic gas-filled cavities and had submarine MFAS used during the occurring across a relatively short variable degrees of fibrotic military naval exercises. However, no horizontal distance (Freitas, 2004); encapsulation. In some animals, positive acoustic link was established as multiple ships were operating around cavitary lesions had extensively a direct cause of the stranding. Even Madeira, though it is not known if replaced the normal tissue (Jepson et al., though no causal link can be made MFAS was used, and the specifics of the 2003). Stomachs contained a large between the stranding event and naval sound sources used are unknown (Cox amount of fresh and undigested exercises, certain conditions may have et al., 2006, Freitas, 2004); exercises contents, suggesting a rapid onset of existed in the exercise area that, in their took place in an area surrounded by disease and death (Fernandez et al., aggregate, may have contributed to the landmasses separated by less than 35 2005). Head and neck lymph nodes marine mammal strandings (Freitas, nm (65 km) and at least 10 nm (19 km) were enlarged and congested, and 2004): exercises were conducted in in length, or in an embayment. Exercises parasites were found in the kidneys of areas of at least 547 fathoms (1,000 m) involving multiple ships employing all animals (Fernandez et al., 2005). depth near a shoreline where there is a MFAS near land may produce sound The association of NATO MFAS use rapid change in bathymetry on the order directed towards a channel or close in space and time to the beaked of 547 to 3,281 fathoms (1,000—6,000 embayment that may cut off the lines of whale strandings, and the similarity m) occurring across a relatively short egress for marine mammals (Freitas, between this stranding event and horizontal distance (Freitas, 2004); 2004). previous beaked whale mass strandings multiple ships (in this instance, five) coincident with active sonar use, were operating MFAS in the same area Canary Islands, Spain (2002) suggests that a similar scenario and over extended periods of time (in this The southeastern area within the causative mechanism of stranding may case, 20 hours) in close proximity; Canary Islands is well known for be shared between the events. Beaked Exercises took place in an area aggregations of beaked whales due to its whales stranded in this event surrounded by landmasses, or in an ocean depths of greater than 547 demonstrated brain and auditory system embayment. Exercises involving fathoms (1,000 m) within a few hundred injuries, hemorrhages, and congestion in multiple ships employing MFAS near meters of the coastline (Fernandez et al., multiple organs, similar to the land may have produced sound directed 2005). On September 24, 2002, 14 pathological findings of the Bahamas towards a channel or embayment that beaked whales were found stranded on and Madeira stranding events. In may have cut off the lines of egress for Fuerteventura and Lanzarote Islands in addition, the necropsy results of Canary the affected marine mammals (Freitas, the Canary Islands (International Islands stranding event lead to the 2004). Council for Exploration of the Sea, hypothesis that the presence of 2005a). Seven whales died, while the disseminated and widespread gas Association Between Mass Stranding remaining seven live whales were bubbles and fat emboli were indicative Events and Exposure to MFAS returned to deeper waters (Fernandez et of nitrogen bubble formation, similar to Several authors have noted al., 2005). Four beaked whales were what might be expected in similarities between some of these found stranded dead over the next 3 decompression sickness (Jepson et al., stranding incidents: they occurred in days either on the coast or floating 2003; Fernandez et al., 2005). islands or archipelagoes with deep offshore. These strandings occurred water nearby, several appeared to have within near proximity of an Spain (2006) been associated with acoustic international naval exercise that utilized The Spanish Cetacean Society waveguides like surface ducting, and MFAS and involved numerous surface reported an atypical mass stranding of the sound fields created by ships warships and several submarines. four beaked whales that occurred transmitting MFAS (Cox et al., 2006, Strandings began about 4 hours after the January 26, 2006, on the southeast coast D’Spain et al., 2006). Although Cuvier’s onset of MFAS activity (International of Spain, near Mojacar (Gulf of Vera) in beaked whales have been the most Council for Exploration of the Sea, the Western Mediterranean Sea. common species involved in these 2005a; Fernandez et al., 2005). According to the report, two of the stranding events (81 percent of the total Eight Cuvier’s beaked whales, one whales were discovered the evening of number of stranded animals), other Blainville’s beaked whale, and one January 26 and were found to be still beaked whales (including Mesoplodon Gervais’ beaked whale were necropsied, alive. Two other whales were europeaus, M. densirostris, and six of them within 12 hours of stranding discovered during the day on January Hyperoodon ampullatus) comprise 14 (Fernandez et al., 2005). No pathogenic 27, but had already died. The fourth percent of the total. Other species bacteria were isolated from the carcasses animal was found dead on the afternoon (Stenella coeruleoalba, Kogia breviceps (Jepson et al., 2003). The animals of January 27, a few kilometers north of and Balaenoptera acutorostrata) have displayed severe vascular congestion the first three animals. From January stranded, but in much lower numbers and hemorrhage especially around the 25–26, 2006, Standing North Atlantic and less consistently than beaked tissues in the jaw, ears, brain, and Treaty Organization (NATO) Response whales. kidneys, displaying marked Force Maritime Group Two (five of Based on the evidence available, disseminated microvascular seven ships including one U.S. ship however, we cannot determine whether hemorrhages associated with under NATO Operational Control) had (a) Cuvier’s beaked whale is more prone widespread fat emboli (Jepson et al., conducted active sonar training against to injury from high-intensity sound than 2003; International Council for a Spanish submarine within 50 nm (93 other species, (b) their behavioral Exploration of the Sea, 2005a). Several km) of the stranding site. responses to sound makes them more organs contained intravascular bubbles, Veterinary pathologists necropsied likely to strand, or (c) they are more although definitive evidence of gas the two male and two female Cuvier’s likely to be exposed to MFAS than other embolism in vivo is difficult to beaked whales. According to the cetaceans (for reasons that remain

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unknown). Because the association of time which could lead to hypoxia with (2) relatively slow, controlled between active sonar exposures and directly by increasing their oxygen ascents, followed by (3) a series of marine mammals mass stranding events demands or indirectly by increasing ‘‘bounce’’ dives between 100 and 400 is not consistent—some marine their energy expenditures (to remain at meters in depth (also see Zimmer and mammals strand without being exposed depth) and increase their oxygen Tyack, 2007). They concluded that to active sonar and some sonar demands as a result. If beaked whales acoustic exposures that disrupted any transmissions are not associated with are at depth when they detect a ping part of this dive sequence (for example, marine mammal stranding events from an active sonar transmission and causing beaked whales to spend more despite their co-occurrence—other risk change their dive profile, this could lead time at surface without the bounce dives factors or a grouping of risk factors to the formation of significant gas that are necessary to recover from the probably contribute to these stranding bubbles, which could damage multiple deep dive) could produce excessive events. organs or interfere with normal levels of nitrogen supersaturation in their tissues, leading to gas bubble and Behaviorally Mediated Responses to physiological function (Cox et al., 2006; emboli formation that produces MFAS That May Lead to Stranding Rommel et al., 2006; Zimmer and Tyack, 2007). Baird et al. (2005) found pathologies similar to decompression Although the confluence of Navy that slow ascent rates from deep dives sickness. MFAS with the other contributory and long periods of time spent within Recently, Zimmer and Tyack (2007) factors noted in the report was 50 m of the surface were typical for both modeled nitrogen tension and bubble identified as the cause of the 2000 Cuvier’s and Blainville’s beaked whales, growth in several tissue compartments Bahamas stranding event, the specific the two species involved in mass for several hypothetical dive profiles mechanisms that led to that stranding strandings related to naval MFAS. These and concluded that repetitive shallow (or the others) are not understood, and two behavioral mechanisms may be dives (defined as a dive where depth there is uncertainty regarding the necessary to purge excessive dissolved does not exceed the depth of alveolar ordering of effects that led to the nitrogen concentrated in their tissues collapse, approximately 72 m for stranding. It is unclear whether beaked during their frequent long dives (Baird Ziphius), perhaps as a consequence of whales were directly injured by sound et al., 2005). Baird et al. (2005) further an extended avoidance reaction to (acoustically mediated bubble growth, suggests that abnormally rapid ascents active sonar sound, could pose a risk for addressed above) prior to stranding or or premature dives in response to high- decompression sickness and that this whether a behavioral response to sound intensity active sonar could indirectly risk should increase with the duration occurred that ultimately caused the result in physical harm to the beaked of the response. Their models also beaked whales to be injured and to whales, through the mechanisms suggested that unrealistically rapid strand. ascent rates of ascent from normal dive Although causal relationships described above (gas bubble formation or non-elimination of excess nitrogen). behaviors are unlikely to result in between beaked whale stranding events supersaturation to the extent that bubble and active sonar remain unknown, Because many species of marine formation would be expected. Tyack et several authors have hypothesized that mammals make repetitive and al. (2006) suggested that emboli stranding events involving these species prolonged dives to great depths, it has observed in animals exposed to MFAS in the Bahamas and Canary Islands may long been assumed that marine (Jepson et al., 2003; Fernandez et al., have been triggered when the whales mammals have evolved physiological 2005) could stem from a behavioral changed their dive behavior in a startled mechanisms to protect against the response that involves repeated dives response to exposure to active sonar or effects of rapid and repeated shallower than the depth of lung to further avoid exposure (Cox et al., decompressions. Although several collapse. Given that nitrogen gas 2006, Rommel et al., 2006). These investigators have identified accumulation is a passive process (i.e., authors proposed three mechanisms by physiological adaptations that may nitrogen is metabolically inert), a which the behavioral responses of protect marine mammals against bottlenose dolphin was trained to beaked whales upon being exposed to nitrogen gas supersaturation (alveolar repetitively dive a profile predicted to active sonar might result in a stranding collapse and elective circulation; elevate nitrogen saturation to the point event. These include: gas bubble Kooyman et al., 1972; Ridgway and that nitrogen bubble formation was formation caused by excessively fast Howard, 1979), Ridgway and Howard predicted to occur. However, inspection surfacing; remaining at the surface too (1979) reported that bottlenose dolphins of the vascular system of the dolphin via long when tissues are supersaturated (Tursiops truncatus) that were trained to ultrasound did not demonstrate the with nitrogen; or diving prematurely dive repeatedly had muscle tissues that formation of asymptomatic nitrogen gas when extended time at the surface is were substantially supersaturated with bubbles (Houser et al., 2007). Baird et al. necessary to eliminate excess nitrogen. nitrogen gas. Houser et al. (2001) used (2008), in a beaked whale tagging study More specifically, beaked whales that these data to model the accumulation of off Hawaii, showed that deep dives are occur in deep waters that are in close nitrogen gas within the muscle tissue of equally common during day or night, proximity to shallow waters (for other marine mammal species and but ‘‘bounce dives’’ are typically a example, the ‘‘canyon areas’’ that are concluded that cetaceans that dive deep daytime behavior, possibly associated cited in the Bahamas stranding event; and have slow ascent or descent speeds with visual predator avoidance (Baird et see D’Spain and D’Amico, 2006), may would have tissues that are more al. 2008). This may indicate that respond to active sonar by swimming supersaturated with nitrogen gas than ‘‘bounce dives’’ are associated with into shallow waters to avoid further other marine mammals. Based on these something other than behavioral exposures and strand if they were not data, Cox et al. (2006) hypothesized that regulation of dissolved nitrogen levels, able to swim back to deeper waters. a critical dive sequence might make which would be necessary day and Second, beaked whales exposed to beaked whales more prone to stranding night. active sonar might alter their dive in response to acoustic exposures. The If marine mammals respond to a Navy behavior. Changes in their dive behavior sequence began with (1) very deep (to vessel that is transmitting active sonar might cause them to remain at the depths of up to 2 kilometers) and long in the same way that they might surface or at depth for extended periods (as long as 90 minutes) foraging dives respond to a predator, their probability

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of flight responses should increase (mid-frequency active sonar, beaked contusions, petechiae (small red or when they perceive that Navy vessels whale presence, surface ducts, steep purple spots caused by bleeding in the are approaching them directly, because bathymetry, and constricted channels skin), and slight hemorrhaging a direct approach may convey detection with limited egress) will be present (Yelverton et al., 1973). and intent to capture (Burger and during SOCAL exercises. However, as Because the ears are the most Gochfeld, 1981, 1990; Cooper, 1997, mentioned previously, NMFS sensitive to pressure, they are the organs 1998). The probability of flight recommends caution when steep most sensitive to injury (Ketten, 2000). responses should also increase as bathymetry, surface ducting conditions, Sound-related trauma associated with received levels of active sonar increase or a constricted channel is present when blast noise can be theoretically distinct (and the ship is, therefore, closer) and mid-frequency active sonar is employed from injury from the shock wave, as ship speeds increase (that is, as and cetaceans (especially beaked particularly farther from the explosion. approach speeds increase). For example, whales) are present. If an animal is able to hear a noise, at the probability of flight responses in some level it can fatigue or damage its Exposure to Underwater Detonation of Dall’s sheep (Ovis dalli dalli) (Frid hearing by causing decreased sensitivity Explosives 2001a, b), ringed seals (Phoca hispida) (Ketten, 1995) (See Noise-induced (Born et al., 1999), Pacific brant (Branta Some of the Navy’s training exercises Threshold Shift Section above). Sound- bernic nigricans) and Canada geese (B. include the underwater detonation of related trauma can be lethal or canadensis) increased as a helicopter or explosives. For many of the exercises sublethal. Lethal impacts are those that fixed-wing aircraft approached groups discussed, inert ordnance is used for a result in immediate death or serious of these animals more directly (Ward et subset of the exercises. For exercises debilitation in or near an intense source al., 1999). Bald eagles (Haliaeetus that involve ‘‘shooting’’ at a target that and are not, technically, pure acoustic leucocephalus) perched on trees is above the surface of the water, trauma (Ketten, 1995). Sublethal alongside a river were also more likely underwater explosions only occur when impacts include hearing loss, which is to flee from a paddle raft when their the target is missed, which is the caused by exposures to perceptible perches were closer to the river or were minority of the time (the Navy has sounds. Severe damage (from the shock closer to the ground (Steidl and historical hit/miss ratios and uses them wave) to the ears includes tympanic Anthony, 1996). in their exposure estimates). The membrane rupture, fracture of the Despite the many theories involving underwater explosion from a weapon ossicles, damage to the cochlea, bubble formation (both as a direct cause would send a shock wave and blast hemorrhage, and cerebrospinal fluid of injury (see Acoustically Mediated noise through the water, release gaseous leakage into the middle ear. Moderate Bubble Growth Section) and an indirect by-products, create an oscillating injury implies partial hearing loss due cause of stranding (See Behaviorally bubble, and cause a plume of water to to tympanic membrane rupture and Mediated Bubble Growth Section)), shoot up from the water surface. The blood in the middle ear. Permanent Southall et al. (2007) summarizes that shock wave and blast noise are of most hearing loss also can occur when the there is either scientific disagreement or concern to marine animals. Depending hair cells are damaged by one very loud a lack of information regarding each of on the intensity of the shock wave and event, as well as by prolonged exposure the following important points: (1) size, location, and depth of the animal, to a loud noise or chronic exposure to Received acoustical exposure conditions an animal can be injured, killed, suffer noise. The level of impact from blasts for animals involved in stranding non-lethal physical effects, experience depends on both an animal’s location events; (2) pathological interpretation of hearing related effects with or without and, at outer zones, on its sensitivity to observed lesions in stranded marine behavioral responses, or exhibit the residual noise (Ketten, 1995). mammals; (3) acoustic exposure temporary behavioral responses or There have been fewer studies conditions required to induce such tolerance from hearing the blast sound. addressing the behavioral effects of physical trauma directly; (4) whether Generally, exposures to higher levels of explosives on marine mammals than noise exposure may cause behavioral impulse and pressure levels would MFAS/HFAS. However, though the reactions (such as atypical diving result in worse impacts to an individual nature of the sound waves emitted from behavior) that secondarily cause bubble animal. an explosion is different (in shape and formation and tissue damage; and (5) Injuries resulting from a shock wave rise time) from MFAS/HFAS, we still the extent the post mortem artifacts take place at boundaries between tissues anticipate the same sorts of behavioral introduced by decomposition before of different density. Different velocities responses (see Exposure to MFAS/ sampling, handling, freezing, or are imparted to tissues of different HFAS:Behavioral Disturbance Section) necropsy procedures affect densities, and this can lead to their to result from repeated explosive interpretation of observed lesions. physical disruption. Blast effects are detonations (a smaller range of likely During SOCAL exercises there will be greatest at the gas-liquid interface less severe responses would be expected use of multiple sonar units in areas (Landsberg, 2000). Gas-containing to occur as a result of exposure to a where seven species of beaked whale organs, particularly the lungs and single explosive detonation). species may be present. A surface duct gastrointestinal tract, are especially may be seasonally present in a limited susceptible (Goertner, 1982; Hill, 1978; Mitigation area for a limited period of time. Some Yelverton et al., 1973). In addition, gas- In order to issue an incidental take exercises will occur in areas of high containing organs including the nasal authorization (ITA) under Section bathymetric relief. However, none of the sacs, larynx, pharynx, trachea, and 101(a)(5)(A) of the MMPA, NMFS must training events will take place in a lungs may be damaged by compression/ set forth the ‘‘permissible methods of location having a constricted channel expansion caused by the oscillations of taking pursuant to such activity, and less than 35 miles wide or with limited the blast gas bubble (Reidenberg and other means of effecting the least egress similar to the Bahamas (because Laitman, 2003). Intestinal walls can practicable adverse impact on such none exist in the SOCAL Range bruise or rupture, with subsequent species or stock and its habitat, paying Complex). Consequently, not all five of hemorrhage and escape of gut contents particular attention to rookeries, mating the environmental factors believed to into the body cavity. Less severe grounds, and areas of similar contribute to the Bahamas stranding gastrointestinal tract injuries include significance.’’ The NDAA of 2004

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amended the MMPA as it relates to Mitigation Measures Proposed in the supervision of a qualified, experienced military-readiness activities and the Navy’s LOA Application lookout. Following successful incidental take authorization process This section includes the protective completion of this supervised training such that ‘‘least practicable adverse measures proposed by the Navy and is period, lookouts will complete the impact’’ shall include consideration of taken directly from their application Personal Qualification Standard personnel safety, practicality of (with the exception of headings, which Program, certifying that they have implementation, and impact on the have been modified for increased clarity demonstrated the necessary skills (such effectiveness of the ‘‘military readiness within the context of this proposed as detection and reporting of partially activity’’. The training activities rule). In their proposed mitigation, the submerged objects). Personnel being described in the SOCAL application are Navy has included measures to protect trained as lookouts can be counted considered military readiness activities. sea turtles—those measures are among those listed below as long as supervisors monitor their progress and NMFS reviewed the proposed SOCAL included here as part of the Navy’s proposed action. Although measures to performance. activities and the proposed SOCAL • Lookouts will be trained in the most mitigation measures presented in the protect sea turtles are important, they are not required by the MMPA, and effective means to ensure quick and Navy’s application to determine effective communication within the whether the activities and mitigation therefore, will not be codified through this regulation or required in any command structure in order to facilitate measures were capable of achieving the subsequent MMPA LOA. Measures to implementation of protective measures least practicable adverse effect on protect sea turtles will, however, be if marine species are spotted. marine mammals. NMFS determined addressed in the Endangered Species that further discussion was necessary Operating Procedures & Collision Act section 7 consultation. regarding the potential relationship Avoidance between the operation of MFAS/HFAS General Maritime Measures for All • Prior to major exercises, a Letter of and marine mammal strandings. NMFS Training at Sea Instruction, Mitigation Measures worked with the Navy to identify Personnel Training (for All Training Message or Environmental Annex to the additional practicable and effective Types) Operational Order will be issued to mitigation measures, which included a further disseminate the personnel careful balancing of the likely benefit of The use of shipboard lookouts is a training requirement and general marine any particular measure to the marine critical component of all Navy species protective measures. • mammals with the likely effect of that protective measures. Lookout duties COs will make use of marine measure on personnel safety, require that they report all objects species detection cues and information sighted in the water to the officer of the practicality of implementation, and to limit interaction with marine species deck (OOD) (e.g., trash, a periscope, impact on the ‘‘military-readiness to the maximum extent possible marine mammals, sea turtles) and all activity’’. consistent with safety of the ship. disturbances (e.g., surface disturbance, • While underway, surface vessels To address the concern above, NMFS discoloration) that may be indicative of will have at least two lookouts with and the Navy developed a a threat to the vessel and its crew. There binoculars; surfaced submarines will comprehensive Stranding Response are personnel serving as lookouts on have at least one lookout with Plan. Included below are the mitigation station at all times (day and night) when binoculars. Lookouts already posted for measures the Navy initially proposed a ship or surfaced submarine is moving safety of navigation and man-overboard (see ‘‘Mitigation Measures Proposed in through the water. precautions may be used to fill this the Navy’s LOA Application’’) and the • All commanding officers (COs), requirement. As part of their regular Stranding Response Plan that NMFS executive officers (XOs), lookouts, duties, lookouts will watch for and and the Navy developed (see officers of the deck (OODs), junior report to the OOD the presence of ‘‘Additional Measure Developed by OODs (JOODs), maritime patrol aircraft marine mammals and sea turtles. NMFS and the Navy’’ below). aircrews, and Anti-submarine Warfare • On surface vessels equipped with a Separately, NMFS has previously (ASW)/Mine Warfare (MIW) helicopter multi-function active sensor, pedestal received comments from the public crews will complete the NMFS- mounted ‘‘Big Eye’’ (20 x 10) binoculars approved Marine Species Awareness expressing concerns regarding potential will be properly installed and in good Training (MSAT) by viewing the U.S. delays between when marine mammals working order to assist in the detection Navy MSAT digital versatile disk (DVD). are visually detected by watchstanders of marine mammals and sea turtles in All bridge lookouts will complete both and when the active sonar is actually the vicinity of the vessel. parts one and two of the MSAT; part • Personnel on lookout will employ powered or shut down. NMFS and the two is optional for other personnel. This visual search procedures employing a Navy have discussed this issue and training addresses the lookout’s role in scanning methodology in accordance determined the following: Naval environmental protection, laws with the Lookout Training Handbook operators and lookouts are aware of the governing the protection of marine (NAVEDTRA 12968–D). potential for a very small delay (up to species, Navy stewardship • After sunset and prior to sunrise, about 4 seconds) between detecting a commitments and general observation lookouts will employ Night Lookouts marine mammal and powering down or information to aid in avoiding Techniques in accordance with the shutting down the tactical sonar and interactions with marine species. Lookout Training Handbook will take the actions necessary to ensure • Navy lookouts will undertake (NAVEDTRA 12968–D). that MFAS is powered down or shut extensive training in order to qualify as • While in transit, naval vessels will down when detected animals are within a watchstander in accordance with the be alert at all times, use extreme the specified powerdown or shutdown Lookout Training Handbook (Naval caution, and proceed at a ‘‘safe speed’’ zone (for example, by preparing to shut- Education and Training Command so that the vessel can take proper and down when animals are approaching, so [NAVEDTRA] 12968–D). effective action to avoid a collision with as to implement shut-down when they • Lookout training will include on- any marine animal and can be stopped are within the designated distance). the-job instruction under the within a distance appropriate to the

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prevailing circumstances and completion of this supervised training Annex to the Operational Order will be conditions. period, lookouts will complete the issued prior to major exercises to further • When whales have been sighted in Personal Qualification Standard disseminate the personnel training the area, Navy vessels will increase program, certifying that they have requirement and general marine vigilance and take reasonable and demonstrated the necessary skills (such mammal mitigation measures. practicable actions to avoid collisions as detection and reporting of partially • COs will make use of marine and activities that might result in close submerged objects). This does not forbid species detection cues and information interaction of naval assets and marine personnel being trained as lookouts to limit interaction with marine species mammals. Actions may include from being counted as those listed in to the maximum extent possible changing speed and/or direction and previous measures so long as consistent with safety of the ship. would be dictated by environmental and supervisors monitor their progress and • All personnel engaged in passive other conditions (e.g., safety, weather). performance. acoustic sonar operation (including • Floating weeds and kelp, algal mats, • Lookouts will be trained in the most aircraft, surface ships, or submarines) clusters of seabirds, and jellyfish are effective means to ensure quick and will monitor for marine mammal good indicators of sea turtles and effective communication within the vocalizations and report the detection of marine mammals. Therefore, increased command structure in order to facilitate any marine mammal to the appropriate vigilance in watching for sea turtles and implementation of mitigation measures watch station for dissemination and marine mammals will be taken where if marine species are spotted. appropriate action. these are present. • Lookout and Watchstander During mid-frequency active sonar • Navy aircraft participating in Responsibilities operations, personnel will utilize all exercises at sea will conduct and • available sensor and optical systems maintain, when operationally feasible On the bridge of surface ships, there (such as night vision goggles) to aid in and safe, surveillance for marine species will always be at least three people on the detection of marine mammals. of concern as long as it does not violate watch whose duties include observing • Navy aircraft participating in safety constraints or interfere with the the water surface around the vessel. • exercises at sea will conduct and accomplishment of primary operational All surface ships participating in maintain, when operationally feasible duties. Marine mammal detections will ASW training events will, in addition to and safe, surveillance for marine species be immediately reported to assigned the three personnel on watch noted of concern as long as it does not violate Aircraft Control Unit for further previously, have at all times during the safety constraints or interfere with the dissemination to ships in the vicinity of exercise at least two additional accomplishment of primary operational the marine species as appropriate where personnel on watch as marine mammal duties. it is reasonable to conclude that the lookouts. • Aircraft with deployed sonobuoys • Personnel on lookout and officers course of the ship will likely result in will use only the passive capability of on watch on the bridge will have at least a closing of the distance to the detected sonobuoys when marine mammals are one set of binoculars available for each marine mammal. detected within 200 yds (183 m) of the • person to aid in the detection of marine All vessels will maintain logs and sonobuoy. mammals. records documenting training • • Marine mammal detections will be operations should they be required for On surface vessels equipped with mid-frequency active sonar, pedestal immediately reported to assigned event reconstruction purposes. Logs and Aircraft Control Unit for further records will be kept for a period of 30 mounted ‘‘Big Eye’’ (20 x 110) binoculars will be present and in good dissemination to ships in the vicinity of days following completion of a major the marine species as appropriate where training exercise. working order to assist in the detection of marine mammals in the vicinity of it is reasonable to conclude that the Measures for MFAS Operations the vessel. course of the ship will likely result in • a closing of the distance to the detected Personnel Training (for MFAS Personnel on lookout will employ visual search procedures employing a marine mammal. Operations) • scanning methodology in accordance Safety Zones—When marine • All lookouts onboard platforms with the Lookout Training Handbook mammals are detected by any means involved in ASW training events will (NAVEDTRA 12968–D). (aircraft, shipboard lookout, or review the NMFS-approved Marine • After sunset and prior to sunrise, acoustically) within or closing to inside Species Awareness Training material lookouts will employ Night Lookouts 1,000 yds (914 m) of the sonar dome prior to use of mid-frequency active Techniques in accordance with the (the bow), the ship or submarine will sonar. Lookout Training Handbook. limit active transmission levels to at • All COs, XOs, and officers standing • Personnel on lookout will be least 6 decibels (dB) below normal watch on the bridge will have reviewed responsible for reporting all objects or operating levels. (A 6 dB reduction the Marine Species Awareness Training anomalies sighted in the water equates to a 75 percent power reduction. material prior to a training event (regardless of the distance from the The reason is that decibel levels are on employing the use of mid-frequency vessel) to the Officer of the Deck, since a logarithmic scale, not a linear scale. active sonar. any object or disturbance (e.g., trash, Thus, a 6 dB reduction results in a • Navy lookouts will undertake periscope, surface disturbance, power level only 25 percent of the extensive training in order to qualify as discoloration) in the water may be original power.) a watchstander in accordance with the indicative of a threat to the vessel and • Ships and submarines will continue Lookout Training Handbook (Naval its crew or indicative of a marine to limit maximum transmission levels Educational Training [NAVEDTRA], species that may need to be avoided as by this 6-dB factor until the animal has 12968–D). warranted. been seen to leave the area, has not been • Lookout training will include on- detected for 30 minutes, or the vessel the-job instruction under the Operating Procedures has transited more than 2,000 yds (1,829 supervision of a qualified, experienced • A Letter of Instruction, Mitigation m) beyond the location of the last watchstander. Following successful Measures Message, or Environmental detection.

