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deference (NW Ecosystem Alliance v. Dated: July 30, 2013. Take Marine Mammals by Harassment USFWS, 475 F3d 1136 (2007); Center for Alan D. Risenhoover, Incidental to Conducing High- Biological Diversity v. Lohn, 296 F. Director, Office of Sustainable Fisheries, Frequency Sonar Testing Activities in Supp. 2d 1223 (W.D. Wash. 2003)); and performing the functions and duties of the the Naval Surface Warfare Center one court expressly addressed the issue Deputy Assistant Administrator for Panama City Division’’ and signed a raised here and upheld the Services’ Regulatory Programs National Marine Finding of No Significant Impact interpretation that a DPS of a subspecies Fisheries Service. (FONSI) on July 24, 2012, prior to the is a listable unit (Center for Biological [FR Doc. 2013–18824 Filed 8–2–13; 8:45 am] issuance of the IHA for the Navy’s Diversity v. USFWS, 274 Fed. Appx. BILLING CODE 3510–22–P activities in July 2012 to July 2013. This 542, n.5 (9th Cir. 2008)) (unpublished). notice and the documents it references For this reason also, we continue to provide all relevant environmental recognize the Southern Resident killer DEPARTMENT OF COMMERCE information and issues related to the whale DPS as a listable unit. Navy’s activities and the IHA. National Oceanic and Atmospheric In addition to delisting because of an Documents cited in this notice may also Administration error in the original classification, we be viewed, by appointment, during may also delist species based on RIN 0648–XC497 regular business hours, at the extinction or recovery. The petition did aforementioned address. Takes of Marine Mammals Incidental to not include any information on the FOR FURTHER INFORMATION CONTACT: Specified Activities; Navy Research, number of whales in the population, Howard Goldstein or Jolie Harrison, Development, Test and Evaluation threats, or risk of extinction. As part of Office of Protected Resources, NMFS, Activities at the Naval Surface Warfare the ESA listing of the Southern Resident 301–427–8401. killer whale DPS (70 FR 69903; Center Panama City Division SUPPLEMENTARY INFORMATION: November 18, 2005) we conducted an AGENCY: National Marine Fisheries analysis of the five ESA section 4(a)(1) Service (NMFS), National Oceanic and Background factors and concluded that the DPS was Atmospheric Administration (NOAA), Sections 101(a)(5)(A) and (D) of the in danger of extinction and listed it as Commerce. MMPA, as amended (16 U.S.C. endangered. While progress toward ACTION: 1361(a)(5)(D)), direct the Secretary of recovery has been achieved since the Notice; issuance of Incidental Take Authorization. Commerce (Secretary) to authorize, listing, as described in the 5-year upon request, the incidental, but not review, the status of the DPS remains as SUMMARY: In accordance with the intentional taking of small numbers of endangered. Since the 5-year review Marine Mammal Protection Act marine mammals by U.S. citizens who was completed, additional actions have (MMPA) regulations, notification is engage in a specified activity (other than been taken to address threats, such as hereby given that NMFS has issued an commercial fishing) if certain findings regulations to protect killer whales from Incidental Harassment Authorization are made and, if the taking is limited to vessel impacts (76 FR 20870; April 14, (IHA) to the U.S. Navy (Navy) to take harassment, a notice of a proposed 2011), completion of a scientific review marine mammals, by harassment, authorization is provided to the public of the effects of salmon fisheries on incidental to conducting research, for review. Southern Resident killer whales development, test and evaluation Authorization for incidental taking of (Hilborn, 2012), and ongoing technical (RDT&E) activities at the Naval Surface marine mammals shall be granted if working groups with the Environmental Warfare Center Panama City Division NMFS finds that the taking will have a Protection Agency to assess (NSWC PCD). negligible impact on the species or contaminant exposure. However, the DATES: Effective July 27, 2013, through stock(s), will not have an unmitigable population growth outlined in the July 26, 2014. adverse impact on the availability of the biological recovery criteria and some of ADDRESSES: A copy of the final IHA and species or stock(s) for subsistence uses the threats criteria have not been met. application are available by writing to P. (where relevant). The authorization We have no new information that would Michael Payne, Chief, Permits and must set forth the permissible methods change the recommendation in our 5- Conservation Division, Office of of taking and requirements pertaining to year review that the Southern Resident Protected Resources, National Marine the mitigation, monitoring and reporting killer whale DPS remain classified as Fisheries Service, 1315 East-West of such takings. NMFS has defined endangered (NMFS, 2011). Our Highway, Silver Spring, MD 20910 or by ‘‘negligible impact’’ in 50 CFR 216.103 determination that the Southern telephoning the contacts listed here. A as: ‘‘…an impact resulting from the Resident killer whale population copy of the application containing a list specified activity that cannot be constitutes a DPS under the ESA and of the references used in this document reasonably expected to, and is not previous conclusion that the DPS is in may be obtained by writing to the reasonably likely to, adversely affect the danger of extinction and should retain address specified above, telephoning the species or stock through effects on endangered status all support our contact listed below (see FOR FURTHER annual rates of recruitment or survival.’’ finding that the petitioned action to INFORMATION CONTACT), or visiting the The National Defense Authorization delist the Southern Resident killer Internet at: http://www.nmfs.noaa.gov/ Act of 2004 (NDAA) (Public Law 108– whale DPS is not warranted. pr/permits/incidental.htm#applications. 136) removed the ‘‘small numbers’’ and References Cited The Navy has prepared an ‘‘Overseas ‘‘specified geographical region’’ The complete citations for the Environmental Assessment Testing the limitations and amended the definition references used in this document can be An/AQS–20A Mine Reconnaissance of ‘‘harassment’’ as it applies to a obtained by contacting NMFS or on our Sonar System in the NSWC PCD Testing ‘‘military readiness activity’’ to read as Range, 2012–2014,’’ which is also follows (Section 3(18)(B) of the MMPA): Web page (See ADDRESSES and FOR available at the same internet address. (i) any act that injures or has the FURTHER INFORMATION CONTACT). NMFS has prepared an ‘‘Environmental significant potential to injure a marine Authority: 16 U.S.C. 1531 et seq. Assessment for the Issuance of an mammal or marine mammal stock in the Incidental Harassment Authorization to wild [Level A harassment]; or

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(ii) any act that disturbs or is likely to component, subsystem-level, and full- missions within the Q–20 study area. disturb a marine mammal or marine scale system testing in an operational These surface vessels serve as support mammal stock in the wild by causing environment. The need for the planned platforms for testing and would be disruption of natural behavioral activities is to support the timely utilized to carry test equipment and patterns, including, but not limited to, deployment of the Q–20 to the personnel to and from the test sites, and migration, surfacing, nursing, breeding, operational Navy for Mine are also used to secure and monitor the feeding, or sheltering, to a point where Countermeasure (MCM) activities designated test area. Normally, these such behavioral patterns are abandoned abroad, allowing the Navy to meet its vessels remain on site and return to port or significantly altered [Level B statutory mission to deploy naval forces following the completion of the test harassment]. equipped and trained to meet existing event; occasionally; however, they Section 101(a)(5)(D) of the MMPA and emergent threats worldwide and to occasionally remain on station established an expedited process by enhance its ability to operate jointly throughout the duration of the test cycle which citizens of the United States can with other components of the armed (a maximum of 10 hours of sonar per apply for an authorization to forces. Testing would include day) for guarding sensitive equipment in incidentally take small numbers of component, sub-system level, and full- the water. marine mammals by harassment. scale system testing in the operational Additional surface operations include Section 101(a)(5)(D) establishes a 45-day environment. tows, and vessel activity during time limit for NMFS’s review of an The planned activities are to test the deployment and recovery of equipment. application followed by a 30-day public Q–20 from the RMMV and from Tows involve either transporting the notice and comment period on any surrogate platforms such as a small system to the designated test area where proposed authorizations for the surface vessel or helicopter. The RMMV it is deployed and towed over a pre- incidental harassment of marine or surrogate platforms will be deployed positioned inert minefield or towing the mammals. Within 45 days of the close from the Navy’s new LCS or its system from shore-based facilities for of the public comment period, NMFS surrogates. The Navy is evaluating operation in the designated test area. must either issue or deny the potential environmental effects Surface vessels are also used to perform authorization. associated with the Q–20 test activities the deployment and recovery of the planned for the Q–20 study area (see Summary of Request RMMV, mine-like objects, and other test below for detailed description of the systems. Surface vessels that are used in On November 26, 2012, NMFS Study Area), which includes non- this manner normally return to port the received an application from the Navy territorial waters of Military Warning same day. However, this is test requesting that NMFS issue an IHA for Area 151 (W–151; includes Panama City dependent, and under certain the take, by Level B harassment only, of Operating Area [OPAREA]). Q–20 test circumstance the surface vessel may be marine mammals incidental to activities occur at sea in the waters required to remain on site for an conducting testing of the AN/AQS–20A present within the Q–20 study area and extended period of time. Mine Reconnaissance Sonar System do not involve any land-based facilities. (hereafter referred to as the Q–20) in the No hazardous waste is generated at sea Sonar Operations Naval Surface Warfare Center, Panama during Q–20 test activities. There are For the planned action, the Navy City Division (NSWC PCD) testing range two components associated with the Q– would test the Q–20 for up to 420 hours in the Gulf of Mexico (GOM) from July 20 test activities, which are addressed of active sonar use for 12 months 2013 through July 2014. The Q–20 sonar below: starting in July 2013. Q–20 sonar test activities are planned to be operations involve the testing of various Surface Operations conducted within the U.S. Exclusive sonar systems at sea as a means of Economic Zone (EEZ) seaward of the A significant portion of Q–20 test demonstrating the systems’ software territorial waters of the United States activities rely on surface operations (i.e., capability to detect, locate, and (beyond 22.2 kilometers [km] or 12 naval and contracted vessels, towed characterize mine-like objects under nautical miles [nmi]) in the GOM (see bodies, etc.) to successfully complete various environmental conditions. The Figure 2–1 of the Navy IHA the missions. The planned action data collected are used to validate the application). On June 6, 2013, NMFS includes up to 42 testing events lasting sonar systems’ effectiveness and published a notice in the Federal no more than 10 hours each (420 hours capability to meet its mission. Register (78 FR 34047) making cumulatively) of surface operations As sound travels through water, it preliminary determinations and during active sonar testing per year in creates a series of pressure disturbances proposing to issue an IHA. The notice the Q–20 study area. Other surface (see Appendix C of the IHA initiated a 30-day public comment operations occur when sonar is not application). Frequency is the number period. Additional information on the active. Three subcategories make up of complete cycles a sound or pressure demolition and construction activities at surface operations: support activities; wave occurs per unit of time (measured the Children’s Pool Lifeguard Station is tows; and vessel activity during in cycles per second, or Hertz (Hz)). The contained in the application which is deployment and recovery of equipment. Navy has characterized low-, mid-, or available upon request (see ADDRESSES). Testing requiring surface operations high-frequency active sonars as follows: may include a single test event (one day • Low-frequency active sonar Description of the Specified Activity of activity) or a series of test events (LFAS)—Below 1 kilohertz (kHz) (low- The purpose of the Navy’s activities is spread out over several days. The size frequency sound sources will not be to meet the developmental testing of the surface vessels varies in used during any Q–20 test operations); requirements of the Q–20 sonar system accordance with the test requirements • Mid-frequency active sonar by verifying its performance in a and vessel availability. Often multiple (LFAS)—From 1 to 10 kHz (mid- realistic ocean and threat environment surface craft are required to support a frequency source sources will not be and supporting its integration with the single test event. used during any Q–20 test operations); Remote Multi-Mission Vehicle (RMMV), The first subcategory of surface and and ultimately the Littoral Combat Ship operations is support activities that are • High-frequency active sonar (LCS). Testing would include required by nearly all of the Q–20 test (HFAS)—Above 10 kHz (only high-

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frequency sound sources would be used reference pressure unless noted between approximately 150 Hz and 160 during Q–20 test operations). otherwise. kHz. The Q–20 sonar systems planned to It is important to note that decibels • High-frequency cetaceans (eight be tested within the Q–20 study area underwater and decibels in air are not species of true porpoises, six species of ranges in frequencies from 35 kHz to the same and cannot be directly river dolphins, Kogia, the franciscana, greater than 200 kHz, therefore, these compared. To estimate a comparison and four species of cephalorhynchids): are HFAS systems. Those systems that between sound in air and underwater, Functional hearing is estimated to occur operate at very high frequencies (i.e., because of the different densities of air between approximately 200 Hz and 180 greater than 200 kHz), well above the and water and the different decibel kHz. hearing sensitivities of any marine standards (i.e., reference pressures) in • Pinnipeds in Water: Functional mammals, are not considered to affect water and air, a sound with the same hearing is estimated to occur between marine mammals. Therefore, they are intensity (i.e., power) in air and in water approximately 75 Hz and 75 kHz, with not included in this document. The would be approximately 63 dB lower in the greatest sensitivity between source levels associated with Q–20 air. Thus, a sound that is 160 dB loud approximately 700 Hz and 20 kHz. sonar systems that could affect marine underwater would have the same • Pinnipeds in Air: Functional mammals range from 207 decibels (dB) approximate effective intensity as a hearing is estimated to occur between re 1 micro pascal (mPa) at 1 meter (m) sound that is 97 dB loud in air. approximately 75 Hz and 30 kHz. to 212 dB re 1 mPa at 1 m. Operating Sound frequency is measured in Because ears adapted to function parameters of the Q–20 sonar systems cycles per second, or Hertz (abbreviated underwater are physiologically different can be found in Appendix A, Hz), and is analogous to musical pitch; from human ears, comparisons using ‘‘Supplemental Information for high-pitched sounds contain high decibel measurements in air would still Underwater Noise Analysis’’ of the frequencies and low-pitched sounds not be adequate to describe the effects Navy’s IHA application. contain low frequencies. Natural sounds of a sound on a whale. When sound in the ocean span a huge range of travels away from its source, its A Brief Background on Sound frequencies: from earthquake noise at 5 loudness decreases as the distance An understanding of the basic Hz to harbor porpoise clicks at 150,000 traveled (propagates) by the sound properties of underwater sound is Hz (150 kHz). These sounds are so low increases. Thus, the loudness of a sound necessary to comprehend many of the or so high in pitch that humans cannot at its source is higher than the loudness concepts and analyses presented in this even hear them; acousticians call these of that same sound a kilometer distant. document. A summary is included infrasonic and ultrasonic sounds, Acousticians often refer to the loudness below. Sound is a wave of pressure respectively. A single sound may be of a sound at its source (typically variations propagating through a made up of many different frequencies measured one meter from the source) as medium (for the sonar considered in together. Sounds made up of only a the source level and the loudness of this proposed rule, the medium is small range of frequencies are called sound elsewhere as the received level. marine water). Pressure variations are ‘‘narrowband,’’ and sounds with a broad For example, a humpback whale three created by compressing and relaxing the range of frequencies are called kilometers from an airgun that has a medium. Sound measurements can be ‘‘broadband;’’ airguns are an example of source level of 230 dB may only be expressed in two forms: intensity and a broadband sound source and tactical exposed to sound that is 160 dB loud, pressure. Acoustic intensity is the sonars are an example of a narrowband depending on how the sound average rate of energy transmitted sound source. propagates. As a result, it is important through a unit area in a specified When considering the influence of not to confuse source levels and direction and is expressed in watts per various kinds of sound on the marine received levels when discussing the square meter (W/m 2). Acoustic intensity environment, it is necessary to loudness of sound in the ocean. is rarely measured directly, it is derived understand that different kinds of As sound travels from a source, its from ratios of pressures; the standard marine life are sensitive to different propagation in water is influenced by reference pressure for underwater sound frequencies of sound. Based on available various physical characteristics, is 1 mPa; for airborne sound, the behavioral data, audiograms derived including water temperature, depth, standard reference pressure is 20 mPa using auditory evoked potential, salinity, and surface and bottom (Urick, 1983). anatomical modeling, and other data, properties that cause refraction, Acousticians have adopted a Southall et al. (2007) designate reflection, absorption, and scattering of logarithmic scale for sound intensities, ‘‘functional hearing groups’’ and sound waves. Oceans are not which is denoted in decibels (dB). estimate the lower and upper homogeneous and the contribution of Decibel measurements represent the frequencies of functional hearing of the each of these individual factors is ratio between a measured pressure value groups. Further, the frequency range in extremely complex and interrelated. and a reference pressure value (in this which each group’s hearing is estimated The physical characteristics that case 1 mPa or, for airborne sound, 20 as being most sensitive is represented in determine the sound’s speed through mPa). The logarithmic nature of the scale the flat part of the M-weighting the water will change with depth, means that each 10 dB increase is a functions developed for each group. The season, geographic location, and with tenfold increase in power (e.g., 20 dB is functional groups and the associated time of day (as a result, in actual sonar a 100-fold increase, 30 dB is a 1,000-fold frequencies are indicated below: operations, crews will measure oceanic increase). Humans perceive a 10-dB • Low-frequency cetaceans (13 conditions, such as sea water increase in noise as a doubling of sound species of mysticetes): Functional temperature and depth, to calibrate level, or a 10 dB decrease in noise as a hearing is estimated to occur between models that determine the path the halving of the sound level. The term approximately 7 Hz and 22 kHz. sonar signal will take as it travels ‘‘sound pressure level’’ implies a • Mid-frequency cetaceans (32 through the ocean and how strong the decibel measure and a reference species of dolphins, six species of larger sound signal will be at a given range pressure that is used as the denominator toothed whales, and 19 species of along a particular transmission path). As of the ratio. Throughout this document, beaked and bottlenose whales): sound travels through the ocean, the NMFS uses 1 mPa as a standard Functional hearing is estimated to occur intensity associated with the wavefront

