Taking and Importing Marine Mammals; Military Training Activities and Research, Development, Testing and Evaluation Conducted Within the Mariana Islands Range Complex (MIRC), 53796-53873 [E9-24837]
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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric
Administration
50 CFR Part 218
[Docket No. 0907281180–91190–01]
RIN 0648–AX90
Taking and Importing Marine
Mammals; Military Training Activities
and Research, Development, Testing
and Evaluation Conducted Within the
Mariana Islands Range Complex
(MIRC)
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AGENCY: National Marine Fisheries
Service (NMFS), National Oceanic and
Atmospheric Administration (NOAA),
Commerce.
ACTION: Proposed rule; request for
comments.
SUMMARY: NMFS has received a request
from the U.S. Navy (Navy) for
authorization for the Department of
Defense (including the Navy, the U.S.
Air Force (USAF), and the U.S. Marine
Corps (USMC)) to take marine mammals
incidental to training activities
conducted in the Mariana Islands Range
Complex (MIRC) study area for the
period of March 2010 through February
2015 (amended from the initial request
for January 2010 through December
2014). Pursuant to the Marine Mammal
Protection Act (MMPA), NMFS is
proposing regulations to govern that
take and requesting information,
suggestions, and comments on these
proposed regulations.
DATES: Comments and information must
be received no later than November 19,
2009.
ADDRESSES: You may submit comments,
identified by 0648–AX90, by any one of
the following methods:
• Electronic Submissions: Submit all
electronic public comments via the
Federal eRulemaking Portal https://
www.regulations.gov.
• Hand delivery or mailing of paper,
disk, or CD–ROM comments should be
addressed to Michael Payne, Chief,
Permits, Conservation and Education
Division, Office of Protected Resources,
National Marine Fisheries Service, 1315
East-West Highway, Silver Spring, MD
20910–3225.
Instructions: All comments received
are a part of the public record and will
generally be posted to https://
www.regulations.gov without change.
All Personal Identifying Information (for
example, name, address, etc.)
voluntarily submitted by the commenter
may be publicly accessible. Do not
submit Confidential Business
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Information or otherwise sensitive or
protected information.
NMFS will accept anonymous
comments (enter N/A in the required
fields if you wish to remain
anonymous). Attachments to electronic
comments will be accepted in Microsoft
Word, Excel, WordPerfect, or Adobe
PDF file formats only.
FOR FURTHER INFORMATION CONTACT: Jolie
Harrison, Office of Protected Resources,
NMFS, (301) 713–2289, ext. 166.
SUPPLEMENTARY INFORMATION:
Availability
A copy of the Navy’s application, as
well as the draft Monitoring Plan and
the draft Stranding Response Plan for
MIRC, may be obtained by writing to the
address specified above (see
ADDRESSES), telephoning the contact
listed above (see FOR FURTHER
INFORMATION CONTACT), or visiting the
Internet at: https://www.nmfs.noaa.gov/
pr/permits/incidental.htm#applications.
The Navy’s Draft Environmental Impact
Statement (DEIS) for MIRC was
published on January 30, 2009, and may
be viewed at https://www.nmfs.noaa.gov/
pr/permits/incidental.htm#applications.
NMFS is participating in the
development of the Navy’s EIS as a
cooperating agency under NEPA.
Background
Sections 101(a)(5)(A) and (D) of the
MMPA (16 U.S.C. 1361 et seq.) direct
the Secretary of Commerce (Secretary)
to allow, upon request, the incidental,
but not intentional taking of marine
mammals by U.S. citizens who engage
in a specified activity (other than
commercial fishing) during periods of
not more than five consecutive years
each if certain findings are made and
regulations are issued or, if the taking is
limited to harassment, notice of a
proposed authorization is provided to
the public for review.
Authorization shall be granted if
NMFS finds that the taking will have a
negligible impact on the species or
stock(s), will not have an unmitigable
adverse impact on the availability of the
species or stock(s) for subsistence uses,
and if the permissible methods of taking
and requirements pertaining to the
mitigation, monitoring and reporting of
such taking are set forth.
NMFS has defined ‘‘negligible impact’’
in 50 CFR 216.103 as:
an impact resulting from the specified
activity that cannot be reasonably expected
to, and is not reasonably likely to, adversely
affect the species or stock through effects on
annual rates of recruitment or survival.
The National Defense Authorization
Act of 2004 (NDAA) (Pub. L. 108–136)
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modified the MMPA by removing the
‘‘small numbers’’ and ‘‘specified
geographical region’’ limitations and
amended the definition of ‘‘harassment’’
as it applies to a ‘‘military readiness
activity’’ to read as follows (Section
3(18)(B) of the MMPA):
(i) Any act that injures or has the
significant potential to injure a marine
mammal or marine mammal stock in the wild
[Level A Harassment]; or
(ii) Any act that disturbs or is likely to
disturb a marine mammal or marine mammal
stock in the wild by causing disruption of
natural behavioral patterns, including, but
not limited to, migration, surfacing, nursing,
breeding, feeding, or sheltering, to a point
where such behavioral patterns are
abandoned or significantly altered [Level B
Harassment].
Summary of Request
In August 2008, NMFS received an
application from the Navy (which was
updated in February, March, and June
2009) requesting authorization for the
take of individuals of 28 species of
marine mammals incidental to
upcoming Department of Defense
(including Navy, USMC, and USAF)
training activities to be conducted from
March 2010 through February 2015
within the MIRC study area, which
encompasses a 501,873-square-nautical
mile (nm2) area around the islands of
Guam, Tinian, Saipan, Rota, Fallaron de
Medenillia, and others and includes
ocean areas in both the Pacific Ocean
and the Philippine Sea. These training
activities are classified as military
readiness activities under the provisions
of the NDAA. The Navy states, and
NMFS concurs, that these military
readiness activities may incidentally
take marine mammals present within
the MIRC Study Area by exposing them
to sound from mid-frequency or high
frequency active sonar (MFAS/HFAS) or
underwater detonations. The Navy
requests authorization to take
individuals of 27 species of marine
mammals by Level B Harassment and 2
individuals of 2 species by Level A
Harassment, although injury will likely
be avoided through the implementation
of the Navy’s proposed mitigation
measures. Further, although it does not
anticipate that it will occur, the Navy
requests authorization to take, by injury
or mortality, up to 10 beaked whales
over the course of the 5-yr regulations.
Description of Specified Activities
Purpose and Background
The Navy’s mission is to maintain,
train, and equip combat-ready naval
forces capable of winning wars,
deterring aggression, and maintaining
freedom of the seas. Section 5062 of
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Title 10 of the United States Code
directs the Chief of Naval Operations to
train all military forces for combat. The
Chief of Naval Operations meets that
direction, in part, by conducting at-sea
training exercises and ensuring naval
forces have access to ranges, operating
areas (OPAREAs) and airspace where
they can develop and maintain skills for
wartime missions and conduct research,
development, testing, and evaluation
(RDT&E) of weapons systems.
The specified training and RDT&E
activities addressed in this proposed
rule are a subset of the Proposed Action
described in the MIRC DEIS, which
would support and maintain
Department of Defense training and
assessments of current capabilities,
RDT&E activities, and associated range
capabilities (including hardware and
infrastructure improvements in the
MIRC). Training and RDT&E do not
include combat operations, operations
in direct support of combat, or other
activities conducted primarily for
purposes other than training. The
Department of Defense proposes to
implement actions within the MIRC to:
• Maintain baseline training and
RDT&E activities at mandated levels;
• Provide the potential to increase
training activities and exercises from
current levels;
• Accommodate increased readiness
activities associated with the force
structure changes (human resources,
new platforms, additional weapons
systems, including underwater tracking
capabilities and training activities to
support Intelligence, Surveillance,
Reconnaissance, Strike [ISR/Strike]);
and
• Implement range complex
investment strategies that sustain,
upgrade, modernize, and transform the
MIRC to accommodate increased use
and more realistic training scenarios.
The proposed action would result in
the following increases (above those
conducted in previous years, i.e., the No
Action Alternative in the Navy’s DEIS)
in activities associated with the annual
take of marine mammals:
• Multistrike Exercises and Joint
Expeditionary Exercises (most extensive
at sea exercises utilizing MFAS)—
increase from one exercise in alternate
years to one exercise every year.
• Other Major Exercises utilizing
MFAS (shorter and less MFAS use)—
increase from 1 to 7 exercises.
• Unit Level Anti-submarine Warfare
(ASW) Exercises (TRACKEX and
TORPEX)—an increase from 34 to 83
exercises.
• Mine Warfare Exercises—an
increase from 32 to 53 exercises.
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• Bombing Exercises (non-inert)—an
increase from 1 to 4 exercises.
• Sinking Exercises—an increase
from 1 to 2 exercises.
• Gunnery Exercises—an increase
from 32 to 54 exercises.
• Missile Exercises (Air to Surface,
live HELLFIRE missile)—an increase
from 0 to 2 exercises.
Overview of the MIRC
The U.S. military has been training
and operating in the area now defined
as the MIRC for over 100 years. The
MIRC Study Area (see figure 1–1 in the
Navy’s application) is located in the
Western Pacific (WestPac) and consists
of three primary components: ocean
surface and undersea areas, special use
airspace (SUA), and training land areas.
The ocean surface and undersea areas
extend from the international waters
south of Guam to north of Pagan
(CNMI), and from the Pacific Ocean east
of the Mariana Islands to the middle of
the Philippine Sea to the west,
encompassing 501,873 square nautical
miles (nm2) (1,299,851 square
kilometers [km2]) of open ocean and
littorals (coastal areas). The MIRC Study
Area includes ocean areas in the
Philippine Sea, Pacific Ocean, and
exclusive economic zones (EEZs) of the
United States and Federal States of
Micronesia (FSM). The MIRC Study
Area includes land ranges and training
area/facilities on Guam, Rota, Tinian,
Saipan, and Farallon de Medinilla
(FDM), encompassing 64 nm2 (220 km2)
of land. Special Use Airspace (SUA)
consists of Warning Area 517 (W–517),
restricted airspace over FDM (R–7201),
and Air Traffic Control Assigned
Airspace (ATCAA) encompassing
63,000 nm2 (216,000 km2) of airspace.
For range management and scheduling
purposes, the MIRC is divided into
training areas under different
controlling authorities.
Guam is located roughly three
quarters of the distance from Hawaii to
the Philippines, about 1,600 miles east
of Manila and 1,550 miles southeast of
Tokyo. The southern extent of the
Commonwealth of the Northern Mariana
Islands (CNMI) is located 40 miles north
of Guam (Rota Island) and extends 330
miles to the northwest. Saipan, the
CNMI capital, is 3,300 miles west of
Honolulu and 1,470 miles southsoutheast of Tokyo. The MIRC is of
particular significance for the training of
U.S. military forces in the Western
Pacific because of its location. As the
westernmost complex in U.S. territory,
it provides the only opportunity for
forward-deployed U.S. forces to train on
U.S.-owned lands without having to
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return to Hawaii or the continental
United States.
The seafloor of the MIRC is
characterized by the Mariana Trench,
the Mariana Basin, the Mariana Ridge,
ridges, numerous seamounts,
hydrothermal vents, and volcanic
activity. These areas are comprised of
very deep water with a very rapid
transition from the shelf to deep water.
The Mariana Trench is located east to
south-east of Guam and the Mariana
Islands and is characterized by deep
depths of 16,404 to 32,808 feet [ft]
(5,000 to 10,000 m) (Fryer et al., 2003).
The Mariana Basin is located west of
Guam and the Mariana Islands, and is
characterized by an average depth of
11,483 ft (Taylor and Martinez 2003;
Yamazaki et al., 1993). The Mariana
Ridge consists of Guam and the Mariana
Islands and the waters out to the
Mariana Trench, and is characterized by
shallow water transitioning to deep
water of 11,483 ft (3,500 m) (Taylor and
Martinez 2003; Yamazaki et al., 1993).
The bottom substrate covering the
seafloor in the MIRC is primarily
volcanic or marine in nature (Eldredge,
1983).
The waters of the MIRC Study Area
undergo an annual cycle of temperature
change, however this temperature flux
is only a few degrees each year, as
would be expected from a tropical
climate. The temperature throughout the
year ranges from about 25° to 31 °C with
an annual mean temperature of 27° to
28 °C for the years ranging from 1984 to
2003 (National Oceanic and
Atmospheric Administration [NOAA]
2004). Temperatures increase during the
summer and autumn months with peak
temperatures occurring in September/
October.
The water column in the MIRC Study
Area contains a well-mixed surface
layer ranging from 295 ft to 410 ft (90
to 125 m). Immediately below the mixed
layer is a rapid decline in temperature
to the cold deeper waters. Unlike more
temperate climates, the thermocline is
relatively stable, rarely turning over and
mixing the more nutrient-rich waters of
the deeper ocean in to the surface layer.
This constitutes what has been defined
as a ‘‘significant’’ surface duct (a mixed
layer of constant water temperature
extending from the sea surface to 100
feet or more), which influences the
transmission of sound in the water. This
factor has been included in the
modeling analysis of marine mammal
impacts.
Marianas Trench Marine National
Monument
The Marianas Trench Marine National
Monument (the ‘Monument’) was
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established in January 2009 by
Presidential Proclamation under the
authority of the Antiquities Act (16
U.S.C. 431). The Monument consists of
approximately 71,897 square nautical
miles (246,600 square kilometers) of
submerged lands and waters of the
Mariana Archipelago and was
designated with the purpose of
protecting the submerged volcanic areas
of the Mariana Ridge, the coral reef
ecosystems of the waters surrounding
the islands of Farallon de Pajaros, Maug,
and Asuncion in the Commonwealth of
the Northern Mariana Islands, and the
Mariana Trench. The Monument
includes the waters and submerged
lands of the three northernmost Mariana
Islands (the ‘Islands Unit’) and only the
submerged lands of designated volcanic
sites (the ‘Volcanic Unit’) and the
Mariana Trench (the ‘Trench Unit’) to
the extent described as follows: The
seaward boundaries of the Islands Unit
of the monument extend to the lines of
latitude and longitude which lie
approximately 50 nautical miles (93
kilometers) from the mean low water
line of Farallon de Pajaros (Uracas),
Maug, and Asuncion. The inland
boundary of the Islands Unit of the
monument is the mean low water line.
The boundary of the Trench Unit of the
Monument extends from the northern
limit of the EEZ of the United States in
the Commonwealth of the Northern
Mariana Islands to the southern limit of
the Exclusive Economic Zone of the
United States in Guam approximately
following the points of latitude and
longitude identified in Figure 3.6–1 of
the MIRC DEIS. The boundaries of the
Volcanic Unit of the Monument include
a 1 nautical mile radius centered on
each of the islands’ volcanic features.
The Monument contains objects of
scientific interest, including the largest
active mud volcanoes on Earth. The
Champagne vent, located at the Eifuku
submarine volcano, produces almost
pure liquid carbon dioxide. This
phenomenon has only been observed at
one other site in the world. The Sulfur
Cauldron, a pool of liquid sulfur, is
found at the Daikoku submarine
volcano. The only other known location
of molten sulfur is on Io, a moon of
Jupiter. Unlike other reefs across the
Pacific, the northernmost Mariana reefs
provide unique volcanic habitats that
support marine biological communities
requiring basalt. Maug Crater represents
one of only a handful of places on Earth
where photosynthetic and
chemosynthetic communities of life are
known to come together.
The waters of the Monument’s
northern islands are among the most
biologically diverse in the Western
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Pacific and include the greatest
diversity of seamount and hydrothermal
vent life yet discovered. These volcanic
islands are ringed by coral ecosystems
with very high numbers of apex
predators, including large numbers of
sharks. They also contain one of the
most diverse collections of stony corals
in the Western Pacific. The northern
islands and shoals in the Monument
have substantially higher large fish
biomass, including apex predators, than
the southern islands and Guam. The
waters of Farallon de Pajaros (also
known as Uracas), Maug, and Asuncion
support some of the largest biomass of
reef fishes in the Mariana Archipelago.
A portion of the Monument lies
within the MIRC, including a small area
on the northern border of the MIRC as
well as the Volcanic Unit and the
Trench Unit (See Figure 3.6–1). Any of
the activities identified under the
Proposed Action could take place
within areas included in the Monument,
where they overlap. The Presidential
Proclamation establishing the
Monument indicates that the
prohibitions required by the
Proclamation shall not apply to
activities and exercises of the Armed
Forces, but also that the Armed Forces
shall ensure, by the adoption of
appropriate measures not impairing
operations or operational capabilities,
that its vessels and aircraft act in a
manner consistent, so far as is
reasonable and practicable, with the
Proclamation.
Specified Activities
As mentioned above, the Navy has
requested MMPA authorization to take
marine mammals incidental to training
or RDT&E activities in the MIRC that
would result in the generation of sound
or pressure waves in the water at or
above levels that NMFS has determined
will likely result in take (see Acoustic
Take Criteria Section), either through
the use of MFAS/HFAS or the
detonation of explosives in the water.
These activities are discussed in the
subsections below. In addition to use of
active sonar sources and explosives,
these activities include the operation
and movement of vessels that are
necessary to conduct the training, and
the effects of this part of the activities
are also analyzed in this document.
The Navy’s application also briefly
summarizes Maritime and Air
Interdiction of Maritime Targets and Air
Combat Maneuvers; however, these
activities are primarily air based and do
not utilize sound sources or explosives
in the water. No take of marine
mammals is anticipated to result from
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these activities and, therefore, they are
not discussed further.
Activities Utilizing Active Sonar
Sources
For the MIRC, the training activities
that utilize active tactical sonar sources
fall primarily into the category of Antisubmarine Warfare (ASW). This section
includes a description of ASW, the
active acoustic devices used in ASW
exercises, and the exercise types in
which these acoustic sources are used.
ASW Training and Active Sonar
ASW involves helicopter and sea
control aircraft, ships, and submarines,
operating alone or in combination, to
locate, track, and neutralize submarines.
Various types of active and passive
sonars are used by the Navy to
determine water depth, locate mines,
and identify, track, and target
submarines. Passive sonar ‘‘listens’’ for
sound waves by using underwater
microphones, called hydrophones,
which receive, amplify and process
underwater sounds. No sound is
introduced into the water when using
passive sonar. Passive sonar can
indicate the presence, character and
movement of submarines. However,
passive sonar provides information
about only the bearing (direction) to a
sound-emitting source; it does not
provide an accurate range (distance) to
the source. Also, passive sonar relies on
the underwater target itself to provide
sufficient sound to be detected by
hydrophones. Active sonar is needed to
locate objects that emit little or no noise
(such as mines or diesel-electric
submarines operating in electric mode)
and to establish both bearing and range
to the detected contact.
Active sonar transmits pulses of
sound that travel through the water,
reflect off objects and return to a
receiver. By knowing the speed of sound
in water and the time taken for the
sound wave to travel to the object and
back, active sonar systems can quickly
calculate direction and distance from
the sonar platform to the underwater
object. There are three types of active
sonar: Low frequency, mid-frequency,
and high-frequency.
MFAS, as defined in the Navy’s MIRC
LOA application, operates between 1
and 10 kHz, with detection ranges up to
10 nm (19 km). Because of this detection
ranging capability, MFAS is the Navy’s
primary tool for conducting ASW. Many
ASW experiments and exercises have
demonstrated that the improved
capability (of MFAS over other sources)
for long range detection of adversary
submarines before they are able to
conduct an attack is essential to U.S.
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ship survivability. Today, ASW is the
Navy’s number one war-fighting
priority. Navies across the world utilize
modern, quiet, diesel-electric
submarines that pose the primary threat
to the U.S. Navy’s ability to perform a
number of critical missions. Extensive
training is necessary if Sailors on ships
and in strike groups are to gain
proficiency in using MFAS. If a strike
group does not demonstrate MFAS
proficiency, it cannot be certified as
combat ready.
HFAS, as defined in the Navy’s MIRC
LOA application, operates at
frequencies greater than 10 kilohertz
(kHz). At higher acoustic frequencies,
sound rapidly dissipates in the ocean
environment, resulting in short
detection ranges, typically less than five
nm (9 km). High-frequency sonar is used
primarily for determining water depth,
hunting mines and guiding torpedoes.
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Surveillance Towed Array Sensor
System Low Frequency Active
(SURTASS LFA) sonar operates below 1
kHz and is designed to detect extremely
quiet diesel-electric submarines at
ranges far beyond the capabilities of
MFA sonars. There are currently only
two ships in use by the Navy that are
equipped with LFA sonar; both are
ocean surveillance vessels operated by
Military Sealift Command (MSC).
Acoustic Sources Used for ASW
Exercises in the MIRC
Modern sonar technology has
developed a multitude of sonar sensor
and processing systems. In concept, the
simplest active sonars emit omnidirectional pulses (‘‘pings’’) and time
the arrival of the reflected echoes from
the target object to determine range.
More sophisticated active sonar emits
an omni-directional ping and then
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rapidly scans a steered receiving beam
to provide directional, as well as range,
information. More advanced active
sonars transmit multiple preformed
beams, listening to echoes from several
directions simultaneously and
providing efficient detection of both
direction and range. The types of active
sonar sources employed during ASW
active sonar training exercises in the
MIRC are identified in Table 1.
The SURTASS LFA system may also
be used during some of the Navy’s
training and testing scenarios within the
MIRC Study Area (see SURTASS LFA
subsection below), however, that
system’s use was analyzed in other
environmental documentation (DON
1999, 2002b, 2007a; NOAA 2002a,
2007).
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ASW sonar systems are deployed
from certain classes of surface ships,
submarines, helicopters, and fixed-wing
maritime patrol aircraft (MPA).
Maritime patrol aircraft is a category of
fixed-wing aircraft that includes the
current P–3C Orion, and the future
P–8 Poseidon multimission maritime
aircraft. The surface ships used are
typically equipped with hull-mounted
sonars (passive and active) for the
detection of submarines. Fixed-wing
MPA are used to deploy both active and
passive sonobuoys to assist in locating
and tracking submarines or ASW targets
during the exercise. Helicopters are
used to deploy both active and passive
sonobuoys to assist in locating and
tracking submarines or ASW targets
during the exercise, and to deploy
dipping sonar. Submarines are equipped
with passive sonar sensors used to
locate and prosecute other submarines
and/or surface ships during the exercise.
The platforms used in ASW exercises
are identified below.
Surface Ship Sonars—A variety of
surface ships participate in training
events, including the Fast Frigate (FFG)
and the Guided Missile Destroyer
(DDG), and the guided missile cruiser
(CG). These three classes of ship are
equipped with active as well as passive
tactical sonars for mine avoidance and
submarine detection and tracking. DDG
and CG class ships are equipped with
the AN/SQS–53 sonar system (the most
powerful system), with a nominal
source level of 235 decibels (dB) re 1
μPa @ 1 m. The FFG class ship uses the
SQS–56 sonar system, with a nominal
source level of 225 decibels (dB) re 1
μPa @ 1 m. Sonar ping transmission
durations were modeled as lasting 1
second per ping and omni-directional,
which is a conservative assumption that
will overestimate potential effects.
Actual ping durations will be less than
1 second. The AN/SQS–53 hullmounted sonar transmits at a center
frequency of 3.5 kHz. The SQS–56
transmits at a center frequency of 7.5
kHz. Details concerning the tactical use
of specific frequencies and the
repetition rate for the sonar pings is
classified but was modeled based on the
required tactical training setting.
Submarine Sonars—Submarine
sonars (e.g., AN/BQQ–10) are used to
detect and target enemy submarines and
surface ships. Because submarine active
sonar use is very rare and in those rare
instances, very brief, it is extremely
unlikely that use of active sonar by
submarines would have any measurable
effect on marine mammals. In addition,
submarines have a high frequency AN/
BQS–15 sonar used for navigation safety
and mine avoidance that is not unlike
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a fathometer in source level or output.
There is, at present, no mine training
range in the MIRC area. Therefore, given
its limited use and rapid attenuation as
a high frequency source, the AN/BQS–
15 is not expected to result in the take
of marine mammals.
Aircraft Sonar Systems—Aircraft
sonar systems that would operate in the
MIRC include sonobuoys and dipping
sonar. Sonobuoys may be deployed by
maritime patrol aircraft or helicopters;
dipping sonars are used by carrier-based
helicopters. A sonobuoy is an
expendable device used by aircraft for
the detection of underwater acoustic
energy and for conducting vertical water
column temperature measurements.
Most sonobuoys are passive, but some
can generate active acoustic signals, as
well. Dipping sonar is an active or
passive sonar device lowered on cable
by helicopters to detect or maintain
contact with underwater targets. During
ASW training, these systems’ active
modes are only used briefly for
localization of contacts and are not used
in primary search capacity.
Extended Echo Ranging and Improved
Extended Echo Ranging (EER/IEER)
Systems—EER/IEER are airborne ASW
systems used to conduct ‘‘large area’’
searches for submarines. These systems
are made up of airborne avionics ASW
acoustic processing and sonobuoy types
that are deployed in pairs. The EER/
IEER System’s active sonobuoy
component, the AN/SSQ–110A
Sonobuoy, generates an explosive sound
impulse and a passive sonobuoy
(ADAR, AN/SSQ–101A) that would
‘‘listen’’ for the return echo that has
been bounced off the surface of a
submarine. These sonobuoys are
designed to provide underwater
acoustic data necessary for naval
aircrews to quickly and accurately
detect submerged submarines. The
sonobuoy pairs are dropped from a
maritime patrol aircraft into the ocean
in a predetermined pattern with a few
buoys covering a very large area. The
AN/SSQ–110A Sonobuoy Series is an
expendable and commandable
sonobuoy. Upon command from the
aircraft, the explosive charge would
detonate, creating the sound impulse.
Within the sonobuoy pattern, only one
detonation is commanded at a time.
Twelve to twenty SSQ–110A source
sonobuoys are used in a typical
exercise. Both charges of each sonobuoy
would be detonated independently
during the course of the training, either
tactically to locate the submarine, or
when the sonobuoys are commanded to
scuttle at the conclusion of the exercise.
The AN/SSQ–110A is listed in Table 1
because it functions like a sonar ping,
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however, the source creates an
explosive detonation and its effects are
considered in the underwater explosive
section.
Advanced Extended Echo Ranging
(AEER) System—The proposed AEER
system is operationally similar to the
existing EER/IEER system. The AEER
system will use the same ADAR
sonobuoy (SSQ–101A) as the acoustic
receiver and will be used for a large area
ASW search capability in both shallow
and deep water. However, instead of
using an explosive AN/SQS–110A as an
impulsive source for the active acoustic
wave, the AEER system will use a
battery powered (electronic) source for
the AN/SSQ 125 sonobuoy. The output
and operational parameters for the AN/
SSQ–125 sonobuoy (source levels,
frequency, wave forms, etc.) are
classified. However, this sonobuoy is
intended to replace the EER/IEER’s use
of explosives and is scheduled to enter
the fleet in 2011. For purposes of
analysis, replacement of the EER/IEER
system by the AEER system will be
assumed to occur at 25% per year as
follows: 2011—25% replacement;
2012—50% replacement; 2013—75%
replacement; 2014—100% replacement
with no further use of the EER/IEER
system beginning in 2015 and beyond.
Torpedoes—Torpedoes are the
primary ASW weapon used by surface
ships, aircraft, and submarines. The
guidance systems of these weapons can
be autonomous or electronically
controlled from the launching platform
through an attached wire. The
autonomous guidance systems are
acoustically based. They operate either
passively, exploiting the emitted sound
energy by the target, or actively,
ensonifying the target and using the
received echoes for guidance. The MK–
48 submarine-launched torpedo was
modeled for active sonar transmissions
as a high frequency source during
specified training activities within the
MIRC. The use of the less powerful MK–
46 and MK–54 torpedoes will also occur
in the MIRC, however, their use was
accounted for by modeling all torpedo
use in MIRC as if they were MK–48
torpedoes.
Portable Undersea Tracking Range—
The Portable Undersea Tracking Range
(PUTR) would be developed to support
ASW training in areas where the ocean
depth is between 400 m and 3500 m. In
MIRC it would likely be deployed in a
TORPEX area or in W–517. This system
would temporarily instrument up to a
100 square-nautical mile or smaller
areas on the seafloor, and would
provide high fidelity crew feedback and
scoring of crew performance during
ASW training activities. No on-shore
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construction would take place. Seven
electronics packages, each
approximately 3 ft long by 2 ft in
diameter, would be temporarily
installed on the seafloor by a range boat.
The anchors used to keep the
electronics packages on the seafloor are
made of steel, approximately 1.5 ft-by1.5 ft and 300 pounds. PUTR use is
planned for Navy training areas other
than MIRC including the Northwest
Training Range Complex and Gulf of
Alaska. PUTR equipment can be
recovered for maintenance or when
training is completed. The Navy
proposes to deploy this system year
round, and to conduct TRACKEX and
TORPEX activities for up to 35 days per
year at any time of year. During each of
the 35 days of annual operation, the
PUTR would be in use for up to 8 hours
each day. Two separate sound sources
are associated with the operation of the
PUTR:
• Range tracking pingers—Range
tracking pingers would be used on
ships, submarines, and ASW targets
when training is conducted on the
PUTR. A typical MK 84 range tracking
pinger generates a 12.9 kHz pulse with
a duty cycle of 15 milliseconds and has
a design power of 194 dB re 1 microPascal at 1 meter. Ping rate is selectable
and typically one pulse every two
seconds. Under the proposed action, up
to four range pingers would operate
simultaneously for 8 hours each of the
35 PUTR operating days per year. Total
time operated would be 280 hours
annually.
• Transponders—Each transponder
package consists of a hydrophone that
receives pinger signals, and a transducer
that sends an acoustic ‘‘uplink’’ of
locating data to the range boat. The
uplink signal is transmitted at 8.8
kilohertz (kHz) or 40 kHz, at a source
level of 190 decibels (dB) at 40 kHz, and
186 dB at 8.8 kHz. The uplink frequency
is selectable and typically uses the 40
kHz signal, however the lower
frequency may be used when PUTR is
deployed in deep waters where
conditions may not permit the 40 kHz
signal to establish and maintain the
uplink. The PUTR system also
incorporates an emergency underwater
voice capability that transmits at 8–11
kHz and a source level of 190 dB. Under
the proposed action, the uplink
transmitters would operate 35 days per
year, for 8 hours each day of use. Total
time operated would be 280 hours
annually.
Acoustic Device Countermeasures
(ADCs)—ADCs (e.g., AN/SLQ–25
(‘‘NIXIE’’), MK–2 and MK–3 are, in
effect, decoys to avert localization and/
or torpedo attacks. These do not
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represent a significant source of sound
given their intermittent use and
operational characteristics (source
output level and/or frequency). Given
the sporadic use of these devices, the
potential to affect marine mammals is
unlikely, therefore these sources were
not modeled or considered further in
this analysis.
Training Targets—ASW training
targets are used to simulate opposition
submarines. They are equipped with
one or a combination of the following
devices: (1) Acoustic projectors
emanating sounds to simulate
submarine acoustic signatures, (2) echo
repeaters to simulate the characteristics
of the echo of a particular sonar signal
reflected from a specific type of
submarine, and (3) magnetic sources to
trigger magnetic detectors. Based on the
operational characteristics (source
output level and/or frequency) of these
acoustic sources, the potential to affect
marine mammals is unlikely, and
therefore they were not modeled for this
analysis.
SURTASS LFA—SURTASS LFA is a
long-range, all-weather, sonar system
that operates in the low frequency band
(100–500 Hz). The system has both
passive and active components. The
active system component, LFA, is an
augmentation to the passive detection
system, and is planned for use when
passive system performance proves
inadequate. LFA is a set of acoustic
transmitting source elements suspended
by cable from underneath a ship. These
elements, called projectors, are devices
that produce the active sound pulse, or
ping. The projectors transform electrical
energy to mechanical energy that set up
vibrations or pressure disturbances
within the water to produce a ping. The
passive, or listening, part of the system
is SURTASS, which detects returning
echoes from submerged objects, such as
submarines, through the use of
hydrophones. The SURTASS
hydrophones are mounted on a receive
array that is towed behind the vessel.
The return signals or echoes, which are
usually below background or ambient
sound level, are then processed and
evaluated to identify and classify
potential underwater targets.
In the MIRC Study Area, the military
intends to conduct three exercises
(multi-strike group exercises) that will
include an LFA component during a
five-year period that may include both
SURTASS LFA and MFA active sonar
sources. The expected duration of these
combined exercises is approximately 14
days. Based on an exercise of this
length, an LFA system would be active
(i.e., actually transmitting) for no more
than approximately 25 hours. In the
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combined exercise, LFA sonar is used as
a long-range search tool (to find a
potential target at long range) while
MFA sonar is generally used as a closerrange search tool (to find a target at
closer range). The LFA sonar and the
MFA sonar would not normally be
operated in close proximity to each
other. Tactical and technical
considerations dictate that the LFA ship
would typically be tens of miles from
the MFA ship when using active sonar.
Analysis of the environmental
impacts of the SURTASS LFA system,
including the potential for synergistic
and cumulative effects with MFAS
operation, was previously presented in
a series of Navy EISs and the August,
2009 biological opinion for SURTASS
LFA 2009 LOA, and the take of marine
mammals incidental to the operation of
LFA in the MIRC and elsewhere has
been previously authorized by NOAA/
NMFS (2002a, 2007). Although the
authorization of take of marine
mammals incidental to the operation of
LFA sonar will not be considered here,
NMFS describes and considers the
limited manner in which the two
separately analyzed systems (LFAS and
MFAS) may interact in a multi-strike
group exercise in the MIRC.
Exercises Utilizing MFAS in the MIRC
As described above, ASW Exercises
are the primary type of exercises that
utilize MFAS and HFAS sources in the
MIRC. Unit level tracking and torpedo
ASW exercises occur regularly in the
MIRC. Additionally, in a single year the
MIRC will either have several major
exercises, or one multi-strike group
exercise, that integrate ASW training
with other types of training such as air,
surface, or strike warfare. ASW exercise
descriptions are included below and
summarized (along with the exercises
utilizing explosives) in Table 2.
ASW Tracking Exercise (TRACKEX)—
Generally, TRACKEXs train aircraft,
ship, and submarine crews in tactics,
techniques, and procedures for search,
detection, localization, and tracking of
submarines with the goal of determining
a firing solution that could be used to
launch a torpedo and destroy the
submarine. ASW Tracking Exercises
occur during both day and night. A
typical unit-level exercise involves one
(1) ASW unit (aircraft, ship, or
submarine) versus one (1) target—either
a MK–39 Expendable Mobile ASW
Training Target (EMATT), or a live
submarine. The target may be nonevading while operating on a specified
track or fully evasive. Participating units
use active and passive sensors,
including hull-mounted sonar, towed
arrays, and sonobuoys for tracking. If
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the exercise continues into the firing of
a practice torpedo it is termed a
Torpedo Exercise (TORPEX). The ASW
TORPEX usually starts as a TRACKEX
to achieve the firing solution. The
different types of TORPEXs are further
described below.
Torpedo Exercise (TORPEX)—Antisubmarine Warfare (ASW) TORPEX
activities train crews in tracking and
attack of submerged targets, firing one or
two exercise torpedoes (EXTORPs) or
recoverable exercise torpedoes
(REXTORPs). TORPEX targets and
systems used in the Offshore Areas may
include live submarines, MK–46, MK–
54, and MK–48 torpedoes, MK–30 ASW
training targets, and MK–39 Expendable
Mobile ASW Training Targets
(EMATTs). The target may be nonevading while operating on a specified
track, or it may be fully evasive,
depending on the training requirements
of the training exercise. Submarines
periodically conduct torpedo firing
training exercises within the MIRC.
Typical duration of a submarine
TORPEX exercise is 10 hours, while air
and surface ASW platform TORPEX
exercises using the MK–46 and MK–54
torpedoes are considerably shorter.
Joint Expeditionary Exercise—The
Joint Expeditionary Exercise brings
different branches of the U.S. military
together in a joint environment that
includes planning and execution efforts
as well as military operations at sea, in
the air, and ashore. The purpose of the
exercise is to train a U.S. Joint Task
Force staff in crisis action planning for
execution of contingency operations. It
provides U.S. forces an opportunity to
practice training together in a joint
environment as well as a combined
environment with partner nation forces,
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where more than 8,000 personnel may
participate.
The participants and assets could
include: Carrier Strike Group with its
aircraft carrier, guided missile cruisers
and Guided missile destroyers;
Amphibious command and assault
ships, submarines, logistic ships. It may
also include Fleet and Battle Group
Staffs, Naval and Air Force aircraft,
Marine Expeditionary Units (MEU), and
Army Infantry Units. This type of
exercise would include activities
conducted at sea and in the air and nearshore and ashore activities on Tinian,
FDM, Guam, and Saipan.
ASW active sonar activity may
include: Single and multi-unit
TRACKEX and TORPEX in coordinated
ASW events; active ASW sources may
include SQS–53; SQS–56; DICASS;
IEER/AEER; AQS–22; BQQ–10; MK–48
EXTORP; and, Portable Underwater
Tracking Range operation including
transponders and MK–84 range tracking
pingers.
Marine Air Ground Task Force
(Amphibious) (MAGTF) Exercise—This
major exercise includes over the
horizon, ship to objective maneuver and
activities of the ESG and Amphibious
MAGTF for up to 10 days. The exercise
utilizes all elements of the MAGTF to
secure the battlespace (air, land, and
sea), maneuver to and seize the
objective, and conduct self-sustaining
operations ashore with continual
logistic support of the ESG. Tinian is the
primary MIRC training area for this
exercise; however elements of the
exercise may be rehearsed nearshore
and on Guam.
ASW active sonar activity may
include: single and multi-unit
TRACKEX and TORPEX in coordinated
ASW event; active ASW sources may
include SQS–53C/D; SQS–56; DICASS;
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IEER/AEER; AQS–22; BQQ–10; MK–48
EXTORP and Portable Underwater
Tracking Range operation including
transponders and MK–84 range tracking
pingers.
Joint Multi-Strike Group Exercise—
The Joint Multi-Strike Group conducts
training involving Navy assets engaging
in a schedule of events (SOE) battle
scenario, with U.S. forces pitted against
a notional opposition force (OPFOR).
Participants use and build upon
previously gained training skill sets to
maintain and improve the proficiency
needed for a mission-capable,
deployment-ready unit.
The exercise includes several at-sea
activities. In Command and Control
(C2), a command organization exercises
operational control of the assets
involved in the exercise. This control
includes monitoring for safety and
compliance with protective measures.
Air Warfare (AW) includes missile
exercises which involve firing live
missiles at air targets. Ships and aircraft
fire missiles against air targets. AW also
includes non-firing events such as
Defensive Counter Air (DCA). DCA
exercises ship and aircrew capabilities
at detecting and reacting to incoming
airborne threats. In Anti-Surface
Warfare (ASUW), Naval forces control
sea lanes by countering hostile surface
combatant ships.
ASW active sonar activity in this
exercise may include: Single and multiunit TRACKEX and TORPEX in
coordinated ASW events; active ASW
sources may include SQS–53C/D; SQS–
56; DICASS; IEER/AEER; AQS–22;
BQQ–10; MK–48 EXTORP; Portable
Underwater Tracking Range operation
including transponders and MK–84
range tracking pingers.
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scenarios as related to potential marine
mammals impacts). Exercises may
utilize either live or inert ordnance of
the types listed in Table 3. Additionally,
successful hit rates are known to the
Navy and are utilized in the effects
modeling. Training events that involve
explosives and underwater detonations
occur throughout the year and are
described below and summarized in
Table 2.
Sinking Exercise—In a SINKEX, a
specially prepared, deactivated vessel is
deliberately sunk using multiple
weapons systems. The exercise provides
training to ship and aircraft crews in
delivering both live and inert ordnance
on a real target. These target vessels are
empty, cleaned, and environmentallyremediated ship hulk. A SINKEX target
is towed to sea and set adrift at the
SINKEX location. The duration of a
SINKEX is unpredictable since it ends
when the target sinks, sometimes
immediately after the first weapon
impact and sometimes only after
multiple impacts by a variety of
weapons. Typically, the exercise lasts
for 4 to 8 hours over 1 to 2 days.
SINKEXs occur only occasionally
during MIRC exercises. Potential
harassment would be from underwater
detonation. SINKEX events have been
conducted in the open ocean of the
western Pacific and within the MIRC, in
compliance with 40 CFR 229.2.
The Environmental Protection Agency
(EPA) grants the Navy a general permit
through the Marine Protection,
Research, and Sanctuaries Act to
transport vessels ‘‘for the purpose of
sinking such vessels in ocean waters…’’
(40 CFR 229.2). Subparagraph (a)(3) of
this regulation states ‘‘All such vessel
sinkings shall be conducted in water at
least 1,000 fathoms (6,000 feet) deep
and at least 50 nautical miles from
land.’’
SINKEX events typically include at
least one surface combatant (frigate,
destroyer, or cruiser); one submarine;
and numerous fixed-wing and rotarywing aircraft. One surface ship will
serve as a surveillance platform to
ensure the hulk does not pose a hazard
to navigation prior to and during the
SINKEX. The weapons actually
expended during a SINKEX can vary
greatly. Table 1–2 in the Navy’s
application indicates the typical
ordnance used in a SINKEX, which
include HARPOON, HELLFIRE, and
MAVERICK missiles, 5′ gunfire, MK–48
torpedoes, and underwater demolitions.
This table reflects the planning for
weapons, which may be expended
during one SINKEX in the MIRC Study
Area. This level of ordnance is expected
for each of the SINKEX events in the
Joint Multi-strike Group exercise. With
the exception of the torpedo, which is
designed to explode below the target
hulk in the water column, the weapons
deployed during a SINKEX are intended
to strike the target hulk, and thus not
explode within the water column.
Surface-to-Surface Gunnery
Exercise—S–S GUNEX take place in the
open ocean to provide gunnery practice
for Navy and Coast Guard ship crews.
GUNEX training activities conducted in
the offshore study area involve
stationary targets such as a MK–42
floating at-sea target (FAST) or a MK–58
marker (smoke) buoy. The gun systems
employed against surface targets include
the 5-inch, 76 millimeter (mm), 25-mm
chain gun, 20-mm Close-in Weapon
System (CIWS), and 50-caliber machine
gun. Typical ordnance expenditure for a
single GUNEX is a minimum of 21
rounds of 5-inch or 76-mm ammunition,
and approximately 150 rounds of 25mm or .50-caliber ammunition. Both
live and inert training rounds are used.
After impacting the water, the rounds
and fragments sink to the bottom of the
ocean. A GUNEX lasts approximately 1
to 2 hours, depending on target services
and weather conditions. The live 5-inch
and 76-mm rounds are considered in the
underwater detonation modeling.
Air-to-Surface Gunnery Exercise (A–S
GUNEX)—A–S GUNEX training
activities are conducted by rotary-wing
aircraft against stationary targets
(Floating at-sea Target [FAST] and
smoke buoy). Rotary-wing aircraft
involved in this activity would include
a single helicopter using either 7.62-mm
or .50-caliber door-mounted machine
guns. A typical GUNEX will last
approximately one hour and involve the
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Underwater detonation activities can
occur at various depths depending on
the activity, but may also include
activities with detonations at or just
below the surface (such as SINKEX or
gunnery exercise [GUNEX]). When the
weapons hit the target, except for live
torpedo shots, there is no explosion in
the water, and so a ‘‘hit’’ is not modeled
(i.e., the energy (either acoustic or
pressure) from the hit is not expected to
reach levels that would result in take of
marine mammals). When a live weapon
misses, it is modeled as exploding
below the water surface at 1 ft (5-inch
naval gunfire, 76-mm rounds), 2 meters
(Maverick, Harpoon, MK–82, MK–83,
MK–84), or 50 ft (MK–48 torpedo) as
shown in Appendix A of the Navy’s
application (the depth is chosen to
represent the worst case of the possible
Activities Utilizing Underwater
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expenditure of approximately 400
rounds of 0.50-caliber or 7.62-mm
ammunition. Due to their being inert
and the small size of the rounds, they
are not considered to have an
underwater detonation impact.
Air-to-Surface Missile Exercise (A–S
MISSILEX)—The A–S MISSILEX
consists of the attacking platform
releasing a forward-fired, guided
weapon at the designated towed target.
The exercise involves locating the
target, then designating the target,
usually with a laser. A–S MISSILEX
training that does not involve the
release of a live weapon can take place
if the attacking platform is carrying a
captive air training missile (CATM)
simulating the weapon involved in the
training. The CATM MISSILEX is
identical to a live-fire exercise in every
aspect except that a weapon is not
released. The training requires a lasersafe range as the target is designated just
as in a live-fire exercise. From 1 to 16
aircraft, carrying live, inert, or CATMs,
or flying without ordnance (dry runs)
are used during the exercise. At sea,
seaborne powered targets (SEPTARs),
Improved Surface Towed Targets
(ISTTs), and decommissioned hulks are
used as targets. A–S MISSILEX assets
include helicopters and/or 1 to 16 fixedwing aircraft with air-to-surface missiles
and anti-radiation missiles
(electromagnetic radiation source
seeking missiles). Targets include
SEPTARs, ISTTs, and excess ship hulks.
When HELLFIRE Missiles are used the
exercise is called a HELLFIRE
MISSILEX. HELLFIRE MISSILEXs
would occur 2 times per year in an area
approximately 30–35 nm south of Apra
Harbor in W–517. Potential harassment
would be from underwater detonation.
Surface-to-Surface Missile Exercise
(S–S MISSILEX)—S–S MISSILEX
involves the attack of surface targets at
sea by use of cruise missiles or other
missile systems, usually by a single ship
conducting training in the detection,
classification, tracking and engagement
of a surface target. S–S MISSILEXs
always occur during a SINKEX.
Engagement is usually with HARPOON
missiles or Standard missiles in the
surface-to-surface mode. Targets could
include virtual targets or the SEPTAR or
ship deployed surface target. S–S
MISSILEX training is routinely
conducted on individual ships with
embedded training devices. A S–S
MISSILEX could include 4 to 20
surface-to-surface missiles, SEPTARs, a
weapons recovery boat, and a helicopter
for environmental and photo evaluation.
All missiles are equipped with
instrumentation packages or a warhead.
Surface-to-air missiles can also be used
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in a surface-to-surface mode. Each
exercise typically lasts five hours.
Future S–S MISSILEX could range from
4 to 35 hours. Potential harassment
would be from underwater detonation.
Air-to-Surface Bombing Exercise—
During an Air-to-Surface Bombing
Exercise (BOMBEX A–S), fixed-wing
aircraft deliver bombs against simulated
surface maritime targets, typically a
smoke float, with the goal of destroying
or disabling enemy ships or boats.
Typically, a flight of two aircraft will
approach the target from an altitude of
between 15,000 ft to less than 3,000 ft,
and will adhere to designated ingress
and egress routes. Typical bomb release
altitude is below 3,000 ft and within a
range of 1000 yards for unguided
munitions, and above 15,000 ft and in
excess of 10 nm for precision-guided
munitions. In most training exercises,
the aircrew drops inert training
ordnance, such as the Bomb Dummy
Unit (BDU–45) on a MK–58 smoke float
used as the target. Some BOMBEXs
include the use of the MK–84/GBU–31
JDAM, the largest bomb proposed for
use. JDAM training would occur 4 times
per year in W–517 and generally in the
southern portion avoiding known
fishing areas. The surface danger zone
requires a 25 nm buffer around the aim
point, so that all operations occur
within W–517. Each BOMBEX A–S can
take up to 4 hours to complete.
Mine Neutralization—Mine
Neutralization involves the detection,
identification, evaluation, rendering
safe, and disposal of mines and
unexploded ordnance (UXO) that
constitutes a threat to ships or
personnel. Mine neutralization training
can be conducted by a variety of air,
surface and undersea assets. Potential
harassment would be from underwater
detonation.
Tactics for neutralization of ground or
bottom mines involve the diver placing
a specific amount of explosives, which
when detonated underwater at a specific
distance from a mine results in
neutralization of the mine. Floating, or
moored, mines involve the diver placing
a specific amount of explosives directly
on the mine. Floating mines
encountered by Fleet ships in openocean areas are detonated at the surface.
In support of an expeditionary assault,
divers and Navy marine mammal assets
deploy in very shallow water depths (10
to 40 feet) to locate mines and
obstructions. Divers are transported to
the mines by boat or helicopter. Inert
dummy mines are used in the exercises.
The total net explosive weight used
against each mine ranges from less than
1 pound to 20 pounds.
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All demolition activities are
conducted in accordance with
Commander, Naval Surface Forces
Pacific (COMNAVSURFPAC)
Instruction 3120.8F, Procedures for
Disposal of Explosives at Sea/Firing of
Depth Charges and Other Underwater
Ordnance (DoN 2003). Before any
explosive is detonated, divers are
transported a safe distance away from
the explosive. Standard practices for
tethered mines require ground mine
explosive charges to be suspended 10
feet below the surface of the water.
EER–IEER AN/SSQ–110A—The
Extended Echo Ranging and Improved
Extended Echo Ranging (EER/IEER)
Systems are airborne ASW systems used
in conducting ‘‘large area’’ searches for
submarines. These systems are made up
of airborne avionics ASW acoustic
processing and sonobuoy types that are
deployed in pairs. The IEER System’s
active sonobuoy component, the AN/
SSQ–110A Sonobuoy, generates a sound
similar to a ‘‘sonar ping’’ using a small
explosive and the passive AN/SSQ–
101A ADAR Sonobuoy ‘‘listens’’ for the
return echo of the ‘‘sonar ping’’ that has
been bounced off the surface of a
submarine. These sonobuoys are
designed to provide underwater
acoustic data necessary for naval
aircrews to quickly and accurately
detect submerged submarines. The
sonobuoy pairs are dropped from a
fixed-wing aircraft into the ocean in a
predetermined pattern with a few buoys
covering a very large area. The AN/
SSQ–110A Sonobuoy Series is an
expendable and commandable
sonobuoy. Upon command from the
aircraft, the bottom payload is released
to sink to a designated operating depth.
A second command is required from the
aircraft to cause the second payload to
release and detonate the explosive to
generate a ‘‘ping’’. There is only one
detonation in the pattern of buoys at a
time. Potential harassment would be
from underwater detonations.
The AEER system (described in the
sonar source section) will eventually
replace use of the EER/IEER system and
was analyzed for this proposed rule.
Vessel Movement
The operation and movement of
vessels that is necessary to conduct the
training described above is also
analyzed here. Training exercises
involving vessel movements occur
intermittently and are variable in
duration, ranging from a few hours up
to 10 days. During training, speeds vary
and depend on the specific type of
activity, although 10–14 knots is
considered the typical speed. The Navy
logs about 1,000 total vessel days within
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the MIRC Study Area during a typical
year. Training activities are widely
dispersed throughout the large
OPAREA, which encompasses 501,873
nm2 (1,299,851 km2). Consequently, the
density of Navy ships within the Study
Area at any given time is low.
Research, Development, Testing, and
Evaluation
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The Services may conduct RDT&E,
engineering, and fleet support for
command, control, and communications
systems and ocean surveillance in the
MIRC. These activities may include
ocean engineering, missile firings,
torpedo testing, manned and unmanned
submersibles testing, unmanned aerial
vehicle (UAV) tests, electronic combat
(EC), and other DoD weapons testing.
RDT&E activities, if they have a
potential for takes of marine mammals,
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will be reviewed to assure they are
included within the parameters of
existing sonar and explosive activities
as modeled for this rule and the LOAs.
As an example, if a new model of SQS
53 sonar were tested, as long as it’s
operating parameters are within the
parameters modeled, an equal number
of hours of SQS 53C use in training
would be deducted to ensure that the
total SQS 53C hours for the year
(training plus RDT&E) remain within
those described in the rule. The same
would apply for explosives, overall NET
explosive weights for similar munitions
would be reviewed to assure
compliance with existing rules.
Additional information on the Navy’s
proposed activities may be found in the
LOA Application and the Navy’s MIRC
DEIS.
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Description of Marine Mammals in the
Area of the Specified Activities
Thirty-two marine mammal species or
populations/stocks have confirmed or
possible occurrence within the MIRC,
including seven species of baleen
whales (mysticetes), 22 species of
toothed whales (odontocetes), two
species of seal (pinnipeds), and the
dugong (sirenian). Table 4 summarizes
their abundance, Endangered Species
Act (ESA) status, occurrence, and
density in the area. Seven of the species
are ESA-listed and considered depleted
under the MMPA: Blue whale; fin
whale; humpback whale; sei whale;
sperm whale; North Pacific right whale;
Hawaiian monk seal; and dugong. The
dugong is managed by the U.S. Fish and
Wildlife Service and will not be
addressed further here.
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Species Not Considered Further
North Pacific right whale—The
likelihood of a North Pacific right whale
(Eubalaena japonica) occurring in the
action area is extremely low. The North
Pacific right whale population is the
most endangered of the large whale
species (Perry et al., 1999) and,
currently, there is no reliable population
estimate for this species, although the
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population in the western North Pacific
Ocean is considered to be very small,
perhaps in the tens to low hundreds of
animals. Despite many years of
systematic aerial and ship-based surveys
for marine mammals off the western
coast of the U.S., only seven
documented sightings of right whales
were made from 1990 through 2005 near
Alaska (Waite et al., 2003; Wade et al.,
2006). Based on this information, it is
highly unlikely for a right whale to be
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present in the action area.