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• Should a marine mammal be commencement of ASW training events vicinity of the exercise, the tow vessel detected within or closing to inside 500 involving MFAS. will immediately notify the firing vessel yds (457 m) of the sonar dome, active in order to secure gunnery firing until Measures for Underwater Detonations sonar transmissions will be limited to at the area is clear. least 10 dB below the equipment’s Surface-to-Surface Gunnery (5-inch, 76 • The exercise will be conducted only normal operating level. (A 10 dB mm, 20 mm, 25 mm and 30 mm when the buffer zone is visible and reduction equates to a 90 percent power Explosive Rounds) marine mammals and sea turtles are not reduction from normal operating levels.) • Lookouts will visually survey for detected within the target area and the Ships and submarines will continue to floating weeds and kelp, and algal mats buffer zone. limit maximum ping levels by this 10- which may be inhabited by immature dB factor until the animal has been seen Surface-to-Air Gunnery (Explosive and sea turtles in the target area. Intended Non-Explosive Rounds) to leave the area, has not been detected impact shall not be within 600 yds (585 for 30 minutes, or the vessel has m) of known or observed floating weeds • Vessels will orient the geometry of transited more than 2,000 yds (1,829 m) and kelp, and algal mats. gunnery exercises in order to prevent beyond the location of the last • For exercises using targets towed by debris from falling in the area of sighted detection. • a vessel or aircraft, target-towing marine mammals, sea turtles, algal mats, Should the marine mammal be vessels/aircraft shall maintain a trained and floating kelp. detected within or closing to inside 200 lookout for marine mammals and sea • yds (183 m) of the sonar dome, active Vessels will expedite the recovery turtles. If a marine mammal or sea turtle of any parachute deploying aerial targets sonar transmissions will cease. Active is sighted in the vicinity, the tow sonar will not resume until the animal to reduce the potential for entanglement aircraft/vessel will immediately notify of marine mammals and sea turtles. has been seen to leave the area, has not the firing vessel, which will suspend the • Target towing aircraft shall been detected for 30 minutes, or the exercise until the area is clear. maintain a lookout. If a marine mammal vessel has transited more than 2,000 yds • A 600-yard radius buffer zone will or sea turtle is sighted in the vicinity of (457 m) beyond the location of the last be established around the intended the exercise, the tow aircraft will detection. target. • immediately notify the firing vessel in Special conditions applicable for • From the intended firing position, order to secure gunnery firing until the dolphin and porpoise only: If, after trained lookouts will survey the buffer area is clear. conducting an initial maneuver to avoid zone for marine mammals and sea close quarters with dolphin or porpoise, turtles prior to commencement and Air-to-Surface Gunnery (Explosive and the OOD concludes that dolphin or during the exercise as long as Non-Explosive Rounds) porpoise are deliberately closing to ride practicable. Due to the distance between • the vessel’s bow wave, no further the firing position and the buffer zone, If surface vessels are involved, mitigation actions would be necessary lookouts are only expected to visually lookouts will visually survey for floating while the dolphin or porpoise continue detect breaching whales, whale blows, kelp, which may be inhabited by to exhibit bow wave riding behavior. and large pods of dolphins and immature sea turtles, in the target area. • If the need for power-down should porpoises. Impact shall not occur within 200 yds arise as detailed in ‘‘Safety Zones’’ • The exercise will be conducted only (183 m) of known or observed floating above, the Navy shall follow the when the buffer zone is visible and weeds and kelp or algal mats. requirements as though they were marine mammals and sea turtles are not • A 200-yd (183 m) radius buffer zone operating at 235 dB—the normal detected within it. will be established around the intended operating level (i.e., the first power- target. down will be to 229 dB, regardless of at Surface-to-Surface Gunnery (Non- • If surface vessels are involved, what level above 235 dB active sonar Explosive Rounds) lookout(s) will visually survey the was being operated). • Lookouts will visually survey for • buffer zone for marine mammals and sea Prior to start up or restart of active floating weeds and kelp, and algal mats turtles prior to and during the exercise. sonar, operators will check that the which may be inhabited by immature • Safety Zone radius around the sound sea turtles in the target area. Intended Aerial surveillance of the buffer source is clear of marine mammals. impact will not be within 200 yds (183 zone for marine mammals and sea • Active sonar levels (generally)— m) of known or observed floating weeds turtles will be conducted prior to Navy will operate sonar at the lowest and kelp, and algal mats. commencement of the exercise. Aerial practicable level, not to exceed 235 dB, • A 200-yd (183 m) radius buffer zone surveillance altitude of 500 feet to 1,500 except as required to meet tactical will be established around the intended feet (ft) (152–456 m) is optimum. training objectives. target. Aircraft crew/pilot will maintain visual • Helicopters shall observe/survey • From the intended firing position, watch during exercises. Release of the vicinity of an ASW training event trained lookouts will survey the buffer ordnance through cloud cover is for 10 minutes before the first zone for marine mammals and sea prohibited: Aircraft must be able to deployment of active (dipping) sonar in turtles prior to commencement and actually see ordnance impact areas. the water. during the exercise as long as • The exercise will be conducted only • Helicopters shall not dip their practicable. Due to the distance between if marine mammals and sea turtles are active sonar within 200 yds (183 m) of the firing position and the buffer zone, not visible within the buffer zone. a marine mammal and shall cease lookouts are only expected to visually Small Arms Training—(Grenades, pinging if a marine mammal closes detect breaching whales, whale blows, Explosive and Non-Explosive Rounds) within 200 yds (183 m) of the sonar and large pods of dolphins and source after pinging has begun. porpoises. • Weapons will not be fired in the • Submarine sonar operators will • If applicable, target towing vessels direction of known or observed floating review detection indicators of close- will maintain a lookout. If a marine weeds or kelp, algal mats, marine aboard marine mammals prior to the mammal or sea turtle is sighted in the mammals, sea turtles.

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Air-to-Surface At-Sea Bombing conducted from the surface, by divers, should also be close to active military Exercises (Explosive and Non- and/or from the air, and personnel shall bases to allow participating assets Explosive) be alert to the presence of any marine access to shore facilities. For safety • If surface vessels are involved, mammal or sea turtle. Should such an purposes, these locations should also be trained lookouts will survey for floating animal be present within the survey in areas that are not generally used by area, the exercise shall be paused until non-military air or watercraft. The kelp, which may be inhabited by the animal voluntarily leaves the area. MPRSA permit requires vessels to be immature sea turtles, and marine The Navy will suspend detonation sunk in waters which are at least 6,000 mammals. Ordnance shall not be exercises and ensure the area is clear for ft (1,829 m) deep and at least 50 nm targeted to impact within 1,000 yds (914 a full 30 minutes prior to detonation. from land. In general, most listed m) of known or observed floating kelp, Personnel will record any protected species prefer areas with strong sea turtles, or marine mammals. species marine mammal and sea turtle bathymetric gradients and • A 1,000 yd (914 m) radius buffer observations during the exercise as well oceanographic fronts for significant zone will be established around the as measures taken if species are detected biological activity such as feeding and intended target. • within the exclusion zone. reproduction. Typical locations include Aircraft will visually survey the Post-Exercise Surveys—Surveys the continental shelf and shelf-edge. target and buffer zone for marine within the same radius shall also be The Navy has developed range mammals and sea turtles prior to and conducted within 30 minutes after the clearance procedures to maximize the during the exercise. The survey of the completion of the explosive event. probability of sighting any ships or impact area will be made by flying at Reporting—If there is evidence that a protected species in the vicinity of an 1,500 ft (152 m) or lower, if safe to do marine mammal or sea turtle may have exercise, which are as follows: so, and at the slowest safe speed. been stranded, injured or killed by the • All weapons firing would be Release of ordnance through cloud action, Navy training activities will be conducted during the period 1 hour cover is prohibited: Aircraft must be immediately suspended and the after official sunrise to 30 minutes able to actually see ordnance impact situation immediately reported by the before official sunset. areas. Survey aircraft should employ participating unit to the Officer in • A marine mammal exclusion zone most effective search tactics and Charge of the Exercise (OCE), who will with a radius of 1.0 nm will be capabilities. follow Navy procedures for reporting established around the target. An • The exercise will be conducted only the incident to Commander, Pacific additional safety zone with radius of 2.0 if marine mammals and sea turtles are Fleet, Commander, Navy Region nm surrounding the target will be not visible within the buffer zone. Southwest, Environmental Director, and monitored. If marine mammals or sea Air-to-Surface Missile Exercises the chain-of-command. The situation turtles enter this 2.0 nm radius, they (Explosive and Non-Explosive) will also be reported to NMFS (see shall be monitored to the extent Stranding Plan for details). practicable and no weapons release is • Ordnance shall not be targeted to authorized until they are clear of the impact within 1,800 yds (1,646 m) of Mining Operations area known or observed floating kelp, which Mining Operations involve aerial • A series of surveillance overflights may be inhabited by immature sea drops of inert training shapes on target shall be conducted prior to the event to turtles, or coral reefs. points. Aircrews are scored for their ensure that no marine mammals or sea • Aircraft will visually survey the ability to accurately hit the target points. turtles are present in the exclusion zone. target area for marine mammals and sea This operation does not involve live Survey protocol will be as follows: turtles. Visual inspection of the target ordnance. The probability of a marine • Overflights within the exclusion area will be made by flying at 1,500 (457 species being in the exact spot in the zone would be conducted in a manner m) feet or lower, if safe to do so, and at ocean where an inert object is dropped that optimizes the surface area of the slowest safe speed. Firing or range is remote. However, as a conservative water observed. This may be clearance aircraft must be able to measure, initial target points will be accomplished through the use of the actually see ordnance impact areas. briefly surveyed prior to inert ordnance Navy’s Search and Rescue Tactical Aid, Explosive ordnance shall not be targeted release from an aircraft to ensure the which provides the best search altitude, to impact within 1,800 yds (1,646 m) of intended drop area is clear of marine ground speed, and track spacing for the sighted marine mammals and sea mammals and sea turtles. To the extent discovery of small, possibly dark objects turtles. feasible, the Navy shall retrieve inert in the water based on the environmental Demolitions, Mine Warfare, and Mine mine shapes dropped during Mining conditions of the day. These Countermeasures (up to a 20-lb Charge) Operations. environmental conditions include the angle of sun inclination, amount of Sink Exercise Exclusion Zones—All Mine Warfare daylight, cloud cover, visibility, and sea and Mine Countermeasures Operations The selection of sites suitable for Sink state. involving the use of explosive charges Exercises (SINKEXs) involves a balance • All visual surveillance activities must include exclusion zones for of operational suitability, requirements would be conducted by Navy personnel marine mammals and sea turtles to established under the Marine trained in visual surveillance. At least prevent physical and/or acoustic effects Protection, Research and Sanctuaries one member of the mitigation team to those species. These exclusion zones Act (MPRSA) permit granted to the would have completed the Navy’s shall extend in a 700-yard arc (640 yd) Navy (40 Code of Federal Regulations marine mammal training program for radius around the detonation site. § 229.2), and the identification of areas lookouts. Pre-Exercise Surveys—For Demolition with a low likelihood of encountering • In addition to the overflights, the and Ship Mine Countermeasures Endangered Species Act (ESA) listed exclusion zone would be monitored by Operations, pre-exercise survey shall be species. To meet operational suitability passive acoustic means, when assets are conducted within 30 minutes prior to criteria, locations must be within a available. This passive acoustic the commencement of the scheduled reasonable distance of the target vessels’ monitoring would be maintained explosive event. The survey may be originating location. The locations throughout the exercise. Potential assets

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include sonobuoys, which can be unexpected event preempts the use of then that should cue the aircrew to utilized to detect any vocalizing marine one of the aircraft onsite for the increase the diligence of their visual mammals (particularly sperm whales) in exercise. surveillance. Subsequently, if no marine the vicinity of the exercise. The • Every attempt would be made to mammals are visually detected, then the sonobuoys would be re-seeded as conduct the exercise in sea states that crew may continue multi-static active necessary throughout the exercise. are ideal for marine mammal sighting, search. Additionally, passive sonar onboard Beaufort Sea State 3 or less. In the event • Visual Detection—If marine submarines may be utilized to detect of a 4 or above, survey efforts would be mammals are visually detected within any vocalizing marine mammals in the increased within the zones. This would 914 m (1,000 yd) of the explosive source area. The OCE would be informed of be accomplished through the use of an sonobuoy (AN/SSQ–110A) intended for any aural detection of marine mammals additional aircraft, if available, and use, then that payload shall not be and would include this information in conducting tight search patterns. detonated. Aircrews may utilize this the determination of when it is safe to • The exercise would not be post once the marine mammals have not commence the exercise. conducted unless the exclusion zone been re-sighted for 30 minutes, or are • On each day of the exercise, aerial could be adequately monitored visually. observed to have moved outside the 914 • surveillance of the exclusion and safety In the unlikely event that any listed m (1,000 yd) safety buffer. Aircrews may zones would commence 2 hours prior to species are observed to be harmed in the shift their multi-static active search to the first firing. area, a detailed description of the • another post, where marine mammals The results of all visual, aerial, and animal would be taken, the location are outside the 914 m (1,000 yd) safety acoustic searches would be reported noted, and if possible, photos taken. buffer. immediately to the OCE. No weapons This information would be provided to • Aircrews shall make every attempt launches or firing would commence NMFS via the Navy’s regional to manually detonate the unexploded until the OCE declares the safety and environmental coordinator for purposes charges at each post in the pattern prior exclusion zones free of marine of identification (see the Stranding Plan to departing the operations area by mammals and threatened and for detail). using the ‘‘Payload 1 Release’’ command endangered species. • An after action report detailing the followed by the ‘‘Payload 2 Release’’ • If a protected species observed exercise’s time line, the time the surveys within the exclusion zone is diving, command. Aircrews shall refrain from commenced and terminated, amount, using the ‘‘Scuttle’’ command when two firing would be delayed until the animal and types of all ordnance expended, and is re-sighted outside the exclusion zone, payloads remain at a given post. the results of survey efforts for each Aircrews will ensure that a 914 m (1,000 or 30 minutes have elapsed. After 30 event would be submitted to NMFS. minutes, if the animal has not been re- yd) safety buffer, visually clear of sighted it would be assumed to have left Explosive Source Sonobuoys Used in marine mammals, is maintained around the exclusion zone. The OCE would EER/IEER (AN/SSQ–110A) each post as is done during active determine if the listed species is in • search operations. Crews will conduct visual • danger of being adversely affected by reconnaissance of the drop area prior to Aircrews shall only leave posts commencement of the exercise. laying their intended sonobuoy pattern. with unexploded charges in the event of • During breaks in the exercise of 30 This search should be conducted below a sonobuoy malfunction, an aircraft minutes or more, the exclusion zone 457 m (500 yd) at a slow speed, if system malfunction, or when an aircraft would again be surveyed for any operationally feasible and weather must immediately depart the area due to protected species. If protected species conditions permit. In dual aircraft issues such as fuel constraints, are sighted within the exclusion zone, operations, crews are allowed to inclement weather, and in-flight the OCE would be notified, and the conduct coordinated area clearances. emergencies. In these cases, the procedure described above would be • Crews shall conduct a minimum of sonobuoy will self-scuttle using the followed. 30 minutes of visual and aural secondary or tertiary method. • Upon sinking of the vessel, a final monitoring of the search area prior to • Ensure all payloads are accounted surveillance of the exclusion zone commanding the first post detonation. for. Explosive source sonobuoys (AN/ would be monitored for 2 hours, or until This 30-minute observation period may SSQ–110A) that cannot be scuttled shall sunset, to verify that no listed species include pattern deployment time. be reported as unexploded ordnance via were harmed. • For any part of the briefed pattern voice communications while airborne, • Aerial surveillance would be where a post (source/receiver sonobuoy then upon landing via naval message. conducted using helicopters or other pair) will be deployed within 914 m • Mammal monitoring shall continue aircraft based on necessity and (1,000 yd) of observed marine mammal until out of own-aircraft sensor range. availability. The Navy has several types activity, deploy the receiver ONLY and Additional Mitigation Measure of aircraft capable of performing this monitor while conducting a visual Developed by NMFS and the Navy task; however, not all types are available search. When marine mammals are no for every exercise. For each exercise, the longer detected within 914 m (1,000 yd) As mentioned above, NMFS worked available asset best suited for of the intended post position, co-locate with the Navy to identify additional identifying objects on and near the the explosive source sonobuoy (AN/ practicable and effective mitigation surface of the ocean would be used. SSQ–110A) (source) with the receiver. measures to address the potential These aircraft would be capable of • When able, crews will conduct relationship between the operation of flying at the slow safe speeds necessary continuous visual and aural monitoring MFAS/HFAS and marine mammal to enable viewing of marine vertebrates of marine mammal activity. This is to strandings. Any mitigation measure(s) with unobstructed, or minimally include monitoring of own-aircraft prescribed by NMFS should be able to obstructed, downward and outward sensors from first sensor placement to accomplish, have a reasonable visibility. The exclusion and safety zone checking off station and out of RF range likelihood of accomplishing (based on surveys may be cancelled in the event of these sensors. current science), or contribute to the that a mechanical problem, emergency • Aural Detection—If the presence of accomplishment of one or more of the search and rescue, or other similar and marine mammals is detected aurally, general goals listed below:

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(a) Avoidance or minimization of training activities involving MFAS/ defined in the plan) occurs during a injury or death of marine mammals HFAS or explosives in the SOCAL major exercise in the SOCAL Range wherever possible (goals b, c, and d may Range Complex. The Stranding Complex, and a live cetacean(s) is in the contribute to this goal). Response plan is specifically intended water exhibiting indicators of distress (b) A reduction in the numbers of to outline the applicable requirements (defined in the plan), NMFS will advise marine mammals (total number or the authorization is conditioned upon in the Navy that they should cease MFAS/ number at biologically important time the event that a marine mammal HFAS operation and explosive or location) exposed to received levels stranding is reported in the SOCAL detonations within 14 nm (26 km) of the of MFAS/HFAS, underwater Range Complex during a major training live animal involved in the USE (NMFS detonations, or other activities expected exercise (MTE) (see glossary below). As and Navy will maintain a dialogue, as to result in the take of marine mammals mentioned above, NMFS considers all needed, regarding the identification of (this goal may contribute to a, above, or plausible causes within the course of a the USE and the potential need to to reducing harassment takes only). stranding investigation and this plan in implement shutdown procedures). This (c) A reduction in the number of times no way presumes that any strandings distance is the approximate distance at (total number or number at biologically that could occur in the SOCAL Range which sound from the active sonar important time or location) individuals Complex are related to, or caused by, sources is anticipated to attenuate to would be exposed to received levels of Navy training activities, absent a 145 dB (SPL). The risk function predicts MFAS/HFAS, underwater detonations, determination made in a Phase 2 that less than 1 percent of the animals or other activities expected to result in Investigation as outlined in the plan, exposed to active sonar at this level the take of marine mammals (this goal indicating that MFAS or explosive (mysticete or odontocete) would may contribute to a, above, or to detonation in the SOCAL Range respond in a manner that NMFS reducing harassment takes only). Complex were a cause of the stranding. considers Level B Harassment. (d) A reduction in the intensity of This plan is designed to address the exposures (either total number or following three issues: Memorandum of Agreement (MOA)— number at biologically important time • Mitigation—When marine The Navy and NMFS will develop a or location) to received levels of MFAS/ mammals are in a situation that can be MOA, or other mechanism consistent HFAS, underwater detonations, or other defined as a stranding (see glossary of with federal fiscal law requirements activities expected to result in the take plan), they are experiencing (and all other applicable laws), that of marine mammals (this goal may physiological stress. When animals are allows the Navy to assist NMFS with the contribute to a, above, or to reducing the stranded, and alive, NMFS believes that Phase 1 and 2 Investigations of USEs severity of harassment takes only). exposing these compromised animals to through the provision of in-kind (e) A reduction in adverse effects to additional known stressors would likely services, such as (but not limited to) the marine mammal habitat, paying special exacerbate the animal’s distress and use of plane/boat/truck for transport of attention to the food base, activities that could potentially cause its death. stranding responders or animals, use of block or limit passage to or from Regardless of the factor(s) that may have Navy property for necropsies or burial, biologically important areas, permanent initially contributed to the stranding, it or assistance with aerial surveys to destruction of habitat, or temporary is NMFS’ goal to avoid exposing these discern the extent of a USE. The Navy destruction/disturbance of habitat animals to further stressors. Therefore, may assist NMFS with the during a biologically important time. when live stranded cetaceans are in the Investigations by providing one or more (f) For monitoring directly related to water and engaged in what is classified of the in-kind services outlined in the mitigation—an increase in the as an Uncommon Stranding Event (USE) MOA, when available and logistically probability of detecting marine (see glossary of plan), the shutdown feasible and when the provision does mammals, thus allowing for more component of this plan is intended to not negatively affect Fleet operational effective implementation of the minimize the exposure of those animals commitments. mitigation (shut-down zone, etc.). to MFAS and explosive detonations, Communication Protocol—Effective NMFS and the Navy had extensive regardless of whether or not these communication is critical to the discussions regarding mitigation and activities may have initially played a successful implementation of this potential strandings. Ultimately, NMFS role in the event. Stranding Response Plan. Very specific and the Navy developed the proposed • Monitoring—This plan will protocols for communication, including draft SOCAL Stranding Plan enhance the understanding of how identification of the Navy personnel (summarized below), which we believe MFAS/HFAS or underwater detonations authorized to implement a shutdown supports (or contributes) to the goals (as well as other environmental and the NMFS personnel authorized to mentioned in (a)–(e) above. conditions) may, or may not, be advise the Navy of the need to Stranding Response Plan for Major associated with marine mammal injury implement shutdown procedures Navy Training Exercises in the SOCAL or strandings. Additionally, information (NMFS Protected Resources HQ—senior Range Complex gained from the investigations administrators) and the associated associated with this plan may be used NMFS and the Navy have developed phone trees, etc. are currently in in the adaptive management of development and will be refined and a draft Stranding Response Plan for mitigation or monitoring measures in Major Exercises in the SOCAL Range finalized for the Stranding Response subsequent LOAs, if appropriate. Plan prior to the issuance of a final rule Complex (available at: http:// • Compliance—The information (and updated yearly). www.nmfs.noaa.gov/pr/permits/ gathered pursuant to this protocol will incidental.htm). Pursuant to 50 CFR inform NMFS’ decisions regarding Stranding Investigation—The Section 216.105, the plan will be compliance with Sections 101(a)(5)(B Stranding Response Plan also outlines included as part of (attached to) the and C) of the MMPA. the way that NMFS plans to investigate Navy’s MMPA Letter of Authorization The Stranding Response Plan has any strandings (providing staff and (LOA), which contains the conditions several components: resources are available) that occur under which the Navy is authorized to Shutdown Procedures—When an during major training exercises in the take marine mammals pursuant to uncommon stranding event (USE— SOCAL Range Complex.

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Mitigation Conclusions harbor seals for which the distance is the exclusion zone associated with the NMFS believes that the range approximately 1,700 m). explosive types. • Mortality and Injury—NMFS believes clearance procedures and shutdown/ Based on the size of the animals, that the mitigation measures will allow safety zone/exclusion zone measures the average group size, behavior, and the Navy to avoid exposing marine Navy has proposed will enable the Navy average dive time, NMFS believes that mammals to underwater detonations to avoid injuring any marine mammals the probability that Navy watchstanders that would result in injury or mortality and will enable them to minimize the will visually detect mysticetes or sperm for the following reasons: numbers of marine mammals exposed to whales, dolphins, social pelagic species • Surveillance for large charges levels associated with TTS for the (pilot whales, melon-headed whales, (which includes aerial and passive following reasons: etc.), and sea lions at some point within the 1,000 yd (914 m) safety zone before acoustic detection methods, when MFAS/HFAS they are exposed to the TTS threshold available, to ensure clearance) begins The Navy’s standard protective levels is high, which means that the two hours before the exercise and measures indicate that they will ensure Navy would be able to shutdown or extends to 2 nm (3,704 m) from the powerdown of MFAS/HFAS by 6 dB powerdown to avoid exposing these source. Surveillance for all charges when a marine mammal is detected species to sound levels associated with extends out 2–12 times the farthest within 1,000 yd (914 m), powerdown of TTS. distance from the source at which injury 4 more dB (or 10 dB total) when a • However, seals and more cryptic would be anticipated to occur (see Table marine mammal is detected within 500 (animals that are difficult to detect and 3). • Animals would need to be within yd (457 m), and will cease MFAS/HFAS observe), deep-diving cetaceans (beaked less than 193–723 m (211–790 yd) (large transmissions when a marine mammal whales and Kogia spp.) are less likely to explosives) or 24–158 m (26–173 yd) is detected within 200 yd (183 m). be visually detected and could (smaller charges) from the source to be PTS/Injury—NMFS believes that the potentially be exposed to levels of MFAS/HFAS expected to cause TTS. injured. proposed mitigation measures will • Unlike for active sonar, an animal Animals at depth in one location would allow the Navy to avoid exposing would need to be present at the exact not be expected to be continuously marine mammals to received levels of moment of the explosion(s) (except for exposed to repeated sonar signals, MFAS/HFAS sound that would result in the short series of gunfire example in injury for the following reasons: though, given the typical 5–10+ knot • GUNEX) to be taken. The estimated distance from the speed of Navy surface ships during • The model predicted only 34 and 7 most powerful source at which ASW event. During a typical one-hour animals would be exposed to levels cetaceans and all pinnipeds except subsurface dive by a beaked whale, the associated with injury and death, harbor seals would receive a level of 215 ship will have moved over 5 to 10 nm respectively (though for the reasons dB SEL (threshold for PTS/injury/Level from the original location. • above, NMFS does not believe they will A Harassment) is approximately 10 m Additionally, the Navy’s bow-riding be exposed to those levels). (10.9 yd). The PTS threshold for harbor mitigation exception for dolphins may • When the implementation of the seals is 203 dB SEL, which has an sometimes allow dolphins to be exposed exclusion zones (i.e., not starting or associated distance of approximately 50 to levels of MFAS/HFAS likely to result continuing to detonate explosives if an m. in TTS. However, there are animal is detected within the exclusion • NMFS believes that the probability combinations of factors that reduce the zone) is combined with the above that a marine mammal would approach acoustic energy received by dolphins bullets, NMFS believes that the Navy’s within the above distances of the sonar approaching ships to ride in bow waves. mitigation will be effective for avoiding dome (to the sides or below) without Dolphins riding ship’s bow wave are injury and mortality to marine mammals being seen by the watchstanders (who outside of the main beam of the MFAS from explosives. would then activate a shutdown if the vertical beam pattern. Source levels TTS—NMFS believes that the animal was within 200 yd (183 m)) is drop quickly outside of the main beam. proposed mitigation measures will very low, especially considering that Sidelobes of the radiate beam pattern allow the Navy to minimize the animals would likely avoid approaching that point to the surface are significantly exposure of marine mammals to a source transmitting at that level at that lower in power. Together with spherical underwater detonations that would distance. spreading losses, received levels in the result in TTS for the following reasons: • The model predicted that some ship’s bow wave can be more than 42 • A number of animals were animals would be exposed to levels dB less than typical source level (i.e., predicted to be exposed to explosive associated with injury, however, the 235 dB¥42 dB = 193 dB). Finally, bow levels that would result in TTS—and for model does not consider the mitigation wave riding dolphins are frequently in the reasons above, NMFS believes that or likely avoidance behaviors and and out of a bubble layer generated by most modeled TTS takes can be NMFS believes that injury is unlikely the breaking bow waves. This bubble avoided, especially dolphins, mysticetes when those factors are considered. layer is an excellent scatterer of acoustic and sperm whales, and social pelagic TTS—NMFS believes that the energy and can further reduce received species. proposed mitigation measures will energy. • However, pinnipeds and more allow the Navy to minimize exposure of cryptic, deep-diving species (beaked Underwater Explosives marine mammals to received levels of whales and Kogia spp.) are less likely to MFAS/HFAS sound associated with The Navy utilizes exclusion zones be visually detected and could TTS for the following reasons: (wherein explosive detonation will not potentially be exposed to explosive • The estimated range of maximum begin/continue if animals are within the levels expected to cause TTS. distances from the most powerful source zone) for explosive exercises. Table 3 • Additionally, for two of the exercise at which an animal would receive 195 indicates the various explosives, the types (SINKEX and BOMBEX), the dB SEL (the TTS threshold) is from estimated distance at which animals distance at which an animal would be approximately 140 m from the source in will receive levels associated with take expected to receive sound or pressure most operating environments (except for (see Acoustic Take Criteria Section), and levels associated with TTS (182 dB SEL