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diminishes, or attenuates. This decrease Dates and Duration of the Specified 2013), as well as in this document, in intensity is referred to as propagation Activity NMFS does not believe that the Navy’s loss, also commonly called transmission The Q–20 study area includes target Q–20 testing activities would cause loss. and operational test fields located in W– injury, serious injury, or mortality to marine mammals, nor are those Metrics Used in This Document 151, an area within the GOM subject to military operations which also authorized under the IHA. The required This section includes a brief monitoring and mitigation measures encompasses the Panama City OPAREA explanation of the two sound that the Navy would implement during (see Figure 2–1 of the Navy’s IHA measurements (sound pressure level the Q–20 testing activities would further application). The Q–20 test activities (SPL) and sound exposure level (SEL)) reduce the adverse effect on marine will be conducted in the non-territorial frequently used in the discussions of mammals to the lowest levels waters off the United States (beyond acoustic effects in this document. practicable. NMFS anticipates only 22.2 km or 12 nmi) within the U.S. EEZ behavioral disturbance to occur during Sound Pressure Level in the GOM. The locations and the conduct of the Q–20 testing Sound pressure is the sound force per environments include: • activities. unit area, and is usually measured in Wide coastal shelf to 183 meters (m) microPa, where 1 Pa is the pressure [600 feet (ft)]. Description of Marine Mammals in the • resulting from a force of one newton Sea surface temperature range of 27 Area of the Specified Activity ° exerted over an area of one square degrees Celsius ( C) [80 degrees The marine mammal species that ° ° meter. SPL is expressed as the ratio of Fahrenheit ( F)] in summer to 10 C potentially occur within the GOM ° a measured sound pressure and a (50 F) in winter. Seasons are defined as include 28 species of cetaceans and one reference level. The commonly used December 23 through April 2 (winter) sirenian (Jefferson and Schiro, 1997; reference pressure level in underwater and July 2 through September 24 Wursig et al., 2000; see Table 1 below). acoustics is 1 mPa, and the units for (summer) (DON, 2007a). In addition to the 28 species known to • SPLs are dB re: 1 mPa. Mostly sandy bottom and good occur in the GOM, the long-finned pilot underwater visibility. whale (Globicephala melas), long- SPL (in dB) = 20 log (pressure/reference • pressure) Sea heights less than 0.91 m (3 ft) beaked common dolphin (Delphinus during 80 percent of the time in summer SPL is an instantaneous measurement capensis), and short-beaked common and 50 percent of the time in winter dolphin (Delphinus delphis) could and can be expressed as the peak, the (DON, 2009a). peak-peak, or the root mean square potentially occur there; however, there The Navy requests an IHA for a time are no confirmed sightings of these (rms). Root mean square, which is the period of one year beginning July 27, square root of the arithmetic average of species in the GOM, they have been 2013. A total of 42 Q–20 (RDT&E) test seen close and could eventually be the squared instantaneous pressure days would be conducted with a values, is typically used in discussions found there (Wursig et al., 2000). NMFS maximum sonar operation of 10 hours considers it unlikely that these three of the effects of sounds on vertebrates per a test day. and all references to SPL in this species would be exposed to sound from document refer to the root mean square. Comments and Responses the planned activities and potential impacts are thus discountable. Those SPL does not take the duration of a A notice of the proposed IHA for the three species are not considered further sound into account. SPL is the Navy’s NSWC PCD Q–20 testing in this document. The marine mammals applicable metric used in the risk activities was published in the Federal that generally occur in the action area continuum, which is used to estimate Register on June 6, 2013 (78 FR 34047). belong to three taxonomic groups: behavioral harassment takes (see Level During the 30-day public comment mysticetes (baleen whales), odontocetes B Harassment Risk Function [Behavioral period, NMFS received comments from (toothed whales), and sirenians (the Harassment] Section). the Marine Mammal Commission West Indian manatee). Of the marine Sound Exposure Level (Commission) and two individuals. The mammal species that potentially occur comments are online at: http:// SEL is an energy metric that integrates within the GOM, 21 species of cetaceans www.nmfs.noaa.gov/pr/permits/ the squared instantaneous sound (20 odontocetes, 1 mysticete) are incidental.htm. Following are their pressure over a stated time interval. The routinely present and have been substantive comments and NMFS’s units for SEL are dB re: 1 microPa2-s. included in the analysis for incidental responses: take to the Q–20 testing operations. SEL = SPL + 10 log (duration in Comment 1: The Commission Marine mammal species listed as seconds) recommends that NMFS issue the IHA, endangered under the U.S. Endangered As applied to tactical sonar, the SEL but condition it to require the Navy to Species Act of 1973 (ESA; 16 U.S.C. includes both the SPL of a sonar ping conduct its monitoring for at least 15 1531 et seq.), includes the North and the total duration. Longer duration minutes prior to the initiation of and for Atlantic right (Eubalaena glacialis), pings and/or pings with higher SPLs at least 15 minutes after the cessation of humpback (Megaptera novaeangliae), will have a higher SEL. If an animal is Q–20 testing activities. sei (Balaenoptera borealis), fin exposed to multiple pings, the SEL in Response: NMFS concurs with the (Balaenoptera physalus), blue each individual ping is summed to Commission’s recommendation and has (Balaenoptera musculus), and sperm calculate the total SEL. The total SEL included a requirement to this effect in (Physeter macrocephalus) whale, as depends on the SPL, duration, and the IHA issued to the Navy. well as the West Indian (Florida) number of pings received. The Comment 2: Two individuals oppose manatee (Trichechus manatus thresholds that NMFS uses to indicate at the issuance of the IHA to the Navy. The latirostris). Of those endangered species, what received level the onset of Navy is killing marine mammals and the none are likely to be encountered in the temporary threshold shift (TTS) and project should be defunded. study area. No species of pinnipeds are permanent threshold shift (PTS) in Response: As described in detail in known to occur regularly in the GOM hearing are likely to occur are expressed the Federal Register notice for the and any pinniped sighted in the study in SEL. proposed IHA (78 FR 34047, June 6, area would be considered extralimital.

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The Caribbean monk seal (Monachus Species sighted regularly in these waters km (54 nmi) of the Mississippi River tropicalis) used to inhabit the GOM, but include Risso’s, rough-toothed, spinner, delta (Davis et al., 2002). The North is considered extinct and has been striped, pantropical spotted, and Atlantic right, humpback, sei, fin, blue, delisted from the ESA. The U.S. Fish Clymene dolphins, as well as short- minke, and True’s beaked whale are and Wildlife Service (USFWS) has finned pilot, pygmy and dwarf sperm, considered extralimital and are jurisdiction and authority for managing sperm, Mesoplodon beaked, and excluded from further consideration of the West Indian manatee including unidentified beaked whales (Davis et impacts from the NSWC PCD Q–20 authorizing incidental take under both al., 1998). In contrast, continental shelf testing analysis. Table 1 (below) the MMPA and ESA. This species is waters (< 200 m deep) are primarily presents information on the abundance, thus not considered further in this inhabited by two species: bottlenose and distribution, population status, analysis. All other referenced species Atlantic spotted dolphins (Davis et al., conservation status, and population are subject to NMFS’s jurisdiction and 2000, 2002; Mullin and Fulling, 2004). trend of the species of marine mammals thus included in our analysis. Bottlenose dolphins are also found in that may occur in the study area during In general, cetaceans in the GOM deeper waters (Baumgartner et al., July 2013 to July 2014. appear to be partitioned by habitat 2001). The narrow continental shelf Table 1. The habitat, regional preferences likely related to prey south of the Mississippi River delta (20 abundance, and conservation status of distribution (Baumgartner et al., 2001). km [10.8 nmi] wide at its narrowest marine mammals that may occur in or Most species in the northern GOM point) appears to be an important near the Q–20 study area in the Gulf of concentrated along the upper habitat for several cetacean species Mexico (See text and Table 3–1, 3–2, continental slope in or near areas of (Baumgartner et al., 2001; Davis et al., and 3–3 in the Navy’s application for cyclonic circulation in waters 200 to 2002). There appears to be a resident further details). 1,000 m (656.2 to 3,280.8 ft) deep. population of sperm whales within 100 BILLING CODE 3510–22–P

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BILLING CODE 3510–22–C the Marine Resource Assessments implemented by the Commander, The information contained herein (MRAs). The Navy Marine Resources United States Fleet Forces Command, to relies heavily on the data gathered in Assessment (MRA) program was collect data and information on the

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protected and commercial marine marine mammal while conducting of the mitigation and monitoring resources found in the Navy OPAREAs. surface operations. In an effort to reduce measures described below, NMFS Specifically, the goal of the MRA the likelihood of a vessel strike, the believes that it is unlikely vessel strikes program is to describe and document mitigation and monitoring measures would occur. Consequently, because of the marine resources present in each of discussed below would be the nature of the surface operations and the Navy’s OPAREAs. As such, an MRA implemented. the size of the vessels, the mitigation was finalized in 2007 for the GOM, Collisions with commercial and U.S. and monitoring measures developed to which comprises three adjacent Navy vessels can cause major wounds minimize or avoid impacts of noise, and OPAREAs, one of which is the Panama and may occasionally cause fatalities to the fact that cetaceans typically more City OPAREA (DON, 2007a). marine mammals. The most vulnerable vulnerable to ship strikes are not likely The MRA represents a compilation marine mammals are those that spend to be in the project area, the NMFS and synthesis of available scientific extended periods of time at the surface concludes that ship strikes are unlikely literature (e.g., journals, periodicals, in order to restore oxygen levels within to occur in the Q–20 study area. theses, dissertations, project reports, their tissues after deep dives (e.g., the and other technical reports published by sperm whale). Laist et al. (2001) Acoustic Effects: Exposure to Sonar government agencies, private identified 11 species known to be hit by For activities involving active tactical businesses, or consulting firms) and ships worldwide. Of these species, fin sonar, NMFS’s analysis will identify the NMFS reports, including stock whales are struck most frequently; probability of lethal responses, physical assessment reports (SARs), recovery followed by right whales, humpback trauma, sensory impairment (permanent plans, and survey reports. The MRA whales, sperm whales, and gray whales. and temporary threshold shifts and summarize the physical environment More specifically, from 1975 through acoustic masking), physiological (e.g., marine geology, circulation and 1996, there were 31 dead whale responses (particular stress responses), currents, hydrography, and plankton strandings involving four large whales behavioral disturbance (that rises to the and primary productivity) for each test along the GOM coastline. Stranded level of harassment), and social area. In addition, an in-depth discussion animals included two sei whales, four responses that would be classified as of the biological environment (marine minke whales, eight Bryde’s whales, behavioral harassment or injury and/or mammals, sea turtles, fish, and EFH), as and 17 sperm whales. Only one of the would be likely to adversely affect the well as fishing grounds (recreational stranded animals, a sperm whale with species or stock through effects on and commercial) and other areas of propeller wounds found in Louisiana on annual rates of recruitment or survival. interest (e.g., maritime boundaries, March 9, 1990, was identified as In this section, we will focus navigable waters, marine managed stranding as a result of a possible ship qualitatively on the different ways that areas, recreational diving sites) are also strike (Laist et al., 2001). In addition, exposure to sonar signals may affect provided. Where applicable, the from 1999 through 2003, there was only marine mammals. Then, in the information contained in the MRA was one stranding involving a false killer ‘‘Estimated Take of Marine Mammals’’ used for analyses in this document. whale in the northern GOM (Alabama, section, NMFS will relate the potential Appendix A of the Navy’s IHA 1999) (Waring et al., 2006). According to effects on marine mammals from sonar application contains more information the 2010 Stock Assessment Report exposure to the MMPA regulatory about each marine mammal species (NMFS, 2011), during 2009 there was definitions of Level A and Level B potentially found in the Q–20 study one known Bryde’s whale mortality as harassment and attempt to quantify area. The GOM MRA also contains a result of a ship strike. Otherwise, no those effects. detailed information, with a species other marine mammal that is likely to Direct Physiological Effects description, status, habitat preference, occur in the northern GOM has been distribution, behavior and life history, reported as either seriously or fatally Based on the literature, there are two as well as information on its acoustics injured as a result of a ship strike from basic ways that Navy sonar might and hearing ability (DON, 2007a). A 1999 through 2009 (Waring et al., 2007). directly result in physical trauma or detailed description of marine mammal It is unlikely that activities in non- damage: Noise-induced loss of hearing density estimates and their distribution territorial waters will result in a ship sensitivity (more commonly-called in the Q–20 study area is provided in strike because of the nature of the ‘‘threshold shift’’) and acoustically the Navy’s Q–20 IHA application. operations and size of the vessels. For mediated bubble growth. Separately, an example, the hours of surface operations animal’s behavioral reaction to an Potential Effects on Marine Mammal take into consideration operation times acoustic exposure might lead to The Navy considers that the planned for multiple vessels during each test physiological effects that might Q–20 sonar testing activities in the Q– event. These vessels range in size from ultimately lead to injury or death, which 20 study area could potentially result in small Rigid Hull Inflatable Boat (RHIB) is discussed later in the Stranding harassment to marine mammals. to surface vessels of approximately 128 section. Although surface operations related to m (420 ft). The majority of these vessels Threshold Shift (Noise-Induced Loss of sonar testing involve ship movement in are small RHIBs and medium-sized Hearing) the vicinity of the Q–20 test area, NMFS vessels. A large proportion of the considers it unlikely that ship strike timeframe for the Q–20 test events When animals exhibit reduced could occur as analyzed below. include periods when ships remain hearing sensitivity (i.e., sounds must be stationary within the test site. louder for an animal to recognize them) Surface Operations The greatest time spent in transit for following exposure to a sufficiently Typical operations occurring at the tests includes navigation to and from intense sound, it is referred to as a surface include the deployment or the sites. At these times, the Navy noise-induced threshold shift (TS). An towing of mine countermeasures (MCM) follows standard operating procedures animal can experience temporary equipment, retrieval of equipment, and (SOPs). The captain and other crew threshold shift (TTS) or permanent clearing and monitoring for non- members keep watch during ship threshold shift (PTS). TTS can last from participating vessels. As such, the transits to avoid objects in the water. minutes or hours to days (i.e., there is potential exists for a ship to strike a Furthermore, with the implementation recovery), occurs in specific frequency