Consequently, this species will not be
considered in the remainder of this
analysis.
Hawaiian monk seal—The likelihood
of a Hawaiian monk seal (Monachus
schauinslandi) being present in the
action area is extremely low. There are
no confirmed records of Hawaiian monk
seals in the Micronesia region; however,
Reeves et al. (1999) and Eldredge (1991,
2003) have noted occurrence records for
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seals (unidentified species) in the
Marshall and Gilbert islands. It is
possible that Hawaiian monk seals
wander from the Hawaiian Islands to
appear at the Marshall or Gilbert Islands
in the Micronesia region (Eldredge
1991). However, given the extremely
low likelihood of this species
occurrence in the action area, the
Hawaiian monk seal will not be
considered in the remainder of this
analysis.
Hubbs Beaked Whale—The likelihood
of a Hubbs beaked whale (Mesoplodon
carlhubbsi) occurring in the action area
is extremely low. There are no
occurrence records for the Mariana
Islands and the nearest records are from
strandings in Japan (DoN 2005). Recent
data suggests that the distribution is
likely north of 30° N (MacCleod et al.,
2006). Given the extremely low
likelihood of this species occurrence in
the action area, the Hubbs beaked whale
will not be considered in the remainder
of this analysis.
Indo-Pacific Bottlenose Dolphin—The
likelihood of an Indo-Pacific bottlenose
dolphin (Tursiops aduncas) occurring in
the action area is extremely low. The
Indo-Pacific bottlenose dolphin is
generally associated with continental
margins and does not appear to occur
around offshore islands that are great
distances from a continent, such as the
Marianas (Jefferson as cited in DoN
2005). Given the extremely low
likelihood of this species occurrence in
the action area, the Indo-Pacific
bottlenose dolphin will not be
considered in the remainder of this
analysis.
Northern Elephant Seal—Northern
elephant seals (Mirounga angustirostris)
are common on islands and mainland
haul-out sites in Baja California, Mexico
north through central California.
Elephant seals spend several months at
sea feeding and travel as far as the Gulf
of Alaska. Occasionally juveniles
wander great distances with several
individuals being observed in Hawaii
and Japan. Although elephant seals may
wander great distances it is very
unlikely that they would travel to Japan
or Hawaii and then continue traveling to
the MIRC. Given the extremely low
likelihood of this species occurrence in
the action area, the northern elephant
seal will not be considered in the
remainder of this analysis.
The Navy has compiled information
on the abundance, behavior, status and
distribution, and vocalizations of
marine mammal species in the MIRC
waters from the Navy Marine Resource
Assessment and has supplemented this
information with additional citations
derived from new survey efforts and
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scientific publications. NMFS has not
designated stocks of marine mammals in
the waters surrounding the MIRC and,
therefore, does not compile stock
assessment reports for this area. This
information may be viewed in the
Navy’s LOA application and/or the
Navy’s DEIS for MIRC (see Availability),
and is incorporated by reference herein.
There are no designated marine
mammal critical habitats or known
breeding areas within the MIRC. Much
is unknown about the reproductive
habits of the dolphin species in MIRC,
but they are thought to mate throughout
their range (like better studied species
and stocks are known to do) and
possibly throughout the year. Even less
is known about the mating habits of
beaked whales. Baleen whales and
sperm whales are thought to breed
seasonally in areas within and around
the MIRC and some calves have been
seen with sperm, Bryde’s and sei whales
(DoN 2007b), although it is not known
where exactly breeding and calving
occurs.
Spinner dolphins, which rest
primarily during the day in relatively
large groups, are known to consistently
use certain areas (usually bays) for this
function. Because of this, they are
regularly visited by whalewatching
boats or other members of the public
interested in viewing or interacting with
them, which could potentially put them
at increased energetic risk if their
resting cycles are repeatedly interrupted
in a significant manner. There are
several recognized resting areas for
spinner dolphins in the MIRC Study
Area: Agat Bay, Bile/Tougan Bay, and
Double Reef. These areas are in clear,
calm, shallow waters sheltered from
prevailing tradewinds.
Marine Mammal Hearing and
Vocalizations
Cetaceans have an auditory anatomy
that follows the basic mammalian
pattern, with some changes to adapt to
the demands of hearing in the sea. The
typical mammalian ear is divided into
an outer ear, middle ear, and inner ear.
The outer ear is separated from the
inner ear by a tympanic membrane, or
eardrum. In terrestrial mammals, the
outer ear, eardrum, and middle ear
transmit airborne sound to the inner ear,
where the sound waves are propagated
through the cochlear fluid. Since the
impedance of water is close to that of
the tissues of a cetacean, the outer ear
is not required to transduce sound
energy as it does when sound waves
travel from air to fluid (inner ear).
Sound waves traveling through the
inner ear cause the basilar membrane to
vibrate. Specialized cells, called hair
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cells, respond to the vibration and
produce nerve pulses that are
transmitted to the central nervous
system. Acoustic energy causes the
basilar membrane in the cochlea to
vibrate. Sensory cells at different
positions along the basilar membrane
are excited by different frequencies of
sound (Pickles, 1998). Baleen whales
have inner ears that appear to be
specialized for low-frequency hearing.
Conversely, dolphins and porpoises
have ears that are specialized to hear
high frequencies.
Marine mammal vocalizations often
extend both above and below the range
of human hearing; vocalizations with
frequencies lower than 18 Hertz (Hz) are
labeled as infrasonic and those higher
than 20 kHz as ultrasonic (National
Research Council [NRC], 2003; Figure
4–1). Measured data on the hearing
abilities of cetaceans are sparse,
particularly for the larger cetaceans such
as the baleen whales. The auditory
thresholds of some of the smaller
odontocetes have been determined in
captivity. It is generally believed that
cetaceans should at least be sensitive to
the frequencies of their own
vocalizations. Comparisons of the
anatomy of cetacean inner ears and
models of the structural properties and
the response to vibrations of the ear’s
components in different species provide
an indication of likely sensitivity to
various sound frequencies. The ears of
small toothed whales are optimized for
receiving high-frequency sound, while
baleen whale inner ears are best in low
to infrasonic frequencies (Ketten, 1992;
1997; 1998).
Baleen whale vocalizations are
composed primarily of frequencies
below 1 kHz, and some contain
fundamental frequencies as low as 16
Hz (Watkins et al., 1987; Richardson et
al., 1995; Rivers, 1997; Moore et al.,
1998; Stafford et al., 1999; Wartzok and
Ketten, 1999) but can be as high as 24
kHz (humpback whale; Au et al., 2006).
Clark and Ellison (2004) suggested that
baleen whales use low frequency
sounds not only for long-range
communication, but also as a simple
form of echo ranging, using echoes to
navigate and orient relative to physical
features of the ocean. Information on
auditory function in mysticetes is
extremely lacking. Sensitivity to lowfrequency sound by baleen whales has
been inferred from observed
vocalization frequencies, observed
reactions to playback of sounds, and
anatomical analyses of the auditory
system. Although there is apparently
much variation, the source levels of
most baleen whale vocalizations lie in
the range of 150–190 dB re 1 μPa at 1
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m. Low-frequency vocalizations made
by baleen whales and their
corresponding auditory anatomy suggest
that they have good low-frequency
hearing (Ketten, 2000), although specific
data on sensitivity, frequency or
intensity discrimination, or localization
abilities are lacking. Marine mammals,
like all mammals, have typical Ushaped audiograms that begin with
relatively low sensitivity (high
threshold) at some specified low
frequency with increased sensitivity
(low threshold) to a species specific
optimum followed by a generally steep
rise at higher frequencies (high
threshold) (Fay, 1988).
The toothed whales produce a wide
variety of sounds, which include
species-specific broadband ‘‘clicks’’
with peak energy between 10 and 200
kHz, individually variable ‘‘burst pulse’’
click trains, and constant frequency or
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frequency-modulated (FM) whistles
ranging from 4 to 16 kHz (Wartzok and
Ketten, 1999). The general consensus is
that the tonal vocalizations (whistles)
produced by toothed whales play an
important role in maintaining contact
between dispersed individuals, while
broadband clicks are used during
echolocation (Wartzok and Ketten,
1999). Burst pulses have also been
strongly implicated in communication,
with some scientists suggesting that
they play an important role in agonistic
encounters (McCowan and Reiss, 1995),
while others have proposed that they
represent ‘‘emotive’’ signals in a broader
sense, possibly representing graded
communication signals (Herzing, 1996).
Sperm whales, however, are known to
produce only clicks, which are used for
both communication and echolocation
(Whitehead, 2003). Most of the energy of
toothed whales social vocalizations is
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concentrated near 10 kHz, with source
levels for whistles as high as 100–180
dB re 1 μPa at 1 m (Richardson et al.,
1995). No odontocete has been shown
audiometrically to have acute hearing
(<80 dB re 1 μPa) below 500 Hz (DoN,
2001). Sperm whales produce clicks,
which may be used to echolocate
(Mullins et al., 1988), with a frequency
range from less than 100 Hz to 30 kHz
and source levels up to 230 dB re 1 μPa
1 m or greater (Mohl et al., 2000).
Table 5 includes a summary of the
vocalizations of the species found in the
MIRC. The ‘‘Brief Background on
Sound’’ section below contains a
description of the functional hearing
groups designated by Southall et al.
(2007), which includes the functional
hearing range of various marine
mammal groups (i.e., what frequencies
that can actually hear).
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Marine Mammal Density Estimates
Understanding the distribution and
abundance of a particular marine
mammal species or stock is necessary to
analyze the potential impacts of an
action on that species or stock. Further,
it is necessary to know the density of
the animals in the affected area in order
to quantitatively assess the likely
acoustic impacts of a potential action on
individuals and estimate take (discussed
further in the Estimated Take section).
Prior to 2007 there was little
information available on the abundance
and density of marine mammals in the
MIRC Study Area. Most information on
the occurrence of marine mammals
came from short surveys (several days)
and opportunistic sightings (NMFS
Platform of Opportunity, oceanographic
cruises or strandings). The first
comprehensive survey of the area,
Mariana Islands Sea Turtle and
Cetacean Survey (MISTCS), was funded
by the Navy to gather data in support of
this analysis and was conducted in early
2007 covering mid January to mid April
(DoN 2007b). Densities were calculated
for 13 species observed during this
survey and are the only published
densities derived for this area that are
based upon actual sightings. For the
purposes of the MIRC analysis, the Navy
compiled published densities from
other geographical areas with existing
survey data and similar oceanography
(e.g. sea surface temperature) such as
the Hawaiian Islands (Barlow 2003,
2006), warm water areas of the eastern
tropical Pacific (Ferguson and Barlow
2001, 2003) and Miyashita (1993). As
shown in Table 3–2 of the MIRC
application, for the species that MISTCS
provided an estimate for, the estimated
densities are either mid-range or higher
than the other published densities. This,
combined with the fact that the MISTCS
survey was conducted in the actual
MIRC Study Area, supports the Navy’s
decision to use MISTCS data as the
primary source for modeling.
Considering the similar habitat and
species diversity with the MIRC Study
Area, offshore survey data from the
Hawaiian Islands (Barlow 2003, 2006)
was used as a secondary source.
Densities from the Eastern Tropical
Pacific survey (Ferguson and Barlow
2001, 2003) were used for six remaining
species. Miyashita 1993 was also
reviewed; however, no densities from
that report were ultimately utilized
because the surveys were not conducted
in the systematic line transect manner
typically used by NMFS, but rather
occurred while searching for cetaceans.
The draft MISTCS density report was
reviewed by local biologists at NMFS–
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Pacific Fisheries Science Center (PIFSC)
and Pacific Islands Regional Office
(PIRO), whose recommendations were
incorporated into the final document.
The methods used in the final MISTCS
report was approved by NMFS PIFSC
and PIRO for use in preparation of
environmental planning documents for
the Mariana Islands.
Brief Background on Sound
An understanding of the basic
properties of underwater sound is
necessary to comprehend many of the
concepts and analyses presented in this
document. A summary is included
below.
Sound is a wave of pressure variations
propagating through a medium (for the
MFAS/HFAS considered in this
proposed rule, the medium is marine
water). Pressure variations are created
by compressing and relaxing the
medium. Sound measurements can be
expressed in two forms: intensity and
pressure. Acoustic intensity is the
average rate of energy transmitted
through a unit area in a specified
direction and is expressed in watts per
square meter (W/m2). Acoustic intensity
is rarely measured directly, it is derived
from ratios of pressures; the standard
reference pressure for underwater sound
is 1 microPascal (μPa); for airborne
sound, the standard reference pressure
is 20 μPa (Richardson et al., 1995).
Acousticians have adopted a
logarithmic scale for sound intensities,
which is denoted in decibels (dB).
Decibel measurements represent the
ratio between a measured pressure value
and a reference pressure value (in this
case 1 μPa or, for airborne sound, 20
μPa). The logarithmic nature of the scale
means that each 10 dB increase is a tenfold increase in power (e.g., 20 dB is a
100-fold increase over 10 dB, 30 dB is
a 1,000-fold increase over 10dB).
Humans perceive a 10-dB increase in
noise as a doubling of loudness, or a 10
dB decrease in noise as a halving of
loudness. The term ‘‘sound pressure
level’’ implies a decibel measure and a
reference pressure that is used as the
denominator of the ratio. Throughout
this document, NMFS uses 1
microPascal (denoted re: 1μPa) as a
standard reference pressure unless
noted otherwise.
It is important to note that decibels
underwater and decibels in air are not
the same and cannot be directly
compared. To estimate a comparison
between sound in air and underwater,
because of the different densities of air
and water and the different decibel
standards (i.e., reference pressures) in
water and air, a sound with the same
intensity (i.e., power) in air and in water
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would be approximately 63 dB quieter
in air. Thus a sound that is 160 dB loud
underwater would have the same
approximate effective intensity as a
sound that is 97 dB loud in air.
Sound frequency is measured in
cycles per second, or Hertz (abbreviated
Hz), and is analogous to musical pitch;
high-pitched sounds contain high
frequencies and low-pitched sounds
contain low frequencies. Natural sounds
in the ocean span a huge range of
frequencies: from earthquake noise at 5
Hz to harbor porpoise clicks at 150,000
Hz (150 kHz). These sounds are so low
or so high in pitch that humans cannot
even hear them; acousticians call these
infrasonic (typically below 20 Hz) and
ultrasonic (typically above 20,000 Hz)
sounds, respectively. A single sound
may be made up of many different
frequencies together. Sounds made up
of only a small range of frequencies are
called ‘‘narrowband’’, and sounds with
a broad range of frequencies are called
‘‘broadband’’; explosives are an example
of a broadband sound source and active
tactical sonars are an example of a
narrowband sound source.
When considering the influence of
various kinds of sound on the marine
environment, it is necessary to
understand that different kinds of
marine life are sensitive to different
frequencies of sound. Based on available
behavioral data, audiograms derived
using auditory evoked potential (AEP)
techniques, anatomical modeling, and
other data, Southall et al. (2007)
designate ‘‘functional hearing groups’’
for marine mammals and estimate the
lower and upper frequencies of
functional hearing of the groups.
Further, the frequency range in which
each group’s hearing is estimated as
being most sensitive is represented in
the flat part of the M-weighting
functions (which are derived from the
audiograms described above, see figure
1 in Southall et al. (2007) developed for
each group. The functional groups and
the associated frequencies are indicated
below (though, again, animals are less
sensitive to sounds at the outer edge of
their functional range and most
sensitive to sounds of frequencies
within a smaller range somewhere in
the middle of their functional hearing
range):
• Low frequency cetaceans (13
species of mysticetes): functional
hearing is estimated to occur between
approximately 7 Hz and 22 kHz;
• Mid-frequency cetaceans (32
species of dolphins, six species of larger
toothed whales, and 19 species of
beaked and bottlenose whales):
functional hearing is estimated to occur
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between approximately 150 Hz and 160
kHz;
• High frequency cetaceans (eight
species of true porpoises, six species of
river dolphins, Kogia, the franciscana,
and four species of cephalorhynchids):
functional hearing is estimated to occur
between approximately 200 Hz and 180
kHz;
• Pinnipeds in Water: functional
hearing is estimated to occur between
approximately 75 Hz and 75 kHz, with
the greatest sensitivity between
approximately 700 Hz and 20 kHz.
Because ears adapted to function
underwater are physiologically different
from human ears, comparisons using
decibel measurements in air would still
not be adequate to describe the effects
of a sound on a whale. When sound
travels (propagates) away from its
source, its loudness decreases as the
distance traveled by the sound
increases. Thus, the loudness of a sound
at its source is higher than the loudness
of that same sound a kilometer distant.
Acousticians often refer to the loudness
of a sound at its source (typically
measured one meter from the source) as
the source level and the loudness of
sound elsewhere as the received level.
For example, a humpback whale three
kilometers from an airgun that has a
source level of 230 dB may only be
exposed to sound that is 160 dB loud,
depending on how the sound propagates
(in this example, it is spherical
spreading). As a result, it is important
not to confuse source levels and
received levels when discussing the
loudness of sound in the ocean or its
impacts on the marine environment.
As sound travels from a source, its
propagation in water is influenced by
various physical characteristics,
including water temperature, depth,
salinity, and surface and bottom
properties that cause refraction,
reflection, absorption, and scattering of
sound waves. Oceans are not
homogeneous and the contribution of
each of these individual factors is
extremely complex and interrelated.
The physical characteristics that
determine the sound’s speed through
the water will change with depth,
season, geographic location, and with
time of day (as a result, in actual MFAS/
HFAS operations, crews will measure
oceanic conditions, such as sea water
temperature and depth, to calibrate
models that determine the path the
sonar signal will take as it travels
through the ocean and how strong the
sound signal will be at a given range
along a particular transmission path). As
sound travels through the ocean, the
intensity associated with the wavefront
diminishes, or attenuates. This decrease
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in intensity is referred to as propagation
loss, also commonly called transmission
loss.
Metrics Used in This Document
This section includes a brief
explanation of the two sound
measurements (sound pressure level
(SPL) and sound exposure level (SEL))
frequently used in the discussions of
acoustic effects in this document.
SPL
Sound pressure is the sound force per
unit area, and is usually measured in
micropascals (μPa), where 1 Pa is the
pressure resulting from a force of one
newton exerted over an area of one
square meter. SPL is expressed as the
ratio of a measured sound pressure and
a reference level. The commonly used
reference pressure level in underwater
acoustics is 1 μPa, and the units for
SPLs are dB re: 1 μPa.
SPL (in dB) = 20 log (pressure/reference
pressure)
SPL is an instantaneous measurement
and can be expressed as the peak, the
peak-peak, or the root mean square
(rms). Root mean square, which is the
square root of the arithmetic average of
the squared instantaneous pressure
values, is typically used in discussions
of the effects of sounds on vertebrates
and all references to SPL in this
document refer to the root mean square.
SPL does not take the duration of a
sound into account. SPL is the
applicable metric used in the risk
continuum, which is used to estimate
behavioral harassment takes (see Level
B Harassment Risk Function (Behavioral
Harassment) Section).
SEL
SEL is an energy metric that integrates
the squared instantaneous sound
pressure over a stated time interval. The
units for SEL are dB re: 1 μPa2¥s.
SEL = SPL + 10log(duration in seconds)
As applied to MFAS/HFAS, the SEL
includes both the SPL of a sonar ping
and the total duration. Longer duration
pings and/or pings with higher SPLs
will have a higher SEL. If an animal is
exposed to multiple pings, the SEL in
each individual ping is summed to
calculate the total SEL. The total SEL
depends on the SPL, duration, and
number of pings received. The
thresholds that NMFS uses to indicate at
what received level the onset of
temporary threshold shift (TTS) and
permanent threshold shift (PTS) in
hearing are likely to occur are expressed
in SEL.
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Potential Effects of Specified Activities
on Marine Mammals
The Navy has requested authorization
for the take of marine mammals that
may occur incidental to training and
RDT&E activities in the MIRC utilizing
MFAS/HFAS or underwater
detonations. In addition to MFAS/HFAS
and underwater detonations, the Navy
has analyzed other potential impacts to
marine mammals from training
activities in the MIRC DEIS, including
ship strike, aerial overflights, ship noise
and movement, and others, and, in
consultation with NMFS as a
cooperating agency for the MIRC DEIS,
has determined that take of marine
mammals incidental to these nonacoustic components of the MIRC is
unlikely and, therefore, has not
requested authorization for take of
marine mammals that might occur
incidental to these non-acoustic
components. In this document, NMFS
analyzes the potential effects on marine
mammals from exposure to MFAS/
HFAS and underwater detonations, but
also includes some additional analysis
of the potential impacts from vessel
operations in the MIRC.
For the purpose of MMPA
authorizations, NMFS’ effects
assessments serve four primary
purposes: (1) To help identify the
permissible methods of taking, meaning:
the nature of the take (e.g., resulting
from anthropogenic noise vs. from ship
strike, etc.); the regulatory level of take
(i.e., mortality vs. Level A or Level B
harassment); and, the amount of take;
(2) to inform the prescription of means
of effecting the least practicable adverse
impact on such species or stock and its
habitat (i.e., mitigation); (3) to support
the determination of whether the
specified activity will have a negligible
impact on the affected species or stocks
of marine mammals (based on the
likelihood that the activity will
adversely affect the species or stock
through effects on annual rates of
recruitment or survival); and (4) to
determine whether the specified activity
will have an unmitigable adverse impact
on the availability of the species or
stock(s) for subsistence uses (however,
there are no subsistence communities
that would be affected in the MIRC).
More specifically, for activities
involving sonar or underwater
detonations, NMFS’ analysis will
identify the probability of lethal
responses, physical trauma, sensory
impairment (permanent and temporary
threshold shifts and acoustic masking),
physiological responses (particular
stress responses), behavioral
disturbance (that rises to the level of
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harassment), and social responses that
would be classified as behavioral
harassment or injury and/or would be
likely to adversely affect the species or
stock through effects on annual rates of
recruitment or survival. In this section,
we will focus qualitatively on the
different ways that MFAS/HFAS and
underwater explosive detonations may
affect marine mammals (some of which
NMFS would not classify as
harassment). Then, in the Estimated
Take of Marine Mammals Section,
NMFS will relate the potential effects to
marine mammals from MFAS/HFAS
and underwater detonation of
explosives to the MMPA regulatory
definitions of Level A and Level B
Harassment and attempt to quantify
those effects.
Exposure to MFAS/HFAS
In the subsections below, the
following types of impacts are discussed
in more detail: direct physiological
impacts, stress responses, acoustic
masking and impaired communication,
behavioral disturbance, and strandings.
An additional useful graphic tool for
better understanding the layered nature
of potential marine mammal responses
to anthropogenic sound is presented in
Figure 1 of NMFS’ August 13, 2009
biological opinion for SURTASS LFA
(available at: https://
www.nmfs.noaa.gov/pr/permits/
incidental.htm#applications). That
document presents a conceptual model
of the potential responses of endangered
and threatened species upon being
exposed to active sonar and the
pathways by which those responses
might affect the fitness of individual
animals that have been exposed, and the
resulting impact on the individual
animal’s ability to reproduce or survive.
Literature supporting the framework,
with examples drawn from many taxa
(both aquatic and terrestrial) was
included in the ‘‘Application of this
Approach’’ and ‘‘Response Analyses’’
sections of that document.
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Direct Physiological Effects
Based on the literature, there are two
basic ways that MFAS/HFAS might
directly result in physical trauma or
damage: noise-induced loss of hearing
sensitivity (more commonly called
‘‘threshold shift’’) and acoustically
mediated bubble growth. Separately, an
animal’s behavioral reaction to an
acoustic exposure might lead to
physiological effects that might
ultimately lead to injury or death, which
is discussed later in the Stranding
section.
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Threshold Shift (Noise-Induced Loss of
Hearing)
When animals exhibit reduced
hearing sensitivity (i.e., sounds must be
louder for an animal to recognize them)
following exposure to a sufficiently
intense sound, it is referred to as a
noise-induced threshold shift (TS). An
animal can experience temporary
threshold shift (TTS) or permanent
threshold shift (PTS). TTS can last from
minutes or hours to days (i.e., there is
recovery), occurs in specific frequency
ranges (i.e., an animal might only have
a temporary loss of hearing sensitivity
between the frequencies of 1 and 10
kHz)), and can be of varying amounts
(for example, an animal’s hearing
sensitivity might be reduced by only 6
dB or reduced by 30 dB). PTS is
permanent (i.e., there is no recovery),
but also occurs in a specific frequency
range and amount as mentioned above
for TTS.
The following physiological
mechanisms are thought to play a role
in inducing auditory TSs: effects to
sensory hair cells in the inner ear that
reduce their sensitivity, modification of
the chemical environment within the
sensory cells, residual muscular activity
in the middle ear, displacement of
certain inner ear membranes, increased
blood flow, and post-stimulatory
reduction in both efferent and sensory
neural output (Southall et al., 2007).
The amplitude, duration, frequency,
temporal pattern, and energy
distribution of sound exposure all affect
the amount of associated TS and the
frequency range in which it occurs. As
amplitude and duration of sound
exposure increase, so, generally, does
the amount of TS, along with the
recovery time. Human non-impulsive
noise exposure guidelines are based on
exposures of equal energy (the same
SEL) producing equal amounts of
hearing impairment regardless of how
the sound energy is distributed in time
(NIOSH 1998). Until recently, previous
marine mammal TTS studies have also
generally supported this equal energy
relationship (Southall et al., 2007).
Three newer studies, two by Mooney et
al. (2009a, 2009b) on a single bottlenose
dolphin either exposed to playbacks of
Navy MFAS or octave-band noise (4–8
kHz) and one by Kastak et al. (2007) on
a single California sea lion exposed to
airborne octave-band noise (centered at
2.5 kHz), concluded that for all noise
exposure situations the equal energy
relationship may not be the best
indicator to predict TTS onset levels.
All three of these studies highlight the
inherent complexity of predicting TTS
onset in marine mammals, as well as the
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53815
importance of considering exposure
duration when assessing potential
impacts. Generally, with sound
exposures of equal energy, those that
were quieter (lower sound pressure
level [SPL]) with longer duration were
found to induce TTS onset more than
those of louder (higher SPL) and shorter
duration (more similar to MFAS). For
intermittent sounds, less TS will occur
than from a continuous exposure with
the same energy (some recovery will
occur between intermittent exposures)
(Kryter et al., 1966; Ward, 1997). For
example, one short but loud (higher
SPL) sound exposure may induce the
same impairment as one longer but
softer sound, which in turn may cause
more impairment than a series of several
intermittent softer sounds with the same
total energy (Ward, 1997). Additionally,
though TTS is temporary, very
prolonged exposure to sound strong
enough to elicit TTS, or shorter-term
exposure to sound levels well above the
TTS threshold, can cause PTS, at least
in terrestrial mammals (Kryter, 1985)
(although in the case of MFAS/HFAS,
animals are not expected to be exposed
to levels high enough or durations long
enough to result in PTS).
PTS is considered auditory injury
(Southall et al., 2007). Irreparable
damage to the inner or outer cochlear
hair cells may cause PTS, however,
other mechanisms are also involved,
such as exceeding the elastic limits of
certain tissues and membranes in the
middle and inner ears and resultant
changes in the chemical composition of
the inner ear fluids (Southall et al.,
2007).
Although the published body of
scientific literature contains numerous
theoretical studies and discussion
papers on hearing impairments that can
occur with exposure to a loud sound,
only a few studies provide empirical
information on the levels at which
noise-induced loss in hearing sensitivity
occurs in nonhuman animals. For
cetaceans, published data on the onset
of TTS are limited to the captive
bottlenose dolphin and beluga
(Finneran et al., 2000, 2002b, 2005a;
Schlundt et al., 2000; Nachtigall et al.,
2003, 2004). For pinnipeds in water,
data are limited to Kastak et al.’s
measurement of TTS in one harbor seal,
one elephant seal, and one California
sea lion.
Marine mammal hearing plays a
critical role in communication with
conspecifics and in interpretation of
environmental cues for purposes such
as predator avoidance and prey capture.
Depending on the degree (elevation of
threshold in dB), duration (i.e., recovery
time), and frequency range of TTS, and
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the context in which it is experienced,
TTS can have effects on marine
mammals ranging from discountable to
serious (similar to those discussed in
auditory masking, below). For example,
a marine mammal may be able to readily
compensate for a brief, relatively small
amount of TTS in a non-critical
frequency range that takes place during
a time when the animal is traveling
through the open ocean, where ambient
noise is lower and there are not as many
competing sounds present.
Alternatively, a larger amount and
longer duration of TTS sustained during
a time when communication is critical
for successful mother/calf interactions
could have more serious impacts if it
were in the same frequency band as the
necessary vocalizations and of a severity
that it impeded communication. The
fact that animals exposed to levels and
durations of sound that would be
expected to result in this physiological
response would also be expected to
have behavioral responses of a
comparatively more severe or sustained
nature is also notable and potentially of
more importance than the simple
existence of a TTS.
Also, depending on the degree and
frequency range, the effects of PTS on
an animal could range in severity,
although it is considered generally more
serious than TTS because it is a
permanent condition. Of note, reduced
hearing sensitivity as a simple function
of development and aging has been
observed in marine mammals, as well as
humans and other taxa (Southall et al.,
2007), so we can infer that strategies
exist for coping with this condition to
some degree, though likely not without
cost. There is no empirical evidence that
exposure to MFAS/HFAS can cause PTS
in any marine mammals; instead the
probability of PTS has been inferred
from studies of TTS (see Richardson et
al., 1995).
Acoustically Mediated Bubble Growth
One theoretical cause of injury to
marine mammals is rectified diffusion
(Crum and Mao, 1996), the process of
increasing the size of a bubble by
exposing it to a sound field. This
process could be facilitated if the
environment in which the ensonified
bubbles exist is supersaturated with gas.
Repetitive diving by marine mammals
can cause the blood and some tissues to
accumulate gas to a greater degree than
is supported by the surrounding
environmental pressure (Ridgway and
Howard, 1979). The deeper and longer
dives of some marine mammals (for
example, beaked whales) are
theoretically predicted to induce greater
supersaturation (Houser et al., 2001b)
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although recent preliminary empirical
data suggests that there is no increase in
blood nitrogen levels or formation of
bubbles in diving bottlenose dolphins
(Houser 2008). If rectified diffusion
were possible in marine mammals
exposed to high-level sound, conditions
of tissue supersaturation could
theoretically speed the rate and increase
the size of bubble growth. Subsequent
effects due to tissue trauma and emboli
would presumably mirror those
observed in humans suffering from
decompression sickness.
It is unlikely that the short duration
of MFAS pings would be long enough
to drive bubble growth to any
substantial size, if such a phenomenon
occurs. However, an alternative but
related hypothesis has also been
suggested: stable bubbles could be
destabilized by high-level sound
exposures such that bubble growth then
occurs through static diffusion of gas
out of the tissues. In such a scenario the
marine mammal would need to be in a
gas-supersaturated state for a long
enough period of time for bubbles to
become of a problematic size.
Yet another hypothesis
(decompression sickness) speculated
that rapid ascent to the surface
following exposure to a startling sound
might produce tissue gas saturation
sufficient for the evolution of nitrogen
bubbles (Jepson et al., 2003; Fernandez
et al., 2005). In this scenario, the rate of
ascent would need to be sufficiently
rapid to compromise behavioral or
physiological protections against
nitrogen bubble formation.
Alternatively, Tyack et al. (2006)
studied the deep diving behavior of
beaked whales and concluded that
‘‘Using current models of breath-hold
diving, we infer that their natural diving
behavior is inconsistent with known
problems of acute nitrogen
supersaturation and embolism.’’
Collectively, these hypotheses can be
referred to as ‘‘hypotheses of
acoustically mediated bubble growth.’’
Although theoretical predictions
suggest the possibility for acoustically
mediated bubble growth, there is
considerable disagreement among
scientists as to its likelihood (Piantadosi
and Thalmann, 2004; Evans and Miller,
2003; Cox et al., 2006; Rommel et al.,
2006). Crum and Mao (1996)
hypothesized that received levels would
have to exceed 190 dB in order for there
to be the possibility of significant
bubble growth due to supersaturation of
gases in the blood (i.e., rectified
diffusion). More recent work conducted
by Crum et al. (2005) demonstrated the
possibility of rectified diffusion for
short duration signals, but at SELs and
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tissue saturation levels that are highly
improbable to occur in diving marine
mammals. To date, Energy Levels (ELs)
predicted to cause in vivo bubble
formation within diving cetaceans have
not been evaluated (NOAA, 2002b).
Although it has been argued that
traumas from some recent beaked whale
strandings are consistent with gas
emboli and bubble-induced tissue
separations (Jepson et al., 2003), there is
no conclusive evidence of this (Rommel
et al., 2006). However, Jepson et al.
(2003, 2005) and Fernandez et al. (2004,
2005) concluded that in vivo bubble
formation, which may be exacerbated by
deep, long-duration, repetitive dives,
may explain why beaked whales appear
to be particularly vulnerable to MFAS/
HFAS exposures. Further investigation
is needed to further assess the potential
validity of these hypotheses. More
information regarding hypotheses that
attempt to explain how behavioral
responses to MFAS/HFAS can lead to
strandings is included in the
Behaviorally Mediated Bubble Growth
Section, after the summary of
strandings.
Acoustic Masking
Marine mammals use acoustic signals
for a variety of purposes, which differ
among species, but include
communication between individuals,
navigation, foraging, reproduction, and
learning about their environment (Erbe
and Farmer, 2000; Tyack, 2000).
Masking, or auditory interference,
generally occurs when sounds in the
environment are louder than, and of a
similar frequency as, auditory signals an
animal is trying to receive. Masking is
a phenomenon that affects animals that
are trying to receive acoustic
information about their environment,
including sounds from other members
of their species, predators, prey, and
sounds that allow them to orient in their
environment. Masking these acoustic
signals can disturb the behavior of
individual animals, groups of animals,
or entire populations.
The extent of the masking interference
depends on the spectral, temporal, and
spatial relationships between the signals
an animal is trying to receive and the
masking noise, in addition to other
factors. In humans, significant masking
of tonal signals occurs as a result of
exposure to noise in a narrow band of
similar frequencies. As the sound level
increases, though, the detection of
frequencies above those of the masking
stimulus decreases also. This principle
is expected to apply to marine mammals
as well because of common
biomechanical cochlear properties
across taxa.
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Richardson et al. (1995b) argued that
the maximum radius of influence of an
industrial noise (including broadband
low frequency sound transmission) on a
marine mammal is the distance from the
source to the point at which the noise
can barely be heard. This range is
determined by either the hearing
sensitivity of the animal or the
background noise level present.
Industrial masking is most likely to
affect some species’ ability to detect
communication calls and natural
sounds (i.e., surf noise, prey noise, etc.;
Richardson et al., 1995).
The echolocation calls of toothed
whales are subject to masking by high
frequency sound. Human data indicate
low-frequency sound can mask highfrequency sounds (i.e., upward
masking). Studies on captive
odontocetes by Au et al. (1974, 1985,
1993) indicate that some species may
use various processes to reduce masking
effects (e.g., adjustments in echolocation
call intensity or frequency as a function
of background noise conditions). There
is also evidence that the directional
hearing abilities of odontocetes are
useful in reducing masking at the highfrequencies these cetaceans use to
echolocate, but not at the low-tomoderate frequencies they use to
communicate (Zaitseva et al., 1980). A
recent study by Nachtigall and Supin
(2008) showed that false killer whales
adjust their hearing to compensate for
ambient sounds and the intensity of
returning echolocation signals.
As mentioned previously, the
functional hearing ranges of
odontocetes, pinnipeds underwater, and
mysticetes all overlap the frequencies of
the MFAS/HFAS sources used in the
Navy’s MFAS/HFAS training exercises
(although some mysticete’s best hearing
capacities are likely at frequencies
somewhat lower than MFAS).
Additionally, in almost all species,
vocal repertoires span across the
frequencies of these MFAS/HFAS
sources used by the Navy. The closer
the characteristics of the masking signal
to the signal of interest, the more likely
masking is to occur. For hull-mounted
MFAS/HFAS, which accounts for the
largest part of the takes of marine
mammals (because of the source
strength and number of hours it’s
conducted), the pulse length and duty
cycle of the MFAS/HFAS signal (∼ 1
second pulse twice a minute) makes it
less likely that masking will occur as a
result.
Impaired Communication
In addition to making it more difficult
for animals to perceive acoustic cues in
their environment, anthropogenic sound
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presents separate challenges for animals
that are vocalizing. When they vocalize,
animals are aware of environmental
conditions that affect the ‘‘active space’’
of their vocalizations, which is the
maximum area within which their
vocalizations can be detected before
they drop to the level of ambient noise
(Brenowitz, 2004; Brumm et al., 2004;
Lohr et al., 2003). Animals are also
aware of environmental conditions that
affect whether listeners can discriminate
and recognize their vocalizations from
other sounds, which is more important
than simply detecting that a
vocalization is occurring (Brenowitz,
1982; Brumm et al., 2004; Dooling,
2004, Marten and Marler, 1977;
Patricelli et al., 2006). Most animals that
vocalize have evolved with an ability to
make adjustments to their vocalizations
to increase the signal-to-noise ratio,
active space, and recognizability/
distinguishability of their vocalizations
in the face of temporary changes in
background noise (Brumm et al., 2004;
Patricelli et al., 2006). Vocalizing
animals can make one or more of the
following adjustments to their
vocalizations: Adjust the frequency
structure; adjust the amplitude; adjust
temporal structure; or adjust temporal
delivery.
Many animals will combine several of
these strategies to compensate for high
levels of background noise.
Anthropogenic sounds that reduce the
signal-to-noise ratio of animal
vocalizations, increase the masked
auditory thresholds of animals listening
for such vocalizations, or reduce the
active space of an animal’s vocalizations
impair communication between
animals. Most animals that vocalize
have evolved strategies to compensate
for the effects of short-term or temporary
increases in background or ambient
noise on their songs or calls. Although
the fitness consequences of these vocal
adjustments remain unknown, like most
other trade-offs animals must make,
some of these strategies probably come
at a cost (Patricelli et al., 2006). For
example, vocalizing more loudly in
noisy environments may have energetic
costs that decrease the net benefits of
vocal adjustment and alter a bird’s
energy budget (Brumm, 2004; Wood and
Yezerinac, 2006). Shifting songs and
calls to higher frequencies may also
impose energetic costs (Lambrechts,
1996).
Stress Responses
Classic stress responses begin when
an animal’s central nervous system
perceives a potential threat to its
homeostasis. That perception triggers
stress responses regardless of whether a
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stimulus actually threatens the animal;
the mere perception of a threat is
sufficient to trigger a stress response
(Moberg, 2000; Sapolsky et al., 2005;
Seyle, 1950). Once an animal’s central
nervous system perceives a threat, it
mounts a biological response or defense
that consists of a combination of the
four general biological defense
responses: behavioral responses,
autonomic nervous system responses,
neuroendocrine responses, or immune
response.
In the case of many stressors, an
animal’s first and most economical (in
terms of biotic costs) response is
behavioral avoidance of the potential
stressor or avoidance of continued
exposure to a stressor. An animal’s
second line of defense to stressors
involves the sympathetic part of the
autonomic nervous system and the
classical ‘‘fight or flight’’ response
which includes the cardiovascular
system, the gastrointestinal system, the
exocrine glands, and the adrenal
medulla to produce changes in heart
rate, blood pressure, and gastrointestinal
activity that humans commonly
associate with ‘‘stress.’’ These responses
have a relatively short duration and may
or may not have significant long-term
effect on an animal’s welfare.
An animal’s third line of defense to
stressors involves its neuroendocrine or
sympathetic nervous systems; the
system that has received the most study
has been the hypothalmus-pituitaryadrenal system (also known as the HPA
axis in mammals or the hypothalamuspituitary-interrenal axis in fish and
some reptiles). Unlike stress responses
associated with the autonomic nervous
system, virtually all neuro-endocrine
functions that are affected by stress—
including immune competence,
reproduction, metabolism, and
behavior—are regulated by pituitary
hormones. Stress-induced changes in
the secretion of pituitary hormones have
been implicated in failed reproduction
(Moberg, 1987; Rivier, 1995) and altered
metabolism (Elasser et al., 2000),
reduced immune competence (Blecha,
2000) and behavioral disturbance.
Increases in the circulation of
glucocorticosteroids (cortisol,
corticosterone, and aldosterone in
marine mammals; see Romano et al.,
2004) have been equated with stress for
many years.
The primary distinction between
stress (which is adaptive and does not
normally place an animal at risk) and
distress is the biotic cost of the
response. During a stress response, an
animal uses glycogen stores that can be
quickly replenished once the stress is
alleviated. In such circumstances, the
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cost of the stress response would not
pose a risk to the animal’s welfare.
However, when an animal does not have
sufficient energy reserves to satisfy the
energetic costs of a stress response,
energy resources must be diverted from
other biotic functions, which impairs
those functions that experience the
diversion. For example, when mounting
a stress response diverts energy away
from growth in young animals, those
animals may experience stunted growth.
When mounting a stress response
diverts energy from a fetus, an animal’s
reproductive success and its fitness will
suffer. In these cases, the animals will
have entered a pre-pathological or
pathological state which is called
‘‘distress’’ (sensu Seyle, 1950) or
‘‘allostatic loading’’ (sensu McEwen and
Wingfield, 2003). This pathological state
will last until the animal replenishes its
biotic reserves sufficient to restore
normal function. Note that these
examples involved a long term (days or
weeks) stress response exposure to a
stimuli.
Relationships between these
physiological mechanisms, animal
behavior, and the costs of stress
responses have also been documented
fairly well through controlled
experiment; because this physiology
exists in every vertebrate that has been
studied, it is not surprising that stress
responses and their costs have been
documented in both laboratory and freeliving animals (for examples see,
Holberton et al., 1996; Hood et al., 1998;
Jessop et al., 2003; Krausman et al.,
2004; Lankford et al., 2005; Reneerkens
et al., 2002; Thompson and Hamer,
2000). Although no information has
been collected on the physiological
responses of marine mammals to
exposure to anthropogenic sounds,
studies of other marine animals and
terrestrial animals would lead us to
expect some marine mammals to
experience physiological stress
responses and, perhaps, physiological
responses that would be classified as
‘‘distress’’ upon exposure to high
frequency, mid-frequency and lowfrequency sounds.
For example, Jansen (1998) reported
on the relationship between acoustic
exposures and physiological responses
that are indicative of stress responses in
humans (for example, elevated
respiration and increased heart rates).
Jones (1998) reported on reductions in
human performance when faced with
acute, repetitive exposures to acoustic
disturbance. Trimper et al. (1998)
reported on the physiological stress
responses of osprey to low-level aircraft
noise while Krausman et al. (2004)
reported on the auditory and physiology
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stress responses of endangered Sonoran
pronghorn to military overflights. Smith
et al. (2004a, 2004b) identified noiseinduced physiological transient stress
responses in hearing-specialist fish (i.e.,
goldfish) that accompanied short- and
long-term hearing losses. Welch and
Welch (1970) reported physiological
and behavioral stress responses that
accompanied damage to the inner ears
of fish and several mammals.
Hearing is one of the primary senses
marine mammals use to gather
information about their environment
and to communicate with conspecifics.
Although empirical information on the
relationship between sensory
impairment (TTS, PTS, and acoustic
masking) on marine mammals remains
limited, it seems reasonable to assume
that reducing an animal’s ability to
gather information about its
environment and to communicate with
other members of its species would be
stressful for animals that use hearing as
their primary sensory mechanism.
Therefore, we assume that acoustic
exposures sufficient to trigger onset PTS
or TTS would be accompanied by
physiological stress responses because
terrestrial animals exhibit those
responses under similar conditions
(NRC, 2003). More importantly, marine
mammals might experience stress
responses at received levels lower than
those necessary to trigger onset TTS.
Based on empirical studies of the time
required to recover from stress
responses (Moberg, 2000), NMFS also
assumes that stress responses could
persist beyond the time interval
required for animals to recover from
TTS and might result in pathological
and pre-pathological states that would
be as significant as behavioral responses
to TTS.
Behavioral Disturbance
Behavioral responses to sound are
highly variable and context-specific.
Many different variables can influence
an animal’s perception of and response
to (in both nature and magnitude) an
acoustic event. An animal’s prior
experience with a sound or sound
source affects whether it is less likely
(habituation) or more likely
(sensitization) to respond to certain
sounds in the future (animals can also
be innately pre-disposed to respond to
certain sounds in certain ways)
(Southall et al., 2007). Related to the
sound itself, the perceived nearness of
the sound, bearing of the sound
(approaching vs. retreating), similarity
of a sound to biologically relevant
sounds in the animal’s environment
(i.e., calls of predators, prey, or
conspecifics), and familiarity of the
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sound may affect the way an animal
responds to the sound (Southall et al.,
2007). Individuals (of different age,
gender, reproductive status, etc.) among
most populations will have variable
hearing capabilities, and differing
behavioral sensitivities to sounds that
will be affected by prior conditioning,
experience, and current activities of
those individuals. Often, specific
acoustic features of the sound and
contextual variables (i.e., proximity,
duration, or recurrence of the sound or
the current behavior that the marine
mammal is engaged in or its prior
experience), as well as entirely separate
factors such as the physical presence of
a nearby vessel, may be more relevant
to the animal’s response than the
received level alone.
Exposure of marine mammals to
sound sources can result in (but is not
limited to) no response or any of the
following observable responses:
increased alertness; orientation or
attraction to a sound source; vocal
modifications; cessation of feeding;
cessation of social interaction; alteration
of movement or diving behavior;
avoidance; habitat abandonment
(temporary or permanent); and, in
severe cases, panic, flight, stampede, or
stranding, potentially resulting in death
(Southall et al., 2007). A review of
marine mammal responses to
anthropogenic sound was first
conducted by Richardson (1995). A
more recent review (Nowacek et al.,
2007) addresses studies conducted since
1995 and focuses on observations where
the received sound level of the exposed
marine mammal(s) was known or could
be estimated. The following subsections provide examples of behavioral
responses that provide an idea of the
variability in behavioral responses that
would be expected given the differential
sensitivities of marine mammal species
to sound and the wide range of potential
acoustic sources to which a marine
mammal may be exposed. Estimates of
the types of behavioral responses that
could occur for a given sound exposure
should be determined from the
literature that is available for each
species, or extrapolated from closely
related species when no information
exists.
Alteration of Diving or Movement—
Changes in dive behavior can vary
widely. They may consist of increased
or decreased dive times and surface
intervals as well as changes in the rates
of ascent and descent during a dive.
Variations in dive behavior may reflect
interruptions in biologically significant
activities (e.g., foraging) or they may be
of little biological significance.
Variations in dive behavior may also
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expose an animal to potentially harmful
conditions (e.g., increasing the chance
of ship-strike) or may serve as an
avoidance response that enhances
survivorship. The impact of a variation
in diving resulting from an acoustic
exposure depends on what the animal is
doing at the time of the exposure and
the type and magnitude of the response.
Nowacek et al. (2004) reported
disruptions of dive behaviors in foraging
North Atlantic right whales when
exposed to an alerting stimulus, a
reaction, they noted, that could lead to
an increased likelihood of ship strike.
However, the whales did not respond to
playbacks of either right whale social
sounds or vessel noise, highlighting the
importance of the sound characteristics
in producing a behavioral reaction.
Conversely, Indo-Pacific humpback
dolphins have been observed to dive for
longer periods of time in areas where
vessels were present and/or
approaching (Ng and Leung, 2003). In
both of these studies, the influence of
the sound exposure cannot be
decoupled from the physical presence of
a surface vessel, thus complicating
interpretations of the relative
contribution of each stimulus to the
response. Indeed, the presence of
surface vessels, their approach and
speed of approach, seemed to be
significant factors in the response of the
Indo-Pacific humpback dolphins (Ng
and Leung, 2003). Low frequency
signals of the Acoustic Thermometry of
Ocean Climate (ATOC) sound source
were not found to affect dive times of
humpback whales in Hawaiian waters
(Frankel and Clark, 2000) or to overtly
affect elephant seal dives (Costa et al.,
2003). They did, however, produce
subtle effects that varied in direction
and degree among the individual seals,
illustrating the varied nature of
behavioral effects and consequent
difficulty in defining and predicting
them.
Foraging—Disruption of feeding
behavior can be difficult to correlate
with anthropogenic sound exposure, so
it is usually inferred by observed
displacement from known foraging
areas, the appearance of secondary
indicators (e.g., bubble nets or sediment
plumes), or changes in dive behavior.
Noise from seismic surveys was not
found to impact the feeding behavior in
western grey whales off the coast of
Russia (Yazvenko et al., 2007) and
sperm whales engaged in foraging dives
did not abandon dives when exposed to
distant signatures of seismic airguns
(Madsen et al., 2006). Balaenopterid
whales exposed to moderate SURTASS
LFA demonstrated no variation in
foraging activity (Croll et al., 2001),
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whereas five out of six North Atlantic
right whales exposed to an acoustic
alarm interrupted their foraging dives
(Nowacek et al., 2004). Although the
received sound pressure level at the
animals was similar in the latter two
studies, the frequency, duration, and
temporal pattern of signal presentation
were different. These factors, as well as
differences in species sensitivity, are
likely contributing factors to the
differential response. A determination
of whether foraging disruptions incur
fitness consequences will require
information on or estimates of the
energetic requirements of the
individuals and the relationship
between prey availability, foraging effort
and success, and the life history stage of
the animal.
Brownell (2004) reported the
behavioral responses of western gray
whales off the northeast coast of
Sakhalin Island to sounds produced by
seismic activities in that region. In 1997,
the gray whales responded to seismic
activities by changing their swimming
speed and orientation, respiration rates,
and distribution in waters around the
seismic surveys. In 2001, seismic
activities were conducted in a known
feeding area of these whales and the
whales left the feeding area and moved
to areas farther south in the Sea of
Okhotsk. They only returned to the
feeding area several days after the
seismic activities stopped. The potential
fitness consequences of displacing these
whales, especially mother-calf pairs and
‘‘skinny whales,’’ outside of their
normal feeding area is not known;
however, because gray whales, like
other large whales, must gain enough
energy during the summer foraging
season to last them the entire year,
sounds or other stimuli that cause them
to abandon a foraging area for several
days could disrupt their energetics and
force them to make trade-offs like
delaying their migration south, delaying
reproduction, reducing growth, or
migrating with reduced energy reserves.
Social relationships—Social
interactions between mammals can be
affected by noise via the disruption of
communication signals or by the
displacement of individuals. Sperm
whales responded to military sonar,
apparently from a submarine, by
dispersing from social aggregations,
moving away from the sound source,
remaining relatively silent and
becoming difficult to approach (Watkins
et al., 1985). In contrast, sperm whales
in the Mediterranean that were exposed
to submarine sonar continued calling (J.
Gordon pers. Comm. cited in
Richardson et al., 1995). Social
disruptions must be considered,
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however, in context of the relationships
that are affected. While some
disruptions may not have deleterious
effects, long-term or repeated
disruptions of mother/calf pairs or
interruption of mating behaviors have
the potential to affect the growth and
survival or reproductive effort/success
of individuals, respectively.
Vocalizations (also see Masking
Section)—Vocal changes in response to
anthropogenic noise can occur across
the repertoire of sound production
modes used by marine mammals, such
as whistling, echolocation click
production, calling, and singing.
Changes may result in response to a
need to compete with an increase in
background noise or may reflect an
increased vigilance or startle response.
For example, in the presence of lowfrequency active sonar, humpback
whales have been observed to increase
the length of their ‘‘songs’’ (Miller et al.,
2000; Fristrup et al., 2003), possibly due
to the overlap in frequencies between
the whale song and the low-frequency
active sonar. A similar compensatory
effect for the presence of low frequency
vessel noise has been suggested for right
whales; right whales have been
observed to shift the frequency content
of their calls upward while reducing the
rate of calling in areas of increased
anthropogenic noise (Parks et al., 2007).
Killer whales off the northwestern coast
of the United States have been observed
to increase the duration of primary calls
once a threshold in observing vessel
density (e.g., whale watching) was
reached, which has been suggested as a
response to increased masking noise
produced by the vessels (Foote et al.,
2004). In contrast, both sperm and pilot
whales potentially ceased sound
production during the Heard Island
feasibility test (Bowles et al., 1994),
although it cannot be absolutely
determined whether the inability to
acoustically detect the animals was due
to the cessation of sound production or
the displacement of animals from the
area.