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or 23 psi) is sometimes larger than the potential effects of underwater noise external research to improve the state of exclusion zone, which means that for sources on marine mammals and other the science regarding marine species those two exercise types, some protected species. Proposed training biology and acoustic effects. These individuals will likely be exposed to activities employ active sonar and efforts include mitigation and levels associated with TTS outside of underwater explosives, which introduce monitoring programs; data sharing with the exclusion zone. sound into the marine environment. NMFS and via the literature for research The Stranding Response Plan, another The Marine Life Sciences Division of and development efforts; and future important component of the mitigation the Office of Naval Research currently research as described previously. measures for SOCAL, will minimize the coordinates six programs that examine Long-Term Prospective Study probability of distressed live-stranded the marine environment and are animals responding to the proximity of devoted solely to studying the effects of Apart from this proposed rule, NMFS, active sonar in a manner that further noise and/or the implementation of with input and assistance from the Navy stresses them or increases the potential technology tools that will assist the and several other agencies and entities, likelihood of mortality. Navy in studying and tracking marine will perform a longitudinal NMFS has preliminarily determined mammals. The six programs are as observational study of marine mammal that the Navy’s proposed mitigation follows: strandings to systematically observe for measures (from the LOA application), • Environmental Consequences of and record the types of pathologies and along with the Stranding Response Plan Underwater Sound, diseases and investigate the relationship (and when the Adaptive Management • Non-Auditory Biological Effects of with potential causal factors (e.g., active (see Adaptive Management below) Sound on Marine Mammals, sonar, seismic, weather). The study will component is taken into consideration) • Effects of Sound on the Marine not be a true ‘‘cohort’’ study, because we are adequate means of effecting the least Environment, will be unable to quantify or estimate • practicable adverse impacts on marine Sensors and Models for Marine specific active sonar or other sound mammals species or stocks and their Environmental Monitoring, exposures for individual animals that • habitat, paying particular attention to Effects of Sound on Hearing of strand. However, a cross-sectional or Marine Animals, and correlational analysis, a method of rookeries, mating grounds, and areas of • similar significance, while also Passive Acoustic Detection, descriptive rather than analytical considering personnel safety, Classification, and Tracking of Marine epidemiology, can be conducted to practicality of implementation, and Mammals. compare population characteristics, e.g., The Navy has also developed the impact on the effectiveness of the frequency of strandings and types of technical reports referenced within this military readiness activity. specific pathologies between general These mitigation measures may be document, which include the Marine periods of various anthropogenic refined, modified, removed, or added to Resource Assessments and the Navy activities and non-activities within a prior to the issuance of the final rule OPAREA Density Estimates (NODE) prescribed geographic space. In the based on the comments and information reports. Furthermore, research cruises long-term study, we will more fully and received during the public comment by the National Marine Fisheries consistently collect and analyze data on period. Service (NMFS) and by academic the demographics of strandings in institutions have received funding from specific locations and consider Research the U.S. Navy. anthropogenic activities and physical, The Navy provides a significant The Navy has sponsored several chemical, and biological environmental amount of funding and support to workshops to evaluate the current state parameters. This approach in marine research. In the past five years of knowledge and potential for future conjunction with true cohort studies the agency funded over $100 million acoustic monitoring of marine (tagging animals, measuring received ($26 million in FY08 alone) to mammals. The workshops brought sounds, and evaluating behavior or universities, research institutions, together acoustic experts and marine injuries) in the presence of activities federal laboratories, private companies, biologists from the Navy and other and non-activities will provide critical and independent researchers around the research organizations to present data information needed to further define the world to study marine mammals. The and information on current acoustic impacts of MTEs and other U.S. Navy sponsors seventy percent of monitoring research efforts and to anthropogenic and non-anthropogenic all U.S. research concerning the effects evaluate the potential for incorporating stressors. In coordination with the Navy of human-generated sound on marine similar technology and methods on and other Federal and non-federal mammals and 50 percent of such instrumented ranges. However, acoustic partners, the comparative study will be research conducted worldwide. Major detection, identification, localization, designed and conducted for specific topics of Navy-supported research and tracking of individual animals still sites during intervals of the presence of include the following: requires a significant amount of research anthropogenic activities such as active • Better understanding of marine effort to be considered a reliable method sonar transmission or other sound species distribution and important for marine mammal monitoring. The exposures and absence to evaluate habitat areas, Navy supports research efforts on demographics of morbidity and • Developing methods to detect and acoustic monitoring and will continue mortality, lesions found, and cause of monitor marine species before and to investigate the feasibility of passive death or stranding. Additional data that during training, acoustics as a potential mitigation and will be collected and analyzed in an • Understanding the effects of sound monitoring tool. effort to control potential confounding on marine mammals, sea turtles, fish, Overall, the Navy will continue to factors include variables such as average and birds, and fund ongoing marine mammal research, sea temperature (or just season), • Developing tools to model and and is planning to coordinate long term meteorological or other environmental estimate potential effects of sound. monitoring/studies of marine mammals variables (e.g., seismic activity), fishing This research is directly applicable to on various established ranges and activities, etc. All efforts will be made Fleet training activities, particularly operating areas. The Navy will continue to include appropriate controls (i.e., no with respect to the investigations of the to research and contribute to university/ active sonar or no seismic);

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environmental variables may complicate sonar (need to be able to accurately (a) Are marine mammals exposed to the interpretation of ‘‘control’’ predict received level and report MFAS, especially at levels associated measurements. The Navy and NMFS bathymetric conditions, distance from with adverse effects (i.e., based on along with other partners are evaluating source, and other pertinent NMFS’ criteria for behavioral mechanisms for funding this study. information). harassment, TTS, or PTS)? If so, at what • Physiological measurements in the levels are they exposed? Monitoring presence of MFAS/HFAS compared to (b) If marine mammals are exposed to In order to issue an ITA for an observations in the absence of active MFAS in the SOCAL Range Complex, activity, Section 101(a)(5)(A) of the sonar (need to be able to accurately do they redistribute geographically as a MMPA states that NMFS must set forth predict received level and report result of continued exposure? If so, how ‘‘requirements pertaining to the bathymetric conditions, distance from long does the redistribution last? monitoring and reporting of such source, and other pertinent (c) If marine mammals are exposed to taking’’. The MMPA implementing information). MFAS, what are their behavioral • Pre-planned (i.e., well designed regulations at 50 Section 216.104 (a)(13) responses to various levels? indicate that requests for LOAs must protocols in place) and thorough investigation of stranding events that (d) Is the Navy’s suite of mitigation include the suggested means of measures for MFAS (e.g., measures accomplishing the necessary monitoring occur coincident to naval activities. • Distribution and/or abundance agreed to by the Navy through and reporting that will result in permitting) effective at avoiding TTS, increased knowledge of the species and comparisons in times or areas with concentrated MFAS/HFAS versus times injury, and mortality of marine of the level of taking or impacts on mammals? populations of marine mammals that are or areas without MFAS/HFAS. Data gathered in these studies will be expected to be present. (d) An increased knowledge of the collected by qualified, professional Monitoring measures prescribed by affected species. (e) An increase in our understanding marine mammal biologists that are NMFS should accomplish one or more of the effectiveness of certain mitigation experts in their field. They will use a of the following general goals: and monitoring measures combination of the following methods (a) An increase in the probability of to collect data: detecting marine mammals, both within Proposed Monitoring Plan for the • the safety zone (thus allowing for more SOCAL Range Complex Contracted vessel and aerial effective implementation of the surveys. The Navy has submitted a draft • mitigation) and in general to generate Passive acoustics. Monitoring Plan for the SOCAL Range • more data to contribute to the analyses Complex, which may be viewed at Marine mammal observers on Navy mentioned below. NMFS’ Web site: http:// ships. (b) An increase in our understanding www.nmfs.noaa.gov/pr/permits/ In the five proposed study designs (all of how many marine mammals are incidental.htm. NMFS and the Navy of which cover multiple years), the likely to be exposed to levels of MFAS/ have worked together on the above methods will be used separately HFAS (or explosives or other stimuli) development of this plan in the months or in combination to monitor marine that we associate with specific adverse preceding the publication of this mammals in different combinations effects, such as behavioral harassment, proposed rule; however, we are still before, during, and after training TTS, or PTS. refining the plan and anticipate that it activities utilizing MFAS/HFAS. Table 6 (c) An increase in our understanding will contain more details by the time it contains a summary of the Monitoring of how marine mammals respond to is finalized in advance of the issuance effort that is planned for each study in MFAS/HFAS (at specific received of the final rule. Additionally, the plan each year. levels), explosives, or other stimuli may be modified or supplemented based This monitoring plan has been expected to result in take and how on comments or new information designed to gather data on all species of anticipated adverse effects on received from the public during the marine mammals that are observed in individuals (in different ways and to public comment period. A summary of the SOCAL. The Plan recognizes that varying degrees) may impact the the primary components of the plan deep-diving and cryptic species of population, species, or stock follows. marine mammals such as beaked whales (specifically through effects on annual The draft Monitoring Plan for SOCAL have a low probability of detection rates of recruitment or survival) through has been designed as a collection of (Barlow and Gisiner, 2006). Therefore, any of the following methods: focused ‘‘studies’’ (described fully in the methods will be utilized to attempt to • Behavioral observations in the SOCAL draft Monitoring Plan) to gather address this issue (e.g., passive acoustic presence of MFAS/HFAS compared to data that will allow the Navy to address monitoring). observations in the absence of active the following questions: BILLING CODE 3510–22–P

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In addition to the Monitoring Plan for • Collect data to support estimating Past Monitoring in the SOCAL Range SOCAL, by the end of 2009, the Navy the number of individuals exposed to Complex will have completed an Integrated sound levels above current regulatory NMFS has received ten total after Comprehensive Monitoring Program thresholds; action reports (AARs) addressing 12 (ICMP). The ICMP will provide the • Assess the efficacy of the Navy’s MFAS exercises in the SOCAL Range overarching structure and coordination current marine species mitigation; Complex since 2006 (the Navy has only that will, over time, compile data from • Add to the knowledge base on been required to submit reports to both range specific monitoring plans potential behavioral and physiological NMFS since 2006 pursuant to the terms (such as AFAST, the Hawaii Range and conditions of the associated effects to marine species from mid- complex, and the Southern California biological opinions). NMFS has frequency active sonar and underwater Range Complex) as well as Navy funded reviewed these reports and has detonations; and, research and development (R&D) summarized the results, as related to studies. The primary objectives of the • Assess the practicality and marine mammal observations, in Table ICMP are to: effectiveness of a number of mitigation 7. The data contained in the After tools and techniques (some not yet in • Monitor Navy training events, Action Reports (AAR) have been use). considered in developing mitigation and particularly those involving MFAS and monitoring measures for the proposed underwater detonations, for compliance More information about the ICMP activities contained in this rule. The with the terms and conditions of ESA may be found in the draft Monitoring Plan for SOCAL. Navy’s AARs may be viewed at: Section 7 consultations or MMPA http://www.nmfs.noaa.gov/pr/permits/ authorizations; incidental.htm.

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BILLING CODE 3510–22–C observations, not independent aerial or conclusions from the content of the General Conclusions Drawn From vessel-based observers (though they monitoring reports: Review of Monitoring Reports would be required by these regulations (a) Data from watchstanders is and any accompanying LOA (see generally useful to indicate the presence The data included in the after action Monitoring)), and therefore it is difficult or absence of marine mammals within reports provided by the Navy thus far to draw biological conclusions. the safety zones (and sometimes comes from Navy watchstander However, NMFS can draw some general without) and to document the

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implementation of mitigation measures, the ability to consider new data from explosive detonations. The Navy will but does not provide useful species’ different sources to determine (in provide NMFS with species or specific information or behavioral data. coordination with the Navy), on an description of the animal(s), the Though a few observations identified annual basis if new or modified condition of the animal(s) (including pilot or gray whales specifically, the mitigation or monitoring measures are carcass condition if the animal is dead), vast majority of the observations appropriate for subsequent annual location, time of first discovery, identified marine mammals as dolphins, LOAs. Following are some of the observed behaviors (if alive), and photo whales, large whales, small whales, sea possible sources of applicable data: or video (if available). The SOCAL lions, pinnipeds, or unknown. Data • Results from the Navy’s monitoring Stranding Response Plan contains more gathered by independent observers can from the previous year (either from the specific reporting requirements for provide very valuable information at a SOCAL Range Complex or other specific circumstances. level of detail not possible with locations). SINKEX, GUNEX, MISSILEX, BOMBEX, watchstanders (such as data gathered by • Results from specific stranding Mine Warfare/Countermeasures, and independent, biologist monitors in investigations (either from the SOCAL NSFS Hawaii and submitted to NMFS in a Range Complex or other locations, and monitoring report, which indicated the involving coincident MFAS/HFAS or A yearly report detailing the presence of sub-adult sei whales in the explosives training or not involving exercise’s timeline, the time the surveys Hawaiian Islands in fall, potentially coincident use). commenced and terminated, amount, indicating the use of the area for • Results from the Long Term and types of all ordnance expended, and breeding). Prospective Study described below. the results of marine mammal survey (b) Though it is by no means • Results from general marine efforts for each event will be submitted conclusory, it is worth noting that no mammal and sound research (funded by to NMFS. instances of obvious behavioral the Navy (described below) or IEER disturbance were reported by the Navy otherwise). watchstanders in their 704 marine Mitigation measures could be A yearly report detailing the number mammal sightings totaling 7435 modified or added if new data suggests of exercises along with the hours of animals. Though of course, these that such modifications would have a associated marine mammal survey and observations only cover the animals that reasonable likelihood of reducing associated marine mammal sightings, were at the surface (or slightly below in adverse effects to marine mammals and number of times employment was the case of aerial surveys) and within if the measures are practicable. NMFS delayed by marine mammal sightings, the distance that the observers can see could also coordinate with the Navy to and the number of total detonated with the big-eye binoculars or from the modify or add to the existing monitoring charges and self-scuttled charges will be aircraft. requirements if the new data suggest submitted to NMFS. (c) NMFS and the Navy need to more that the addition of a particular measure MFAS/HFAS Mitigation/Navy carefully designate what information would likely fill in a specifically Watchstanders should be gathered during monitoring, important data gap. as some reports contain different The Navy will submit an After Action information, making cross-report Reporting Report to the Office of Protected comparisons difficult. NMFS and Navy In order to issue an ITA for an Resources, NMFS, within 120 days of will work on this issue prior to the activity, Section 101(a)(5)(A) of the the completion of a Major or issuance of the final rule for the SOCAL MMPA states that NMFS must set forth Coordinated Training Exercise activities. ‘‘requirements pertaining to the (Sustainment, IAC2, SHAREM, monitoring and reporting of such COMPTUEX, or JTFEX). For other ASW Adaptive Management taking’’. Effective reporting is critical exercises the Navy will submit a yearly Adaptive Management was addressed both to compliance as well as ensuring summary report. These reports will, at above in the context of the Stranding that the most value is obtained from the a minimum, include the following Response Plan because that Section will required monitoring. Some of the information: • The estimated total number of be a stand-alone document. More reporting requirements are still in hours of active sonar operation and the specifically, the final regulations development and the final rule may governing the take of marine mammals types of sonar used in the exercise. contain additional details not contained • If possible, the total number of incidental to Navy training exercises in in the proposed rule. Additionally, the SOCAL Range Complex will contain hours of observation effort (including proposed reporting requirements may be observation time when active sonar was an adaptive management component. modified, removed, or added based on Our understanding of the effects of not operating). information or comments received • A report of all marine mammal MFAS/HFAS and explosives on marine during the public comment period. sightings (at any distance—not just mammals is still in its relative infancy, Currently, there are several different within a particular distance) to include, and yet the science in this field is reporting requirements pursuant to when possible and to the best of their evolving fairly quickly. These these proposed regulations: ability, and if not classified: circumstances make the inclusion of an › Species or animal type. adaptive management component both General Notification of Injured or Dead › Marine Mammals Number of animals sighted. valuable and necessary within the › Location of marine mammal context of 5-year regulations for Navy personnel will ensure that sighting (where not classified). activities that have been associated with NMFS (regional stranding coordinator) › Distance of animal from any marine mammal mortality in certain is notified immediately (or as soon as operating active sonar sources. circumstances and locations (though not clearance procedures allow) if an › Whether animal is fore, aft, port, the SOCAL Range Complex in the injured or dead marine mammal is starboard. Navy’s over 70 years of use of the area found during or shortly after, and in the › Direction animal is moving in for testing and training). The use of vicinity of, any Navy training exercise relation to source (away, towards, adaptive management will give NMFS utilizing MFAS, HFAS, or underwater parallel).

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› Any observed behaviors of marine Complex, the Northwest Training Range mammal stock in the wild by causing mammals. Complex (NWTRC) and the Marianas disruption of natural behavioral • The status of any active sonar range Complex. This report will be patterns, including, but not limited to, sources (what sources were in use) and submitted by June 2014, covering migration, surfacing, nursing, breeding, whether or not they were powered activities that have occurred in these feeding, or sheltering, to a point where down or shut down as a result of the four ranges through June 1, 2013. The such behavioral patterns are abandoned marine mammal observation. Navy will respond to NMFS comments or significantly altered [Level B • The platform type that the marine on the draft comprehensive report if Harassment]. mammals were sighted from. submitted within 3 months of receipt. Level B Harassment The report will be considered final after Monitoring Report From Monitoring Of the potential effects that were Plan the Navy has addressed NMFS’ comments, or three months after the described in the Potential Effects of Although the draft Monitoring Plan submittal of the draft if NMFS does not Exposure of Marine Mammal to MFAS/ for SOCAL contains a general comment by then. HFAS and Underwater Detonations description of the monitoring that the Section, the following are the types of Navy plans to conduct (and that NMFS Estimated Take of Marine Mammals effects that fall into the Level B has analyzed) in the SOCAL Range As mentioned previously, for the Harassment category: Complex, the detailed analysis and purposes of MMPA authorizations, Behavioral Harassment—Behavioral reporting protocols that will be used for NMFS’ effects assessments have two disturbance that rises to the level the SOCAL monitoring plan are still primary purposes (in the context of the described in the definition above, when being refined at this time. The draft SOCAL rulemaking and LOA process, resulting from exposures to MFAS/ SOCAL Monitoring plan may be viewed where subsistence communities are not HFAS or underwater detonations, is at: http://www.nmfs.noaa.gov/pr/ present): (1) To set forth the permissible considered Level B Harassment. Some permits/incidental.htm. Navy will methods of taking within the context of of the lower level physiological stress standardize data collection methods MMPA Level B Harassment (behavioral responses discussed in the Potential across ranges to allow for comparison in harassment), Level A Harassment Effects of Exposure of Marine Mammal different geographic locations. Reports (injury), and mortality (i.e., identify the to MFAS/HFAS and Underwater of the required monitoring will be number and types of take that will Detonations Section: Stress Section will submitted to NMFS on an annual basis occur); and (2) to determine whether the also likely co-occur with the predicted as well as in the form of a multi-year specified activity will have a negligible harassments, although these responses report that compiles all five years worth impact on the affected species or stocks are more difficult to detect and fewer of monitoring data (reported at end of of marine mammals (based on the data exist relating these responses to fourth year of rule—in future rules will likelihood that the activity will specific received levels of sound. When include the last year of the prior rule). adversely affect the species or stock Level B Harassment is predicted based through effects on annual rates of on estimated behavioral responses, SOCAL Comprehensive Report recruitment or survival). those takes may have a stress-related The Navy will submit to NMFS a draft In the Potential Effects of Exposure of physiological component as well. report that analyzes and summarizes all Marine Mammal to MFAS/HFAS and In the effects section above, we of the multi-year marine mammal Underwater Detonations section, NMFS’ described the Southall et al. (2007) information gathered during ASW and analysis identified the lethal responses, severity scaling system and listed some explosive exercises for which individual physical trauma, sensory impairment examples of the three broad categories reports are required. This report will be (permanent and temporary threshold of behaviors: (0–3: Minor and/or brief submitted at the end of the fourth year shifts and acoustic masking), behaviors); 4–6 (Behaviors with higher of the rule (December 2012), covering physiological responses (particular potential to affect foraging, activities that have occurred through stress responses), and behavioral reproduction, or survival); 7–9 June 1, 2012. The Navy will respond to responses that could potentially result (Behaviors considered likely to affect NMFS comments on the draft from exposure to MFAS/HFAS or the aforementioned vital rates). comprehensive report if submitted underwater explosive detonations. In Generally speaking, MMPA Level B within 3 months of receipt. The report this section, we will relate the potential Harassment, as defined in this will be considered final after the Navy effects to marine mammals from MFAS/ document, would include the behaviors has addressed NMFS’ comments, or HFAS and underwater detonation of described in the 7–9 category, and a three months after the submittal of the explosives to the MMPA statutory subset, dependent on context and other draft if NMFS does not comment by definitions of Level A and Level B considerations, of the behaviors then. The activities authorized by this Harassment and attempt to quantify the described in the 4–6 categories. LOA that are not covered in this report effects that might occur from the Behavioral harassment does not (i.e., those that occur between June 2012 specific training activities that the Navy generally include behaviors ranked 0–3 and January 2014) will be covered in the is proposing in the SOCAL Range in Southall et al. (2007). comprehensive report of the next 5-yr Complex. Acoustic Masking and regulations for SOCAL, if issued. Communication Impairment—Acoustic Definition of Harassment masking is considered Level B Comprehensive National ASW Report As mentioned previously, with Harassment as it can disrupt natural The Navy will submit a draft respect to military readiness activities, behavioral patterns by interrupting or Comprehensive National ASW Report Section 3(18)(B) of the MMPA defines limiting the marine mammal’s receipt or that analyzes, compares, and ‘‘harassment’’ as: (i) Any act that injures transmittal of important information or summarizes the data gathered from the or has the significant potential to injure environmental cues. watchstanders and pursuant to the a marine mammal or marine mammal TTS—As discussed previously, TTS implementation of the Monitoring Plans stock in the wild [Level A Harassment]; can affect how an animal behaves in for AFAST, the Hawaii Range Complex, or (ii) any act that disturbs or is likely response to the environment, including the Southern California (SOCAL) Range to disturb a marine mammal or marine conspecifics, predators, and prey. The

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following physiological mechanisms are destabilization are unlikely to occur, behavioral) that fall into the two thought to play a role in inducing either alone or in concert because of harassment categories were described in auditory fatigue: Effects to sensory hair how close an animal would need to be the previous section. cells in the inner ear that reduce their to the sound source to be exposed to Because the physiological and sensitivity, modification of the chemical high enough levels, especially behavioral responses of the majority of environment within the sensory cells, considering the likely avoidance of the the marine mammals exposed to MFAS/ residual muscular activity in the middle sound source and the required HFAS and underwater detonations ear, displacement of certain inner ear mitigation. Still, possible tissue damage cannot be detected or measured (not all membranes, increased blood flow, and from either of these processes would be responses visible external to animal, post-stimulatory reduction in both considered an injury. portion of exposed animals underwater efferent and sensory neural output. Tissue Damage due to Behaviorally (so not visible), many animals located Ward (1997) suggested that when these Mediated Bubble Growth—Several many miles from observers and covering effects result in TTS rather than PTS, authors suggest mechanisms in which very large area, etc.) and because NMFS they are within the normal bounds of marine mammals could behaviorally must authorize take prior to the impacts physiological variability and tolerance respond to exposure to MFAS/HFAS by to marine mammals, a method is needed and do not represent a physical injury. altering their dive patterns in a manner to estimate the number of individuals Additionally, Southall et al. (2007) (unusually rapid ascent, unusually long that will be taken, pursuant to the indicate that although PTS is a tissue series of surface dives, etc.) that might MMPA, based on the proposed action. injury, TTS is not, because the reduced result in unusual bubble formation or To this end, NMFS developed acoustic hearing sensitivity following exposure growth ultimately resulting in tissue criteria that estimate at what received to intense sound results primarily from damage (emboli, etc.) In this scenario, level (when exposed to MFAS/HFAS or fatigue, not loss, of cochlear hair cells the rate of ascent would need to be explosive detonations) Level B and supporting structures and is sufficiently rapid to compromise Harassment, Level A Harassment, and reversible. Accordingly, NMFS classifies behavioral or physiological protections mortality (for explosives) of marine TTS (when resulting from exposure to against nitrogen bubble formation. mammals would occur. The acoustic either MFAS/HFAS or underwater There is considerable disagreement criteria for MFAS/HFAS and detonations) as Level B Harassment, not among scientists as to the likelihood of Underwater Detonations (IEER) are Level A Harassment (injury). this phenomenon (Piantadosi and discussed below. Thalmann, 2004; Evans and Miller, Level A Harassment 2003). Although it has been argued that MFAS/HFAS Acoustic Criteria Of the potential effects that were traumas from recent beaked whale Because relatively few applicable data described in the Potential Effects of strandings are consistent with gas exist to support acoustic criteria Exposure of Marine Mammals to MFAS/ emboli and bubble-induced tissue specifically for HFAS and because such HFAS and Underwater Detonations separations (Jepson et al., 2003; a small percentage of the active sonar Section, following are the types of Fernandez et al., 2005), nitrogen bubble pings that marine mammals will likely effects that fall into the Level A formation as the cause of the traumas be exposed to incidental to this activity Harassment category: has not been verified. If tissue damage come from a HFAS source (the vast PTS—PTS (resulting either from does occur by this phenomenon, it majority come from MFAS sources), exposure to MFAS/HFAS or explosive would be considered an injury. NMFS will apply the criteria developed detonations) is irreversible and Physical Disruption of Tissues for the MFAS to the HFAS as well. considered an injury. PTS results from Resulting from Explosive Shock Wave— NMFS utilizes three acoustic criteria exposure to intense sounds that cause a Physical damage of tissues resulting for MFAS/HFAS: PTS (injury—Level A permanent loss of inner or outer from a shock wave (from an explosive Harassment), TTS (Level B Harassment), cochlear hair cells or exceed the elastic detonation) is classified as an injury. and behavioral harassment (Level B limits of certain tissues and membranes Blast effects are greatest at the gas-liquid Harassment). Because the TTS and PTS in the middle and inner ears and result interface (Landsberg, 2000) and gas- criteria are derived similarly and the in changes in the chemical composition containing organs, particularly the lungs PTS criteria was extrapolated from the of the inner ear fluids. and gastrointestinal tract, are especially TTS data, the TTS and PTS acoustic Tissue Damage due to Acoustically susceptible (Goertner, 1982; Hill 1978; criteria will be presented first, before Mediated Bubble Growth—A few Yelverton et al., 1973). Nasal sacs, the behavioral criteria. theories suggest ways in which gas larynx, pharynx, trachea, and lungs may For more information regarding these bubbles become enlarged through be damaged by compression/expansion criteria, please see the Navy’s DEIS for exposure to intense sounds (MFAS/ caused by the oscillations of the blast SOCAL. HFAS) to the point where tissue damage gas bubble (Reidenberg and Laitman, Level B Harassment Threshold (TTS) results. In rectified diffusion, exposure 2003). Severe damage (from the shock to a sound field would cause bubbles to wave) to the ears can include tympanic As mentioned above, behavioral increase in size. A short duration of membrane rupture, fracture of the disturbance, acoustic masking, and TTS active sonar pings (such as that which ossicles, damage to the cochlea, are all considered Level B Harassment. an animal exposed to MFAS would be hemorrhage, and cerebrospinal fluid Marine mammals would usually be most likely to encounter) would not leakage into the middle ear. behaviorally disturbed at lower received likely be long enough to drive bubble levels than those at which they would growth to any substantial size. Acoustic Take Criteria likely sustain TTS, so the levels at Alternately, bubbles could be For the purposes of an MMPA which behavioral disturbance are likely destabilized by high-level sound incidental take authorization, three to occur is considered the onset of Level exposures such that bubble growth then types of take are identified: Level B B Harassment. The behavioral responses occurs through static diffusion of gas Harassment; Level A Harassment; and of marine mammals to sound are out of the tissues. The degree of mortality (or serious injury leading to variable, context specific, and, therefore, supersaturation and exposure levels mortality). The categories of marine difficult to quantify (see Risk Function observed to cause microbubble mammal responses (physiological and section, below). Alternately, TTS is a