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ranges (e.g., an animal might only have papers on hearing impairments that can is supported by the surrounding a temporary loss of hearing sensitivity occur with exposure to a loud sound, environmental pressure (Ridgway and between the frequencies of 1 and 10 only a few studies provide empirical Howard, 1979). The deeper and longer kHz)), and can be of varying amounts information on the levels at which dives of some marine mammals (for (for example, an animal’s hearing noise-induced loss in hearing sensitivity example, beaked whales) are sensitivity might be reduced by only 6 occurs in nonhuman animals. For theoretically predicted to induce greater dB or reduced by 30 dB). PTS is cetaceans, published data are limited to supersaturation (Houser et al., 2001). If permanent (i.e., there is no recovery), the captive bottlenose dolphin and rectified diffusion were possible in but also occurs in a specific frequency beluga whale (Finneran et al., 2000, marine mammals exposed to high-level range and amount as mentioned in the 2002b, 2005a; Schlundt et al., 2000; sound, conditions of tissue TTS description. Nachtigall et al., 2003, 2004). supersaturation could theoretically The following physiological Marine mammal hearing plays a speed the rate and increase the size of mechanisms are thought to play a role critical role in communication with bubble growth. Subsequent effects due in inducing auditory TSs: Effects on conspecifics, and interpreting to tissue trauma and emboli would sensory hair cells in the inner ear that environmental cues for purposes such presumably mirror those observed in reduce their sensitivity, modification of as predator avoidance and prey capture. humans suffering from decompression the chemical environment within the Depending on the frequency range of sickness. sensory cells, residual muscular activity TTS degree (dB), duration, and It is unlikely that the short duration in the middle ear, displacement of frequency range of TTS, and the context of sonar pings would be long enough to certain inner ear membranes, increased in which it is experienced, TTS can drive bubble growth to any substantial blood flow, and post-stimulatory have effects on marine mammals size, if such a phenomenon occurs. reduction in both efferent and sensory ranging from discountable to serious Recent work conducted by Crum et al. neural output (Southall et al., 2007). (similar to those discussed in auditory (2005) demonstrated the possibility of The amplitude, duration, frequency, masking, below). For example, a marine rectified diffusion for short duration temporal pattern, and energy mammal may be able to readily signals, but at sound exposure levels distribution of sound exposure all affect compensate for a brief, relatively small and tissue saturation levels that are the amount of associated TS and the amount of TTS in a non-critical improbable to occur in a diving marine frequency range in which it occurs. As frequency range that takes place during mammal. However, an alternative but amplitude and duration of sound a time when the animal is traveling related hypothesis has also been exposure increase, so, generally, does through the open ocean, where ambient suggested: Stable bubbles could be the amount of TS. For continuous noise is lower and there are not as many destabilized by high-level sound sounds, exposures of equal energy (the competing sounds present. exposures such that bubble growth then same SEL) will lead to approximately Alternatively, a larger amount and occurs through static diffusion of gas equal effects. For intermittent sounds, longer duration of TTS sustained during out of the tissues. In such a scenario the less TS will occur than from a a time when communication is critical marine mammal would need to be in a continuous exposure with the same for successful mother/calf interactions gas-supersaturated state for a long energy (some recovery will occur could have more serious impacts. Also, enough period of time for bubbles to between exposures) (Kryter et al., 1966; depending on the degree and frequency become of a problematic size. Yet Ward, 1997). For example, one short but range, the effects of PTS on an animal another hypothesis (decompression loud (higher SPL) sound exposure may could range in severity, although it is sickness) has speculated that rapid induce the same impairment as one considered generally more serious ascent to the surface following exposure longer but softer sound, which in turn because it is a long term condition. Of to a startling sound might produce may cause more impairment than a note, reduced hearing sensitivity as a tissue gas saturation sufficient for the series of several intermittent softer simple function of development and evolution of nitrogen bubbles (Jepson et sounds with the same total energy aging has been observed in marine al., 2003; Fernandez et al., 2005). In this (Ward, 1997). Additionally, though TTS mammals, as well as humans and other scenario, the rate of ascent would need is temporary, very prolonged exposure taxa (Southall et al., 2007), so we can to be sufficiently rapid to compromise to sound strong enough to elicit TTS, or infer that strategies exist for coping with behavioral or physiological protections shorter-term exposure to sound levels this condition to some degree, though against nitrogen bubble formation. well above the TTS threshold, can cause likely not without cost. There is no Collectively, these hypotheses can be PTS, at least in terrestrial mammals empirical evidence that exposure to referred to as ‘‘hypotheses of (Kryter, 1985) (although in the case of Navy sonar can cause PTS in any acoustically mediated bubble growth.’’ Navy sonar, animals are not expected to marine mammals; instead the Although theoretical predictions be exposed to levels high enough or probability of PTS has been inferred suggest the possibility for acoustically durations long enough to result in PTS). from studies of TTS (see Richardson et mediated bubble growth, there is PTS is considered auditory injury al., 1995). considerable disagreement among (Southall et al., 2007). Irreparable scientists as to its likelihood (Piantadosi damage to the inner or outer cochlear Acoustically Mediated Bubble Growth and Thalmann, 2004; Evans and Miller, hair cells may cause PTS, however, One theoretical cause of injury to 2003). Crum and Mao (1996) other mechanisms are also involved, marine mammals is rectified diffusion hypothesized that received levels would such as exceeding the elastic limits of (Crum and Mao, 1996), the process of have to exceed 190 dB in order for there certain tissues and membranes in the increasing the size of a bubble by to be the possibility of significant middle and inner ears and resultant exposing it to a sound field. This bubble growth due to supersaturation of changes in the chemical composition of process could be facilitated if the gases in the blood (i.e., rectified the inner ear fluids (Southall et al., environment in which the ensonified diffusion). More recent work conducted 2007). bubbles exist is supersaturated with gas. by Crum et al. (2005) demonstrated the Although the published body of Repetitive diving by marine mammals possibility of rectified diffusion for scientific literature contains numerous can cause the blood and some tissues to short duration signals, but at SELs and theoretical studies and discussion accumulate gas to a greater degree than tissue saturation levels that are highly

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improbable to occur in diving marine an animal is trying to receive and the Impaired Communication mammals. To date, Energy Levels (ELs) masking noise, in addition to other In addition to making it more difficult predicted to cause in vivo bubble factors. In humans, significant masking for animals to perceive acoustic cues in formation within diving cetaceans have of tonal signals occurs as a result of their environment, anthropogenic sound not been evaluated (NOAA, 2002). exposure to noise in a narrow band of presents separate challenges for animals Although it has been argued that similar frequencies. As the sound level that are vocalizing. When they vocalize, traumas from some recent beaked whale increases, though, the detection of animals are aware of environmental strandings are consistent with gas frequencies above those of the masking conditions that affect the ‘‘active space’’ emboli and bubble-induced tissue stimulus also decreases. This principle of their vocalizations, which is the separations (Jepson et al., 2003), there is is also expected to apply to marine maximum area within which their no conclusive evidence of this (Hooker mammals because of common vocalizations can be detected before it et al., 2011). However, Jepson et al. biomechanical cochlear properties drops to the level of ambient noise (2003, 2005) and Fernandez et al. (2004, across taxa. (Brenowitz, 2004; Brumm et al., 2004; 2005) concluded that in vivo bubble Lohr et al., 2003). Animals are also formation, which may be exacerbated by Richardson et al. (1995) argued that aware of environmental conditions that deep, long duration, repetitive dives the maximum radius of influence of an affect whether listeners can discriminate may explain why beaked whales appear industrial noise (including broadband and recognize their vocalizations from to be particularly vulnerable to sonar low frequency sound transmission) on a other sounds, which are more important exposures. A recent review of evidence marine mammal is the distance from the than detecting a vocalization for gas-bubble incidence in marine source to the point at which the noise (Brenowitz, 1982; Brumm et al., 2004; mammal tissues suggest that diving can barely be heard. This range is Dooling, 2004; Marten and Marler, 1977; mammals vary their physiological determined by either the hearing responses according to multiple sensitivity of the animal or the Patricelli et al., 2006). Most animals that stressors, and that the perspective on background noise level present. vocalize have evolved an ability to make marine mammal diving physiology Industrial masking is most likely to vocal adjustments to their vocalizations should change from simply minimizing affect some species’ ability to detect to increase the signal-to-noise ratio, active space, and recognizability of their nitrogen loading to management of the communication calls and natural vocalizations in the face of temporary nitrogen load (Hooker et al., 2011). This sounds (i.e., surf noise, prey noise, etc.; changes in background noise (Brumm et suggests several avenues for further Richardson et al., 1995). al., 2004; Patricelli et al., 2006). study, ranging from the effects of gas The echolocation calls of odontocetes bubbles at molecular, cellular and organ Vocalizing animals will make one or (toothed whales) are subject to masking function levels, to comparative studies more of the following adjustments to by high frequency sound. Human data relating the presence/absence of gas their vocalizations: Adjust the frequency indicate low-frequency sound can mask bubbles to diving behavior. More structure; adjust the amplitude; adjust information regarding hypotheses that high-frequency sounds (i.e., upward temporal structure; or adjust temporal attempt to explain how behavioral masking). Studies on captive delivery. responses to Navy sonar can lead to odontocetes by Au et al. (1974, 1985, Many animals will combine several of strandings is included in the 1993) indicate that some species may these strategies to compensate for high ‘‘Behaviorally Mediated Bubble use various processes to reduce masking levels of background noise. Growth’’ section, after the summary of effects (e.g., adjustments in echolocation Anthropogenic sounds that reduce the strandings. call intensity or frequency as a function signal-to-noise ratio of animal of background noise conditions). There vocalizations, increase the masked Acoustic Masking is also evidence that the directional auditory thresholds of animals listening Marine mammals use acoustic signals hearing abilities of odontocetes are for such vocalizations, or reduce the for a variety of purposes, which differ useful in reducing masking at the high active space of an animal’s vocalizations among species, but include frequencies these cetaceans use to impair communication between communication between individuals, echolocate, but not at the low-to- animals. Most animals that vocalize navigation, foraging, reproduction, and moderate frequencies they use to have evolved strategies to compensate learning about their environment (Erbe communicate (Zaitseva et al., 1980). for the effects of short-term or temporary and Farmer, 2000; Tyack, 2000; Clark et increases in background or ambient As mentioned previously, the al., 2009). Masking, or auditory noise on their songs or calls. Although functional hearing ranges of mysticetes interference, generally occurs when the fitness consequences of these vocal sounds in the environment are louder (baleen whales) and odontocetes adjustments remain unknown, like most than, and of a similar frequency to, (toothed whales) all encompass the other trade-offs animals must make, auditory signals an animal is trying to frequencies of the sonar sources used in some of these strategies probably come receive. Masking is a phenomenon that the Navy’s Q–20 test activities. at a cost (Patricelli et al., 2006). For affects animals that are trying to receive Additionally, almost all species’ vocal example, vocalizing more loudly in acoustic information about their repertoires span across the frequencies noisy environments may have energetic environment, including sounds from of the sonar sources used by the Navy. costs that decrease the net benefits of other members of their species, The closer the characteristics of the vocal adjustment and alter a bird’s predators, prey, and sounds that allow masking signal to the signal of interest, energy budget (Brumm, 2004; Wood and them to orient in their environment. the more likely masking is to occur. Yezerinac, 2006). Shifting songs and Masking these acoustic signals can However, because the pulse length and calls to higher frequencies may also disturb the behavior of individual duty cycle of the Navy sonar signals are impose energetic costs (Lambrechts, animals, groups of animals, or entire of short duration and would not be 1996). populations. continuous, masking is unlikely to The extent of the masking interference occur as a result of exposure to these Stress Responses depends on the spectral, temporal, and signals during the Q–20 test activities in Classic stress responses begin when spatial relationships between the signals the designated Q–20 study area. an animal’s central nervous system