Avoidance—Avoidance is the
displacement of an individual from an
area as a result of the presence of a
sound. Richardson et al. (1995) noted
that avoidance reactions are the most
obvious manifestations of disturbance in
marine mammals. It is qualitatively
different from the flight response, but
also differs in the magnitude of the
response (i.e., directed movement, rate
of travel, etc.). Oftentimes avoidance is
temporary, and animals return to the
area once the noise has ceased. Longer
term displacement is possible, however,
which can lead to changes in abundance
or distribution patterns of the species in
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the affected region if they do not
become acclimated to the presence of
the chronic sound (Blackwell et al.,
2004; Bejder et al., 2006; Teilmann et
al., 2006). Acute avoidance responses
have been observed in captive porpoises
and pinnipeds exposed to a number of
different sound sources (Kastelein et al.,
2001; Finneran et al., 2003; Kastelein et
al., 2006a; Kastelein et al., 2006b). Short
term avoidance of seismic surveys, low
frequency emissions, and acoustic
deterrents have also been noted in wild
populations of odontocetes (Bowles et
al., 1994; Goold, 1996; 1998; Stone et
al., 2000; Morton and Symonds, 2002)
and to some extent in mysticetes (Gailey
et al., 2007), while longer term or
repetitive/chronic displacement for
some dolphin groups and for manatees
has been suggested to be due to the
presence of chronic vessel noise
(Haviland-Howell et al., 2007; MiksisOlds et al., 2007).
Maybaum (1993) conducted sound
playback experiments to assess the
effects of mid-frequency active sonar on
humpback whales in Hawaiian waters.
Specifically, she exposed focal pods to
sounds of a 3.3-kHz sonar pulse, a sonar
frequency sweep from 3.1 to 3.6 kHz,
and a control (blank) tape while
monitoring the behavior, movement,
and underwater vocalizations. The two
types of sonar signals (which both
contained both mid- and low frequency
components) differed in their effects on
the humpback whales, but both resulted
in avoidance behavior. The whales
responded to the pulse by increasing
their distance from the sound source
and responded to the frequency sweep
by increasing their swimming speeds
and track linearity. In the Caribbean,
sperm whales avoided exposure to midfrequency submarine sonar pulses, in
the range of 1000 Hz to 10,000 Hz (IWC
2005).
Kvadsheim et al., (2007) conducted a
controlled exposure experiment in
which killer whales (Orcinus orca) that
had been fitted with D-tags were
exposed to mid-frequency active sonar
(Source A: a 1.0 s upsweep 209 dB @ 1–
2 kHz every 10 seconds for 10 minutes;
Source B: with a 1.0 s upsweep 197 dB
@ 6–7 kHz every 10 s for 10 min). When
exposed to Source A, a tagged whale
and the group it was traveling with did
not appear to avoid the source. When
exposed to Source B, the tagged whales
along with other whales that had been
carousel feeding, ceased feeding during
the approach of the sonar and moved
rapidly away from the source. When
exposed to Source B, Kvadsheim and
his co-workers reported that a tagged
killer whale seemed to try to avoid
further exposure to the sound field by
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immediately swimming away
(horizontally) from the source of the
sound; by engaging in a series of erratic
and frequently deep dives that seem to
take it below the sound field; or by
swimming away while engaged in a
series of erratic and frequently deep
dives. Although the sample sizes in this
study are too small to support statistical
analysis, the behavioral responses of the
orcas were consistent with the results of
other studies.
In 2007, the first in the series of
behavioral response studies conducted
by NMFS and other scientists showed
one beaked whale (Mesoplodon
densirostris) responding to an MFAS
playback. The BRS–07 Cruise report
indicates that the playback began when
the tagged beaked whale was vocalizing
at depth (at the deepest part of a typical
feeding dive), following a previous
control with no sound exposure. The
whale appeared to stop clicking
significantly earlier than usual, when
exposed to mid-frequency signals in the
130–140 dB (rms) received level range.
After a few more minutes of the
playback, when the received level
reached a maximum of 140–150 dB, the
whale ascended on the slow side of
normal ascent rates with a longer than
normal ascent, at which point the
exposure was terminated. The BRS–07
Cruise report notes that the results are
from a single experiment and that a
greater sample size is needed before
robust and definitive conclusions can be
drawn (NMFS, 2008). The BRS–08
Cruise report has not been published
yet.
Flight Response—A flight response is
a dramatic change in normal movement
to a directed and rapid movement away
from the perceived location of a sound
source. Relatively little information on
flight responses of marine mammals to
anthropogenic signals exist, although
observations of flight responses to the
presences of predators have occurred
(Connor and Heithaus, 1996). Flight
responses have been speculated as being
a component of marine mammal
strandings associated with MFAS
activities (Evans and England, 2001). If
marine mammals respond to Navy
vessels that are transmitting active sonar
in the same way that they might
respond to a predator, their probability
of flight responses should increase
when they perceive that Navy vessels
are approaching them directly, because
a direct approach may convey detection
and intent to capture (Burger and
Gochfeld, 1981, 1990, Cooper, 1997,
1998). The probability of avoidance and
flight responses should also increase as
received levels of active sonar increase
(and the ship is, therefore, closer) and
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as ship speeds increase (that is, as
approach speeds increase). For example,
the probability of flight responses in
Dall’s sheep Ovis dalli dalli (Frid 2001a,
2001b), ringed seals Phoca hispida
(Born et al., 1999), Pacific brant (Branta
bernicl nigricans) and Canada geese (B.
Canadensis) increased as a helicopter or
fixed-wing aircraft approached groups
of these animals more directly (Ward et
al., 1999). Bald eagles (Haliaeetus
leucocephalus) perched on trees
alongside a river were also more likely
to flee from a paddle raft when their
perches were closer to the river or were
closer to the ground (Steidl and
Anthony, 1996).
Breathing—Variations in respiration
naturally vary with different behaviors
and variations in respiration rate as a
function of acoustic exposure can be
expected to co-occur with other
behavioral reactions, such as a flight
response or an alteration in diving.
However, respiration rates in and of
themselves may be representative of
annoyance or an acute stress response.
Mean exhalation rates of gray whales at
rest and while diving were found to be
unaffected by seismic surveys
conducted adjacent to the whale feeding
grounds (Gailey et al., 2007). Studies
with captive harbor porpoises showed
increased respiration rates upon
introduction of acoustic alarms
(Kastelein et al., 2001; Kastelein et al.,
2006a) and emissions for underwater
data transmission (Kastelein et al.,
2005). However, exposure of the same
acoustic alarm to a striped dolphin
under the same conditions did not elicit
a response (Kastelein et al., 2006a),
again highlighting the importance in
understanding species differences in the
tolerance of underwater noise when
determining the potential for impacts
resulting from anthropogenic sound
exposure.
Continued Pre-disturbance Behavior
and Habituation—Under some
circumstances, some of the individual
marine mammals that are exposed to
active sonar transmissions will continue
their normal behavioral activities; in
other circumstances, individual animals
will become aware of the sonar
transmissions at lower received levels
and move to avoid additional exposure
or exposures at higher received levels
(Richardson et al., 1995).
It is difficult to distinguish between
animals that continue their predisturbance behavior without stress
responses, animals that continue their
behavior but experience stress responses
(that is, animals that cope with
disturbance), and animals that habituate
to disturbance (that is, they may have
experienced low-level stress responses
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initially, but those responses abated
over time). Watkins (1986) reviewed
data on the behavioral reactions of fin,
humpback, right and minke whales that
were exposed to continuous, broadband
low-frequency shipping and industrial
noise in Cape Cod Bay. He concluded
that underwater sound was the primary
cause of behavioral reactions in these
species of whales and that the whales
responded behaviorally to acoustic
stimuli within their respective hearing
ranges. Watkins also noted that whales
showed the strongest behavioral
reactions to sounds in the 15 Hz to 28
kHz range, although negative reactions
(avoidance, interruptions in
vocalizations, etc.) were generally
associated with sounds that were either
unexpected, too loud, suddenly louder
or different, or perceived as being
associated with a potential threat (such
as an approaching ship on a collision
course). In particular, whales seemed to
react negatively when they were within
100 m of the source or when received
levels increased suddenly in excess of
12 dB relative to ambient sounds. At
other times, the whales ignored the
source of the signal and all four species
habituated to these sounds.
Nevertheless, Watkins concluded that
whales ignored most sounds in the
background of ambient noise, including
the sounds from distant human
activities even though these sounds may
have had considerable energies at
frequencies well within the whales’
range of hearing. Further, he noted that
of the whales observed, fin whales were
the most sensitive of the four species,
followed by humpback whales; right
whales were the least likely to be
disturbed and generally did not react to
low-amplitude engine noise. By the end
of his period of study, Watkins (1986)
concluded that fin and humpback
whales have generally habituated to the
continuous and broadband noise of
Cape Cod Bay while right whales did
not appear to change their response. As
mentioned above, animals that habituate
to a particular disturbance may have
experienced low-level stress responses
initially, but those responses abated
over time. In most cases, this likely
means a lessened immediate potential
effect from a disturbance; however,
concern exists where the habituation
occurs in a potentially more harmful
situation, for example: animals may
become more vulnerable to vessel
strikes once they habituate to vessel
traffic (Swingle et al., 1993; Wiley et al.,
1995).
Aicken et al., (2005) monitored the
behavioral responses of marine
mammals to a new low-frequency active
sonar system that was being developed
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for use by the British Navy. During
those trials, fin whales, sperm whales,
Sowerby’s beaked whales, long-finned
pilot whales (Globicephala melas),
Atlantic white-sided dolphins, and
common bottlenose dolphins were
observed and their vocalizations were
recorded. These monitoring studies
detected no evidence of behavioral
responses that the investigators could
attribute to exposure to the lowfrequency active sonar during these
trials.
Behavioral Responses (Southall et al.
(2007))
Southall et al. (2007) reports the
results of the efforts of a panel of experts
in acoustic research from behavioral,
physiological, and physical disciplines
that convened and reviewed the
available literature on marine mammal
hearing and physiological and
behavioral responses to human-made
sound with the goal of proposing
exposure criteria for certain effects. This
peer-reviewed compilation of literature
is very valuable, though Southall et al.
(2007) note that not all data are equal,
some have poor statistical power,
insufficient controls, and/or limited
information on received levels,
background noise, and other potentially
important contextual variables—such
data were reviewed and sometimes used
for qualitative illustration but were not
included in the quantitative analysis for
the criteria recommendations. All of the
studies considered, however, contain an
estimate of the received sound level
when the animal exhibited the indicated
response.
In the Southall et al. (2007)
publication, for the purposes of
analyzing responses of marine mammals
to anthropogenic sound and developing
criteria, the authors differentiate
between single pulse sounds, multiple
pulse sounds, and non-pulse sounds.
MFAS/HFAS is considered a non-pulse
sound. Southall et al. (2007) summarize
the studies associated with lowfrequency, mid-frequency, and highfrequency cetacean and pinniped
responses to non-pulse sounds, based
strictly on received level, in Appendix
C of their article (incorporated by
reference and summarized in the three
paragraphs below).
The studies that address responses of
low frequency cetaceans to non-pulse
sounds include data gathered in the
field and related to several types of
sound sources (of varying similarity to
MFAS/HFAS) including: vessel noise,
drilling and machinery playback, lowfrequency M-sequences (sine wave with
multiple phase reversals) playback,
tactical low-frequency active sonar
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playback, drill ships, Acoustic
Thermometry of Ocean Climate (ATOC)
source, and non-pulse playbacks. These
studies generally indicate no (or very
limited) responses to received levels in
the 90 to 120 dB re: 1 μPa range and an
increasing likelihood of avoidance and
other behavioral effects in the 120 to
160 dB range. As mentioned earlier,
though, contextual variables play a very
important role in the reported responses
and the severity of effects are not linear
when compared to received level. Also,
few of the laboratory or field datasets
had common conditions, behavioral
contexts or sound sources, so it is not
surprising that responses differ.
The studies that address responses of
mid-frequency cetaceans to non-pulse
sounds include data gathered both in
the field and the laboratory and related
to several different sound sources (of
varying similarity to MFAS/HFAS)
including: pingers, drilling playbacks,
ship and ice-breaking noise, vessel
noise, Acoustic Harassment Devices
(AHDs), Acoustic Deterrent Devices
(ADDs), MFAS, and non-pulse bands
and tones. Southall et al. (2007) were
unable to come to a clear conclusion
regarding the results of these studies. In
some cases, animals in the field showed
significant responses to received levels
between 90 and 120 dB, while in other
cases these responses were not seen in
the 120 to 150 dB range. The disparity
in results was likely due to contextual
variation and the differences between
the results in the field and laboratory
data (animals typically responded at
lower levels in the field).
The studies that address responses of
high frequency cetaceans to non-pulse
sounds include data gathered both in
the field and the laboratory and related
to several different sound sources (of
varying similarity to MFAS/HFAS)
including: pingers, AHDs, and various
laboratory non-pulse sounds. All of
these data were collected from harbor
porpoises. Southall et al. (2007)
concluded that the existing data
indicate that harbor porpoises are likely
sensitive to a wide range of
anthropogenic sounds at low received
levels (∼90–120 dB), at least for initial
exposures. All recorded exposures
above 140 dB induced profound and
sustained avoidance behavior in wild
harbor porpoises (Southall et al., 2007).
Rapid habituation was noted in some
but not all studies. There is no data to
indicate whether other high frequency
cetaceans are as sensitive to
anthropogenic sound as harbor
porpoises are.
The studies that address the responses
of pinnipeds in water to non-pulse
sounds include data gathered both in
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the field and the laboratory and related
to several different sound sources (of
varying similarity to MFAS/HFAS)
including: AHDs, ATOC, various nonpulse sounds used in underwater data
communication; underwater drilling,
and construction noise. Few studies
exist with enough information to
include them in the analysis. The
limited data suggested that exposures to
non-pulse sounds between 90 and 140
dB generally do not result in strong
behavioral responses in pinnipeds in
water, but no data exist at higher
received levels.
In addition to summarizing the
available data, the authors of Southall et
al. (2007) developed a severity scaling
system with the intent of ultimately
being able to assign some level of
biological significance to a response.
Following is a summary of their scoring
system; a comprehensive list of the
behaviors associated with each score
may be found in the report:
• 0–3 (Minor and/or brief behaviors)
includes, but is not limited to: no
response; minor changes in speed or
locomotion (but with no avoidance);
individual alert behavior; minor
cessation in vocal behavior; minor
changes in response to trained
behaviors (in laboratory)
• 4–6 (Behaviors with higher potential
to affect foraging, reproduction, or
survival) includes, but is not limited
to: moderate changes in speed,
direction, or dive profile; brief shift in
group distribution; prolonged
cessation or modification of vocal
behavior (duration > duration of
sound), minor or moderate individual
and/or group avoidance of sound;
brief cessation of reproductive
behavior; or refusal to initiate trained
tasks (in laboratory)
• 7–9 (Behaviors considered likely to
affect the aforementioned vital rates)
includes, but is not limited to:
extensive or prolonged aggressive
Potential Effects of Behavioral
Disturbance
The different ways that marine
mammals respond to sound are
sometimes indicators of the ultimate
effect that exposure to a given stimulus
will have on the well-being (survival,
reproduction, etc.) of an animal. There
are little quantitative marine mammal
data relating the exposure of marine
mammals to sound to effects on
reproduction or survival, though data
exist for terrestrial species to which we
can draw comparisons for marine
mammals. Several authors have
reported that disturbance stimuli cause
animals to abandon nesting and foraging
sites (Sutherland and Crockford, 1993),
cause animals to increase their activity
levels and suffer premature deaths or
reduced reproductive success when
their energy expenditures exceed their
energy budgets (Daan et al., 1996, Feare
1976, Giese 1996, Mullner et al., 2004,
Waunters et al., 1997), or cause animals
to experience higher predation rates
when they adopt risk-prone foraging or
migratory strategies (Frid and Dill,
2002). Each of these studies addressed
the consequences that result when
animals shift from one behavioral state
(for example, resting or foraging) to
another behavioral state (avoidance or
escape behavior) because of human
disturbance or disturbance stimuli.
One consequence of behavioral
avoidance results from changing the
energetics of marine mammals because
of the energy required to avoid surface
vessels or the sound field associated
with active sonar (Frid and Dill, 2002).
Most animals can avoid that energetic
cost by swimming away at slow speeds
or those speeds that are at or near the
minimum cost of transport (MiksisOlds, 2006), as has been demonstrated
in Florida manatees (Hartman, 1979,
Miksis-Olds, 2006).
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behavior; moderate, prolonged or
significant separation of females and
dependent offspring with disruption
of acoustic reunion mechanisms;
long-term avoidance of an area;
outright panic, stampede, stranding;
threatening or attacking sound source
(in laboratory)
In Table 6 we have summarized the
scores that Southall et al. (2007)
assigned to the papers that reported
behavioral responses of low-frequency
cetaceans, mid-frequency cetaceans, and
pinnipeds in water to non-pulse sounds.
This table is included simply to
summarize the findings of the studies
and opportunistic observations (all of
which were capable of estimating
received level) that Southall et al. (2007)
compiled in the effort to develop
acoustic criteria.
Those costs increase, however, when
animals shift from a resting state, which
is designed to conserve an animal’s
energy, to an active state that consumes
energy the animal would have
conserved had it not been disturbed.
Marine mammals that have been
disturbed by anthropogenic noise and
vessel approaches are commonly
reported to shift from resting behavioral
states to active behavioral states, which
would imply that they incur an energy
cost. Morete et al., (2007) reported that
undisturbed humpback whale cows that
were accompanied by their calves were
frequently observed resting while their
calves circled them (milling) and rolling
interspersed with dives. When vessels
approached, the amount of time cows
and calves spent resting and milling,
respectively declined significantly.
These results are similar to those
reported by Scheidat et al. (2004) for the
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humpback whales they observed off the
coast of Ecuador.
Constantine and Brunton (2001)
reported that bottlenose dolphins in the
Bay of Islands, New Zealand only
engaged in resting behavior 5% of the
time when vessels were within 300
meters compared with 83% of the time
when vessels were not present. MiksisOlds (2006) and Miksis-Olds et al.
(2005) reported that Florida manatees in
Sarasota Bay, Florida, reduced the
amount of time they spent milling and
increased the amount of time they spent
feeding when background noise levels
increased. Although the acute costs of
these changes in behavior are not likely
to exceed an animal’s ability to
compensate, the chronic costs of these
behavioral shifts are uncertain.
Attention is the cognitive process of
selectively concentrating on one aspect
of an animal’s environment while
ignoring other things (Posner, 1994).
Because animals (including humans)
have limited cognitive resources, there
is a limit to how much sensory
information they can process at any
time. The phenomenon called
‘‘attentional capture’’ occurs when a
stimulus (usually a stimulus that an
animal is not concentrating on or
attending to) ‘‘captures’’ an animal’s
attention. This shift in attention can
occur consciously or unconsciously (for
example, when an animal hears sounds
that it associates with the approach of
a predator) and the shift in attention can
be sudden (Dukas, 2002; van Rij, 2007).
Once a stimulus has captured an
animal’s attention, the animal can
respond by ignoring the stimulus,
assuming a ‘‘watch and wait’’ posture,
or treat the stimulus as a disturbance
and respond accordingly, which
includes scanning for the source of the
stimulus or ‘‘vigilance’’ (Cowlishaw et
al., 2004).
Vigilance is normally an adaptive
behavior that helps animals determine
the presence or absence of predators,
assess their distance from conspecifics,
or to attend cues from prey (Bednekoff
and Lima, 1998; Treves, 2000). Despite
those benefits, however, vigilance has a
cost of time: when animals focus their
attention on specific environmental
cues, they are not attending to other
activities such a foraging. These costs
have been documented best in foraging
animals, where vigilance has been
shown to substantially reduce feeding
rates (Saino, 1994; Beauchamp and
Livoreil, 1997; Fritz et al., 2002).
Animals will spend more time being
vigilant, which may translate to less
time foraging or resting, when
disturbance stimuli approach them
more directly, remain at closer
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distances, have a greater group size (for
example, multiple surface vessels), or
when they co-occur with times that an
animal perceives increased risk (for
example, when they are giving birth or
accompanied by a calf). Most of the
published literature, however, suggests
that direct approaches will increase the
amount of time animals will dedicate to
being vigilant. For example, bighorn
sheep and Dall’s sheep dedicated more
time to being vigilant, and less time
resting or foraging, when aircraft made
direct approaches over them (Frid, 2001;
Stockwell et al., 1991).
Several authors have established that
long-term and intense disturbance
stimuli can cause population declines
by reducing the body condition of
individuals that have been disturbed,
followed by reduced reproductive
success, reduced survival, or both (Daan
et al., 1996; Madsen, 1994; White,
1983). For example, Madsen (1994)
reported that pink-footed geese (Anser
brachyrhynchus) in undisturbed habitat
gained body mass and had about a 46%
reproductive success rate compared
with geese in disturbed habitat (being
consistently scared off the fields on
which they were foraging) which did
not gain mass and had a 17%
reproductive success rate. Similar
reductions in reproductive success have
been reported for mule deer (Odocoileus
hemionus) disturbed by all-terrain
vehicles (Yarmoloy et al., 1988), caribou
disturbed by seismic exploration blasts
(Bradshaw et al., 1998), caribou
disturbed by low-elevation military jetfights (Luick et al., 1996), and caribou
disturbed by low-elevation jet flights
(Harrington and Veitch, 1992).
Similarly, a study of elk (Cervus
elaphus) that were disturbed
experimentally by pedestrians
concluded that the ratio of young to
mothers was inversely related to
disturbance rate (Phillips and
Alldredge, 2000).
The primary mechanism by which
increased vigilance and disturbance
appear to affect the fitness of individual
animals is by disrupting an animal’s
time budget and, as a result, reducing
the time they might spend foraging and
resting (which increases an animal’s
activity rate and energy demand). For
example, a study of grizzly bears (Ursus
horribilis) reported that bears disturbed
by hikers reduced their energy intake by
an average of 12 kcal/min (50.2 × 103 kJ/
min), and spent energy fleeing or acting
aggressively toward hikers (White et al.,
1999). Alternately, Ridgway et al.,
(2006) reported that increased vigilance
in bottlenose dolphins exposed to sound
over a five day period did not cause any
sleep deprivation or stress effects such
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53823
as changes in cortisol or epinephrine
levels.
On a related note, many animals
perform vital functions, such as feeding,
resting, traveling, and socializing, on a
diel cycle (24-hr cycle). Behavioral
reactions to noise exposure (such as
disruption of critical life functions,
displacement, or avoidance of important
habitat) are more likely to be significant
if they last more than one diel cycle or
recur on subsequent days (Southall et
al., 2007). Consequently, a behavioral
response lasting less than one day and
not recurring on subsequent days is not
considered particularly severe unless it
could directly affect reproduction or
survival (Southall et al., 2007).
Stranding and Mortality
When a live or dead marine mammal
swims or floats onto shore and becomes
‘‘beached’’ or incapable of returning to
sea, the event is termed a ‘‘stranding’’
(Geraci et al., 1999; Perrin and Geraci,
2002; Geraci and Lounsbury, 2005;
National Marine Fisheries Service,
2007p). The legal definition for a
stranding within the United States is
that (A) ‘‘a marine mammal is dead and
is (i) on a beach or shore of the United
States; or (ii) in waters under the
jurisdiction of the United States
(including any navigable waters); or (B)
a marine mammal is alive and is (i) on
a beach or shore of the United States
and is unable to return to the water; (ii)
on a beach or shore of the United States
and, although able to return to the
water, is in need of apparent medical
attention; or (iii) in the waters under the
jurisdiction of the United States
(including any navigable waters), but is
unable to return to its natural habitat
under its own power or without
assistance.’’ (16 U.S.C. 1421h).
Marine mammals are known to strand
for a variety of reasons, such as
infectious agents, biotoxicosis,
starvation, fishery interaction, ship
strike, unusual oceanographic or
weather events, sound exposure, or
combinations of these stressors
sustained concurrently or in series.
However, the cause or causes of most
strandings are unknown (Geraci et al.,
1976; Eaton, 1979, Odell et al., 1980;
Best, 1982). Numerous studies suggest
that the physiology, behavior, habitat
relationships, age, or condition of
cetaceans may cause them to strand or
might pre-dispose them to strand when
exposed to another phenomenon. These
suggestions are consistent with the
conclusions of numerous other studies
that have demonstrated that
combinations of dissimilar stressors
commonly combine to kill an animal or
dramatically reduce its fitness, even
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though one exposure without the other
does not produce the same result
(Chroussos, 2000; Creel, 2005; DeVries
et al., 2003; Fair and Becker, 2000; Foley
et al., 2001; Moberg, 2000; Relyea,
2005a, 2005b; Romero, 2004; Sih et al.,
2004).
Several sources have published lists
of mass stranding events of cetaceans in
an attempt to identify relationships
between those stranding events and
military active sonar (Hildebrand, 2004;
IWC, 2005; Taylor et al., 2004). For
example, based on a review of stranding
records between 1960 and 1995, the
International Whaling Commission
(2005) identified ten mass stranding
events of Cuvier’s beaked whales that
had been reported and one mass
stranding of four Baird’s beaked whales
(Berardius bairdii). The IWC concluded
that, out of eight stranding events
reported from the mid-1980s to the
summer of 2003, seven had been
coincident with the use of MFAS, one
of those seven had been associated with
the use of tactical low-frequency sonar,
and the remaining stranding event had
been associated with the use of seismic
airguns.
Most of the stranding events reviewed
by the IWC involved beaked whales. A
mass stranding of Cuvier’s beaked
whales in the eastern Mediterranean Sea
occurred in 1996 (Franzis, 1998) and
mass stranding events involving
Gervais’ beaked whales, Blainville’s
beaked whales, and Cuvier’s beaked
whales occurred off the coast of the
Canary Islands in the late 1980s
(Simmonds and Lopez-Jurado, 1991).
The stranding events that occurred in
the Canary Islands and Kyparissiakos
Gulf in the late 1990s and the Bahamas
in 2000 have been the most intensivelystudied mass stranding events and have
been associated with naval exercises
involving the use of MFAS.
Strandings Associated With MFAS
Over the past 12 years, there have
been five stranding events coincident
with military mid-frequency active
sonar use in which exposure to sonar is
believed by NMFS and the Navy to have
been a contributing factor: Greece
(1996); the Bahamas (2000); Madeira
(2000); Canary Islands (2002); and Spain
(2006). Additionally, in 2004, during the
RIMPAC exercises, between 150–200
usually pelagic melon-headed whales
occupied the shallow waters of the
Hanalei Bay, Kaua’i, Hawaii for over 28
hours. NMFS determined that the midfrequency sonar was a plausible, if not
likely, contributing factor in what may
have been a confluence of events that
led to the Hanalei Bay stranding. A
number of other stranding events
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coincident with the operation of MFAS
including the death of beaked whales or
other species (Minke whales, dwarf
sperm whales, pilot whales) have been
reported; however, the majority have
not been investigated to the degree
necessary to determine the cause of the
stranding and only one of these
exercises was conducted by the U.S.
Navy.
Greece (1996)
Twelve Cuvier’s beaked whales
stranded atypically (in both time and
space) along a 38.2-kilometer strand of
the coast of the Kyparissiakos Gulf on
May 12 and 13, 1996 (Frantzis, 1998).
From May 11 through May 15, the
NATO research vessel Alliance was
conducting active sonar tests with
signals of 600 Hz and 3 kHz and source
levels of 228 and 226 dB re: 1μPa,
respectively (D’Amico and Verboom,
1998; D’Spain et al., 2006). The timing
and the location of the testing
encompassed the time and location of
the whale strandings (Frantzis, 1998).
Necropsies of eight of the animals
were performed but were limited to
basic external examination and
sampling of stomach contents, blood,
and skin. No ears or organs were
collected, and no histological samples
were preserved. No apparent
abnormalities or wounds were found
(Frantzis, 2004). Examination of photos
of the animals, taken soon after their
death, revealed that the eyes of at least
four of the individuals were bleeding.
Photos were taken soon after their death
(Frantzis, 2004). Stomach contents
contained the flesh of cephalopods,
indicating that feeding had recently
taken place (Frantzis, 1998).
All available information regarding
the conditions associated with this
stranding event were compiled, and
many potential causes were examined
including major pollution events,
prominent tectonic activity, unusual
physical or meteorological events,
magnetic anomalies, epizootics, and
conventional military activities
(International Council for the
Exploration of the Sea, 2005a).
However, none of these potential causes
coincided in time or space with the
mass stranding, or could explain its
characteristics (International Council for
the Exploration of the Sea, 2005a). The
robust condition of the animals, plus the
recent stomach contents, is inconsistent
with pathogenic causes (Frantzis, 2004).
In addition, environmental causes can
be ruled out as there were no unusual
environmental circumstances or events
before or during this time period and
within the general proximity (Frantzis,
2004).
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Because of the rarity of this mass
stranding of Cuvier’s beaked whales in
the Kyparissiakos Gulf (first one in
history), the probability for the two
events (the military exercises and the
strandings) to coincide in time and
location, while being independent of
each other, was thought to be extremely
low (Frantzis, 1998). However, because
full necropsies had not been conducted,
and no abnormalities were noted, the
cause of the strandings could not be
precisely determined (Cox et al., 2006).
A Bioacoustics Panel convened by
NATO concluded that the evidence
available did not allow them to accept
or reject sonar exposures as a causal
agent in these stranding events. Their
official finding was ‘‘An acoustic link
can neither be clearly established, nor
eliminated as a direct or indirect cause
for the May 1996 strandings.’’ The
analysis of this stranding event
provided support for, but no clear
evidence for, the cause-and-effect
relationship of active sonar training
activities and beaked whale strandings
(Cox et al., 2006).
Bahamas (2000)
NMFS and the Navy prepared a joint
report addressing the multi-species
stranding in the Bahamas in 2000,
which took place within 24 hours of
U.S. Navy ships using MFAS as they
passed through the Northeast and
Northwest Providence Channels on
March 15–16, 2000. The ships, which
operated both AN/SQS–53C and AN/
SQS–56, moved through the channel
while emitting MFAS pings
approximately every 24 seconds. Of the
17 cetaceans that stranded over a 36-hr
period (Cuvier’s beaked whales,
Blainville’s beaked whales, Minke
whales, and a spotted dolphin), seven
animals died on the beach (5 Cuvier’s
beaked whales, 1 Blainville’s beaked
whale, and the spotted dolphin), while
the other 10 were returned to the water
alive (though their ultimate fate is
unknown). As discussed in the Bahamas
report (DOC/DON, 2001), there is no
likely association between the Minke
whale and spotted dolphin strandings
and the operation of MFAS.
Necropsies were performed on five of
the stranded beaked whales. All five
necropsied beaked whales were in good
body condition, showing no signs of
infection, disease, ship strike, blunt
trauma, or fishery related injuries, and
three still had food remains in their
stomachs. Auditory structural damage
was discovered in four of the whales,
specifically bloody effusions or
hemorrhaging around the ears. Bilateral
intracochlear and unilateral temporal
region subarachnoid hemorrhage, with
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blood clots in the lateral ventricles,
were found in two of the whales. Three
of the whales had small hemorrhages in
their acoustic fats (located along the jaw
and in the melon).
A comprehensive investigation was
conducted and all possible causes of the
stranding event were considered,
whether they seemed likely at the outset
or not. Based on the way in which the
strandings coincided with ongoing
naval activity involving tactical MFAS
use, in terms of both time and
geography, the nature of the
physiological effects experienced by the
dead animals, and the absence of any
other acoustic sources, the investigation
team concluded that MFAS aboard U.S.
Navy ships that were in use during the
active sonar exercise in question were
the most plausible source of this
acoustic or impulse trauma to beaked
whales. This sound source was active in
a complex environment that included
the presence of a surface duct, unusual
and steep bathymetry, a constricted
channel with limited egress, intensive
use of multiple, active sonar units over
an extended period of time, and the
presence of beaked whales that appear
to be sensitive to the frequencies
produced by these active sonars. The
investigation team concluded that the
cause of this stranding event was the
confluence of the Navy MFAS and these
contributory factors working together,
and further recommended that the Navy
avoid operating MFAS in situations
where these five factors would be likely
to occur. This report does not conclude
that all five of these factors must be
present for a stranding to occur, nor that
beaked whales are the only species that
could potentially be affected by the
confluence of the other factors. Based on
this, NMFS believes that the operation
of MFAS in situations where surface
ducts exist, or in marine environments
defined by steep bathymetry and/or
constricted channels may increase the
likelihood of producing a sound field
with the potential to cause cetaceans
(especially beaked whales) to strand,
and therefore, suggests the need for
increased vigilance while operating
MFAS in these areas, especially when
beaked whales (or potentially other
deep divers) are likely present.
Madeira, Spain (2000)
From May 10–14, 2000, three Cuvier’s
beaked whales were found atypically
stranded on two islands in the Madeira
archipelago, Portugal (Cox et al., 2006).
A fourth animal was reported floating in
the Madeiran waters by fishermen but
did not come ashore (Woods Hole
Oceanographic Institution, 2005). Joint
NATO amphibious training
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peacekeeping exercises involving
participants from 17 countries aboard 80
warships, took place in Portugal during
May 2–15, 2000.
The bodies of the three stranded
whales were examined post mortem
(Woods Hole Oceanographic Institution,
2005), though only one of the stranded
whales was fresh enough (24 hours after
stranding) to be necropsied (Cox et al.,
2006). Results from the necropsy
revealed evidence of hemorrhage and
congestion in the right lung and both
kidneys (Cox et al., 2006). There was
also evidence of intercochlear and
intracranial hemorrhage similar to that
which was observed in the whales that
stranded in the Bahamas event (Cox et
al., 2006). There were no signs of blunt
trauma, and no major fractures (Woods
Hole Oceanographic Institution, 2005).
The cranial sinuses and airways were
found to be clear with little or no fluid
deposition, which may indicate good
preservation of tissues (Woods Hole
Oceanographic Institution, 2005).
Several observations on the Madeira
stranded beaked whales, such as the
pattern of injury to the auditory system,
are the same as those observed in the
Bahamas strandings. Blood in and
around the eyes, kidney lesions, pleural
hemorrhages, and congestion in the
lungs are particularly consistent with
the pathologies from the whales
stranded in the Bahamas, and are
consistent with stress and pressure
related trauma. The similarities in
pathology and stranding patterns
between these two events suggest that a
similar pressure event may have
precipitated or contributed to the
strandings at both sites (Woods Hole
Oceanographic Institution, 2005).
Even though no definitive causal link
can be made between the stranding
event and naval exercises, certain
conditions may have existed in the
exercise area that, in their aggregate,
may have contributed to the marine
mammal strandings (Freitas, 2004):
Exercises were conducted in areas of at
least 547 fathoms (1000 m) depth near
a shoreline where there is a rapid
change in bathymetry on the order of
547 to 3,281 (1000–6000 m) fathoms
occurring across a relatively short
horizontal distance (Freitas, 2004);
multiple ships were operating around
Madeira, though it is not known if
MFAS was used, and the specifics of the
sound sources used are unknown (Cox
et al., 2006, Freitas, 2004); exercises
took place in an area surrounded by
land masses separated by less than 35
nm (65 km) and at least 10 nm (19 km)
in length, or in an embayment. Exercises
involving multiple ships employing
MFAS near land may produce sound
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directed towards a channel or
embayment that may cut off the lines of
egress for marine mammals (Freitas,
2004).
Canary Islands, Spain (2002)
The southeastern area within the
Canary Islands is well known for
aggregations of beaked whales due to its
ocean depths of greater than 547
fathoms (1000 m) within a few hundred
meters of the coastline (Fernandez et al.,
2005). On September 24, 2002, 14
beaked whales were found stranded on
Fuerteventura and Lanzarote Islands in
the Canary Islands (International
Council for Exploration of the Sea,
2005a). Seven whales died, while the
remaining seven live whales were
returned to deeper waters (Fernandez et
al., 2005). Four beaked whales were
found stranded dead over the next 3
days either on the coast or floating
offshore. These strandings occurred
within near proximity of an
international naval exercise that utilized
MFAS and involved numerous surface
warships and several submarines.
Strandings began about 4 hours after the
onset of MFAS activity (International
Council for Exploration of the Sea,
2005a; Fernandez et al., 2005).
Eight Cuvier’s beaked whales, one
Blainville’s beaked whale, and one
Gervais’ beaked whale were necropsied,
six of them within 12 hours of stranding
(Fernandez et al., 2005). No pathogenic
bacteria were isolated from the carcasses
(Jepson et al., 2003). The animals
displayed severe vascular congestion
and hemorrhage especially around the
tissues in the jaw, ears, brain, and
kidneys, displaying marked
disseminated microvascular
hemorrhages associated with
widespread fat emboli (Jepson et al.,
2003; International Council for
Exploration of the Sea, 2005a). Several
organs contained intravascular bubbles,
although definitive evidence of gas
embolism in vivo is difficult to
determine after death (Jepson et al.,
2003). The livers of the necropsied
animals were the most consistently
affected organ, which contained
macroscopic gas-filled cavities and had
variable degrees of fibrotic
encapsulation. In some animals,
cavitary lesions had extensively
replaced the normal tissue (Jepson et al.,
2003). Stomachs contained a large
amount of fresh and undigested
contents, suggesting a rapid onset of
disease and death (Fernandez et al.,
2005). Head and neck lymph nodes
were enlarged and congested, and
parasites were found in the kidneys of
all animals (Fernandez et al., 2005).
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The association of NATO MFAS use
close in space and time to the beaked
whale strandings, and the similarity
between this stranding event and
previous beaked whale mass strandings
coincident with active sonar use,
suggests that a similar scenario and
causative mechanism of stranding may
be shared between the events. Beaked
whales stranded in this event
demonstrated brain and auditory system
injuries, hemorrhages, and congestion in
multiple organs, similar to the
pathological findings of the Bahamas
and Madeira stranding events. In
addition, the necropsy results of Canary
Islands stranding event lead to the
hypothesis that the presence of
disseminated and widespread gas
bubbles and fat emboli were indicative
of nitrogen bubble formation, similar to
what might be expected in
decompression sickness (Jepson et al.,
´
2003; Fernandez et al., 2005).
Spain (2006)
The Spanish Cetacean Society
reported an atypical mass stranding of
four beaked whales that occurred
January 26, 2006, on the southeast coast
of Spain, near Mojacar (Gulf of Vera) in
the Western Mediterranean Sea.
According to the report, two of the
whales were discovered the evening of
January 26 and were found to be still
alive. Two other whales were
discovered during the day on January
27, but had already died. The fourth
animal was found dead on the afternoon
of January 27, a few kilometers north of
the first three animals. From January
25–26, 2006, Standing North Atlantic
Treaty Organization (NATO) Response
Force Maritime Group Two (five of
seven ships including one U.S. ship
under NATO Operational Control) had
conducted active sonar training against
a Spanish submarine within 50 nm (93
km) of the stranding site.
Veterinary pathologists necropsied
the two male and two female Cuvier’s
beaked whales. According to the
pathologists, the most likely primary
cause of this type of beaked whale mass
stranding event was anthropogenic
acoustic activities, most probably antisubmarine MFAS used during the
military naval exercises. However, no
positive acoustic link was established as
a direct cause of the stranding. Even
though no causal link can be made
between the stranding event and naval
exercises, certain conditions may have
existed in the exercise area that, in their
aggregate, may have contributed to the
marine mammal strandings (Freitas,
2004); exercises were conducted in
areas of at least 547 fathoms (1000 m)
depth near a shoreline where there is a
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rapid change in bathymetry on the order
of 547 to 3,281 fathoms (1000–6000 m)
occurring across a relatively short
horizontal distance (Freitas, 2004);
multiple ships (in this instance, five)
were operating MFAS in the same area
over extended periods of time (in this
case, 20 hours) in close proximity;
exercises took place in an area
surrounded by landmasses, or in an
embayment. Exercises involving
multiple ships employing MFAS near
land may have produced sound directed
towards a channel or embayment that
may have cut off the lines of egress for
the affected marine mammals (Freitas,
2004).
Hanalei Bay (2004)
On July 3–4, 2004, approximately
150–200 melon-headed whales
occupied the shallow waters of the
Hanalei Bay, Kaua’i, Hawaii for over 28
hours. Attendees of a canoe blessing
observed the animals entering the Bay
in a single wave formation at 7 a.m. on
July 3, 2004. The animals were observed
moving back into the shore from the
mouth of the Bay at 9 a.m. The usually
pelagic animals milled in the shallow
bay and were returned to deeper water
with human assistance beginning at 9:30
a.m. on July 4, 2004, and were out of
sight by 10:30 a.m.
Only one animal, a calf, was known
to have died following this event. The
animal was noted alive and alone in the
Bay on the afternoon of July 4, 2004 and
was found dead in the Bay the morning
of July 5, 2004. A full necropsy,
magnetic resonance imaging, and
computerized tomography examination
were performed on the calf to determine
the manner and cause of death. The
combination of imaging, necropsy and
histological analyses found no evidence
of infectious, internal traumatic,
congenital, or toxic factors. Although
cause of death could not be definitively
determined, it is likely that maternal
separation, poor nutritional condition,
and dehydration contributed to the final
demise of the animal. Although we do
not know when the calf was separated
from its mother, the movement into the
Bay, the milling and re-grouping may
have contributed to the separation or
lack of nursing especially if the
maternal bond was weak or this was a
primiparous calf.
Environmental factors, abiotic and
biotic, were analyzed for any anomalous
occurrences that would have
contributed to the animals entering and
remaining in Hanalei Bay. The Bay’s
bathymetry is similar to many other
sites within the Hawaiian Island chain
and dissimilar to sites that have been
associated with mass strandings in other
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parts of the United States. The weather
conditions appeared to be normal for
that time of year with no fronts or other
significant features noted. There was no
evidence of unusual distribution or
occurrence of predator or prey species,
or unusual harmful algal blooms,
although Mobley et al., 2007 suggested
that the full moon cycle that occurred at
that time may have influenced a run of
squid into the Bay Weather patterns and
bathymetry that have been associated
with mass strandings elsewhere were
not found to occur in this instance.
The Hanalei event was spatially and
temporally correlated with RIMPAC.
Official sonar training and tracking
exercises in the Pacific Missile Range
Facility (PMRF) warning area did not
commence until approximately 8 a.m.
on July 3 and were thus ruled out as a
possible trigger for the initial movement
into the Bay.
However, six naval surface vessels
transiting to the operational area on July
2 intermittently transmitted active sonar
(for approximately 9 hours total from
1:15 p.m. to 12:30 a.m.) as they
approached from the south. The
potential for these transmissions to have
triggered the whales’ movement into
Hanalei Bay was investigated. Analyses
with the information available indicated
that animals to the south and east of
Kaua’i could have detected active sonar
transmissions on July 2, and reached
Hanalei Bay on or before 7 a.m. on July
3, 2004. However, data limitations
regarding the position of the whales
prior to their arrival in the Bay, the
magnitude of sonar exposure, behavioral
responses of melon-headed whales to
acoustic stimuli, and other possible
relevant factors preclude a conclusive
finding regarding the role of sonar in
triggering this event. Propagation
modeling suggest that transmissions
from sonar use during the July 3
exercise in the PMRF warning area may
have been detectable at the mouth of the
Bay. If the animals responded negatively
to these signals, it may have contributed
to their continued presence in the Bay.
The U.S. Navy ceased all active sonar
transmissions during exercises in this
range on the afternoon of July 3, 2004.
Subsequent to the cessation of sonar
use, the animals were herded out of the
Bay.
While causation of this stranding
event may never be unequivocally
determined, we consider the active
sonar transmissions of July 2–3, 2004, a
plausible, if not likely, contributing
factor in what may have been a
confluence of events. This conclusion is
based on: (1) The evidently anomalous
nature of the stranding; (2) its close
spatiotemporal correlation with wide-
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scale, sustained use of sonar systems
previously associated with stranding of
deep-diving marine mammals; (3) the
directed movement of two groups of
transmitting vessels toward the
southeast and southwest coast of Kauai;
(4) the results of acoustic propagation
modeling and an analysis of possible
animal transit times to the Bay; and (5)
the absence of any other compelling
causative explanation. The initiation
and persistence of this event may have
resulted from an interaction of
biological and physical factors. The
biological factors may have included the
presence of an apparently uncommon,
deep-diving cetacean species (and
possibly an offshore, non-resident
group), social interactions among the
animals before or after they entered the
Bay, and/or unknown predator or prey
conditions. The physical factors may
have included the presence of nearby
deep water, multiple vessels transiting
in a directed manner while transmitting
active sonar over a sustained period, the
presence of surface sound ducting
conditions, and/or intermittent and
random human interactions while the
animals were in the Bay.
A separate event involving melonheaded whales and rough-toothed
dolphins took place over the same
period of time in the Northern Mariana
Islands (Jefferson et al., 2006), which is
several thousand miles from Hawaii.
Some 500–700 melon-headed whales
came into Sasanhaya Bay on 4 July 2004
on the island of Rota and then left of
their own accord after 5.5 hours; no
known active sonar transmissions
occurred in the vicinity of that event.
The Rota incident led to scientific
debate regarding what, if any,
relationship the event had to the
simultaneous events in Hawaii and
whether they might be related by some
common factor (e.g., there was a full
moon on July 2, 2004 as well as during
other melon-headed whale strandings
and nearshore aggregations (Brownell et
al. 2009; Lignon, et al. 2007; Mobley et
al. 2007). Brownell et al., (2009)
compared the two incidents, along with
one other stranding incident at Nuka
Hiva in French Polynesia and normal
resting behaviors observed at Palmyra
Island, in regard to physical features in
the areas, melon-headed whale
behavior, and lunar cycles. Brownell et
al., (2009) concluded that the rapid
entry of the whales into Hanalei Bay,
their movement into very shallow water
far from the 100-m contour, their
milling behavior (typical pre-stranding
behavior), and their reluctance to leave
the bay constituted an unusual event
that was not similar to the events that
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occurred at Rota (but was similar to the
events at Palmyra), which appear to be
similar to observations of melon-headed
whales resting normally at Palmyra
Island. Additionally, there was not a
correlation between lunar cycle and the
types of behaviors observed in the
Brownell et al., (2009) examples.
Association Between Mass Stranding
Events and Exposure to MFAS
Several authors have noted
similarities between some of these
stranding incidents: they occurred in
islands or archipelagoes with deep
water nearby, several appeared to have
been associated with acoustic
waveguides like surface ducting, and
the sound fields created by ships
transmitting MFAS (Cox et al., 2006,
D’Spain et al., 2006). Although Cuvier’s
beaked whales have been the most
common species involved in these
stranding events (81% of the total
number of stranded animals), other
beaked whales (including Mesoplodon
europeaus, M. densirostris, and
Hyperoodon ampullatus) comprise 14%
of the total. Other species, such as Kogia
breviceps, have stranded in association
with the operation of MFAS, but in
much lower numbers and less
consistently than beaked whales.
Based on the evidence available,
however, we cannot determine whether
(a) Cuvier’s beaked whale is more prone
to injury from high-intensity sound than
other species, (b) their behavioral
responses to sound makes them more
likely to strand, or (c) they are more
likely to be exposed to MFAS than other
cetaceans (for reasons that remain
unknown). Because the association
between active sonar exposures and
marine mammals mass stranding events
is not consistent—some marine
mammals strand without being exposed
to active sonar and some sonar
transmissions are not associated with
marine mammal stranding events
despite their co-occurrence—other risk
factors or a grouping of risk factors
probably contribute to these stranding
events.
Behaviorally Mediated Responses to
MFAS That May Lead to Stranding
Although the confluence of Navy
MFAS with the other contributory
factors noted in the report was
identified as the cause of the 2000
Bahamas stranding event, the specific
mechanisms that led to that stranding
(or the others) are not understood, and
there is uncertainty regarding the
ordering of effects that led to the
stranding. It is unclear whether beaked
whales were directly injured by sound
(acoustically mediated bubble growth,
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addressed above) prior to stranding or
whether a behavioral response to sound
occurred that ultimately caused the
beaked whales to be injured and to
strand.
Although causal relationships
between beaked whale stranding events
and active sonar remain unknown,
several authors have hypothesized that
stranding events involving these species
in the Bahamas and Canary Islands may
have been triggered when the whales
changed their dive behavior in a startled
response to exposure to active sonar or
to further avoid exposure (Cox et al.,
2006; Rommel et al., 2006). These
authors proposed three mechanisms by
which the behavioral responses of
beaked whales upon being exposed to
active sonar might result in a stranding
event. These include: gas bubble
formation caused by excessively fast
surfacing; remaining at the surface too
long when tissues are supersaturated
with nitrogen; or diving prematurely
when extended time at the surface is
necessary to eliminate excess nitrogen.
More specifically, beaked whales that
occur in deep waters that are in close
proximity to shallow waters (for
example, the ‘‘canyon areas’’ that are
cited in the Bahamas stranding event;
see D’Spain and D’Amico, 2006), may
respond to active sonar by swimming
into shallow waters to avoid further
exposures and strand if they were not
able to swim back to deeper waters.
Second, beaked whales exposed to
active sonar might alter their dive
behavior. Changes in their dive behavior
might cause them to remain at the
surface or at depth for extended periods
of time which could lead to hypoxia
directly by increasing their oxygen
demands or indirectly by increasing
their energy expenditures (to remain at
depth), which would increase their
oxygen. If beaked whales are at depth
when they detect a ping from an active
sonar transmission and change their
dive profile, this could lead to the
formation of significant gas bubbles,
which could damage multiple organs or
interfere with normal physiological
function (Cox et al., 2006; Rommel et
al., 2006; Zimmer and Tyack, 2007).
Baird et al. (2005) found that slow
ascent rates from deep dives and long
periods of time spent within 50 m of the
surface were typical for both Cuvier’s
and Blainville’s beaked whales, the two
species involved in mass strandings
related to naval MFAS. These two
behavioral mechanisms may be
necessary to purge excessive dissolved
nitrogen concentrated in their tissues
during their frequent long dives (Baird
et al., 2005). Baird et al. (2005) further
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suggests that abnormally rapid ascents
or premature dives in response to highintensity active sonar could indirectly
result in physical harm to the beaked
whales, through the mechanisms
described above (gas bubble formation
or non-elimination of excess nitrogen).
Because many species of marine
mammals make repetitive and
prolonged dives to great depths, it has
long been assumed that marine
mammals have evolved physiological
mechanisms to protect against the
effects of rapid and repeated
decompressions. Although several
investigators have identified
physiological adaptations that may
protect marine mammals against
nitrogen gas supersaturation (alveolar
collapse and elective circulation;
Kooyman et al., 1972; Ridgway and
Howard, 1979), Ridgway and Howard
(1979) reported that bottlenose dolphins
(Tursiops truncatus) that were trained to
dive repeatedly had muscle tissues that
were substantially supersaturated with
nitrogen gas. Houser et al. (2001) used
these data to model the accumulation of
nitrogen gas within the muscle tissue of
other marine mammal species and
concluded that cetaceans that dive deep
and have slow ascent or descent speeds
would have tissues that are more
supersaturated with nitrogen gas than
other marine mammals. Based on these
data, Cox et al. (2006) hypothesized that
a critical dive sequence might make
beaked whales more prone to stranding
in response to acoustic exposures. The
sequence began with (1) very deep (to
depths of up to 2 kilometers) and long
(as long as 90 minutes) foraging dives
with (2) relatively slow, controlled
ascents, followed by (3) a series of
‘‘bounce’’ dives between 100 and 400
meters in depth (also see Zimmer and
Tyack, 2007). They concluded that
acoustic exposures that disrupted any
part of this dive sequence (for example,
causing beaked whales to spend more
time at surface without the bounce dives
that are necessary to recover from the
deep dive) could produce excessive
levels of nitrogen supersaturation in
their tissues, leading to gas bubble and
emboli formation that produces
pathologies similar to decompression
sickness.
Recently, Zimmer and Tyack (2007)
modeled nitrogen tension and bubble
growth in several tissue compartments
for several hypothetical dive profiles
and concluded that repetitive shallow
dives (defined as a dive where depth
does not exceed the depth of alveolar
collapse, approximately 72 m for
Ziphius), perhaps as a consequence of
an extended avoidance reaction to
active sonar sound, could pose a risk for
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decompression sickness and that this
risk should increase with the duration
of the response. Their models also
suggested that unrealistically rapid rates
of ascent from normal dive behaviors
are unlikely to result in supersaturation
to the extent that bubble formation
would be expected. Tyack et al. (2006)
suggested that emboli observed in
animals exposed to MFAS (Jepson et al.,
2003; Fernandez et al., 2005) could stem
from a behavioral response that involves
repeated dives shallower than the depth
of lung collapse. Given that nitrogen gas
accumulation is a passive process (i.e.
nitrogen is metabolically inert), a
bottlenose dolphin was trained to
repetitively dive a profile predicted to
elevate nitrogen saturation to the point
that nitrogen bubble formation was
predicted to occur. However, inspection
of the vascular system of the dolphin via
ultrasound did not demonstrate the
formation of asymptomatic nitrogen gas
bubbles (Houser et al., 2007). Baird et al.
(2008), in a beaked whale tagging study
off Hawaii, showed that deep dives are
equally common during day or night,
but ‘‘bounce dives’’ are typically a
daytime behavior, possibly associated
with visual predator avoidance (Baird et
al., 2008). This may indicate that
‘‘bounce dives’’ are associated with
something other than behavioral
regulation of dissolved nitrogen levels,
which would be necessary day and
night.