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physiological effect that has been to 195 dB re 1 µPa2-s). The difference in • Harbor Seals (and closely related studied and quantified in laboratory results was attributed to faster post- species)—183 dB re 1 µPa2-s conditions. Because data exist to exposure threshold measurement—TTS • Northern Elephant Seals (and support an estimate of at what received may have recovered before being closely related species)—204 dB re 1 levels marine mammals will incur TTS, detected by Nachtigall et al. (2003). µPa2-s NMFS uses an acoustic criteria to These studies showed that, for long- • California Sea Lions (and closely estimate the number of marine duration exposures, lower sound related species)—206 dB re 1 µPa2-s. mammals that might sustain TTS. TTS pressures are required to induce TTS A detailed description of how TTS is a subset of Level B Harassment (along than are required for short-duration criteria were derived from the results of with sub-TTS behavioral harassment) tones. the above studies may be found in and we are not specifically required to • Finneran et al. (2000, 2002) Chapter 3 of Southall et al. (2007), as estimate those numbers; however, the conducted TTS experiments with well as the Navy’s SOCAL LOA more specifically we can estimate the dolphins and belugas exposed to application. Because they are both affected marine mammal responses, the impulsive sounds similar to those otariids, the California sea lion criteria better the analysis. produced by distant underwater is used to estimate take of northern fur A number of investigators have explosions and seismic waterguns. seals for this authorization. measured TTS in marine mammals. These studies showed that, for very Level A Harassment Threshold (PTS) These studies measured hearing short-duration impulsive sounds, higher thresholds in trained marine mammals sound pressures were required to For acoustic effects, because the before and after exposure to intense induce TTS than for longer-duration tissues of the ear appear to be the most sounds. The existing cetacean TTS data tones. susceptible to the physiological effects of sound, and because threshold shifts are summarized in the following bullets. • Finneran et al. (2007) conducted • tend to occur at lower exposures than Schlundt et al. (2000) reported the TTS experiments with bottlenose other more serious auditory effects, results of TTS experiments conducted dolphins exposed to intense 20 kHz with 5 bottlenose dolphins and 2 NMFS has determined that PTS is the fatiguing tone. Behavioral and auditory belugas exposed to 1-second tones. This best indicator for the smallest degree of evoked potentials (using sinusoidal paper also includes a reanalysis of injury that can be measured. Therefore, amplitude modulated tones creating preliminary TTS data released in a the acoustic exposure associated with auditory steady state response [AASR]) technical report by Ridgway et al. onset-PTS is used to define the lower were used to measure TTS. The (1997). At frequencies of 3, 10, and 20 limit of the Level A harassment. fatiguing tone was either 16 (mean = 193 kHz, sound pressure levels (SPLs) PTS data do not currently exist for re 1uPa, SD = 0.8) or 64 seconds (185– necessary to induce measurable marine mammals and are unlikely to be 186 re 1uPa) in duration. TTS ranged amounts (6 dB or more) of TTS were obtained due to ethical concerns. from 19–33db from behavioral between 192 and 201 dB re 1 µPa (EL However, PTS levels for these animals measurements and 40–45dB from ASSR = 192 to 201 dB re 1 µPa2-s). The mean may be estimated using TTS data from measurements. exposure SPL and EL for onset-TTS • marine mammals and relationships were 195 dB re 1 µPa and 195 dB re Kastak et al. (1999a, 2005) between TTS and PTS that have been 1 µPa2-s, respectively. conducted TTS experiments with three discovered through study of terrestrial • Finneran et al. (2001, 2003, 2005) species of pinnipeds, California sea lion, mammals. NMFS uses the following described TTS experiments conducted northern elephant seal and a Pacific acoustic criteria for injury: with bottlenose dolphins exposed to 3- harbor seal, exposed to continuous • Cetaceans—215 dB re 1 µPa2-s kHz tones with durations of 1, 2, 4, and underwater sounds at levels of 80 and (based on mid-frequency cetaceans—no 8 seconds. Small amounts of TTS (3 to 95 dB sensation level at 2.5 and 3.5 kHz published data exist on auditory effects 6 dB) were observed in one dolphin for up to 50 minutes. Mean TTS shifts of noise in low-or high-frequency after exposure to ELs between 190 and of up to 12.2 dB occurred with the cetaceans (Southall et al. (2007)) 204 dB re 1 uPa2-s. These results were harbor seals showing the largest shift of • Harbor Seals (and closely related consistent with the data of Schlundt et 28.1 dB. Increasing the sound duration species)—203 dB re 1 µPa2-s al. (2000) and showed that the Schlundt had a greater effect on TTS than • Northern Elephant Seals (and et al. (2000) data were not significantly increasing the sound level from 80 to 95 closely related species)—224 dB re 1 affected by the masking sound used. dB. µPa2-s These results also confirmed that, for Some of the more important data • California Sea Lions (and closely tones with different durations, the obtained from these studies are onset- related species)—226 dB re 1 µPa2-s amount of TTS is best correlated with TTS levels (exposure levels sufficient to These criteria are based on a 20 dB the exposure EL rather than the cause a just-measurable amount of TTS) increase in SEL over that required for exposure SPL. often defined as 6 dB of TTS (for onset-TTS. Extrapolations from • Nachtigall et al. (2003) measured example, Schlundt et al., 2000) and the terrestrial mammal data indicate that TTS in a bottlenose dolphin exposed to fact that energy metrics (sound exposure PTS occurs at 40 dB or more of TS, and octave-band sound centered at 7.5 kHz. levels (SEL), which include a duration that TS growth occurs at a rate of Nachtigall et al. (2003a) reported TTSs component) better predict when an approximately 1.6 dB TS per dB of about 11 dB measured 10 to 15 animal will sustain TTS than pressure increase in EL. There is a 34-dB TS minutes after exposure to 30 to 50 (SPL) alone. NMFS’ TTS criteria (which difference between onset-TTS (6 dB) minutes of sound with SPL 179 dB re indicate the received level at which and onset-PTS (40 dB). Therefore, an 1 µPa (EL about 213 dB re µPa2-s). No onset TTS (>6dB) is induced) for MFAS/ animal would require approximately 20 TTS was observed after exposure to the HFAS are as follows: dB of additional exposure (34 dB same sound at 165 and 171 dB re 1 µPa. • Cetaceans—195 dB re 1 µPa2-s divided by 1.6 dB) above onset-TTS to Nachtigall et al. (2004) reported TTSs of (based on mid-frequency cetaceans—no reach PTS. A detailed description of around 4 to 8 dB 5 minutes after published data exist on auditory effects how TTS criteria were derived from the exposure to 30 to 50 minutes of sound of noise in low- or high-frequency results of the above studies may be with SPL 160 dB re 1 µPa (EL about 193 cetaceans (Southall et al. (2007)). found in Chapter 3 of Southall et al.

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(2007), as well as the Navy’s SOCAL Unlike step functions, acoustic risk B = Basement received level = 120 dB re: 1 LOA application. Southall et al. (2007) continuum functions (which are also µPa recommend a precautionary dual called ‘‘exposure-response functions,’’ K = Received level increment above B where µ 50 percent risk = 45 dB re: 1 µPa criteria for TTS (230 dB re 1 Pa (SPL ‘‘dose-response functions,’’ or ‘‘stress- A = Risk transition sharpness parameter = 10 peak pressure) in addition to 215 dB re response functions’’ in other risk (odontocetes and pinnipeds) or 8 1 µPa2-s (SEL)) to account for the assessment contexts) allow for (mysticetes) potentially damaging transients probability of a response that NMFS In order to use this function to embedded within non-pulse exposures. would classify as harassment to occur estimate the percentage of an exposed However, in the case of MFAS/HFAS, over a range of possible received levels population that would respond in a the distance at which an animal would (instead of one number) and assume that manner that NMFS classifies as Level B receive 215 dB (SEL) is farther from the the probability of a response depends Harassment, based on a given received source (i.e., more conservative) than the first on the ‘‘dose’’ (in this case, the level, the values for B, K and A need to distance at which they would receive received level of sound) and that the be identified. 230 dB (SPL peak pressure) and probability of a response increases as B Parameter (Basement)—The B therefore, it is not necessary to consider the ‘‘dose’’ increases (see Figure 3a). parameter is the estimated received 230 dB peak. The Navy and NMFS have previously level below which the probability of We note here that behaviorally used acoustic risk functions to estimate disruption of natural behavioral mediated injuries (such as those that the probable responses of marine patterns, such as migration, surfacing, have been hypothesized as the cause of mammals to acoustic exposures for nursing, breeding, feeding, or sheltering, some beaked whale strandings) could other training and research programs. to a point where such behavioral potentially occur in response to Examples of previous application patterns are abandoned or significantly received levels lower than those include the Navy FEISs on the altered approaches zero for the MFAS/ believed to directly result in tissue SURTASS LFA sonar (U.S. Department HFAS risk assessment. At this received damage. As mentioned previously, data of the Navy, 2001c), the North Pacific level, the curve would predict that the to support a quantitative estimate of Acoustic Laboratory experiments percentage of the exposed population these potential effects (for which the conducted off the Island of Kauai (Office that would be taken by Level B exact mechanism is not known and in of Naval Research, 2001), the Harassment approaches zero. For which factors other than received level Supplemental EIS for SURTASS LFA MFAS/HFAS, NMFS has determined may play a significant role) do not exist. sonar (U.S. Department of the Navy, that B = 120 dB. This level is based on However, based on the number of years 2007d) and the FEIS for the Navy’s a broad overview of the levels at which (more than 40) and number of hours of Hawaii Range Complex (U.S. many species have been reported MFAS per year that the U.S. (and other Department of the Navy, 2008). As responding to a variety of sound countries) has operated compared to the discussed in the Effects section, factors sources. reported (and verified) cases of other than received level (such as K Parameter (representing the 50 associated marine mammal strandings, distance from or bearing to the sound percent Risk Point)—The K parameter is NMFS believes that the probability of source) can affect the way that marine based on the received level that these types of injuries is very low. mammals respond; however, data to corresponds to 50 percent risk, or the support a quantitative analysis of those received level at which we believe 50 Level B Harassment Risk Function (and other factors) do not currently (Behavioral Harassment) percent of the animals exposed to the exist. NMFS will continue to modify designated received level will respond In 2006, NMFS issued the only these criteria as new data become in a manner that NMFS classifies as MMPA authorization that has, as yet, available. Level B Harassment. The K parameter authorized the take of marine mammals The particular acoustic risk functions (K = 45 dB) is based on three data sets incidental to MFAS (to the Navy for the developed by NMFS and the Navy (see in which marine mammals exposed to Rim of the Pacific Exercises (RIMPAC)). Figures 2a and 2b) estimate the mid-frequency sound sources were For that authorization, NMFS used 173 probability of behavioral responses to reported to respond in a manner that dB SEL as the criterion for the onset of MFAS/HFAS (interpreted as the NMFS would classify as Level B behavioral harassment (Level B percentage of the exposed population) Harassment. There is widespread Harassment). This type of single number that NMFS would classify as harassment consensus that marine mammal criterion is referred to as a step function, for the purposes of the MMPA given responses to MFA sound signals need to in which (in this example) all animals exposure to specific received levels of be better defined using controlled estimated to be exposed to received MFAS/HFAS. The mathematical exposure experiments (Cox et al., 2006; levels above 173 db SEL would be function (below) underlying this curve Southall et al., 2007). The Navy is predicted to be taken by Level B is a cumulative probability distribution contributing to an ongoing behavioral Harassment and all animals exposed to adapted from a solution in Feller (1968) response study in the Bahamas that is less than 173 dB SEL would not be and was also used in predicting risk for expected to provide some initial taken by Level B Harassment. As the Navy’s SURTASS LFA MMPA information on beaked whales, the mentioned previously, marine mammal authorization as well. species identified as the most sensitive behavioral responses to sound are to MFAS. NMFS is leading this − highly variable and context specific  LB−  A international effort with scientists from (affected by differences in acoustic 1−   various academic institutions and conditions; differences between species =  K  research organizations to conduct R − and populations; differences in gender,  LB−  2 A studies on how marine mammals 1−   age, reproductive status, or social   respond to underwater sound behavior; or the prior experience of the K exposures. Additionally, the Navy individuals), which does not support Where: recently tagged whales in conjunction the use of a step function to estimate R = Risk (0–1.0) with the 2008 RIMPAC exercises. Until behavioral harassment. L = Received level (dB re: 1 µPa) additional data are available, however,

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NMFS and the Navy have determined the variable ambient noise in the bay, maximum source level used was 173 dB that the following three data sets are low-level broadband masking noise was SPL. most applicable for the direct use in used to keep hearing thresholds Nowacek et al. (2004) reported that establishing the K parameter for the consistent despite fluctuations in the five out of six whales exposed to the MFAS/HFAS risk function. These data ambient noise. Schlundt et al. (2000) alert signal with maximum received sets, summarized below, represent the reported that ‘‘behavioral alterations,’’ levels ranging from 133 to 148 dB re 1 only known data that specifically relate or deviations from the behaviors the µPa significantly altered their regular altered behavioral responses (that NMFS animals being tested had been trained to behavior and did so in identical fashion. would consider Level B Harassment) to exhibit, occurred as the animals were Each of these five whales: (i) exposure—at specific received levels— exposed to increasing fatiguing stimulus Abandoned their current foraging dive to MFAS and sources within or having levels. prematurely as evidenced by curtailing components within the range of MFAS • Finneran et al. (2001, 2003, 2005) their ‘‘bottom time’’; (ii) executed a (1–10 kHz). conducted 2 separate TTS experiments shallow-angled, high power (i.e. Even though these data are considered using 1-sec tones at 3 kHz. The test significantly increased fluke stroke rate) the most representative of the proposed methods were similar to that of ascent; (iii) remained at or near the specified activities, and therefore the Schlundt et al. (2000) except the tests surface for the duration of the exposure, most appropriate on which to base the were conducted in a pool with very low an abnormally long surface interval; and K parameter (which basically ambient noise level (below 50 dB re (iv) spent significantly more time at determines the midpoint) of the risk 1 µPa2/hertz [Hz]), and no masking subsurface depths (1–10 m) compared function, these data have limitations, noise was used. In the first, fatiguing with normal surfacing periods when which are discussed in Appendix F of sound levels were increased from 160 to whales normally stay within 1 m (1.1 the Navy’s DEIS for SOCAL. 201 dB SPL. In the second experiment, yd) of the surface. 1. Controlled Laboratory Experiments fatiguing sound levels between 180 and 3. Odontocete Field Data (Haro with Odontocetes (SSC Data set)—Most 200 dB SPL were randomly presented. Strait—USS SHOUP)—In May 2003, of the observations of the behavioral killer whales (Orcinus orca) were Bottlenose dolphins exposed to 1- responses of toothed whales resulted observed exhibiting behavioral second (sec) intense tones exhibited from a series of controlled experiments responses generally described as short-term changes in behavior above on bottlenose dolphins and beluga avoidance behavior while the U.S. Ship whales conducted by researchers at received sound levels of 178 to 193 dB (USS) SHOUP was engaged in MFAS in re SSC’s facility in San Diego, California µ the Haro Strait in the vicinity of Puget (Finneran et al., 2001, 2003, 2005; 1 Pa (rms), and beluga whales did so Sound, Washington. Those observations Finneran and Schlundt, 2004; Schlundt at received levels of 180 to 196 dB and have been documented in three reports et al., 2000). In experimental trials above. developed by Navy and NMFS (NMFS, (designed to measure TTS) with marine 2. Mysticete Field Study (Nowacek et 2005; Fromm, 2004a, 2004b; DON, mammals trained to perform tasks when al., 2004)—The only available and 2003). Although these observations were prompted, scientists evaluated whether applicable data relating mysticete made in an uncontrolled environment, the marine mammals still performed responses to exposure to mid-frequency the sound field that may have been these tasks when exposed to mid- sound sources is from Nowacek et al. associated with the active sonar frequency tones. Altered behavior (2004). Nowacek et al. (2004) operations was estimated using standard during experimental trials usually documented observations of the acoustic propagation models that were involved refusal of animals to return to behavioral response of North Atlantic verified (for some but not all signals) the site of the sound stimulus, but also right whales exposed to alert stimuli based on calibrated in situ included attempts to avoid an exposure containing mid-frequency components measurements from an independent in progress, aggressive behavior, or in the Bay of Fundy. Investigators used researcher who recorded the sounds refusal to further participate in tests. archival digital acoustic recording tags during the event. Behavioral Finneran and Schlundt (2004) (DTAG) to record the behavior (by observations were reported for the group examined behavioral observations measuring pitch, roll, heading, and of whales during the event by an recorded by the trainers or test depth) of right whales in the presence experienced marine mammal biologist coordinators during the Schlundt et al. of an alert signal, and to calibrate who happened to be on the water (2000) and Finneran et al. (2001, 2003, received sound levels. The alert signal studying them at the time. The 2005) experiments. These included was 18 minutes of exposure consisting observations associated with the USS observations from 193 exposure sessions of three 2-minute signals played SHOUP provide the only data set (fatiguing stimulus level > 141 dB re 1 sequentially three times over. The three available of the behavioral responses of µPa) conducted by Schlundt et al. signals had a 60 percent duty cycle and wild, non-captive animals upon actual (2000) and 21 exposure sessions consisted of: (1) Alternating 1-sec pure exposure to AN/SQS–53 sonar. conducted by Finneran et al. (2001, tones at 500 Hz and 850 Hz; (2) a 2-sec U.S. Department of Commerce 2003, 2005). The TTS experiments that logarithmic down-sweep from 4,500 Hz (National Marine Fisheries, 2005a); U.S. supported Finneran and Schlundt to 500 Hz; and (3) a pair of low (1,500 Department of the Navy (2004b); Fromm (2004) are further explained below: Hz)-high (2,000 Hz) sine wave tones (2004a, 2004b) documented • Schlundt et al. (2000) provided a amplitude modulated at 120 Hz and reconstruction of sound fields produced detailed summary of the behavioral each 1-sec long. The purposes of the by USS SHOUP associated with the responses of trained marine mammals alert signal were (a) to pique the behavioral response of killer whales during TTS tests conducted at SSC San mammalian auditory system with observed in Haro Strait. Observations Diego with 1-sec tones and exposure disharmonic signals that cover the from this reconstruction included an frequencies of 0.4 kHz, 3 kHz, 10 kHz, whales’ estimated hearing range; (b) to approximate closest approach time 20 kHz and 75 kHz. Schlundt et al. maximize the signal to noise ratio which was correlated to a reconstructed (2000) reported eight individual TTS (obtain the largest difference between estimate of received level. Observations experiments. The experiments were background noise) and (c) to provide from this reconstruction included an conducted in San Diego Bay. Because of localization cues for the whale. The estimate of 169.3 dB SPL which

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represents the mean level at a point of mean values is 165 dB SPL. The value National Marine Fisheries Service, closest approach within a 500 m wide of K is the difference between the value 2008). area which the animals were exposed. of B (120 dB SPL) and the 50 percent NMFS determined that a lower Within that area, the estimated received value of 165 dB SPL; therefore, K = 45. steepness parameter (A = 8), resulting in levels varied from approximately 150 to A Parameter (Steepness)—NMFS a shallower curve, was appropriate for 180 dB SPL. determined that a steepness parameter use with mysticetes and MFAS/HFAS. Calculation of K Parameter—NMFS (A) = 10 is appropriate for odontocetes The Nowacek et al. (2004) dataset and the Navy used the mean of the (except harbor porpoises) and pinnipeds contains the only data illustrating following values to define the midpoint and A = 8 is appropriate for mysticetes. mysticete behavioral responses to a of the function: (1) The mean of the The use of a steepness parameter of sound source that encompasses lowest received levels (185.3 dB) at A = 10 for odontocetes for the MFAS/ frequencies in the mid-frequency sound which individuals responded with HFAS risk function was based on the spectrum. A shallower curve (achieved altered behavior to 3 kHz tones in the use of the same value for the SURTASS by using A = 8) better reflects the risk SSC data set; (2) the estimated mean LFA risk continuum, which was of behavioral response at the relatively received level value of 169.3 dB supported by a sensitivity analysis of low received levels at which behavioral produced by the reconstruction of the the parameter presented in Appendix D responses of right whales were reported USS SHOUP incident in which killer of the SURTASS/LFA FEIS (U.S. in the Nowacek et al. (2004) data. whales exposed to MFAS (range Department of the Navy, 2001c). As Compared to the odontocete curve, this modeled possible received levels: 150 to concluded in the SURTASS FEIS/EIS, adjustment results in an increase in the 180 dB); and (3) the mean of the 5 the value of A = 10 produces a curve proportion of the exposed population of maximum received levels at which that has a more gradual transition than mysticetes being classified as Nowacek et al. (2004) observed the curves developed by the analyses of behaviorally harassed at lower RLs, significantly altered responses of right migratory gray whale studies (Malme et such as those reported in and is whales to the alert stimuli than to the al., 1984; Buck and Tyack, 2000; and supported by the only dataset currently control (no input signal) is 139.2 dB SURTASS LFA Sonar EIS, Subchapters available. SPL. The arithmetic mean of these three 1.43, 4.2.4.3 and Appendix D, and BILLING CODE 3510–22–P

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BILLING CODE 3510–22–C example, at 165 dB SPL (dB re: 1 µPa applied to individual animals, only to Basic Application of the Risk rms), the risk (or probability) of exposed populations. Function—The risk function is used to harassment is defined according to this estimate the percentage of an exposed The data primarily used to produce function as 50 percent, and Navy/NMFS the risk function (the K parameter) were population that is likely to exhibit applies that by estimating that 50 behaviors that would qualify as compiled from four species that had percent of the individuals exposed at been exposed to sound sources in a harassment (as that term is defined by that received level are likely to respond the MMPA applicable to military variety of different circumstances. As a by exhibiting behavior that NMFS readiness activities, such as the Navy’s result, the risk function represents a would classify as behavioral testing and training with MFAS) at a general relationship between acoustic given received level of sound. For harassment. The risk function is not exposures and behavioral responses that

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is then applied to specific mentioned previously, the distance from captive (e.g. Kastelein et al., 2000; circumstances. That is, the risk function the sound source and whether it is Kastelein et al., 2005; Kastelein et al., represents a relationship that is deemed perceived as approaching or moving 2006; Kastelein et al., 2008) and wild to be generally true, based on the away can affect the way an animal harbor porpoises (e.g. Johnston, 2002) limited, best-available science, but may responds to a sound (Wartzok et al., responded to sound (e.g. acoustic not be true in specific circumstances. In 2003). In the SOCAL example, animals harassment devices (ADHs), acoustic particular, the risk function, as currently exposed to received levels between 120 deterrent devices (ADDs), or other non- derived, treats the received level as the and 130 dB may be 22–65 nm (41–120 pulsed sound sources) is very low (e.g. only variable that is relevant to a marine km) from a sound source depending on ∼120 dB SPL), although the biological mammal’s behavioral response. seasonal variations; those distances significance of the disturbance is However, we know that many other could influence whether those animals uncertain. Therefore, a step function variables—the marine mammal’s perceive the sound source as a potential threshold of 120 dB SPL was used to gender, age, and prior experience; the threat, and their behavioral responses to estimate take of harbor porpoises activity it is engaged in during an that threat. Though there are data instead of the risk functions used for exposure event, its distance from a showing response of certain marine other species (i.e., we assume for the sound source, the number of sound mammal species to mid-frequency purpose of estimating take that all sources, and whether the sound sources sound sources at that received level, harbor porpoises exposed to 120 dB or are approaching or moving away from NMFS does not currently have any data higher MFAS/HFAS will be taken by the animal—can be critically important that describe the response of marine Level B behavioral harassment). in determining whether and how a mammals to mid-frequency sounds at marine mammal will respond to a sound that distance, much less data that Explosive Detonation Criteria (for IEER) compare responses to similar sound source (Southall et al., 2007). The data The criteria for mortality, Level A that are currently available do not allow levels at varying distances (much less for MFAS/HFAS). However, if data were Harassment, and Level B Harassment for incorporation of these other resulting from explosive detonations variables in the current risk functions; to become available, NMFS would re- evaluate the risk function and to were initially developed for the Navy’s however, the risk function represents Seawolf and Churchill ship-shock trials the best use of the data that are incorporate any additional variables into the ‘‘take’’ estimates. and have not changed since other available. MMPA authorizations issued for As more specific and applicable data Harbor Porpoise Behavioral Harassment explosive detonations. The criteria, become available for MFAS/HFAS Criteria which are applied to cetaceans and sources, NMFS can use these data to The information currently available pinnipeds, are summarized in Table 8. modify the outputs generated by the risk regarding these inshore species that Additional information regarding the function to make them more realistic. inhabit shallow and coastal waters derivation of these criteria is available Ultimately, data may exist to justify the suggests a very low threshold level of in the Navy’s DEIS for the SOCAL and use of additional, alternate, or multi- response for both captive and wild in the Navy’s CHURCHILL FEIS (U.S. variate functions. For example, as animals. Threshold levels at which both Department of the Navy, 2001c).