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perceives a potential threat to its animal uses glycogen stores that can be pronghorn to military overflights. Smith homeostasis. That perception triggers quickly replenished once the stress is et al. (2004a, 2004b) identified noise stress responses regardless of whether a alleviated. In such circumstances, the induced physiological transient stress stimulus actually threatens the animal; cost of the stress response would not responses in hearing-specialist fish that the mere perception of a threat is pose a risk to the animal’s welfare. accompanied short- and long-term sufficient to trigger a stress response However, when an animal does not have hearing losses. Welch and Welch (1970) (Moberg, 2000; Sapolsky et al., 2005; sufficient energy reserves to satisfy the reported physiological and behavioral Seyle, 1950). Once an animal’s central energetic costs of a stress response, stress responses that accompanied nervous system perceives a threat, it energy resources must be diverted from damage to the inner ears of fish and mounts a biological response or defense other biotic functions, which impair several mammals. that consists of a combination of the those functions that experience the Hearing is one of the primary senses four general biological defense diversion. For example, when mounting cetaceans use to gather information responses: behavioral responses, a stress response diverts energy away about their environment and to autonomic nervous system responses, from growth in young animals, those communicate with conspecifics. neuroendocrine responses, or immune animals may experience stunted growth. Although empirical information on the response. When mounting a stress response relationship between sensory In the case of many stressors, an diverts energy from a fetus, an animal’s impairment (TTS, PTS, and acoustic animal’s first and most economical (in reproductive success and its fitness will masking) on cetaceans remains limited, terms of biotic costs) response is suffer. In these cases, the animals will it seems reasonable to assume that behavioral avoidance of the potential have entered a pre-pathological or reducing an animal’s ability to gather stressor or avoidance of continued pathological state which is called information about its environment and exposure to a stressor. An animal’s ‘‘distress’’ (sensu Seyle, 1950) or to communicate with other members of second line of defense to stressors ‘‘allostatic loading’’ (sensu McEwen and its species would be stressful for involves the autonomic nervous system Wingfield, 2003). This pathological state animals that use hearing as their and the classical ‘‘fight or flight’’ will last until the animal replenishes its primary sensory mechanism. Therefore, response, which includes the biotic reserves sufficient to restore we assume that acoustic exposures cardiovascular system, the normal function. sufficient to trigger onset PTS or TTS gastrointestinal system, the exocrine Relationships between these would be accompanied by physiological glands, and the adrenal medulla to physiological mechanisms, animal stress responses because terrestrial produce changes in heart rate, blood behavior, and the costs of stress animals exhibit those responses under pressure, and gastrointestinal activity responses have also been documented similar conditions (NRC, 2003). More that humans commonly associate with fairly well through controlled importantly, marine mammals might ‘‘stress.’’ These responses have a experiments; because this physiology experience stress responses at received relatively short duration and may or exists in every vertebrate that has been levels lower than those necessary to may not have significant long-term studied, it is not surprising that stress trigger onset TTS. Based on empirical effects on an animal’s welfare. responses and their costs have been studies of the time required to recover An animal’s third line of defense to documented in both laboratory and free- from stress responses (Moberg, 2000), stressors involves its neuroendocrine or living animals (for examples see, we also assume that stress responses are sympathetic nervous systems; the Holberton et al., 1996; Hood et al., 1998; likely to persist beyond the time interval system that has received the most study Jessop et al., 2003; Krausman et al., required for animals to recover from has been the hypothalmus-pituitary- 2004; Lankford et al., 2005; Reneerkens TTS and might result in pathological adrenal system (also known as the HPA et al., 2002; Thompson and Hamer, and pre-pathological states that would axis in mammals or the hypothalamus- 2000). Although no information has be as significant as behavioral responses pituitary-interrenal axis in fish and been collected on the physiological to TTS. some reptiles). Unlike stress responses responses of marine mammals to Behavioral Disturbance associated with the autonomic nervous exposure to anthropogenic sounds, system, virtually all neuro-endocrine studies of other marine animals and Behavioral responses to sound are functions that are affected by stress— terrestrial animals would lead us to highly variable and context-specific. including immune competence, expect some marine mammals to Exposure of marine mammals to sound reproduction, metabolism, and experience physiological stress sources can result in (but is not limited behavior—are regulated by pituitary responses and, perhaps, physiological to) the following observable responses: hormones. Stress-induced changes in responses that would be classified as increased alertness; orientation or the secretion of pituitary hormones have ‘‘distress’’ upon exposure to mid- attraction to a sound source; vocal been implicated in failed reproduction frequency and low-frequency sounds. modifications; cessation of feeding; (Moberg, 1987; Rivier, 1995) and altered For example, Jansen (1998) reported cessation of social interaction; alteration metabolism (Elasser et al., 2000), on the relationship between acoustic of movement or diving behavior; habitat reduced immune competence (Blecha, exposures and physiological responses abandonment (temporary or permanent); 2000) and behavioral disturbance. that are indicative of stress responses in and, in severe cases, panic, flight, Increases in the circulation of humans (for example, elevated stampede, or stranding, potentially glucocorticosteroids (cortisol, respiration and increased heart rates). resulting in death (Southall et al., 2007). corticosterone, and aldosterone in Jones (1998) reported on reductions in Many different variables can marine mammals; Romano et al., 2004) human performance when faced with influence an animal’s perception of and have been equated with stress for many acute, repetitive exposures to acoustic response to (nature and magnitude) an years. disturbance. Trimper et al. (1998) acoustic event. An animal’s prior The primary distinction between reported on the physiological stress experience with a sound type affects stress (which is adaptive and does not responses of osprey to low-level aircraft whether it is less likely (habituation) or normally place an animal at risk) and noise while Krausman et al. (2004) more likely (sensitization) to respond to distress is the biotic cost of the reported on the auditory and physiology certain sounds in the future (animals response. During a stress response, an stress responses of endangered Sonoran can also be innately pre-disposed to

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respond to certain sounds in certain California, and Norway. These group size, tailslaps and loggings (Visser ways) (Southall et al., 2007). Related to behavioral response studies (BRS), et al., 2011). the sound itself, the perceived nearness though still in their early stages, have Although the small sample size of of the sound, bearing of the sound provided some preliminary insights into these CEEs reported here is too small to (approaching vs. retreating), similarity cetacean behavioral disturbances when make firm conclusions about differential of a sound to biologically relevant exposed to simulated and actual responses of cetaceans to military sonar sounds in the animal’s environment military sonar signals. exposure, none of the results showed (i.e., calls of predators, prey, or In 2007 and 2008, two Blainville’s that whales responded to sonar signals conspecifics), and familiarity of the beaked whales were tagged in the with panicked flight. Instead, the sound may affect the way an animal AUTEC range and exposed to simulated beaked whales exposed to simulated responds to the sound (Southall et al., mid-frequency sonar signals, killer sonar signals and killer whale sound 2007). Individuals (of different age, whale (Orcinus orca) recordings (in recording moved in a well oriented gender, reproductive status, etc.) among 2007), and pseudo-random noise (PRN, direction away from the source towards most populations will have variable in 2008) (Tyack et al., 2011). For the the deep water exit from the Tongue of hearing capabilities, and differing simulated mid-frequency exposure BRS, the Ocean (Tyack et al., 2011). In behavioral sensitivities to sounds that the tagged whale stopped clicking addition, different species of cetaceans will be affected by prior conditioning, during its foraging dive after 9 minutes exhibited different social behavioral experience, and current activities of when the received level reached 138 dB responses towards (close) vessel those individuals. Often, specific SPL, or a cumulative SEL value of 142 presence and sonar signals, which elicit acoustic features of the sound and dB re 1 mPa2-s. Once the whale stopped different, potentially tailored and contextual variables (i.e., proximity, clicking, it ascended slowly, moving species-specific responses (Visser et al., duration, or recurrence of the sound or away from the sound source. The whale 2011). the current behavior that the marine surfaced and remained in the area for Much more qualitative information is mammal is engaged in or its prior approximately 2 hours before making available on the avoidance responses of experience), as well as entirely separate another foraging dive (Tyack et al., free-living cetaceans to other acoustic factors such as the physical presence of 2011). sources, like seismic airguns and low- frequency active sonar, than mid- a nearby vessel, may be more relevant The same beaked whale was exposed frequency active sonar. Richardson et to the animal’s response than the to killer whale sound recording during al., (1995) noted that avoidance received level alone. its subsequent deep foraging dive. The There are only few empirical studies reactions are the most obvious whale stopped clicking about 1 minute of behavioral responses of free-living manifestations of disturbance in marine after the received level of the killer cetaceans to military sonar being mammals. whale sound reached 98 dB SPL, just conducted to date, due to the difficulties above the ambient noise level at the Behavioral Responses in implementing experimental protocols whale. The whale then made a long and on wild marine mammals. Southall et al., (2007) reports the An opportunistic observation was slow ascent. After surfacing, the whale results of the efforts of a panel of experts made on a tagged Blainville’s beaked continued to swim away from the in acoustic research from behavioral, whale (Mesoplodon densirostris) before, playback location for 10 hours (Tyack et physiological, and physical disciplines during, and after a multi-day naval al., 2011). that convened and reviewed the exercises involving tactical mid- In 2008, a Blainville’s beaked was available literature on marine mammal frequency sonars within the U.S. Navy’s tagged and exposed with PRN that has hearing and physiological and sonar testing range at the Atlantic the same frequency band as the behavioral responses to man-made Undersea Test and Evaluation Center simulated mid-frequency sonar signal. sound with the goal of proposing (AUTEC), in the Tongue of the Ocean The received level at the whale ranged exposure criteria for certain effects. This near Andros Island in the Bahamas from inaudible to 142 dB SPL (144 dB compilation of literature is very (Tyack et al., 2011). The adult male cumulative SEL). The whale stopped valuable, though Southall et al. note whale was tagged with a satellite clicking less than 2 minutes after that not all data is equal, some have transmitter tag on May 7, 2009. During exposure to the last transmission and poor statistical power, insufficient the 72 hrs before the sonar exercise ascended slowly to approximately 600 controls, and/or limited information on started, the mean distance from whale to m. The whale appeared to stop at this received levels, background noise, and the center of the AUTEC range was depth, at which time the tag other potentially important contextual approximately 37 km. During the 72 hrs unexpectedly released from the whale variables—such data were reviewed and sonar exercise, the whale moved several (Tyack et al., 2011). sometimes used for qualitative tens of km farther away (mean distance During CEEs of the BRS off Norway, illustration, but were not included in approximately 54 km). The received social behavioral responses of pilot the quantitative analysis for the criteria sound levels at the tagged whale during whales and killer whales to tagging and recommendations. sonar exposure were estimated to be 146 sonar exposure were investigated. Sonar In the Southall et al., (2007) report, for dB re 1 mPa at the highest level. The exposure was sampled for 3 pilot whale the purposes of analyzing responses of tagged whale slowly returned for several (Globicephala spp.) groups and 1 group marine mammals to anthropogenic days after the exercise stopped (mean of killer whales. Results show that when sound and developing criteria, the distance approximately 29 km) from 0 to exposed to sonar signals, pilot whales authors differentiate between single 72 hours after the exercise stopped showed a preference for larger groups pulse sounds, multiple pulse sounds, (Tyack et al., 2011). with medium-low surfacing synchrony, and non-pulse sounds. HFAS/MFAS In the past several years, controlled while starting logging, spyhopping and sonar is considered a non-pulse sound. exposure experiments (CEE) on marine milling. While killer whales showed the Southall et al., (2007) summarize the mammal behavioral responses to opposite pattern, maintaining reports associated with low-, mid-, and military sonar signals using acoustic asynchronous patterns of surface high-frequency cetacean responses to tags have been started in the Bahamas, behavior: decreased surfacing non-pulse sounds (there are no the Mediterranean Sea, southern synchrony, increased spacing, decreased pinnipeds in the Gulf of Mexico [GOM])

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in Appendix C of their report animals in the field showed significant changes in response to trained behaviors (incorporated by reference and responses to received levels between 90 (in laboratory). summarized in the three paragraphs and 120 dB, while in other cases these • 4–6 (Behaviors with higher below). responses were not seen in the 120 to potential to affect foraging, The reports that address responses of 150 dB range. The disparity in results reproduction, or survival) includes, but low-frequency cetaceans to non-pulse was likely due to contextual variation is not limited to: Moderate changes in sounds include data gathered in the and the differences between the results speed, direction, or dive profile; brief field and related to several types of in the field and laboratory data (animals shift in group distribution; prolonged sound sources (of varying similarity to responded at lower levels in the field). cessation or modification of vocal HFAS/MFAS) including: Vessel noise, The reports that address the responses behavior (duration > duration of sound); drilling and machinery playback, low of high-frequency cetaceans to non- minor or moderate individual and/or frequency M-sequences (sine wave with pulse sounds include data gathered both group avoidance of sound; brief multiple phase reversals) playback, low in the field and the laboratory and cessation of reproductive behavior; or frequency active sonar playback, drill related to several different sound refusal to initiate trained tasks (in vessels, Acoustic Thermometry of sources (of varying similarity to HFAS/ laboratory). Ocean Climate (ATOC) source, and non- MFAS) including: acoustic harassment • 7–9 (Behaviors considered likely to pulse playbacks. These reports generally devices, Acoustical Telemetry of Ocean affect the aforementioned vital rates) indicate no (or very limited) responses Climate (ATOC), wind turbine, vessel includes, but are not limited to: to received levels in the 90 to 120 dB noise, and construction noise. However, Extensive of prolonged aggressive re 1 mPa range and an increasing no conclusive results are available from behavior; moderate, prolonged or likelihood of avoidance and other these reports. In some cases, high significant separation of females and behavioral effects in the 120 to 160 dB frequency cetaceans (harbor porpoises) dependent offspring with disruption of range. As mentioned earlier, however, are observed to be quite sensitive to a acoustic reunion mechanisms; long-term contextual variables play a very wide range of human sounds at very low avoidance of an area; outright panic, important role in the reported responses exposure RLs (90 to 120 dB). All stampede, stranding; threatening or and the severity of effects are not linear recorded exposures exceeding 140 dB attacking sound source (in laboratory). when compared to received level. Also, produced profound and sustained few of the laboratory or field datasets avoidance behavior in wild harbor In Table 2 NMFS has summarized the had common conditions, behavioral porpoises (Southall et al., 2007). scores that Southall et al. (2007) contexts or sound sources, so it is not In addition to summarizing the assigned to the papers that reported surprising that responses differ. available data, the authors of Southall et behavioral responses of low-frequency The reports that address responses of al. (2007) developed a severity scaling cetaceans, mid-frequency cetaceans, and mid-frequency cetaceans to non-pulse system with the intent of ultimately high-frequency cetaceans to non-pulse sounds include data gathered both in being able to assign some level of sounds. the field and the laboratory and related biological significance to a response. Table 2. Data compiled from three to several different sound sources (of Following is a summary of their scoring tables from Southall et al. (2007) varying similarity to HFAS/MFAS) system, a comprehensive list of the indicating when marine mammals (low- including: Pingers, drilling playbacks, behaviors associated with each score frequency cetacean = L, mid-frequency vessel and ice-breaking noise, vessel may be found in the report: cetacean = M, and high-frequency noise, Acoustic Harassment Devices • 0–3 (Minor and/or brief behaviors) cetacean = H) were reported as having (AHDs), Acoustic Deterrent Devices includes, but is not limited to: No a behavioral response of the indicated (ADDs), HFAS/MFAS, and non-pulse response; minor changes in speed or severity to a non-pulse sound of the bands and tones. Southall et al. were locomotion (but with no avoidance); indicated received level. As discussed unable to come to a clear conclusion individual alert behavior; minor in the text, responses are highly variable regarding these reports. In some cases, cessation in vocal behavior; minor and context specific.

RECEIVED RMS SOUND PRESSURE LEVEL (dB re 1 microPa)

9 ...... 8 ...... M M M M M M 7 ...... L L 6 ...... H L/H L/H L/M/H L/M/H L L/H H M/H M 5 ...... M 4 ...... H L/M/H L/M L 3 ...... M L/M L/M M 2 ...... L L/M L L L 1 ...... M M M 0 ...... L/H L/H L/M/H L/M/H L/M/H L M M M

Potential Effects of Behavioral reproduction, etc.) of an animal. There Attention is the cognitive process of Disturbance is little marine mammal data selectively concentrating on one aspect quantitatively relating the exposure of of an animal’s environment while The different ways that marine marine mammals to sound to effects on ignoring other things (Posner, 1994). mammals respond to sound are reproduction or survival, though data Because animals (including humans) sometimes indicators of the ultimate exists for terrestrial species to which we have limited cognitive resources, there effect that exposure to a given stimulus can draw comparisons for marine is a limit to how much sensory will have on the well-being (survival, mammals. information they can process at any