Despite the many theories involving
bubble formation (both as a direct cause
of injury (see Acoustically Mediated
Bubble Growth Section) and an indirect
cause of stranding (See Behaviorally
Mediated Bubble Growth Section),
Southall et al. (2007) summarizes that
there is either scientific disagreement or
a lack of information regarding each of
the following important points: (1)
Received acoustical exposure conditions
for animals involved in stranding
events; (2) pathological interpretation of
observed lesions in stranded marine
mammals; (3) acoustic exposure
conditions required to induce such
physical trauma directly; (4) whether
noise exposure may cause behavioral
reactions (such as atypical diving
behavior) that secondarily cause bubble
formation and tissue damage; and (5)
the extent the post mortem artifacts
introduced by decomposition before
sampling, handling, freezing, or
necropsy procedures affect
interpretation of observed lesions.
Although not all of the five
environmental factors believed to have
contributed to the Bahamas stranding (at
least 3 surface vessel MFAS sources
operating simultaneously or in
conjunction with one another, beaked
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whale presence, surface ducts, steep
bathymetry, and constricted channels
with limited egress) will be present
during exercises in the MIRC Study area
(the MIRC study area does not contain
similar bathymetric features), NMFS
recommends caution when either steep
bathymetry, surface ducting conditions
(which are present in the MIRC study
area), or a constricted channel is present
when mid-frequency active sonar is
employed by multiple surface vessels
simultaneously and cetaceans
(especially beaked whales) are present.
LFA Sonar
Analysis of the environmental
impacts of the SURTASS LFA sonar
system, including the potential for
synergistic and cumulative effects with
MFAS operation, has been addressed to
some degree in the Navy’s SURTASS
LFA Sonar EISs and more recently in
NMFS’ August, 2009 biological opinion
for SURTASS LFA Sonar. The take of
marine mammals incidental to the
operation of LFA sonar in the MIRC and
elsewhere has been previously
authorized by NOAA/NMFS (2002a,
2007).
Although the authorization of take of
marine mammals incidental to the
operation of LFA sonar will not be
considered here because it has already
been separately authorized, NMFS has
considered more specifically the
manner in which LFA sonar and MFAS
may interact in a multi-strike group
exercise with respect to the potential to
impact marine mammals in a manner
not previously considered.
As mentioned previously, the military
intends to conduct three exercises
(multi-strike group exercises) during the
five-year duration of the rule that may
include both SURTASS LFA and MFA
sonar sources. The expected duration of
these combined exercises is
approximately 14 days. Based on an
exercise of this length, an LFA sonar
system would be active (i.e., actually
transmitting) for no more than
approximately 25 hours. Tactical and
technical considerations dictate that the
LFA sonar ship would typically be tens
of miles from the MFA sonar ship when
using active sonar.
It is unlikely, but possible, that both
LFA and MFA sonar would be active at
exactly the same time during a major
exercise. In the unlikely event that both
systems were operating simultaneously,
the likelihood of more than a relatively
small number of individual marine
mammals being physically present at a
time, location, and depth to be able to
receive both LFA and MFA sonar
signals at levels of concern at the same
time is even smaller as the sound from
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both signals would have attenuated
when they reached the marine mammal
in question, so even a simultaneous
exposure would not be at the full signal
of either system. Additionally, few
species have maximum sensitivity to
both the low and middle frequencies.
In terms of estimating hours of such
exposure, assuming an LFA and MFA
sonar source transmitting at the same
time over a 25-hour period (which is a
subset of a nominal 14-day exercise) and
based on the fact that the two sources
transmit at very different duty cycles,
the overlap of the actual signals would
be approximately 3.2%, or 0.8 hours
(assuming that there is only one MFA
sonar ship transmitting). But the
possibility of even that overlap must
consider the other factors discussed
above.
Based on the fact that an LFA sonar
ship would be tens of miles away from
an MFA ship when using active sonar
and that the overlap of the signals
would only be about 50 minutes, the
potential impacts on marine mammals
that might be exposed simultaneously to
both MFA and LFA sonars would be
limited and not significant.
Exposure to Underwater Detonation of
Explosives
Some of the Navy’s training exercises
include the underwater detonation of
explosives. For many of the exercises
discussed, inert ordnance is used for a
subset of the exercises. For exercises
that involve ‘‘shooting’’ at a target that
is above the surface of the water,
underwater explosions only occur when
the target is missed, which is the
minority of the time (the Navy has
historical hit/miss ratios and uses them
in their exposure estimates). The
underwater explosion from a weapon
would send a shock wave and blast
noise through the water, release gaseous
by-products, create an oscillating
bubble, and cause a plume of water to
shoot up from the water surface. The
effects of an underwater explosion on a
marine mammal depends on many
factors, including the size, type, and
depth of both the animal and the
explosive charge; the depth of the water
column; and the standoff distance
between the charge and the animals, as
well as the sound propagation
properties of the environment. Potential
impacts can range from brief effects
(such as behavioral disturbance), tactile
perception, physical discomfort, slight
injury of the internal organs and the
auditory system, to death of the animal
(Yelverton et al., 1973; O’Keeffe and
Young, 1984; DoN, 2001). Non-lethal
injury includes slight injury to internal
organs and the auditory system;
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however, delayed lethality can be a
result of individual or cumulative
sublethal injuries (DoN, 2001).
Immediate lethal injury would be a
result of massive combined trauma to
internal organs as a direct result of
proximity to the point of detonation
(DoN, 2001).’’ Generally, exposures to
higher levels of impulse and pressure
levels would result in worse impacts to
an individual animal.
Injuries resulting from a shock wave
take place at boundaries between tissues
of different density. Different velocities
are imparted to tissues of different
densities, and this can lead to their
physical disruption. Blast effects are
greatest at the gas-liquid interface
(Landsberg, 2000). Gas-containing
organs, particularly the lungs and
gastrointestinal tract, are especially
susceptible (Goertner, 1982; Hill, 1978;
Yelverton et al., 1973). In addition, gascontaining organs including the nasal
sacs, larynx, pharynx, trachea, and
lungs may be damaged by compression/
expansion caused by the oscillations of
the blast gas bubble (Reidenberg and
Laitman, 2003). Intestinal walls can
bruise or rupture, with subsequent
hemorrhage and escape of gut contents
into the body cavity. Less severe
gastrointestinal tract injuries include
contusions, petechiae (small red or
purple spots caused by bleeding in the
skin), and slight hemorrhaging
(Yelverton et al., 1973).
Because the ears are the most
sensitive to pressure, they are the organs
most sensitive to injury (Ketten, 2000).
Sound-related trauma associated with
blast noise can be theoretically distinct
from injury from the shock wave,
particularly farther from the explosion.
If an animal is able to hear a noise, at
some level it can fatigue or damage its
hearing by causing decreased sensitivity
(Ketten, 1995) (See Noise-induced
Threshold Shift Section above). Soundrelated trauma can be lethal or
sublethal. Lethal impacts are those that
result in immediate death or serious
debilitation in or near an intense source
and are not, technically, pure acoustic
trauma (Ketten, 1995). Sublethal
impacts include hearing loss, which is
caused by exposures to perceptible
sounds. Severe damage (from the shock
wave) to the ears includes tympanic
membrane rupture, fracture of the
ossicles, damage to the cochlea,
hemorrhage, and cerebrospinal fluid
leakage into the middle ear. Moderate
injury implies partial hearing loss due
to tympanic membrane rupture and
blood in the middle ear. Permanent
hearing loss also can occur when the
hair cells are damaged by one very loud
event, as well as by prolonged exposure
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to a loud noise or chronic exposure to
noise. The level of impact from blasts
depends on both an animal’s location
and, at outer zones, on its sensitivity to
the residual noise (Ketten, 1995).
There have been fewer studies
addressing the behavioral effects of
explosives on marine mammals than
MFAS/HFAS. However, though the
nature of the sound waves emitted from
an explosion is different (in shape and
rise time) from MFAS/HFAS, we still
anticipate the same sorts of behavioral
responses (see Exposure to MFAS/
HFAS: Behavioral Disturbance Section)
to result from repeated explosive
detonations (a smaller range of likely
less severe responses would be expected
to occur as a result of exposure to a
single explosive detonation).
Potential Effects of Vessel Movement
and Collisions
Vessel movement in the vicinity of
marine mammals has the potential to
result in either a behavioral response or
a direct physical interaction. Both
scenarios are discussed below.
Vessel Movement
There are limited data concerning
marine mammal behavioral responses to
vessel traffic and vessel noise, and a
lack of consensus among scientists with
respect to what these responses mean or
whether they result in short-term or
long-term adverse effects. In those cases
where there is a busy shipping lane or
where there is large amount of vessel
traffic, marine mammals may
experience acoustic masking
(Hildebrand, 2005) if they are present in
the area (e.g., killer whales in Puget
Sound; Foote et al., 2004; Holt et al.,
2008). In cases where vessels actively
approach marine mammals (e.g., whale
watching or dolphin watching boats),
scientists have documented that animals
exhibit altered behavior such as
increased swimming speed, erratic
movement, and active avoidance
behavior (Bursk, 1983; Acevedo, 1991;
Baker and MacGibbon, 1991; Trites and
Bain, 2000; Williams et al., 2002;
Constantine et al., 2003), reduced blow
interval (Ritcher et al., 2003), disruption
of normal social behaviors (Lusseau,
2003; 2006), and the shift of behavioral
activities which may increase energetic
costs (Constantine et al., 2003; 2004). A
detailed review of marine mammal
reactions to ships and boats is available
in Richardson et al. (1995). For each of
the marine mammals taxonomy groups,
Richardson et al. (1995) provided the
following assessment regarding cetacean
reactions to vessel traffic:
Toothed whales: ‘‘In summary,
toothed whales sometimes show no
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avoidance reaction to vessels, or even
approach them. However, avoidance can
occur, especially in response to vessels
of types used to chase or hunt the
animals. This may cause temporary
displacement, but we know of no clear
evidence that toothed whales have
abandoned significant parts of their
range because of vessel traffic.’’
Baleen whales: ‘‘When baleen whales
receive low-level sounds from distant or
stationary vessels, the sounds often
seem to be ignored. Some whales
approach the sources of these sounds.
When vessels approach whales slowly
and non-aggressively, whales often
exhibit slow and inconspicuous
avoidance maneuvers. In response to
strong or rapidly changing vessel noise,
baleen whales often interrupt their
normal behavior and swim rapidly
away. Avoidance is especially strong
when a boat heads directly toward the
whale.’’
It is important to recognize that
behavioral responses to stimuli are
complex and influenced to varying
degrees by a number of factors such as
species, behavioral contexts,
geographical regions, source
characteristics (moving or stationary,
speed, direction, etc.), prior experience
of the animal, and physical status of the
animal. For example, studies have
shown that beluga whales reacted
differently when exposed to vessel noise
¨
and traffic. In some cases, naıve beluga
whales exhibited rapid swimming from
ice-breaking vessels up to 80 km away,
and showed changes in surfacing,
breathing, diving, and group
composition in the Canadian high
Arctic where vessel traffic is rare (Finley
et al., 1990). In other cases, beluga
whales were more tolerant of vessels,
but responded differentially to certain
vessels and operating characteristics by
reducing their calling rates (especially
older animals) in the St. Lawrence River
where vessel traffic is common (Blane
and Jaakson, 1994). In Bristol Bay,
Alaska, beluga whales continued to feed
when surrounded by fishing vessels and
resisted dispersal even when
purposefully harassed (Fish and Vania,
1971).
In reviewing more than 25 years of
whale observation data, Watkins (1986)
concluded that whale reactions to vessel
traffic were ‘‘modified by their previous
experience and current activity:
Habituation often occurred rapidly,
attention to other stimuli or
preoccupation with other activities
sometimes overcame their interest or
wariness of stimuli.’’ Watkins noticed
that over the years of exposure to ships
in the Cape Cod area, minke whales
(Balaenoptera acutorostrata) changed
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from frequent positive (such as
approaching vessels) interest to
generally uninterested reactions; finback
whales (B. physalus) changed from
mostly negative (such as avoidance) to
uninterested reactions; right whales
(Eubalaena glacialis) apparently
continued the same variety of responses
(negative, uninterested, and positive
responses) with little change; and
humpbacks (Megaptera novaeangliae)
dramatically changed from mixed
responses that were often negative to
often strongly positive reactions.
Watkins (1986) summarized that
‘‘whales near shore, even in regions
with low vessel traffic, generally have
become less wary of boats and their
noises, and they have appeared to be
less easily disturbed than previously. In
particular locations with intense
shipping and repeated approaches by
boats (such as the whale-watching areas
of Stellwagen Bank), more and more
whales had P [positive] reactions to
familiar vessels, and they also
occasionally approached other boats
and yachts in the same ways.’’
Although the radiated sound from
Navy vessels will be audible to marine
mammals over a large distance, it is
unlikely that animals will respond
behaviorally (in a manner that NMFS
would consider MMPA harassment) to
low-level distant shipping noise as the
animals in the area are likely to be
habituated to such noises (Nowacek et
al., 2004). In light of these facts, NMFS
does not expect the Navy’s vessel
movements to result in Level B
harassment.
Vessel Strike
Commercial and Navy ship strikes of
cetaceans can cause major wounds,
which may lead to the death of the
animal. An animal at the surface could
be struck directly by a vessel, a
surfacing animal could hit the bottom of
a vessel, or an animal just below the
surface could be cut by a vessel’s
propeller. The severity of injuries
typically depends on the size and speed
of the vessel (Knowlton and Kraus,
2001; Laist et al., 2001; Vanderlaan and
Taggart, 2007).
The most vulnerable marine mammals
are those that spend extended periods of
time at the surface in order to restore
oxygen levels within their tissues after
deep dives (for example, the sperm
whale). In addition, some baleen
whales, such as the North Atlantic right
whale, seem generally unresponsive to
vessel sound, making them more
susceptible to vessel collisions
(Nowacek et al., 2004). These species
are primarily large, slow moving
whales. Smaller marine mammals (for
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example, bottlenose dolphin) move
quickly through the water column and
are often seen riding the bow wave of
large ships. Marine mammal responses
to vessels may include avoidance and
changes in dive pattern (NRC, 2003).
An examination of all known ship
strikes from all shipping sources
(civilian and military) indicates vessel
speed is a principal factor in whether a
vessel strike results in death (Knowlton
and Kraus, 2001; Laist et al., 2001,
Jensen and Silber, 2003; Vanderlaan and
Taggart, 2007). In assessing records in
which vessel speed was known, Laist et
al. (2001) found a direct relationship
between the occurrence of a whale
strike and the speed of the vessel
involved in the collision. The authors
concluded that most deaths occurred
when a vessel was traveling in excess of
13 knots.
Jensen and Silber (2003) detailed 292
records of known or probable ship
strikes of all large whale species from
1975 to 2002. Of these, vessel speed at
the time of collision was reported for 58
cases. Of these cases, 39 (or 67%)
resulted in serious injury or death (19 or
33% resulted in serious injury as
determined by blood in the water,
propeller gashes or severed tailstock,
and fractured skull, jaw, vertebrae,
hemorrhaging, massive bruising or other
injuries noted during necropsy and 20
or 35% resulted in death). Operating
speeds of vessels that struck various
species of large whales ranged from 2 to
51 knots. The majority (79%) of these
strikes occurred at speeds of 13 knots or
greater. The average speed that resulted
in serious injury or death was 18.6
knots. Pace and Silber (2005) found that
the probability of death or serious injury
increased rapidly with increasing vessel
speed. Specifically, the predicted
probability of serious injury or death
increased from 45% to 75% as vessel
speed increased from 10 to 14 knots,
and exceeded 90% at 17 knots. Higher
speeds during collisions result in greater
force of impact, but higher speeds also
appear to increase the chance of severe
injuries or death by pulling whales
toward the vessel. Computer simulation
modeling showed that hydrodynamic
forces pulling whales toward the vessel
hull increase with increasing speed
(Clyne, 1999, Knowlton et al., 1995).
The Jensen and Silber (2003) report
notes that the database represents a
minimum number of collisions, because
the vast majority probably go
undetected or unreported. In contrast,
Navy vessels are likely to detect any
strike that does occur, and they are
required to report all ship strikes
involving marine mammals. Overall, the
percentages of Navy traffic relative to
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overall large shipping traffic are very
small (on the order of 2%).
The probability of vessel and marine
mammal interactions occurring in the
MIRC Study Area is dependent upon
several factors including numbers,
types, and speeds of vessels; the
regularity, duration, and spatial extent
of training events; the presence/absence
and density of marine mammals; and
mitigation measures implemented by
the Navy. Currently, the number of
Navy vessels operating in the MIRC
Study Area varies based on training
schedules and can typically range from
zero to about ten vessels at any given
time. Ship sizes range from 362 ft (110
m) for a nuclear submarine (SSN) to
1,092 ft (331 m) for a nuclear aircraft
carrier (CVN). Smaller boats such as
RHIBS, LCAC, etc. are also utilized in
the MIRC study area. The smaller boats
do not contain acoustic sound sources.
Speeds are typically within 10 to 14
knots; however, slower or faster speeds
are possible depending upon the
specific training scenario. Training
involving vessel movements occurs
intermittently and is variable in
duration, ranging from a few hours up
to two weeks. These training events are
widely dispersed. Consequently, the
density of ships within the MIRC Study
Area at any given time is extremely low
(i.e., less than 0.0002 ships/nm2). The
Navy logs about 1,000 total vessel days
within the MIRC Study Area during a
typical year. Vessel days was computed
as the number of steaming days per year
by summing the number of steaming
hours proposed in the range complex,
dividing by 24 hours per day, and
rounding to the nearest 10 days.
Moreover, naval vessels transiting the
study area or engaging in the training
exercises will not actively or
intentionally approach a marine
mammal. While in transit, naval vessels
will be alert at all times, use extreme
caution, and proceed at a ‘‘safe speed’’
so that the vessel can take proper and
effective action to avoid a collision with
any marine animal and can be stopped
within a distance appropriate to the
prevailing circumstances and
conditions. When whales have been
sighted in the area, Navy vessels will
increase vigilance and take reasonable
and practicable actions to avoid
collisions and activities that might
result in close interaction of naval assets
and marine mammals. Actions may
include changing speed and/or direction
and would be dictated by environmental
and other conditions (e.g., safety,
weather). For a thorough discussion of
mitigation measures, please see the
Mitigation section.
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Additionally, the majority of ships
participating in MIRC training activities
have a number of advantages for
avoiding ship strikes as compared to
most commercial merchant vessels,
including the following:
• Navy ships have their bridges
positioned forward, offering good
visibility ahead of the bow.
• Crew size is much larger than that
of merchant ships allowing for more
potential observers on the bridge.
• Dedicated lookouts are posted
during a training activity scanning the
ocean for anything detectable in the
water; anything detected is reported to
the Officer of the Deck.
• Navy lookouts receive extensive
training including Marine Species
Awareness Training designed to provide
marine species detection cues and
information necessary to detect marine
mammals.
• Navy ships are generally much
more maneuverable than commercial
merchant vessels.
Based on the implementation of Navy
mitigation measures and the low density
of Navy ships in the Study Area, NMFS
has concluded preliminarily that the
probability of a ship strike is very low,
especially for dolphins and porpoises,
killer whales, social pelagic odontocetes
and pinnipeds that are highly visible,
and/or comparatively small and
maneuverable. Though more probable,
NMFS also believes that the likelihood
of a Navy vessel striking a mysticete or
sperm whale is low. The Navy did not
request take from a ship strike and
based on our preliminary determination,
NMFS is not recommending that they
modify their request at this time.
However, both NMFS and the Navy are
currently engaged in a Section 7
consultation under the ESA, and that
consultation will further inform our
final decision.
Mitigation
In order to issue an incidental take
authorization (ITA) under Section
101(a)(5)(A) of the MMPA, NMFS must
set forth the ‘‘permissible methods of
taking pursuant to such activity, and
other means of effecting the least
practicable adverse impact on such
species or stock and its habitat, paying
particular attention to rookeries, mating
grounds, and areas of similar
significance.’’ The NDAA of 2004
amended the MMPA as it relates to
military-readiness activities and the ITA
process such that ‘‘least practicable
adverse impact’’ shall include
consideration of personnel safety,
practicality of implementation, and
impact on the effectiveness of the
‘‘military readiness activity’’. The
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53831
training activities described in the MIRC
application are considered military
readiness activities.
NMFS reviewed the proposed MIRC
activities and the proposed MIRC
mitigation measures as described in the
Navy’s LOA application to determine if
they would result in the least
practicable adverse effect on marine
mammals, which includes a careful
balancing of the likely benefit of any
particular measure to the marine
mammals with the likely effect of that
measure on personnel safety,
practicality of implementation, and
impact on the effectiveness of the
‘‘military-readiness activity.’’ NMFS
identified the need to further flesh out
the Navy’s plan for how to respond in
the event of a stranding in the MIRC,
and the Navy and NMFS subsequently
coordinated and produced the draft
Stranding Response Plan for MIRC,
which is summarized below and
available at: https://www.nmfs.noaa.gov/
pr/permits/incidental.htm#applications.
Included below are the mitigation
measures the Navy initially proposed
(see ‘‘Mitigation Measures Proposed in
the Navy’s LOA Application’’) and the
Stranding Response Plan that NMFS
and the Navy developed (see
‘‘Additional Measure Developed by
NMFS and the Navy’’ below).
Mitigation Measures Proposed in the
Navy’s LOA Application
Personnel Training
The use of shipboard lookouts is a
critical component of all Navy
protective measures. Lookout duties
require that they report all objects
sighted in the water to the officer of the
deck (OOD) (e.g., trash, a periscope,
marine mammals, sea turtles) and all
disturbances (e.g., surface disturbance,
discoloration) that may be indicative of
a threat to the vessel and its crew. There
are personnel serving as lookouts on
station at all times (day and night) when
a ship or surfaced submarine is moving
through the water.
• All commanding officers (COs),
executive officers (XOs), lookouts,
officers of the deck (OODs), junior
OODs (JOODs), maritime patrol aircraft
aircrews, and Anti-submarine Warfare
(ASW) helicopter crews will complete
the NMFS-approved Marine Species
Awareness Training (MSAT) by viewing
the U.S. Navy MSAT digital versatile
disk (DVD). All bridge lookouts will
complete both parts one and two of the
MSAT; part two is optional for other
personnel. This training addresses the
lookout’s role in environmental
protection, laws governing the
protection of marine species, Navy
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stewardship commitments and general
observation information to aid in
avoiding interactions with marine
species.
• Navy lookouts will undertake
extensive training in order to qualify as
a watchstander in accordance with the
Lookout Training Handbook (Naval
Education and Training Command
[NAVEDTRA] 12968–D).
• Lookout training will include onthe-job instruction under the
supervision of a qualified, experienced
lookout. Following successful
completion of this supervised training
period, lookouts will complete the
Personal Qualification Standard
Program, certifying that they have
demonstrated the necessary skills (such
as detection and reporting of partially
submerged objects). Personnel being
trained as lookouts can be counted
among the number of lookeouts required
by a particular mitigation measure as
long as supervisors monitor their
progress and performance.
• Lookouts will be trained in the most
effective means to ensure quick and
effective communication within the
command structure in order to facilitate
implementation of protective measures
if marine species are spotted.
• All lookouts onboard platforms
involved in ASW training events will
review the NMFS-approved Marine
Species Awareness Training material
prior to use of mid-frequency active
sonar.
• All COs, XOs, and officers standing
watch on the bridge will have reviewed
the Marine Species Awareness Training
material prior to a training event
employing the use of MFAS/HFAS.
General Operating Procedures (for All
Training Types)
Prior to major exercises, a Letter of
Instruction, Mitigation Measures
Message or Environmental Annex to the
Operational Order will be issued to
further disseminate the personnel
training requirement and general marine
species protective measures.
• COs will make use of marine
species detection cues and information
to limit interaction with marine species
to the maximum extent possible
consistent with safety of the ship.
• While underway, surface vessels
will have at least two lookouts with
binoculars; surfaced submarines will
have at least one lookout with
binoculars. Lookouts already posted for
safety of navigation and man-overboard
precautions may be used to fill this
requirement. As part of their regular
duties, lookouts will watch for and
report to the OOD the presence of
marine mammals.
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• On surface vessels equipped with a
multi-function active sensor, pedestal
mounted ‘‘Big Eye’’ (20x110) binoculars
will be properly installed and in good
working order to assist in the detection
of marine mammals in the vicinity of
the vessel.
• Personnel on lookout will employ
visual search procedures employing a
scanning methodology in accordance
with the Lookout Training Handbook
(NAVEDTRA 12968–D).
• After sunset and prior to sunrise,
lookouts will employ Night Lookouts
Techniques in accordance with the
Lookout Training Handbook.
(NAVEDTRA 12968–D).
• While in transit, naval vessels will
be alert at all times, use extreme
caution, and proceed at a ‘‘safe speed’’,
which means the speed at which CO can
maintain crew safety and effectiveness
of current operational directives, so that
the vessel can take action to avoid a
collision with any marine mammal.
• When whales have been sighted in
the area, Navy vessels will increase
vigilance and take all reasonable actions
to avoid collisions and close interaction
of naval assets and marine mammals.
Actions may include changing speed
and/or direction and would be dictated
by environmental and other conditions
(e.g., safety, weather).
• Navy aircraft participating in
exercises at sea will conduct and
maintain, when operationally feasible
and safe, surveillance for marine species
of concern as long as it does not violate
safety constraints or interfere with the
accomplishment of primary operational
duties.
• Marine mammal detections will be
immediately reported to assigned
Aircraft Control Unit for further
dissemination to ships in the vicinity of
the marine species as appropriate where
it is reasonable to conclude that the
course of the ship will likely result in
a closing of the distance to the detected
marine mammal.
Operating Procedures (for AntiSubmarine Warfare Operations)
• On the bridge of surface ships, there
will always be at least three people on
watch whose duties include observing
the water surface around the vessel.
• All surface ships participating in
ASW training events will, in addition to
the three personnel on watch noted
previously, have at all times during the
exercise at least two additional
personnel on watch as lookouts.
• Personnel on lookout and officers
on watch on the bridge will have at least
one set of binoculars available for each
person to aid in the detection of marine
mammals.
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• Personnel on lookout will be
responsible for reporting all objects or
anomalies sighted in the water
(regardless of the distance from the
vessel) to the Officer of the Deck, since
any object or disturbance (e.g., trash,
periscope, surface disturbance,
discoloration) in the water may be
indicative of a threat to the vessel and
its crew or indicative of a marine
species that may need to be avoided as
warranted.
• All personnel engaged in passive
acoustic sonar operation (including
aircraft, surface ships, or submarines)
will monitor for marine mammal
vocalizations and report the detection of
any marine mammal to the appropriate
watch station for dissemination and
appropriate action.
• During MFAS operations, personnel
will utilize all available sensor and
optical systems (such as night vision
goggles) to aid in the detection of
marine mammals.
• Aircraft with deployed sonobuoys
will use only the passive capability of
sonobuoys when marine mammals are
detected within 200 yds (183 m) of the
sonobuoy.
• Helicopters shall observe/survey
the vicinity of an ASW exercise for 10
minutes before the first deployment of
active (dipping) sonar in the water.
• Helicopters shall not dip their sonar
within 200 yards of a marine mammal
and shall cease pinging if a marine
mammal closes within 200 yards after
pinging has begun.
• Safety Zones—When marine
mammals are detected by any means
(aircraft, shipboard lookout, or
acoustically) within or closing to inside
1,000 yds (914 m) of the sonar dome
(the bow), the ship or submarine will
limit active transmission levels to at
least 6 decibels (dB) below normal
operating levels (i.e., limit to at most
229 dB for AN/SQS–53C and 219 for
AN/SQS–56C, etc)
• Ships and submarines will continue
to limit maximum transmission levels
by this 6-dB factor until the animal has
been seen to leave the 1000-yd
exclusion zone, has not been detected
for 30 minutes, or the vessel has
transited more than 2,000 yds (1829 m)
beyond the location of the last
detection.
• Should a marine mammal be
detected within or closing to inside 500
yds (457 m) of the sonar dome, active
sonar transmissions will be limited to at
least 10 dB below the equipment’s
normal operating level (i.e., limit to at
most 225 dB for AN/SQS–53C and 215
for AN/SQS–56C, etc.). Ships and
submarines will continue to limit
maximum ping levels by this 10-dB
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factor until the animal has been seen to
leave the 500-yd area (at which point
the Navy could return to the 6-dB down
powerdown, but not full power) or the
1000-yd area, has not been detected for
30 minutes, or the vessel has transited
more than 2,000 yds (1829 m) beyond
the location of the last detection.
• Should the marine mammal be
detected within or closing to inside 200
yds (183 m) of the sonar dome, active
sonar transmissions will cease. Active
sonar will not resume until the animal
has been seen to leave the 200-yd
exclusion zone (at which point the 500
or 1000-yd powerdowns apply until the
animal is beyond the 1000-yd exclusion
zone), has not been detected for 30
minutes, or the vessel has transited
more than 2,000 yds (1829 m) beyond
the location of the last detection.
• Special conditions applicable for
dolphin and porpoise only: If, after
conducting an initial maneuver to avoid
close quarters with dolphin or porpoise,
the OOD concludes that dolphins are
deliberately closing to ride the vessel’s
bow wave, no further mitigation actions
would be necessary while the dolphin
or porpoise continue to exhibit bow
wave riding behavior.
• If the need for power-down should
arise (as detailed in ‘‘Safety Zones’’
above) when the Navy was operating a
hull-mounted or sub-mounted source
above 235 dB (infrequent) the Navy
shall follow the requirements as though
they were operating at 235 dB (i.e., the
first power-down will be to 229 dB).
• Prior to start up or restart of active
sonar, operators will check that the
Safety Zone radius around the sound
source is clear of marine mammals.
• Active sonar levels (generally)—
Navy will operate sonar at the lowest
practicable level, not to exceed 235 dB,
except as required to meet tactical
training objectives.
• Submarine sonar operators will
review detection indicators of closeaboard marine mammals prior to the
commencement of ASW training events
involving MFAS.
Underwater Detonations (Up to 10-lb
Charges)
Exclusion Zones—All training
activities involving the use of explosive
charges must include exclusion zones
for marine mammals to prevent physical
and/or acoustic effects to those species.
These exclusion zones for demolitions
and ship mine countermeasres shall
extend in a 700-yard arc (640 m) radius
around the detonation site. Should a
marine mammal be present within the
the surveillance area, the explosive
event shall not be started until the
animal leaves the area.
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Pre-Exercise Surveys—For Demolition
and Ship Mine Countermeasures
Operations, pre-exercise surveys shall
be conducted within 30 minutes prior to
the commencement of the scheduled
explosive event. The survey may be
conducted from the surface, by divers,
and/or from the air, and personnel shall
be alert to the presence of any marine
mammal. Should such an animal be
present within the exclusion area, the
explosive event shall be paused until
the animal voluntarily leaves the area.
The Navy will ensure the exclusion area
is clear of marine mammals for a full 30
minutes prior to initiating the explosive
event.
Post-Exercise Surveys—Surveys
within the same radius shall also be
conducted within 30 minutes after the
completion of the explosive event.
Reporting—If there is any evidence
that a marine mammal may have been
injured or killed by the action, Navy
training activities shall be immediately
suspended and the action reported
immediately to Commander, Navy
Marianas who will contact the
Commander, Pacific Fleet. The situation
shall also be reported to NMFS (see
Stranding Plan for details).
Sinking Exercises
The selection of sites suitable for
SINKEXs involves a balance of
operational suitability, requirements
established under the Marine
Protection, Research and Sanctuaries
Act (MPRSA) permit granted to the
Navy (40 CFR 229.2), and the
identification of areas with a low
likelihood of encountering ESA-listed
species. To meet operational suitability
criteria, the locations of SINKEXs must
be within a reasonable distance of the
target vessels’ originating location. The
locations should also be close to active
military bases to allow participating
assets access to shore facilities. For
safety purposes, these locations should
also be in areas that are not generally
used by non-military air or watercraft.
The MPRSA permit requires vessels to
be sunk in waters which are at least
1000 fathoms (1828 m) deep and at least
50 nm from land. In general, most listed
species prefer areas with strong
bathymetric gradients and
oceanographic fronts for significant
biological activity such as feeding and
reproduction. Typical locations include
the continental shelf and shelf-edge.
• All weapons firing would be
conducted during the period 1 hour
after official sunrise to 30 minutes
before official sunset.
• Extensive range clearance activities
would be conducted in the hours prior
to commencement of the exercise,
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53833
ensuring that no shipping is located
within the hazard range of the longestrange weapon being fired for that event.
• An exclusion zone with a radius of
1.0 nm (1.9 km) would be established
around each target. This exclusion zone
is based on calculations using a 990-lb
(450-kg) H6 net explosive weight high
explosive source detonated 5 ft (1.5 m)
below the surface of the water, which
yields a distance of 0.85 nm (1.57 km)
(cold season) and 0.89 nm (1.65 km)
(warm season) beyond which the
received level is below the 182 decibels
(dB) re: 1 micropascal squared-seconds
(μPa2-s) threshold established for the
WINSTON S. CHURCHILL (DDG 81)
shock trials (U.S. Navy, 2001). An
additional buffer of 0.5 nm (0.9 km)
would be added to account for errors,
target drift, and animal movements.
Additionally, a safety zone, which
would extend beyond the buffer zone by
an additional 0.5 nm (0.9 km), would be
surveyed. Together, the zones extend
out 2 nm (3.7 km) from the target.
• A series of surveillance overflights
shall be conducted prior to the event to
determine whether marine mammals are
present in the exclusion zone. Survey
protocol will be as follows:
• Overflights within the exclusion
zone would be conducted in a manner
that optimizes the surface area of the
water observed. This may be
accomplished through the use of the
Navy’s Search and Rescue Tactical Aid,
which provides the best search altitude,
ground speed, and track spacing for the
discovery of small, possibly dark objects
in the water based on the environmental
conditions of the day. These
environmental conditions include the
angle of sun inclination, amount of
daylight, cloud cover, visibility, and sea
state.
• All visual surveillance activities
would be conducted by Navy personnel
trained in visual surveillance. At least
one member of the mitigation team
would have completed the Navy’s
marine mammal training program for
lookouts.
• In addition to the overflights, the
exclusion zone would be monitored by
passive acoustic means, when assets are
available. This passive acoustic
monitoring would be maintained
throughout the exercise. Potential assets
include sonobuoys, which can be
utilized to detect any vocalizing marine
mammals (particularly sperm whales) in
the vicinity of the exercise. The
sonobuoys would be re-seeded as
necessary throughout the exercise.
Additionally, passive sonar onboard
submarines may be utilized to detect
any vocalizing marine mammals in the
area. The OCE would be informed of
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any aural detection of marine mammals
and would include this information in
the determination of when it is safe to
commence the exercise.
• On each day of the exercise, aerial
surveillance of the exclusion and safety
zones would commence 2 hours prior to
the first firing.
• The results of all visual, aerial, and
acoustic searches would be reported
immediately to the OCE. No weapons
launches or firing would commence
until the OCE declares the safety and
exclusion zones free of marine
mammals and threatened and
endangered species.
• If a marine mammal observed
within the exclusion zone is diving,
firing would be delayed until the animal
is re-sighted outside the exclusion zone,
or 30 minutes have elapsed, whichever
occurs first. After 30 minutes, if the
animal has not been re-sighted it would
be assumed to have left the exclusion
zone. The OCE would determine if the
marine mammal is in danger of being
adversely affected by commencement of
the exercise.
• During breaks in the exercise of 30
minutes or more, the exclusion zone
would again be surveyed for any marine
mammal. If a marine mammal is sighted
within the exclusion zone or the buffer
zone, the OCE would be notified, and
the procedure described above would be
followed.
• Upon sinking of the vessel, a final
surveillance of the exclusion zone
would be monitored for 2 hours, or until
sunset, to verify that no marine
mammals were harmed.
• Aerial surveillance would be
conducted using helicopters or other
aircraft based on necessity and
availability. The Navy has several types
of aircraft capable of performing this
task; however, not all types are available
for every exercise. For each exercise, the
available asset best suited for
identifying objects on and near the
surface of the ocean would be used.
These aircraft would be capable of
flying at the slow safe speeds necessary
to enable viewing of marine vertebrates
with unobstructed, or minimally
obstructed, downward and outward
visibility. The exclusion and safety zone
surveys may be cancelled in the event
that a mechanical problem, emergency
search and rescue, or other similar and
unexpected event preempts the use of
one of the aircraft onsite for the
exercise.
• Every attempt would be made to
conduct the exercise in sea states that
are ideal for marine mammal sighting—
Beaufort Sea State 3 or less. In the event
of a sea state of 4 or above, survey
efforts would be increased within the
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zones. This would be accomplished
through the use of an additional aircraft,
if available, and conducting tight search
patterns.
• The exercise would not be
conducted unless the exclusion zone or
buffer zone could be adequately
monitored visually. Should low cloud
cover or surface visibility prevent
adequate visual monitoring as described
previously, the exercise would be
delayed until conditions improved, and
all of the above monitoring criteria
could be met.
• In the unlikely event that any
marine mammal is observed to be
harmed in the area, a detailed
description of the animal would be
taken, the location noted, and if
possible, photos taken. This information
would be provided to NMFS via the
Navy’s regional environmental
coordinator for purposes of
identification (see the draft Stranding
Plan for detail).
• An after action report detailing the
exercise’s time line, the time the surveys
commenced and terminated, amount,
and types of all ordnance expended, and
the results of survey efforts for each
event would be submitted to NMFS.
Surface-to-Surface Gunnery (Up to 5Inch Explosive Rounds)
• For exercises using targets towed by
a vessel, target-towing vessels shall
maintain a trained lookout for marine
mammals when feasible. If a marine
mammal is sighted in the vicinity, the
tow vessel will immediately notify the
firing vessel, which will suspend the
exercise until the area is clear.
• A 600 yard (585 m) radius buffer
zone will be established around the
intended target.
• From the intended firing position,
trained lookouts will survey the buffer
zone for marine mammals and sea
turtles prior to commencement and
during the exercise as long as
practicable. Due to the distance between
the firing position and the buffer zone,
lookouts are only expected to visually
detect breaching whales, whale blows,
and large pods of dolphins and
porpoises.
• The exercise will be conducted only
when the buffer zone is visible and
marine mammals are not detected
within it.
Surface-to-Surface Gunnery (NonExplosive Rounds)
• A 200 yard (183 m) radius buffer
zone will be established around the
intended target.
• From the intended firing position,
trained lookouts will survey the buffer
zone for marine mammals and sea
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turtles prior to commencement and
during the exercise as long as
practicable. Due to the distance between
the firing position and the buffer zone,
lookouts are only expected to visually
detect breaching whales, whale blows,
and large pods of dolphins and
porpoises.
• If applicable, target towing vessels
will maintain a lookout. If a marine
mammal or sea turtle is sighted in the
vicinity of the exercise, the tow vessel
will immediately notify the firing vessel
in order to secure gunnery firing until
the area is clear.
• The exercise will be conducted only
when the buffer zone is visible and
marine mammals and sea turtles are not
detected within the target area and the
buffer zone.
Surface-to-Air Gunnery (Explosive and
Non-Explosive Rounds)
• Vessels will orient the geometry of
gunnery exercises in order to prevent
debris from falling in the area of sighted
marine mammals and sea turtles.
• Vessels will expedite the attempt to
recover any parachute deploying aerial
targets to reduce the potential for
entanglement of marine mammals and
sea turtles.
• Target towing aircraft shall
maintain a lookout if feasible. If a
marine mammal or sea turtle is sighted
in the vicinity of the exercise, the tow
aircraft will immediately notify the
firing vessel in order to secure gunnery
firing until the area is clear.
Air-to-Surface Gunnery (Explosive and
Non-Explosive Rounds)
• A 200 yard (183 m) radius buffer
zone will be established around the
intended target.
• If surface vessels are involved,
lookout(s) will visually survey the
buffer zone for marine mammals and sea
turtles prior to and during the exercise.
• Aerial surveillance of the buffer
zone for marine mammals and sea
turtles will be conducted prior to
commencement of the exercise. Aerial
surveillance altitude of 500 feet to 1,500
feet (152–456 m) is optimum. Aircraft
crew/pilot will maintain visual watch
during exercises. Release of ordnance
through cloud cover is prohibited;
aircraft must be able to actually see
ordnance impact areas.
• The exercise will be conducted only
if marine mammals and sea turtles are
not visible within the buffer zone.
Small Arms Training (Grenades,
Explosive and Non-Explosive Rounds)
Lookouts will visually survey for
marine mammals and sea turtles.
Weapons will not be fired in the
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Air-to-Surface At-Sea Bombing
Exercises (Explosive Bombs and
Rockets)
• Ordnance shall not be targeted to
impact within 1,000 yards (914 m) of
known or observed sea turtles or marine
mammals.
• A buffer zone of 1,000 yards (914
m) radius will be established around the
intended target.
• Aircraft will visually survey the
target and buffer zone for marine
mammals and sea turtles prior to and
during the exercise. The survey of the
impact area will be made by flying at
1,500 feet or lower, if safe to do so, and
at the slowest safe speed. When safety
or other considerations require the
release of weapons without the releasing
pilot having visual sight of the target
area, a second aircraft, the ‘‘wingman,’’
will clear the target area and perform
the clearance and observation functions
required before the dropping plane may
release its weapons. Both planes must
have direct communication to assure
immediate notification to the dropping
plane that the target area may have been
fouled by encroaching animals or
people. The clearing aircraft will assure
it has visual site of the target area at a
maximum height of 1500 ft. The
clearing plane will remain within visual
sight of the target until required to clear
the area for safety reasons.
• Survey aircraft should employ most
effective search tactics and capabilities.
• The exercises will be conducted
only if marine mammals and sea turtles
are not visible within the buffer zone.
Air-to-Surface At-Sea Bombing
Exercises (Non-Explosive Bombs and
Rockets)
• If surface vessels are involved,
trained lookouts will survey for sea
turtles and marine mammals. Ordnance
shall not be targeted to impact within
1,000 yards (914 m) of known or
observed sea turtles or marine
mammals.
• A 1,000 yard (914 m) radius buffer
zone will be established around the
intended target.
• Aircraft will visually survey the
target and buffer zone for marine
mammals and sea turtles prior to and
during the exercise. The survey of the
impact area will be made by flying at
1,500 feet (152 m) or lower, if safe to do
so, and at the slowest safe speed. When
safety or other considerations require
the release of weapons without the
releasing pilot having visual sight of the
target area, a second aircraft, the
‘‘wingman,’’ will clear the target area
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and perform the clearance and
observation functions required before
the dropping plane may release its
weapons. Both planes must have direct
communication to assure immediate
notification to the dropping plane that
the target area may have been fouled by
encroaching animals or people. The
clearing aircraft will assure it has visual
site of the target area at a maximum
height of 1500 ft. The clearing plane
will remain within visual sight of the
target until required to clear the area for
safety reasons. Survey aircraft shall
employ most effective search tactics and
capabilities.
• The exercise will be conducted only
if marine mammals and sea turtles are
not visible within the buffer zone.
Air-to-Surface Missile Exercises
(explosive and non-explosive)—Aircraft
will visually survey the target area for
marine mammals. Visual inspection of
the target area will be made by flying at
1,500 (457 m) feet or lower, if safe to do
so, and at slowest safe speed. Firing or
range clearance aircraft must be able to
actually see ordnance impact areas.
Explosive ordnance shall not be targeted
to impact within 1,800 yds (1646 m) of
sighted marine mammals.
Aircraft Training Activities Involving
Non-Explosive Devices
Non-explosive devices such as some
sonobuoys, inert bombs, and Mining
Training Activities involve aerial drops
of devices that have the potential to hit
marine mammals and sea turtles if they
are in the immediate vicinity of a
floating target. The exclusion zone, as
established above for each nonexplosive exercise type and if notdefined above, the minimum exclusion
zone is 200 yards, shall be clear of
marine mammals and sea turtles around
the target location. Pre- and postsurveillance and reporting requirements
outlined for underwater detonations
shall be implemented during Mining
Training Activities.
Explosive Source Sonobuoys Used in
EER/IEER (AN/SSQ–110A)
• Crews will conduct visual
reconnaissance of the drop area prior to
laying their intended sonobuoy pattern.
This search should be conducted below
457 m (500 yd) at a slow speed, if
operationally feasible and weather
conditions permit. In dual aircraft
operations, crews are allowed to
conduct coordinated area clearances.
• Crews shall conduct a minimum of
30 minutes of visual and aural
monitoring of the search area prior to
commanding the first post detonation.
This 30-minute observation period may
include pattern deployment time.
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• For any part of the briefed pattern
where a post (source/receiver sonobuoy
pair) will be deployed within 914 m
(1,000 yd) of observed marine mammal
activity, deploy the receiver only and
monitor while conducting a visual
search. When marine mammals are no
longer detected within 914 m (1,000 yd)
of the intended post position, co-locate
the explosive source sonobuoy (AN/
SSQ–110A) (source) with the receiver.
• When operationally feasible, crews
will conduct continuous visual and
aural monitoring of marine mammal
activity. This is to include monitoring of
own-aircraft sensors from first sensor
placement to checking off station and
out of RF range of these sensors.
• Aural Detection—If the presence of
marine mammals is detected aurally,
then that should cue the aircrew to
increase the diligence of their visual
surveillance. Subsequently, if no marine
mammals are visually detected, then the
crew may continue multi-static active
search.
• Visual Detection—If marine
mammals are visually detected within
914 m (1,000 yd) of the explosive source
sonobuoy (AN/SSQ–110A) intended for
use, then that payload shall not be
detonated. Aircrews may utilize this
post once the marine mammals have not
been re-sighted for 30 minutes, or are
observed to have moved outside the 914
m (1,000 yd) safety buffer, whichever
occurs first. Aircrews may shift their
multi-static active search to another
post, where marine mammals are
outside the 914 m (1,000 yd) safety
buffer.
• Aircrews shall make every attempt
to manually detonate the unexploded
charges at each post in the pattern prior
to departing the operations area by
using the ‘‘Payload 1 Release’’ command
followed by the ‘‘Payload 2 Release’’
command. Aircrews shall refrain from
using the ‘‘Scuttle’’ command when two
payloads remain at a given post.
Aircrews will ensure that a 914 m (1,000
yd) safety buffer, visually clear of
marine mammals, is maintained around
each post as is done during active
search training activities.
• Aircrews shall only leave posts
with unexploded charges in the event of
a sonobuoy malfunction, an aircraft
system malfunction, or when an aircraft
must immediately depart the area due to
issues such as fuel constraints,
inclement weather, and in-flight
emergencies. In these cases, the
sonobuoy will self-scuttle using the
secondary (detonation occurs by timer
approximately 6 hours after water entry)
or tertiary (detonation occurs by salt
water soluble plug approximately 12
hours after water entry) method.
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• Aircrews shall ensure all payloads
are accounted for. Explosive source
sonobuoys (AN/SSQ–110A) that cannot
be scuttled shall be reported as
unexploded ordnance via voice
communications while airborne, then
upon landing via naval message.
• Mammal monitoring shall continue
until out of own-aircraft sensor range.
Stranding Response Plan for MIRC
NMFS and the Navy have developed
a draft Stranding Response Plan for
Major Exercises in the MIRC Study Area
(available at: https://
www.nmfs.noaa.gov/pr/permits/
incidental.htm). Pursuant to 50 CFR
216.105, the plan will be included as
part of (attached to) the Navy’s MMPA
Letter of Authorization (LOA), which
contains the conditions under which the
Navy is authorized to take marine
mammals pursuant to training activities
in the MIRC Study Area. The Stranding
Response plan is specifically intended
to outline the applicable requirements
the authorization is conditioned upon in
the event that a marine mammal
stranding is reported in the MIRC Study
Area during a major training exercise
(MTE) (see glossary below). NMFS
considers all plausible causes within the
course of a stranding investigation and
this plan in no way presumes that any
strandings in the MIRC Study Area are
related to, or caused by, Navy training
activities, absent a determination made
in a Phase 2 Investigation, as outlined
in Paragraph 7 of this plan, indicating
that MFAS or explosive detonation in
the MIRC Study Area were a cause of
the stranding. This plan is designed to
address the following three issues:
• Mitigation—When marine
mammals are in a situation that can be
defined as a stranding (see glossary of
plan), they are experiencing
physiological stress. When animals are
stranded, and alive, NMFS believes that
exposing these compromised animals to
additional known stressors would likely
exacerbate the animal’s distress and
could potentially cause its death.
Regardless of the factor(s) that may have
initially contributed to the stranding, it
is NMFS’ goal to avoid exposing these
animals to further stressors. Therefore,
when live stranded cetaceans are in the
water and engaged in what is classified
as an Uncommon Stranding Event (USE)
(see glossary of plan), the shutdown
component of this plan is intended to
minimize the exposure of those animals
to MFAS and explosive detonations,
regardless of whether or not these
activities may have initially played a
role in the event.
• Monitoring—This plan will
enhance the understanding of how
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MFAS/HFAS or IEER (as well as other
environmental conditions) may, or may
not, be associated with marine mammal
injury or strandings. Additionally,
information gained from the
investigations associated with this plan
may be used in the adaptive
management of mitigation or monitoring
measures in subsequent LOAs, if
appropriate.
• Compliance—The information
gathered pursuant to this protocol will
inform NMFS’ decisions regarding
compliance with Sections 101(a)(5)(B)
and (C) of the MMPA.
The Stranding Response Plan has
several components:
Shutdown Procedures—When an
uncommon stranding event (USE—
defined in the plan) occurs during a
major exercise in the MIRC Study Area,
and a live cetacean(s) is in the water
exhibiting indicators of distress (defined
in the plan), NMFS will advise the Navy
that they should cease MFAS/HFAS
operation and explosive detonations
within 14 nm of the live animal
involved in the USE (NMFS and Navy
will maintain a dialogue, as needed,
regarding the identification of the USE
and the potential need to implement
shutdown procedures). This distance is
the approximate distance at which
sounds from the sonar sources are
anticipated to attenuate to 145 dB (SPL).
The risk function predicts that less than
1 percent of the animals exposed to
sonar at this level (mysticete or
odontocete) would respond in a manner
that NMFS considers Level B
Harassment.
Memorandum of Agreement (MOA)—
The Navy and NMFS will develop an
MOA, or other mechanism consistent
with federal fiscal law requirements
(and all other applicable laws), that
allows the Navy to assist NMFS with the
Phase 1 and 2 Investigations of USEs
through the provision of in-kind
services, such as (but not limited to) the
use of plane/boat/truck for transport of
stranding responders or animals, use of
Navy property for necropsies or burial,
or assistance with aerial surveys to
discern the extent of a USE. The Navy
may assist NMFS with the
investigations by providing one or more
of the in-kind services outlined in the
MOA, when available and logistically
feasible and when the provision does
not negatively affect Fleet operational
commitments.
Communication Protocol—Effective
communication is critical to the
successful implementation of this
Stranding Response Plan. Very specific
protocols for communication, including
identification of the Navy personnel
authorized to implement a shutdown
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and the NMFS personnel authorized to
advise the Navy of the need to
implement shutdown procedures and
the associated phone trees, etc. are
currently in development and will be
refined and finalized for the Stranding
Response Plan prior to the issuance of
a final rule (and updated yearly).
Stranding Investigation—The
Stranding Response Plan also outlines
the way that NMFS plans to investigate
any strandings (providing staff and
resources are available) that occur
during major training exercises in the
MIRC.
Mitigation Conclusions
NMFS has carefully evaluated the
Navy’s proposed mitigation measures
and considered a broad range of other
measures in the context of ensuring that
NMFS prescribes the means of effecting
the least practicable adverse impact on
the affected marine mammal species
and stocks and their habitat. Our
evaluation of potential measures
included consideration of the following
factors in relation to one another:
• The manner in which, and the
degree to which, the successful
implementation of the measure is
expected to minimize adverse impacts
to marine mammals,
• The proven or likely efficacy of the
specific measure to minimize adverse
impacts as planned,
• The practicability of the measure
for applicant implementation, including
consideration of personnel safety,
practicality of implementation, and
impact on the effectiveness of the
military readiness activity.
In some cases, additional mitigation
measures are required beyond those that
the applicant proposes. Any mitigation
measure(s) prescribed by NMFS should
be able to accomplish, have a reasonable
likelihood of accomplishing (based on
current science), or contribute to the
accomplishment of one or more of the
general goals listed below:
(a) Avoidance or minimization of
injury or death of marine mammals
wherever possible (goals b, c, and d may
contribute to this goal).
(b) A reduction in the numbers of
marine mammals (total number or
number at biologically important time
or location) exposed to received levels
of MFAS/HFAS, underwater
detonations, or other activities expected
to result in the take of marine mammals
(this goal may contribute to a, above, or
to reducing harassment takes only).
(c) A reduction in the number of times
(total number or number at biologically
important time or location) individuals
would be exposed to received levels of
MFAS/HFAS, underwater detonations,
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or other activities expected to result in
the take of marine mammals (this goal
may contribute to a, above, or to
reducing harassment takes only).
(d) A reduction in the intensity of
exposures (either total number or
number at biologically important time
or location) to received levels of MFAS/
HFAS, underwater detonations, or other
activities expected to result in the take
of marine mammals (this goal may
contribute to a, above, or to reducing the
severity of harassment takes only).
(e) Avoidance or minimization of
adverse effects to marine mammal
habitat, paying special attention to the
food base, activities that block or limit
passage to or from biologically
important areas, permanent destruction
of habitat, or temporary destruction/
disturbance of habitat during a
biologically important time.