Estimates of Potential Marine Mammal criteria above (i.e., number of takes); (3) available in Appendix F of the Navy’s Exposure post-modeling corrections refine DEIS for SOCAL. estimates to make them more accurate; (1) In order to quantify the types of Estimating the take that will result and, (4) mitigation is taken into take described in previous sections that from the proposed activities entails the consideration. More information are predicted to result from the Navy’s following four general steps: (1) regarding the models used, the specified activities, the Navy first uses Propagation model estimates animals assumptions used in the models, and a sound propagation model that predicts exposed to sources at different levels; the process of estimating take is the number of animals that will be (2) further modeling determines number exposed to a range of levels of pressure of exposures to levels indicated in and energy (of the metrics used in the

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criteria) from MFAS/HFAS and (2) Next, the criteria discussed in the exposures to levels predicted to result in explosive detonations based on several previous section are applied to the Level A Harassment from exposure to important pieces of information, estimated exposures to predict the MFAS/HFAS might indicate that 1 fin including: number of exposures that exceed the whale would be exposed to levels of • Characteristics of the sound sources. criteria, i.e., the number of takes by active sonar anticipated to result in › Active sonar source characteristics Level B Harassment, Level A PTS—However, a fin whale would need include: Source level (with Harassment, and mortality. to be within approximately 10 m of the horizontal and vertical directivity (3) During the development of the EIS source vessel in order to be exposed to corrections), source depth, center for SOCAL, NMFS and the Navy these levels. Because of the mitigation frequency, source directivity determined that the output of the model measures (watchstanders and shutdown (horizontal/vertical beam width and could be made more realistic by zone), size of fin whales, and nature of horizontal/vertical steer direction), applying post-modeling corrections to fin whale behavior, it is highly unlikely and ping spacing. account for the following: that a fin whale would be exposed to › • Explosive source characteristics Acoustic footprints for active sonar those levels, and therefore the Navy include: The weight of an sources must account for land masses would not request authorization for explosive, the type of explosive, the (by subtracting them out). • Level A Harassment of 1 fin whale. detonation depth, number of Acoustic footprints for active sonar Table 9 contains the Navy’s estimated successive explosions. sources should not be added take estimates. • Transmission loss (in 13 independently, rather, the degree to representative environmental which the footprints from multiple (5) Last, the Navy’s specified activities provinces across 8 sonar modeling ships participating in the same exercise have been described based on best areas in two seasons) based on: Water would typically overlap needs to be estimates of the number of MFAS/HFAS depth; sound speed variability taken into consideration. hours that the Navy will conduct. The throughout the water column (warm • Acoustic modeling should account exact number of hours may vary from season exhibits a weak surface duct, for the maximum number of individuals year to year, but will not exceed the 5- cold season exhibits a relatively of a species that could potentially be year total indicated in Table 10 (by strong surface duct); bottom geo- exposed to active sonar within the multiplying the yearly estimate by 5) by acoustic properties (bathymetry); and course of 1 day or a discreet continuous more than 10 percent. NMFS estimates wind speed. sonar event if less than 24 hours. that a 10-percent increase in active • The estimated density of each marine (4) Mitigation measures are taken into sonar hours would result in mammal species in the SOCAL (see consideration by NMFS and approximately a 10-percent increase in Table 13), horizontally distributed adjustments may be applied to the the number of takes, and we have uniformly and vertically distributed numbers produced by the Navy’s considered this possibility in our according to dive profiles based on modeled estimates. For example, in analysis. field data. some cases the raw modeled numbers of BILLING CODE 3510–22–P

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BILLING CODE 3510–22–C in the presence of certain conditions aggregate, in the SOCAL Study Area, Mortality (e.g., multiple units using active sonar, scientific uncertainty exists regarding steep bathymetry, constricted channels, what other factors, or combination of Evidence from five beaked whale strong surface ducts, etc.) may result in factors, may contribute to beaked whale strandings, all of which have taken strandings, potentially leading to strandings. Accordingly, to account for place outside the SOCAL Range mortality. Although these physical scientific uncertainty regarding Complex, and have occurred over factors believed to have contributed to contributing causes of beaked whale approximately a decade, suggests that the likelihood of beaked whale strandings and the exact behavioral or the exposure of beaked whales to MFAS strandings are not present, in their physiological mechanisms that can lead

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to the ultimate physical effects Navy training is occurring, but the area There are currently no well- (stranding and/or death), the Navy has will be utilized again after the activities established thresholds for estimating requested authorization for take, by have ceased. effects to fish from explosives other than serious injury or mortality of 10 beaked mortality models. Fish that are located Effects on Food Resources whales over the course of the 5-yr in the water column, in proximity to the regulations. Neither NMFS nor the Navy Fish source of detonation could be injured, anticipates that marine mammal The Navy’s DEIS includes a detailed killed, or disturbed by the impulsive strandings or mortality will result from discussion of the effects of active sonar sound and possibly temporarily leave the operation of MFAS during Navy on marine fish. In summary, studies the area. Continental Shelf Inc. (2004) exercises within the SOCAL Range have indicated that acoustic summarized a few studies conducted to Complex. communication and orientation of fish determine effects associated with removal of offshore structures (e.g., oil Effects on Marine Mammal Habitat may be restricted by anthropogenic sound in their environment. However, rigs) in the Gulf of Mexico. Their The Navy’s proposed training findings revealed that at very close exercises could potentially affect marine the vast majority of fish species studied to date are hearing generalists and range, underwater explosions are lethal mammal habitat through the to most fish species regardless of size, introduction of sound into the water cannot hear sounds above 500 to 1,500 Hz (0.5 to 1.5 kHz) (depending upon the shape, or internal anatomy. For most column, impacts to the prey species of situations, cause of death in fishes has species), and therefore, there are not marine mammals, bottom disturbance, been massive organ and tissue damage likely to be behavioral effects on these or changes in water quality. Each of and internal bleeding. At longer range, species from higher frequency sounds these components was considered in the species with gas-filled swimbladders such as MFAS/HFAS. Moreover, even SOCAL DEIS and was determined by (e.g., snapper, cod, and striped bass) are those marine species that may hear the Navy to have no effect on marine more susceptible than those without above 1.5 kHz, such as a few sciaenids mammal habitat. Based on the swimbladders (e.g., flounders, eels). and the clupeids (and relatives), have information below and the supporting Studies also suggest that larger fishes relatively poor hearing above 1.5 kHz as information included in the Navy’s are generally less susceptible to death or compared to their hearing sensitivity at DEIS, NMFS has preliminarily injury than small fishes. Moreover, determined that the SOCAL training lower frequencies, so it is likely that the elongated forms that are round in cross activities will not have adverse or long- fish will only actually hear the sounds section are less at risk than deep-bodied term impacts on marine mammal if the fish and source were fairly close forms; and orientation of fish relative to habitat. A summary of the conclusions to one another. And, finally, since the the shock wave may affect the extent of is included in subsequent sections. vast majority of sounds that are of injury. Open water pelagic fish (e.g., There is no marine mammal critical biological relevance to fish are below 1 mackerel) also seem to be less affected habitat (designated under the ESA) or kHz (e.g., Zelick et al., 1999; Ladich and than reef fishes. The results of most known specific breeding areas within Popper, 2004), even if a fish detects a studies are dependent upon specific the SOCAL Range Complex with the mid- or high-frequency sound, these biological, environmental, explosive, exception of pinnipeds (e.g., seals and sounds will not likely mask detection of and data recording factors. sea lions). Much is unknown about the lower frequency biologically relevant The huge variations in the fish specifics of dolphin mating, but it is sounds. Thus, a reasonable conclusion, population, including numbers, species, presumed that these species mate even without more data, is that there sizes, and orientation and range from throughout their habitat and possibly will be few, and more likely no, impacts the detonation point, make it very throughout the year. Even less is known on the behavior of fish from active difficult to accurately predict mortalities about the mating habits of beaked sonar. at any specific site of detonation. whales. Most of the offshore area within Though mortality has been shown to However, most fish species experience a the SOCAL Range Complex study area occur in one species, a hearing large number of natural mortalities, could potentially be utilized for active specialist, as a result of exposure to non- especially during early life-stages, and sonar activities or underwater impulsive sources, the available any small level of mortality caused by detonations. The Navy assumes that evidence does not suggest that the SOCAL training exercises involving active sonar activities could take place exposures such as those anticipated explosives will likely be insignificant to within potential mating areas of these from MFAS/HFAS would result in the population as a whole. toothed whale species within SOCAL, significant fish mortality on a although current state of knowledge is population level. The mortality that was Invertebrates very limited and there may be seasonal observed was considered insignificant Oceanographic features and bottom components to distribution that could in light of natural daily mortality rates. topography south of Point Conception account for breeding activities outside Experiments have shown that exposure produce localized turbulence, mixing, of the SOCAL Range Complex. Baleen to loud sound can result in significant and increased surface nutrients which whales and sperm whales breed in deep threshold shifts in certain fish that are in turn support aggregations of primary tropical and subtropical waters south classified as hearing specialists (but not and secondary production such as krill and west of the SOCAL Range Complex. those classified as hearing generalists). (Euphausiids) (Fiedler et al., 1998). Off Unless the sound source or explosive Threshold shifts are temporary, and the California coast, zooplankton detonation is stationary and/or considering the best available data, no biomass tends to reach its maximum continuous over a long duration in one data exist that demonstrate any long- abundance in the summer months and area, the effects of the introduction of term negative effects on marine fish main prey species for marine mammals sound into the environment are from underwater sound associated with found within Southern California generally considered to have a less active sonar activities. Further, while include Euphausia pacifica and severe impact on marine mammal fish may respond behaviorally to mid- Thysanoessa spinifera both of which are habitat than the physical alteration of frequency sources, this behavioral relatively cold water species, produced the habitat. Marine mammals may be modification is only expected to be brief locally along the southern California temporarily displaced from areas where and not biologically significant. coast (Brinton, 1976; Brinton, 1981).

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Swarms of E. pacifica are most been published in peer reviewed (assuming a width of 7.8 inches [20 cm], abundant off Channel Island shelf edges literature, and detailed images of the which is twice the wide of the trench to between 150–200 m during daylight, reportedly damaged tissue are also not account for sidecasted material), with vertical migration to the surface at available. approximately 55,757 ft2 (5,180 m2) of night (Fiedler et al., 1998). T. spinifera In summary, baleen whales feed on soft bottom habitat would be affected. is a more coastal species, highly favored the aggregations of krill and small Soft bottom habitats are not considered by blue whales (Balaenoptera schooling fish within Southern sensitive habitats and generally support musculus), and found during daylight California, while toothed whales feed on lower biological diversity than hard from 50–150 m particularly on shelf epipelagic, mesoplegic, and substrate habitats. Soft bottom areas northwest of San Miguel Island, bathypelagic fish and squid. As organisms are also generally and north of Santa Rosa Island (Fiedler summarized above and in the SOCAL opportunistic and would be expected to et al., 1998). Range Complex DEIS in more detail, rapidly re-colonize the disturbed areas. Very little is known about sound potential impacts to marine mammal Localized turbidity during installation detection and use of sound by food resources within the SOCAL Range may also temporarily impact suspension invertebrates (see Budelmann, 1992a, b; Complex is negligible given both lack of feeding invertebrates in the vicinity of Popper et al., 2001 for reviews). The hearing sensitivity to MFAS, the very the cable corridor and nodes. Therefore, limited data shows that some crabs are geographic and spatially limited scope assuming that rocky substrate is able to detect sound, and there has been of most Navy at sea activities including avoided, impacts to marine biological underwater detonations, and the high the suggestion that some other groups of resources from the SWTR Extension are biological productivity of these invertebrates are also able to detect anticipated to be minimal. resources. No short or long term effects sounds. In addition, cephalopods to marine mammal food resources from Water Quality (octopus and squid) and decapods Navy activities are anticipated within The SOCAL Range Complex EIS (lobster, shrimp, and crab) are thought the SOCAL Range Complex. analyzed the potential effects to water to sense low-frequency sound quality from sonobuoy, Acoustic Device (Budelmann, 1992b). Packard et al., Bottom Disturbance Countermeasures (ADC), and (1990) reported sensitivity to sound The current Shallow Water Training Expendable Mobile Acoustic Training vibrations between 1–100 Hz for three Range (SWTR) instrumentation is to be Target (EMATT) batteries; explosive species of cephalopods. McCauley et al., extended out from SOAR, to include packages associated with the explosive (2000) found evidence that squid one 250-nm2 (463-km2) area to the west source sonobuoy (AN/SSQ–110A), and exposed to seismic airguns show a in the area of the Tanner/Cortes Banks, Otto Fuel (OF) II combustion behavioral response including inking. and one 250-nm2 (463-km2) area byproducts associated with torpedoes. However, these were caged animals, and between SOAR and the southern section Expendable Bathythermographs do not it is not clear how unconfined animals of SCI. The SWTR instrumentation is a have batteries and were not included in may have responded to the same signal system of underwater acoustic the analysis. In addition, sonobuoys and at the same distances used. In transducer devices, called nodes, were not analyzed since, once scuttled, another study, Wilson et al., (2007) connected by cable to each other and to their electrodes are largely exhausted played back echolocation clicks of killer a land-based facility where the collected during operations and residual whales to two groups of squid (Loligo range data are used to evaluate the constituent dissolution occurs more pealeii) in a tank. The investigators performance of participants in shallow slowly than the releases from activated observed no apparent behavioral effects water training exercises. The transducer seawater batteries. As such, only the or any acoustic debilitation from nodes are capable of both transmitting potential effects of batteries and playback of signals up to 199 to 226 dB and receiving acoustic signals from explosions on marine water quality in re 1 µPa. It should be noted, however, ships operating within the SWTR and surrounding the sonobuoy that the lack of behavioral response by Extension. operation area were completed. It was the squid may have been because the Since the exact cable route has not determined that there would be no animals were in a tank rather than being been decided, it is not possible to significant effect to water quality from in the wild. In another report on squid, determine if sensitive habitat will be seawater batteries, lithium batteries, and Guerra et al. (2004) claimed that dead affected by the SWTR Extension. The thermal batteries associated with giant squid turned up around the time marine biological resource that could be scuttled sonobuoys. ADCs and EMATTs of seismic airgun operations off of most affected is the white abalone, and use lithium sulfur dioxide batteries. The Spain. The authors suggested, based on anywhere the cable crosses between 65 constituents in the battery react to form analysis of carcasses, that the damage to to 196 ft (20 to 60 m) and there is rocky soluble hydrogen gas and lithium the squid was unusual when compared substrate, there is the possibility of dithionite. The hydrogen gas eventually to other dead squid found at other affecting white abalone or disrupting enters the atmosphere and the lithium times. However, the report presents abalone habitat. Assuming that rocky hydroxide dissociates, forming lithium conclusions based on a correlation to substrate is avoided throughout the ions and hydroxide ions. The hydroxide the time of finding of the carcasses and cable corridor, the activities that could is neutralized by the hydronium formed seismic testing, but the evidence in affect marine biological resources are from hydrolysis of the acidic sulfur support of an effect of airgun activity associated with the construction of the dioxide, ultimately forming water. was totally circumstantial. Moreover, SWTR Extension. Direct impact and Sulfur dioxide, a gas that is highly the data presented showing damage to mortality of marine invertebrates at each soluble in water, is the major reactive tissue is highly questionable since there node and from burial of the trunk cable component in the battery. The sulfur was no way to differentiate between would occur. Assuming that 300 dioxide ionizes in the water, forming damage due to some external cause (e.g., transducer nodes will be used, bisulfite (HSO3) that is easily oxidized the seismic airgun) and normal tissue approximately 65,400 ft2 (6,075 m2) of to sulfate in the slightly alkaline degradation that takes place after death, soft bottom habitat would be affected, environment of the ocean. Sulfur is or due to poor fixation and preparation and also assuming that 14 nm (25.9 km) present as sulfate in large quantities of tissue. To date, this work has not of the trunk cable will be buried (i.e., 885 milligrams per liter [mg/L]) in

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the ocean. Thus, it was determined that pink-footed geese (Anser of the additional active sonar use in our there would be no significant effect to brachyrhynchus) in undisturbed habitat analysis. water quality from lithium sulfur gained body mass and had about a 46- Taking the above into account, batteries associated with scuttled ADCs percent reproductive success compared considering the sections discussed and EMATTs. with geese in disturbed habitat (being below, and dependent upon the Only a very small percentage of the consistently scared off the fields on implementation of the proposed available hydrogen fluoride explosive which they were foraging) which did mitigation measures, NMFS has product in the explosive source not gain mass and has a 17-percent preliminarily determined that Navy sonobuoy (AN/SSQ–110A) is expected reproductive success). A negligible training exercises utilizing MFAS/HFAS to become solubilized prior to reaching impact finding is based on the lack of and underwater detonations will have a the surface and the rapid dilution would likely adverse effects on annual rates of negligible impact on the marine occur upon mixing with the ambient recruitment or survival (i.e., population- mammal species and stocks present in water. As such, it was determined that level effects). An estimate of the number the SOCAL Range Complex. there would be no significant effect to of Level B harassment takes, alone, is Behavioral Harassment water quality from the explosive not enough information on which to product associated with the explosive base an impact determination. In As discussed in the Potential Effects source sonobuoy (AN/SSQ–110A). addition to considering estimates of the of Exposure of Marine Mammals to OF II is combusted in the torpedo number of marine mammals that might MFAS/HFAS and illustrated in the engine and the combustion byproducts be ‘‘taken’’ through behavioral conceptual framework, marine are exhausted into the torpedo wake, harassment, NMFS must consider other mammals can respond to MFAS/HFAS which is extremely turbulent and causes factors, such as the likely nature of any in many different ways, a subset of rapid mixing and diffusion. Combustion responses (their intensity, duration, which qualify as harassment (see byproducts include carbon dioxide, etc.), the context of any responses Behavioral Harassment Section). One carbon monoxide, water, hydrogen gas, (critical reproductive time or location, thing that the take estimates do not take nitrogen gas, ammonia, hydrogen migration, etc.), or any of the other into account is the fact that most marine cyanide, and nitrogen oxides. All of the variables mentioned in the first mammals will likely avoid strong sound byproducts, with the exception of paragraph (if known), as well as the sources to one extent or another. hydrogen cyanide, are below the United number and nature of estimated Level A Although an animal that avoids the States Environmental Protection Agency takes, the number of estimated sound source will likely still be taken in (EPA) water quality criteria. Hydrogen mortalities, and effects on habitat. some instances (such as if the avoidance cyanide is highly soluble in seawater Generally speaking, and especially with results in a missed opportunity to feed, interruption of reproductive behaviors, and dilutes below the USEPA criterion other factors being equal, the Navy and etc.) in other cases avoidance may result within 6.3 m (20.7 ft) of the torpedo. NMFS anticipate more severe effects in fewer instances of take than were Therefore, it was determined there from takes resulting from exposure to estimated or in the takes resulting from would be no significant effect to water higher received levels (though this is in exposure to a lower received level than quality as a result of OF II. no way a strictly linear relationship was estimated, which could result in a throughout species, individuals, or Analysis and Negligible Impact less severe response. For MFAS/HFAS, circumstances) and less severe effects Determination the Navy provided information (Table from takes resulting from exposure to Pursuant to NMFS regulations 11) estimating what percentage of the lower received levels. implementing the MMPA, an applicant total takes that will occur within the 10- is required to estimate the number of The Navy’s specified activities have dB bins (without considering mitigation animals that will be ‘‘taken’’ by the been described based on best estimates or avoidance) that are within the specified activities (i.e., takes by of the number of MFAS/HFAS hours received levels considered in the risk harassment only, or takes by that the Navy will conduct. The exact continuum and for TTS and PTS. This harassment, injury, and/or death). This number of hours (or torpedoes, or pings, table applies specifically to 53C hull- estimate informs the analysis that NMFS whatever unit the source is estimated mounted active sonar (the most must perform to determine whether the in) may vary from year to year, but will powerful source), with less powerful activity will have a ‘‘negligible impact’’ not exceed the 5-year total indicated in sources the percentages would increase on the affected species or stock. Level B Table 10 (by multiplying the yearly slightly in the lower received levels and (behavioral) harassment occurs at the estimate by 5) by more than 10 percent. correspondingly decrease in the higher level of the individual(s) and does not NMFS estimates that a 10 percent received levels. As mentioned above, an assume any resulting population-level increase in active sonar hours animal’s exposure to a higher received consequences, though there are known (torpedoes, pings, etc.) would result in level is more likely to result in a avenues through which behavioral approximately a 10 percent increase in behavioral response that is more likely disturbance of individuals can result in the number of takes, and we have to adversely affect the health of the population-level effects (for example: considered this possibility and the effect animals.

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Because the Navy has only been Diel Cycle mounted active sonar are typically monitoring specifically to discern the As noted previously, many animals moving at speeds of 10–12 knots. NMFS effects of MFAS/HFAS on marine perform vital functions, such as feeding, believes that it is unlikely that animals mammals since approximately 2006, resting, traveling, and socializing on a would be exposed to MFAS/HFAS at and because of the overall data gap diel cycle (24-hr cycle). Substantive levels or for a duration likely to result regarding the effects of MFAS/HFAS on behavioral reactions to noise exposure in a substantive response that would marine mammals, not a lot is known (such as disruption of critical life then be carried on for more than one regarding how marine mammals in the functions, displacement, or avoidance of day or on successive days. SOCAL Range Complex will respond to important habitat) are more likely to be TTS MFAS/HFAS. For the 12 MTEs for significant if they last more than one NMFS and the Navy have estimated which NMFS has received a monitoring diel cycle or recur on subsequent days that some individuals of some species of report, no instances of obvious (Southall et al., 2007). Consequently, a marine mammals may sustain some behavioral disturbance were observed behavioral response lasting less than level of TTS from MFAS/HFAS. As by the Navy watchstanders in the 704 one day and not recurring on subsequent days is not considered mentioned previously, TTS can last marine mammal sightings of 7435 from a few minutes to days, be of animals (9000+ hours of effort, though particularly severe unless it could directly affect reproduction or survival varying degree, and occur across various only 4 of the 12 reports reported the (Southall et al., 2007). frequency bandwidths. Table 9 indicates total number of hours of observation). In the previous section, we discussed the estimated number of animals that One cannot conclude from these results the fact that potential behavioral might sustain TTS from exposure to that marine mammals were not harassed responses to MFAS/HFAS that fall into MFAS/HFAS. The TTS sustained by an from MFAS/HFAS, as a portion of the category of harassment could range animal is primarily classified by three animals within the area of concern were in severity. By definition, the takes by characteristics: not seen (especially those more cryptic, behavioral harassment involve the • Frequency—Available data (of mid- deep-diving species, such as beaked disturbance of a marine mammal or frequency hearing specialists exposed to whales or Kogia spp.) and some of the marine mammal stock in the wild by mid to high frequency sounds—Southall non-biologist watchstanders might not causing disruption of natural behavioral et al., 2007) suggest that most TTS be well-qualified to characterize patterns (such as migration, surfacing, occurs in the frequency range of the behaviors. However, one can say that nursing, breeding, feeding, or sheltering) source up to one octave higher than the the animals that were observed did not to a point where such behavioral source (with the maximum TTS at 1⁄2 respond in any of the obviously more patterns are abandoned or significantly octave above). The two hull-mounted severe ways, such as panic, aggression, altered. These reactions would, MFAS sources, the DICASS sonobuoys, or anti-predator response. however, be more of a concern if they and the helicopter dipping sonar have were expected to last over 24 hours or center frequencies between 3.5 and 8 In addition to the monitoring that will be repeated in subsequent days. For kHz and the other unidentified MF be required pursuant to these hull-mounted active sonar (the highest sources are, by definition, less than 10 regulations and any corresponding power source), approximately 27 kHz, which suggests that TTS induced LOAs, which is specifically designed to percent of the hours of source use are by any of these MF sources would be in help us better understand how marine comprised of Unit Level Training or a frequency band somewhere between mammals respond to sound, the Navy maintenance activities that occur in approximately 2 and 20 kHz. There are and NMFS have developed, funded, and events of 4 hours or less. Integrated Unit far fewer hours of HF source use and the begun conducting a controlled exposure Level Training or Major Training events sounds would attenuate more quickly, experiment with beaked whales in the typically last more than one day, but if an animal were to incur TTS from Bahamas. Separately, the Navy and however, active sonar use is not these sources, it would cover a higher NMFS conducted an opportunistic continuous and the exercises take place frequency range (sources are between 20 tagging experiment with beaked whales over very large areas, up to 50,000 nm2). and 100 kHz, which means that TTS in the area of the 2008 Rim of the Pacific Additionally, during times of could range up to 200 kHz, however, HF training exercises in the HRC. continuous sonar use (parts of some systems are typically used less ASW exercises), vessels with hull- frequently and for shorter time periods

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than surface ship and aircraft MF (SEL), which might be received at duration or up to 217 SEL, most of the systems, so TTS from these sources is distances of up to 140 m from the most TTS induced was 15 dB or less, though even less likely). TTS from explosives powerful MFAS source, the AN/SQS–53 Finneran et al. (2007) induced 43 dB of would be broadband. Tables 12a and (the maximum ranges to TTS from other TTS with a 64-sec exposure to a 20 kHz 12b summarize the vocalization data for sources would be less, as modeled for source (MFAS emits a 1-s ping 2 times/ each species. SOCAL). An animal would have to minute). • Degree of the shift (i.e., how many approach closer to the source or remain • Duration of TTS (Recovery time)— dB is the sensitivity of the hearing in the vicinity of the sound source reduced by)—generally, both the degree see above. Of all TTS laboratory studies, appreciably longer to increase the of TTS and the duration of TTS will be some using exposures of almost an hour received SEL, which would be difficult greater if the marine mammal is exposed in duration or up to 217 SEL, almost all to a higher level of energy (which would considering the watchstanders and the recovered within 1 day (or less, often in occur when the peak dB level is higher nominal speed of an active sonar vessel minutes), though in one study (Finneran or the duration is longer). The threshold (10–12 knots). Of all TTS studies, some et al. (2007)), recovery took 4 days. for the onset of TTS (> 6 dB) is 195 dB using exposures of almost an hour in BILLING CODE 3510–22–P

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BILLING CODE 3510–22–C energy higher than that to which free- that marine mammals would sustain a Based on the range of degree and swimming marine mammals in the field TTS from MFAS that alters their duration of TTS reportedly induced by are likely to be exposed during MFAS/ sensitivity by more than 20 dB for more exposures to non-pulse sounds of HFAS training exercises, it is unlikely than a few days (and the majority would

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be far less severe). Also, for the same masking or communication impairment exclusion zones (see table 3 and the reasons discussed in the Diel Cycle were to occur briefly, it would be in the Mitigation section), and the distance section, and because of the short frequency range of MFAS, which within which the animal would have to distance within which animals would overlaps with some marine mammal be from the explosive, NMFS does not need to approach the sound source, it is vocalizations, however, it would likely think that any animals will be exposed unlikely that animals would be exposed not mask the entirety of any particular to levels of sound or pressure from to the levels necessary to induce TTS in vocalization or communication series explosives that will result in injury or subsequent time periods such that their because the pulse length, frequency, and death. recovery were impeded. Additionally duty cycle of the MFAS/HFAS signal As discussed previously, marine (see Tables 12a and 12b), though the does not perfectly mimic the mammals could potentially respond to frequency range of TTS that marine characteristics of any marine mammal’s MFAS at a received level lower than the mammals might sustain would overlap vocalizations. injury threshold in a manner that with some of the frequency ranges of indirectly results in the animals PTS, Injury, or Mortality their vocalization types, the frequency stranding. The exact mechanisms of this range of TTS from MFAS (the source The Navy’s model estimated that the potential response, behavioral or from which TTS would more likely be following numbers of individuals of the physiological, are not known. However, sustained because the higher source indicated species would be exposed to based on the number of occurrences level and slower attenuation make it levels of MFAS/HFAS associated with where strandings have been definitively more likely that an animal would be the likelihood of resulting in PTS: associated with military active sonar exposed to a higher level) would not bottlenose dolphin-47; blue whale—1; versus the number of hours of active usually span the entire frequency range gray whale—1: Long-beaked common sonar training that have been of one vocalization type, much less span dolphin—1; short-beaked common conducted, we suggest that the all types of vocalizations. If impaired, dolphin—6; striped dolphin—1; and probability is small that this will occur. marine mammals would typically be Pacific harbor seal—9. However, these Additionally, an active sonar shutdown aware of their impairment and estimates do not take into consideration protocol for strandings involving live implement behaviors to compensate for either the mitigation measures or the animals milling in the water minimizes it (see Communication Impairment likely avoidance behaviors of some of the chances that these types of events Section), though these compensations the animals exposed. NMFS believes turn into mortalities. may incur energetic costs. that many marine mammals would Though NMFS does not expect it to deliberately avoid exposing themselves occur, because of the uncertainty Acoustic Masking or Communication to the received levels of active sonar surrounding the mechanisms that link Impairment necessary to induce injury (i.e., exposure to MFAS to stranding Table 12 is also informative regarding approaching to within approximately 10 (especially in beaked whales), NMFS is the nature of the masking or m (10.9 yd) of the source) by moving proposing to authorize the injury or communication impairment that could away from or at least modifying their mortality of 10 beaked whales over the potentially occur from MFAS (again, path to avoid a close approach. course of the 5-yr regulations. center frequencies are 3.5 and 7.5 kHz Additionally, in the unlikely event that for the two types of hull-mounted active an animal approaches the sonar vessel 40 Years of Navy Training Exercises sonar). However, masking only occurs at a close distance, NMFS believes that Using MFAS/HFAS in the SOCAL Range during the time of the signal (and the mitigation measures (i.e., shutdown/ Complex potential secondary arrivals of indirect powerdown zones for MFAS/HFAS) The Navy has been conducting rays), versus TTS, which occurs further ensure that animals would not MFAS/HFAS training exercises in the continuously for its duration. Standard be exposed to injurious levels of sound. SOCAL Range Complex for over forty MFAS pings last on average one second As discussed previously, the Navy years. Although monitoring specifically and occur about once every 24–30 utilizes both aerial (when available) and in conjunction with training exercises to seconds for hull-mounted sources. passive acoustic monitoring (during all determine the effects of active sonar on When hull-mounted active sonar is used ASW exercises) in addition to marine mammals was not being in the Kingfisher mode, pulse length is watchstanders on vessels to detect conducted by the Navy prior to 2006 shorter, but pings are much closer marine mammals for mitigation and the symptoms indicative of together (both in time and space, since implementation and indicated that they potential acoustic trauma were not as the vessel goes slower when operating are capable of effectively monitoring a well recognized prior to the mid- in this mode). For the sources for which 1000-meter (1093-yd) safety zone at nineties, people have been collecting we know the pulse length, most are night using night vision goggles, stranding data in the SOCAL Range significantly shorter than hull-mounted infrared cameras, and passive acoustic Complex for approximately 25 years. active sonar, on the order of several monitoring. When these two points are Though not all dead or injured animals microseconds to 10s of micro seconds. considered, NMFS does not believe that are expected to end up on the shore For hull-mounted active sonar, though any marine mammals will incur PTS (some may be eaten or float out to sea), some of the vocalizations that marine from exposure to MFAS/HFAS. one might expect that if marine mammals make are less than one second The Navy’s model estimated that 34 mammals were being harmed by active long, there is only a 1 in 24 chance that total animals (dolphins and pinnipeds) sonar with any regularity, more they would occur exactly when the ping would be exposed to explosive evidence would have been detected over was received, and when vocalizations detonations at levels that could result in the 40-yr period. are longer than one second, only parts injury and that 4 dolphins and 7 of them are masked. Alternately, when pinnipeds would be exposed to levels Species-Specific Analysis the pulses are only several that could result in death—however, In the discussions below, the microseconds long, the majority of most those estimates do not consider ‘‘acoustic analysis’’ refers to the Navy’s animals’ vocalizations would not be mitigation measures. Because of the analysis, which includes the use of masked. Masking effects from MFAS/ surveillance conducted prior to and several models and other applicable HFAS are expected to be minimal. If during the exercises, the associated calculations as described in the