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time. The phenomenon called with geese in disturbed habitat (being sustained concurrently or in series. ‘‘attentional capture’’ occurs when a consistently scared off the fields on However, the cause or causes of most stimulus (usually a stimulus that an which they were foraging), which did stranding are unknown (Geraci et al., animal is not concentrating on or not gain mass and had a 17 percent 1976; Eaton, 1979, Odell et al., 1980; attending to) ‘‘captures’’ an animal’s reproductive success. Similar Best, 1982). attention. This shift in attention can reductions in reproductive success have Several sources have published lists occur consciously or unconsciously (for been reported for mule deer (Odocoileus of mass stranding events of cetaceans example, when an animal hears sounds hemionus) disturbed by all-terrain during attempts to identify relationships that it associates with the approach of vehicles (Yarmoloy et al., 1988), caribou between those stranding events and a predator) and the shift in attention can disturbed by seismic exploration blasts military sonar (Hildebrand, 2004; IWC, be sudden (Dukas, 2002; van Rij, 2007). (Bradshaw et al., 1998), caribou 2005; Taylor et al., 2004). For example, Once a stimulus has captured an disturbed by low-elevation military based on a review of stranding records animal’s attention, the animal can jetfights (Luick et al., 1996), and caribou between 1960 and 1995, the respond by ignoring the stimulus, disturbed by low-elevation jet flights International Whaling Commission assuming a ‘‘watch and wait’’ posture, (Harrington and Veitch, 1992). (IWC, 2005) identified 10 mass or treat the stimulus as a disturbance Similarly, a study of elk (Cervus stranding events of Cuvier’s beaked and respond accordingly, which elaphus) that were disturbed whales that had been reported and one includes scanning for the source of the experimentally by pedestrians mass stranding of four Baird’s beaked stimulus or ‘‘vigilance’’ (Cowlishaw et concluded that the ratio of young to whales (Berardius bairdii). The IWC al., 2004). mothers was inversely related to concluded that, out of eight stranding Vigilance is normally an adaptive disturbance rate (Phillips and events reported from the mid-1980s to behavior that helps animals determine Alldredge, 2000). the summer of 2003, seven had been the presence or absence of predators, The primary mechanism by which associated with the use of mid- assess their distance from conspecifics, increased vigilance and disturbance frequency sonar, one of those seven had or to attend cues from prey (Bednekoff appear to affect the fitness of individual been associated with the use of low and Lima, 1998; Treves, 2000). Despite animals is by disrupting an animal’s frequency sonar, and the remaining those benefits, however, vigilance has a time budget and, as a result, reducing stranding event had been associated cost of time: when animals focus their the time they might spend foraging and with the use of seismic airguns. None of attention on specific environmental resting (which increases an animal’s the strandings has been associated with cues, they are not attending to other activity rate and energy demand). For high frequency sonar such as the Q–20 activities such a foraging. These costs example, a study of grizzly bears (Ursus sonar planned to be tested in this action. have been documented best in foraging horribilis) reported that bears disturbed Therefore, NMFS does not consider it animals, where vigilance has been by hikers reduced their energy intake by likely that the Q–20 testing activity shown to substantially reduce feeding an average of 12 kcal/min (50.2 × 103kJ/ would cause marine mammals to strand. rates (Saino, 1994; Beauchamp and min), and spent energy fleeing or acting Anticipated Effects on Marine Mammal Livoreil, 1997; Fritz et al., 2002). aggressively toward hikers (White et al., Habitat Animals will spend more time being 1999). vigilant, which may translate to less On a related note, many animals There are no areas within the NSWC time foraging or resting, when perform vital functions, such as feeding, PCD that are specifically considered as disturbance stimuli approach them resting, traveling, and socializing, on a important physical habitat for marine more directly, remain at closer diel cycle (24-hr cycle). Substantive mammals. The prey of marine mammals distances, have a greater group size (for behavioral reactions to noise exposure are considered part of their habitat. The example, multiple surface vessels), or (such as disruption of critical life Navy’s Final Environmental Impact when they co-occur with times that an functions, displacement, or avoidance of Statement and Overseas Environmental animal perceives increased risk (for important habitat) are more likely to be Impact Statement (FEIS) on the example, when they are giving birth or significant if they last more than one research, development, test and accompanied by a calf). Most of the diel cycle or recur on subsequent days evaluation activities in the NSWC PCD published literature, however, suggests (Southall et al., 2007). Consequently, a study area contains a detailed that direct approaches will increase the behavioral response lasting less than discussion of the potential effects to fish amount of time animals will dedicate to one day and not recurring on from HFAS/MFAS. These effects are the being vigilant. For example, bighorn subsequent days is not considered same as expected from the Q–20 sonar sheep and Dall’s sheep dedicated more particularly severe unless it could testing activities within the same area. time being vigilant, and less time resting directly affect reproduction or survival The extent of data, and particularly or foraging, when aircraft made direct (Southall et al., 2007). scientifically peer-reviewed data, on the approaches over them (Frid, 2001; effects of high intensity sounds on fish Stockwell et al., 1991). Stranding and Mortality is limited. In considering the available Several authors have established that When a live or dead marine mammal literature, the vast majority of fish long-term and intense disturbance swims or floats onto shore and becomes species studied to date are hearing stimuli can cause population declines ‘‘beached’’ or incapable of returning to generalists and cannot hear sounds by reducing the body condition of sea, the event is termed a ‘‘stranding’’ above 500 to 1,500 Hz (depending upon individuals that have been disturbed, (Geraci et al., 1999; Perrin and Geraci, the species), and, therefore, behavioral followed by reduced reproductive 2002; Geraci and Lounsbury, 2005; effects on these species from higher success, reduced survival, or both (Daan NMFS, 2007). Marine mammals are frequency sounds are not likely. et al., 1996; Madsen, 1994; White, known to strand for a variety of reasons, Moreover, even those fish species that 1983). For example, Madsen (1994) such as infectious agents, biotoxicosis, may hear above 1.5 kHz, such as a few reported that pink-footed geese (Anser starvation, fishery interaction, ship sciaenids and the clupeids (and brachyrhynchus) in undisturbed habitat strike, unusual oceanographic or relatives), have relatively poor hearing gained body mass and had about a 46- weather events, sound exposure, or above 1.5 kHz as compared to their percent reproductive success compared combinations of these stressors hearing sensitivity at lower frequencies.

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Therefore, even among the species that minimizing impacts to marine mammals 1. Marine Mammal Observer have hearing ranges that overlap with with the likely effect of that measure on Responsibilities some mid- and high frequency sounds, personnel safety, practicality of • Marine mammal observers will it is likely that the fish will only implementation, and impact on the have at least one set of binoculars actually hear the sounds if the fish and ‘‘military-readiness activity.’’ available for each person to aid in the source are very close to one another. Protective Measures Related to Surface detection of marine mammals. Finally, since the vast majority of • Operations Marine mammal observers shall sounds that are of biological relevance conduct monitoring for approximately to fish are below 1 kHz (e.g., Zelick et Visual surveys will be conducted for 15 minutes prior to the initiation of and al., 1999; Ladich and Popper, 2004), all test operations to reduce the for approximately 15 minutes after the even if a fish detects a mid-or high potential for vessel collisions to occur cessation of Q–20 testing activities. frequency sound, these sounds will not with a protected species. If necessary, • Marine mammal observers will scan mask detection of lower frequency the ship’s course and speed will be the water from the ship to the horizon biologically relevant sounds. Based on adjusted. and be responsible for all observations the above information, there will likely Personnel Training in their sector. In searching the assigned be few, if any, behavioral impacts on sector, the lookout will always start at fish. Marine mammal mitigation training the forward part of the sector and search Alternatively, it is possible that very for those who participate in the active aft (toward the back). To search and intense mid- and high frequency signals sonar activities is a key element of the scan, the lookout will hold the could have a physical impact on fish, protective measures. The goal of this binoculars steady so the horizon is in resulting in damage to the swim bladder training is for key personnel onboard the top third of the field of vision and and other organ systems. However, even Navy platforms in the Q–20 study area direct the eyes just below the horizon. these kinds of effects have only been to understand the protective measures The lookout will scan for approximately shown in a few cases in response to and be competent to carry them out. The five seconds in as many small steps as explosives, and only when the fish has Marine Species Awareness Training possible across the field seen through been very close to the source. Such (MSAT) is provided to all applicable the binoculars. They will search the effects have never been indicated in participants, where appropriate. The entire sector in approximately five- response to any Navy sonar. Moreover, program addresses environmental degree steps, pausing between steps for at greater distances (the distance clearly protection, laws governing the approximately five seconds to scan the would depend on the intensity of the protection of marine species, Navy field of view. At the end of the sector signal from the source) there appears to stewardship, and general observation search, the glasses will be lowered to be little or no impact on fish, and information including more detailed allow the eyes to rest for a few seconds, particularly no impact on fish that do information for spotting marine and then the lookout will search back not have a swim bladder or other air mammals. Marine mammal observer across the sector with the naked eye. bubble that would be affected by rapid training will be provided before active • Marine mammal observers will be pressure changes. sonar testing begins. responsible for informing the Test Marine observers would be aware of Mitigation Director of any marine mammal that the specific actions to be taken based on may need to be avoided, as warranted. In order to issue an Incidental Take the RDT&E platform if a marine • These procedures would apply as Authorization (ITA) under section mammal is observed. Specifically, the much as possible during RMMV 101(a)(5)(D) of the MMPA, NMFS must following requirements for personnel operations. When an RMMV is set forth the permissible methods of training would apply: operating over the horizon, it is taking pursuant to such activity, and • All marine mammal observers impossible to follow and observe it other means of effecting the least onboard platforms involved in the Q–20 during the entire path. An observer will practicable adverse impact on such sonar test activities will review the be located on the support vessel or species or stock and its habitat, paying NMFS-approved MSAT material prior to platform to observe the area when the particular attention to rookeries, mating use of active sonar. system is undergoing a small track close grounds, and areas of similar • Marine mammal observers shall be to the support platform. significance, and the availability of such trained in marine mammal recognition. species for taking for certain subsistence Marine mammal observer training shall 2. Operating Procedures uses. The National Defense include completion of the MSAT, • Test Directors will, as appropriate Authorization Act (NDAA) of 2004 instruction on governing laws and to the event, make use of marine species amended the MMPA as it relates to policies, and overview of the specific detection cues and information to limit military-readiness activities and the ITA Gulf of Mexico species present, and interaction with marine species to the process such that ‘‘least practicable observer roles and responsibilities. maximum extent possible, consistent adverse impact’’ shall include • Marine mammal observers will be with the safety of the ship. consideration of personnel safety, trained in the most effective means to • During Q–20 sonar activities, practicality of implementation, and ensure quick and effective personnel will utilize all available impact on the effectiveness of the communication within the command sensor and optical system (such as night ‘‘military readiness activity.’’ The Q–20 structure in order to facilitate vision goggles) to aid in the detection of sonar testing activities described in the implementation of mitigation measures marine mammals. Navy’s IHA application are considered if marine species are spotted. • Navy aircraft participating will military readiness activities. conduct and maintain, when For the Q–20 sonar testing activities Range Operating Procedures operationally feasible, required, and in the GOM, NMFS worked with the The following procedures would be safe, surveillance for marine species of Navy to develop mitigation measures. implemented to maximize the ability of concern as long as it does not violate The Navy then plan to implement the Navy personnel to recognize instances safety constraints or interfere with the following mitigation measures, which when marine mammals are in the accomplishment of primary operational include a careful balancing of vicinity. duties.

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• Marine mammal detections by sufficient magnification. Each observer regulations at 50 CFR 216.104(a)(13) aircraft will be immediately reported to will be provided with a two-way radio indicate that requests for IHAs must the Test Director. This action will occur that will be dedicated to the survey, and include the suggested means of when it is reasonable to conclude that will have direct radio contact with the accomplishing the necessary monitoring the course of the ship will likely close Test Director. Observers will report to and reporting that will result in the distance between the ship and the the Test Director any sightings of marine increased knowledge of the species and detected marine mammal. mammals or indicators of these species, of the level of taking or impacts on • Exclusion Zones—The Navy will as described previously. Distance and populations of marine mammals that are ensure that sonar transmissions are bearing will be provided when expected to be present in the action ceased if any detected marine mammals available. Observers may recommend a area. are within 200 yards (183 m [600.4 ft]) ‘‘Go’’/‘‘No Go’’ decision, but the final The RDT&E Monitoring Program, of the sonar source. Active sonar will decision will be the responsibility of the planned by the Navy as part of its IHA not resume until the marine mammal Test Director. application, is focused on mitigation- has been seen to leave the area, has not Post-mission surveys will be based monitoring. Main monitoring been detected for 30 minutes, or the conducted from the surface vessel(s) techniques include use of civilian vessel has transited more than 2,000 and aircraft used for pre-test surveys. personnel as marine mammal observers yards (1,828 m [5,997.4 ft]) beyond the Any affected marine species will be during pre-, during-, and post-test location of the last detection. documented and reported to NMFS. The events. • Special conditions applicable for report will include the date, time, Systematic monitoring of the affected bow-riding dolphins only: If, after location, test activities, species (to the area for marine mammals will be conducting an initial maneuver to avoid lowest taxonomic level possible), conducted prior to, during, and after test close quarters with dolphins, the Test behavior, and number of animals. events using aerial and/or ship-based Director or the Test Director’s designee NMFS has carefully evaluated the visual surveys. Observers will record concludes that dolphins are deliberately Navy’s mitigation measures and information during the test activity. closing to ride the vessel’s bow wave, no considered a range of other measures in Data recorded will include exercise further mitigation actions are necessary the context of ensuring that NMFS information (time, date, and location) while the dolphins continue to exhibit prescribes the means of effecting the and marine mammal and/or indicator bow wave riding behavior because the least practicable adverse impact on the presence, species, number of animals, dolphins are out of the main affected marine mammal species and their behavior, and whether there are transmission axis of the active sonar stocks and their habitat. NMFS’s changes in the behavior. Personnel will while in the shallow-wave area of the evaluation of potential measures immediately report observed stranded vessel bow. included consideration of the following or injured marine mammals to NMFS • Sonar levels (generally)—Navy will factors in relation to one another: stranding response network and NMFS operate sonar at the lowest practicable (1) The manner in which, and the Regional Office. Reporting requirements level, except as required to meet testing degree to which, the successful will be included in the NSWC PCD objectives. implementation of the measure is Mission Activity Report and NSWC PCD Mission Activities Annual Monitoring Clearance Procedures expected to minimize adverse impacts to marine mammals; Report as required by its Final Rule When the test platform (surface vessel (2) The proven or likely efficacy of the (DON, 2009a; NMFS, 2010). or aircraft) arrives at the test site, an specific measure to minimize adverse Ongoing Monitoring initial evaluation of environmental impacts as planned; and suitability will be made. This evaluation (3) The practicability of the measure The Navy has an existing Monitoring will include an assessment of sea state for applicant implementation, including Plan that provides for site-specific and verification that the area is clear of consideration of personnel safety, monitoring for MMPA and Endangered visually detectable marine mammals practicality of implementation, and Species Act (ESA) listed species, and indicators of their presence. For impact on the effectiveness of the primarily marine mammals within the example, large flocks of birds and large military readiness activity. Gulf of Mexico, including marine water schools of fish are considered indicators Based on our evaluation of the Navy’s areas of the Q–20 study area. The NSWC of potential marine mammal presence. measures, as well as other measures PCD Monitoring Plan (DON, 2011) was If the initial evaluation indicates that considered by NMFS, we have initially developed in support of the the area is clear, visual surveying will determined that the mitigation measures NSWC PCD Mission Activities Final begin. The area will be visually provide the means of effecting the least Environmental Impact Statement/ surveyed for the presence of protected practicable adverse impacts on marine Overseas Environmental Impact species and protected species mammals species or stocks and their Statement and subsequent Final Rule by indicators. Visual surveys will be habitat, paying particular attention to NMFS (DON, 2009a; NMFS, 2010). The conducted from the test platform before rookeries, mating grounds, and areas of primary goals of monitoring are to test activities begin. When the platform similar significance, while also evaluate trends in marine species is a surface vessel, no additional aerial considering personnel safety, distribution and abundance in order to surveys will be required. For surveys practicality of implementation, and assess potential population effects from requiring only surface vessels, aerial impact on the effectiveness of the Navy training and testing events and surveys may be opportunistically military readiness activity. determine the effectiveness of the conducted by aircraft participating in Navy’s mitigation measures. The the test. Monitoring and Reporting monitoring plan, adjusted annually in Shipboard monitoring will be staged In order to issue an ITA for an consultation under an adaptive from the highest point possible on the activity, section 101(a)(5)(D) of the management review process with vessel. The observer(s) will be MMPA states that NMFS must set forth NMFS, includes aerial- and ship-based experienced in shipboard surveys, ‘‘requirements pertaining to the visual observations, acoustic familiar with the marine life of the area, monitoring and reporting of such monitoring, and other efforts such as and equipped with binoculars of taking.’’ The MMPA implementing oceanographic observations. The U.S.