(f) For monitoring directly related to
mitigation—an increase in the
probability of detecting marine
mammals, thus allowing for more
effective implementation of the
mitigation (shut-down zone, etc.).
Based on our evaluation of the Navy’s
proposed measures, as well as other
measures considered by NMFS or
recommended by the public, NMFS has
determined preliminarily that the
Navy’s proposed mitigation measures
(especially when the Adaptive
Management component is taken into
consideration (see Adaptive
Management below)) are adequate
means of effecting the least practicable
adverse impacts on marine mammals
species or stocks and their habitat,
paying particular attention to rookeries,
mating grounds, and areas of similar
significance, while also considering
personnel safety, practicality of
implementation, and impact on the
effectiveness of the military readiness
activity. Further detail is included
below.
The proposed rule comment period
will afford the public an opportunity to
submit recommendations, views and/or
concerns regarding this action and the
proposed mitigation measures. While
NMFS has determined preliminarily
that the Navy’s proposed mitigation
measures will effect the least practicable
adverse impact on the affected species
or stocks and their habitat, NMFS will
consider all public comments to help
inform our final decision. Consequently,
the proposed mitigation measures may
be refined, modified, removed, or added
to prior to the issuance of the final rule
based on public comments received,
and where appropriate, further analysis
of any additional mitigation measures.
NMFS believes that the range
clearance procedures and shutdown/
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safety zone/exclusion zone measures the
Navy has proposed will enable the Navy
to avoid injuring marine mammals and
will enable them to minimize the
numbers of marine mammals exposed to
levels associated with TTS for the
following reasons:
MFAS/HFAS
The Navy’s standard protective
measures indicate that they will ensure
powerdown of MFAS/HFAS by 6-dB
when a marine mammal is detected
within 1000 yd (914 m), powerdown of
4 more dB (or 10-dB total) when a
marine mammal is detected within 500
yd (457 m), and will cease MFAS/HFAS
transmissions when a marine mammal
is detected within 200 yd (183 m).
PTS/Injury—NMFS believes that the
proposed mitigation measures will
allow the Navy to avoid exposing
marine mammals to received levels of
MFAS/HFAS sound that would result in
injury for the following reasons:
• The estimated distance from the
most powerful source at which
cetaceans would receive levels at or
above the threshold for PTS/injury/
Level A Harassment is approximately 10
m (10.9 yd).
• NMFS believes that the probability
that a marine mammal would approach
within the above distances of the sonar
dome (to the sides or below) without
being seen by the watchstanders (who
would then activate a shutdown if the
animal was within 200 yd (183 m)) is
very low, especially considering that
animals would likely avoid approaching
a source transmitting at that level at that
distance.
• The model predicted that one
pantropical dolphin and one sperm
whale would be exposed to levels
associated with injury, however, the
model does not consider the mitigation
or likely avoidance behaviors and
NMFS believes that injury is unlikely
when those factors are considered.
TTS—NMFS believes that the
proposed mitigation measures will
allow the Navy to minimize exposure of
marine mammals to received levels of
MFAS/HFAS sound associated with
TTS for the following reasons:
• The estimated maximum distance
from the most powerful source at which
cetaceans would receive levels at or
above the threshold for TTS is
approximately 140 m from the source in
most operating environments.
• Based on the size of the animals,
average group size, behavior, and
average dive time, NMFS believes that
the probability that Navy watchstanders
will visually detect mysticetes or sperm
whales, dolphins, and social pelagic
species (pilot whales, melon-headed
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whales, etc.) at some point within the
1000 yd (914 km) safety zone before
they are exposed to the TTS threshold
levels is high, which means that the
Navy would often be able to shutdown
or powerdown to avoid exposing these
species to sound levels associated with
TTS.
• However, more cryptic animals that
are difficult to detect and observe, such
as deep-diving cetaceans (beaked
whales and Kogia spp.), are less likely
to be visually detected and could
potentially be exposed to levels of
MFAS/HFAS expected to cause TTS.
However, animals at depth in one
location would not be expected to be
continuously exposed to repeated sonar
signals given the typical 10–14 knot
speed of Navy surface ships during
ASW events. During a typical one-hour
subsurface dive by a beaked whale, the
ship will have moved over 5 to 10 nm
from the original location.
• Additionally, the Navy’s bow-riding
mitigation exception for dolphins may
sometimes result in dolphins being
exposed to levels of MFAS/HFAS likely
to result in TTS. However, there are
combinations of factors that reduce the
acoustic energy received by dolphins
approaching ships to ride in bow waves.
Dolphins riding a ship’s bow wave are
outside of the main beam of the MFAS
vertical beam pattern. Source levels
drop quickly outside of the main beam.
Sidelobes of the radiate beam pattern
that point to the surface are significantly
lower in power. Together with spherical
spreading losses, received levels in the
ship’s bow wave can be more than 42
dB less than typical source level (i.e.,
235 dB ¥ 42 dB = 193 dB SPL). Finally,
bow wave riding dolphins are
frequently in and out of a bubble layer
generated by the breaking bow waves.
This bubble layer is an excellent
scatterer of acoustic energy and can
further reduce received energy.
The Stranding Response Plan will
minimize the probability of distressed
live-stranded animals responding to the
proximity of sonar in a manner that
further stresses them or increases the
potential likelihood of mortality.
Underwater Explosives
The Navy utilizes exclusion zones
(wherein explosive detonation will not
begin/continue if animals are within the
zone) for explosive exercises. Table 3
identifies the various explosives, the
estimated distance at which animals
will receive levels associated with take
(see Acoustic Take Criteria Section), and
the exclusion zone associated with the
explosive types.
Mortality and Injury—NMFS believes
that the mitigation measures will allow
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the Navy to avoid exposing marine
mammals to underwater detonations
that would result in injury or mortality
for the following reasons:
• Surveillance for large charges
(which includes aerial and passive
acoustic detection methods, when
available, to ensure clearance) begins
two hours before the exercise and
extends to 2 nm (3704 m) from the
source. Surveillance for all charges
extends out 3–50 times the farthest
distance from the source at which injury
would be anticipated to occur (see Table
3).
• Animals would need to be less than
426 m (465 yd) (large explosives) or 8–
160 m (9–175 yd) (smaller charges) from
the source to be injured.
• Unlike for active sonar, an animal
would need to be present at the exact
moment of the explosion(s) (except for
the short series of gunfire example in
GUNEX) to be taken.
• The model predicted that 0 animals
would be exposed to explosive levels
associated with injury or death.
• When the implementation of the
exclusion zones (i.e., the fact that the
Navy will not start a detonation or will
not continue to detonate explosives if an
animal is detected within the exclusion
zone) is considered in combination with
the factors described in the above
bullets, NMFS believes that the Navy’s
mitigation will prevent injury and
mortality to marine mammals from
explosives.
TTS—NMFS believes that the
proposed mitigation measures will
allow the Navy to minimize the
exposure of marine mammals to
underwater detonations that would
result in TTS for the following reasons:
• 43 animals annually were predicted
to be exposed to explosive levels that
would result in TTS. For the reasons
explained above, NMFS believes that
most modeled TTS takes can be
avoided, especially dolphins, mysticetes
and sperm whales, and social pelagic
species.
• However, more cryptic, deep-diving
species (beaked whales and Kogia spp.)
are less likely to be visually detected
and could potentially be exposed to
explosive levels expected to cause TTS.
The model estimated that 4 beaked
whales and zero Kogia would be
exposed to TTS levels.
• Additionally, for SINKEXs, the
distance at which an animal would be
expected to receive sound or pressure
levels associated with TTS (182 dB SEL
or 23 psi) is sometimes (when the
largest explosive type, the MK–84, is
used) larger than the exclusion zone,
which means that for those two exercise
types, some individuals will likely be
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exposed to levels associated with TTS
outside of the exclusion zone.
Research
The Navy provides a significant
amount of funding and support to
marine research. In the past five years
the agency funded over $100 million
($26 million in FY08 alone) to
universities, research institutions,
federal laboratories, private companies,
and independent researchers around the
world to study marine mammals. The
U.S. Navy sponsors 70% of all U.S.
research concerning the effects of
human-generated sound on marine
mammals and 50% of such research
conducted worldwide. Major topics of
Navy-supported research include the
following:
• Better understanding of marine
species distribution and important
habitat areas,
• Developing methods to detect and
monitor marine species before and
during training,
• Understanding the effects of sound
on marine mammals, sea turtles, fish,
and birds, and
• Developing tools to model and
estimate potential effects of sound.
This research is directly applicable to
Fleet training activities, particularly
with respect to the investigations of the
potential effects of underwater noise
sources on marine mammals and other
protected species. Proposed training
activities employ active sonar and
underwater explosives, which introduce
sound into the marine environment.
The Marine Life Sciences Division of
the Office of Naval Research currently
coordinates six programs that examine
the marine environment and are
devoted solely to studying the effects of
noise and/or the implementation of
technology tools that will assist the
Navy in studying and tracking marine
mammals. The six programs are as
follows:
• Environmental Consequences of
Underwater Sound,
• Non-Auditory Biological Effects of
Sound on Marine Mammals,
• Effects of Sound on the Marine
Environment,
• Sensors and Models for Marine
Environmental Monitoring,
• Effects of Sound on Hearing of
Marine Animals, and
• Passive Acoustic Detection,
Classification, and Tracking of Marine
Mammals.
The Navy has also developed the
technical reports referenced within this
document, which include the Marine
Resource Assessments and the Marine
Mammal and sea turtle density
estimates for Guam and the CNMI (DoN
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2007). Furthermore, research cruises by
the National Marine Fisheries Service
(NMFS) and by academic institutions
have received funding from the U.S.
Navy.
The Navy has sponsored several
workshops to evaluate the current state
of knowledge and potential for future
acoustic monitoring of marine
mammals. The workshops brought
together acoustic experts and marine
biologists from the Navy and other
research organizations to present data
and information on current acoustic
monitoring research efforts and to
evaluate the potential for incorporating
similar technology and methods on
instrumented ranges. However, acoustic
detection, identification, localization,
and tracking of individual animals still
requires a significant amount of research
effort to be considered a reliable method
for marine mammal monitoring. The
Navy supports research efforts on
acoustic monitoring and will continue
to investigate the feasibility of passive
acoustics as a potential mitigation and
monitoring tool.
Overall, the Navy will continue to
fund ongoing marine mammal research,
and is planning to coordinate long-term
monitoring/studies of marine mammals
on various established ranges and
operating areas. The Navy will continue
to research and contribute to university/
external research to improve the state of
the science regarding marine species
biology and acoustic effects. These
efforts include mitigation and
monitoring programs; data sharing with
NMFS and via the literature for research
and development efforts; and future
research as described previously.
Long-Term Prospective Study
Apart from this proposed rule, NMFS,
with input and assistance from the Navy
and several other agencies and entities,
will perform a longitudinal
observational study of marine mammal
strandings to systematically observe and
record the types of pathologies and
diseases and investigate the relationship
with potential causal factors (e.g., active
sonar, seismic, weather). The study will
not be a true ‘‘cohort’’ study, because we
will be unable to quantify or estimate
specific active sonar or other sound
exposures for individual animals that
strand. However, a cross-sectional or
correlational analyses, a method of
descriptive rather than analytical
epidemiology, can be conducted to
compare population characteristics, e.g.,
frequency of strandings and types of
specific pathologies between general
periods of various anthropogenic
activities and non-activities within a
prescribed geographic space. In the
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long-term study, we will more fully and
consistently collect and analyze data on
the demographics of strandings in
specific locations and consider
anthropogenic activities and physical,
chemical, and biological environmental
parameters. This approach in
conjunction with true cohort studies
(tagging animals, measuring received
sounds, and evaluating behavior or
injuries) in the presence of activities
and non-activities will provide critical
information needed to further define the
impacts of MTEs and other
anthropogenic and non-anthropogenic
stressors. In coordination with the Navy
and other Federal and non-federal
partners, the comparative study will be
designed and conducted for specific
sites during intervals of the presence of
anthropogenic activities such as active
sonar transmission or other sound
exposures and absence to evaluate
demographics of morbidity and
mortality, lesions found, and cause of
death or stranding. Additional data that
will be collected and analyzed in an
effort to control potential confounding
factors include variables such as average
sea temperature (or just season),
meteorological or other environmental
variables (e.g., seismic activity), fishing
activities, etc. All efforts will be made
to include appropriate controls (i.e., no
active sonar or no seismic);
environmental variables may complicate
the interpretation of ‘‘control’’
measurements. The Navy and NMFS
along with other partners are evaluating
mechanisms for funding this study.
Monitoring
In order to issue an ITA for an
activity, Section 101(a)(5)(A) of the
MMPA states that NMFS must set forth
‘‘requirements pertaining to the
monitoring and reporting of such
taking’’. The MMPA implementing
regulations at 50 CFR 216.104 (a)(13)
indicate that requests for LOAs must
include the suggested means of
accomplishing the necessary monitoring
and reporting that will result in
increased knowledge of the species and
of the level of taking or impacts on
populations of marine mammals that are
expected to be present.
Monitoring measures prescribed by
NMFS should accomplish one or more
of the following general goals:
(a) An increase in our understanding
of how many marine mammals are
likely to be exposed to levels of MFAS/
HFAS (or explosives or other stimuli)
that we associate with specific adverse
effects, such as behavioral harassment,
TTS, or PTS.
(b) An increase in our understanding
of how individual marine mammals
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respond (behaviorally or
physiologically) to MFAS/HFAS (at
specific received levels), explosives, or
other stimuli expected to result in take.
(c) An increase in our understanding
of how anticipated takes of individuals
(in different ways and to varying
degrees) may impact the population,
species, or stock (specifically through
effects on annual rates of recruitment or
survival).
(d) An increased knowledge of the
affected species,
(e) An increase in our understanding
of the effectiveness of certain mitigation
and monitoring measures,
(f) A better understanding and record
of the manner in which the authorized
entity complies with the incidental take
authorization,
(g) An increase in the probability of
detecting marine mammals, both within
the safety zone (thus allowing for more
effective implementation of the
mitigation) and in general to better
achieve the above goals.
Proposed Monitoring Plan for the MIRC
The Navy has submitted a draft
Monitoring Plan for the MIRC which
may be viewed at NMFS’ Web site:
https://www.nmfs.noaa.gov/pr/permits/
incidental.htm#applications. The plan
may be modified or supplemented based
on comments or new information
received from the public during the
public comment period. A summary of
the primary components of the plan
follows.
The draft Monitoring Plan for MIRC
has been designed as a collection of
focused ‘‘studies’’ (described fully in the
MIRC draft Monitoring Plan) to gather
data that will allow the Navy to address
the following questions:
(a) Are marine mammals exposed to
MFAS/HFAS, especially at levels
associated with adverse effects (i.e.,
based on NMFS’ criteria for behavioral
harassment, TTS, or PTS)? If so, at what
levels are they exposed?
(b) If marine mammals are exposed to
MFAS/HFAS in the MIRC Range
Complex, do they redistribute
geographically as a result of continued
exposure? If so, how long does the
redistribution last?
(c) If marine mammals are exposed to
MFAS/HFAS, what are their behavioral
responses to various levels?
(d) What are the behavioral responses
of marine mammals that are exposed to
explosives at specific levels?
(e) Is the Navy’s suite of mitigation
measures for MFAS/HFAS (e.g.,
measures agreed to by the Navy through
permitting) effective at preventing TTS,
injury, and mortality of marine
mammals?
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Data gathered in these studies will be
collected by qualified, professional
marine mammal biologists that are
experts in their field. They will use a
combination of the following methods
to collect data:
• Contracted third party vessel
surveys.
• Passive acoustic monitoring.
• Marine mammal observers on Navy
ships.
• Shore-based monitoring.
In the four proposed study designs
(all of which cover multiple years), the
above methods will be used separately
or in combination to monitor marine
mammals in different combinations
before, during, and after training
activities utilizing MFAS/HFAS.
This monitoring plan has been
designed to gather data on all species of
marine mammals that are observed in
the MIRC, however, where appropriate
priority will be given to ESA-listed
species, beaked whales and other deepdiving species (Kogia, melon-headed
whales, and false-killer whales). The
Plan recognizes that deep-diving and
cryptic species of marine mammals such
as beaked whales have a low probability
of detection (Barlow and Gisiner, 2006).
Therefore, methods will be utilized to
attempt to address this issue (e.g.,
passive acoustic monitoring).
In addition to the Monitoring Plan for
MIRC, by the end of 2009, the Navy will
have completed an Integrated
Comprehensive Monitoring Program
(ICMP) Plan. The ICMP will provide the
overarching structure and coordination
that will, over time, compile data from
both range specific monitoring plans
(such as AFAST, the Hawaii Range
Complex, the Southern California Range
Complex, and the Northwest Training
Range Complex) as well as Navy funded
research and development (R&D)
studies. The primary objectives of the
ICMP are to:
• Coordinate monitoring and
assessment of the effects of Navy
activities on protected species;
• Ensure data collected at multiple
locations is collected in a manner that
allows comparison between and among
different geographic locations;
• Assess the efficacy and
practicability of monitoring and
mitigation techniques; and
• Add to the overall knowledge base
on potential behavioral and
physiological effects to marine species
from Navy activities.
More information about the ICMP
may be found in the draft Monitoring
Plan for MIRC.
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Monitoring Workshop
Valiant Shield 07
The Navy, with guidance and support
from NMFS, will convene a Monitoring
Workshop, including marine mammal
and acoustic experts as well as other
interested parties, in 2011. The
Monitoring Workshop participants will
review the monitoring results from the
first two years of monitoring pursuant to
this MIRC rule as well as monitoring
results from other Navy rules and LOAs
(e.g., the Southern California Range
Complex (SOCAL), Hawaii Range
Complex (HRC), etc.). The Monitoring
Workshop participants would provide
their individual recommendations to the
Navy and NMFS on the monitoring
plan(s) after also considering the current
science (including Navy research and
development) and working within the
framework of available resources and
feasibility of implementation. NMFS
and the Navy would then analyze the
input from the Monitoring Workshop
participants and determine the best way
forward from a national perspective.
Subsequent to the Monitoring
Workshop, modifications would be
applied to monitoring plans as
appropriate.
Valiant Shield 07 (VS 07) was
conducted from August 6, 2007 through
August 13, 2007. The ASW training
conducted during the VS 07 involved
ships, submarines, aircraft, nonexplosive exercise weapons, and other
training related devices and occurred in
the Western Pacific ocean waters south
of the Mariana Islands portion of the
MIRC (see Figure A–1, Appendix A).
MFAS-equipped platforms participating
in VS07 include Ticonderoga-class
guided missile cruisers (CG), and
Arleigh Burke-class guided missile
destroyers (DDG) surface combatants
with AN/SQS–53C sonar, and
associated aviation assets (SH–60B/F/R
with AN/AQS–13F or AQS–22 dipping
sonar, and AN/SSQ–62B/C/D/E
Directional Command Activated
Sonobuoy System—DICASS), and P–3
Maritime Patrol Aircraft (MPA) (DICASS
sonobuoy).
During VS07, 1,208 hours of MFAS
time was reported from all sources
including hull-mounted 53C, helicopter
dipping sonar, and DICASS sonobuoys.
Table A–2 contains a complete list of
VS07 marine mammal visual sightings
made by U.S. Navy lookouts and watch
teams based on standardized reporting
protocols. There were a total of 25
marine mammal sightings for an
estimated 235 animals during VS07. As
in other U.S. Navy exercise after action
reports, the majority of animals sighted
were dolphins and porpoises since these
species often occur in large schools. For
VS07, this was again true with six
dolphin sightings accounting for 196
animals or 83% of the total estimated
number of animals (196 of 235).
None of the watchstanders reported
any sort of ‘‘observed effect’’ on the
Past Monitoring in the MIRC Study Area
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NMFS has received one monitoring
report addressing MFAS use in the
MIRC. The data contained in the After
Action Report (AAR) have been
considered in developing mitigation and
monitoring measures for the proposed
activities contained in this rule. The
Navy’s AAR may be viewed at: https://
www.nmfs.noaa.gov/pr/permits/
incidental.htm. NMFS has reviewed this
report and has summarized the results,
as related to marine mammal
observations, below.
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marine mammals that were observed in
the ten instances when the sonar was
on.
Post-Exercise Aerial Marine Mammal
Survey
Immediately following the exercise,
an aerial marine mammal survey was
conducted from 13–17 August 2007.
This effort represents one of the first
summer time marine mammal surveys
for the waters south of the Marianas,
and was conducted by experienced,
independent civilian scientists and crew
using NMFS-approved survey protocols.
The first survey day involved
circumnavigating the islands of Guam
and Rota to detect any stranded or near
stranded marine mammals. None were
detected on or near coastlines.
Subsequent line-transect surveys
encompassed approximately 2,352 km
(1270 nautical miles) of linear effort,
with transect grids distributed randomly
throughout a 163,300 km2 (63,050
miles2) area. A total of 8 sightings were
recorded during the five-day period
including seven cetacean and one
unidentified turtle species. Cetacean
species sighted included a Bryde’s
whale (Balaenoptera edeni), a Cuvier’s
beaked whale (Ziphius cavirostris),
spotted dolphins (Stenella attenuata),
pygmy or dwarf sperm whale (Kogia
spp.), rough-toothed dolphins (Steno
bredanensis) and two sightings of
unidentified dolphin species. No
unusual behavior was detected. More
information regarding the findings of
these aerial surveys may be found in
Appendix B of the VS 07 Monitoring
report, which is posted on the NMFS
Web site, at: https://www.nmfs.noaa.gov/
pr/permits/incidental.htm.
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General Conclusions Drawn From
Review of Monitoring Reports
Because NMFS has received only one
monitoring report from sonar training in
the MIRC Study Area, it is difficult to
draw biological conclusions. However,
NMFS can draw some general
conclusions from the content of the
monitoring reports:
(a) Data from watchstanders is
generally useful to indicate the presence
or absence of marine mammals within
the safety zones (and sometimes
without) and to document the
implementation of mitigation measures,
but does not provide useful speciesspecific information or behavioral data.
Data gathered by independent observers
can provide very valuable information
at a level of detail not possible with
watchstanders (such as data gathered by
independent, biologist monitors in
Hawaii and submitted to NMFS in a
monitoring report, which indicated the
presence of sub-adult sei whales in the
Hawaiian Islands in fall, potentially
indicating the use of the area for
breeding).
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(b) Though it is by no means
conclusory, it is worth noting that no
instances of obvious behavioral
disturbance were observed by the Navy
watchstanders. Of course, these
observations only cover the animals that
were at the surface (or slightly below in
the case of aerial surveys) and within
the distance that the observers can see
with the big-eye binoculars or from the
aircraft.
(c) NMFS and the Navy need to more
carefully designate what information
should be gathered during monitoring,
as some reports contain different
information, making cross-report
comparisons difficult. This issue is
currently being considered in the
development of the ICMP.
Adaptive Management
The final regulations governing the
take of marine mammals incidental to
Navy training exercises in the MIRC will
contain an adaptive management
component. Our understanding of the
effects of MFAS/HFAS and explosives
on marine mammals is still in its
relative infancy, and yet the science in
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this field is evolving fairly quickly.
These circumstances make the inclusion
of an adaptive management component
both valuable and necessary within the
context of 5-year regulations for
activities that have been associated with
marine mammal mortality in certain
circumstances and locations (though not
the MIRC in the Navy’s over 60 years of
use of the area for sonar testing and
training). The use of adaptive
management will allow NMFS to
consider new information from different
sources to determine (with input from
the Navy regarding practicability) on an
annual basis if mitigation or monitoring
measures should be modified (including
additions or deletions) if new data
suggest that such modifications are
appropriate for subsequent annual
LOAs.
Following are some of the possible
sources of applicable data:
• Results from the Navy’s monitoring
from the previous year (either from
MIRC or other locations).
• Findings of the Workshop that the
Navy will convene in 2011 to analyze
monitoring results to date, review
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current science, and recommend
modifications, as appropriate to the
monitoring protocols to increase
monitoring effectiveness.
• Compiled results of Navy funded
research and development (R&D) studies
(presented pursuant to the ICMP, which
is discussed elsewhere in this
document).
• Results from specific stranding
investigations (either from MIRC or
other locations, and involving
coincident MFAS/HFAS or explosives
training or not involving coincident
use).
• Results from the Long Term
Prospective Study described above.
• Results from general marine
mammal and sound research.
• Any information which reveals that
marine mammals may have been taken
in a manner, extent or number not
authorized by these regulations or
subsequent Letters of Authorization.
Mitigation measures could be
modified, added, or deleted if new
information suggests that such
modifications would have a reasonable
likelihood of accomplishing the goals of
mitigation laid out in this proposed rule
and if the measures are practicable.
NMFS would also coordinate with the
Navy to modify, add, or delete the
existing monitoring requirements if the
new data suggest that the addition of (or
deletion of) a particular measure would
more effectively accomplish the goals of
monitoring laid out in this proposed
rule. The reporting requirements
associated with this proposed rule are
designed to provide NMFS with
monitoring data from the previous year
to allow NMFS to consider the data and
issue annual LOAs. NMFS and the Navy
will meet annually, prior to LOA
issuance, to discuss the monitoring
reports, Navy R&D developments, and
current science and whether mitigation
or monitoring modifications are
appropriate.
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Reporting
In order to issue an ITA for an
activity, Section 101(a)(5)(A) of the
MMPA states that NMFS must set forth
‘‘requirements pertaining to the
monitoring and reporting of such
taking’’. Effective reporting is critical
both to compliance as well as ensuring
that the most value is obtained from the
required monitoring. Proposed reporting
requirements may be modified,
removed, or added based on information
or comments received during the public
comment period. Currently, there are
several different reporting requirements
pursuant to these proposed regulations:
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General Notification of Injured or Dead
Marine Mammals
Navy personnel will ensure that
NMFS is notified immediately (see
Communication Plan) or as soon as
clearance procedures allow if an
injured, stranded, or dead marine
mammal is found during or shortly
after, and in the vicinity of, any Navy
training exercise utilizing MFAS, HFAS,
or underwater explosive detonations.
The Navy will provide NMFS with
species or description of the animal(s),
the condition of the animal(s) (including
carcass condition if the animal is dead),
location, time of first discovery,
observed behaviors (if alive), and photo
or video (if available). The MIRC
Stranding Response Plan contains more
specific reporting requirements for
specific circumstances.
In the event that an injured, stranded,
or dead marine mammal is found by the
Navy that is not in the vicinity of, or
found during or shortly after MFAS,
HFAS, or underwater explosive
detonations, the Navy will report the
same information as listed above as
soon as operationally feasible and
clearance procedures allow.
General Notification of a Ship Strike
In the event of a ship strike by any
Navy vessel, at any time or place, the
Navy shall do the following:
• Immediately report to NMFS the
species identification (if known),
location (lat/long) of the animal (or the
strike if the animal has disappeared),
and whether the animal is alive or dead
(or unknown).
• Report to NMFS as soon as
operationally feasible the size and
length of animal, an estimate of the
injury status (e.g., dead, injured but
alive, injured and moving, unknown,
etc.), vessel class/type and operational
status.
• Report to NMFS the vessel length,
speed, and heading as soon as feasible.
• Provide NMFS a photo or video, if
equipment is available.
Annual MIRC Monitoring Plan Report
The Navy shall submit a report
annually on November 15 describing the
implementation and results (through
September 15 of the same year) of the
MIRC Monitoring Plan, described above.
Data collection methods will be
standardized across range complexes to
allow for comparison in different
geographic locations. Although
additional information will also be
gathered, the marine mammal observers
(MMOs) collecting marine mammal data
pursuant to the MIRC Monitoring Plan
shall, at a minimum, provide the same
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marine mammal observation data
required in the MFAS/HFAS major
Training Exercises section of the Annual
MIRC Exercise Report referenced below.
The MIRC Monitoring Plan Report
may be provided to NMFS within a
larger report that includes the required
Monitoring Plan Reports from multiple
Range Complexes.
Annual MIRC Exercise Report
The Navy will submit an Annual
MIRC Report on November 15 of every
year (covering data gathered through
September 15). This report shall contain
the subsections and information
indicated below.
MFAS/HFAS Major Training Exercises
This section shall contain the
following information for the following
Coordinated and Strike Group exercises,
which for simplicity will be referred to
as major training exercises for reporting
(MTERs): Joint Multi-strike Group
Exercises; Joint Expeditionary Exercises;
and Marine Air Ground Task Force
MIRC:
(a) Exercise Information (for each
MTER):
(i) Exercise designator.
(ii) Date that exercise began and
ended.
(iii) Location.
(iv) Number and types of active
sources used in the exercise.
(v) Number and types of passive
acoustic sources used in exercise.
(vi) Number and types of vessels,
aircraft, etc., participating in exercise.
(vii) Total hours of observation by
watchstanders.
(viii) Total hours of all active sonar
source operation.
(ix) Total hours of each active sonar
source (along with explanation of how
hours are calculated for sources
typically quantified in alternate way
(buoys, torpedoes, etc.)).
(x) Wave height (high, low, and
average during exercise).
(b) Individual marine mammal
sighting info (for each sighting in each
MTER):
(i) Location of sighting.
(ii) Species (if not possible—
indication of whale/dolphin/pinniped).
(iii) Number of individuals.
(iv) Calves observed (y/n).
(v) Initial Detection Sensor.
(vi) Indication of specific type of
platform observation made from
(including, for example, what type of
surface vessel, i.e., FFG, DDG, or CG).
(vii) Length of time observers
maintained visual contact with marine
mammal(s).
(viii) Wave height (in feet).
(ix) Visibility.
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(x) Sonar source in use (y/n).
(xi) Indication of whether animal is
<200yd, 200–500yd, 500–1000yd, 1000–
2000yd, or >2000yd from sonar source
in (x) above.
(xiii) Mitigation Implementation—
Whether operation of sonar sensor was
delayed, or sonar was powered or shut
down, and how long the delay was.
(xiv) If source in use (x) is
hullmounted, true bearing of animal
from ship, true direction of ship’s travel,
and estimation of animal’s motion
relative to ship (opening, closing,
parallel).
(xv) Observed behavior—
Watchstanders shall report, in plain
language and without trying to
categorize in any way, the observed
behavior of the animals (such as animal
closing to bow ride, paralleling course/
speed, floating on surface and not
swimming, etc.).
(c) An evaluation (based on data
gathered during all of the MTERs) of the
effectiveness of mitigation measures
designed to avoid exposing marine
mammals to MFAS. This evaluation
shall identify the specific observations
that support any conclusions the Navy
reaches about the effectiveness of the
mitigation.
ASW Summary
This section shall include the
following information as summarized
from non-major training exercises (unitlevel exercises, such as TRACKEXs):
(a) Total Hours—Total annual hours
of each type of sonar source (along with
explanation of how hours are calculated
for sources typically quantified in
alternate way (buoys, torpedoes, etc.)).
(b) Cumulative Impacts—To the
extent practicable, the Navy, in
coordination with NMFS, shall develop
and implement a method of annually
reporting non-major training (i.e., ULT)
utilizing hull-mounted sonar. The report
shall present an annual (and seasonal,
where practicable) depiction of nonmajor training exercises geographically
across MIRC. The Navy shall include (in
the MIRC annual report) a brief annual
progress update on the status of the
development of an effective and
unclassified method to report this
information until an agreed-upon (with
NMFS) method has been developed and
implemented.
Sonar Exercise Notification
The Navy shall submit to the NMFS
Office of Protected Resources (specific
contact information to be provided in
LOA) either an electronic (preferably) or
verbal report within fifteen calendar
days after the completion of any MTER
indicating:
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(1) Location of the exercise.
(2) Beginning and end dates of the
exercise.
(3) Type of exercise.
Improved Extended Echo-Ranging
System (IEER)/Advanced Extended
Echo-Ranging System (AEER) Summary
This section shall include an annual
summary of the following IEER and
AEER information:
(i) Total number of IEER and AEER
events conducted in MIRC Study Area.
(ii) Total expended/detonated rounds
(buoys).
(iii) Total number of self-scuttled
IEER rounds.
Sinking Exercises (SINKEXs)
This section shall include the
following information for each SINKEX
completed that year:
(a) Exercise information:
(i) Location
(ii) Date and time exercise began and
ended
(iii) Total hours of observation by
watchstanders before, during, and after
exercise
(iv) Total number and types of rounds
expended/explosives detonated
(v) Number and types of passive
acoustic sources used in exercise
(vi) Total hours of passive acoustic
search time
(vii) Number and types of vessels,
aircraft, etc., participating in exercise
(viii) Wave height in feet (high, low
and average during exercise)
(ix) Narrative description of sensors
and platforms utilized for marine
mammal detection and timeline
illustrating how marine mammal
detection was conducted
(b) Individual marine mammal
observation during SINKEX (by Navy
lookouts) information:
(i) Location of sighting
(ii) Species (if not possible—
indication of whale/dolphin/pinniped)
(iii) Number of individuals
(iv) Calves observed (y/n)
(v) Initial detection sensor
(vi) Length of time observers
maintained visual contact with marine
mammal
(vii) Wave height
(viii) Visibility
(ix) Whether sighting was before,
during, or after detonations/exercise,
and how many minutes before or after
(x) Distance of marine mammal from
actual detonations (or target spot if not
yet detonated)—use four categories to
define distance: (1) The modeled injury
threshold radius for the largest
explosive used in that exercise type in
that OPAREA (426 m for SINKEX in
MIRC); (2) the required exclusion zone
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(1 nm for SINKEX in MIRC); (3) the
required observation distance (if
different than the exclusion zone (2 nm
for SINKEX in MIRC); and (4) greater
than the required observed distance. For
example, in this case, the observer
would indicate if < 426 m, from 426 m–
1 nm, from 1 nm–2 nm, and > 2 nm.
(xi) Observed behavior—
Watchstanders will report, in plain
language and without trying to
categorize in any way, the observed
behavior of the animals (such as animal
closing to bow ride, paralleling course/
speed, floating on surface and not
swimming etc.), including speed and
direction.
(xii) Resulting mitigation
implementation—Indicate whether
explosive detonations were delayed,
ceased, modified, or not modified due to
marine mammal presence and for how
long.
(xiii) If observation occurs while
explosives are detonating in the water,
indicate munitions type in use at time
of marine mammal detection.
Explosives Summary
The Navy is in the process of
improving the methods used to track
explosive use to provide increased
granularity. To the extent practicable,
the Navy will provide the information
described below for all of their
explosive exercises. Until the Navy is
able to report in full the information
below, they will provide an annual
update on the Navy’s explosive tracking
methods, including improvements from
the previous year.
(a) Total annual number of each type
of explosive exercise (of those identified
as part of the ‘‘specified activity’’ in this
final rule) conducted in MIRC
(b) Total annual expended/detonated
rounds (missiles, bombs, etc.) for each
explosive type
MIRC 5-Yr Comprehensive Report
The Navy shall submit to NMFS a
draft report that analyzes and
summarizes all of the multi-year marine
mammal information gathered during
ASW and explosive exercises for which
annual reports are required (Annual
MIRC Exercise Reports and MIRC
Monitoring Plan Reports). This report
will be submitted at the end of the
fourth year of the rule (November 2013),
covering activities that have occurred
through July15, 2014.
Comprehensive National ASW Report
By June, 2014, the Navy shall submit
a draft National Report that analyzes,
compares, and summarizes the active
sonar data gathered (through January 1,
2014) from the watchstanders and
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pursuant to the implementation of the
Monitoring Plans for the Northwest
Training Range Complex, the Southern
California Range Complex, the Atlantic
Fleet Active Sonar Training, the Hawaii
Range Complex, the Mariana Islands
Range Complex, and the Gulf of Alaska.
The Navy shall respond to NMFS
comments and requests for additional
information or clarification on the MIRC
Range Complex Comprehensive Report,
the Comprehensive National ASW
report, the Annual MIRC Range
Complex Exercise Report, or the Annual
MIRC Range Complex Monitoring Plan
Report (or the multi-Range Complex
Annual Monitoring Plan Report, if that
is how the Navy chooses to submit the
information) if submitted within 3
months of receipt. These reports will be
considered final after the Navy has
adequately addressed NMFS’ comments
or provided the requested information,
or three months after the submittal of
the draft if NMFS does not comment by
then.
Estimated Take of Marine Mammals
As mentioned previously, one of the
main purposes of NMFS’ effects
assessments is to identify the
permissible methods of taking, meaning:
The nature of the take (e.g., resulting
from anthropogenic noise vs. from ship
strike, etc.); the regulatory level of take
(i.e., mortality vs. Level A or Level B
harassment) and the amount of take. In
the Potential Effects of Exposure of
Marine Mammal to MFAS/HFAS and
Underwater Detonations section, NMFS
identified the lethal responses, physical
trauma, sensory impairment (permanent
and temporary threshold shifts and
acoustic masking), physiological
responses (particular stress responses),
and behavioral responses that could
potentially result from exposure to
MFAS/HFAS or underwater explosive
detonations. In this section, we will
relate the potential effects to marine
mammals from MFAS/HFAS and
underwater detonation of explosives to
the MMPA statutory definitions of Level
A and Level B Harassment and attempt
to quantify the effects that might occur
from the specific training activities that
the Navy is proposing in the MIRC.
As mentioned previously, behavioral
responses are context-dependent,
complex, and influenced to varying
degrees by a number of factors other
than just received level. For example, an
animal may respond differently to a
sound emanating from a ship that is
moving towards the animal than it
would to an identical received level
coming from a vessel that is moving
away, or to a ship traveling at a different
speed or at a different distance from the
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animal. At greater distances, though, the
nature of vessel movements could also
potentially not have any effect on the
animal’s response to the sound. In any
case, a full description of the suite of
factors that elicited a behavioral
response would require a mention of the
vicinity, speed and movement of the
vessel, or other factors. So, while sound
sources and the received levels are the
primary focus of the analysis and those
that are laid out quantitatively in the
regulatory text, it is with the
understanding that other factors related
to the training are sometimes
contributing to the behavioral responses
of marine mammals, although they
cannot be quantified.
Definition of Harassment
As mentioned previously, with
respect to military readiness activities,
Section 3(18)(B) of the MMPA defines
‘‘harassment’’ as: (i) Any act that injures
or has the significant potential to injure
a marine mammal or marine mammal
stock in the wild [Level A Harassment];
or (ii) any act that disturbs or is likely
to disturb a marine mammal or marine
mammal stock in the wild by causing
disruption of natural behavioral
patterns, including, but not limited to,
migration, surfacing, nursing, breeding,
feeding, or sheltering, to a point where
such behavioral patterns are abandoned
or significantly altered [Level B
Harassment].
Level B Harassment
Of the potential effects that were
described in the Potential Effects of
Exposure of Marine Mammal to MFAS/
HFAS and Underwater Detonations
Section, the following are the types of
effects that fall into the Level B
Harassment category:
Behavioral Harassment—Behavioral
disturbance that rises to the level
described in the definition above, when
resulting from exposures to MFAS/
HFAS or underwater detonations (or
another stressor), is considered Level B
Harassment. Louder sounds (when other
factors are not considered) are generally
expected to elicit a stronger response.
Some of the lower level physiological
stress responses discussed in the
Potential Effects of Exposure of Marine
Mammal to MFAS/HFAS and
Underwater Detonations Section: Stress
Section will also likely co-occur with
the predicted harassments, although
these responses are more difficult to
detect and fewer data exist relating
these responses to specific received
levels of sound. When Level B
Harassment is predicted based on
estimated behavioral responses, those
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takes may have a stress-related
physiological component as well.
In the effects section above, we
described the Southall et al. (2007)
severity scaling system and listed some
examples of the three broad categories
of behaviors: (0–3: Minor and/or brief
behaviors); 4–6 (Behaviors with higher
potential to affect foraging,
reproduction, or survival); 7–9
(Behaviors considered likely to affect
the aforementioned vital rates).
Generally speaking, MMPA Level B
Harassment, as defined in this
document, would include the behaviors
described in the 7–9 category, and a
subset, dependent on context and other
considerations, of the behaviors
described in the 4–6 categories.
Behavioral harassment would not
typically include behaviors ranked 0–3
in Southall et al. (2007).
Acoustic Masking and
Communication Impairment—The
severity or importance of an acoustic
masking event can vary based on the
length of time that the masking occurs,
the frequency of the masking signal
(which determines which sounds are
masked, which may be of varying
importance to the animal), and other
factors. Some acoustic masking would
be considered Level B Harassment, if it
can disrupt natural behavioral patterns
by interrupting or limiting the marine
mammal’s receipt or transmittal of
important information or environmental
cues.
TTS—As discussed previously, TTS
can disrupt behavioral patterns by
inhibiting an animal’s ability to
communicate with conspecifics and
interpret other environmental cues
important for predator avoidance and
prey capture. However, depending on
the degree (elevation of threshold in
dB), duration (i.e., recovery time), and
frequency range of TTS, and the context
in which it is experienced, TTS can
have effects on marine mammals
ranging from discountable to serious
(similar to those discussed in auditory
masking). For example, a marine
mammal may be able to readily
compensate for a brief, relatively small
amount of TTS in a non-critical
frequency range that takes place during
a time when the animal is traveling
through the open ocean, where ambient
noise is lower and there are not as many
competing sounds present.
Alternatively, a larger amount and
longer duration of TTS sustained during
a time when communication is critical
for successful mother/calf interactions
could have more serious impacts if it
were in the same frequency band as the
necessary vocalizations and of a severity
that it impeded communication.
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The following physiological
mechanisms are thought to play a role
in inducing auditory fatigue: Effects to
sensory hair cells in the inner ear that
reduce their sensitivity, modification of
the chemical environment within the
sensory cells, residual muscular activity
in the middle ear, displacement of
certain inner ear membranes, increased
blood flow, and post-stimulatory
reduction in both efferent and sensory
neural output. Ward (1997) suggested
that when these effects result in TTS
rather than PTS, they are within the
normal bounds of physiological
variability and tolerance and do not
represent a physical injury.
Additionally, Southall et al. (2007)
indicate that although PTS is a tissue
injury, TTS is not, because the reduced
hearing sensitivity following exposure
to intense sound results primarily from
fatigue, not loss, of cochlear hair cells
and supporting structures and is
reversible. Accordingly, NMFS classifies
TTS (when resulting from exposure to
either MFAS/HFAS or underwater
detonations) as Level B Harassment, not
Level A Harassment (injury).
Level A Harassment
Of the potential effects that were
described in the Potential Effects of
Exposure of Marine Mammals to MFAS/
HFAS and Underwater Detonations
Section, following are the types of
effects that fall into the Level A
Harassment category:
PTS—PTS (resulting from either
exposure to MFAS/HFAS or explosive
detonations) is irreversible and
considered an injury. PTS results from
exposure to intense sounds that cause a
permanent loss of inner or outer
cochlear hair cells or exceed the elastic
limits of certain tissues and membranes
in the middle and inner ears and result
in changes in the chemical composition
of the inner ear fluids. Although PTS is
considered an injury, the effects of PTS
on the fitness of an individual can vary
based on the degree of TTS and the
frequency band that it is in.
Tissue Damage Due to Acoustically
Mediated Bubble Growth—A few
theories suggest ways in which gas
bubbles become enlarged through
exposure to intense sounds (MFAS/
HFAS) to the point where tissue damage
results. In rectified diffusion, exposure
to a sound field would cause bubbles to
increase in size. A short duration of
active sonar pings (such as that which
an animal exposed to MFAS would be
most likely to encounter) would not
likely be long enough to drive bubble
growth to any substantial size.
Alternately, bubbles could be
destabilized by high-level sound
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exposures such that bubble growth then
occurs through static diffusion of gas
out of the tissues. The degree of
supersaturation and exposure levels
observed to cause microbubble
destabilization are unlikely to occur,
either alone or in concert because of
how close an animal would need to be
to the sound source to be exposed to
high enough levels, especially
considering the likely avoidance of the
sound source and the required
mitigation. Still, possible tissue damage
from either of these processes would be
considered an injury or, potentially,
mortality.
Tissue Damage Due to Behaviorally
Mediated Bubble Growth—Several
authors suggest mechanisms in which
marine mammals could behaviorally
respond to exposure to MFAS/HFAS by
altering their dive patterns in a manner
(unusually rapid ascent, unusually long
series of surface dives, etc.) that might
result in unusual bubble formation or
growth ultimately resulting in tissue
damage (emboli, etc.). In this scenario,
the rate of ascent would need to be
sufficiently rapid to compromise
behavioral or physiological protections
against nitrogen bubble formation.
There is considerable disagreement
among scientists as to the likelihood of
this phenomenon (Piantadosi and
Thalmann, 2004; Evans and Miller,
2003). Although it has been argued that
the tissue effects observed from recent
beaked whale strandings are consistent
with gas emboli and bubble-induced
tissue separations (Jepson et al., 2003;
Fernandez et al., 2005, Tyack et al.,
2006), nitrogen bubble formation as the
cause of the traumas has not been
verified. If tissue damage does occur by
this phenomenon, it would be
considered an injury or, potentially,
mortality.
Physical Disruption of Tissues
Resulting From Explosive Shock
Wave—Physical damage of tissues
resulting from a shock wave (from an
explosive detonation) is classified as an
injury. Blast effects are greatest at the
gas-liquid interface (Landsberg, 2000)
and gas-containing organs, particularly
the lungs and gastrointestinal tract, are
especially susceptible (Goertner, 1982;
Hill 1978; Yelverton et al., 1973). Nasal
sacs, larynx, pharynx, trachea, and
lungs may be damaged by compression/
expansion caused by the oscillations of
the blast gas bubble (Reidenberg and
Laitman, 2003). Severe damage (from
the shock wave) to the ears can include
tympanic membrane rupture, fracture of
the ossicles, damage to the cochlea,
hemorrhage, and cerebrospinal fluid
leakage into the middle ear.
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Vessel Strike, Ordnance Strike,
Entanglement—Although not
anticipated (or authorized) to occur,
vessel strike, ordnance strike, or
entanglement in materials associated
with the specified action are considered
Level A Harassment or mortality.
Acoustic Take Criteria
For the purposes of an MMPA
incidental take authorization, three
types of take are identified: Level B
Harassment; Level A Harassment; and
mortality (or serious injury leading to
mortality). The categories of marine
mammal responses (physiological and
behavioral) that fall into the two
harassment categories were described in
the previous section.
Because the physiological and
behavioral responses of the majority of
the marine mammals exposed to MFAS/
HFAS and underwater detonations
cannot be detected or measured
(because, e.g., not all responses are
visible external to animal, a portion of
exposed animals are underwater, many
animals are located many miles from
observers and covering very large area,
etc.) and because NMFS must authorize
take prior to the impacts to marine
mammals, a method is needed to
estimate the number of individuals that
will be taken, pursuant to the MMPA,
based on the proposed action. To this
end, NMFS developed acoustic criteria
that estimate at what received level
(when exposed to MFAS/HFAS or
explosive detonations) Level B
Harassment, Level A Harassment, and
mortality (for explosives) of marine
mammals would occur. The acoustic
criteria for MFAS/HFAS and
Underwater Detonations (IEER) are
discussed below.
MFAS/HFAS Acoustic Criteria
Because relatively few applicable data
exist to support acoustic criteria
specifically for HFAS and because such
a small percentage of the active sonar
pings that marine mammals will likely
be exposed to incidental to this activity
come from a HFAS source (the vast
majority come from MFAS sources),
NMFS will apply the criteria developed
for the MFAS to the HFAS as well.
NMFS utilizes three acoustic criteria
to assess impacts from MFAS/HFAS:
PTS (injury—Level A Harassment), TTS
(Level B Harassment), and behavioral
harassment (Level B Harassment).
Because there is related quantitative
data, the TTS criterion is a valuable tool
for more specifically identifying the
likely impacts to marine mammals from
MFAS/HFAS, plus the PTS criteria are
extrapolated from it. However, TTS is
simply a subset of level B Harassment—
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the likely ultimate effects of which are
not anticipated to necessarily be any
more severe than the behavioral impacts
that would be expected to occur at the
same received levels. Because the TTS
and PTS criteria are derived similarly
and the PTS criteria are extrapolated
from the TTS data, the TTS and PTS
acoustic criteria will be presented first,
before the behavioral criteria.
For more information regarding these
criteria, please see the Navy’s DEIS for
MIRC.
Level B Harassment Threshold (TTS)
As mentioned above, behavioral
disturbance, acoustic masking, and TTS
are all considered Level B Harassment.
Marine mammals would usually be
behaviorally disturbed at lower received
levels than those at which they would
likely sustain TTS, so the levels at
which behavioral disturbances are likely
to occur are considered the onset of
Level B Harassment. The behavioral
responses of marine mammals to sound
are variable, context specific, and,
therefore, difficult to quantify (see Risk
Function section, below). Conversely,
TTS is a physiological effect that has
been studied and quantified in
laboratory conditions. Because data
exist to support an estimate of the
received levels at which marine
mammals will incur TTS, NMFS uses an
acoustic criterion to estimate the
number of marine mammals that might
sustain TTS. TTS is a subset of Level B
Harassment.
A number of investigators have
measured TTS in marine mammals.
These studies measured hearing
thresholds in trained marine mammals
before and after exposure to intense
sounds. The existing cetacean TTS data
are summarized in the following bullets.
• Schlundt et al. (2000) reported the
results of TTS experiments conducted
with 5 bottlenose dolphins and 2
belugas exposed to 1-second tones. This
paper also includes a reanalysis of
preliminary TTS data released in a
technical report by Ridgway et al.
(1997). At frequencies of 3, 10, and 20
kHz, sound pressure levels (SPLs)
necessary to induce measurable
amounts (6 dB or more) of TTS were
between 192 and 201 dB re 1 μPa (EL
= 192 to 201 dB re 1 μPa2-s). The mean
exposure SPL and EL for onset-TTS
were 195 dB re
1 μPa and 195 dB re 1 μPa2-s,
respectively.
• Finneran et al. (2001, 2003, 2005)
described TTS experiments conducted
with bottlenose dolphins exposed to 3kHz tones with durations of 1, 2, 4, and
8 seconds. Small amounts of TTS (3 to
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6 dB) were observed in one dolphin
after exposure to ELs between 190 and
204 dB re 1 μPa2-s. These results were
consistent with the data of Schlundt et
al. (2000) and showed that the Schlundt
et al. (2000) data were not significantly
affected by the masking sound used.
These results also confirmed that, for
tones with different durations, the
amount of TTS is best correlated with
the exposure EL rather than the
exposure SPL.
• Nachtigall et al. (2003) measured
TTS in a bottlenose dolphin exposed to
octave-band sound centered at 7.5 kHz.
Nachtigall et al. (2003a) reported TTSs
of about 11 dB measured 10 to 15
minutes after exposure to 30 to 50
minutes of sound with SPL 179 dB re
1 μPa (EL about 213 dB re μPa2-s). No
TTS was observed after exposure to the
same sound at 165 and 171 dB re 1 μPa.
Nachtigall et al. (2004) reported TTSs of
around 4 to 8 dB 5 minutes after
exposure to 30 to 50 minutes of sound
with SPL 160 dB re 1 μPa (EL about 193
to 195 dB re 1 μPa2-s). The difference in
results was attributed to faster postexposure threshold measurement—TTS
may have recovered before being
detected by Nachtigall et al. (2003).
These studies showed that, for longduration exposures, lower sound
pressures are required to induce TTS
than are required for short-duration
tones.
• Finneran et al. (2000, 2002)
conducted TTS experiments with
dolphins and belugas exposed to
impulsive sounds similar to those
produced by distant underwater
explosions and seismic waterguns.
These studies showed that, for very
short-duration impulsive sounds, higher
sound pressures were required to
induce TTS than for longer-duration
tones.
• Finneran et al. (2007) conducted
TTS experiments with bottlenose
dolphins exposed to intense 20 kHz
fatiguing tone. Behavioral and auditory
evoked potentials (using sinusoidal
amplitude modulated tones creating
auditory steady state response [AASR])
were used to measure TTS. The
fatiguing tone was either 16 (mean = 193
re 1μPa, SD = 0.8) or 64 seconds (185–
186 re 1μPa) in duration. TTS ranged
from 19–33dB from behavioral
measurements and 40–45dB from ASSR
measurements.
• Kastak et al. (1999a, 2005)
conducted TTS experiments with three
species of pinnipeds, California sea lion,
northern elephant seal and a Pacific
harbor seal, exposed to continuous
underwater sounds at levels of 80 and
95 dB sensation level at 2.5 and 3.5 kHz
for up to 50 minutes. Mean TTS shifts
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of up to 12.2 dB occurred with the
harbor seals showing the largest shift of
28.1 dB. Increasing the sound duration
had a greater effect on TTS than
increasing the sound level from 80 to 95
dB.
Some of the more important data
obtained from these studies are onsetTTS levels (exposure levels sufficient to
cause a just-measurable amount of TTS)
often defined as 6 dB of TTS (for
example, Schlundt et al., 2000) and the
fact that energy metrics (sound exposure
levels (SEL), which include a duration
component) better predict when an
animal will sustain TTS than pressure
(SPL) alone. NMFS’ TTS criterion
(which indicates the received level at
which onset TTS (>6dB) is induced) for
MFAS/HFAS and cetaceans is 195 dB re
1 μPa2-s (based on mid-frequency
cetaceans—no published data exist on
auditory effects of noise in low- or highfrequency cetaceans (Southall et al.