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Estimates of Potential Marine Mammal the Navy’s acoustic analysis might whales will be exposed to MFAS/HFAS Exposure section. The numbers actually incur TTS. sound levels likely to result in Level A predicted by the ‘‘acoustic analysis’’ are • Though dolphins are highly visible, harassment. based on a uniform and stationary because the mitigation includes a Modeling of the explosive sources distribution of marine mammals and do provision to allow bow-riding, not all predicts that no take of humpback not take into consideration the TTS take of dolphins will necessarily be whales will result from the detonation implementation of mitigation measures avoided. Therefore, we estimated that of underwater explosives. or potential avoidance behaviors of 0–50 percent of the number of dolphins Humpback whales in southern marine mammals, and therefore, are predicted by the Navy’s acoustic California are primarily from the Eastern likely overestimates of potential analysis might actually incur TTS. North Pacific Stock. The current best exposures to the indicated thresholds For explosives, all TTS will likely not estimate of population size for this stock (PTS, TTS, behavioral harassments). be avoided for any species because for is 1,391 (Caretta et al., 2007). No areas Consequently, NMFS has factored in the a couple of the larger explosives, the of specific importance for reproduction mitigation measures and avoidance to distance at which an animal could incur or feeding for humpback whales have make both quantitative and qualitative TTS is somewhat greater than the been identified in the SOCAL Range adjustments to the take estimates Navy’s exclusion zone for a couple of Complex. the exercise types (see Table 3). Adding predicted by the Navy’s ‘‘acoustic Sei Whales and Bryde’s Whales analysis’’. The revised take estimates to that, in the following circumstances Both Sei whales and Bryde’s whales (and proposed take authorization) (discussed in more detail in the are considered rare in SOCAL (less than depict a more realistic scenario than individual sections below) the indicated 3 sightings in last 30 years, only one those adopted directly from the Navy’s multipliers were applied to the TTS confirmed sighting in California, acoustic analysis. estimates predicted by the acoustic respectively). Because of their very low Although NMFS is not required to analysis: • When marine mammals are highly density in the area, the Navy’s acoustic identify the number of animals that will detectable, NMFS estimated that 0–50 analysis indicates that no sei whales or be taken specifically by TTS versus percent of the number of those species Bryde’s whales will be exposed to behavioral harassment (Level B predicted by the Navy’s acoustic sound levels or explosive detonations Harassment takes include both), we analysis might actually incur TTS. likely to result in take and the Navy has have attempted to make more realistic • When marine mammals are less not requested authorization to take any estimates by quantitatively refining the than highly detectable, NMFS estimated individuals of these species. Navy’s TTS estimates by modifying the that 50–100 percent of the number of Fin Whales estimate produced by the acoustic those species predicted by the Navy’s analysis by a specific amount if certain acoustic analysis might actually incur Acoustic analysis indicates that up to circumstances are present as described TTS. 167 exposures of fin whales to sound below: levels likely to result in Level B For MFAS/HFAS, some animals are Humpback Whale harassment may result from MFAS/ likely to avoid the source to some Acoustic analysis indicates that up to HFAS and explosives. This estimate degree (which could decrease the 15 exposures of humpback whales to represents the total number of takes and number exposed to TTS levels). Adding sound levels likely to result in Level B not necessarily the number of to that, in the following circumstances harassment may occur from MFAS/ individuals taken, as a single individual (discussed in more detail in the HFAS and explosives. This estimate may be taken multiple times over the individual sections below) the indicated represents the total number of takes and course of a year. These Level B takes are multipliers were applied to the TTS not necessarily the number of anticipated to primarily be in the form estimates predicted by the acoustic individuals taken, as a single individual of behavioral harassment as described in analysis: may be taken multiple times over the the Definition of Harassment: Level B • When animals are highly visible course of a year. These Level B takes are Harassment section. Although 12 of the (such as melon-headed whales, anticipated to be in the form of modeled Level B Harassment takes were humpback whales), we assume that behavioral disturbance as described in predicted to be in the form of TTS from lookouts will see them in time to cease the Definition of Harassment: Level B MFAS/HFAS, NMFS believes it is sonar operation before the animals are Harassment section section. Although 2 unlikely that any fin whales will incur exposed to levels associated with TTS, of the modeled Level B Harassment TTS because of the distance within which reach to about 140 m from the takes were predicted to be in the form which they would have to approach the sonar source. In this case we estimate 0 of TTS from MFAS/HFAS, NMFS MFAS source (approximately 140 m for animals will incur TTS. believes it is unlikely that any the most powerful source for TTS), the • When animals are deep divers and humpback whales will incur TTS fact that many animals will likely avoid very cryptic at the surface (such as because of the distance within which active sonar sources to some degree, and beaked whales), though some may avoid they would have to approach the active the likelihood that Navy monitors the source, we assume that most will sonar source (depending on conditions, would detect these animals prior to an not be sighted, and therefore we within a range of 140 m for the most approach within this distance and estimated that 50–100 percent of the powerful source), the fact that many implement active sonar powerdown or number predicted by the Navy’s animals will likely avoid active sonar shutdown. Navy lookouts will likely acoustic analysis might actually incur sources to some degree, and the high detect a group of fin whales because of TTS. likelihood that Navy monitors would their large size, mean group size (3), and • When animals are more likely to be detect these animals (due to their large pronounced blow. visually detected than beaked whales, size, surface behavior, and pronounced Acoustic analysis also predicted that but less likely than the highly visible blow) prior to an approach within this 1 TTS take of fin whales from species, we estimate that 0–100 percent distance and implement active sonar explosives would occur. For the same of the number of these species (sperm powerdown or shutdown. Acoustic reasons listed above, NMFS anticipates whales, some pinnipeds) predicted by analysis estimates that no humpback that the Navy watchstanders would

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likely detect these species and shutdown. Navy lookouts will likely powerful source for TTS, 10 m for implement the mitigation to avoid detect a group of blue whales given their injury), the fact that many animals will exposure. However, the range to TTS for large size, average group size (2–3), and likely avoid active sonar sources to a few of the larger explosives is larger pronounced vertical blow. The acoustic some degree, and the likelihood that than the associated exclusion zones for analysis also predicted that 1 animal Navy monitors would detect these BOMBEX, MISSILEX, or SINKEX (see would be exposed to MFAS/HFAS animals prior to an approach within this Table 3), and therefore NMFS sound levels that would result in Level distance and implement active sonar anticipates that TTS might not be A Harassment (PTS—injury). However, powerdown or shutdown. Navy entirely avoided during those exercises, for the same reasons listed above for lookouts will likely detect a group of so NMFS estimates that up to 1 TTS TTS (and because animals would need gray whales given their large size, take of a fin whale might result from to approach within 10 m of the sonar pronounced blow and mean group size explosive detonations. dome), NMFS does not believe that any of about 3 animals. The acoustic Acoustic analysis estimates that no fin animals will incur PTS or be otherwise analysis also predicted that 1 animal whales will be exposed to MFAS/HFAS injured by MFAS/HFAS. would be exposed to MFAS/HFAS sound levels or explosives expected to Acoustic analysis also predicted that sound levels that would result in Level result in injury or death. Further, NMFS 2 blue whales would be exposed to A Harassment (PTS—injury). However, believes that many marine mammals sound or pressure from explosives at for the same reasons listed above for would avoid exposing themselves to the levels expected to result in TTS. For the TTS (and because animals would need received levels necessary to induce same reasons listed above, NMFS to approach within 10 m of the sonar injury (and avoid getting as close to the anticipates that the Navy watchstanders dome), NMFS does not believe that any vessel as they would need to: within would likely detect these species and animals will incur PTS or be otherwise approximately 10 m (10.9 yd)) by implement the mitigation to avoid injured by MFAS/HFAS. moving away from or at least modifying exposure. However, the range to TTS for Acoustic analysis also predicted that their path to avoid a close approach. a few of the larger explosives is larger 7 gray whales would be exposed to Also, NMFS believes that the mitigation than the associated exclusion zones for sound or pressure from explosives at measures would be effective at avoiding BOMBEX, MISSILEX, or SINKEX (see levels expected to result in TTS. For the injurious exposures to animal that Table 3), therefore NMFS anticipates same reasons listed above, NMFS approached within the explosive safety that TTS might not be entirely avoided anticipates that the Navy watchstanders zone, especially in the case of these during those exercises, so NMFS would likely detect these species and large animals. estimates that up to 1 TTS take of a blue implement the mitigation to avoid Fin whales in the Southern California whale might result from explosive exposure. However, the range to TTS for Range Complex belong to the California/ detonations. Acoustic analysis estimates a few of the larger explosives is larger Oregon/Washington stock. The best that no blue whales will be exposed to than the associated exclusion zones for population estimate for this stock is explosive levels likely to result in PTS BOMBEX, MISSILEX, or SINKEX (see 2,099. No areas of specific importance or mortality. Table 3), and therefore NMFS for reproduction or feeding for fin Blue whales in the Southern anticipates that TTS might not be whales have been identified in the California Range Complex belong to the entirely avoided during those exercises, SOCAL Range Complex. Eastern North Pacific stock. The best so NMFS estimates that up to 4 TTS population estimate for this stock is Blue Whales take of a gray whale might result from 1,744 (Caretta et al., 2007). No areas of explosive detonations. Acoustic analysis Acoustic analysis indicates that up to specific importance for reproduction or predicts that no gray whales will be 609 exposures of blue whales to MFAS/ feeding for blue whales have been exposed to explosive levels likely to HFAS or explosive detonations at sound identified in the SOCAL Range result either in Level A harassment or or pressure levels likely to result in Complex. mortality. Level B harassment may occur. This Gray whales in the Southern Gray Whales estimate represents the total number of California Range Complex belong to the takes and not necessarily the number of Acoustic analysis indicates that up to Eastern North Pacific stock, for which individuals taken, as a single individual 5,460 exposures of gray whales to the best population estimate is 26,635 may be taken multiple times over the MFAS/HFAS or explosive detonations (Angliss and Outlaw, 2007). No areas of course of a year. These Level B takes are at sound or pressure levels likely to specific importance for reproduction or anticipated to be primarily in the form result in Level B harassment may occur. feeding for gray whales have been of behavioral disturbance as described This estimate represents the total identified in the SOCAL Range in the Definition of Harassment: Level B number of takes and not necessarily the Complex. Harassment section. Although 67 of the number of individuals taken, as a single modeled Level B Harassment takes were individual may be taken multiple times Minke Whales predicted to be in the form of TTS from over the course of a year. These Level Acoustic analysis indicates that up to MFAS/HFAS exposure, NMFS believes B takes are anticipated to primarily be 126 exposures of minke whales to it is unlikely that any blue whales will in the form of behavioral disturbance as MFAS/HFAS or explosive detonations incur TTS because of the distance described in the Definition of at sound or pressure levels likely to within which they would have to Harassment: Level B Harassment section result in Level B harassment may occur. approach the MFAS source section. Although 544 of the modeled This estimate represents the total (approximately 140 m for the most Level B Harassment takes were number of Level B takes and not powerful source for TTS), the fact that predicted to be in the form of TTS from necessarily the number of individuals many animals will likely avoid active MFAS/HFAS exposure, NMFS believes taken, as a single individual may be sonar sources to some degree, and the it is unlikely that any gray whales will taken multiple times over the course of likelihood that Navy monitors would incur TTS because of the distance a year. These Level B takes are detect these animals prior to an within which they would have to anticipated to be in the form of approach within this distance and approach the MFAS source behavioral disturbance as described in implement active sonar powerdown or (approximately 140 m for the most the Definition of Harassment: Level B

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Harassment section. Although 16 of the modeled Level B Harassment takes were best population estimate is 1,233 modeled Level B Harassment takes were predicted to be in the form of TTS from (Caretta et al., 2007). predicted to be in the form of TTS from MFAS/HFAS exposure, NMFS believes Pygmy and Dwarf Sperm Whales MFAS/HFAS exposure, NMFS believes it is unlikely that all eight whales will it is unlikely that all 16 whales will incur TTS because of the distance Acoustic analysis indicates that up to incur TTS because of the distance within which they would have to 159 exposures of pygmy sperm whales within which they would have to approach the MFAS source to MFAS/HFAS or explosive approach the active sonar source (approximately 140 m for the most detonations at sound or pressure levels (approximately 140 m for the most powerful source), the fact that many likely to result in Level B harassment powerful source), the fact that many animals will likely avoid active sonar may occur. This estimate represents the animals will likely avoid active sonar sources to some degree, and the total number of Level B takes and not sources to some degree, and the likelihood that Navy monitors would necessarily the number of individuals likelihood that Navy monitors would detect some of these animals at the taken, as a single individual may be detect some of these animals prior to an surface prior to an approach within this taken multiple times over the course of approach within this distance and distance and implement active sonar a year. These Level B takes are implement active sonar powerdown or powerdown or shutdown. However, anticipated to primarily be in the form shutdown. However, because of their because of their long, deep diving of behavioral disturbance as described cryptic behavior/profile at the surface, behavior (up to 2-hour dives), NMFS in the Definition of Harassment: Level B NMFS believes that some animals may believes that some animals may Harassment section. Sixteen of the approach undetected within the approach undetected within the modeled Level B Harassment takes were distance in which TTS would likely be distance in which TTS would likely be predicted to be in the form of TTS from incurred (although, they can be detected incurred. Therefore, NMFS estimates MFAS/HFAS exposure. NMFS believes well using passive acoustic monitoring). that 0–8 sperm whales may incur some it is unlikely that all 16 whales will Therefore, NMFS estimates that 0–16 degree of TTS from exposure to MFAS/ incur TTS because of the distance Minke whales may incur TTS from HFAS. within which they would have to approach the MFAS source exposure to MFAS/HFAS. As indicated in Table 12, some (but (approximately 140 m for the most As indicated in Table 12, known not all) sperm whale vocalizations powerful source) and the fact that many minke whale vocalizations are largely might overlap with the MFAS/HFAS animals will likely avoid active sonar below 1 kHz and would not likely TTS frequency range (2–20 kHz), which sources to some degree. However, the overlap with MFAS/HFAS TTS, which could potentially temporarily decrease would be in the range of 2–20 kHz. As likelihood that Navy monitors would an animal’s sensitivity to the calls of detect most of these animals at the noted previously, NMFS does not conspecifics or returning echolocation anticipate TTS of a long duration or surface prior to an approach within this signals. However, as noted previously, severe degree to occur as a result of distance is low because of their small NMFS does not anticipate TTS of a long exposure to MFA/HFAS. size, non-gregarious nature, and cryptic Acoustic analysis predicts that no duration or severe degree to occur as a behavior and profile. Therefore, NMFS minke whales will be exposed to MFAS/ result of exposure to MFA/HFAS. No estimates that 8–16 pygmy sperm HFAS sound levels likely to result sperm whales are predicted to be whales may incur some degree of TTS either in Level A harassment or exposed to MFAS/HFAS sound levels from exposure to MFAS/HFAS. mortality. Additionally, acoustic associated with PTS or injury. As indicated in Table 12, some Kogia analysis predicts that no take of minke Acoustic analysis also predicted that spp. vocalizations might overlap with whales will result form exposure to one sperm whale would be exposed to the MFAS/HFAS TTS frequency range explosive detonations. No areas of sound or pressure from explosives at (2–20 kHz), but the limited information specific importance for reproduction or levels expected to result in TTS. For the for Kogia sp. indicates that the majority feeding for minke whales have been same reasons listed above, NMFS of their clicks are at a much higher identified in the SOCAL Range anticipates that the Navy watchstanders frequency and that their maximum Complex. would likely detect these species in hearing sensitivity is between 90 and Minke whales in the Southern most instances and implement the 150 kHz. However, as noted previously, California Range Complex belong to the mitigation to avoid exposure. However, NMFS does not anticipate TTS of a long California/Oregon/Washington stock, for the range to TTS for a few of the larger duration or severe degree to occur as a which the best population estimate is explosives is larger than the associated result of exposure to MFA/HFAS. No 823 (Barlow and Forney, 2007). exclusion zones for BOMBEX, pygmy sperm whales are predicted to be MISSILEX, or SINKEX (see Table 3), and exposed to MFAS/HFAS sound levels Sperm Whales therefore NMFS anticipates that TTS associated with PTS or injury. Acoustic analysis indicates that up to might not be entirely avoided during Acoustic analysis also predicted that 148 exposures of sperm whales to those exercises, so NMFS estimates that one pygmy sperm whale would be MFAS/HFAS or explosive detonations up to one TTS take of a sperm whale exposed to sound or pressure from at sound or pressure levels likely to might result from explosive detonations. explosives at levels expected to result in result in Level B harassment may occur. Acoustic analysis predicts that no sperm TTS. For the same reasons listed above, This estimate represents the total whales will be exposed to explosive NMFS anticipates that the Navy number of Level B takes and not levels likely to result either in Level A watchstanders would not always detect necessarily the number of individuals harassment or mortality. these species to implement the taken, as a single individual may be No areas of specific importance for mitigation to avoid exposure. taken multiple times over the course of reproduction or feeding for sperm Additionally, the range to TTS for a few a year. These Level B takes are whales have been identified in the of the larger explosives is larger than the anticipated to primarily be in the form SOCAL Range Complex. Sperm whales associated exclusion zones for of behavioral disturbance as described in the Southern California Range BOMBEX, MISSILEX, or SINKEX (see in the Definition of Harassment: Level B Complex belong to the California/ Table 3), and therefore NMFS Harassment section. Although 8 of the Oregon/Washington stock, for which the anticipates that TTS might not be

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entirely avoided during those exercises, that many animals will likely avoid potential contributing causes of beaked so NMFS estimates that one TTS take of active sonar sources to some degree. whale strandings and the exact a pygmy sperm whale would result from However, the likelihood that Navy behavioral or physiological mechanisms explosive detonations. Acoustic analysis monitors would detect most of these that can potentially lead to the ultimate predicts that no sperm whales will be animals at the surface prior to an physical effects (stranding and/or death) exposed to explosive levels likely to approach within this distance is low that have been documented in a few result either in Level A harassment or because of their non-gregarious nature, cases. Although NMFS does not expect mortality. cryptic behavior and profile, and the injury or mortality of any of these seven Dwarf sperm whales are considered fact that they often dive for up to an species to occur as a result of the rare in the SOCAL Range Complex and hour. Therefore, NMFS estimates that 1 MFAS/HFAS training exercises (see no information is available to estimate Baird’s, 19–37 Cuvier’s, and 7–13 Mortality paragraph above), there the population size of dwarf sperm Mesoplodon beaked whales may incur remains the potential for the operation whales off the U.S. West Coast (Caretta some degree of TTS from exposure to of MFAS to contribute to the mortality et al., 2007). NMFS and the Navy do not MFAS/HFAS. of beaked whales. Consequently, NMFS anticipate take of this species occurring, As indicated in Table 12, some intends to authorize mortality and we but NMFS is proposing to authorize 20 beaked whale vocalizations might consider the 10 potential mortalities Level B Harassment takes for this overlap with the MFAS/HFAS TTS from across the seven species species annually to ensure MMPA frequency range (2–20 kHz), which potentially effected over the course of 5 compliance should the Navy could potentially temporarily decrease years in our negligible impact unexpectedly encounter an individual an animal’s sensitivity to the calls of determination (NMFS only intends to of this species while operating active conspecifics or returning echolocation authorize a total of 10 beaked whale sonar. signals. However, as noted previously, mortality takes, but since they could be No areas of specific importance for NMFS does not anticipate TTS of a long of any of the species, we consider the reproduction or feeding for pygmy or duration or severe degree to occur as a effects of 10 mortalities of any of the dwarf sperm whales have been result of exposure to MFA/HFAS. No seven species). identified in the SOCAL Range beaked whales are predicted to be Complex. Pygmy sperm whales in the exposed to MFAS/HFAS sound levels Social Pelagic Species (killer whales, Southern California Range Complex associated with PTS or injury. short-finned pilot whales, false killer belong to the California/Oregon/ Acoustic analysis also predicted that whales, pygmy killer whales, and Washington stock, for which the most 3 Cuvier’s and 1 Mesoplodon beaked melon-headed whales) recent population estimate is 247 whale would be exposed to sound or Acoustic analysis indicates that 7 (Caretta et al., 2007). pressure from explosives at levels killer whales and 45 short-finned pilot expected to result in TTS. For the same Beaked Whales whales will be exposed to MFAS/HFAS reasons listed above, NMFS anticipates or explosive detonations at sound or Due to the difficulty in differentiating that the Navy watchstanders would not pressure levels likely to result in Level Mesoplodon species from each other, likely always detect these species and B harassment. This estimate represents the management unit (California/ implement the mitigation to avoid Oregon/Washington stock of exposure. Additionally, the range to the total number of Level B takes and Mesoplodont beaked whales) is defined TTS for a few of the larger explosives is not necessarily the number of to include all the mesoplodon larger than the associated exclusion individuals taken, as a single individual populations (Blainville’s, Hubb’s, zones for BOMBEX, MISSILEX, or may be taken multiple times over the Perrin’s, pygmy, and ginkgo-toothed SINKEX (see Table 3), therefore NMFS course of a year. These Level B takes are beaked whales) and anticipated take of anticipates that TTS might not be anticipated to be in the form of these 5 species is combined in Table 9. entirely avoided during those exercises. behavioral disturbance as described in Acoustic analysis indicates that 13 NMFS estimates that up to 1 TTS take the Definition of Harassment: Level B Baird’s beaked whales, 428 Cuvier’s of a Mesoplodon species and up to 3 harassment section. Acoustic analysis beaked whales, and 131 Mesoplodon TTS takes of a Cuvier’s beaked whale predicts that neither of these species species will likely be exposed to MFAS/ would result from explosive will be exposed to levels of MFAS/ HFAS or explosives at pressure or detonations. Acoustic analysis predicts HFAS associated with PTS or injury. sound levels likely to result in Level B that no beaked whales will be exposed Although 1 and 6 (killer whale and harassment. The analysis also further to explosive levels likely to result either pilot whale, respectively) of the estimates that 97 unidentified beaked in Level A harassment or mortality. modeled Level B Harassment takes were whales may be taken by Level B No areas of specific importance for predicted to be in the form of TTS from Harassment. These estimates represent reproduction or feeding for beaked MFAS/HFAS exposure, NMFS believes the total number of exposures and not whales have been identified in the it is unlikely that any killer whales or necessarily the number of individuals SOCAL Range Complex. The California/ short-finned pilot whales will incur TTS exposed, as a single individual may be Oregon/Washington stock of because of the distance within which exposed multiple times over the course Mesoplodon whales has estimated they would have to approach the active of a year. population of 1,777 (Barlow and Forney, sonar source (approximately 140 m for One (Baird’s), 37 (Cuvier’s), and 13 2007). The population size of the the most powerful source for TTS), the (Mesoplodon) of the modeled Level B California/Oregon/Washington stock of fact that many animals will likely avoid Harassment takes were predicted to be Cuvier’s beaked whale is estimated at active sonar sources to some degree, and in the form of TTS from MFAS/HFAS 4,342 (Barlow and Forney, 2007). The the likelihood that Navy monitors exposure. NMFS believes it is unlikely population size of the California/ would detect these animals prior to an that all 51 beaked whales will incur TTS Oregon/Washington stock of Baird’s approach within this distance and because of the distance within which beaked whale is estimated at 1,005 implement active sonar powerdown or they would have to approach the active (Barlow and Forney, 2007). shutdown. Navy lookouts will likely sonar source (approximately 140 m for As discussed previously, scientific detect a group of killer whales or short- the most powerful source) and the fact uncertainty exists regarding the finned pilot whales given their large

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individual size and mean large group B Harassment takes for all of these common dolphins, 12 northern right size (6.5 and 22.5, respectively). species were predicted to be in the form whale dolphins, 9 Pacific white-sided Acoustic analysis predicts that neither of TTS, NMFS believes it is unlikely dolphins, 6 striped dolphins, and 2 of these species will be exposed to that all of the individuals estimated will Dall’s porpoises would be exposed to levels of sound or pressure from incur TTS because of the distance sound or pressure from explosives at explosives that would be expected to within which they would have to levels expected to result in TTS. For the result in any form of take. No areas of approach the active sonar source same reasons listed above, NMFS specific importance for reproduction or (approximately 140 m for the most anticipates that the Navy watchstanders feeding for beaked whales have been powerful source), the fact that many would likely detect these species and identified in the SOCAL Range animals will likely avoid active sonar implement the mitigation to avoid Complex. sources to some degree, and the exposure. However, the range to TTS for The low density of killer whales in likelihood that Navy monitors would a few of the larger explosives is larger California consists primarily of detect these animals prior to an than the associated exclusion zones for individuals from the Offshore Eastern approach within this distance and BOMBEX, MISSILEX, or SINKEX (see North Pacific stock and the Transient implement active sonar powerdown or Table 3), and therefore NMFS stock (as mentioned previously, shutdown. Navy lookouts will likely anticipates that TTS might not be individuals from the eastern north detect a group of dolphins given their entirely avoided during those exercises, Pacific southern resident stock are not relatively short dives, gregarious so NMFS estimates that up to half of the expected to be encountered in SOCAL). behavior, and large average group size. estimated explosive detonation TTS The combined population of these three However, the Navy’s proposed takes of dolphins might occur. stocks is estimated at 1,340 (Caretta et mitigation has a provision that allows Acoustic analysis also predicted that al., 2007). Population size of the the Navy to continue operation of MFAS 1 long-beaked dolphin, 1 Risso’s California/Oregon/Washington stock of if the animals are clearly bow-riding dolphin, and 12 short-beaked common the short-finned pilot whale is estimated even after the Navy has initially dolphins might be exposed to sound or at 350 (Barlow and Forney 2007). maneuvered to try and avoid closing pressure from explosive detonations Pygmy killer, false killer, and melon- with the animals. Since these animals that would result in PTS or injury, and headed whales are considered rare in sometimes bow-ride and could that 4 short-beaked common dolphins the SOCAL Range Complex and no potentially be exposed to levels would be exposed to levels that would stocks have been designated for these associated with TTS as they approach or result in mortality. For the same reasons species on the west coast of the U.S. depart from bow-riding, we estimate listed above (group size, dive and social NMFS and the Navy do not anticipate that half or less of the number of behavior), NMFS anticipates that the take of this species occurring, but NMFS animals modeled for MFAS/HFAS TTS Navy watchstanders would detect these is proposing to authorize 20 Level B would sustain TTS (see table 9). As species and implement the mitigation Harassment takes for each of these mentioned above and indicated in Table measures to avoid exposure. In the case species annually to ensure MMPA 12, some dolphin vocalizations might of all explosive exercises, the exclusion compliance should the Navy overlap with the MFAS/HFAS TTS zones are 2–12 times larger than the unexpectedly encounter an individual frequency range (2–20 kHz), which estimated distance at which an animal of this species while operating MFAS/ could potentially temporarily decrease would be exposed to injurious sounds HFAS. an animal’s sensitivity to the calls of or pressure waves. Therefore, no takes conspecifics or returning echolocation Dolphins and Dall’s Porpoise by injury or death are anticipated or signals. However, as noted previously, authorized. The acoustic analysis predicts that the NMFS does not anticipate TTS of a long following numbers of Level B behavioral duration or severe degree to occur as a No areas of specific importance for harassments of the associated species result of exposure to MFA/HFAS. reproduction or feeding for dolphins will occur: 1472 (bottlenose dolphins), The acoustic analysis also predicted have been identified in the SOCAL 4583 (long-beaked common dolphin), that 1 long-beaked common dolphin, 6 Range Complex. Table 13 shows the 39404 (short-beaked common dolphin), short-beaked common dolphins, and 1 estimated abundance of the affected 1503 (northern right whale dolphin), striped dolphin would be exposed to stocks of dolphins and Dall’s porpoise. 1360 (Pacific white-sided dolphin), MFAS/HFAS sound levels that would Pantropical spotted, rough-toothed, 1830 (striped dolphin), 622 (Dall’s result in Level A Harassment (PTS— and spinner dolphins are considered porpoise). This estimate represents the injury). However, for the same reasons rare in the SOCAL Range Complex and total number of exposures and not listed above for TTS (and because no stocks have been designated for these necessarily the number of individuals animals would need to approach within species on the west coast of the U.S. exposed, as a single individual may be 10 m of the sonar dome), NMFS does NMFS and the Navy do not anticipate exposed multiple times over the course not believe that any animals will incur take of this species occurring, but NMFS of a year. PTS or be otherwise injured by MFAS/ is proposing to authorize 20 Level B Although a portion (191 (bottlenose HFAS. Of note, the directionality of the Harassment takes for each of these dolphins), 432 (long-beaked common sonar dome is such that dolphins would species annually to ensure MMPA dolphin), 3727 (short-beaked common not likely be exposed to injurious levels compliance should the Navy dolphin), 166 (northern right whale of sound while bow-riding. unexpectedly encounter an individual dolphin), 189 (Pacific white-sided Acoustic analysis also predicted that of this species while operating MFAS/ dolphin), 249 (striped dolphin), 88 10 bottlenose dolphins, 41 long-beaked HFAS. (Dall’s porpoise)) of the modeled Level common dolphins, 354 short-beaked BILLING CODE 3510–22–P