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Navy is not currently committing to or significantly altered [Level B Ward (1997) suggested that when these increased visual surveys at this time, harassment]. effects result in TTS rather than PTS, but will research opportunities for they are within the normal bounds of Level B Harassment leveraged work that could be added physiological variability and tolerance under an adaptive management Of the potential effects that were and do not represent a physical injury. provision of the IHA application for described in the ‘‘Potential Effects of Additionally, Southall et al. (2007) future Q–20 study area monitoring. Exposure of Marine Mammals to Sonar’’ indicate that although PTS is a tissue section, the following are the types of injury, TTS is not because the reduced On-Going Reporting effects that fall into the Level B hearing sensitivity following exposure Due to changes in the program harassment category: to intense sound results primarily from schedule, the Navy has not yet Behavioral Harassment—Behavioral fatigue, not loss, of cochlear hair cells conducted any Q–20 activities under disturbance that rises to the level and supporting structures and is their current IHA. The Navy planned to described in the definition above, when reversible. Accordingly, NMFS classifies conduct tests under the current IHA in resulting from exposures to active sonar TTS (when resulting from exposure to April 2013. exposure, is considered Level B Navy sonar) as Level B harassment, not harassment. Some of the lower level Level A harassment (injury). Estimated Take by Incidental physiological stress responses will also Harassment likely co-occur with the predicted Level A Harassment Recent Navy applications, Draft harassments, although these responses Of the potential effects that were Environmental Impact Statements, and are more difficult to detect and fewer described in the Potential Effects of proposed MMPA regulations for testing data exist relating these responses to Exposure of Marine Mammal to Sonar and training activities contain proposed specific received levels of sound. When section, following are the types of acoustic criteria and thresholds that Level B harassment is predicted based effects that fall into the Level A would, if adopted, represent changes on estimated behavioral responses, harassment category: from the criteria and thresholds those takes may have a stress-related PTS—PTS (resulting from exposure to currently employed by NMFS in physiological component as well. active sonar) is irreversible and incidental take authorizations and In the effects section above, we considered an injury. PTS results from associated Biological Opinions for Navy described the Southall et al., (2007) exposure to intense sounds that cause a military readiness activities. The revised severity scaling system and listed some permanent loss of inner or outer thresholds are based on evaluations of examples of the three broad categories cochlear hair cells or exceed the elastic recent scientific studies (Finneran et al., of behaviors: (0–3: Minor and/or brief limits of certain tissues and membranes 2010, Finneran and Schlundt, 2010, behaviors); 4–6 (Behaviors with higher in the middle and inner ears and results Tyack et al., 2011). The proposed new potential to affect foraging, in changes in the chemical composition criteria and thresholds based on the reproduction, or survival); 7–9 of the inner ear fluids. Finneran and Tyack studies have (Behaviors considered likely to affect recently been made available for public the aforementioned vital rates). Acoustic Take Criteria comment, (78 FR 6978, January 31, Generally speaking, MMPA Level B For the purposes of an MMPA 2013; 78 FR 7050, January 31, 2013), harassment, as defined in this incidental take authorization, three and the public comments are still being document, would include the behaviors types of take are identified: Level B evaluated. Until that process is described in the 7–9 category, and a harassment; Level A harassment; and complete, it is not appropriate to apply subset, dependent on context and other mortality (or serious injury leading to the new criteria and thresholds in any considerations, of the behaviors mortality). The categories of marine take authorization or associated described in the 4–6 categories. mammal responses (physiological and Biological Opinion. Instead, NMFS will Behavioral harassment generally does behavioral) that fall into the two continue its longstanding practice of not include behaviors ranked 0–3 in harassment categories were described in considering specific modifications to Southall et al., (2007). the previous section. the acoustic criteria and thresholds Acoustic Masking and Because the physiological and currently employed for incidental take Communication Impairment—Acoustic behavioral responses of the majority of authorizations only after providing the masking is considered Level B the marine mammals exposed to public with an opportunity for review harassment as it can disrupt natural military sonar cannot be detected or and comment and responding to the behavioral patterns by interrupting or measured, a method is needed to comments. limiting the marine mammal’s receipt or estimate the number of individuals that transmittal of important information or will be taken, pursuant to the MMPA, Definition of Harassment environmental cues. based on the planned action. To this As mentioned previously, with TTS—As discussed previously, TTS end, NMFS uses acoustic criteria that respect to military readiness activities, can affect how an animal behaves in estimate at what received level (when Section 3(18)(B) of the MMPA defines response to the environment, including exposed to Navy sonar) Level B ‘‘harassment’’ as: (i) Any act that injures conspecifics, predators, and prey. The harassment and Level A harassment of or has the significant potential to injure following physiological mechanisms are marine mammals would occur. These a marine mammal or marine mammal thought to play a role in inducing acoustic criteria are discussed below. stock in the wild [Level A harassment]; auditory fatigue: Effects to sensory hair Relatively few applicable data exist to or (ii) any act that disturbs or is likely cells in the inner ear that reduce their support acoustic criteria specifically for to disturb a marine mammal or marine sensitivity, modification of the chemical HFAS (such as the Q–20 active sonar). mammal stock in the wild by causing environment within the sensory cells, However, because MFAS systems have disruption of natural behavioral residual muscular activity in the middle larger impact ranges, NMFS will apply patterns, including, but not limited to, ear, displacement of certain inner ear the criteria developed for the MFAS migration, surfacing, nursing, breeding, membranes, increased blood flow, and systems to the HFAS systems. feeding, or sheltering, to a point where post-stimulatory reduction in both NMFS utilizes three acoustic criteria such behavioral patterns are abandoned efferent and sensory neural output. for HFAS/MFAS: PTS (injury—Level A

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harassment), behavioral harassment sound used. These results also susceptible to the physiological effects from TTS, and sub-TTS (Level B confirmed that, for tones with different of sound, and because threshold shifts harassment). Because the TTS and PTS durations, the amount of TTS is best tend to occur at lower exposures than criteria are derived similarly and the correlated with the exposure EL rather other more serious auditory effects, PTS criteria was extrapolated from the than the exposure SPL. NMFS has determined that PTS is the TTS data, the TTS and PTS acoustic • Nachtigall et al. (2003) measured best indicator for the smallest degree of criteria will be presented first, before TTS in a bottlenose dolphin exposed to injury that can be measured. Therefore, the behavioral criteria. octave-band sound centered at 7.5 kHz. the acoustic exposure associated with For more information regarding these Nachtigall et al. (2003a) reported TTSs onset-PTS is used to define the lower criteria, please see the Navy’s FEIS for of about 11 dB measured 10 to 15 limit of the Level A harassment. the NSWC PCD (Navy, 2009). minutes after exposure to 30 to 50 PTS data do not currently exist for minutes of sound with SPL 179 dB re marine mammals and are unlikely to be Level B Harassment Threshold (TTS) 1 mPa (EL about 213 dB re mPa2-s). No obtained due to ethical concerns. As mentioned above, behavioral TTS was observed after exposure to the However, PTS levels for these animals disturbance, acoustic masking, and TTS same sound at 165 and 171 dB re 1 mPa. may be estimated using TTS data from are all considered Level B harassment. Nachtigall et al. (2004) reported TTSs of marine mammals and relationships Marine mammals would usually be around 4 to 8 dB 5 minutes after between TTS and PTS that have been behaviorally disturbed at lower received exposure to 30 to 50 minutes of sound discovered through study of terrestrial levels than those at which they would with SPL 160 dB re 1 mPa (EL about 193 mammals. NMFS uses the following likely sustain TTS, so the levels at to 195 dB re 1 mPa2-s). The difference in acoustic criteria for injury: which behavioral disturbance is likely results was attributed to faster post • Cetaceans—215 dB re 1 mPa 2-s to occur are considered the onset of exposure threshold measurement—TTS (based on mid-frequency cetaceans—no Level B harassment. The behavioral may have recovered before being published data exist on auditory effects responses of marine mammals to sound detected by Nachtigall et al. (2003). of noise in low or high frequency are variable, context specific, and, These studies showed that, for long cetaceans) (Southall et al., 2007). therefore, difficult to quantify (see Risk duration exposures, lower sound These criteria are based on a 20 dB Function section, below). TTS is a pressures are required to induce TTS increase in SEL over that required for physiological effect that has been than are required for short-duration onset-TTS. Extrapolations from studied and quantified in laboratory tones. terrestrial mammal data indicate that conditions. NMFS also uses acoustic • Finneran et al. (2000, 2002) PTS occurs at 40 dB or more of TS, and criteria to estimate the number of conducted TTS experiments with that TS growth occurs at a rate of marine mammals that might sustain dolphins and belugas exposed to approximately 1.6 dB TS per dB TTS incidental to a specific activity (in impulsive sounds similar to those increase in EL. There is a 34-dB TS addition to the behavioral criteria). produced by distant underwater difference between onset-TTS (6 dB) A number of investigators have explosions and seismic waterguns. and onset-PTS (40 dB). Therefore, an measured TTS in marine mammals. These studies showed that, for very animal would require approximately 20- These studies measured hearing short-duration impulsive sounds, higher dB of additional exposure (34 dB thresholds in trained marine mammals sound pressures were required to divided by 1.6 dB) above onset-TTS to before and after exposure to intense induce TTS than for longer-duration reach PTS. A detailed description of sounds. The existing cetacean TTS data tones. how TTS criteria were derived from the are summarized in the following bullets. Some of the more important data results of the above studies may be • Schlundt et al. (2000) reported the obtained from these studies are onset- found in Chapter 3 of Southall et al. results of TTS experiments conducted TTS levels (exposure levels sufficient to (2007), as well as the Navy’s NSWC PCD with 5 bottlenose dolphins and 2 cause a just-measurable amount of TTS) LOA application. Southall et al. (2007) belugas exposed to 1-second tones. This often defined as 6 dB of TTS (for recommend a precautionary dual paper also includes a reanalysis of example, Schlundt et al., 2000) and the criteria for TTS (230 dB re 1 mPa (SPL) preliminary TTS data released in a fact that energy metrics (sound exposure in addition to 215 re 1 mPa 2-s (SEL)) to technical report by Ridgway et al. levels (SEL), which include a duration account for the potentially damaging (1997). At frequencies of 3, 10, and 20 component) better predict when an transients embedded within non-pulse kHz, sound pressure levels (SPLs) animal will sustain TTS than pressure exposures. However, in the case of necessary to induce measurable (SPL) alone. NMFS’s TTS criteria HFAS/MFAS, the distance at which an amounts (6 dB or more) of TTS were (which indicate the received level at animal would receive 215 (SEL) is between 192 and 201 dB re 1 mPa (EL which onset TTS (≤6dB) is induced) for farther from the source than the distance = 192 to 201 dB re 1 mPa2-s). The mean HFAS/MFAS are as follows: at which they would receive 230 (SPL) exposure SPL and EL for onset-TTS • Cetaceans—195 dB re 1 mPa2-s and therefore, it is not necessary to were 195 dB re 1 mPa and 195 dB re 1 (based on mid-frequency cetaceans—no consider 230 dB. mPa2-s, respectively. We note here that behaviorally • published data exist on auditory effects Finneran et al. (2001, 2003, 2005) of noise in low or high frequency mediated injuries (such as those that described TTS experiments conducted cetaceans) (Southall et al., 2007). have been hypothesized as the cause of with bottlenose dolphins exposed to 3- A detailed description of how TTS some beaked whale strandings) could kHz tones with durations of 1, 2, 4, and criteria were derived from the results of potentially occur in response to 8 seconds. Small amounts of TTS (3 to the above studies may be found in received levels lower than those 6 dB) were observed in one dolphin Chapter 3 of Southall et al. (2007), as believed to directly result in tissue after exposure to ELs between 190 and well as the Navy’s Q–20 IHA damage. As mentioned previously, data 204 dB re 1 microPa2-s. These results application. to support a quantitative estimate of were consistent with the data of these potential effects (for which the Schlundt et al. (2000) and showed that Level A Harassment Threshold (PTS) exact mechanism is not known and in the Schlundt et al. (2000) data were not For acoustic effects, because the which factors other than received level significantly affected by the masking tissues of the ear appear to be the most may play a significant role) do not exist.

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Level B Harassment Risk Function To assess the potential effects on level, the values for B, K and A need to (Behavioral Harassment) marine mammals associated with active be identified. The first MMPA authorization for take sonar used during training activity, the B Parameter (Basement)—The B of marine mammals incidental to Navy and NMFS applied a risk function parameter is the estimated received tactical active sonar was issued in 2006 that estimates the probability of level below which the probability of for Navy Rim of the Pacific training behavioral responses that NMFS would disruption of natural behavioral exercises in Hawaii. For that classify as harassment for the purposes patterns, such as migration, surfacing, authorization, NMFS used 173 dB SEL of the MMPA given exposure to specific nursing, breeding, feeding, or sheltering, as the criterion for the onset of received levels of MFA sonar. The to a point where such behavioral behavioral harassment (Level B mathematical function is derived from a patterns are abandoned or significantly altered approaches zero for the HFAS/ harassment). This type of single number solution in Feller (1968) as defined in MFAS risk assessment. At this received criterion is referred to as a step function, the SURTASS LFA Sonar Final OEIS/ level, the curve would predict that the in which (in this example) all animals EIS (DoN, 2001), and relied on in the percentage of the exposed population estimated to be exposed to received Supplemental SURTASS LFA Sonar EIS that would be taken by Level B levels above 173 dB SEL would be (DoN, 2007a) for the probability of MFA harassment approaches zero. For HFAS/ predicted to be taken by Level B sonar risk for MMPA Level B behavioral MFAS, NMFS has determined that B = harassment and all animals exposed to harassment with input parameters 120 dB. This level is based on a broad less than 173 dB SEL would not be modified by NMFS for MFA sonar for overview of the levels at which many taken by Level B harassment. As mysticetes and odontocetes (NMFS, species have been reported responding mentioned previously, marine mammal 2008). The same risk function and input to a variety of sound sources. behavioral responses to sound are parameters will be applied to high ≤ K Parameter (representing the 50 highly variable and context specific frequency active (HFA) ( 10 kHz) sources until applicable data becomes percent Risk Point)—The K parameter is (affected by differences in acoustic based on the received level that conditions; differences between species available for high frequency sources. In order to represent a probability of corresponds to 50 percent risk, or the and populations; differences in gender, received level at which we believe 50 age, reproductive status, or social risk, the function should have a value near zero at very low exposures, and a percent of the animals exposed to the behavior; or the prior experience of the designated received level will respond individuals), which does not support value near one for very high exposures. One class of functions that satisfies this in a manner that NMFS classifies as the use of a step function to estimate Level B harassment. The K parameter (K behavioral harassment. criterion is cumulative probability distributions, a type of cumulative = 45 dB) is based on three datasets in Unlike step functions, acoustic risk which marine mammals exposed to continuum functions (which are also distribution function. In selecting a particular functional expression for risk, mid-frequency sound sources were called ‘‘exposure-response functions,’’ reported to respond in a manner that ‘‘dose-response functions,’’ or ‘‘stress several criteria were identified: • NMFS would classify as Level B response functions’’ in other risk The function must use parameters to focus discussion on areas of harassment. There is widespread assessment contexts) allow for consensus that marine mammal probability of a response that NMFS uncertainty; • responses to HFA/MFA sound signals would classify as harassment to occur The function should contain a limited number of parameters; need to be better defined using over a range of possible received levels • controlled exposure experiments (Cox et (instead of one number) and assume that The function should be capable of accurately fitting experimental data; and al., 2006; Southall et al., 2007). The the probability of a response depends • Navy is contributing to an ongoing first on the ‘‘dose’’ (in this case, the The function should be reasonably convenient for algebraic manipulations. behavioral response study in the received level of sound) and that the Bahamas that is expected to provide probability of a response increases as As described in U.S. Department of the Navy (2001), the mathematical some initial information on beaked the ‘‘dose’’ increases. The Navy and whales, the species identified as the NMFS have previously used acoustic function below is adapted from a solution in Feller (1968). most sensitive to MFAS. NMFS is risk functions to estimate the probable leading this international effort with responses of marine mammals to scientists from various academic acoustic exposures in the Navy FEISs on institutions and research organizations the SURTASS LFA sonar (DoN, 2001c) to conduct studies on how marine and the North Pacific Acoustic mammals respond to underwater sound Laboratory experiments conducted off exposures. Until additional data is the Island of Kauai (ONR, 2001). The available, however, NMFS and the Navy specific risk functions used here were have determined that the following also used in the MMPA regulations and Where: three data sets are most applicable for FEIS for Hawaii Range Complex (HRC), R = Risk (0—1.0) the direct use in establishing the K Southern California Range Complex L = Received level (dB re: 1 mPa) parameter for the HFAS/MFAS risk (SOCAL), and Atlantic Fleet Active B = Basement received level = 120 dB re: 1 function. These data sets, summarized Sonar Testing (AFAST). As discussed in mPa below, represent the only known data the Effects section, factors other than K = Received level increment above B where that specifically relate altered received level (such as distance from or 50 percent risk = 45 dB re: 1 mPa behavioral responses (that NMFS would bearing to the sound source) can affect A = Risk transition sharpness parameter = 10 consider Level B harassment) to the way that marine mammals respond; (odontocetes) or 8 (mysticetes) exposure to HFAS/MFAS sources. however, data to support a quantitative In order to use this function to Even though these data are considered analysis of those (and other factors) do estimate the percentage of an exposed the most representative of the specified not currently exist. NMFS will continue population that would respond in a activities, and therefore the most to modify these criteria as new data manner that NMFS classifies as Level B appropriate on which to base the K becomes available. harassment, based on a given received parameter (which basically determines