(2007)).
A detailed description of how this
TTS criterion was derived from the
results of the above studies may be
found in Chapter 3 of Southall et al.
(2007), as well as the Navy’s MIRC LOA
application.
Level A Harassment Threshold (PTS)
For acoustic effects, because the
tissues of the ear appear to be the most
susceptible to the physiological effects
of sound, and because threshold shifts
tend to occur at lower exposures than
other more serious auditory effects,
NMFS has determined that PTS is the
best indicator for the smallest degree of
injury that can be measured. Therefore,
the acoustic exposure associated with
onset-PTS is used to define the lower
limit of the Level A harassment.
PTS data do not currently exist for
marine mammals and are unlikely to be
obtained due to ethical concerns.
However, PTS levels for these animals
may be estimated using TTS data from
marine mammals and relationships
between TTS and PTS that have been
discovered through study of terrestrial
mammals. NMFS uses the following
acoustic criterion for injury of
cetaceans: 215 dB re 1 μPa2-s (based on
mid-frequency cetaceans—no published
data exist on auditory effects of noise in
low- or high-frequency cetaceans
(Southall et al. (2007)).
This criterion is based on a 20 dB
increase in SEL over that required for
onset-TTS. Extrapolations from
terrestrial mammal data indicate that
PTS occurs at 40 dB or more of TS, and
that TS growth occurs at a rate of
approximately 1.6 dB TS per dB
increase in EL. There is a 34-dB TS
difference between onset-TTS (6 dB)
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and onset-PTS (40 dB). Therefore, an
animal would require approximately
20dB of additional exposure (34 dB
divided by 1.6 dB) above onset-TTS to
reach PTS. A detailed description of
how TTS criteria were derived from the
results of the above studies may be
found in Chapter 3 of Southall et al.
(2007), as well as the Navy’s MIRC LOA
application. Southall et al. (2007)
recommend a precautionary dual
criteria for TTS (230 dB re 1 μPa (SPL
peak pressure) in addition to 215 dB re
1 μPa2-s (SEL)) to account for the
potentially damaging transients
embedded within non-pulse exposures.
However, in the case of MFAS/HFAS,
the distance at which an animal would
receive 215 dB (SEL) is farther from the
source (i.e., more conservative) than the
distance at which they would receive
230 dB (SPL peak pressure) and
therefore, it is not necessary to consider
230 dB peak.
We note here that behaviorally
mediated injuries (such as those that
have been hypothesized as the cause of
some beaked whale strandings) could
potentially occur in response to
received levels lower than those
believed to directly result in tissue
damage. As mentioned previously, data
to support a quantitative estimate of
these potential effects (for which the
exact mechanism is not known and in
which factors other than received level
may play a significant role) do not exist.
However, based on the number of years
(more than 60) and number of hours of
MFAS per year that the U.S. (and other
countries) has operated compared to the
reported (and verified) cases of
associated marine mammal strandings,
NMFS believes that the probability of
these types of injuries is very low.
Level B Harassment Risk Function
(Behavioral Harassment)
In 2006, NMFS issued the first MMPA
authorization to allow the take of
marine mammals incidental to MFAS
(to the Navy for the Rim of the Pacific
Exercises (RIMPAC)). For that
authorization, NMFS used 173 dB SEL
as the criterion for the onset of
behavioral harassment (Level B
Harassment). This type of single number
criterion is referred to as a step function,
in which (in this example) all animals
estimated to be exposed to received
levels above 173 db SEL would be
predicted to be taken by Level B
Harassment and all animals exposed to
less than 173dB SEL would not be taken
by Level B Harassment. As mentioned
previously, marine mammal behavioral
responses to sound are highly variable
and context specific (affected by
differences in acoustic conditions;
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differences between species and
populations; differences in gender, age,
reproductive status, or social behavior;
or the prior experience of the
individuals), which does not support
the use of a step function to estimate
behavioral harassment.
Unlike step functions, acoustic risk
continuum functions (which are also
called ‘‘exposure-response functions,’’
‘‘dose-response functions,’’ or ‘‘stressresponse functions’’ in other risk
assessment contexts) allow for
probability of a response that NMFS
would classify as harassment to occur
over a range of possible received levels
(instead of one number) and assume that
the probability of a response depends
first on the ‘‘dose’’ (in this case, the
received level of sound) and that the
probability of a response increases as
the ‘‘dose’’ increases (see Figure 1a). In
January, 2009, NMFS issued 3 final
rules governing the incidental take of
marine mammals (Navy’s Hawaii Range
Complex, Southern California Range
Complex, and Atlantic Fleet Active
Sonar Training) that used a risk
continuum to estimate the percent of
marine mammals exposed to various
levels of MFAS that would respond in
a manner NMFS considers harassment.
The Navy and NMFS have previously
used acoustic risk functions to estimate
the probable responses of marine
mammals to acoustic exposures for
other training and research programs.
Examples of previous application
include the Navy FEISs on the
SURTASS LFA sonar (U.S. Department
of the Navy, 2001c); the North Pacific
Acoustic Laboratory experiments
conducted off the Island of Kauai (Office
of Naval Research, 2001), and the
Supplemental EIS for SURTASS LFA
sonar (U.S. Department of the Navy,
2007d). As discussed in the Effects
section, factors other than received level
(such as distance from or bearing to the
sound source) can affect the way that
marine mammals respond; however,
data to support a quantitative analysis of
those (and other factors) do not
currently exist. NMFS will continue to
modify these criteria as new data that
meet NMFS standards of quality become
available and can be appropriately and
effectively incorporated.
The particular acoustic risk functions
developed by NMFS and the Navy (see
Figures 1a and 1b) estimate the
probability of behavioral responses to
MFAS/HFAS (interpreted as the
percentage of the exposed population)
that NMFS would classify as harassment
for the purposes of the MMPA given
exposure to specific received levels of
MFAS/HFAS. The mathematical
function (below) underlying this curve
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is a cumulative probability distribution
adapted from a solution in Feller (1968)
and was also used in predicting risk for
the Navy’s SURTASS LFA MMPA
authorization as well.
−A
⎛ L−B⎞
1− ⎜
⎟
⎝ K ⎠
R=
−2 A
⎛ L−B⎞
1− ⎜
⎟
⎝ K ⎠
Where:
R = Risk (0–1.0)
L = Received level (dB re:
1 μPa)
B = Basement received level = 120 dB re:
1 μPa
K = Received level increment above B where
50% risk = 45 dB re:
1 μPa
A = Risk transition sharpness parameter = 10
(odontocetes and pinnipeds) or
8 (mysticetes)
In order to use this function to
estimate the percentage of an exposed
population that would respond in a
manner that NMFS classifies as Level B
Harassment, based on a given received
level, the values for B, K and A need to
be identified.
B Parameter (Basement)—The B
parameter is the estimated received
level below which the probability of
disruption of natural behavioral
patterns, such as migration, surfacing,
nursing, breeding, feeding, or sheltering,
to a point where such behavioral
patterns are abandoned or significantly
altered approaches zero for the MFAS/
HFAS risk assessment. At this received
level, the curve would predict that the
percentage of the exposed population
that would be taken by Level B
Harassment approaches zero. For
MFAS/HFAS, NMFS has determined
that B = 120 dB. This level is based on
a broad overview of the levels at which
many species have been reported
responding to a variety of sound
sources.
K Parameter (representing the 50
percent Risk Point)—The K parameter is
based on the received level that
corresponds to 50% risk, or the received
level at which we believe 50% of the
animals exposed to the designated
received level will respond in a manner
that NMFS classifies as Level B
Harassment. The K parameter (K = 45
dB) is based on three data sets in which
marine mammals exposed to midfrequency sound sources were reported
to respond in a manner that NMFS
would classify as Level B Harassment.
There is widespread consensus that
marine mammal responses to MFA
sound signals need to be better defined
using controlled exposure experiments
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(Cox et al., 2006; Southall et al., 2007).
The Navy is contributing to an ongoing
3-Phase behavioral response study in
the Bahamas that is expected to provide
some initial information on beaked
whales, the species identified as the
most sensitive to MFAS. NMFS is
leading this international effort with
scientists from various academic
institutions and research organizations
to conduct studies on how marine
mammals respond to underwater sound
exposures. The results from Phase 1 of
this study are discussed in the Potential
Effects of Specified Activities on Marine
Mammals section and the results from
Phase 2 are expected to be available in
late 2009. Phase 3 was conducted in the
Mediterranean Sea in the summer of
2009. Additionally, the Navy recently
tagged whales in conjunction with the
2008 RIMPAC exercises; however,
analyses of these data are not yet
complete. Until additional appropriate
data are available, however, NMFS and
the Navy have determined that the
following three data sets are most
applicable for the direct use in
establishing the K parameter for the
MFAS/HFAS risk function. These data
sets, summarized below, represent the
only known data that specifically relate
altered behavioral responses (that NMFS
would consider Level B Harassment) to
exposure—at specific received levels—
to MFAS and sources within or having
components within the range of MFAS
(1–10 kHz).
Even though these data are considered
the most representative of the proposed
specified activities, and therefore the
most appropriate on which to base the
K parameter (which basically
determines the midpoint) of the risk
function, these data have limitations,
which are discussed in Appendix D of
the Navy’s DEIS for MIRC.
1. Controlled Laboratory Experiments
With Odontocetes (SSC Dataset)—Most
of the observations of the behavioral
responses of toothed whales resulted
from a series of controlled experiments
on bottlenose dolphins and beluga
whales conducted by researchers at
SSC’s facility in San Diego, California
(Finneran et al., 2001, 2003, 2005;
Finneran and Schlundt, 2004; Schlundt
et al., 2000). In experimental trials
(designed to measure TTS) with marine
mammals trained to perform tasks when
prompted, scientists evaluated whether
the marine mammals still performed
these tasks when exposed to midfrequency tones. Altered behavior
during experimental trials usually
involved refusal of animals to return to
the site of the sound stimulus but also
included attempts to avoid an exposure
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in progress, aggressive behavior, or
refusal to further participate in tests.
Finneran and Schlundt (2004)
examined behavioral observations
recorded by the trainers or test
coordinators during the Schlundt et al.
(2000) and Finneran et al. (2001, 2003,
2005) experiments. These included
observations from 193 exposure sessions
(fatiguing stimulus level > 141 dB re
1μPa) conducted by Schlundt et al.
(2000) and 21 exposure sessions
conducted by Finneran et al. (2001,
2003, 2005). The TTS experiments that
supported Finneran and Schlundt
(2004) are further explained below:
• Schlundt et al. (2000) provided a
detailed summary of the behavioral
responses of trained marine mammals
during TTS tests conducted at SSC San
Diego with 1-sec tones and exposure
frequencies of 0.4 kHz, 3 kHz, 10 kHz,
20 kHz and 75 kHz. Schlundt et al.
(2000) reported eight individual TTS
experiments. The experiments were
conducted in San Diego Bay. Because of
the variable ambient noise in the bay,
low-level broadband masking noise was
used to keep hearing thresholds
consistent despite fluctuations in the
ambient noise. Schlundt et al. (2000)
reported that ‘‘behavioral alterations,’’
or deviations from the behaviors the
animals being tested had been trained to
exhibit, occurred as the animals were
exposed to increasing fatiguing stimulus
levels.
• Finneran et al. (2001, 2003, 2005)
conducted 2 separate TTS experiments
using 1-sec tones at 3 kHz. The test
methods were similar to that of
Schlundt et al. (2000) except the tests
were conducted in a pool with very low
ambient noise level (below 50 dB re 1
μPa2/hertz [Hz]), and no masking noise
was used. In the first, fatiguing sound
levels were increased from 160 to 201
dB SPL. In the second experiment,
fatiguing sound levels between 180 and
200 dB SPL were randomly presented.
Bottlenose dolphins exposed to 1second (sec) intense tones exhibited
short-term changes in behavior above
received sound levels of 178 to 193 dB
re 1 μPa (rms), and beluga whales did
so at received levels of 180 to 196 dB
and above.
2. Mysticete Field Study (Nowacek et
al., 2004)—The only available and
applicable data relating mysticete
responses to exposure to mid-frequency
sound sources is from Nowacek et al.
(2004). Nowacek et al. (2004)
documented observations of the
behavioral response of North Atlantic
right whales exposed to alert stimuli
containing mid-frequency components
in the Bay of Fundy. Investigators used
archival digital acoustic recording tags
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(DTAG) to record the behavior (by
measuring pitch, roll, heading, and
depth) of right whales in the presence
of an alert signal, and to calibrate
received sound levels. The alert signal
was 18 minutes of exposure consisting
of three 2-minute signals played
sequentially three times over. The three
signals had a 60% duty cycle and
consisted of: (1) Alternating 1-sec pure
tones at 500 Hz and 850 Hz; (2) a 2-sec
logarithmic down-sweep from 4,500 Hz
to 500 Hz; and (3) a pair of low (1,500
Hz)-high (2,000 Hz) sine wave tones
amplitude modulated at 120 Hz and
each 1-sec long. The purposes of the
alert signal were (a) to pique the
mammalian auditory system with
disharmonic signals that cover the
whales’ estimated hearing range; (b) to
maximize the signal to noise ratio
(obtain the largest difference between
background noise) and (c) to provide
localization cues for the whale. The
maximum source level used was 173 dB
SPL.
Nowacek et al. (2004) reported that
five out of six whales exposed to the
alert signal with maximum received
levels ranging from 133 to 148 dB re
1 μPa significantly altered their regular
behavior and did so in identical fashion.
Each of these five whales: (i)
Abandoned their current foraging dive
prematurely as evidenced by curtailing
their ‘bottom time’; (ii) executed a
shallow-angled, high power (i.e.
significantly increased fluke stroke rate)
ascent; (iii) remained at or near the
surface for the duration of the exposure,
an abnormally long surface interval; and
(iv) spent significantly more time at
subsurface depths (1–10 m) compared
with normal surfacing periods when
whales normally stay within 1 m (1.1
yd) of the surface.
3. Odontocete Field Data (Haro
Strait—USS SHOUP)—In May 2003,
killer whales (Orcinus orca) were
observed exhibiting behavioral
responses generally described as
avoidance behavior while the U.S. Ship
(USS) SHOUP was engaged in MFAS in
the Haro Strait in the vicinity of Puget
Sound, Washington. Those observations
have been documented in three reports
developed by Navy and NMFS (NMFS,
2005; Fromm, 2004a, 2004b; DON,
2003). Although these observations were
made in an uncontrolled environment,
the sound field that may have been
associated with the active sonar
operations was estimated using standard
acoustic propagation models that were
verified (for some but not all signals)
based on calibrated in situ
measurements from an independent
researcher who recorded the sounds
during the event. Behavioral
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observations were reported for the group
of whales during the event by an
experienced marine mammal biologist
who happened to be on the water
studying them at the time. The
observations associated with the USS
SHOUP provide the only data set
available of the behavioral responses of
wild, non-captive animal upon actual
exposure to AN/SQS–53 sonar.
U.S. Department of Commerce
(National Marine Fisheries, 2005a); U.S.
Department of the Navy (2004b); Fromm
(2004a, 2004b) documented
reconstruction of sound fields produced
by USS SHOUP associated with the
behavioral response of killer whales
observed in Haro Strait. Observations
from this reconstruction included an
approximate closest approach time
which was correlated to a reconstructed
estimate of received level. Observations
from this reconstruction included an
estimate of 169.3 dB SPL which
represents the mean level at a point of
closest approach within a 500 m wide
area in which the animals were
exposed. Within that area, the estimated
received levels varied from
approximately 150 to 180 dB SPL.
Calculation of K Parameter—NMFS
and the Navy used the mean of the
following values to define the midpoint
of the function: (1) The mean of the
lowest received levels (185.3 dB) at
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which individuals responded with
altered behavior to 3 kHz tones in the
SSC data set; (2) the estimated mean
received level value of 169.3 dB
produced by the reconstruction of the
USS SHOUP incident in which killer
whales exposed to MFAS (range
modeled possible received levels: 150 to
180 dB); and (3) the mean of the 5
maximum received levels at which
Nowacek et al. (2004) observed
significantly altered responses of right
whales to the alert stimuli than to the
control (no input signal) is 139.2 dB
SPL. The arithmetic mean of these three
mean values is 165 dB SPL. The value
of K is the difference between the value
of B (120 dB SPL) and the 50% value
of 165 dB SPL; therefore, K=45.
A Parameter (Steepness)—NMFS
determined that a steepness parameter
(A) = 10 is appropriate for odontocetes
(except harbor porpoises) and pinnipeds
and A = 8 is appropriate for mysticetes.
The use of a steepness parameter of A
= 10 for odontocetes for the MFAS/
HFAS risk function was based on the
use of the same value for the SURTASS
LFA risk continuum, which was
supported by a sensitivity analysis of
the parameter presented in Appendix D
of the SURTASS/LFA FEIS (U.S.
Department of the Navy, 2001c). As
concluded in the SURTASS FEIS/EIS,
the value of A=10 produces a curve that
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has a more gradual transition than the
curves developed by the analyses of
migratory gray whale studies (Malme et
al., 1984; Buck and Tyack, 2000; and
SURTASS LFA Sonar EIS, Subchapters
1.43, 4.2.4.3 and Appendix D, and
National Marine Fisheries Service,
2008).
NMFS determined that a lower
steepness parameter (A = 8), resulting in
a shallower curve, was appropriate for
use with mysticetes and MFAS/HFAS.
The Nowacek et al. (2004) dataset
contains the only data illustrating
mysticete behavioral responses to a
sound source that encompasses
frequencies in the mid-frequency sound
spectrum. A shallower curve (achieved
by using A = 8) better reflects the risk
of behavioral response at the relatively
low received levels at which behavioral
responses of right whales were reported
in the Nowacek et al. (2004) data.
Compared to the odontocete curve, this
adjustment results in an increase in the
proportion of the exposed population of
mysticetes being classified as
behaviorally harassed at lower RLs,
such as those reported in the Novacek
report, and is supported by the only
representative dataset currently
available.
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Basic Application of the Risk
Function—The risk function is used to
estimate the percentage of an exposed
population that is likely to exhibit
behaviors that would qualify as
harassment (as that term is defined by
the MMPA applicable to military
readiness activities, such as the Navy’s
testing and training with MFAS) at a
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given received level of sound. For
example, at 165 dB SPL (dB re: 1μPa
rms), the risk (or probability) of
harassment is defined according to this
function as 50%, and Navy/NMFS
applies that by estimating that 50% of
the individuals exposed at that received
level are likely to respond by exhibiting
behavior that NMFS would classify as
behavioral harassment. The risk
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function is not applied to individual
animals, only to exposed populations.
The data primarily used to produce
the risk function (the K parameter) were
compiled from four species that had
been exposed to sound sources in a
variety of different circumstances. As a
result, the risk function represents a
general relationship between acoustic
exposures and behavioral responses that
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is then applied to specific
circumstances. That is, the risk function
represents a relationship that is deemed
to be generally true, based on the
limited, best-available science, but may
not be true in specific circumstances. In
particular, the risk function, as currently
derived, treats the received level as the
only variable that is relevant to a marine
mammal’s behavioral response.
However, we know that many other
variables—the marine mammal’s
gender, age, and prior experience; the
activity it is engaged in during an
exposure event, its distance from a
sound source, the number of sound
sources, and whether the sound sources
are approaching or moving away from
the animal—can be critically important
in determining whether and how a
marine mammal will respond to a sound
source (Southall et al., 2007). The data
that are currently available do not allow
for incorporation of these other
variables in the current risk functions;
however, the risk function represents
the best use of the data that are
available. Additionally, although these
other factors cannot be taken into
consideration quantitatively in the risk
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function, NMFS considers these other
variables qualitatively in our analysis,
when applicable data are available.
As more specific and applicable data
become available for MFAS/HFAS
sources, NMFS can use these data to
modify the outputs generated by the risk
function to make them more realistic.
Ultimately, data may exist to justify the
use of additional, alternate, or multivariate functions. For example, as
mentioned previously, the distance from
the sound source and whether it is
perceived as approaching or moving
away can affect the way an animal
responds to a sound (Wartzok et al.,
2003). In the MIRC example, animals
exposed to received levels between 120
and 140 dB will likely be more that 125
km away from a sound source
depending on seasonal variations; those
distances could influence whether those
animals perceive the sound source as a
potential threat, and their behavioral
responses to that threat. Though there
are data showing response of certain
marine mammal species to midfrequency sound sources at that
received level, NMFS does not currently
have any data that describe the response
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of marine mammals to mid-frequency
sounds at that distance, much less data
that compare responses to similar sound
levels at varying distances (much less
for MFAS/HFAS). However, if
applicable data meeting NMFS
standards were to become available,
NMFS would re-evaluate the risk
function and to incorporate any
additional variables into the ‘‘take’’
estimates.
Explosive Detonation Criteria
The criteria for mortality, Level A
Harassment, and Level B Harassment
resulting from explosive detonations
were initially developed for the Navy’s
Seawolf and Churchill ship-shock trials
and have not changed. The criteria,
which are applied to cetaceans and
pinnipeds, are summarized in Table 7.
Additional information regarding the
derivation of these criteria is available
in the Navy’s DEIS for the MIRC, the
LOA application, and in the Navy’s
CHURCHILL FEIS (U.S. Department of
the Navy, 2001c).
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Estimates of Potential Marine Mammal
Exposure
Estimating the take that will result
from the proposed activities entails the
following three general steps: (1)
Propagation model estimates animals
exposed to sources at different levels;
(2) further modeling determines number
of exposures to levels indicated in
criteria above (i.e., number of takes);
and (3) post-modeling corrections refine
estimates to make them more accurate.
More information regarding the models
used, the assumptions used in the
models, and the process of estimating
take is available in Appendix A of the
Navy’s Application.
(1) In order to quantify the types of
take described in previous sections that
are predicted to result from the Navy’s
specified activities, the Navy first uses
a sound propagation model that predicts
the number of animals that will be
exposed to a range of levels of pressure
and energy (of the metrics used in the
criteria) from MFAS/HFAS and
explosive detonations based on several
important pieces of information,
including:
• Characteristics of the sound
sources.
• Active sonar source characteristics
include: source level (with horizontal
and vertical directivity corrections),
source depth, center frequency, source
directivity (horizontal/vertical beam
width and horizontal/vertical steer
direction), and ping spacing.
• Explosive source characteristics
include: the weight of an explosive, the
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type of explosive, the detonation depth,
and number of successive explosions.
• Transmission loss (in 9
representative environmental provinces
in two seasons) based on: water depth;
sound speed variability throughout the
water column (warm season exhibits a
weak surface duct, cold season exhibits
a relatively strong surface duct); bottom
geo-acoustic properties (bathymetry);
and wind speed.
• The estimated density of each
marine mammal species in the MIRC
(see Table 4), horizontally distributed
uniformly and vertically distributed
according to dive profiles based on field
data.
(2) Next, the criteria discussed in the
previous section are applied to the
estimated exposures to predict the
number of exposures that exceed the
criteria, i.e., the number of takes by
Level B Harassment, Level A
Harassment, and mortality.
(3) During the development of the EIS
for MIRC, NMFS and the Navy
determined that the output of the model
could be made more realistic by
applying post-modeling corrections to
account for the following:
• Acoustic footprints for active sonar
sources must account for land masses
(by subtracting them out).
• Acoustic footprints for active sonar
sources should not be added
independently, rather, the degree to
which the footprints from multiple
ships participating in the same exercise
would typically overlap needs to be
taken into consideration.
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• Acoustic modeling should account
for the maximum number of individuals
of a species that could potentially be
exposed to active sonar within the
course of 1 day or a discrete continuous
sonar event if less than 24 hours.
Last, the Navy’s specified activities
have been described based on best
estimates of the number of MFAS/HFAS
hours that the Navy will conduct. The
exact number of hours may vary from
year to year, but will not exceed the 5year total indicated in Table 8 (by
multiplying the yearly estimate by 5) by
more than 10%. NMFS estimates that a
10% increase in active sonar hours
would result in approximately a 10%
increase in the number of takes, and we
have considered this possibility in our
analysis.
The Navy’s model provides a
systematic and repeatable way of
estimating the number of animals that
will be taken by Level A and Level B
Harassment. The model is based on the
sound propagation characteristics of the
sound sources, physical characteristics
of the surrounding environment, and a
uniform density of marine mammals. As
mentioned in the previous sections,
many other factors will likely affect how
and the degree to which marine
mammals are impacted both at the
individual and species level by the
Navy’s activity (such as social ecology
of the animals, long term exposures in
one area, etc.); however, in the absence
quantitative data, NMFS has, and will
continue, to evaluate that sort of
information qualitatively.
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Mortality
Evidence from five beaked whale
strandings, all of which have taken
place outside the MIRC Range Complex,
and have occurred over approximately a
decade, suggests that the exposure of
beaked whales to MFAS in the presence
of certain conditions (e.g., multiple
units using active sonar, steep
bathymetry, constricted channels, strong
surface ducts, etc.) may result in
strandings, potentially leading to
mortality. Although not all 5 of these
physical factors believed to have
contributed to the likelihood of beaked
whale strandings are present, in their
aggregate, in the MIRC, scientific
uncertainty exists regarding what other
factors, or combination of factors, may
contribute to beaked whale strandings.
Accordingly, to allow for scientific
uncertainty regarding contributing
causes of beaked whale strandings and
the exact behavioral or physiological
mechanisms that can lead to the
ultimate physical effects (stranding and/
or death), the Navy has requested
authorization for (and NMFS is
proposing authorizing) take, by injury or
mortality. Although the Navy has
requested take by injury or mortality of
10 beaked whales over the course of the
5-yr regulations, the Navy’s model did
not predict injurious takes of beaked
whales and neither NMFS, nor the Navy
anticipates that marine mammal
strandings or mortality will result from
the operation of MFAS during Navy
exercises within the MIRC.
Effects on Marine Mammal Habitat
The Navy’s proposed training
exercises could potentially affect marine
mammal habitat through the
introduction of pressure, sound, and
expendable materials into the water
column, which in turn could impact
prey species of marine mammals, or
cause bottom disturbance or changes in
water quality. Each of these components
was considered in the MIRC DEIS and
was determined by the Navy to have no
significant or long term effect on marine
mammal habitat. Based on the
information below and the supporting
information included in the Navy’s
DEIS, NMFS has preliminarily
determined that the MIRC training
activities will not have significant or
long term impacts on marine mammal
habitat. Unless the sound source or
explosive detonation is stationary and/
or continuous over a long duration in
one area, the effects of the introduction
of sound into the environment are
generally considered to have a less
severe impact on marine mammal
habitat than the physical alteration of
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the habitat. Marine mammals may be
temporarily displaced from areas where
Navy training is occurring, but the area
will likely be utilized again after the
activities have ceased. A summary of
the conclusions are included in
subsequent sections.
Effects on Food Resources
Fish
The Navy’s DEIS includes a detailed
discussion of the effects of active sonar
on marine fish. In summary, studies
have indicated that acoustic
communication and orientation of fish
may be restricted by anthropogenic
sound in their environment. However,
the vast majority of fish species studied
to date are hearing generalists and
cannot hear sounds above 500 to 1,500
Hz (0.5 to 1.5 kHz) (depending upon the
species). Therefore, these fish species
are not likely to be affected behaviorally
from higher frequency sounds such as
MFAS/HFAS. Moreover, even those
marine species that may hear above 1.5
kHz, such as a few sciaenids and the
clupeids (and relatives), have relatively
poor hearing above 1.5 kHz as compared
to their hearing sensitivity at lower
frequencies, so it is likely that the fish
will only actually hear the sounds if the
fish and source were fairly close to one
another. Finally, since the vast majority
of sounds that are of biological
relevance to fish are below 1 kHz (e.g.,
Zelick et al., 1999; Ladich and Popper,
2004), even if a fish detects a mid- or
high-frequency sound, these sounds will
not likely mask detection of lower
frequency biologically relevant sounds.
Thus, based on the available
information, a reasonable conclusion is
that there will be few, and more likely
no, impacts on the behavior of fish from
active sonar.
Though mortality has been shown to
occur in one species, a hearing
specialist, as a result of exposure to nonimpulsive sources, the available
evidence does not suggest that
exposures such as those anticipated
from MFAS/HFAS would result in
significant fish mortality on a
population level. The mortality that was
observed was considered insignificant
in light of natural daily mortality rates.
Experiments have shown that exposure
to loud sound can result in significant
threshold shifts in certain fish that are
classified as hearing specialists (but not
those classified as hearing generalists).
Threshold shifts are temporary, and
considering the best available data, no
data exist that demonstrate any longterm negative effects on marine fish
from underwater sound associated with
active sonar activities. Further, while
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fish may respond behaviorally to midfrequency sources, this behavioral
modification is only expected to be brief
and not biologically significant.
There are currently no wellestablished thresholds for estimating
effects to fish from explosives other than
mortality models. Fish that are located
in the water column, in proximity to the
source of detonation could be injured,
killed, or disturbed by the impulsive
sound and possibly temporarily leave
the area. Continental Shelf Inc. (2004)
summarized a few studies conducted to
determine effects associated with
removal of offshore structures (e.g., oil
rigs) in the Gulf of Mexico. Their
findings revealed that at very close
range, underwater explosions are lethal
to most fish species regardless of size,
shape, or internal anatomy. For most
situations, cause of death in fishes has
been massive organ and tissue damage
and internal bleeding. At longer range,
species with gas-filled swimbladders
(e.g., snapper, cod, and striped bass) are
more susceptible than those without
swimbladders (e.g., flounders, eels).
Studies also suggest that larger fishes
are generally less susceptible to death or
injury than small fishes. Moreover,
elongated forms that are round in cross
section are less at risk than deep-bodied
forms; and orientation of fish relative to
the shock wave may affect the extent of
injury. Open water pelagic fish (e.g.,
mackerel) also seem to be less affected
than reef fishes. The results of most
studies are dependent upon specific
biological, environmental, explosive,
and data recording factors.
The huge variations in the fish
population, including numbers, species,
sizes, and orientation and range from
the detonation point, make it very
difficult to accurately predict mortalities
at any specific site of detonation. Most
fish species experience a large number
of natural mortalities, especially during
early life-stages, and any small level of
mortality caused by the MIRC training
exercises involving explosives will
likely be insignificant to the population
as a whole.
Invertebrates
Very little is known about sound
detection and use of sound by
invertebrates (see Budelmann 1992a, b,
Popper et al., 2001 for reviews). The
limited data show that some crabs are
able to detect sound, and there has been
the suggestion that some other groups of
invertebrates are also able to detect
sounds. In addition, cephalopods
(octopus and squid) and decapods
(lobster, shrimp, and crab) are thought
to sense low-frequency sound
(Budelmann, 1992b). Packard et al.
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(1990) reported sensitivity to sound
vibrations between 1–100 Hz for three
species of cephalopods. McCauley et al.
(2000) found evidence that squid
exposed to seismic airguns show a
behavioral response including inking.
However, these were caged animals, and
it is not clear how unconfined animals
may have responded to the same signal
and at the same distances used. In
another study, Wilson et al. (2007)
played back echolocation clicks of killer
whales to two groups of squid (Loligo
pealeii) in a tank. The investigators
observed no apparent behavioral effects
or any acoustic debilitation from
playback of signals up to 199 to 226 dB
re 1 μPa. It should be noted, however,
that the lack of behavioral response by
the squid may have been because the
animals were in a tank rather than being
in the wild. In another report on squid,
Guerra et al. (2004) claimed that dead
giant squid turned up around the time
of seismic airgun operations off of
Spain. The authors suggested, based on
analysis of carcasses, that the damage to
the squid was unusual when compared
to other dead squid found at other
times. However, the report presents
conclusions based on a correlation to
the time of finding of the carcasses and
seismic testing, but the evidence in
support of an effect of airgun activity
was totally circumstantial. Moreover,
the data presented showing damage to
tissue is highly questionable since there
was no way to differentiate between
damage due to some external cause (e.g.,
the seismic airgun) and normal tissue
degradation that takes place after death,
or due to poor fixation and preparation
of tissue. To date, this work has not
been published in peer reviewed
literature, and detailed images of the
reportedly damaged tissue are also not
available.
In summary, baleen whales feed on
the aggregations of krill and small
schooling fish, while toothed whales
feed on epipelagic, mesopelagic, and
bathypelagic fish and squid. As
summarized above and in the MIRC EIS/
OEIS in more detail, potential impacts
to marine mammal food resources
within the MIRC is negligible given both
lack of hearing sensitivity to midfrequency sonar, the very geographic
and spatially limited scope of most
Navy at sea activities including
underwater detonations, and the high
biological productivity of these
resources. No short or long term effects
to marine mammal food resources from
Navy activities are anticipated within
the MIRC.
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Military Expendable Material
Marine mammals are subject to
entanglement in expended materials,
particularly anything incorporating
loops or rings, hooks and lines, or sharp
objects. Most documented cases of
entanglements occur when whales
encounter the vertical lines of fixed
fishing gear. This section summarizes
the potential effects of expended
materials on marine mammals. Detailed
discussion of military expendable
material is contained within the MIRC
EIS.
The Navy endeavors to recover
expended training materials.
Notwithstanding, it is not possible to
recover all training materials, and some
may be encountered by marine
mammals in the waters of the MIRC.
Debris related to military activities that
is not recovered generally sinks; the
amount that might remain on or near the
sea surface is low, and the density of
such expendable materials in the MIRC
would be very low. Types of training
materials that might be encountered
include: Parachutes of various types
(e.g., those employed by personnel or on
targets, flares, or sonobuoys); torpedo
guidance wires, torpedo ‘‘flex hoses;’’
cable assemblies used to facilitate target
recovery; sonobuoys; and EMATT.
Entanglement in military expendable
material was not cited as a source of
injury or mortality for any marine
mammals recorded in a large marine
mammal and sea turtle stranding
database for California waters, an area
with much higher density of marine
mammals. Therefore as discussed in the
MIRC EIS, expendable material is highly
unlikely to directly affect marine
mammal species or potential habitat
within the MIRC.
NMFS Office of Habitat Conservation
is working with the Navy to better
identify the potential risks of expended
materials from the Navy activities as
they relate to Essential Fish Habitat.
These effects are indirectly related to
marine mammal habitat, but based on
the extent of the likely effects described
in the Navy’s DEIS, NMFS’ Office of
Protected Resources has preliminarily
determined that they will not result in
significant impacts to marine mammal
habitat. The EFH discussions between
Navy and NMFS’ Office of Habitat
Conservation will further inform the
marine mammal habitat analysis in the
final rule.
Water Quality
The MIRC EIS/OEIS analyzed the
potential effects to water quality from
sonobuoy, ADCs, and Expendable
Mobile Acoustic Training Target
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(EMATT) batteries; explosive packages
associated with the explosive source
sonobuoy (AN/SSQ–110A), and Otto
Fuel (OF) II combustion byproducts
associated with torpedoes. Expendable
bathythermographs do not have
batteries and were not included in the
analysis. In addition, sonobuoys were
not analyzed since, once scuttled, their
electrodes are largely exhausted during
use and residual constituent dissolution
occurs more slowly than the releases
from activated seawater batteries. As
such, only the potential effects of
batteries and explosions on marine
water quality in and surrounding the
sonobuoy training area were completed.
The Navy determined that there would
be no significant effect to water quality
from seawater batteries, lithium
batteries, and thermal batteries
associated with scuttled sonobuoys.
ADCs and EMATTs use lithium sulfur
dioxide batteries. The constituents in
the battery react to form soluble
hydrogen gas and lithium dithionite.
The hydrogen gas eventually enters the
atmosphere and the lithium hydroxide
dissociates, forming lithium ions and
hydroxide ions. The hydroxide is
neutralized by the hydronium formed
from hydrolysis of the acidic sulfur
dioxide, ultimately forming water.
Sulfur dioxide, a gas that is highly
soluble in water, is the major reactive
component in the battery. The sulfur
ioxide ionizes in the water, forming
bisulfite (HSO3) that is easily oxidized
to sulfate in the slightly alkaline
environment of the ocean. Sulfur is
present as sulfate in large quantities
(i.e., 885 milligrams per liter [mg/L]) in
the ocean. Thus, it was determined that
there would be no significant effect to
water quality from lithium sulfur
batteries associated with scuttled ADCs
and EMATTs.
Only a very small percentage of the
available hydrogen fluoride explosive
product in the explosive source
sonobuoy (AN/SSQ–110A) is expected
to become solubilized prior to reaching
the surface and the rapid dilution would
occur upon mixing with the ambient
water. As such, it was determined that
there would be no significant effect to
water quality from the explosive
product associated with the explosive
source sonobuoy (AN/SSQ–110A).
OF II is combusted in the torpedo
engine and the combustion byproducts
are exhausted into the torpedo wake,
which is extremely turbulent and causes
rapid mixing and diffusion. Combustion
byproducts include carbon dioxide,
carbon monoxide, water, hydrogen gas,
nitrogen gas, ammonia, hydrogen
cyanide, and nitrogen oxides. All of the
byproducts, with the exception of
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hydrogen cyanide, are below the EPA
water quality criteria. Hydrogen cyanide
is highly soluble in seawater and dilutes
below the EPA criterion within 6.3 m
(20.7 ft) of the torpedo. Therefore, it was
determined there would be no
significant effect to water quality as a
result of OF II.
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Analysis and Negligible Impact
Determination
Pursuant to NMFS’ regulations
implementing the MMPA, an applicant
is required to estimate the number of
animals that will be ‘‘taken’’ by the
specified activities (i.e., takes by
harassment only, or takes by
harassment, injury, and/or death). This
estimate informs the analysis that NMFS
must perform to determine whether the
activity will have a ‘‘negligible impact’’
on the affected species or stock. Level B
(behavioral) harassment occurs at the
level of the individual(s) and does not
assume any resulting population-level
consequences, though there are known
avenues through which behavioral
disturbance of individuals can result in
population-level effects (for example:
pink-footed geese (Anser
brachyrhynchus) in undisturbed habitat
gained body mass and had about a 46percent reproductive success compared
with geese in disturbed habitat (being
consistently scared off the fields on
which they were foraging) which did
not gain mass and has a 17-percent
reproductive success). A negligible
impact finding is based on the lack of
likely adverse effects on annual rates of
recruitment or survival (i.e., populationlevel effects). An estimate of the number
of Level B harassment takes, alone, is
not enough information on which to
base an impact determination. In
addition to considering estimates of the
number of marine mammals that might
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be ‘‘taken’’ through behavioral
harassment, NMFS must consider other
factors, such as the likely nature of any
responses (their intensity, duration,
etc.), the context of any responses
(critical reproductive time or location,
migration, etc.), as well as the number
and nature of estimated Level A
Harassment takes, the number of
estimated mortalities, and effects on
habitat. Generally speaking, and
especially with other factors being
equal, the Navy and NMFS anticipate
more severe effects from takes resulting
from exposure to higher received levels
(though this is in no way a strictly linear
relationship throughout species,
individuals, or circumstances) and less
severe effects from takes resulting from
exposure to lower received levels.
The Navy’s specified activities have
been described based on best estimates
of the number of MFAS/HFAS hours
that the Navy will conduct. The exact
number of hours (or torpedoes, or pings,
whatever unit the source is estimated
in) may vary from year to year, but will
not exceed the 5-year total indicated in
Table 8 (by multiplying the yearly
estimate by 5) by more than 10%. NMFS
estimates that a 10-percent increase in
active sonar hours (torpedoes, pings,
etc.) would result in approximately a
10-percent increase in the number of
takes, and we have considered this
possibility and the effect of the
additional active sonar use in our
analysis.
Taking the above into account,
considering the sections discussed
below, and dependent upon the
implementation of the proposed
mitigation measures, NMFS has
preliminarily determined that Navy
training exercises utilizing MFAS/HFAS
and underwater detonations will have a
negligible impact on the marine
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mammal species and stocks present in
the MIRC Range Complex.
Behavioral Harassment
As discussed in the Potential Effects
of Exposure of Marine Mammals to
MFAS/HFAS and illustrated in the
conceptual framework, marine
mammals can respond to MFAS/HFAS
in many different ways, a subset of
which qualify as harassment (see
Behavioral Harassment Section). One
thing that the take estimates do not take
into account is the fact that most marine
mammals will likely avoid strong sound
sources to one extent or another.
Although an animal that avoids the
sound source will likely still be taken in
some instances (such as if the avoidance
results in a missed opportunity to feed,
interruption of reproductive behaviors,
etc.) in other cases avoidance may result
in fewer instances of take than were
estimated or in the takes resulting from
exposure to a lower received level than
was estimated, which could result in a
less severe response. For MFAS/HFAS,
the Navy provided information (Table 9)
estimating the percentage of the total
takes that will occur within the 10-dB
bins (without considering mitigation or
avoidance) that are within the received
levels considered in the risk continuum
and for TTS and PTS. This table applies
specifically to AN/SQS–53C hullmounted active sonar (the most
powerful source), with less powerful
sources the percentages would increase
slightly in the lower received levels and
correspondingly decrease in the higher
received levels. As mentioned above, an
animal’s exposure to a higher received
level is more likely to result in a
behavioral response that is more likely
to adversely affect the health of the
animal.
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Because the Navy has only been
monitoring specifically to discern the
effects of MFAS/HFAS on marine
mammals since approximately 2006,
and because of the overall data gap
regarding the effects of MFAS/HFAS on
marine mammals, not a lot is known
regarding how marine mammals in the
MIRC will respond to MFAS/HFAS. For
the one major exercise (Valiant Shield,
2007) for which NMFS has received a
monitoring report, no instances of
obvious behavioral disturbance were
observed by the Navy watchstanders in
the 25 marine mammal sightings of 235
animals. The Navy has also submitted
reports from more than 60 major
exercises conducted in the Southern
California Range Complex, the Hawaii
Range Complex, and off the Atlantic
Coast, that similarly indicate no
observed behavioral disturbance
observed. One cannot conclude from
these results that marine mammals were
not harassed from MFAS/HFAS, as a
portion of animals within the area of
concern were not seen (especially those
more cryptic, deep-diving species, such
as beaked whales or Kogia spp.) and
some of the non-biologist watchstanders
might not be well-qualified to
characterize behaviors. However, one
can say that the animals that were
observed did not respond in any of the
obviously more severe ways, such as
panic, aggression, or anti-predator
response.
In addition to the monitoring that will
be required pursuant to these
regulations and any corresponding
LOAs, which is specifically designed to
help us better understand how marine
mammals respond to sound, the Navy
and NMFS have developed, funded, and
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begun conducting a controlled exposure
experiment with beaked whales in the
Bahamas (results of first year discussed
in previous sections, 2008 results not
yet available). Separately, the Navy and
NMFS conducted an opportunistic
tagging experiment with several species
of marine mammals in the area of the
2008 Rim of the Pacific training
exercises in the HRC, for which the
results are still being analyzed.
Diel Cycle
As noted previously, many animals
perform vital functions, such as feeding,
resting, traveling, and socializing on a
diel cycle (24-hr cycle). Behavioral
reactions to noise exposure (when
taking place in a biologically important
context, such as disruption of critical
life functions, displacement, or
avoidance of important habitat) are
more likely to be significant if they last
more than one diel cycle or recur on
subsequent days (Southall et al., 2007).
Consequently, a behavioral response
lasting less than one day and not
recurring on subsequent days is not
considered severe unless it could
directly affect reproduction or survival
(Southall et al., 2007).
In the previous section, we discussed
the fact that potential behavioral
responses to MFAS/HFAS that fall into
the category of harassment could range
in severity. By definition, takes by
behavioral harassment involve the
disturbance of a marine mammal or
marine mammal stock in the wild by
causing disruption of natural behavioral
patterns (such as migration, surfacing,
nursing, breeding, feeding, or sheltering)
to a point where such behavioral
patterns are abandoned or significantly
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altered. These reactions would,
however, be more of a concern if they
were expected to last over 24 hours or
be repeated in subsequent days. As
indicated in table 2, with the exception
of the major exercises (either 1 multistrike group exercise annually, or 1 Joint
Expeditionary exercise and 1–4
MAGTFs annually), which last
approximately 10 days, the rest of the
sonar exercises conducted in the MIRC
are 8 hours in duration or shorter.
Additionally, vessels with hull-mounted
active sonar are typically moving at
speeds of 10–14 knots, which would
make it unlikely that the same animal
could remain in the immediate vicinity
of the ship for the entire duration of the
exercise. Animals are not expected to be
exposed to MFAS/HFAS at levels or for
a duration likely to result in a
significant response that would then last
for more than one day or on successive
days. With the exception of SINKEXs,
the planned explosive exercises are also
of a short duration (1–6 hours).
Although explosive exercises may
sometimes be conducted in the same
general areas repeatedly, because of
their short duration and the fact that
they are in the open ocean and animals
can easily move away, it is similarly
unlikely that animals would be exposed
for long, continuous amounts of time.
Although SINKEXs may last for up to 48
hours, only 2 are planned annually, they
are stationary and conducted in deep,
open water (where fewer marine
mammals would typically be expected
to be randomly encountered), and they
have a rigorous monitoring and
shutdown protocol, all of which make it
unlikely that individuals would be
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exposed to the exercise for extended
periods or in consecutive days.
TTS
NMFS and the Navy have estimated
that approximately 1300 individual
marine mammals (totaled from all
affected species), may sustain some
level of TTS from MFAS/HFAS
annually. As mentioned previously,
TTS can last from a few minutes to
days, be of varying degree, and occur
across various frequency bandwidths,
all of which determine the severity of
the impacts on the affected individual,
which can range from minor to more
severe. Table 8 indicates the estimated
number of animals that might sustain
TTS from exposure to MFAS/HFAS.
The TTS sustained by an animal is
primarily classified by three
characteristics:
• Frequency—Available data (of midfrequency hearing specialists exposed to
mid to high frequency sounds—Southall
et al., 2007) suggest that most TTS
occurs in the frequency range of the
source up to one octave higher than the
source (with the maximum TTS at c
octave above). The more MF powerful
sources used (the two hull-mounted
MFAS sources and the DICASS
sonobuoys) have center frequencies
between 3.5 and 8 kHz and the other
unidentified MF sources are, by
definition, less than 10 kHz, which
suggests that TTS induced by any of
these MF sources would be in a
frequency band somewhere between
approximately 2 and 20 kHz. There are
fewer hours of HF source use and the
sounds would attenuate more quickly,
plus they have lower source levels, but
if an animal were to incur TTS from
these sources, it would cover a higher
frequency range (sources are between 20
and 100 kHz, which means that TTS
could range up to 200 kHz; however, HF
systems are typically used less
frequently and for shorter time periods
than surface ship and aircraft MF
systems, so TTS from these sources is
even less likely). TTS from explosives
would be broadband. Tables 5a and 5b
summarize the vocalization data for
each species.
• Degree of the shift (i.e., how many
dB is the sensitivity of the hearing
reduced by)—generally, both the degree
of TTS and the duration of TTS will be
greater if the marine mammal is exposed
to a higher level of energy (which would
occur when the peak dB level is higher
or the duration is longer). The threshold
for the onset of TTS (≤ 6 dB) is 195 dB
(SEL), which might be received at
distances of up to 140 m from the most
powerful MFAS source, the AN/SQS–53
(the maximum ranges to TTS from other
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sources would be less, as modeled for
MIRC). An animal would have to
approach closer to the source or remain
in the vicinity of the sound source
appreciably longer to increase the
received SEL, which would be difficult
considering the watchstanders and the
nominal speed of an active sonar vessel
(10–12 knots). In the TTS studies, some
using exposures of almost an hour in
duration or up to 217 SEL, most of the
TTS induced was 15 dB or less, though
Finneran et al. (2007) induced 43 dB of
TTS with a 64-sec exposure to a 20 kHz
source (MFAS emits a 1-s ping 2 times/
minute).
• Duration of TTS (Recovery time)—
In the TTS laboratory studies, some
using exposures of almost an hour in
duration or up to 217 SEL, almost all
individuals recovered within 1 day (or
less, often in minutes), though in one
study (Finneran et al. (2007)), recovery
took 4 days.
Based on the range of degree and
duration of TTS reportedly induced by
exposures to non-pulse sounds of
energy higher than that to which freeswimming marine mammals in the field
are likely to be exposed during MFAS/
HFAS training exercises in MIRC, it is
unlikely that marine mammals would
ever sustain a TTS from MFAS that
alters their sensitivity by more than 20
dB for more than a few days (and the
majority would be far less severe
because of short duration of the majority
of the exercises and the speed of a
typical vessel), if that. Also, for the same
reasons discussed in the Diel Cycle
section, and because of the short
distance within which animals would
need to approach the sound source, it is
unlikely that animals would be exposed
to the levels necessary to induce TTS in
subsequent time periods such that their
recovery is impeded. Additionally,
though the frequency range of TTS that
marine mammals might sustain would
overlap with some of the frequency
ranges of their vocalization types, the
frequency range of TTS from MFAS (the
source from which TTS would most
likely be sustained because the higher
source level and slower attenuation
make it more likely that an animal
would be exposed to a higher level)
would not usually span the entire
frequency range of one vocalization
type, much less span all types of
vocalizations (see Tables 5a and 5b). If
impaired, marine mammals would
typically be aware of their impairment
and implement behaviors to compensate
for it (see Communication Impairment
Section), though these compensations
may incur energetic costs.
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53859
Acoustic Masking or Communication
Impairment
Table 5 is also informative regarding
the nature of the masking or
communication impairment that could
potentially occur from MFAS (again,
center frequencies are 3.5 and 7.5 kHz
for the two types of hull-mounted active
sonar). However, masking only occurs
during the time of the signal (and
potential secondary arrivals of indirect
rays), versus TTS, which continues
beyond the duration of the signal.
Standard MFAS pings last on average
one second and occur about once every
24–30 seconds for hull-mounted
sources. For the sources for which we
know the pulse length, most are
significantly shorter than hull-mounted
active sonar, on the order of several
microseconds to 10s of micro seconds.
For hull-mounted active sonar, though
some of the vocalizations that marine
mammals make are less than one second
long, there is only a 1 in 24 chance that
they would occur exactly when the ping
was received, and when vocalizations
are longer than one second, only parts
of them are masked. Alternately, when
the pulses are only several
microseconds long, the majority of most
animals’ vocalizations would not be
masked. Masking effects from MFAS/
HFAS are expected to be minimal. If
masking or communication impairment
were to occur briefly, it would be in the
frequency range of MFAS, which
overlaps with some marine mammal
vocalizations, however, it would likely
not mask the entirety of any particular
vocalization or communication series
because the signal length, frequency,
and duty cycle of the MFAS/HFAS
signal does not perfectly mimic the
characteristics of any marine mammal’s
vocalizations.
PTS, Injury, or Mortality
The Navy’s model estimated that one
pantropical dolphin and one sperm
whale would be exposed to levels of
MFAS/HFAS that would result in PTS.
This estimate does not take into
consideration either the mitigation
measures, the likely avoidance
behaviors of some of the animals
exposed, the distance from the sonar
dome of a surface vessel within which
an animal would have to be exposed to
incur PTS (10 m), and the nominal
speed of a surface vessel engaged in
ASW exercises. NMFS believes that
many marine mammals would
deliberately avoid exposing themselves
to the received levels of active sonar
necessary to induce injury by moving
away from or at least modifying their
path to avoid a close approach.
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Additionally, in the unlikely event that
an animal approaches the sonar vessel
at a close distance, NMFS believes that
the mitigation measures (i.e., shutdown/
powerdown zones for MFAS/HFAS)
would typically ensure that animals
would be not be exposed to injurious
levels of sound. As discussed
previously, the Navy utilizes both aerial
(when available) and passive acoustic
monitoring (during all ASW exercises)
in addition to watchstanders on vessels
to detect marine mammals for
mitigation implementation and
indicated that they are capable of
effectively monitoring a 1000-meter
(1093-yd) safety zone at night using
night vision goggles, infrared cameras,
and passive acoustic monitoring.
If a marine mammal is able to
approach a surface vessel within the
distance necessary to incur PTS, the
likely speed of the vessel (nominal 10–
12 knots) would make it very difficult
for the animal to remain in range long
enough to accumulate enough energy to
result in more than a mild case of PTS.
As mentioned previously and in relation
to TTS, the likely consequences to the
health of an individual that incurs PTS
can range from mild to more serious
dependent upon the degree of PTS and
the frequency band it is in, and many
animals are able to compensate for the
shift, although it may include energetic
costs. While NMFS believes it is very
unlikely that a pantropical dolphin or
sperm whale will incur PTS from
exposure to MFAS/HFAS, the Navy has
requested authorization to take one each
by Level A Harasssment and therefore,
NMFS has considered this possibility in
our analysis.