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BILLING CODE 3510–22–C Level B Harassment takes for all of these elephant seals typically dive for longer Pinnipeds (Guadalupe fur seal, species were predicted to be in the form periods (20–30 minutes) and only spend Northern fur seal, California sea lion, of TTS. For Guadalupe fur seals, about 10 percent of their time at the Northern elephant seal, and Pacific Northern fur seals, and California sea surface, some animals will likely not be harbor seal). lions, for which the TTS threshold is detected by Navy monitors and will The Navy’s acoustic analysis predicts 206 dB SEL, NMFS believes it is likely incur TTS. Also of note though, that the following numbers of Level B unlikely that any of these pinnipeds elephant seals make extensive foraging behavioral harassments of the associated species will occur: 1064 (Guadalupe fur will incur TTS because of the distance migrations to the North Pacific and Gulf seal), 1229 (Northern fur seal), 55443 within which they would have to of Alaska outside of SOCAL returning (California sea lion), 955 (northern approach the MFAS source two times a year California haul-out elephant seal), and 5625 (Pacific harbor (approximately 40 m for the most sites for breeding and molting. Northern seal). This estimate represents the total powerful source for), the fact that many elephant seals would not be exposed number of exposures and not animals will likely avoid active sonar during the times they are foraging necessarily the number of individuals sources to some degree, and the outside of SOCAL (Stewart and DeLong exposed, as a single individual may be likelihood that Navy monitors would 1995, Le Boeuf et al., 2000, Crocker et exposed multiple times over the course detect these pinnipeds (because of the al., 2006, Bearzi et al., 2008). NMFS of a year. relatively short duration of their dives estimates that less than half of the A portion (190 Guadalupe fur seal, 3 and their tendency to rest near the estimated elephant seal TTS takes may Northern fur seal, 3 California sea lion, surface) prior to an approach within this occur (0–3). Though harbor seals have 5 northern elephant seal, and 4559 distance and implement active sonar generally short dive times, they are Pacific harbor seal) of the modeled powerdown or shutdown. Because smaller (harder to see) and the TTS

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threshold for this species is in the form of TTS (20–41 elephant 101(a)(5)(A) of the MMPA for SOCAL substantively lower (183 dB SEL), seals, 13–26 harbor seals). activities. Consultation will be which means that they can be exposed Acoustic analysis also predicted that concluded prior to a determination on to levels expected to result in TTS at a 20 pinnipeds might be exposed to levels the issuance of the final rule and an substantially larger distance from the of sound or pressure from explosives LOA. that would result in PTS or other injury source (approximately 1650 m). NEPA Therefore, though some TTS takes will and that 7 pinnipeds mortalities would likely be avoided through mitigation result from explosive detonations. NMFS has participated as a implementation, NMFS estimates that NMFS anticipates that the Navy cooperating agency on the Navy’s Draft more than half of the estimated TTS watchstanders would likely detect these Environmental Impact Statement (DEIS) takes will still actually occur (2280– species and implement the mitigation for SOCAL, which was published on 4559). As mentioned above and measures to avoid exposure. In the case April 4, 2008. The Navy’s DEIS is indicated in Table 12, some pinniped of all explosive exercises, the exclusion posted on NMFS’ Web site: http:// vocalizations might overlap with the zones are 2–12 times larger than the www.nmfs.noaa.gov/pr/permits/ MFAS/HFAS TTS frequency range estimated distance at which an animal incidental.htm. NMFS intends to adopt (2–20 kHz), which could potentially would be exposed to injurious sounds the Navy’s Final EIS (FEIS), if adequate temporarily decrease an animal’s or pressure waves. Therefore, no takes and appropriate. Currently, we believe sensitivity to the calls of conspecifics or by injury or death are anticipated or that the adoption of the Navy’s FEIS returning echolocation signals. authorized. Table 13 shows the will allow NMFS to meet its However, as noted previously, NMFS estimated abundance of the affected responsibilities under NEPA for the does not anticipate TTS of a long stocks of dolphins and Dall’s porpoise. issuance of an LOA for SOCAL. If the Navy’s FEIS is deemed not to be duration or severe degree to occur as a Preliminary Determination result of exposure to MFAS/HFAS. adequate, NMFS would supplement the Based on the analysis contained existing analysis to ensure that we The acoustic analysis also predicted herein of the likely effects of the comply with NEPA prior to the issuance that 9 Pacific harbor seals animal would specified activity on marine mammals of the final rule or LOA. be exposed to MFAS/HFAS sound and their habitat and dependent upon levels that would result in Level A Classification the implementation of the mitigation Harassment (PTS—injury). However, and monitoring measures, NMFS This action does not contain any because of the distance within which preliminarily finds that the total taking collection of information requirements they would have to approach the MFAS from Navy training exercises utilizing for purposes of the Paperwork source (approximately 50 m for the most MFAS/HFAS and underwater Reduction Act. powerful source for) and the fact that explosives in the SOCAL Range The Office of Management and Budget animals will likely avoid active sonar Complex will have a negligible impact has determined that this proposed rule sources to some degree, NMFS does not on the affected species or stocks. NMFS is significant for purposes of Executive believe that any animals will incur PTS has proposed regulations for these Order 12866. or be otherwise injured by MFAS/ exercises that prescribe the means of Pursuant to the Regulatory Flexibility HFAS. affecting the least practicable adverse Act, the Chief Counsel for Regulation of Acoustic analysis also predicted that impact on marine mammals and their the Department of Commerce has 2 Guadalupe fur seals, 64 Northern fur habitat and set forth requirements certified to the Chief Counsel for seals, 510 California sea lions, 41 pertaining to the monitoring and Advocacy of the Small Business northern elephant seals, and 26 Pacific reporting of that taking. Administration that this rule, if harbor seals would be exposed to sound adopted, would not have a significant or pressure from explosives at levels Subsistence Harvest of Marine economic impact on a substantial expected to result in TTS. For the same Mammals number of small entities. The reasons listed above, NMFS anticipates NMFS has preliminarily determined Regulatory Flexibility Act requires that the Navy watchstanders would that the issuance of 5-year regulations Federal agencies to prepare an analysis likely detect the majority of the and subsequent LOAs for Navy training of a rule’s impact on small entities individual Guadalupe fur seals, exercises in the SOCAL Range Complex whenever the agency is required to northern fur seals, and California sea would not have an unmitigable adverse publish a notice of proposed lions and implement the mitigation impact on the availability of the affected rulemaking. However, a Federal agency measures to avoid exposure. However, species or stocks for subsistence use, may certify, pursuant to 5 U.S.C. section the range to TTS for a few of the larger since there are no such uses in the 605(b), that the action will not have a explosives is larger than the associated specified area. significant economic impact on a exclusion zones for BOMBEX, substantial number of small entities. MISSILEX, or SINKEX (see Table 3), ESA The Navy is the sole entity that will be therefore NMFS anticipates that TTS There are six marine mammal species affected by this rulemaking, not a small might not be entirely avoided during and six sea turtle species that are listed governmental jurisdiction, small those exercises, so NMFS estimates that as endangered under the ESA with organization or small business, as up to half of the TTS takes predicted by confirmed or possible occurrence in the defined by the Regulatory Flexibility the acoustic analysis might actually be study area: humpback whale, sei whale, Act (RFA). Any requirements imposed incurred (0–1 Guadalupe fur seals, 0–32 fin whale, blue whale, sperm whale, by a Letter of Authorization issued northern fur seals, and 0–255 California Guadalupe fur seal, loggerhead sea pursuant to these regulations, and any sea lions). NMFS estimates that of all of turtle, the green sea turtle, leatherback monitoring or reporting requirements the pinnipeds, fewer elephant seals and sea turtle, and the olive ridley sea turtle. imposed by these regulations, will be harbor seals would likely be detected, The Navy has begun consultation with applicable only to the Navy. NMFS does and therefore we estimate that a larger NMFS pursuant to section 7 of the ESA, not expect the issuance of these portion of predicted exposures of and NMFS will also consult internally regulations or the associated LOAs to elephant seals and harbor seals might be on the issuance of an LOA under section result in any impacts to small entities

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pursuant to the RFA. Because this lat.; 127°10′04″ W. long. and 24°00′01″ (J) AN/SSQ–110A (IEER explosive action, if adopted, would directly affect N. lat.; 125°00′03″ W. long. sonobuoy—5 lbs). the Navy and not a small entity, NMFS (c) The taking of marine mammals by (ii) Training Events: concludes the action would not result in the Navy is only authorized if it occurs (A) Surface-to-surface Gunnery a significant economic impact on a incidental to the following activities Exercises (S–S GUNEX)—up to 2,010 substantial number of small entities. within the designated amounts of use: exercises over the course of 5 years (an average of 402 per year). Dated: September 25, 2008. (1) The use of the following mid- frequency active sonar (MFAS) sources, (B) Air-to-surface Missile Exercises James Balsiger, high frequency active sonar (HFAS) (A–S MISSILEX)—up to 250 exercises Acting Assistant Administrator for Fisheries, sources for U.S. Navy anti-submarine over the course of 5 years (an average of National Marine Fisheries Service. warfare (ASW), mine warfare (MIW) 50 per year). For reasons set forth in the preamble, training, maintenance, or research, (C) Bombing Exercises (BOMBEX)— 50 CFR part 216 is proposed to be development, testing, and evaluation up to 200 exercises over the course of amended as follows: (RDT&E) in the amounts indicated 5 years (an average of 40 per year). ± (D) Sinking Exercises (SINKEX)—up PART 216—REGULATIONS below ( 10 percent): (i) AN/SQS–53 (hull-mounted active to 10 exercises over the course of 5 years GOVERNING THE TAKING AND sonar)—up to 9,885 hours over the (an average of 2 per year). IMPORTING OF MARINE MAMMALS (E) Extended Echo Ranging and course of 5 years (an average of 1,977 Improved Extended Echo Ranging (EER/ 1. The authority citation for part 216 hours per year). (ii) AN/SQS–56 (hull-mounted active IEER) Systems—up to 15 exercises over continues to read as follows: the course of 5 years (an average of 3 per sonar)—up to 2,470 hours over the year). Authority: 16 U.S.C. 1361 et seq. course of 5 years (an average of 494 2. Subpart X is added to part 216 to hours per year). § 216.271 Definitions. read as follows: (iii) AN/BQQ–10 (submarine active (a) The following definitions are sonar)—up to 4,075 hours over the Subpart X—Taking and Importing Marine utilized in these regulations: Mammals; U.S. Navy’s Southern California course of 5 years (an average of 815 (1) Uncommon Stranding Event Range Complex (SOCAL) hours per year) (an average of 2 pings (USE)—A stranding event that takes per hour during training events, 60 Sec. place during a major training exercise 216.270 Specified activity and specified pings per hour for maintenance). (MTE) and involves any one of the geographical region. (iv) AN/AQS–22 or 13 (active following: 216.271 Definitions. helicopter dipping sonar)—up to 13,595 (i) Two or more individuals of any 216.272 Permissible methods of taking. dips over the course of 5 years (an cetacean species (not including mother/ 216.273 Prohibitions. average of 2,719 dips per year—10 pings calf pairs, unless of species of concern 216.274 Mitigation. per dip). listed in § 216.271(b)(1)(ii) found dead 216.275 Requirements for monitoring and (v) SSQ–62 (Directional Command or live on shore within a two-day period reporting. Activated Sonobuoy System (DICASS) and occurring within 30 miles of one 216.276 Applications for Letters of sonobuoys)—up to 21,275 sonobuoys another. Authorization. over the course of 5 years (an average of (ii) A single individual or mother/calf 216.277 Letters of Authorization. 216.278 Renewal of Letters of Authorization 4,255 sonobuoys per year). pair of any of the following marine and adaptive management. (vi) MK–48 (heavyweight mammals of concern: Beaked whale of 216.279 Modifications to Letters of torpedoes)—up to 435 torpedoes over any species, dwarf or pygmy sperm Authorization. the course of 5 years (an average of 87 whales, short-finned pilot whales, Table 1 to Subpart X—‘‘Summary of torpedoes per year). humpback whales, sperm whales, blue monitoring effort proposed in draft (vii) AN/BQQ–15 (submarine whales, fin whales, or sei whales. Monitoring Plan for SOCAL’’ navigational sonar)—up to 610 hours (iii) A group of 2 or more cetaceans over the course of 5 years (an average of of any species exhibiting indicators of Subpart X—Taking and Importing 122 hours per year). distress as defined in § 216.271(b)(3). Marine Mammals; U.S. Navy’s (viii) MK–46 (lightweight (2) Shutdown—The cessation of Southern California Range Complex torpedoes)—up to 420 torpedoes over MFAS/HFAS operation or detonation of (SOCAL) the course of 5 years (an average of 84 explosives within 14 nm of any live, in § 216.270 Specified activity and specified torpedoes per year). the water, animal involved in a USE. geographical region. (ix) AN/SLQ–25A NIXIE—up to 1,135 (3) Exhibiting Indicators of Distress— hours over the course of 5 years (an Animals exhibiting an uncommon (a) Regulations in this subpart apply average of 227 hours per year). combination of behavioral and only to the U.S. Navy for the taking of (2) The detonation of the underwater physiological indicators typically marine mammals that occurs in the area explosives indicated in this paragraph associated with distressed or stranded outlined in paragraph (b) of this section (c)(2)(i) conducted as part of the training animals. This situation would be and that occur incidental to the exercises indicated in this paragraph identified by a qualified individual and activities described in paragraph (c) of (c)(2)(ii): typically includes, but is not limited to, this section. (i) Underwater Explosives: some combination of the following (b) The taking of marine mammals by (A) 5″; Naval Gunfire (9.5 lbs). characteristics: the Navy is only authorized if it occurs (B) 76 mm rounds (1.6 lbs). (i) Marine mammals continually within the SOCAL Range Complex (as (C) Maverick (78.5 lbs). circling or moving haphazardly in a depicted in Figure ES–1 in the Navy’s (D) Harpoon (448 lbs). tightly packed group—with or without a Draft Environmental Impact Statement (E) MK–82 (238 lbs). member occasionally breaking away and for SOCAL), which extends southwest (F) MK–83 (574 lbs). swimming towards the beach. from southern California in an (G) MK–84 (945 lbs). (ii) Abnormal respirations including approximately 700 by 200 nm rectangle (H) MK–48 (851 lbs). increased or decreased rate or volume of with the seaward corners at 27°30′00″ N. (I) Demolition Charges (20 lbs). breathing, abnormal content or odor.

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(iii) Presence of an individual or (ii) Odontocetes: (b) Take any marine mammal group of a species that has not (A) Sperm whales (Physeter specified in § 216.272(c) other than by historically been seen in a particular macrocephalus)—148. incidental take as specified in habitat, for example a pelagic species in (B) Pygmy sperm whales (Kogia § 216.272(c)(1) and (c)(2); a shallow bay when historic records breviceps)—159. (c) Take a marine mammal specified indicate that it is a rare event. (C) Dwarf sperm whale (Kogia sima)— in § 216.272(c) if such taking results in (iv) Abnormal behavior for that 20. more than a negligible impact on the species, such as abnormal surfacing or (D) Mesoplodont beaked whales species or stocks of such marine swimming pattern, listing, and (Blainville’s, Hubb’s, Perrin’s, pygmy, mammal; or abnormal appearance. and ginkgo-toothed) (Mesoplodon (d) Violate, or fail to comply with, the (4) Major Training Exercise—MTEs, densirostris, M. carlhubbsi, M. perrini, terms, conditions, and requirements of within the context of the SOCAL M. peruvianus, M. ginkgodens)—131. these regulations or a Letter of Stranding Plan, include: (E) Cuvier’s beaked whales (Ziphius Authorization issued under §§ 216.106 (i) Composite Training Unit Exercise cavirostris)—428. and 216.277. (COMPTUEX)—3–4 events annually, 21 (F) Baird’s beaked whales (Berardius days per entire event. bairdii)—13. § 216.274 Mitigation. (ii) Joint Task Force Exercise (G) Unidentified beaked whales—97. (a) The activities identified in (JTFEX)—3–4 events annually, 10 days (H) Rough-toothed dolphin (Steno § 216.270(c) must be conducted in a per entire event. bredanensis)—20. manner that minimizes, to the greatest (iii) Ship Anti-submarine warfare (I) Bottlenose dolphin (Tursiops extent practicable, adverse impacts on (ASW) Readiness and Evaluation truncatus)—1,509. marine mammals and their habitats. (J) Pan-tropical spotted dolphin Measuring (SHAREM)—1 event (b) When conducting training, (Stenella attenuata)—20. annually, less than a week long. maintenance, or RDT&E activities and (K) Spinner dolphin (Stenella (iv) Sustainment Exercise—2 events utilizing the sound sources or annually, shorter than COMPTUEX. longirostris)—20. (L) Striped dolphin (Stenella explosives identified in § 216.270(c), the (v) Integrated ASW Course (IAC2)—4 mitigation measures contained in the events annually, 2 12-hour exercises coeruleoalba)—1,830. (M) Long-beaked common dolphin Letter of Authorization issued under over 2 days. §§ 216.106 and 216.277 must be (b) [Reserved] (Delphinus capensis)—4,622. (N) Risso’s dolphin (Grampus implemented. These mitigation § 216.272 Permissible methods of taking. griseus)—3,592. measures include, but are not limited to: (a) Under Letters of Authorization (O) Northern right whale dolphin (1) Navy’s General Maritime Measures issued pursuant to §§ 216.106 and (Lissodelphis borealis)—1,540. for All Training at Sea: 216.277, the Holder of the Letter of (P) Pacific white-sided dolphin (i) Personnel Training (for all Training Authorization (hereinafter ‘‘Navy’’) may (Lagenorhynchus obliquidens)—1,397. Types): incidentally, but not intentionally, take (Q) Short-beaked common dolphin (A) All commanding officers (COs), marine mammals within the area (Delphinus delphis)—39,441. executive officers (XOs), lookouts, described in § 216.270(b), provided the (R) Melon-headed whale Officers of the Deck (OODs), junior activity is in compliance with all terms, (Peponocephala electra)—20. OODs (JOODs), maritime patrol aircraft conditions, and requirements of these (S) Pygmy killer whale (Feresa aircrews, and Anti-submarine Warfare regulations and the appropriate Letter of attenuata)—20. (ASW)/Mine Warfare (MIW) helicopter (T) False killer whale (Pseudorca Authorization. crews shall complete the NMFS- (b) The activities identified in crassidens)—20. approved Marine Species Awareness (U) Killer whale (Orcinus orca)—7. § 216.270(c) must be conducted in a Training (MSAT) by viewing the U.S. (V) Short-finned pilot whale manner that minimizes, to the greatest Navy MSAT digital versatile disk (DVD). (Globicephala macrorynchus)—45. extent practicable, any adverse impacts All bridge lookouts shall complete both (W) Dall’s porpoise (Phocoenoides parts one and two of the MSAT; part on marine mammals and their habitat. dalli)—622. (c) The incidental take of marine two is optional for other personnel. (ii) Pinnipeds: (B) Navy lookouts shall undertake mammals under the activities identified (A) Northern elephant seal (Mirounga in § 216.270(c) is limited to the extensive training in order to qualify as angustirostris)—955. a watchstander in accordance with the following species, by the indicated (B) Pacific harbor seal (Phoca Lookout Training Handbook (Naval method of take and the indicated vitulina)—5,672. Education and Training Command number of times (estimated based on the (C) California sea lion (Zalophus [NAVEDTRA] 12968–D). authorized amounts of sound source californianus)—55,502. operation): (D) Northern fur seal (Callorhinus (C) Lookout training shall include on- (1) Level B Harassment (+/¥10 ursinus)—1,229. the-job instruction under the percent of the take estimate indicated (E) Guadelupe fur seal (Arctocephalus supervision of a qualified, experienced below): townsendi)—1,064. lookout. Following successful (i) Mysticetes: (2) Level A Harassment and/or completion of this supervised training (A) Humpback whale (Megaptera mortality of no more than 10 beaked period, lookouts shall complete the novaeangliae)—15. whales (total), of any of the species Personal Qualification Standard (B) Fin whale (Balaenoptera listed in § 216.272(c)(1)(ii)(D–F) over the Program, certifying that they have physalus)—167. course of the 5-year regulations. demonstrated the necessary skills (such (C) Blue whale (Balaenoptera as detection and reporting of partially musculus)—609. § 216.273 Prohibitions. submerged objects). Personnel being (D) Minke whale (Balaenoptera No person in connection with the trained as lookouts can be counted acutorostrata)—126. activities described in § 216.270 may: among required lookouts as long as (E) Gray whale (Eschrichtius (a) Take any marine mammal not supervisors monitor their progress and robustus)—5460. specified in § 216.272(c); performance.

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(D) Lookouts shall be trained in the are good indicators of marine mammals. command structure in order to facilitate most effective means to ensure quick Therefore, where these circumstances implementation of mitigation measures and effective communication within the are present, the Navy shall exercise if marine species are spotted. command structure in order to facilitate increased vigilance in watching for (ii) Lookout and Watchstander implementation of protective measures marine mammals. Responsibilities: if marine species are spotted. (J) Navy aircraft participating in (A) On the bridge of surface ships, (ii) Operating Procedures and exercises at sea shal conduct and there shall always be at least three Collision Avoidance: maintain, when operationally feasible people on watch whose duties include (A) Prior to major exercises, a Letter and safe, surveillance for marine observing the water surface around the of Instruction, Mitigation Measures mammals as long as it does not violate vessel. Message or Environmental Annex to the safety constraints or interfere with the (B) All surface ships participating in Operational Order shall be issued to accomplishment of primary operational ASW training events shall, in addition further disseminate the personnel duties. Marine mammal detections shall to the three personnel on watch noted training requirement and general marine be immediately reported to assigned previously, have at all times during the species protective measures. Aircraft Control Unit for further exercise at least two additional (B) COs shall make use of marine dissemination to ships in the vicinity of personnel on watch as marine mammal species detection cues and information the marine species as appropriate when lookouts. to limit interaction with marine species it is reasonable to conclude that the (C) Personnel on lookout and officers to the maximum extent possible course of the ship will likely result in on watch on the bridge shall have at consistent with safety of the ship. a closing of the distance to the detected least one set of binoculars available for (C) While underway, surface vessels marine mammal. each person to aid in the detection of shall have at least two lookouts with (K) All vessels shall maintain logs and marine mammals. binoculars; surfaced submarines shall records documenting training (D) On surface vessels equipped with have at least one lookout with operations should they be required for mid-frequency active sonar, pedestal binoculars. Lookouts already posted for event reconstruction purposes. Logs and mounted ‘‘Big Eye’’ (20x110) binoculars safety of navigation and man-overboard records will be kept for a period of 30 shall be present and in good working precautions may be used to fill this days following completion of a major order to assist in the detection of marine requirement. As part of their regular training exercise. mammals in the vicinity of the vessel. duties, lookouts will watch for and (2) Navy’s Measures for MFAS (E) Personnel on lookout shall employ report to the OOD the presence of Operations. visual search procedures employing a (i) Personnel Training (for MFAS marine mammals. scanning methodology in accordance (D) On surface vessels equipped with Operations): with the Lookout Training Handbook a multi-function active sensor, pedestal (A) All lookouts onboard platforms (NAVEDTRA 12968–D). mounted ‘‘Big Eye’’ (20x10) binoculars involved in ASW training events shall (F) After sunset and prior to sunrise, shall be properly installed and in good review the NMFS-approved Marine lookouts shall employ Night Lookouts working order to assist in the detection Species Awareness Training material Techniques in accordance with the of marine mammals in the vicinity of prior to use of mid-frequency active Lookout Training Handbook. the vessel. sonar. (E) Personnel on lookout shall employ (B) All COs, XOs, and officers (G) Personnel on lookout shall be visual search procedures employing a standing watch on the bridge shall have responsible for reporting all objects or scanning methodology in accordance reviewed the Marine Species Awareness anomalies sighted in the water with the Lookout Training Handbook Training material prior to a training (regardless of the distance from the (NAVEDTRA 12968–D). event employing the use of mid- vessel) to the Officer of the Deck, since (F) After sunset and prior to sunrise, frequency active sonar. any object or disturbance (e.g., trash, lookouts shall employ Night Lookouts (C) Navy lookouts shall undertake periscope, surface disturbance, Techniques in accordance with the extensive training in order to qualify as discoloration) in the water may be Lookout Training Handbook. a watchstander in accordance with the indicative of a threat to the vessel and (NAVEDTRA 12968–D). Lookout Training Handbook (Naval its crew or indicative of a marine (G) While in transit, naval vessels Educational Training [NAVEDTRA], species that may need to be avoided as shall be alert at all times, use extreme 12968–D). warranted. caution, and proceed at a ‘‘safe speed’’ (D) Lookout training shall include on- (iii) Operating Procedures: so that the vessel can take proper and the-job instruction under the (A) A Letter of Instruction, Mitigation effective action to avoid a collision with supervision of a qualified, experienced Measures Message, or Environmental any marine animal and can be stopped watchstander. Following successful Annex to the Operational Order shall be within a distance appropriate to the completion of this supervised training issued prior to the exercise to further prevailing circumstances and period, lookouts shall complete the disseminate the personnel training conditions. Personal Qualification Standard requirement and general marine (H) When marine mammals have been program, certifying that they have mammal mitigation measures. sighted in the area, Navy vessels shall demonstrated the necessary skills (such (B) COs shall make use of marine increase vigilance and take reasonable as detection and reporting of partially species detection cues and information and practicable actions to avoid submerged objects). This does not forbid to limit interaction with marine species collisions and activities that might personnel being trained as lookouts to the maximum extent possible result in close interaction of naval assets from being counted as those listed in consistent with safety of the ship. and marine mammals. Actions may previous measures so long as (C) All personnel engaged in passive include changing speed and/or direction supervisors monitor their progress and acoustic sonar operation (including and are dictated by environmental and performance. aircraft, surface ships, or submarines) other conditions (e.g., safety, weather). (E) Lookouts shall be trained in the shall monitor for marine mammal (I) Floating weeds and kelp, algal most effective means to ensure quick vocalizations and report the detection of mats, clusters of seabirds, and jellyfish and effective communication within the any marine mammal to the appropriate