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the midpoint) of the risk function, these concluded in the SURTASS FEIS/EIS, and Navy/NMFS applies that by data have limitations, which are the value of A=10 produces a curve that estimating that 50 percent of the discussed in Appendix J of the Navy’s has a more gradual transition than the individuals exposed at that received EIS for the NSWC PCD (DoN, 2009) and curves developed by the analyses of level are likely to respond by exhibiting summarized in the Navy’s IHA migratory gray whale studies (Malme et behavior that NMFS would classify as application. al., 1984; Buck and Tyack, 2000; and behavioral harassment. The risk Calculation of K Parameter—NMFS SURTASS LFA Sonar EIS, Subchapters function is not applied to individual and the Navy used the mean of the 1.43, 4.2.4.3 and Appendix D, and animals, only to exposed populations. following values to define the midpoint NMFS, 2008). The data primarily used to produce of the function: (1) The mean of the NMFS determined that a lower the risk function (the K parameter) were lowest received levels (185.3 dB) at steepness parameter (A=8), resulting in compiled from four species that had which individuals responded with a shallower curve, was appropriate for been exposed to sound sources in a altered behavior to 3 kHz tones in the use with mysticetes and HFAS/MFAS. variety of different circumstances. As a SSC data set; (2) the estimated mean The Nowacek et al. (2004) dataset result, the risk function represents a received level value of 169.3 dB contains the only data illustrating general relationship between acoustic produced by the reconstruction of the mysticete behavioral responses to a mid- exposures and behavioral responses that USS SHOUP incident in which killer frequency sound source. A shallower is then applied to specific whales exposed to MFA sonar (range curve (achieved by using A=8) better circumstances. That is, the risk function modeled possible received levels: 150 to reflects the risk of behavioral response represents a relationship that is deemed 180 dB); and (3) the mean of the 5 at the relatively low received levels at to be generally true, based on the maximum received levels at which which behavioral responses of right limited, best-available science, but may Nowacek et al. (2004) observed whales were reported in the Nowacek et not be true in specific circumstances. In significantly altered responses of right al. (2004) data. Compared to the particular, the risk function, as currently whales to the alert stimuli than to the odontocete curve, this adjustment derived, treats the received level as the control (no input signal) is 139.2 dB results in an increase in the proportion only variable that is relevant to a marine SPL. The arithmetic mean of these three of the exposed population of mysticetes mammal’s behavioral response. mean values is 165 dB SPL. The value being classified as behaviorally harassed However, we know that many other of K is the difference between the value at lower RLs, such as those reported in variables—the marine mammal’s of B (120 dB SPL) and the 50 percent and supported by the only dataset gender, age, and prior experience; the value of 165 dB SPL; therefore, K=45. currently available. activity it is engaged in during an A Parameter (Steepness)—NMFS Basic Application of the Risk exposure event, its distance from a determined that a steepness parameter Function—The risk function is used to sound source, the number of sound (A)=10 is appropriate for odontocetes estimate the percentage of an exposed sources, and whether the sound sources (except harbor porpoises) and pinnipeds population that is likely to exhibit are approaching or moving away from and A=8 is appropriate for mysticetes. behaviors that would qualify as the animal—can be critically important The use of a steepness parameter of harassment (as that term is defined by in determining whether and how a A=10 for odontocetes (except harbor the MMPA applicable to military marine mammal will respond to a sound porpoises) for the HFAS/MFAS risk readiness activities, such as the Navy’s source (Southall et al., 2007). The data function was based on the use of the testing and research activities with that are currently available do not allow same value for the SURTASS LFA risk HFA/MFA sonar) at a given received for incorporation of these other continuum, which was supported by a level of sound. For example, at 165 dB variables in the current risk functions; sensitivity analysis of the parameter SPL (dB re: 1 mPa rms), the risk (or however, the risk function represents presented in Appendix D of the probability) of harassment is defined the best use of the data that are available SURTASS/LFA FEIS (DoN, 2001c). As according to this function as 50 percent, (Figure 1).

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As more specific and applicable data which are detailed later in this section, be used were examined with regard to become available for HFAS/MFAS acoustical modeling was conducted to their operational characteristics as sources, NMFS can use these data to calculate the actual exposures. Refer to described in the previous section. modify the outputs generated by the risk Appendix B, Geographic Description of Systems with an operating frequency function to make them more realistic. Environmental Provinces of the Navy’s greater than 200 kHz were not analyzed Ultimately, data may exist to justify the IHA application, for additional in the detailed modeling as these signals use of additional, alternate, or information on provinces. Refer to attenuate rapidly resulting in very short multivariate functions. For example, as Appendix C, Definitions and Metrics for propagation distances. Based on the mentioned previously, the distance from Acoustic Quantities of the Navy’s IHA information above, the Navy modeled the sound source and whether it is application, for additional information the Q–20 sonar parameters including perceived as approaching or moving regarding the acoustical analysis. source levels, ping length, the interval away can affect the way an animal The approach for estimating potential between pings, output frequencies, responds to a sound (Wartzok et al., acoustic effects from Q–20 test activities directivity (or angle), and other 2003). on cetacean species uses the characteristics based on records from methodology that the DON developed in previous test scenarios and projected Estimated Exposures of Marine cooperation with NMFS for the Navy’s future testing. Additional information Mammals HRC Draft EIS (DON, 2007c). The on sonar systems and their associated Acoustical modeling provides an exposure analysis for behavioral parameters is in Appendix A, estimate of the actual exposures. response to sound in the water uses Supplemental Information for Detailed information and formulas to energy flux density for Level A Underwater Noise Analysis of the model the effects of sonar from Q–20 harassment and the methods for risk Navy’s IHA application. sonar testing activities in the Q–20 function for Level B harassment Every active sonar operation includes study area are provided in Appendix A, (behavioral). The methodology is the potential to expose marine animals Supplemental Information for provided here to determine the number in the neighboring waters. The number Underwater Noise Analysis of the and species of marine mammals for of animals exposed to the sonar is Navy’s IHA application. which incidental take authorization is dictated by the propagation field and The quantitative analysis was based requested. NMFS concurs with the the manner in which the sonar is on conducting sonar operations in 13 Navy’s approach and that these are the operated (i.e., source level, depth, different geographical regions, or appropriate methodologies. frequency, pulse length, directivity, provinces. Using combined marine To estimate acoustic effects from the platform speed, repetition rate). The mammal density and depth estimates, Q–20 test activities, acoustic sources to modeling for Q–20 test activities

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involving sonar occurred in five broad Ray Bundle (CASS–GRAB) sound 5. Exposure Calculations: Each marine steps listed below, and was conducted modeling software. mammal’s three-dimensional (3–D) based on the typical RDT&E activities 3. Exposure Volumes: The density is multiplied by the calculated planned for the Q–20 study area. transmission loss, combined with the impact volume to that marine mammal 1. Environmental Provinces: The Q– source characteristics, gives the energy depth regime. This value is the number 20 study area is divided into 13 field of a single ping. The energy of of exposures per hour for that particular environmental provinces, and each has more than 10 hours of pinging is marine mammal. In this way, each a unique combination of environmental summed, carefully accounting for marine mammal’s exposure count per conditions. These represent various overlap of several pings, so an accurate hour is based on its density, depth combinations of eight bathymetry average exposure of an hour of pinging habitat, and the ensonified volume by provinces, one Sound Velocity Profile is calculated for each depth increment. depth. (SVP) province, and three Low- At more than 10 hours, the source is too Frequency Bottom Loss geo-acoustic The planned sonar hours were far away and the energy is negligible. provinces and two High-Frequency inserted and a cumulative number of Repeating this calculation for each Bottom Loss classes. These are exposures was determined for the environment in each season gives the addressed by defining eight action. hourly ensonified volume, by depth, for fundamental environments in two each environment and season. This step Based on the analysis, Q–20 sonar seasons that span the variety of depths, begins the method for risk function operations in non-territorial waters may bottom types, sound speed profiles, and modeling. expose up to six species to sound likely sediment thicknesses found in the Q–20 4. Marine Mammal Densities: The to result in Level B (behavioral) study area. The two seasons encompass harassment (Table 2). They include the winter and summer, which are the two marine mammal densities were given in bottlenose dolphin (Tursiops truncatus), extremes for the GOM, the acoustic two dimensions, but using reliable peer- Atlantic spotted dolphin (Stenella propagation characteristics do not vary reviewed literature sources (published frontalis), pantropical spotted dolphin significantly between the two. Each literature and agency reports) described marine modeling area can be in the following subsection, the depth (Stenella attenuata), striped dolphin quantitatively described as a unique regimes of these marine mammals are (Stenella coeruleoalba), spinner dolphin combination of these environments. used to project the two dimensional (Stenella longirostris), and Clymene 2. Transmission Loss: Since sound densities (expressed as the number of dolphin (Stenella clymene). No marine propagates differently in these animals per area where all individuals mammals would be exposed to levels of environments, separate transmission are assumed to be at the water’s surface) sound likely to result in TTS. NMFS has loss calculations must be made for each, into three dimensions (a volumetric authorized (and the Navy requested) the in both seasons. The transmission loss approach whereby two-dimensional take numbers of marine mammals in the is predicted using Comprehensive animal density incorporates depth into IHA which reflect the exposure numbers Acoustic Simulation System/Gaussian the calculation estimates). listed in Table 3.

TABLE 3—ESTIMATES AND REQUESTED TAKE OF MARINE MAMMAL EXPOSURES FROM SONAR IN NON-TERRITORIAL WATERS PER YEAR [See Table 5–1 in the IHA application.]

Level B har- Level B har- Marine mammal species Level A har- assment assment assment (TTS) (behavioral)

Atlantic spotted dolphin ...... 0 0 315 Bottlenose dolphin ...... 0 0 399 Clymene dolphin ...... 0 0 42 Pantropical spotted dolphin ...... 0 0 126 Spinner dolphin ...... 0 0 126 Striped dolphin ...... 0 0 42

Potential for Long-Term Effects Potential for Effects on ESA-Listed of the source. Below 120 dB, the risk of Species significant change in a biologically Q–20 test activities will be conducted important behavior approaches zero. in the same general areas, so marine To further examine the possibility of whale exposures from the planned This threshold is reached at a distance mammal populations could be exposed of only 2.8 km (1.5 nmi) from the to repeated activities over time. testing, CASSGRAB sound modeling software was used to estimate source. With the density of sperm However, as described earlier, this whales being near zero in this potential analysis assumes that short-term non- transmission losses and received sound pressure levels (SPLs) from the Q–20 zone of influence, this calculation injurious SELs predicted to cause reinforces NMFS’s conclusion that the temporary behavioral disruptions when operating in the test area. Specifically, four radials out towards activity is not likely to result in the take qualify as Level B harassment. It is DeSoto Canyon (which is considered an of sperm whales. It should also be noted highly unlikely that behavioral important habitat for the ESA-listed that DeSoto Canyon is well beyond the disruptions will result in any long-term sperm whales) were calculated. The distance at which sound pressure levels significant effects. results indicate the relatively rapid from the Q–20 attenuate to zero. attenuation of sound pressure levels with distance from the source, which is not surprising given the high frequency