As discussed previously, marine
mammals (especially beaked whales)
could potentially respond to MFAS at a
received level lower than the injury
threshold in a manner that indirectly
results in the animals stranding. The
exact mechanisms of this potential
response, behavioral or physiological,
are not known. When naval exercises
have been associated with strandings in
the past, it has typically been when
three or more vessels are operating
simultaneously, in the presence of a
strong surface duct, and in areas of
constricted channels, semi-enclosed
areas, and/or steep bathymetry. While
these features certainly do not define
the only factors that can contribute to a
stranding, and while they need not all
be present in their aggregate to increase
the likelihood of a stranding, it is worth
noting that they are not all present in
the MIRC, which does have a strong
surface duct present much of the time,
but does not have bathymetry or
constricted channels of the type that
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have been present in the sonarassociated strandings. Additionally,
based on the number of occurrences
where strandings have been definitively
associated with military active sonar
versus the number of hours of active
sonar training that have been
conducted, we suggest that the
probability is small that this will occur.
Additionally, an active sonar shutdown
protocol for strandings involving live
animals milling in the water minimizes
the chances that these types of events
turn into mortalities. Though NMFS
does not expect it to occur, because of
the uncertainty surrounding the
mechanisms that link exposure to
MFAS to stranding (especially in beaked
whales), NMFS is proposing to
authorize the injury or mortality of 10
beaked whales over the course of the 5yr regulations.
60 Years of Navy Training Exercises
Using MFAS/HFAS in the MIRC Range
Complex
The Navy has been conducting
MFAS/HFAS training exercises in the
MIRC Range Complex for over 60 years.
Although limited monitoring
specifically in conjunction with training
exercises to determine the effects of
active sonar and explosives on marine
mammals has not been conducted by
the Navy in the past in the MIRC and
the symptoms indicative of potential
acoustic trauma were not as well
recognized prior to the mid-nineties,
people have been collecting stranding
data in the MIRC Range Complex for
approximately 4 years. Though not all
dead or injured animals are expected to
end up on the shore (some may be eaten
or float out to sea), one might expect
that if marine mammals were being
harmed by the Navy training exercises
with any regularity, more evidence
would have been detected.
Species-Specific Analysis
In the discussions below, the
‘‘acoustic analysis’’ refers to the Navy’s
analysis, which includes the use of
several models and other applicable
calculations as described in the
Estimates of Potential Marine Mammal
Exposure section. The numbers
predicted by the ‘‘acoustic analysis’’ are
based on a uniform and stationary
distribution of marine mammals and do
not take into consideration the
implementation of mitigation measures
or potential avoidance behaviors of
marine mammals, and therefore, are
likely overestimates of potential
exposures to the indicated thresholds
(PTS, TTS, behavioral harassments).
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Blue Whale (MMPA Depleted/ESAListed)
Acoustic analysis predicts that 130
exposures of blue whales to MFAS/
HFAS at levels likely to result in Level
B harassment will occur, and that 0
exposures to explosives will occur. This
estimate represents the total number of
takes and not necessarily the number of
individuals taken, as a single individual
may be taken multiple times over the
course of a year. These Level B takes are
anticipated to be primarily in the form
of behavioral disturbance as described
in the Definition of Harassment: Level B
Harassment section, although two TTS
takes are also estimated. However, it is
unlikely that any blue whales will incur
TTS because of: the distance within
which they would have to approach the
MFAS source (approximately 140 m for
the most powerful source for TTS), the
fact that many animals will likely avoid
active sonar sources to some degree, and
the likelihood that Navy monitors
would detect these animals prior to an
approach within this distance (given
their large size, average group size (2–
3), and pronounced vertical blow) and
implement active sonar powerdown or
shutdown. Of note, blue whale
vocalizations are in the 12 to 400 Hz
range with dominant energy in the 12 to
25 Hz range, which suggests that blue
whale hearing may be more sensitive in
this frequency range. Thus, frequencies
in the MFAS range (1–10 kHz) are
predicted to lie closer to the periphery
of their hearing, which suggests that
adverse impacts resulting from exposure
to MFAS may be fewer than modeled.
Blue whales have not actually been
seen in the MIRC and the most
appropriate population estimate is the
one for the North Pacific, which
estimates a minimum of 3,300 whales.
Like most baleen whales, blue whales
would most likely feed in the north in
the summer and head southward
(potentially MIRC) in the cooler months.
Relative to the population size, this
activity is anticipated to result only in
a limited number of level B harassment
takes. The MIRC activities are not
expected to occur in an area/time of
specific importance for reproduction,
feeding, or other known critical
behaviors. The blue whales’ large size
and detectability makes it unlikely that
these animals would be exposed to the
higher levels of sound expected to result
in more severe effects. Consequently,
the activities are not expected to
adversely impact rates of recruitment or
survival of blue whales. Based on the
general information contained in the
Negligible Impact Analysis section and
this species-specific summary of the
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effects of the takes, NMFS has
preliminarily determined that the
Navy’s specified activities will have a
negligible impact on this species.
Fin Whale (MMPA Depleted/ESAListed)
Acoustic analysis predicts that 182
exposures of fin whales to MFAS/HFAS
at sound levels likely to result in Level
B harassment will occur, and that 0
exposures to explosives will occur. This
estimate represents the total number of
takes and not necessarily the number of
individuals taken, as a single individual
may be taken multiple times over the
course of a year. These Level B takes are
anticipated to be primarily in the form
of behavioral disturbance as described
in the Definition of Harassment: Level B
Harassment section, although two TTS
takes are also estimated. However, it is
unlikely that any fin whales will incur
TTS because of: The distance within
which they would have to approach the
MFAS source (approximately 140 m for
the most powerful source for TTS), the
fact that many animals will likely avoid
active sonar sources to some degree, and
the likelihood that Navy monitors
would detect these animals prior to an
approach within this distance (given
their large size, average group size (3),
and pronounced vertical blow) and
implement active sonar powerdown or
shutdown. Of note, fin whale
vocalizations are in the 15–750 Hz range
with the majority below 70 Hz, which
suggests that fin whale hearing may be
more sensitive in this frequency range.
Thus, frequencies in the MFAS range
(1–10 kHz) are predicted to lie closer to
the periphery of their hearing, which
suggests that adverse impacts resulting
from exposure to MFAS may be fewer
than modeled.
Fin whales have not actually been
seen in the MIRC and the most
appropriate population estimate is the
one for the North Pacific, which
estimates 14,620–18,630 whales.
Relative to the population size, this
activity is anticipated to result only in
a limited number of level B harassment
takes. In the northern hemisphere, fin
whales migrate seasonally from high
Arctic feeding areas in the summer to
low latitude breeding and calving areas
in the winter. The MIRC activities are
not expected to occur in an area/time of
specific importance for reproduction,
feeding, or other known critical
behaviors. The fin whales’ large size and
detectability makes it unlikely that these
animals would be exposed to the higher
levels of sound expected to result in
more severe effects. Consequently, the
activities are not expected to adversely
impact rates of recruitment or survival
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of fin whales. Based on the general
information contained in the Negligible
Impact Analysis section and this
species-specific summary of the effects
of the takes, NMFS has preliminarily
determined that the Navy’s specified
activities will have a negligible impact
on this species.
Sei Whale (MMPA Depleted/ESAListed)
Acoustic analysis predicts that 325
exposures of sei whales to MFAS/HFAS
at sound levels likely to result in Level
B harassment will occur, and that 0
exposures to explosives will occur. This
estimate represents the total number of
takes and not necessarily the number of
individuals taken, as a single individual
may be taken multiple times over the
course of a year. These Level B takes are
anticipated to be primarily in the form
of behavioral disturbance as described
in the Definition of Harassment: Level B
Harassment section, although six TTS
takes are also estimated. However, it is
unlikely that any sei whales will incur
TTS because of: The distance within
which they would have to approach the
MFAS source (approximately 140 m for
the most powerful source for TTS), the
fact that many animals will likely avoid
active sonar sources to some degree, and
the likelihood that Navy monitors
would detect these animals prior to an
approach within this distance (given
their large size, average group size (3),
and pronounced vertical blow) and
implement active sonar powerdown or
shutdown.
The most appropriate population
estimate for the sei whale is the one for
the North Pacific, which estimates 9,110
whales. Relative to the population size,
this activity is anticipated to result only
in a limited number of level B
harassment takes. Sei whales are
generally thought to feed in the summer
in the north and spend winters in warm
temperate or sub-tropical areas. The
MIRC activities are not expected to
occur in an area/time of specific
importance for reproduction, feeding, or
other known critical behaviors. The sei
whales’ large size and detectability
makes it unlikely that these animals
would be exposed to the higher levels
of sound expected to result in more
severe effects. Consequently, the
activities are not expected to adversely
impact rates of recruitment or survival
of sei whales. Based on the general
information contained in the Negligible
Impact Analysis section and this
species-specific summary of the effects
of the takes, NMFS has preliminarily
determined that the Navy’s specified
activities will have a negligible impact
on this species.
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53861
Humpback Whale (MMPA Depleted/
ESA-Listed)
Acoustic analysis predicts that 804
exposures of humpback whales to
MFAS/HFAS at sound levels likely to
result in Level B harassment will occur.
This estimate represents the total
number of takes and not necessarily the
number of individuals taken, as a single
individual may be taken multiple times
over the course of a year. These Level
B takes are anticipated to be primarily
in the form of behavioral disturbance as
described in the Definition of
Harassment: Level B Harassment
section, although ten TTS takes are also
estimated. However, it is unlikely that
any humpback whales will incur TTS
because of: the distance within which
they would have to approach the MFAS
source (approximately 140 m for the
most powerful source for TTS), the fact
that many animals will likely avoid
active sonar sources to some degree, and
the likelihood that Navy monitors
would detect these animals prior to an
approach within this distance (given
their large size and gregarious nature)
and implement active sonar powerdown
or shutdown.
The acoustic analysis further predicts
that 1 humpback whale would be
exposed to levels of pressure and/or
energy from explosive detonations that
would result in Level B harassment by
TTS. NMFS believes that this is unlikely
because of: (1) The distance within
which they would have to approach the
explosive source; and, (2) the likelihood
that Navy monitors would, during preor during exercises monitoring, detect
these large, gregarious animals prior to
an approach within this distance and
require a delay of the exercise.
The current estimate for the North
Pacific is 18,302 humpback whales.
Relative to the population size, this
activity is anticipated to result only in
a limited number of level B harassment
takes. Humpback whales are generally
thought to feed in the summer in the
north and spend winters in warm
temperate or sub-tropical areas. The
MIRC activities are not expected to
occur in an area/time of specific
importance for reproduction, feeding, or
other known critical behaviors. The
humpback whales’ large size and
detectability makes it unlikely that these
animals would be exposed to the higher
levels of sound expected to result in
more severe effects. Consequently, the
activities are not expected to adversely
impact rates of recruitment or survival
of humpback whales. Based on the
general information contained in the
Negligible Impact Analysis section and
this species-specific summary of the
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effects of the takes, NMFS has
preliminarily determined that the
Navy’s specified activities will have a
negligible impact on this species.
Bryde’s Whale
Acoustic analysis predicts that 457
exposures of Bryde’s whales to MFAS/
HFAS at sound levels likely to result in
Level B harassment will occur, and that
0 exposures to explosives will occur.
This estimate represents the total
number of takes and not necessarily the
number of individuals taken, as a single
individual may be taken multiple times
over the course of a year. These Level
B takes are anticipated to be primarily
in the form of behavioral disturbance as
described in the Definition of
Harassment: Level B Harassment
section, although 8 TTS takes are also
estimated. However, it is unlikely that
any fin whales will incur TTS because
of: the distance within which they
would have to approach the MFAS
source (approximately 140 m for the
most powerful source for TTS), the fact
that many animals will likely avoid
active sonar sources to some degree, and
the likelihood that Navy monitors
would detect these animals prior to an
approach within this distance (given
their large size and pronounced blow)
and implement active sonar powerdown
or shutdown.
Bryde’s whales are found worldwide
in tropical and temperate waters. There
are no current estimates of Bryde’s
whale in the Pacific but based on the
MISTCS survey, abundance in MIRC is
about 233 animals. Historical records
show a consistent presence of Bryde’s
whales in the MIRC. Bryde’s whales
have been sighted with calves several
times, but no regularly used
reproductive areas have been identified.
The Bryde’s whales’ large size and
detectability makes it unlikely that these
animals would be exposed to the higher
levels of sound expected to result in
more severe effects. Consequently, the
activities are not expected to adversely
impact rates of recruitment or survival
of Bryde’s whales. Based on the general
information contained in the Negligible
Impact Analysis section and this
species-specific summary of the effects
of the takes, NMFS has preliminarily
determined that the Navy’s specified
activities will have a negligible impact
on this species.
Minke Whale
Acoustic analysis predicts that 445
exposures of Minke whales to MFAS/
HFAS at sound levels likely to result in
Level B harassment will occur, and that
0 exposures to explosives will occur.
This estimate represents the total
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number of takes and not necessarily the
number of individuals taken, as a single
individual may be taken multiple times
over the course of a year. These Level
B takes are anticipated to be primarily
in the form of behavioral disturbance as
described in the Definition of
Harassment: Level B Harassment
section, although 7 TTS takes are also
estimated. It is somewhat unlikely that
any fin whales will incur TTS because
of: the distance within which they
would have to approach the MFAS
source (approximately 140 m for the
most powerful source for TTS) and the
fact that many animals will likely avoid
active sonar sources to some degree.
However, Minke whales are relatively
cryptic at surface, making visual
detection more difficult, although they
are often detected acoustically.
Minke whales are found in the North
Atlantic and North Pacific from tropical
to polar waters, although there are no
current estimates of Minke whales in
the Pacific. Minke whales were the most
frequently detected species of baleen
whales in the MISTCS (acoustically, not
visually). The MIRC activities are not
expected to occur in an area/time of
specific importance for reproduction,
feeding, or other known critical
behaviors. Consequently, the activities
are not expected to adversely impact
rates of recruitment or survival of Minke
whales. Based on the general
information contained in the Negligible
Impact Analysis section and this
species-specific summary of the effects
of the takes, NMFS has preliminarily
determined that the Navy’s specified
activities will have a negligible impact
on this species.
Sperm Whale (MMPA Depleted/ESAListed)
Acoustic analysis predicts that 817
exposures of sperm whales to MFAS/
HFAS at sound levels likely to result in
Level B harassment will occur. This
estimate represents the total number of
takes and not necessarily the number of
individuals taken, as a single individual
may be taken multiple times over the
course of a year. These Level B takes are
anticipated to be primarily in the form
of behavioral disturbance as described
in the Definition of Harassment: Level B
Harassment section, although 10 TTS
takes and 1 PTS (Level A Harassment)
are also estimated and proposed for
authorization. However, it is unlikely
that any sperm whales will incur TTS
or PTS because of: The distance within
which they would have to approach the
MFAS source (approximately 140 m for
the most powerful source for TTS and
10 m for PTS), the fact that many
animals will likely avoid active sonar
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sources to some degree, and the
likelihood that Navy monitors would
detect these animals prior to an
approach within this distance (given
their large size, pronounced blow, and
mean group size of 7).
The acoustic analysis further predicts
that 9 sperm whales would be exposed
to levels of pressure and/or energy from
explosive detonations that would result
in Level B harassment by TTS. NMFS
believes that this is unlikely because of:
(1) The distance within which they
would have to approach the explosive
source; and, (2) the likelihood that Navy
monitors would, during pre- or during
exercises monitoring, detect these
animals for the reasons indicated above.
Sperm whales occur throughout all
ocean basins from equatorial to polar
waters. Sperm whales are found
throughout the North Pacific, but there
are no current estimates of sperm whale
abundance in the North Pacific, but
based on the MISTCS survey,
abundance in MIRC is about 705
animals. The sperm whale was the most
frequently sighted cetacean in the
MISTCS and was acoustically detected
3 times more often than it was visually
detected. Sperm whales are present
year-round in MIRC and have been
sighted with calves, although no
regularly used reproductive areas have
been identified. The Sperm whales’
large size and detectability makes it
unlikely that these animals would be
exposed to the higher levels of sound
expected to result in more severe effects.
Consequently, the activities are not
expected to adversely impact rates of
recruitment or survival of sperm whales.
Based on the general information
contained in the Negligible Impact
Analysis section and this speciesspecific summary of the effects of the
takes, NMFS has preliminarily
determined that the Navy’s specified
activities will have a negligible impact
on this species.
Pygmy and Dwarf Sperm Whale
Because of their similarity of
appearance and cryptic behavior, these
two species are difficult to differentiate
in the field and are considered together.
Acoustic analysis predicts that 6,677
exposures of pygmy or dwarf sperm
whales to MFAS/HFAS at sound levels
likely to result in Level B harassment
will occur. This estimate represents the
total number of takes and not
necessarily the number of individuals
taken, as a single individual may be
taken multiple times over the course of
a year. These Level B takes are
anticipated to be primarily in the form
of behavioral disturbance as described
in the Definition of Harassment: Level B
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Harassment section, although 103 TTS
takes are also estimated. NMFS believes
that it is unlikely that this number of
pygmy or dwarf sperm whales will
incur TTS because of the distance
within which they would have to
approach the MFAS source
(approximately 140 m for the most
powerful source for TTS) and the fact
that many animals will likely avoid
active sonar sources to some degree.
However, the likelihood that Navy
monitors would detect most of these
animals at the surface prior to an
approach within this distance is low
because of their small size, nongregarious nature, and cryptic behavior
and profile. As mentioned above and
indicated in Table 5, some pygmy or
dwarf sperm whale vocalizations might
overlap with the MFAS/HFAS TTS
frequency range (2–20 kHz) (although
most of their vocalizations are
anticipated to be in a higher frequency
range), which could potentially
temporarily decrease an animal’s
sensitivity to the calls of conspecifics or
returning echolocation signals.
However, as noted previously, NMFS
does not anticipate TTS of a long
duration or severe degree to occur as a
result of exposure to MFAS/HFAS.
The acoustic analysis further predicts
that 6 pygmy or dwarf sperm whales
would be exposed to levels of pressure
and/or energy from explosive
detonations that would result in Level B
harassment by TTS, and 20 could be
exposed to levels associated with
behavioral disturbance.
Pygmy and dwarf sperm whales occur
in tropical and temperate latitudes
worldwide, although there are no
current estimates of these whales in the
Pacific or MIRC. The MIRC activities are
not expected to occur in an area/time of
specific importance for reproduction,
feeding, or other known critical
behaviors. Consequently, the activities
are not expected to adversely impact
rates of recruitment or survival of dwarf
or pygmy sperm whales. Based on the
general information contained in the
Negligible Impact Analysis section and
this species-specific summary of the
effects of the takes, NMFS has
preliminarily determined that the
Navy’s specified activities will have a
negligible impact on this species.
Beaked Whales
Acoustic analysis predicts that 770
Blainville’s beaked whales, 3,611
Cuvier’s beaked whales, 430 Ginkgotoothed beaked whales, and 206
Longman’s beaked whales will be
exposed to MFAS/HFAS at sound levels
likely to result in Level B harassment.
This estimate represents the total
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14:42 Oct 19, 2009
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number of takes and not necessarily the
number of individuals taken, as a single
individual may be taken multiple times
over the course of a year. These Level
B takes are anticipated to be primarily
in the form of behavioral disturbance as
described in the Definition of
Harassment: Level B Harassment
section, although 12, 44, 7, and 2
(respectively) TTS takes are also
estimated. NMFS believes that it is
unlikely that this number of beaked
whales will incur TTS because of the
distance within which they would have
to approach the MFAS source
(approximately 140 m for the most
powerful source for TTS) and the fact
that many animals will likely avoid
active sonar sources to some degree.
However, the likelihood that Navy
monitors would detect most of these
animals at the surface prior to an
approach within this distance is low
because of their deep-diving behavior
and cryptic profile. As mentioned above
and indicated in Table 5, some beaked
whale vocalizations might overlap with
the MFAS/HFAS TTS frequency range
(2–20 kHzge), which could potentially
temporarily decrease an animal’s
sensitivity to the calls of conspecifics or
returning echolocation signals.
However, as noted previously, NMFS
does not anticipate TTS of a long
duration or severe degree to occur as a
result of exposure to MFAS/HFAS.
The acoustic analysis further predicts
that 4 Cuvier’s beaked whales would be
exposed to levels of pressure and/or
energy from explosive detonations that
would result in Level B harassment by
TTS, and 14 could be exposed to levels
associated with behavioral disturbance.
Cuvier’s and Blainville’s beaked
whales are widespread throughout
tropical and temperate latitudes
worldwide, while Ginkgo-toothed and
Longman’s beaked whales are not well
known, but thought to occur in the
tropical and temperate waters of the
Indo-Pacific. No abundance estimates
are available for any of these species.
The MIRC activities are not expected to
occur in an area/time of specific
importance for reproduction, feeding, or
other known critical behaviors.
Consequently, the activities are not
expected to adversely impact rates of
recruitment or survival of beaked
whales. Based on the general
information contained in the Negligible
Impact Analysis section and this
species-specific summary of the effects
of the takes, NMFS has preliminarily
determined that the Navy’s specified
activities will have a negligible impact
on this species.
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53863
Social Pelagic Species (False/Pygmy
Killer Whale, Killer Whale, ShortFinned Pilot Whale, and Melon-Headed
Whale)
Acoustic analysis predicts that 1289
false killer whales, 230 killer whales,
2854 melon-headed whales, 160 pygmy
killer whales, and 2274 short-finned
pilot whales will be exposed to MFAS/
HFAS at sound levels likely to result in
Level B harassment. This estimate
represents the total number of takes and
not necessarily the number of
individuals taken, as a single individual
may be taken multiple times over the
course of a year. These Level B takes are
anticipated to be primarily in the form
of behavioral disturbance as described
in the Definition of Harassment: Level B
Harassment section, although 23, 4, 46,
2, and 36 (respectively) TTS takes are
also estimated. However, it is unlikely
that many individuals of these species
will incur TTS because of: The distance
within which they would have to
approach the MFAS source
(approximately 140 m for the most
powerful source for TTS), the fact that
many animals will likely avoid active
sonar sources to some degree, and the
likelihood that Navy monitors would
detect these animals prior to an
approach within this distance (given
their gregarious nature and large group
size) and implement active sonar
powerdown or shutdown. As mentioned
above and indicated in Table 5,
vocalizations of these species might
overlap with the MFAS/HFAS TTS
frequency range (2–20 kHz), which
could potentially temporarily decrease
an animal’s sensitivity to the calls of
conspecifics or returning echolocation
signals. However, as noted previously,
NMFS does not anticipate TTS of a long
duration or severe degree to occur as a
result of exposure to MFAS/HFAS.
The acoustic analysis further predicts
that 2 melon-headed whales would be
exposed to levels of pressure and/or
energy from explosive detonations that
would result in Level B harassment by
TTS, and 6 could be exposed to levels
associated with behavioral disturbance.
NMFS believes that this is unlikely
because of: (1) The distance within
which they would have to approach the
explosive source; and, (2) the likelihood
that Navy monitors would, during preor during exercises monitoring, detect
these large-grouped gregarious animals
prior to an approach within this
distance and require a delay of the
exercise.
These species all have large ranges,
primarily tropical (melon-headed and
pygmy killer whales) and tropical/
temperate (false killer and short-finned
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pilot whales), although the killer whale
is more abundant at higher latitudes.
Abundance estimates are only available
from the MISTCS and only for 3 species
(melon-headed whales—2455, shortfinned pilot whale—909, and false killer
whale—637). The MIRC activities are
not expected to occur in an area/time of
specific importance for reproduction,
feeding, or other known critical
behaviors. Consequently, the activities
are not expected to adversely impact
rates of recruitment or survival of these
social pelagic whales. Based on the
general information contained in the
Negligible Impact Analysis section and
this species-specific summary of the
effects of the takes, NMFS has
preliminarily determined that the
Navy’s specified activities will have a
negligible impact on these species.
Dolphins
Acoustic analysis predicts that
individuals of all 8 of the dolphin
species present in the MIRC will be
exposed to MFAS/HFAS at sound levels
likely to result in Level B harassment
some number of times (see Table 8).
These estimates represent the total
number of takes and not necessarily the
number of individuals taken, as a single
individual may be taken multiple times
over the course of a year. These Level
B takes are anticipated to be primarily
in the form of behavioral disturbance as
described in the Definition of
Harassment: Level B Harassment
section, although some number of TTS
takes are also estimated for all species
and one PTS take is predicted for a
pantropical spotted dolphin. However,
it is unlikely that many individuals of
these species will incur TTS because of:
the distance within which they would
have to approach the MFAS source
(approximately 140 m for the most
powerful source for TTS), the fact that
many animals will likely avoid active
sonar sources to some degree, and the
likelihood that Navy monitors would
detect these animals prior to an
approach within this distance (given
their gregarious nature and large group
size) and implement active sonar
powerdown or shutdown. However, the
Navy’s proposed mitigation has a
provision that allows the Navy to
continue operation of MFAS if the
animals are clearly bow-riding even
after the Navy has initially maneuvered
to try and avoid closing with the
animals. Since these animals sometimes
bow-ride they could potentially be
exposed to levels associated with TTS
as they approach or depart from bowriding. As mentioned above and
indicated in Table 5, vocalizations of
these species might overlap with the
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14:42 Oct 19, 2009
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MFAS/HFAS TTS frequency range (2–
20 kHz), which could potentially
temporarily decrease an animal’s
sensitivity to the calls of conspecifics or
returning echolocation signals.
However, as noted previously, NMFS
does not anticipate TTS of a long
duration or severe degree to occur as a
result of exposure to MFAS/HFAS.
The acoustic analysis further predicts
that several individuals of several
species of dolphins would be exposed to
levels of pressure and/or energy from
explosive detonations that would result
in Level B harassment by TTS or
behavioral harassment. NMFS believes
that this is unlikely because of: (1) The
distance within which they would have
to approach the explosive source; and,
(2) the likelihood that Navy monitors
would, during pre- or during exercises
monitoring, detect these large-grouped
gregarious animals prior to an approach
within this distance and require a delay
of the exercise.
These species all have large ranges,
primarily tropical and tropical/
temperate. Abundance estimates are
only available from the MISTCS and
only for 5 species (bottlenose dolphin—
122, pantropical spotted dolphin—
12,981, rough-toothed dolphin—166,
spinner dolphin—1803, and striped
dolphin—3531). Three species were
sighted with calves during the MISTCS,
bottlenose dolphins, Risso’s dolphins,
and striped dolphins, however, no areas
of regular use for breeding or calving
have been identified.
Spinner dolphins, which rest
primarily during the day in relatively
large groups, are known to consistently
use certain areas (usually Bays) for this
function. Because of this, they are a
regular target for whalewatching boats
or other members of the public
interested in viewing or interacting with
them, which could potentially put them
at increased energetic risk if their
resting cycles are repeatedly interrupted
in a significant manner. There are
several resting areas for spinner
dolphins in the MIRC Study Area: Agat
Bay, Bile/Tougan Bay, and Double Reef.
These areas usually occur in clear, calm,
shallow waters sheltered from
prevailing tradewinds. NMFS and the
Navy considered spinner dolphin
resting areas in relation to areas where
the Navy plans to conduct training
activities, including the Agat Bay
UNDET areas. The outermost edge of the
resting areas extends out approximately
.5 nm (900m) from shore, which is 4 nm
(7.4km) away from the Agat Bay UNDET
area. The estimated threshold range for
TTS exposure from explosives ordnance
used in the Agat Bay UNDET area is
approximately .3nm (500m). Therefore,
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explosive activities conducted at this
site are not expected to impact resting
spinner dolphins. Unlike the UNDET
areas for MIW, there are no areas
specifically designated for ASW and
SUW exercises. They are, however, all
conducted at least 3nm (5.6km) away
from shore and can occur anywhere
throughout the 500,000nm 2 MIRC
Study Area. The Agat Bay, Bile/Tougan,
and Double Reef resting areas extend
aproximately .5nm, .4nm, and .3nm
from shore. The TTS threshold distance
for MFA ranges from 0 to 140m from the
source and, therefore, spinner dolphins
resting in these Bays are not expected to
be exposed to levels associated with
TTS. The received SPL level at 2.5nm
(4.6km), is between 160 and 170dB and
there could be potential for some
behavioral impacts if spinner dophins
were resting in the area when ASW was
conducted at the closest possible spot,
however, due to the large size of the
MIRC study area (over 500,000nm2), the
probability that ASW training activities
would be conducted in close proximity
to any of the recognized resting areas
when spinner dolphins are present is
very low.
The MIRC activities are not expected
to occur in an area/time of specific
importance for reproduction, feeding, or
other known critical behaviors.
Consequently, the activities are not
expected to adversely impact rates of
recruitment or survival of dolphins.
Based on the general information
contained in the Negligible Impact
Analysis section and this speciesspecific summary of the effects of the
takes, NMFS has preliminarily
determined that the Navy’s specified
activities will have a negligible impact
on these species.
Preliminary Determination
Negligible Impact
Based on the analysis contained
herein of the likely effects of the
specified activity on marine mammals
and their habitat and dependent upon
the implementation of the mitigation
and monitoring measures, NMFS
preliminarily finds that the total taking
from Navy training exercises utilizing
MFAS/HFAS and underwater
explosives in the MIRC will have a
negligible impact on the affected species
or stocks. NMFS has proposed
regulations for these exercises that
prescribe the means of effecting the least
practicable adverse impact on marine
mammals and their habitat and set forth
requirements pertaining to the
monitoring and reporting of that taking.
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Subsistence Harvest of Marine
Mammals
NMFS has preliminarily determined
that the issuance of 5-year regulations
and subsequent LOAs for Navy training
exercises in the MIRC would not have
an unmitigable adverse impact on the
availability of the affected species or
stocks for subsistence use.
As noted above, NMFS will consider
all comments, suggestions and/or
concerns submitted by the public during
the proposed rulemaking comment
period to help inform our final decision,
particularly with respect to our
negligible impact determination and the
proposed mitigation and monitoring
measures.
ESA
There are five marine mammal
species and two sea turtle species that
are listed as endangered under the ESA
with confirmed or possible occurrence
in the study area: humpback whale, sei
whale, fin whale, blue whale, sperm
whale, hawksbill sea turtle and
leatherback sea turtle. An additional
three species of sea turtles are also listed
as threatened under the ESA: green sea
turtle, loggerhead sea turtle, and olive
ridley sea turtle. The Navy has begun
consultation with NMFS and the
USFWS pursuant to section 7 of the
ESA, and NMFS will also consult
internally on the issuance of LOAS
under section 101(a)(5)(A) of the MMPA
for MIRC activities. Consultation will be
concluded prior to a determination on
the issuance of the final rule and an
LOA.
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NEPA
NMFS has participated as a
cooperating agency on the Navy’s Draft
Environmental Impact Statement (DEIS)
for the MIRC, which was published on
January 30, 2008. The Navy’s DEIS is
posted on NMFS’ Web site: https://
www.nmfs.noaa.gov/pr/permits/
incidental.htm#applications. NMFS
intends to adopt the Navy’s Final EIS
(FEIS), if adequate and appropriate.
Currently, we believe that the adoption
of the Navy’s FEIS will allow NMFS to
meet its responsibilities under NEPA for
the issuance of an LOA for MIRC. If the
Navy’s FEIS is deemed not to be
adequate, NMFS would supplement the
existing analysis to ensure that we
comply with NEPA prior to the issuance
of the final rule or LOA.
Classification
14:42 Oct 19, 2009
List of Subjects in 50 CFR Part 218
Exports, Fish, Imports, Incidental
take, Indians, Labeling, Marine
mammals, Navy, Penalties, Reporting
and recordkeeping requirements,
Seafood, Transportation.
Samuel D. Rauch III,
Deputy Administrator for Regulatory
Programs, National Marine Fisheries Service.
For reasons set forth in the preamble,
50 CFR part 218 is proposed to be
amended as follows:
PART 218—REGULATIONS
GOVERNING THE TAKING AND
IMPORTING OF MARINE MAMMALS
1. The authority citation for part 218
continues to read as follows:
Authority: 16 U.S.C. 1361 et seq.
This action does not contain any
collection of information requirements
for purposes of the Paperwork
Reduction Act.
VerDate Nov<24>2008
The Office of Management and Budget
has determined that this proposed rule
is significant for purposes of Executive
Order 12866.
Pursuant to the Regulatory Flexibility
Act, the Chief Counsel for Regulation of
the Department of Commerce has
certified to the Chief Counsel for
Advocacy of the Small Business
Administration that this proposed rule,
if adopted, would not have a significant
economic impact on a substantial
number of small entities. The
Regulatory Flexibility Act requires
Federal agencies to prepare an analysis
of a rule’s impact on small entities
whenever the agency is required to
publish a notice of proposed
rulemaking. However, a Federal agency
may certify, pursuant to 5 U.S.C. 605
(b), that the action will not have a
significant economic impact on a
substantial number of small entities.
The Navy is the sole entity that will be
affected by this rulemaking, not a small
governmental jurisdiction, small
organization or small business, as
defined by the Regulatory Flexibility
Act (RFA). Any requirements imposed
by a Letter of Authorization issued
pursuant to these regulations, and any
monitoring or reporting requirements
imposed by these regulations, will be
applicable only to the Navy. NMFS does
not expect the issuance of these
regulations or the associated LOAs to
result in any impacts to small entities
pursuant to the RFA. Because this
action, if adopted, would directly affect
the Navy and not a small entity, NMFS
concludes the action would not result in
a significant economic impact on a
substantial number of small entities.
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Subparts D–K [Added and Reserved]
2. Subparts D–K are added to part 218
and reserved.
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53865
3. Subpart L is added to part 218 to
read as follows:
Subpart L—Taking and Importing Marine
Mammals; U.S. Navy’s Mariana Islands
Range Complex (MIRC)
Sec.
218.100 Specified activity and geographical
area.
218.101 [Reserved]
218.102 Permissible methods of taking.
218.103 Prohibitions.
218.104 Mitigation.
218.105 Requirements for monitoring and
reporting.
218.106 Applications for Letters of
Authorization.
218.107 Letters of Authorization.
218.108 Renewal of Letters of Authorization
and adaptive management.
218.109 Modifications to Letters of
Authorization.
Subpart L—Taking and Importing
Marine Mammals; U.S. Navy’s Mariana
Islands Range Complex (MIRC)
§ 218.100 Specified activity and
geographical area.
(a) Regulations in this subpart apply
only to the U.S. Navy for the taking of
marine mammals that occurs in the area
outlined in paragraph (b) of this section
and that occur incidental to the
activities described in paragraph (c) of
this section.
(b) The taking of marine mammals by
the Navy is only authorized if it occurs
within the Mariana Islands Range
Complex (MIRC) Study Area (as
depicted in Figure 1–1 in the Navy’s
application for MIRC), which is
bounded by a pentagon with the
following five corners: 16°46′29.3376″
N. lat., 138°00′59.835″ E. long.;
20°02′24.8094″ N. lat., 140°10′13.8642″
E. long.; 20° 3′ 27.5538″ N. lat., 149° 17′
41.0388″ E. long.; 7° 0′ 30.0702″ N. lat.,
149° 16′ 14.8542’’E. long; and 6° 59′
24.633″ N. lat, 138° 1′ 29.7228″ E. long.
(c) The taking of marine mammals by
the Navy is only authorized if it occurs
incidental to the following activities
within the designated amounts of use:
(1) The use of the following midfrequency active sonar (MFAS) sources,
high frequency active sonar (HFAS)
sources for U.S. Navy anti-submarine
warfare (ASW), in the amounts and in
the locations indicated below (± 10%):
(i) AN/SQS–53 (hull-mounted active
sonar)—up to 10865 hours over the
course of 5 years (an average of 2173
hours per year), with no more than 10%
of this use in the winter;
(ii) AN/SQS–56 (hull-mounted active
sonar)—up to 705 hours over the course
of 5 years (an average of 141 hours per
year);
(iii) AN/SSQ–62 (Directional
Command Activated Sonobuoy System
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(DICASS) sonobuoys)—up to 8270
sonobuoys over the course of 5 years (an
average of 1654 sonobuoys per year)
(iv) AN/AQS–22 (helicopter dipping
sonar)—up to 2960 hours over the
course of 5 years (an average of 592
hours per year);
(v) AN/BQQ–10 (submarine hullmounted sonar)—up to 60 hours over
the course of 5 years (an average of 12
hours per year);
(vi) MK–48, MK–46, or MK–54
(torpedoes)—up to 200 torpedoes over
the course of 5 years (an average of 40
torpedoes per year);
(vii) AN/SSQ–110 (IEER)—up to 530
buoys deployed over the course of 5
years (an average of 106 per year);
(viii) AN/SSQ–125 (AEER)—up to 530
buoys deployed over the course of 5
years (an average of 106 per year);
(ix) Range Pingers—up to 1400 hours
over the course of 5 years (an average of
280 hours per year); and
(x) PUTR Transponder—up to 1400
hours over the course of 5 years (an
average of 280 hours per year).
(2) The detonation of the underwater
explosives indicated in paragraph
(c)(2)(i) of this section conducted as part
of the training events indicated in
paragraph (c)(2)(ii) of this section:
(i) Underwater Explosives:
(A) 5″ Naval Gunfire (9.5 lbs);
(B) 76 mm rounds (1.6 lbs);
(C) Maverick (78.5 lbs);
(D) Harpoon (448 lbs);
(E) MK–82 (238 lbs);
(F) MK–83 (574 lbs);
(G) MK–84 (945 lbs);
(H) MK–48 (851 lbs);
(I) Demolition Charges (10 lbs);
(J) AN/SSQ–110A (IEER explosive
sonobuoy—5 lbs);
(K) Hellfire (16.5lbs);
(L) GBU 38/32/31.
(ii) Training Events:
(A) Gunnery Exercises (S–S
GUNEX)—up to 60 exercises over the
course of 5 years (an average of 12 per
year);
(B) Bombing Exercises (BOMBEX)—
up to 20 exercises over the course of 5
years (an average of 4 per year);
(C) Sinking Exercises (SINKEX)—up
to 10 exercises over the course of 5 years
(an average of 2 per year);
(D) Extended Echo Ranging and
Improved Extended Echo Ranging (EER/
IEER) Systems—up to 530 deployments
over the course of 5 years (an average of
106 per year);
(E) Demolitions—up to 50 over the
course of 5 years (an average of 10 per
year); and
(F) Missile exercises (A–S
MISSILEX)—up to 10 exercises over the
course of 5 years (an average of 2 per
year).
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§ 218.101
[Reserved]
§ 218.102
Permissible methods of taking.
(a) Under Letters of Authorization
issued pursuant to §§ 216.106 and
218.107 of this chapter, the Holder of
the Letter of Authorization (hereinafter
‘‘Navy’’) may incidentally, but not
intentionally, take marine mammals
within the area described in
§ 218.100(b), provided the activity is in
compliance with all terms, conditions,
and requirements of these regulations
and the appropriate Letter of
Authorization.
(b) The incidental take of marine
mammals under the activities identified
in § 218.100(c) is limited to the
following species, by the indicated
method of take and the indicated
number of times (estimated based on the
authorized amounts of sound source
operation):
(1) Level B Harassment (+/¥10% of
the take estimate indicated below):
(i) Mysticetes:
(A) Humpback whale (Megaptera
novaeangliae)—4025 (an average of 805
annually);
(B) Fin whale (Balaenoptera
physalus)—910 (an average of 182
annually);
(C) Blue whale (Balaenoptera
musculus)—650 (an average of 130
annually);
(D) Sei whale (Balaenoptera
borealis)—1625 (an average of 325
annually);
(E) Minke whale (Balaenoptera
acutorostrata)—2225 (an average of 445
annually);
(F) Bryde’s whale (Balaenoptera
edeni)—2285 (an average of 457
annually); and
(G) Unidentified Baleanopterid
whales—360 (an average of 72 annually)
(ii) Odontocetes:
(A) Sperm whales (Physeter
macrocephalus)—4130 (an average of
826 annually);
(B) Killer whale (Orcinus orca)—1150
(an average of 230 annually);
(C) Pygmy or dwarf sperm whales
(Kogia breviceps or Kogia sima)—33515
(an average of 6703 annually);
(D) Blainville’s beaked whales
(Mesoplodon densirostris);—3850 (an
average of 770 annually);
(E) Cuvier’s beaked whales (Ziphius
cavirostris)—18135 (an average of 3627
annually);
(F) Ginkgo-toothed beaked whales
(Mesoplodon ginkgodens)—2150 (an
average of 430 annually);
(G) Longman’s beaked whale
(Indopacetus pacificus)—1030 (an
average of 206 annually);
(H) Short-finned pilot whale
(Globicephala macrorynchus)—11370
(an average of 2274 annually);
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(I) Melon-headed whale
(Peponocephala electra)—14310 (an
average of 2862 annually)
(J) Pygmy killer whale (Feresa
attenuata)—800 (an average of 160
annually);
(K) False killer whale (Pseudorca
crassidens)—6445 (an average of 1289
annually);
(L) Striped dolphin (Stenella
coeruleoalba)—44280 (an average of
8856 annually);
(M) Short-beaked common dolphin
(Delphinus delphis)—4715 (an average
of 943 annually);
(N) Risso’s dolphin (Grampus
griseus)—33855 (an average of 6771
annually);
(O) Bottlenose dolphin (Tursiops
truncates)—855 (an average of 171
annually);
(P) Fraser’s dolphin (Lagenodelphis
hosei)—23065 (an average of 4613
annually);
(Q) Pantropical spotted dolphin
(Stenella attenuata)—162465 (an
average of 32493 annually);
(R) Rough-toothed dolphin (Steno
bredanensis)—1205 (an average of 241
annually);
(S) Spinner dolphin (Stenella
longirostris)—10715 (an average of 2143
annually); and
(T) Unidentified delphinid—7690 (an
average of 1538 annually).
(2) Level A Harassment:
(i) Sperm whale—5 (an average of 1
annually);
(ii) Pantropical spotted dolphin—5
(an average of 1 annually);
(3) Level A Harassment and/or
mortality of no more than 10 beaked
whales (total), of any of the species
listed in § 218.102(c)(1)(ii)(D) through
(G) over the course of the 5-year
regulations.
§ 218.103
Prohibitions.
No person in connection with the
activities described in § 218.100 may:
(a) Take any marine mammal not
specified in § 218.102(c);
(b) Take any marine mammal
specified in § 218.102(c) other than by
incidental take as specified in
§ 218.102(c)(1), (c)(2), and (c)(3);
(c) Take a marine mammal specified
in § 218.102(c) if such taking results in
more than a negligible impact on the
species or stocks of such marine
mammal; or
(d) Violate, or fail to comply with, the
terms, conditions, and requirements of
these regulations or a Letter of
Authorization issued under §§ 216.106
and 218.107 of this chapter.
§ 218.104
Mitigation.
(a) When conducting training and
utilizing the sound sources or
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explosives identified in § 218.100(c), the
mitigation measures contained in a
Letter of Authorization issued under
§§ 216.106 and 218.107 of this chapter
must be implemented. These mitigation
measures include, but are not limited to:
(1) Personnel Training:
(i) All commanding officers (COs),
executive officers (XOs), lookouts,
Officers of the Deck (OODs), junior
OODs (JOODs), maritime patrol aircraft
aircrews, and Anti-submarine Warfare
(ASW)/Mine Warfare (MIW) helicopter
crews shall complete the NMFSapproved Marine Species Awareness
Training (MSAT) by viewing the U.S.
Navy MSAT digital versatile disk (DVD).
All bridge lookouts shall complete both
parts one and two of the MSAT; part
two is optional for other personnel.
(ii) Navy lookouts shall undertake
extensive training in order to qualify as
a watchstander in accordance with the
Lookout Training Handbook (Naval
Education and Training Command
[NAVEDTRA] 12968–D).
(iii) Lookout training shall include onthe-job instruction under the
supervision of a qualified, experienced
lookout. Following successful
completion of this supervised training
period, lookouts shall complete the
Personal Qualification Standard
Program, certifying that they have
demonstrated the necessary skills (such
as detection and reporting of partially
submerged objects). Personnel being
trained as lookouts can be counted
among required lookouts as long as
supervisors monitor their progress and
performance.
(iv) Lookouts shall be trained in the
most effective means to ensure quick
and effective communication within the
command structure in order to facilitate
implementation of protective measures
if marine species are spotted.
(v) All lookouts onboard platforms
involved in ASW training events will
review the NMFS-approved Marine
Species Awareness Training material
prior to use of mid-frequency active
sonar.
(vi) All COs, XOs, and officers
standing watch on the bridge will have
reviewed the Marine Species Awareness
Training material prior to a training
event employing the use of MFAS/
HFAS.
(2) General Operating Procedures (for
all training types):
(i) Prior to major exercises, a Letter of
Instruction, Mitigation Measures
Message or Environmental Annex to the
Operational Order shall be issued to
further disseminate the personnel
training requirement and general marine
species protective measures.
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(ii) COs shall make use of marine
species detection cues and information
to limit interaction with marine
mammals to the maximum extent
possible consistent with safety of the
ship.
(iii) While underway, surface vessels
shall have at least two lookouts with
binoculars; surfaced submarines shall
have at least one lookout with
binoculars. Lookouts already posted for
safety of navigation and man-overboard
precautions may be used to fill this
requirement. As part of their regular
duties, lookouts will watch for and
report to the OOD the presence of
marine mammals.
(iv) On surface vessels equipped with
a multi-function active sensor, pedestal
mounted ‘‘Big Eye’’ (20x110) binoculars
shall be properly installed and in good
working order to assist in the detection
of marine mammals in the vicinity of
the vessel.
(v) Personnel on lookout shall employ
visual search procedures employing a
scanning methodology in accordance
with the Lookout Training Handbook
(NAVEDTRA 12968–D).
(vi) After sunset and prior to sunrise,
lookouts shall employ Night Lookouts
Techniques in accordance with the
Lookout Training Handbook
(NAVEDTRA 12968–D).
(vii) While in transit, naval vessels
shall be alert at all times, use extreme
caution, and proceed at a ‘‘safe speed’’,
which means the speed at which the CO
can maintain crew safety and
effectiveness of current operational
directives, so that the vessel can take
action to avoid a collision with any
marine mammal.
(viii) When marine mammals have
been sighted in the area, Navy vessels
shall increase vigilance and take all
reasonable actions to avoid collisions
and close interaction of naval assets and
marine mammals. Such action may
include changing speed and/or direction
and are dictated by environmental and
other conditions (e.g., safety, weather).
(ix) Navy aircraft participating in
exercises at-sea shall conduct and
maintain surveillance for marine
mammals as long as it does not violate
safety constraints or interfere with the
accomplishment of primary operational
duties.
(x) All marine mammal detections
shall be immediately reported to
assigned Aircraft Control Unit for
further dissemination to ships in the
vicinity of the marine species as
appropriate when it is reasonable to
conclude that the course of the ship will
likely result in a closing of the distance
to the detected marine mammal.
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(3) Operating Procedures (for Antisubmarine Warfare Operations):
(i) On the bridge of surface ships,
there shall always be at least three
people on watch whose duties include
observing the water surface around the
vessel.
(ii) All surface ships participating in
ASW training events shall have, in
addition to the three personnel on
watch noted in paragraph (a)(3)(i) of this
section, at least two additional
personnel on watch as lookouts at all
times during the exercise.
(iii) Personnel on lookout and officers
on watch on the bridge will have at least
one set of binoculars available for each
person to aid in the detection of marine
mammals.
(iv) Personnel on lookout shall be
responsible for reporting all objects or
anomalies sighted in the water
(regardless of the distance from the
vessel) to the Officer of the Deck, since
any object or disturbance (e.g., trash,
periscope, surface disturbance,
discoloration) in the water may be
indicative of a threat to the vessel and
its crew or indicative of a marine
mammal that may need to be avoided.
(v) All personnel engaged in passive
acoustic sonar operation (including
aircraft, surface ships, or submarines)
shall monitor for marine mammal
vocalizations and report the detection of
any marine mammal to the appropriate
watch station for dissemination and
appropriate action.
(vi) During mid-frequency active
sonar operations, personnel shall utilize
all available sensor and optical systems
(such as night vision goggles) to aid in
the detection of marine mammals.
(vii) Aircraft with deployed
sonobuoys shall use only the passive
capability of sonobuoys when marine
mammals are detected within 200 yds
(183 m) of the sonobuoy.
(viii) Helicopters shall observe/survey
the vicinity of an ASW exercise for 10
minutes before the first deployment of
active (dipping) sonar in the water.
(ix) Helicopters shall not dip their
sonar within 200 yards of a marine
mammal and shall cease pinging if a
marine mammal closes within 200 yards
after pinging has begun.
(x) Safety Zones—When marine
mammals are detected by any means
(aircraft, shipboard lookout, or
acoustically) within or closing to inside
1,000 yds (914 m) of the sonar dome
(the bow), the ship or submarine shall
limit active transmission levels to at
least 6 decibels (dB) below normal
operating levels for that source (i.e.,
limit to at most 229 dB for AN/SQS–53C
and 219 for AN/SQS–56C, etc.).
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(A) Ships and submarines shall
continue to limit maximum
transmission levels by this 6-dB factor
until the animal has been seen to leave
the 1000-yd exclusion zone, has not
been detected for 30 minutes, or the
vessel has transited more than 2,000 yds
(1829 m) beyond the location of the last
detection.
(B) Should a marine mammal be
detected within or closing to inside 500
yds (457 m) of the sonar dome, active
sonar transmissions shall be limited to
at least 10 dB below the equipment’s
normal operating level (i.e., limit to at
most 225 dB for AN/SQS–53C and 215
for AN/SQS–56C, etc.). Ships and
submarines shall continue to limit
maximum ping levels by this 10-dB
factor until the animal has been seen to
leave the 500-yd exclusion zone (at
which point the 6-dB powerdown
applies until the animal leaves the 1000yd exclusion zone), has not been
detected for 30 minutes, or the vessel
has transited more than 2,000 yds (1829
m) beyond the location of the last
detection.
(C) Should the marine mammal be
detected within or closing to inside 200
yds (183 m) of the sonar dome, active
sonar transmissions shall cease. Sonar
shall not resume until the animal has
been seen to leave the 200-yd exclusion
zone (at which point the 10-dB or 6-dB
powerdowns apply until the animal
leaves the 500-yd or 1000-yd exclusion
zone, respectively), has not been
detected for 30 minutes, or the vessel
has transited more than 2,000 yds (1829
m) beyond the location of the last
detection.
(D) Special conditions applicable for
dolphins and porpoises only: If, after
conducting an initial maneuver to avoid
close quarters with dolphins or
porpoises, the OOD concludes that
dolphins or porpoises are deliberately
closing to ride the vessel’s bow wave, no
further mitigation actions are necessary
while the dolphins or porpoises
continue to exhibit bow wave riding
behavior.
(xi) Prior to start up or restart of active
sonar, operators will check that the
Safety Zone radius around the sound
source is clear of marine mammals.
(xii) Active sonar levels (generally)—
Navy shall operate active sonar at the
lowest practicable level, not to exceed
235 dB, except as required to meet
tactical training objectives.
(xiii) Submarine sonar operators will
review detection indicators of closeaboard marine mammals prior to the
commencement of ASW training events
involving MFAS.
(xiv) If the need for power-down
should arise (as detailed in
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§ 218.114(a)(3)(x)) when the Navy was
operating a hull-mounted or submounted source above 235 db
(infrequent), the Navy shall follow the
requirements as though they were
operating at 235 dB—the normal
operating level (i.e., the first powerdown will be to 229 dB, regardless of at
what level above 235 dB active sonar
was being operated).
(4) Operating Procedures for
Underwater Detonations (up to 10-lb
charges):
(i) Exclusion Zones—All demolitions
and ship mine countermeasures training
exercises involving the use of explosive
charges must include exclusion zones
for marine mammals to prevent physical
and/or acoustic effects to those species.
These exclusion zones shall extend in a
700-yard arc radius around the
detonation site. Should a marine
mammal be present within the the
surveillance area, the explosive event
shall not be started until the animal
leaves the area.
(ii) Pre-Exercise Surveys—For
Demolition and Ship Mine
Countermeasures Operations, preexercise surveys shall be conducted
within 30 minutes prior to the
commencement of the scheduled
explosive event. The survey may be
conducted from the surface, by divers,
and/or from the air, and personnel shall
be alert to the presence of any marine
mammal. Should such an animal be
present within the survey area, the
explosive event shall not be started until
the animal voluntarily leaves the area.
The Navy will ensure the area is clear
of marine mammals for a full 30
minutes prior to initiating the explosive
event. Personnel will record any marine
mammal observations during the
exercise as well as measures taken if
species are detected within the
exclusion zone.
(iii) Post-Exercise Surveys—Surveys
within the same exclusion zone radius
shall also be conducted within 30
minutes after the completion of the
explosive event.
(iv) Reporting—If there is evidence
that a marine mammal may have been
stranded, injured or killed by the action,
Navy training activities shall be
immediately suspended and the
situation immediately reported by the
participating unit to the Officer in
Charge of the Exercise (OCE), who will
follow Navy procedures for reporting
the incident to Commander, Pacific
Fleet, Commander, Navy Region
Northwest, Environmental Director, and
the chain-of-command. The situation
shall also be reported to NMFS (see
Stranding Plan for details).
(5) Sinking Exercise:
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(i) All weapons firing shall be
conducted during the period 1 hour
after official sunrise to 30 minutes
before official sunset.