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watch station for dissemination and (4) Special conditions applicable for zone for marine mammals prior to appropriate action. dolphins and porpoises only: If, after commencement and during the exercise (D) During mid-frequency active sonar conducting an initial maneuver to avoid as long as practicable. operations, personnel shall utilize all close quarters with dolphins or (E) The exercise shall be conducted available sensor and optical systems porpoises, the OOD concludes that only when the buffer zone is visible and (such as night vision goggles) to aid in dolphins or porpoises are deliberately marine mammals are not detected the detection of marine mammals. closing to ride the vessel’s bow wave, no within it. (E) Navy aircraft participating in further mitigation actions are necessary (ii) Surface-to-Surface Gunnery (non- exercises at sea shall conduct and while the dolphins or porpoises explosive rounds) maintain, when operationally feasible continue to exhibit bow wave riding (A) Lookouts shall visually survey for and safe, surveillance for marine species behavior. floating weeds and kelp, and algal mats. of concern as long as it does not violate (5) If the need for power-down should Intended impact will not be within 200 safety constraints or interfere with the arise as detailed in ‘‘Safety Zones’’ yds (183 m) of known or observed accomplishment of primary operational above, the Navy shall follow the floating weeds and kelp, and algal mats. duties. requirements as though they were (B) A 200-yd (183 m) radius buffer (F) Aircraft with deployed sonobuoys operating at 235 dB—the normal zone shall be established around the shall use only the passive capability of operating level (i.e., the first power- intended target. sonobuoys when marine mammals are down will be to 229 dB, regardless of at (C) From the intended firing position, detected within 200 yds (183 m) of the what level above 235 dB active sonar trained lookouts shall survey the buffer sonobuoy. was being operated). zone for marine mammals prior to (G) Marine mammal detections shall (I) Prior to startup or restart of active commencement and during the exercise be immediately reported to assigned sonar, operators will check that the as long as practicable. Aircraft Control Unit for further Safety Zone radius around the sound (D) If applicable, target towing vessels dissemination to ships in the vicinity of source is clear of marine mammals. shall maintain a lookout. If a marine the marine species as appropriate where (J) Active sonar levels (generally)— mammal is sighted in the vicinity of the it is reasonable to conclude that the Navy shall operate active sonar at the exercise, the tow vessel shall course of the ship will likely result in lowest practicable level, not to exceed immediately notify the firing vessel in a closing of the distance to the detected 235 dB, except as required to meet order to secure gunnery firing until the marine mammal. tactical training objectives. area is clear. (H) Safety Zones—When marine (K) Helicopters shall observe/survey (E) The exercise shall be conducted mammals are detected by any means the vicinity of an ASW training event only when the buffer zone is visible and (aircraft, shipboard lookout, or for 10 minutes before the first marine mammals are not detected acoustically) within or closing to inside deployment of active (dipping) sonar in within the target area and the buffer 1,000 yds (914 m) of the sonar dome the water. zone. (the bow), the ship or submarine shall (L) Helicopters shall not dip their (iii) Surface-to-Air Gunnery limit active transmission levels to at active sonar within 200 yds (183 m) of (explosive and non-explosive rounds) least 6 decibels (dB) below normal a marine mammal and shall cease (A) Vessels shall orient the geometry operating levels. pinging if a marine mammal closes of gunnery exercises in order to prevent (1) Ships and submarines shall within 200 yds (183 m) after pinging has debris from falling in the area of sighted continue to limit maximum begun. marine mammals. transmission levels by this 6-dB factor (M) Submarine sonar operators shall (B) Vessels will expedite the recovery until the animal has been seen to leave review detection indicators of close- of any parachute deploying aerial targets the area, has not been detected for 30 aboard marine mammals prior to the to reduce the potential for entanglement minutes, or the vessel has transited commencement of ASW training events of marine mammals. more than 2,000 yds (1829 m) beyond involving active mid-frequency sonar. (C) Target towing aircraft shall the location of the last detection. (3) Navy’s Measures for Underwater maintain a lookout. If a marine mammal (2) Should a marine mammal be Detonations is sighted in the vicinity of the exercise, detected within or closing to inside 500 (i) Surface-to-Surface Gunnery (5- the tow aircraft shall immediately notify yds (457 m) of the sonar dome, active inch, 76 mm, 57 mm, 20 mm, 25 mm the firing vessel in order to secure sonar transmissions shall be limited to and 30 mm explosive rounds) gunnery firing until the area is clear. at least 10-dB below the equipment’s (A) Lookouts shall visually survey for (iv) Air-to-Surface Gunnery (explosive normal operating level. Ships and floating weeds and kelp. Intended and non-explosive rounds) submarines shall continue to limit impact shall not be within 600 yds (585 (A) If surface vessels are involved, maximum ping levels by this 10-dB m) of known or observed floating weeds lookouts will visually survey for floating factor until the animal has been seen to and kelp, and algal mats. kelp in the target area. Impact shall not leave the area, has not been detected for (B) For exercises using targets towed occur within 200 yds (183 m) of known 30 minutes, or the vessel has transited by a vessel or aircraft, target-towing or observed floating weeds and kelp or more than 2,000 yds (1829 m) beyond vessels/aircraft shall maintain a trained algal mats. the location of the last detection. lookout for marine mammals. If a (B) A 200 yd (183 m) radius buffer (3) Should the marine mammal be marine mammal is sighted in the zone shall be established around the detected within or closing to inside 200 vicinity, the tow aircraft/vessel shall intended target. yds (183 m) of the sonar dome, active immediately notify the firing vessel, (C) If surface vessels are involved, sonar transmissions shall cease. Sonar which shall suspend the exercise until lookout(s) shall visually survey the shall not resume until the animal has the area is clear. buffer zone for marine mammals prior to been seen to leave the area, has not been (C) A 600-yard radius buffer zone and during the exercise. detected for 30 minutes, or the vessel shall be established around the intended (D) Aerial surveillance of the buffer has transited more than 2,000 yds (1829 target. zone for marine mammals shall be m) beyond the location of the last (D) From the intended firing position, conducted prior to commencement of detection. trained lookouts shall survey the buffer the exercise. Aerial surveillance altitude

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of 500 feet to 1,500 feet (ft) (152—456 to those species. These exclusion zones target drift, and animal movements. m) is optimum. Aircraft crew/pilot shall shall extend in a 700-yard arc radius Additionally, a safety zone, which maintain visual watch during exercises. around the detonation site. extends from the exclusion zone at 1.0 Release of ordnance through cloud (B) Pre-Exercise Surveys—For nm out an additional 0.5 nm, shall be cover is prohibited: Aircraft must be Demolition and Ship Mine surveyed. Together, the zones extend able to actually see ordnance impact Countermeasures Operations, pre- out 2 nm from the target. areas. exercise survey shall be conducted (D) A series of surveillance over- (E) The exercise shall be conducted within 30 minutes prior to the flights shall be conducted within the only if marine mammals and are not commencement of the scheduled exclusion and the safety zones, prior to visible within the buffer zone. explosive event. The survey may be and during the exercise, when feasible. (v) Small Arms Training (grenades, conducted from the surface, by divers, Survey protocol shall be as follows: explosive and non-explosive rounds)— and/or from the air, and personnel shall (1) Overflights within the exclusion Lookouts will visually survey for be alert to the presence of any marine zone shall be conducted in a manner floating weeds or kelp, algal mats, and mammal. Should such an animal be that optimizes the surface area of the marine mammals. Weapons shall not be present within the survey area, the water observed. This may be fired in the direction of known or exercise shall be paused until the accomplished through the use of the observed floating weeds or kelp, algal animal voluntarily leaves the area. The Navy’s Search and Rescue Tactical Aid, mats, or marine mammals. Navy shall suspend detonation exercises which provides the best search altitude, (vi) Air-to-Surface At-sea Bombing and ensure the area is clear for a full 30 ground speed, and track spacing for the Exercises (explosive and non-explosive): minutes prior to detonation. Personnel discovery of small, possibly dark objects (A) If surface vessels are involved, shall record any marine mammal in the water based on the environmental trained lookouts shall survey for floating observations during the exercise. conditions of the day. These kelp and marine mammals. Ordnance (C) Post-Exercise Surveys—Surveys environmental conditions include the shall not be targeted to impact within within the same radius shall also be angle of sun inclination, amount of 1,000 yds (914 m) of known or observed conducted within 30 minutes after the daylight, cloud cover, visibility, and sea floating kelp or marine mammals. completion of the explosive event. state. (B) A 1,000 yd (914 m) radius buffer (D) Reporting—If there is evidence (2) All visual surveillance activities zone shall be established around the that a marine mammal may have been shall be conducted by Navy personnel intended target. stranded, injured or killed by the action, trained in visual surveillance. At least (C) Aircraft shall visually survey the Navy training activities shall be one member of the mitigation team target and buffer zone for marine immediately suspended and the would have completed the Navy’s mammals prior to and during the situation immediately reported by the marine mammal training program for exercise. The survey of the impact area participating unit to the Officer in lookouts. shall be made by flying at 1,500 ft (152 Charge of the Exercise (OCE), who will (3) In addition to the overflights, the m) or lower, if safe to do so, and at the follow Navy procedures for reporting exclusion zone shall be monitored by slowest safe speed. Release of ordnance the incident to Commander, Pacific passive acoustic means, when assets are through cloud cover is prohibited: Fleet, Commander, Navy Region available. This passive acoustic Aircraft must be able to actually see Southwest, Environmental Director, and monitoring would be maintained ordnance impact areas. Survey aircraft the chain-of-command. The situation throughout the exercise. Potential assets should employ most effective search shall also be reported to NMFS (see include sonobuoys, which can be tactics and capabilities. Stranding Plan for details). utilized to detect any vocalizing marine (D) The exercise will be conducted (ix) Mining Operations—initial target mammals (particularly sperm whales) in only if marine mammals are not visible points shall be briefly surveyed prior to the vicinity of the exercise. The within the buffer zone. inert ordnance (no live ordnance used) sonobuoys shall be re-seeded as (vii) Air-to-Surface Missile Exercises release from an aircraft to ensure the necessary throughout the exercise. (explosive and non-explosive): intended drop area is clear of marine Additionally, passive sonar onboard (A) Ordnance shall not be targeted to mammals. To the extent feasible, the submarines may be utilized to detect impact within 1,800 yds (1646 m) of Navy shall retrieve inert mine shapes any vocalizing marine mammals in the known or observed floating kelp. dropped during Mining Operations. area. The OCE would be informed of (B) Aircraft shall visually survey the (x) Sink Exercise: any aural detection of marine mammals target area for marine mammals. Visual (A) All weapons firing shall be and would include this information in inspection of the target area shall be conducted during the period 1 hour the determination of when it is safe to made by flying at 1,500 (457 m) feet or after official sunrise to 30 minutes commence the exercise. lower, if safe to do so, and at slowest before official sunset. (4) On each day of the exercise, aerial safe speed. Firing or range clearance (B) Prior to conducting the exercise, surveillance of the exclusion and safety aircraft must be able to actually see remotely sensed sea surface temperature zones shall commence 2 hours prior to ordnance impact areas. Explosive maps shall be reviewed. SINKEX shall the first firing. ordnance shall not be targeted to impact not be conducted within areas where (5) The results of all visual, aerial, and within 1,800 yds (1646 m) of sighted strong temperature discontinuities are acoustic searches shall be reported marine mammals. present, thereby indicating the existence immediately to the OCE. No weapons (viii) Demolitions, Mine Warfare, and of oceanographic fronts. These areas launches or firing may commence until Mine Countermeasures (up to a 20-lb shall be avoided because concentrations the OCE declares the safety and charge): of some listed species, or their prey, are exclusion zones free of marine (A) Exclusion Zones—All Mine known to be associated with these mammals. Warfare and Mine Countermeasures oceanographic features. (6) If a protected species observed Operations involving the use of (C) An exclusion zone with a radius within the exclusion zone is diving, explosive charges must include of 1.0 nm shall be established around firing shall be delayed until the animal exclusion zones for marine mammals to each target. An additional buffer of 0.5 is re-sighted outside the exclusion zone, prevent physical and/or acoustic effects nm shall be added to account for errors, or 30 minutes have elapsed. After 30

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minutes, if the animal has not been re- (A) Crews shall conduct visual each post as is done during active sighted it would be assumed to have left reconnaissance of the drop area prior to search operations. the exclusion zone. laying their intended sonobuoy pattern. (H) Aircrews shall only leave posts (7) During breaks in the exercise of 30 This search shall be conducted at an with unexploded charges in the event of minutes or more, the exclusion zone altitude below 457 m (500 yd) at a slow a sonobuoy malfunction, an aircraft shall again be surveyed for any speed, if operationally feasible and system malfunction, or when an aircraft protected species. If marine mammals weather conditions permit. In dual must immediately depart the area due to are sighted within the exclusion zone, aircraft operations, crews are allowed to issues such as fuel constraints, the OCE shall be notified, and the conduct coordinated area clearances. inclement weather, and in-flight procedure described above would be (B) Crews shall conduct a minimum emergencies. In these cases, the followed. of 30 minutes of visual and aural sonobuoy will self-scuttle using the (8) Upon sinking of the vessel, a final monitoring of the search area prior to secondary or tertiary method. surveillance of the exclusion zone shall commanding the first post detonation. (I) The Navy shall ensure all payloads be monitored for 2 hours, or until This 30-minute observation period may are accounted for. Explosive source sunset, to verify that no marine include pattern deployment time. sonobuoys (AN/SSQ–110A) that can not mammals were harmed. (C) For any part of the briefed pattern be scuttled shall be reported as (E) Aerial surveillance shall be where a post (source/receiver sonobuoy unexploded ordnance via voice conducted using helicopters or other pair) will be deployed within 914 m communications while airborne, then aircraft based on necessity and (1,000 yd) of observed marine mammal upon landing via naval message. (J) Mammal monitoring shall continue availability. The Navy has several types activity, the Navy shall deploy the until out of own-aircraft sensor range. of aircraft capable of performing this receiver ONLY and monitor while (4) The Navy shall abide by the letter task; however, not all types are available conducting a visual search. When of the ‘‘Stranding Response Plan for for every exercise. For each exercise, the marine mammals are no longer detected Major Navy Training Exercises in the available asset best suited for within 914 m (1,000 yd) of the intended SOCAL Range Complex’’ (available at: identifying objects on and near the post position, the Navy shall co-locate http://www.nmfs.noaa.gov/pr/permits/ surface of the ocean would be used. the explosive source sonobuoy (AN/ incidental.htm), to include the These aircraft would be capable of SSQ–110A) (source) with the receiver. following measures: flying at the slow safe speeds necessary (D) When able, Navy crews shall (i) Shutdown Procedures—When an to enable viewing of marine vertebrates conduct continuous visual and aural Uncommon Stranding Event (USE— with unobstructed, or minimally monitoring of marine mammal activity. defined in § 216.271) occurs during a obstructed, downward and outward This is to include monitoring of own- Major Training Exercise (MTE) (as visibility. The exclusion and safety zone aircraft sensors from first sensor defined in the Stranding Plan, meaning surveys may be cancelled in the event placement to checking off station and including Sustainment, SHAREM, IAC2, that a mechanical problem, emergency out of RF range of these sensors. JTFEX, or COMPTUEX) in the SOCAL search and rescue, or other similar and (E) Aural Detection—If the presence Range Complex, the Navy shall unexpected event preempts the use of of marine mammals is detected aurally, implement the procedures described one of the aircraft onsite for the then that shall cue the Navy aircrew to below. exercise. increase the diligence of their visual (A) The Navy shall implement a (F) Every attempt would be made to surveillance. Subsequently, if no marine Shutdown (as defined § 216.271) when conduct the exercise in sea states that mammals are visually detected, then the advised by a NMFS Office of Protected are ideal for marine mammal sighting, crew may continue multi-static active Resources Headquarters Senior Official Beaufort Sea State 3 or less. In the event search. designated in the SOCAL Stranding of a 4 or above, survey efforts shall be (F) Visual Detection—If marine Communication Protocol that a USE increased within the zones. This shall mammals are visually detected within involving live animals has been be accomplished through the use of an 914 m (1,000 yd) of the explosive source identified and that at least one live additional aircraft, if available, and sonobuoy (AN/SSQ–110A) intended for animal is located in the water. NMFS conducting tight search patterns. use, then that payload shall not be and the Navy shall communicate, as (G) The exercise shall not be detonated. Aircrews may utilize this needed, regarding the identification of conducted unless the exclusion zone post once the marine mammals have not the USE and the potential need to could be adequately monitored visually. been re-sighted for 30 minutes, or are implement shutdown procedures. (H) In the event that any marine observed to have moved outside the 914 (B) Any shutdown in a given area mammals are observed to be harmed in m (1,000 yd) safety buffer. Aircrews may shall remain in effect in that area until the area, a detailed description of the shift their multi-static active search to NMFS advises the Navy that the animal shall be taken, the location another post, where marine mammals subject(s) of the USE at that area die or noted, and if possible, photos taken. are outside the 914 m (1,000 yd) safety are euthanized, or that all live animals This information shall be provided to buffer. involved in the USE at that area have NMFS via the Navy’s regional (G) Aircrews shall make every attempt left the area (either of their own volition environmental coordinator for purposes to manually detonate the unexploded or herded). of identification (see the Stranding Plan charges at each post in the pattern prior (C) If the Navy finds an injured or for detail). to departing the operations area by dead marine mammal floating at sea (I) An after action report detailing the using the ‘‘Payload 1 Release’’ command during an MTE, the Navy shall notify exercise’s time line, the time the surveys followed by the ‘‘Payload 2 Release’’ NMFS immediately or as soon as commenced and terminated, amount, command. Aircrews shall refrain from operational security considerations and types of all ordnance expended, and using the ‘‘Scuttle’’ command when two allow. The Navy shall provide NMFS the results of survey efforts for each payloads remain at a given post. with species or description of the event shall be submitted to NMFS. Aircrews will ensure that a 914 m (1,000 animal (s), the condition of the animal (xi) Extended Echo Ranging/Improved yd) safety buffer, visually clear of (s) including carcass condition if the Extended Echo Ranging (EER/IEER): marine mammals, is maintained around animal(s) is/are dead), location, time of

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first discovery, observed behaviors (if § 216.275 Requirements for monitoring AARs and the annual reports) shall, at alive), and photo or video (if available). and reporting. a minimum, include the following Based on the information provided, (a) The Navy is required to cooperate information: NMFS shall determine if, and advise the with the NMFS, and any other Federal, (1) The estimated total number of Navy whether a modified shutdown is state or local agency monitoring the hours of active sonar operation and the appropriate on a case-by-case basis. impacts of the activity on marine types of sonar utilized in the exercise; (D) In the event, following a USE, mammals. (2) The total number of hours of that: (a) qualified individuals are (b) As outlined in the SOCAL observation effort (including attempting to herd animals back out to Stranding Communication Plan, the observation time when active sonar was the open ocean and animals are not Navy must notify NMFS immediately not operating), if obtainable; and; willing to leave, or (b) animals are seen (or as soon as clearance procedures (3) All marine mammal sightings (at repeatedly heading for the open ocean allow) if the specified activity identified any distance—not just within a but turning back to shore, NMFS and in § 216.270(b) is thought to have particular distance) to include, when the Navy shall coordinate (including an resulted in the mortality or injury of any possible, and if not classified: investigation of other potential marine mammals, or in any take of (i) Species, anthropogenic stressors in the area) to marine mammals not identified in (ii) Number of animals sighted, determine if the proximity of MFAS/ § 216.270(c). (iii) Geographic location of marine HFAS training activities or explosive (c) The Navy must conduct all mammal sighting, detonations, though farther than 14 nm monitoring and/or research required (iv) Distance of animal from any ship from the distressed animal(s), is likely under the Letter of Authorization with observers, decreasing the likelihood that the including abiding by the letter of the (v) Whether animal is fore, aft, port, animals return to the open water. If so, SOCAL Monitoring Plan, which requires or starboard, NMFS and the Navy shall further the Navy to implement, at a minimum, (vi) Direction of animal movement in coordinate to determine what measures the monitoring activities summarized in relation to boat (towards, away, are necessary to further minimize that Table 1 below (and described in more parallel), likelihood and implement those detail in the SOCAL Monitoring Plan, (vii) Any observed behaviors of measures as appropriate. which may be viewed at: http:// marine mammals. (ii) Within 72 hours of NMFS www.nmfs.noaa.gov/pr/permits/ (4) The status of any active sonar notifying the Navy of the presence of a incidental.htm). sources (what sources were in use) and USE, the Navy shall provide available (d) Report on Monitoring required in whether or not they were powered information to NMFS (per the SOCAL sub-paragraph (c) of this section—The down or shut down as a result of the Communication Protocol) regarding the Navy shall submit a report annually on marine mammal observation; and location, number and types of acoustic/ September 1 describing the (5) The platform that the marine explosive sources, direction and speed implementation and results (through mammals were initially sighted from. of units using MFAS/HFAS, and marine June 1 of the same year) of the (h) SOCAL Comprehensive Report— mammal sightings information monitoring required in paragraph c, The Navy shall submit to NMFS a draft associated with training activities above. Navy will standardize data report that analyzes and summarizes all occurring within 80 nm (148 km) and 72 collection methods across ranges to of the multi-year marine mammal hours prior to the USE event. allow for comparison in different information gathered during all training Information not initially available geographic locations. for which individual reports are regarding the 80 nm (148 km), 72 hours, (e) SINKEX, GUNEX, MISSILEX, required in § 216.175 (d through f). This period prior to the event shall be BOMBEX, Mine Warfare/ report shall be submitted at the end of provided as soon as it becomes Countermeasures, and Naval Surface the fourth year of the rule (November available. The Navy shall provide NMFS Fire Support—A yearly report detailing 2012), covering activities that have investigative teams with additional the exercise’s timelines, the time the occurred through June 1, 2012. relevant unclassified information as surveys commenced and terminated, (i) The Navy shall respond to NMFS requested, if available. amount, and types of all ordnance comments on the draft SOCAL (iii) Memorandum of Agreement expended, and the results of marine comprehensive report if NMFS provides (MOA)—The Navy and NMFS shall mammal survey efforts for each event the Navy with comments on the draft develop an MOA, or other mechanism will be submitted to NMFS. report within 3 months of receipt. The consistent with federal fiscal law (f) IEER exercises—A yearly report report shall be considered final after the requirements (and all other applicable detailing the number of exercises along Navy has addressed NMFS’ comments, laws), that allows the Navy to assist with the hours of associated marine or 3 months after the submittal of the NMFS with the Phase 1 and 2 mammal survey and associated marine draft if NMFS does not comment by Investigations of USEs through the mammal sightings, number of times then. provision of in-kind services, such as employment was delayed by marine (j) Comprehensive National Sonar (but not limited to) the use of plane/ mammal sightings, and the number of Report—By June 2014, the Navy shall boat/truck for transport of personnel total detonated charges and self-scuttled submit a draft National Report that involved in the stranding response or charges shall be submitted to NMFS. analyzes, compares, and summarizes the investigation or animals, use of Navy (g) MFAS/HFAS exercises—The Navy active sonar data gathered (through property for necropsies or burial, or shall submit an After Action Report to November 2013) from the watchstanders assistance with aerial surveys to discern the Office of Protected Resources, and pursuant to the implementation of the extent of a USE. The Navy may NMFS, within 120 days of the the Monitoring Plans for SOCAL, the assist NMFS with the Investigations by completion of any Major Training or Hawaii Range Complex (HRC), the providing one or more of the in-kind Integrated Unit-Level Exercise Southern California (SOCAL) Range services outlined in the MOA, when (Sustainment Exercise, IAC2, SHAREM, Complex, the Marianas Range Complex, available and logistically feasible and COMPTUEX, JTFEX). For other ASW and the Northwest Training Range. when the assistance does not negatively exercises, the Navy shall submit a yearly (k) The Navy shall respond to NMFS affect Fleet operational commitments. summary report. These reports (the comments on the draft comprehensive

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National Sonar report if NMFS provides undertaken and that there will not be a monitoring undertaken during the the Navy with comments on the draft substantial modification to the upcoming season will occur, or if NMFS report within 3 months of receipt. The described work, mitigation or utilizes the adaptive management report will be considered final after the monitoring undertaken during the mechanism addressed in paragraph (b) Navy has addressed NMFS’ comments, upcoming 12 months; of this section to modify or augment the or 3 months after the submittal of the (2) Receipt of the monitoring reports mitigation or monitoring measures, the draft if NMFS does not comment by and notifications within the indicated NMFS shall provide the public a period then. timeframes required under § 216.275(b of 30 days for review and comment on through j); and the request. Review and comment on § 216.276 Applications for Letters of (3) A determination by the NMFS that renewals of Letters of Authorization Authorization. the mitigation, monitoring and reporting would be restricted to: To incidentally take marine mammals measures required under § 216.274 and (1) New cited information and data pursuant to these regulations, the U.S. the Letter of Authorization issued under indicating that the determinations made Citizen (as defined by § 216.103) §§ 216.106 and 216.277, were in this document are in need of conducting the activity identified in undertaken and will be undertaken reconsideration, and § 216.270(c) (i.e., the Navy) must apply during the upcoming annual period of (2) Proposed changes to the mitigation for and obtain either an initial Letter of validity of a renewed Letter of and monitoring requirements contained Authorization in accordance with Authorization. in these regulations or in the current § 216.277 or a renewal under § 216.278. (b) Adaptive Management—Based on Letter of Authorization. § 216.277 Letter of Authorization. new information, NMFS may modify or (d) A notice of issuance or denial of augment the existing mitigation (a) A Letter of Authorization, unless a renewal of a Letter of Authorization measures if new data suggests that such suspended or revoked, will be valid for will be published in the Federal modifications would have a reasonable a period of time not to exceed the period Register. likelihood of reducing adverse effects to of validity of this subpart, but must be marine mammals and if the measures § 216.279 Modifications to Letters of renewed annually subject to annual are practicable. Similarly, NMFS may Authorization. renewal conditions in § 216.278. (a) Except as provided in paragraph (b) Each Letter of Authorization shall coordinate with the Navy to modify or (b) of this section, no substantive set forth: augment the existing monitoring modification (including withdrawal or (1) Permissible methods of incidental requirements if the new data suggest suspension) to the Letter of taking; that the addition of a particular measure (2) Means of effecting the least would likely fill in a specifically Authorization by NMFS, issued practicable adverse impact on the important data gap. The following are pursuant to §§ 216.106 and 216.277 and species, its habitat, and on the some possible sources of new and subject to the provisions of this subpart, availability of the species for applicable data: shall be made until after notification subsistence uses (i.e., mitigation); and (1) Results from the Navy’s and an opportunity for public comment (3) Requirements for mitigation, monitoring from the previous year has been provided. For purposes of this monitoring and reporting. (either from the SOCAL Range Complex paragraph, a renewal of a Letter of (c) Issuance and renewal of the Letter or other locations); Authorization under § 216.278, without of Authorization shall be based on a (2) Results from specific stranding modification (except for the period of determination that the total number of investigations (either from the SOCAL validity), is not considered a substantive marine mammals taken by the activity Range Complex or other locations, and modification. as a whole will have no more than a involving coincident MFAS/HFAS (b) If the Assistant Administrator negligible impact on the affected species training or not involving coincident use) determines that an emergency exists or stock of marine mammal(s). or NMFS’ long term prospective that poses a significant risk to the well- stranding investigation discussed in the being of the species or stocks of marine § 216.278 Renewal of Letters of preamble to this proposed rule; mammals specified in § 216.270(b), a Authorization and adaptive management. (3) Results from general marine Letter of Authorization issued pursuant (a) A Letter of Authorization issued mammal and sound research (funded by to §§ 216.106 and 216.277 may be under § 216.106 and § 216.177 for the the Navy or otherwise). substantively modified without prior activity identified in § 216.170(c) will be (c) If a request for a renewal of a Letter notification and an opportunity for renewed annually upon: of Authorization issued under public comment. Notification will be (1) Notification to NMFS that the §§ 216.106 and 216.278 indicates that a published in the Federal Register activity described in the application substantial modification to the within 30 days subsequent to the action. submitted under § 216.246 will be described work, mitigation or BILLING CODE 3510–22–P

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[FR Doc. E8–23618 Filed 10–10–08; 8:45 am] BILLING CODE 3510–22–C

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