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Encouraging and Coordinating authorization will not have an the mitigation measures, NMFS has Research unmitigable adverse effect on the determined that Navy’s Q–20 sonar test The Navy sponsors a significant availability of marine mammal species activities in the non-territorial waters portion of research concerning the or stocks for subsistence use. There are will have a negligible impact on the effects of human-generated sound in no relevant subsistence uses of marine marine mammal species and stocks marine mammals. Worldwide, the Navy mammals in the study area (in the Gulf present in the Q–20 study area. of Mexico) that implicate MMPA section funded over $16 million in marine Behavioral Harassment 101(a)(5)(D). mammal research in 2012. Major topics Behavioral harassment from the of Navy-supported research include: Negligible Impact Determination • Navy’s training activities are expected to Gaining a better understanding of Pursuant to NMFS’s regulations occur as discussed in the ‘‘Potential marine species distribution and implementing the MMPA, an applicant Effects of Exposure of Marine Mammals important habitat areas. is required to estimate the number of to Sonar’’ section and illustrated in the • Developing methods to detect and animals that will be ‘‘taken’’ by the conceptual framework, marine monitor marine species before and specified activities (i.e., takes by mammals can respond to HFAS/MFAS during training. harassment only, or takes by in many different ways, a subset of • Understanding the effects of sound harassment, injury, serious injury, and/ which qualifies as harassment. One on marine mammals. • Developing tools to model and or death). This estimate informs NMFS’s thing that the take estimates do not take analysis of whether the activity will into account is the fact that most marine estimate potential effects of sound. have a ‘‘negligible impact’’ on the mammals will likely avoid strong sound This research is directly applicable to species or stock. To issue an IHA, NMFS sources to one extent or another. the Q–20 study area, particularly with must determine among other things, that Although an animal that avoids the respect to the investigations of the the incidental take by harassment sound source will likely still be taken in potential effects of underwater noise caused by the specified activity will some instances (such as if the avoidance sources on marine mammals and other have a negligible impact on affected results in a missed opportunity to feed, protected species. species or stocks of marine mammals. interruption of reproductive behaviors, Furthermore, various research cruises NMFS has defined ‘‘negligible impact’’ etc.), in other cases avoidance may by NMFS and academic institutions in 50 CFR 216.103 as ‘‘. . . an impact result in fewer instances of take than have been augmented with additional resulting from the specified activity that were estimated or in the takes resulting funding from the Navy. The Navy has cannot be reasonably expected to, and is from exposure to a lower received level also sponsored several workshops to not reasonably likely to, adversely affect than was estimated, which could result evaluate the current state of knowledge the species or stock through effects on in a less severe response. The Navy and potential for future acoustic annual rates of recruitment or survival.’’ proposes a cumulative total of only 420 monitoring of marine mammals. The Level B (behavioral) harassment occurs hours of high-frequency sonar workshops brought together acoustic at the level of the individual(s) and does operations per year for the Q–20 sonar experts and marine biologists from the not necessarily result in population- testing activities, spread among 42 days Navy and other research organizations level consequences, though there are with an average of 10 hours per day, in to present data and information on known avenues through which the Q–20 study area. There will be no current acoustic monitoring research behavioral disturbance of individuals powerful tactical mid-frequency sonar efforts and to evaluate the potential for can result in population-level effects. A involved. Therefore, there will be no incorporating similar technology and negligible impact finding is based on the disturbance to marine mammals methods on instrumented ranges. lack of likely adverse effects on annual resulting from MFAS systems (such as The Navy will continue to fund rates of recruitment or survival (i.e., 53C). The effects that might be expected ongoing marine mammal research, and population-level effects). An estimate of from the Navy’s major training exercises includes projected funding at levels the number of Level B harassment takes, at the Atlantic Fleet Active Sonar greater than $14 million per year in alone, is not enough information on Training (AFAST) Range, Hawaii Range subsequent years. The Navy also has which to base an impact determination. Complex (HRC), and Southern plans to continue in the coordination of In addition to considering estimates of California (SOCAL) Range Complex will long-term monitoring and studies of the number of marine mammals that not occur here. The source level of the marine mammals on various established might be ‘‘taken’’ through behavioral Q–20 sonar is much lower than the 53C ranges and within its OPAREAs. The harassment, NMFS must consider other series MFAS system, and high Navy will continue to research and factors, such as the likely nature of any frequency signals tend to have more contribute to university/external responses (their intensity, duration, attenuation in the water column and are research to improve the state of the etc.), the context of any responses more prone to lose their energy during knowledge of the science regarding the (critical reproductive time or location, propagation. Therefore, their zones of biology and ecology of marine species, migration, etc.), or any of the other influence are much smaller, thereby and potential acoustic effects on species variables mentioned in the first making it easier to detect marine from naval activities. These efforts paragraph (if known), as well as the mammals and prevent adverse effects include mitigation and monitoring number and nature of estimated Level A from occurring. programs, data sharing with NMFS and takes, the number of estimated serious The Navy has been conducting via the literature for research and injuries and/or mortalities, and effects monitoring activities since 2006 on its development efforts, and future on habitat. sonar operations in a variety of the research, as described previously. The Navy’s specified activities have Naval range complexes (e.g., AFAST, been described based on best estimates HRC, SOCAL) under the Navy’s own Impact on Availability of Affected of the number of Q–20 sonar test hours protective measures and under the Species or Stock for Taking for that the Navy will conduct. Taking the regulations and LOAs. Monitoring Subsistence Uses above into account, considering the reports based on these major training Section 101(a)5)(D) of the MMPA also sections discussed below, and exercises using military sonar have requires NMFS to determine that the dependent upon the implementation of shown that no marine mammal injury or

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mortality has occurred as a result of the versus TTS, which occurs continuously would be impacted; therefore, sonar operations (DoN, 2011a; 2011b). for its duration. The Q–20 ping duration consultation with NMFS, Office of is in milliseconds and the system is Protected Resources, Endangered Diel Cycle relatively low-powered making its range Species Act Interagency Cooperation As noted previously, many animals of effect smaller. Therefore, masking Division, on this planned Q–20 testing perform vital functions, such as feeding, effects from the Q–20 sonar signals are is not required. NMFS (Permits and resting, traveling, and socializing on a expected to be minimal. If masking or Conservation Division) will also not diel cycle (24-hr cycle). Substantive communication impairment were to formally consult with NMFS behavioral reactions to noise exposure occur briefly, it would be in the (Endangered Species Act Interagency (such as disruption of critical life frequency range of above 35 kHz (the Cooperation Division) on the issuance of functions, displacement, or avoidance of lower limit of the Q–20 signals), which an IHA under section 101(a)(5)(D) of the important habitat) are more likely to be overlaps with some marine mammal MMPA for this activity. Based on the significant if they last more than one vocalizations; however, it would likely analysis of the Navy Marine Resources diel cycle or recur on subsequent days not mask the entirety of any particular Assessment (MRA) data on marine (Southall et al., 2007). Consequently, a vocalization or communication series mammal distributions, there is near zero behavioral response lasting less than because the pulse length, frequency, and probability that the sperm whale will one day and not recurring on duty cycle of the Q–20 sonar signal does occur in the vicinity of the Q–20 study subsequent days is not considered not perfectly mimic the characteristics area. No other ESA-listed marine particularly severe unless it could of any marine mammal’s vocalizations. mammal is expected to occur in the directly affect reproduction or survival vicinity of the test area. In addition, PTS, Injury, or Mortality (Southall et al., 2007). acoustic modeling analysis indicates In the previous section, we discussed Based on the Navy’s model and NMFS that none of the ESA-listed marine the fact that potential behavioral analysis, it is unlikely that PTS, injury, mammal species would be exposed to responses to HFAS/MFAS that fall into or mortality of marine mammals would levels of sound that would constitute a the category of harassment could range occur from the Q–20 sonar testing ‘‘take’’ under the MMPA, due to the low in severity. By definition, the takes by activities. As discussed earlier, the source level and high attenuation rates behavioral harassment involve the lower source level (207–212 dB re 1 mPa of the Q–20 sonar signal. disturbance of a marine mammal or at 1 m) and high attenuation rate of the marine mammal stock in the wild by HFAS signals (above 35 kHz) make it National Environmental Policy Act causing disruption of natural behavioral highly unlikely that any marine In 2009, the Navy prepared a ‘‘Final patterns (such as migration, surfacing, mammals in the vicinity would be Environmental Impact Statement/ nursing, breeding, feeding, or sheltering) injured (including PTS) or killed as a Overseas Environmental Impact to a point where such behavioral result of sonar exposure. Therefore, no Statement for the NSWC PCD Mission patterns are abandoned or significantly take by Level A harassment, serious Activities’’ (FEIS/OEIS), and NMFS altered. In addition, the amount of time injury, or mortality is anticipated; nor subsequently adopted the FEIS/OEIS for the Q–20 sonar testing will occur is 420 would it be authorized under the IHA. its rule governing the Navy’s RDT&E hours per year in non-territorial waters, Based on the aforementioned activities in the NSWC PCD study area. and is spread among 42 days with an assessment, NMFS determines that With its IHA application, the Navy also average of 10 hours per day. Thus the approximately 399 bottlenose dolphins, prepared and submitted an ‘‘Overseas exposure is expected to be sporadic 126 pantropical spotted dolphins, 315 Environmental Assessment Testing the throughout the year and is localized Atlantic spotted dolphins, 126 spinner AN/AQS–20A Mine Reconnaissance within a specific testing site. NMFS dolphins, 42 Clymene dolphins, and 42 Sonar System in the NSWC PCD Testing anticipates that the Navy’s training striped dolphins would be affected by Range, 2012–2014.’’ To meet NMFS’s activities will not result in substantial Level B behavioral harassment as a National Environmental Policy Act behavioral disturbance to recruitment or result of the Q–20 sonar testing (NEPA; 42 U.S.C. 4321 et seq.) survival because the exposure is activities. requirements for the issuance of an IHA expected to be less intense than other Based on the supporting analyses to the Navy, NMFS prepared an sound sources and spread out over time, suggesting that no marine mammals ‘‘Environmental Assessment for the which should allow for periods of would be killed, seriously injured, Issuance of an Incidental Harassment recovery. injured, or receive TTS as a result of the Authorization to Take Marine Mammals Q–20 sonar testing activities coupled by Harassment Incidental to Conducting TTS with our assessment that these impacts High-Frequency Sonar Testing Based on the Navy’s model and NMFS will be of limited intensity and duration Activities in the Naval Surface Warfare analysis, it is unlikely that marine and likely not occur in areas and times Center Panama City Division’’ and mammals would be exposed to sonar critical to significant behavioral patterns signed a FONSI on July 24, 2012 prior received levels that could cause TTS such as reproduction, NMFS has to the issuance of the IHA for the Navy’s due to the lower source level (207 to 212 determined that the taking by Level B activities in July 2012 to July 2013. The dB re 1 mPa at 1 m) and high attenuation harassment of these species or stocks as currently planned Q–20 sonar testing rate of the HAFS signals (above 35 kHz). a result of the Navy’s Q–20 sonar test activities that would be covered by the will have a negligible impact on the IHA from July 2013 to July 2014 are Acoustic Masking or Communication marine mammal species and stocks similar to the sonar testing activities Impairment present in the Q–20 study area. described in the NMFS EA for the As discussed above, it is possible that issuance of an IHA and the Navy’s FEIS/ anthropogenic sound could result in Endangered Species Act OEIS and EA for NSWC PCD mission masking of marine mammal Under section 7 of the ESA, the Navy activities, and the effects of the IHA fall communication and navigation signals. has made a no effect determination on within the scope of those documents However, masking only occurs during ESA-listed species (e.g., sperm whales, and do not require further the time of the signal (and potential sea turtles, Gulf sturgeon, sawfish), an supplementation. After considering the secondary arrivals of indirect rays), no critical habitat for ESA-listed species EA, the information in the IHA

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application, the Federal Register notice, attachments and other supporting SYSTEM LOCATION: as well as public comments, NMFS has materials, will become part of the public Consumer Financial Protection determined that the issuance of the IHA record and subject to public disclosure. Bureau, 1700 G Street NW., Washington, is not likely to result in significant You should submit only information DC 20552. impacts on the human environment and that you wish to make available has reaffirmed its FONSI. An publicly. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Environmental Impact Statement is not FOR FURTHER INFORMATION CONTACT: required and will not be prepared for Individuals covered by this system are the action. Claire Stapleton, Chief Privacy Officer, persons who cite the Freedom of Consumer Financial Protection Bureau, Information Act or Privacy Act to Authorization 1700 G Street NW., Washington, DC request access to records or whose NMFS has issued an IHA for the take 20552, (202) 435–7220. information requests are treated as FOIA of six species of marine mammals, by SUPPLEMENTARY INFORMATION: The CFPB requests. Other individuals covered Level B harassment, at levels specified revises its Privacy Act System of include CFPB staff assigned to process in Table 3 (above) to the Navy for testing Records Notice (SORN) ‘‘CFPB.001— such requests, and employees who may the Q–20 sonar system in non-territorial CFPB Freedom of Information Act have responsive records or are waters of the NSWC PCD testing range (FOIA)/Privacy Act (PA) System.’’ In mentioned in such records. FOIA in the GOM, provided the previously revising this SORN, the CFPB modifies requests are subject to the PA only to mentioned mitigation, monitoring, and the notification procedures for the extent that they concern individuals; reporting requirements are incorporated. individuals seeking access to records information pertaining to corporations and other business entities and Dated: July 25, 2013. maintained in this system; modifies the organizations are not subject to the PA. Donna S. Wieting, system location, system manager(s) and address; consolidates two routine uses Director, Office of Protected Resources, CATEGORIES OF RECORDS IN THE SYSTEM: National Marine Fisheries Service. (previously routine uses 6 and 7) which include the disclosure of personally Records in the system may contain: [FR Doc. 2013–18785 Filed 8–2–13; 8:45 am] identifiable information (PII) from the (1) Correspondence with the requester BILLING CODE 3510–22–P system to the U.S. Department of Justice including initial requests and appeals; (DOJ) for its use in providing legal (2) documents generated or compiled advice to the CFPB or in representing during the search and processing of the BUREAU OF CONSUMER FINANCIAL the CFPB in a legal proceeding; and request; (3) fee schedules, cost PROTECTION adds a new routine use for the calculations, and accessed cost for disclosure of PII to law enforcement disclosed FOIA records; (4) documents Privacy Act of 1974, as Amended agencies as appropriate. and memoranda supporting the decision made in response to the request, AGENCY: Bureau of Consumer Financial The report of the revised system of referrals, and copies of records provided Protection. records has been submitted to the or withheld; (5) CFPB staff assigned to ACTION: Notice of a Revised Privacy Act Committee on Oversight and process, consider, and respond to System of Records. Government Reform of the House of requests and, where a request has been Representatives, the Committee on referred to another agency with equities SUMMARY: In accordance with the Homeland Security and Governmental in a responsive document, information Privacy Act of 1974, as amended, the Affairs of the Senate, and the Office of about the individual handling the Bureau of Consumer Financial Management and Budget, pursuant to request on behalf of that agency; (6) Protection, hereinto referred to as the Appendix I to OMB Circular A–130, information identifying the entity that is Consumer Financial Protection Bureau ‘‘Federal Agency Responsibilities for subject to the requests or appeals; (7) (CFPB or Bureau), gives notice of the Maintaining Records About requester information, including name, establishment of a revised Privacy Act Individuals,’’ dated November 30, 1 address, phone number, email address; System of Records. 2000, and the Privacy Act, 5 U.S.C. FOIA tracking number, phone number, DATES: Comments must be received no 552a(r). fax number, or some combination later than September 4, 2013. The new The revised system of records entitled thereof; and (8) for access requests system of records will be effective ‘‘CFPB.001—CFPB Freedom of under the Privacy Act, identifying September 16, 2013, unless the Information Act/Privacy Act System’’ is information regarding both the party comments received result in a contrary published in its entirety below. who is making the written request or determination. ADDRESSES: You may Dated: July 30, 2013. appeal, and the individual on whose submit comments by any of the Claire Stapleton, behalf such written requests or appeals following methods: are made, including name, Social • Chief Privacy Officer, Bureau of Consumer Electronic: [email protected]. Security number (SSNs may be • Financial Protection. Mail/Hand Delivery/Courier: Claire submitted with documentation or as Stapleton, Chief Privacy Officer, CFPB.001 proof of identification), address, phone Consumer Financial Protection Bureau, number, email address, FOIA number, SYSTEM NAME: 1700 G Street NW., Washington, DC phone number, fax number, or some 20552. CFPB Freedom of Information Act/ combination thereof. Comments will be available for public Privacy Act System inspection and copying at 1700 G Street AUTHORITY FOR MAINTENANCE OF THE SYSTEM: NW., Washington, DC 20552 on official 1 Although pursuant to Section 1017(a)(4)E, of the Public Law 111–203, Title X, Sections business days between the hours of 10 Consumer Financial Protection Act, Public Law 1011, 1012, 1021, codified at 12 U.S.C. a.m. and 5 p.m. Eastern Time. You can 111–203, the CFPB is not required to comply with §§§ 5491, 5492, 5511; The Freedom of OMB-issued guidance, it voluntarily follows OMB make an appointment to inspect privacy-related guidance as a best practice and to Information Act of 1996, as amended 5 comments by telephoning (202) 435– facilitate cooperation and collaboration with other U.S.C. 552; Privacy Act of 1974, as 7220. All comments, including agencies. amended 5 U.S.C. 552a.

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