(ii) An exclusion zone with a radius
of 1.0 nm (1.9 km) will be established
around each target. An additional buffer
of 0.5 nm (0.9 km) will be added to
account for errors, target drift, and
animal movements. Additionally, a
safety zone, which will extend beyond
the buffer zone by an additional 0.5 nm
(0.9 km), would be surveyed. Together,
the zones extend out 2 nm (3.7 km) from
the target.
(iii) A series of surveillance overflights shall be conducted within the
exclusion and the safety zones, prior to
and during the exercise, when feasible.
Survey protocol shall be as follows:
(A) Overflights within the exclusion
zone shall be conducted in a manner
that optimizes the surface area of the
water observed. This may be
accomplished through the use of the
Navy’s Search and Rescue Tactical Aid,
which provides the best search altitude,
ground speed, and track spacing for the
discovery of small, possibly dark objects
in the water based on the environmental
conditions of the day. These
environmental conditions include the
angle of sun inclination, amount of
daylight, cloud cover, visibility, and sea
state.
(B) All visual surveillance activities
shall be conducted by Navy personnel
trained in visual surveillance. At least
one member of the mitigation team will
have completed the Navy’s marine
mammal training program for lookouts.
(C) In addition to the overflights, the
exclusion zone shall be monitored by
passive acoustic means, when assets are
available. This passive acoustic
monitoring would be maintained
throughout the exercise. Additionally,
passive sonar onboard submarines may
be utilized to detect any vocalizing
marine mammals in the area. The OCE
will be informed of any aural detection
of marine mammals and will include
this information in the determination of
when it is safe to commence the
exercise.
(D) On each day of the exercise, aerial
surveillance of the exclusion and safety
zones shall commence 2 hours prior to
the first firing.
(E) The results of all visual, aerial,
and acoustic searches shall be reported
immediately to the OCE. No weapons
launches or firing may commence until
the OCE declares the safety and
exclusion zones free of marine
mammals.
(F) If a marine mammal is observed
within the exclusion zone, firing will be
delayed until the animal is re-sighted
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outside the exclusion zone, or 30
minutes have elapsed. After 30 minutes,
if the animal has not been re-sighted it
can be assumed to have left the
exclusion zone. The OCE will determine
if the marine mammal is in danger of
being adversely affected by
commencement of the exercise.
(G) During breaks in the exercise of 30
minutes or more, the exclusion zone
shall again be surveyed for any marine
mammal. If marine mammals are
sighted within the exclusion zone or
buffer zone, the OCE shall be notified,
and the procedure described above shall
be followed.
(H) Upon sinking of the vessel, a final
surveillance of the exclusion zone shall
be monitored for 2 hours, or until
sunset, to verify that no marine
mammals were harmed.
(iv) Aerial surveillance shall be
conducted using helicopters or other
aircraft based on necessity and
availability. The Navy has several types
of aircraft capable of performing this
task; however, not all types are available
for every exercise. For each exercise, the
available asset best suited for
identifying objects on and near the
surface of the ocean shall be used. These
aircraft shall be capable of flying at the
slow safe speeds necessary to enable
viewing of marine vertebrates with
unobstructed, or minimally obstructed,
downward and outward visibility. The
exclusion and safety zone surveys may
be cancelled in the event that a
mechanical problem, emergency search
and rescue, or other similar and
unexpected event preempts the use of
one of the aircraft onsite for the
exercise.
(v) Every attempt shall be made to
conduct the exercise in sea states that
are ideal for marine mammal sighting,
Beaufort Sea State 3 or less. In the event
of a 4 or above, survey efforts shall be
increased within the zones. This shall
be accomplished through the use of an
additional aircraft, if available, and
conducting tight search patterns.
(vi) The exercise shall not be
conducted unless the exclusion zone
and the buffer zone could be adequately
monitored visually. Should low cloud
cover or surface visibility prevent
adequate visual monitoring as described
previously, the exercise would be
delayed until conditions improved, and
all of the above monitoring criteria
could be met.
(vii) In the event that any marine
mammals are observed to be harmed in
the area, a detailed description of the
animal shall be taken, the location
noted, and if possible, photos taken of
the marine mammal. This information
shall be provided to NMFS via the
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Navy’s regional environmental
coordinator for purposes of
identification (see the draft Stranding
Plan for detail).
(viii) An after action report detailing
the exercise’s time line, the time the
surveys commenced and terminated,
amount, and types of all ordnance
expended, and the results of survey
efforts for each event shall be submitted
to NMFS.
(6) Surface-to-Surface Gunnery (up to
5-inch Explosive Rounds).
(i) For exercises using targets towed
by a vessel, target-towing vessels shall
maintain a trained lookout for marine
mammals when feasible. If a marine
mammal is sighted in the vicinity, the
tow vessel will immediately notify the
firing vessel, which will suspend the
exercise until the area is clear.
(ii) A 600 yard (585 m) radius buffer
zone will be established around the
intended target.
(iii) From the intended firing position,
trained lookouts will survey the buffer
zone for marine mammals prior to
commencement and during the exercise
as long as practicable. Due to the
distance between the firing position and
the buffer zone, lookouts are only
expected to visually detect breaching
whales, whale blows, and large pods of
dolphins and porpoises.
(iv) The exercise will be conducted
only when the buffer zone is visible and
marine mammals are not detected
within it.
(7) Surface-to-Surface Gunnery (nonexplosive rounds)
(i) A 200-yd (183 m) radius buffer
zone shall be established around the
intended target.
(ii) From the intended firing position,
trained lookouts shall survey the buffer
zone for marine mammals prior to
commencement and during the exercise
as long as practicable.
(iii) If available, target towing vessels
shall maintain a lookout (unmanned
towing vessels will not have a lookout
available). If a marine mammal is
sighted in the vicinity of the exercise,
the tow vessel shall immediately notify
the firing vessel in order to secure
gunnery firing until the area is clear.
(iv) The exercise shall be conducted
only when the buffer zone is visible and
marine mammals are not detected
within the target area and the buffer
zone.
(8) Surface-to-Air Gunnery (Explosive
and Non-explosive Rounds).
(i) Vessels will orient the geometry of
gunnery exercises in order to prevent
debris from falling in the area of sighted
marine mammals.
(ii) Vessels will expedite the attempt
to recover of any parachute deploying
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53869
aerial targets to reduce the potential for
entanglement of marine mammals.
(iii) Target towing aircraft shall
maintain a lookout if feasible. If a
marine mammal is sighted in the
vicinity of the exercise, the tow aircraft
will immediately notify the firing vessel
in order to secure gunnery firing until
the area is clear.
(9) Air-to-Surface Gunnery (Explosive
and Non-explosive Rounds).
(i) A 200 yard (183 m) radius buffer
zone will be established around the
intended target.
(ii) If surface vessels are involved,
lookout(s) will visually survey the
buffer zone for marine mammals to and
during the exercise.
(iii) Aerial surveillance of the buffer
zone for marine mammals will be
conducted prior to commencement of
the exercise. Aerial surveillance altitude
of 500 feet to 1,500 feet (152–456 m) is
optimum. Aircraft crew/pilot will
maintain visual watch during exercises.
Release of ordnance through cloud
cover is prohibited; aircraft must be able
to actually see ordnance impact areas.
(iv) The exercise will be conducted
only if marine mammals are not visible
within the buffer zone.
(10) Small Arms Training (Grenades,
Explosive and Non-explosive Rounds)—
Lookouts will visually survey for marine
mammals. Weapons will not be fired in
the direction of known or observed
marine mammals.
(11) Air-to-Surface At-sea Bombing
Exercises (explosive bombs and
rockets):
(i) If surface vessels are involved,
trained lookouts shall survey for marine
mammals. Ordnance shall not be
targeted to impact within 1,000 yds (914
m) of known or observed marine
mammals.
(ii) A 1,000 yd (914 m) radius buffer
zone shall be established around the
intended target.
(iii) Aircraft shall visually survey the
target and buffer zone for marine
mammals prior to and during the
exercise. The survey of the impact area
shall be made by flying at 1,500 ft (152
m) or lower, if safe to do so, and at the
slowest safe speed. When safety or other
considerations require the release of
weapons without the releasing pilot
having visual sight of the target area, a
second aircraft, the ‘‘wingman,’’ will
clear the target area and perform the
clearance and observation functions
required before the dropping plane may
release its weapons. Both planes must
have direct communication to assure
immediate notification to the dropping
plane that the target area may have been
fouled by encroaching animals or
people. The clearing aircraft will assure
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it has visual site of the target area at a
maximum height of 1500 ft. The
clearing plane will remain within visual
sight of the target until required to clear
the area for safety reasons. Survey
aircraft shall employ most effective
search tactics and capabilities.
(iv) The exercise will be conducted
only if marine mammals are not visible
within the buffer zone.
(12) Air-to-Surface At-Sea Bombing
Exercises (Non-explosive Bombs and
Rockets).
(i) If surface vessels are involved,
trained lookouts will survey for marine
mammals. Ordnance shall not be
targeted to impact within 1,000 yards
(914 m) of known or observed marine
mammals.
(ii) A 1,000 yard (914 m) radius buffer
zone will be established around the
intended target.
(iii) Aircraft will visually survey the
target and buffer zone for marine
mammals prior to and during the
exercise. The survey of the impact area
will be made by flying at 1,500 feet (152
m) or lower, if safe to do so, and at the
slowest safe speed. When safety or other
considerations require the release of
weapons without the releasing pilot
having visual sight of the target area, a
second aircraft, the ‘‘wingman,’’ will
clear the target area and perform the
clearance and observation functions
required before the dropping plane may
release its weapons. Both planes must
have direct communication to assure
immediate notification to the dropping
plane that the target area may have been
fouled by encroaching animals or
people. The clearing aircraft will assure
it has visual site of the target area at a
maximum height of 1500 ft. The
clearing plane will remain within visual
sight of the target until required to clear
the area for safety reasons. Survey
aircraft shall employ most effective
search tactics and capabilities.
(iv) The exercise will be conducted
only if marine mammals are not visible
within the buffer zone.
(13) Air-to-Surface Missile Exercises
(explosive and non-explosive):
(i) Aircraft will visually survey the
target area for marine mammals. Visual
inspection of the target area will be
made by flying at 1,500 (457 m) feet or
lower, if safe to do so, and at slowest
safe speed. Firing or range clearance
aircraft must be able to actually see
ordnance impact areas.
(ii) Explosive ordnance shall not be
targeted to impact within 1,800 yds
(1646 m) of sighted marine mammals.
(14) Aircraft Training Activities
Involving Non-Explosive Devices: Nonexplosive devices such as some
sonobuoys, inert bombs, and Mining
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Training Activities involve aerial drops
of devices that have the potential to hit
marine mammals if they are in the
immediate vicinity of a floating target.
The exclusion zone (200 yd), therefore,
shall be clear of marine mammals and
around the target location. Pre- and
post-surveillance and reporting
requirements outlined for underwater
detonations shall be implemented
during Mining Training Activities.
(15) Extended Echo Ranging/
Improved Extended Echo Ranging (EER/
IEER):
(i) Crews shall conduct visual
reconnaissance of the drop area prior to
laying their intended sonobuoy pattern.
This search shall be conducted at an
altitude below 457 m (500 yd) at a slow
speed, if operationally feasible and
weather conditions permit. In dual
aircraft operations, crews are allowed to
conduct coordinated area clearances.
(ii) Crews shall conduct a minimum
of 30 minutes of visual and aural
monitoring of the search area prior to
commanding the first post detonation.
This 30-minute observation period may
include pattern deployment time.
(iii) For any part of the briefed pattern
where a post (source/receiver sonobuoy
pair) will be deployed within 914 m
(1,000 yd) of observed marine mammal
activity, the Navy shall deploy the
receiver ONLY and monitor while
conducting a visual search. When
marine mammals are no longer detected
within 914 m (1,000 yd) of the intended
post position, the Navy shall co-locate
the explosive source sonobuoy (AN/
SSQ–110A) (source) with the receiver.
(iv) When operationally feasible, Navy
crews shall conduct continuous visual
and aural monitoring of marine mammal
activity. This is to include monitoring of
own-aircraft sensors from first sensor
placement to checking off station and
out of RF range of these sensors.
(v) Aural Detection—If the presence of
marine mammals is detected aurally,
then that shall cue the Navy aircrew to
increase the diligence of their visual
surveillance. Subsequently, if no marine
mammals are visually detected, then the
crew may continue multi-static active
search.
(vi) Visual Detection—If marine
mammals are visually detected within
914 m (1,000 yd) of the explosive source
sonobuoy (AN/SSQ–110A) intended for
use, then that payload shall not be
detonated. Aircrews may utilize this
post once the marine mammals have not
been re-sighted for 30 minutes, or are
observed to have moved outside the 914
m (1,000 yd) safety buffer. Aircrews may
shift their multi-static active search to
another post, where marine mammals
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are outside the 914 m (1,000 yd) safety
buffer.
(vii) Aircrews shall make every
attempt to manually detonate the
unexploded charges at each post in the
pattern prior to departing the operations
area by using the ‘‘Payload 1 Release’’
command followed by the ‘‘Payload 2
Release’’ command. Aircrews shall
refrain from using the ‘‘Scuttle’’
command when two payloads remain at
a given post. Aircrews will ensure that
a 914 m (1,000 yd) safety buffer, visually
clear of marine mammals, is maintained
around each post as is done during
active search operations.
(viii) Aircrews shall only leave posts
with unexploded charges in the event of
a sonobuoy malfunction, an aircraft
system malfunction, or when an aircraft
must immediately depart the area due to
issues such as fuel constraints,
inclement weather, and in-flight
emergencies. In these cases, the
sonobuoy will self-scuttle using the
secondary or tertiary method.
(ix) The Navy shall ensure all
payloads are accounted for. Explosive
source sonobuoys (AN/SSQ–110A) that
can not be scuttled shall be reported as
unexploded ordnance via voice
communications while airborne, then
upon landing via naval message.
(x) Mammal monitoring shall
continue until out of own-aircraft sensor
range.
(16) The Navy shall abide by the letter
of the ‘‘Stranding Response Plan for
Major Navy Training Exercises in the
MIRC’’ (available at: https://
www.nmfs.noaa.gov/pr/permits/
incidental.htm), which is incorporated
herein by reference, to include the
following measures:
(i) Shutdown Procedures—When an
Uncommon Stranding Event (USE—
defined in § 216.271) occurs during a
Major Training Exercise (MTE) (as
defined in the Stranding Plan, meaning
including Multi-strike group exercises,
Joint Expeditionary exercises, and
Marine Air Ground Task Force exercises
in the MIRC), the Navy shall implement
the procedures described below.
(A) The Navy shall implement a
Shutdown (as defined in the Stranding
Response Plan for MIRC) when advised
by a NMFS Office of Protected
Resources Headquarters Senior Official
designated in the MIRC Stranding
Communication Protocol that a USE (as
defined in the Stranding Response Plan
for MIRC) involving live animals has
been identified and that at least one live
animal is located in the water. NMFS
and Navy shall communicate, as
needed, regarding the identification of
the USE and the potential need to
implement shutdown procedures.
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(B) Any shutdown in a given area
shall remain in effect in that area until
NMFS advises the Navy that the
subject(s) of the USE at that area die or
are euthanized, or that all live animals
involved in the USE at that area have
left the area (either of their own volition
or herded).
(C) If the Navy finds an injured or
dead marine mammal floating at sea
during an MTE, the Navy shall notify
NMFS immediately or as soon as
operational security considerations
allow. The Navy shall provide NMFS
with species or description of the
animal(s), the condition of the animal(s)
including carcass condition if the
animal(s) is/are dead), location, time of
first discovery, observed behaviors (if
alive), and photo or video of the animals
(if available). Based on the information
provided, NMFS shall determine if, and
advise the Navy whether a modified
shutdown is appropriate on a case-bycase basis.
(D) In the event, following a USE,
that: (a) Qualified individuals are
attempting to herd animals back out to
the open ocean and animals are not
willing to leave, or (b) animals are seen
repeatedly heading for the open ocean
but turning back to shore, NMFS and
the Navy shall coordinate (including an
investigation of other potential
anthropogenic stressors in the area) to
determine if the proximity of MFAS/
HFAS activities or explosive
detonations, though farther than 14 nm
from the distressed animal(s), is likely
decreasing the likelihood that the
animals return to the open water. If so,
NMFS and the Navy shall further
coordinate to determine what measures
are necessary to further minimize that
likelihood and implement those
measures as appropriate.
(ii) Within 72 hours of NMFS
notifying the Navy of the presence of a
USE, the Navy shall provide available
information to NMFS (per the MIRC
Communication Protocol) regarding the
location, number and types of acoustic/
explosive sources, direction and speed
of units using MFAS/HFAS, and marine
mammal sightings information
associated with training activities
occurring within 80 nm (148 km) and 72
hours prior to the USE event.
Information not initially available
regarding the 80 nm (148 km), 72 hours,
period prior to the event shall be
provided as soon as it becomes
available. The Navy shall provide NMFS
investigative teams with additional
relevant unclassified information as
requested, if available.
(iii) Memorandum of Agreement
(MOA)—The Navy and NMFS shall
develop a MOA, or other mechanism,
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that will establish a framework whereby
the Navy can (and provide the Navy
examples of how they can best) assist
NMFS with stranding investigations in
certain circumstances.
(b) [Reserved]
§ 218.105 Requirements for monitoring
and reporting.
(a) General notification of injured or
dead marine mammals. Navy personnel
shall ensure that NMFS is notified
immediately ((see Communication Plan)
or as soon as clearance procedures
allow) if an injured, stranded, or dead
marine mammal is found during or
shortly after, and in the vicinity of, any
Navy training exercise utilizing MFAS,
HFAS, or underwater explosive
detonations. The Navy will provide
NMFS with species or description of the
animal (s), the condition of the
animal(s) (including carcass condition if
the animal is dead), location, time of
first discovery, observed behaviors (if
alive), and photo or video of the animals
(if available). In the event that an
injured, stranded, or dead marine
mammal is found by the Navy that is
not in the vicinity of, or during or
shortly after, MFAS, HFAS, or
underwater explosive detonations, the
Navy will report the same information
as listed above as soon as operationally
feasible and clearance procedures allow.
(b) General notification of ship strike.
In the event of a ship strike by any Navy
vessel, at any time or place, the Navy
shall do the following:
(1) Immediately report to NMFS the
species identification (if known),
location (lat/long) of the animal (or the
strike if the animal has disappeared),
and whether the animal is alive or dead,
or whether its status is unknown.
(2) Report to NMFS as soon as
operationally feasible the size and
length of animal, an estimate of the
injury status (ex., dead, injured but
alive, injured and moving, unknown,
etc.), vessel class/type and operational
status.
(3) Report to NMFS the vessel length,
speed, and heading as soon as feasible.
(4) Provide NMFS a photo or video of
the animal(s), if equipment is available
(c) The Navy must conduct all
monitoring and/or research required
under the Letter of Authorization
including abiding by the MIRC
Monitoring Plan. (https://
www.nmfs.noaa.gov/pr/permits/
incidental.htm#applications)
(d) Report on monitoring required in
paragraph (c) of this section. The Navy
shall submit a report annually on
November 15 describing the
implementation and results (through
June 1 of the same year) of the
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53871
monitoring required in paragraph (c) of
this section. Navy will standardize data
collection methods across ranges to
allow for comparison in different
geographic locations.
(e) Sonar exercise notification. The
Navy shall submit to the NMFS Office
of Protected Resources (specific contact
information to be provided in LOA)
either an electronic (preferably) or
verbal report within fifteen calendar
days after the completion of any MTER
indicating:
(1) Location of the exercise;
(2) Beginning and end dates of the
exercise; and
(3) Type of exercise.
(f) Annual MIRC Report. The Navy
will submit an Annual Exercise MIRC
Report on November 15 of every year
(covering data gathered through
September 15). This report shall contain
the subsections and information
indicated below.
(1) MFAS/HFAS Major Training
Exercises—This section shall contain
the following information for the
following Coordinated and Strike Group
exercises, which for simplicity will be
referred to as major training exercises
for reporting (MTERs): Joint Multi-strike
Group Exercises; Joint Expeditionary
Exercises; and Marine Air Ground Task
Force MIRC:
(i) Exercise Information (for each
MTER):
(A) Exercise designator;
(B) Date that exercise began and
ended;
(C) Location;
(D) Number and types of active
sources used in the exercise;
(E) Number and types of passive
acoustic sources used in exercise;
(F) Number and types of vessels,
aircraft, etc., participating in exercise;
(G) Total hours of observation by
watchstanders;
(H) Total hours of all active sonar
source operation;
(I) Total hours of each active sonar
source (along with explanation of how
hours are calculated for sources
typically quantified in alternate way
(buoys, torpedoes, etc.)); and
(J) Wave height (high, low, and
average during exercise).
(ii) Individual marine mammal
sighting info (for each sighting in each
MTER):
(A) Location of sighting;
(B) Species (if not possible—
indication of whale/dolphin/pinniped);
(C) Number of individuals;
(D) Calves observed (y/n);
(E) Initial Detection Sensor;
(F) Indication of specific type of
platform observation made from
(including, for example, what type of
surface vessel, i.e., FFG, DDG, or CG);
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(G) Length of time observers
maintained visual contact with marine
mammal(s);
(H) Wave height (in feet);
(I) Visibility;
(J) Sonar source in use (y/n);
(K) Indication of whether animal is
<200yd, 200–500yd, 500–1000yd, 1000–
2000yd, or >2000yd from sonar source
in § 218.104(a)(3)(x);
(L) Mitigation Implementation—
Whether operation of sonar sensor was
delayed, or sonar was powered or shut
down, and how long the delay was;
(M) If source in use in
§ 218.104(a)(3)(x) is hullmounted, true
bearing of animal from ship, true
direction of ship’s travel, and estimation
of animal’s motion relative to ship
(opening, closing, parallel); and
(N) Observed behavior—
Watchstanders shall report, in plain
language and without trying to
categorize in any way, the observed
behavior of the animals (such as animal
closing to bow ride, paralleling course/
speed, floating on surface and not
swimming, etc.).
(iii) An evaluation (based on data
gathered during all of the MTERs) of the
effectiveness of mitigation measures
designed to avoid exposing marine
mammals to MFAS. This evaluation
shall identify the specific observations
that support any conclusions the Navy
reaches about the effectiveness of the
mitigation.
(2) ASW Summary—This section
shall include the following information
as summarized from non-major training
exercises (unit-level exercises, such as
TRACKEXs):
(i) Total Hours—Total annual hours of
each type of sonar source (along with
explanation of how hours are calculated
for sources typically quantified in
alternate way (buoys, torpedoes, etc.))
(ii) Cumulative Impacts—To the
extent practicable, the Navy, in
coordination with NMFS, shall develop
and implement a method of annually
reporting non-major training (i.e., ULT)
utilizing hull-mounted sonar. The report
shall present an annual (and seasonal,
where practicable) depiction of nonmajor training exercises geographically
across MIRC. The Navy shall include (in
the MIRC annual report) a brief annual
progress update on the status of the
development of an effective and
unclassified method to report this
information until an agreed-upon (with
NMFS) method has been developed and
implemented.
(3) Sinking Exercises (SINKEXs)—
This section shall include the following
information for each SINKEX completed
that year:
(i) Exercise Info:
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14:42 Oct 19, 2009
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(A) Location;
(B) Date and time exercise began and
ended;
(C) Total hours of observation by
watchstanders before, during, and after
exercise;
(D) Total number and types of rounds
expended/explosives detonated;
(E) Number and types of passive
acoustic sources used in exercise;
(F) Total hours of passive acoustic
search time;
(G) Number and types of vessels,
aircraft, etc., participating in exercise;
(H) Wave height in feet (high, low and
average during exercise); and
(I) Narrative description of sensors
and platforms utilized for marine
mammal detection and timeline
illustrating how marine mammal
detection was conducted.
(ii) Individual marine mammal
observation during SINKEX (by Navy
lookouts) information:
(A) Location of sighting;
(B) Species (if not possible—
indication of whale/dolphin/pinniped);
(C) Number of individuals;
(D) Calves observed (y/n);
(E) Initial detection sensor;
(F) Length of time observers
maintained visual contact with marine
mammal;
(G) Wave height;
(H) Visibility;
(I) Whether sighting was before,
during, or after detonations/exercise,
and how many minutes before or after;
(J) Distance of marine mammal from
actual detonations (or target spot if not
yet detonated)—use four categories to
define distance:
(1) The modeled injury threshold
radius for the largest explosive used in
that exercise type in that OPAREA (TBD
m for SINKEX in MIRC);
(2) The required exclusion zone (1 nm
for SINKEX in MIRC);
(3) The required observation distance
(if different than the exclusion zone (2
nm for SINKEX in MIRC); and
(4) Greater than the required observed
distance. For example, in this case, the
observer shall indicate if < TBD m, from
426 m–1 nm, from 1 nm–2 nm, and >
2 nm.
(K) Observed behavior—
Watchstanders will report, in plain
language and without trying to
categorize in any way, the observed
behavior of the animals (such as animal
closing to bow ride, paralleling course/
speed, floating on surface and not
swimming etc.), including speed and
direction.
(L) Resulting mitigation
implementation—Indicate whether
explosive detonations were delayed,
ceased, modified, or not modified due to
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marine mammal presence and for how
long.
(M) If observation occurs while
explosives are detonating in the water,
indicate munitions type in use at time
of marine mammal detection.
(4) Improved Extended Echo-Ranging
System (IEER) Summary:
(i) Total number of IEER events
conducted in MIRC;
(ii) Total expended/detonated rounds
(buoys); and
(iii) Total number of self-scuttled
IEER rounds.
(5) Explosives Summary—The Navy is
in the process of improving the methods
used to track explosive use to provide
increased granularity. To the extent
practicable, the Navy shall provide the
information described below for all of
their explosive exercises. Until the Navy
is able to report in full the information
below, they will provide an annual
update on the Navy’s explosive tracking
methods, including improvements from
the previous year.
(i) Total annual number of each type
of explosive exercise (of those identified
as part of the ‘‘specified activity’’ in this
final rule) conducted in MIRC; and
(ii) Total annual expended/detonated
rounds (missiles, bombs, etc.) for each
explosive type.
(g) MIRC 5-Yr Comprehensive Report.
The Navy shall submit to NMFS a draft
report that analyzes and summarizes all
of the multi-year marine mammal
information gathered during ASW and
explosive exercises for which annual
reports are required (Annual MIRC
Exercise Reports and MIRC Monitoring
Plan Reports). This report will be
submitted at the end of the fourth year
of the rule (November 2013), covering
activities that have occurred through
July 15, 2014.
(h) Comprehensive National ASW
Report. By June, 2014, the Navy shall
submit a draft National Report that
analyzes, compares, and summarizes the
active sonar data gathered (through
January 1, 2014) from the watchstanders
and pursuant to the implementation of
the Monitoring Plans for the Northwest
Training Range Complex, the Southern
California Range Complex, the Atlantic
Fleet Active Sonar Training, the Hawaii
Range Complex, the Marianas Islands
Range Complex, and the Gulf of Alaska.
§ 218.106 Applications for Letters of
Authorization.
To incidentally take marine mammals
pursuant to these regulations, the U.S.
Citizen (as defined by § 216.103 of this
chapter) conducting the activity
identified in § 218.100(c) (i.e., the Navy)
must apply for and obtain either an
initial Letter of Authorization in
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accordance with § 218.107 or a renewal
under § 218.108.
§ 218.107
Letters of Authorization.
(a) A Letter of Authorization, unless
suspended or revoked, will be valid for
a period of time not to exceed the period
of validity of this subpart, but must be
renewed annually subject to annual
renewal conditions in § 218.108.
(b) Each Letter of Authorization shall
set forth:
(1) Permissible methods of incidental
taking;
(2) Means of effecting the least
practicable adverse impact on the
species, its habitat, and on the
availability of the species for
subsistence uses (i.e., mitigation); and
(3) Requirements for mitigation,
monitoring and reporting.
(c) Issuance and renewal of the Letter
of Authorization shall be based on a
determination that the total number of
marine mammals taken by the activity
as a whole will have no more than a
negligible impact on the affected species
or stock of marine mammal(s).
§ 218.108 Renewal of Letters of
Authorization and adaptive management.
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(a) A Letter of Authorization issued
under § 216.106 and § 218.177 of this
chapter or the activity identified in
§ 218.170(c) will be renewed annually
upon:
(1) Notification to NMFS that the
activity described in the application
submitted under § 218.246 will be
undertaken and that there will not be a
substantial modification to the
described work, mitigation or
monitoring undertaken during the
upcoming 12 months;
(2) Receipt of the monitoring reports
and notifications within the indicated
timeframes required under § 218.105(b)
through (j); and
(3) A determination by the NMFS that
the mitigation, monitoring and reporting
measures required under § 218.104 and
the Letter of Authorization issued under
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14:42 Oct 19, 2009
Jkt 220001
§§ 216.106 and 218.107 of this chapter,
were undertaken and will be undertaken
during the upcoming annual period of
validity of a renewed Letter of
Authorization.
(b) If a request for a renewal of a
Letter of Authorization issued under
§§ 216.106 and 216.248 of this chapter
indicates that a substantial
modification, as determined by NMFS,
to the described work, mitigation or
monitoring undertaken during the
upcoming season will occur, the NMFS
will provide the public a period of 30
days for review and comment on the
request. Review and comment on
renewals of Letters of Authorization are
restricted to:
(1) New cited information and data
indicating that the determinations made
in this document are in need of
reconsideration, and
(2) Proposed changes to the mitigation
and monitoring requirements contained
in these regulations or in the current
Letter of Authorization.
(c) A notice of issuance or denial of
a renewal of a Letter of Authorization
will be published in the Federal
Register.
(d) Adaptive Management—NMFS
may modify or augment the existing
mitigation or monitoring measures (after
consulting with the Navy regarding the
practicability of the modifications) if
doing so creates a reasonable likelihood
of more effectively accomplishing the
goals of mitigation and monitoring set
forth in the preamble of these
regulations. Below are some of the
possible sources of new data that could
contribute to the decision to modify the
mitigation or monitoring measures:
(1) Results from the Navy’s
monitoring from the previous year
(either from the MIRC Study Area or
other locations).
(2) Findings of the Monitoring
Workshop that the Navy will convene in
2011.
(3) Compiled results of Navy funded
research and development (R&D) studies
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53873
(presented pursuant to the Integrated
Comprehensive Monitoring Plan).
(4) Results from specific stranding
investigations (either from the MIRC
Study Area or other locations, and
involving coincident MFAS/HFAS or
explosives training or not involving
coincident use).
(5) Results from the Long Term
Prospective Study described in the
preamble to these regulations.
(6) Results from general marine
mammal and sound research (funded by
the Navy (described below) or
otherwise).
§ 218.109 Modifications to Letters of
Authorization.
(a) Except as provided in paragraph
(b) of this section, no substantive
modification (including withdrawal or
suspension) to the Letter of
Authorization by NMFS, issued
pursuant to §§ 216.106 and 218.107 of
this chapter and subject to the
provisions of this subpart, shall be made
until after notification and an
opportunity for public comment has
been provided. For purposes of this
paragraph, a renewal of a Letter of
Authorization under § 218.108, without
modification (except for the period of
validity), is not considered a substantive
modification.
(b) If the Assistant Administrator
determines that an emergency exists
that poses a significant risk to the wellbeing of the species or stocks of marine
mammals specified in § 218.100(b), a
Letter of Authorization issued pursuant
to §§ 216.106 and 218.107 of this
chapter may be substantively modified
without prior notification and an
opportunity for public comment.
Notification will be published in the
Federal Register within 30 days
subsequent to the action.
[FR Doc. E9–24837 Filed 10–19–09; 8:45 am]
BILLING CODE 3510–22–P
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[Federal Register Volume 74, Number 201 (Tuesday, October 20, 2009)]
[Proposed Rules]
[Pages 53796-53873]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-24837]
[[Page 53795]]
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Part II
Department of Commerce
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National Oceanic and Atmospheric Administration
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50 CFR Part 218
Taking and Importing Marine Mammals; Military Training Activities and
Research, Development, Testing and Evaluation Conducted Within the
Mariana Islands Range Complex (MIRC); Proposed Rule
Federal Register / Vol. 74 , No. 201 / Tuesday, October 20, 2009 /
Proposed Rules
[[Page 53796]]
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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
50 CFR Part 218
[Docket No. 0907281180-91190-01]
RIN 0648-AX90
Taking and Importing Marine Mammals; Military Training Activities
and Research, Development, Testing and Evaluation Conducted Within the
Mariana Islands Range Complex (MIRC)
AGENCY: National Marine Fisheries Service (NMFS), National Oceanic and
Atmospheric Administration (NOAA), Commerce.
ACTION: Proposed rule; request for comments.
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SUMMARY: NMFS has received a request from the U.S. Navy (Navy) for
authorization for the Department of Defense (including the Navy, the
U.S. Air Force (USAF), and the U.S. Marine Corps (USMC)) to take marine
mammals incidental to training activities conducted in the Mariana
Islands Range Complex (MIRC) study area for the period of March 2010
through February 2015 (amended from the initial request for January
2010 through December 2014). Pursuant to the Marine Mammal Protection
Act (MMPA), NMFS is proposing regulations to govern that take and
requesting information, suggestions, and comments on these proposed
regulations.
DATES: Comments and information must be received no later than November
19, 2009.
ADDRESSES: You may submit comments, identified by 0648-AX90, by any one
of the following methods:
Electronic Submissions: Submit all electronic public
comments via the Federal eRulemaking Portal https://www.regulations.gov.
Hand delivery or mailing of paper, disk, or CD-ROM
comments should be addressed to Michael Payne, Chief, Permits,
Conservation and Education Division, Office of Protected Resources,
National Marine Fisheries Service, 1315 East-West Highway, Silver
Spring, MD 20910-3225.
Instructions: All comments received are a part of the public record
and will generally be posted to https://www.regulations.gov without
change. All Personal Identifying Information (for example, name,
address, etc.) voluntarily submitted by the commenter may be publicly
accessible. Do not submit Confidential Business Information or
otherwise sensitive or protected information.
NMFS will accept anonymous comments (enter N/A in the required
fields if you wish to remain anonymous). Attachments to electronic
comments will be accepted in Microsoft Word, Excel, WordPerfect, or
Adobe PDF file formats only.
FOR FURTHER INFORMATION CONTACT: Jolie Harrison, Office of Protected
Resources, NMFS, (301) 713-2289, ext. 166.
SUPPLEMENTARY INFORMATION:
Availability
A copy of the Navy's application, as well as the draft Monitoring
Plan and the draft Stranding Response Plan for MIRC, may be obtained by
writing to the address specified above (see ADDRESSES), telephoning the
contact listed above (see FOR FURTHER INFORMATION CONTACT), or visiting
the Internet at: https://www.nmfs.noaa.gov/pr/permits/incidental.htm#applications. The Navy's Draft Environmental Impact
Statement (DEIS) for MIRC was published on January 30, 2009, and may be
viewed at https://www.nmfs.noaa.gov/pr/permits/incidental.htm#applications. NMFS is participating in the development
of the Navy's EIS as a cooperating agency under NEPA.
Background
Sections 101(a)(5)(A) and (D) of the MMPA (16 U.S.C. 1361 et seq.)
direct the Secretary of Commerce (Secretary) to allow, upon request,
the incidental, but not intentional taking of marine mammals by U.S.
citizens who engage in a specified activity (other than commercial
fishing) during periods of not more than five consecutive years each if
certain findings are made and regulations are issued or, if the taking
is limited to harassment, notice of a proposed authorization is
provided to the public for review.
Authorization shall be granted if NMFS finds that the taking will
have a negligible impact on the species or stock(s), will not have an
unmitigable adverse impact on the availability of the species or
stock(s) for subsistence uses, and if the permissible methods of taking
and requirements pertaining to the mitigation, monitoring and reporting
of such taking are set forth.
NMFS has defined ``negligible impact'' in 50 CFR 216.103 as:
an impact resulting from the specified activity that cannot be
reasonably expected to, and is not reasonably likely to, adversely
affect the species or stock through effects on annual rates of
recruitment or survival.
The National Defense Authorization Act of 2004 (NDAA) (Pub. L. 108-
136) modified the MMPA by removing the ``small numbers'' and
``specified geographical region'' limitations and amended the
definition of ``harassment'' as it applies to a ``military readiness
activity'' to read as follows (Section 3(18)(B) of the MMPA):
(i) Any act that injures or has the significant potential to
injure a marine mammal or marine mammal stock in the wild [Level A
Harassment]; or
(ii) Any act that disturbs or is likely to disturb a marine
mammal or marine mammal stock in the wild by causing disruption of
natural behavioral patterns, including, but not limited to,
migration, surfacing, nursing, breeding, feeding, or sheltering, to
a point where such behavioral patterns are abandoned or
significantly altered [Level B Harassment].
Summary of Request
In August 2008, NMFS received an application from the Navy (which
was updated in February, March, and June 2009) requesting authorization
for the take of individuals of 28 species of marine mammals incidental
to upcoming Department of Defense (including Navy, USMC, and USAF)
training activities to be conducted from March 2010 through February
2015 within the MIRC study area, which encompasses a 501,873-square-
nautical mile (nm\2\) area around the islands of Guam, Tinian, Saipan,
Rota, Fallaron de Medenillia, and others and includes ocean areas in
both the Pacific Ocean and the Philippine Sea. These training
activities are classified as military readiness activities under the
provisions of the NDAA. The Navy states, and NMFS concurs, that these
military readiness activities may incidentally take marine mammals
present within the MIRC Study Area by exposing them to sound from mid-
frequency or high frequency active sonar (MFAS/HFAS) or underwater
detonations. The Navy requests authorization to take individuals of 27
species of marine mammals by Level B Harassment and 2 individuals of 2
species by Level A Harassment, although injury will likely be avoided
through the implementation of the Navy's proposed mitigation measures.
Further, although it does not anticipate that it will occur, the Navy
requests authorization to take, by injury or mortality, up to 10 beaked
whales over the course of the 5-yr regulations.
Description of Specified Activities
Purpose and Background
The Navy's mission is to maintain, train, and equip combat-ready
naval forces capable of winning wars, deterring aggression, and
maintaining freedom of the seas. Section 5062 of
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Title 10 of the United States Code directs the Chief of Naval
Operations to train all military forces for combat. The Chief of Naval
Operations meets that direction, in part, by conducting at-sea training
exercises and ensuring naval forces have access to ranges, operating
areas (OPAREAs) and airspace where they can develop and maintain skills
for wartime missions and conduct research, development, testing, and
evaluation (RDT&E) of weapons systems.
The specified training and RDT&E activities addressed in this
proposed rule are a subset of the Proposed Action described in the MIRC
DEIS, which would support and maintain Department of Defense training
and assessments of current capabilities, RDT&E activities, and
associated range capabilities (including hardware and infrastructure
improvements in the MIRC). Training and RDT&E do not include combat
operations, operations in direct support of combat, or other activities
conducted primarily for purposes other than training. The Department of
Defense proposes to implement actions within the MIRC to:
Maintain baseline training and RDT&E activities at
mandated levels;
Provide the potential to increase training activities and
exercises from current levels;
Accommodate increased readiness activities associated with
the force structure changes (human resources, new platforms, additional
weapons systems, including underwater tracking capabilities and
training activities to support Intelligence, Surveillance,
Reconnaissance, Strike [ISR/Strike]); and
Implement range complex investment strategies that
sustain, upgrade, modernize, and transform the MIRC to accommodate
increased use and more realistic training scenarios.
The proposed action would result in the following increases (above
those conducted in previous years, i.e., the No Action Alternative in
the Navy's DEIS) in activities associated with the annual take of
marine mammals:
Multistrike Exercises and Joint Expeditionary Exercises
(most extensive at sea exercises utilizing MFAS)--increase from one
exercise in alternate years to one exercise every year.
Other Major Exercises utilizing MFAS (shorter and less
MFAS use)--increase from 1 to 7 exercises.
Unit Level Anti-submarine Warfare (ASW) Exercises (TRACKEX
and TORPEX)--an increase from 34 to 83 exercises.
Mine Warfare Exercises--an increase from 32 to 53
exercises.
Bombing Exercises (non-inert)--an increase from 1 to 4
exercises.
Sinking Exercises--an increase from 1 to 2 exercises.
Gunnery Exercises--an increase from 32 to 54 exercises.
Missile Exercises (Air to Surface, live HELLFIRE
missile)--an increase from 0 to 2 exercises.
Overview of the MIRC
The U.S. military has been training and operating in the area now
defined as the MIRC for over 100 years. The MIRC Study Area (see figure
1-1 in the Navy's application) is located in the Western Pacific
(WestPac) and consists of three primary components: ocean surface and
undersea areas, special use airspace (SUA), and training land areas.
The ocean surface and undersea areas extend from the international
waters south of Guam to north of Pagan (CNMI), and from the Pacific
Ocean east of the Mariana Islands to the middle of the Philippine Sea
to the west, encompassing 501,873 square nautical miles (nm\2\)
(1,299,851 square kilometers [km\2\]) of open ocean and littorals
(coastal areas). The MIRC Study Area includes ocean areas in the
Philippine Sea, Pacific Ocean, and exclusive economic zones (EEZs) of
the United States and Federal States of Micronesia (FSM). The MIRC
Study Area includes land ranges and training area/facilities on Guam,
Rota, Tinian, Saipan, and Farallon de Medinilla (FDM), encompassing 64
nm\2\ (220 km\2\) of land. Special Use Airspace (SUA) consists of
Warning Area 517 (W-517), restricted airspace over FDM (R-7201), and
Air Traffic Control Assigned Airspace (ATCAA) encompassing 63,000 nm\2\
(216,000 km\2\) of airspace. For range management and scheduling
purposes, the MIRC is divided into training areas under different
controlling authorities.
Guam is located roughly three quarters of the distance from Hawaii
to the Philippines, about 1,600 miles east of Manila and 1,550 miles
southeast of Tokyo. The southern extent of the Commonwealth of the
Northern Mariana Islands (CNMI) is located 40 miles north of Guam (Rota
Island) and extends 330 miles to the northwest. Saipan, the CNMI
capital, is 3,300 miles west of Honolulu and 1,470 miles south-
southeast of Tokyo. The MIRC is of particular significance for the
training of U.S. military forces in the Western Pacific because of its
location. As the westernmost complex in U.S. territory, it provides the
only opportunity for forward-deployed U.S. forces to train on U.S.-
owned lands without having to return to Hawaii or the continental
United States.
The seafloor of the MIRC is characterized by the Mariana Trench,
the Mariana Basin, the Mariana Ridge, ridges, numerous seamounts,
hydrothermal vents, and volcanic activity. These areas are comprised of
very deep water with a very rapid transition from the shelf to deep
water. The Mariana Trench is located east to south-east of Guam and the
Mariana Islands and is characterized by deep depths of 16,404 to 32,808
feet [ft] (5,000 to 10,000 m) (Fryer et al., 2003). The Mariana Basin
is located west of Guam and the Mariana Islands, and is characterized
by an average depth of 11,483 ft (Taylor and Martinez 2003; Yamazaki et
al., 1993). The Mariana Ridge consists of Guam and the Mariana Islands
and the waters out to the Mariana Trench, and is characterized by
shallow water transitioning to deep water of 11,483 ft (3,500 m)
(Taylor and Martinez 2003; Yamazaki et al., 1993). The bottom substrate
covering the seafloor in the MIRC is primarily volcanic or marine in
nature (Eldredge, 1983).
The waters of the MIRC Study Area undergo an annual cycle of
temperature change, however this temperature flux is only a few degrees
each year, as would be expected from a tropical climate. The
temperature throughout the year ranges from about 25[deg] to 31 [deg]C
with an annual mean temperature of 27[deg] to 28 [deg]C for the years
ranging from 1984 to 2003 (National Oceanic and Atmospheric
Administration [NOAA] 2004). Temperatures increase during the summer
and autumn months with peak temperatures occurring in September/
October.
The water column in the MIRC Study Area contains a well-mixed
surface layer ranging from 295 ft to 410 ft (90 to 125 m). Immediately
below the mixed layer is a rapid decline in temperature to the cold
deeper waters. Unlike more temperate climates, the thermocline is
relatively stable, rarely turning over and mixing the more nutrient-
rich waters of the deeper ocean in to the surface layer. This
constitutes what has been defined as a ``significant'' surface duct (a
mixed layer of constant water temperature extending from the sea
surface to 100 feet or more), which influences the transmission of
sound in the water. This factor has been included in the modeling
analysis of marine mammal impacts.
Marianas Trench Marine National Monument
The Marianas Trench Marine National Monument (the `Monument') was
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established in January 2009 by Presidential Proclamation under the
authority of the Antiquities Act (16 U.S.C. 431). The Monument consists
of approximately 71,897 square nautical miles (246,600 square
kilometers) of submerged lands and waters of the Mariana Archipelago
and was designated with the purpose of protecting the submerged
volcanic areas of the Mariana Ridge, the coral reef ecosystems of the
waters surrounding the islands of Farallon de Pajaros, Maug, and
Asuncion in the Commonwealth of the Northern Mariana Islands, and the
Mariana Trench. The Monument includes the waters and submerged lands of
the three northernmost Mariana Islands (the `Islands Unit') and only
the submerged lands of designated volcanic sites (the `Volcanic Unit')
and the Mariana Trench (the `Trench Unit') to the extent described as
follows: The seaward boundaries of the Islands Unit of the monument
extend to the lines of latitude and longitude which lie approximately
50 nautical miles (93 kilometers) from the mean low water line of
Farallon de Pajaros (Uracas), Maug, and Asuncion. The inland boundary
of the Islands Unit of the monument is the mean low water line. The
boundary of the Trench Unit of the Monument extends from the northern
limit of the EEZ of the United States in the Commonwealth of the
Northern Mariana Islands to the southern limit of the Exclusive
Economic Zone of the United States in Guam approximately following the
points of latitude and longitude identified in Figure 3.6-1 of the MIRC
DEIS. The boundaries of the Volcanic Unit of the Monument include a 1
nautical mile radius centered on each of the islands' volcanic
features.
The Monument contains objects of scientific interest, including the
largest active mud volcanoes on Earth. The Champagne vent, located at
the Eifuku submarine volcano, produces almost pure liquid carbon
dioxide. This phenomenon has only been observed at one other site in
the world. The Sulfur Cauldron, a pool of liquid sulfur, is found at
the Daikoku submarine volcano. The only other known location of molten
sulfur is on Io, a moon of Jupiter. Unlike other reefs across the
Pacific, the northernmost Mariana reefs provide unique volcanic
habitats that support marine biological communities requiring basalt.
Maug Crater represents one of only a handful of places on Earth where
photosynthetic and chemosynthetic communities of life are known to come
together.
The waters of the Monument's northern islands are among the most
biologically diverse in the Western Pacific and include the greatest
diversity of seamount and hydrothermal vent life yet discovered. These
volcanic islands are ringed by coral ecosystems with very high numbers
of apex predators, including large numbers of sharks. They also contain
one of the most diverse collections of stony corals in the Western
Pacific. The northern islands and shoals in the Monument have
substantially higher large fish biomass, including apex predators, than
the southern islands and Guam. The waters of Farallon de Pajaros (also
known as Uracas), Maug, and Asuncion support some of the largest
biomass of reef fishes in the Mariana Archipelago.
A portion of the Monument lies within the MIRC, including a small
area on the northern border of the MIRC as well as the Volcanic Unit
and the Trench Unit (See Figure 3.6-1). Any of the activities
identified under the Proposed Action could take place within areas
included in the Monument, where they overlap. The Presidential
Proclamation establishing the Monument indicates that the prohibitions
required by the Proclamation shall not apply to activities and
exercises of the Armed Forces, but also that the Armed Forces shall
ensure, by the adoption of appropriate measures not impairing
operations or operational capabilities, that its vessels and aircraft
act in a manner consistent, so far as is reasonable and practicable,
with the Proclamation.
Specified Activities
As mentioned above, the Navy has requested MMPA authorization to
take marine mammals incidental to training or RDT&E activities in the
MIRC that would result in the generation of sound or pressure waves in
the water at or above levels that NMFS has determined will likely
result in take (see Acoustic Take Criteria Section), either through the
use of MFAS/HFAS or the detonation of explosives in the water. These
activities are discussed in the subsections below. In addition to use
of active sonar sources and explosives, these activities include the
operation and movement of vessels that are necessary to conduct the
training, and the effects of this part of the activities are also
analyzed in this document.
The Navy's application also briefly summarizes Maritime and Air
Interdiction of Maritime Targets and Air Combat Maneuvers; however,
these activities are primarily air based and do not utilize sound
sources or explosives in the water. No take of marine mammals is
anticipated to result from these activities and, therefore, they are
not discussed further.
Activities Utilizing Active Sonar Sources
For the MIRC, the training activities that utilize active tactical
sonar sources fall primarily into the category of Anti-submarine
Warfare (ASW). This section includes a description of ASW, the active
acoustic devices used in ASW exercises, and the exercise types in which
these acoustic sources are used.
ASW Training and Active Sonar
ASW involves helicopter and sea control aircraft, ships, and
submarines, operating alone or in combination, to locate, track, and
neutralize submarines. Various types of active and passive sonars are
used by the Navy to determine water depth, locate mines, and identify,
track, and target submarines. Passive sonar ``listens'' for sound waves
by using underwater microphones, called hydrophones, which receive,
amplify and process underwater sounds. No sound is introduced into the
water when using passive sonar. Passive sonar can indicate the
presence, character and movement of submarines. However, passive sonar
provides information about only the bearing (direction) to a sound-
emitting source; it does not provide an accurate range (distance) to
the source. Also, passive sonar relies on the underwater target itself
to provide sufficient sound to be detected by hydrophones. Active sonar
is needed to locate objects that emit little or no noise (such as mines
or diesel-electric submarines operating in electric mode) and to
establish both bearing and range to the detected contact.
Active sonar transmits pulses of sound that travel through the
water, reflect off objects and return to a receiver. By knowing the
speed of sound in water and the time taken for the sound wave to travel
to the object and back, active sonar systems can quickly calculate
direction and distance from the sonar platform to the underwater
object. There are three types of active sonar: Low frequency, mid-
frequency, and high-frequency.
MFAS, as defined in the Navy's MIRC LOA application, operates
between 1 and 10 kHz, with detection ranges up to 10 nm (19 km).
Because of this detection ranging capability, MFAS is the Navy's
primary tool for conducting ASW. Many ASW experiments and exercises
have demonstrated that the improved capability (of MFAS over other
sources) for long range detection of adversary submarines before they
are able to conduct an attack is essential to U.S.
[[Page 53799]]
ship survivability. Today, ASW is the Navy's number one war-fighting
priority. Navies across the world utilize modern, quiet, diesel-
electric submarines that pose the primary threat to the U.S. Navy's
ability to perform a number of critical missions. Extensive training is
necessary if Sailors on ships and in strike groups are to gain
proficiency in using MFAS. If a strike group does not demonstrate MFAS
proficiency, it cannot be certified as combat ready.
HFAS, as defined in the Navy's MIRC LOA application, operates at
frequencies greater than 10 kilohertz (kHz). At higher acoustic
frequencies, sound rapidly dissipates in the ocean environment,
resulting in short detection ranges, typically less than five nm (9
km). High-frequency sonar is used primarily for determining water
depth, hunting mines and guiding torpedoes.
Surveillance Towed Array Sensor System Low Frequency Active
(SURTASS LFA) sonar operates below 1 kHz and is designed to detect
extremely quiet diesel-electric submarines at ranges far beyond the
capabilities of MFA sonars. There are currently only two ships in use
by the Navy that are equipped with LFA sonar; both are ocean
surveillance vessels operated by Military Sealift Command (MSC).
Acoustic Sources Used for ASW Exercises in the MIRC
Modern sonar technology has developed a multitude of sonar sensor
and processing systems. In concept, the simplest active sonars emit
omni-directional pulses (``pings'') and time the arrival of the
reflected echoes from the target object to determine range. More
sophisticated active sonar emits an omni-directional ping and then
rapidly scans a steered receiving beam to provide directional, as well
as range, information. More advanced active sonars transmit multiple
preformed beams, listening to echoes from several directions
simultaneously and providing efficient detection of both direction and
range. The types of active sonar sources employed during ASW active
sonar training exercises in the MIRC are identified in Table 1.
The SURTASS LFA system may also be used during some of the Navy's
training and testing scenarios within the MIRC Study Area (see SURTASS
LFA subsection below), however, that system's use was analyzed in other
environmental documentation (DON 1999, 2002b, 2007a; NOAA 2002a, 2007).
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ASW sonar systems are deployed from certain classes of surface
ships, submarines, helicopters, and fixed-wing maritime patrol aircraft
(MPA). Maritime patrol aircraft is a category of fixed-wing aircraft
that includes the current P-3C Orion, and the future P-8 Poseidon
multimission maritime aircraft. The surface ships used are typically
equipped with hull-mounted sonars (passive and active) for the
detection of submarines. Fixed-wing MPA are used to deploy both active
and passive sonobuoys to assist in locating and tracking submarines or
ASW targets during the exercise. Helicopters are used to deploy both
active and passive sonobuoys to assist in locating and tracking
submarines or ASW targets during the exercise, and to deploy dipping
sonar. Submarines are equipped with passive sonar sensors used to
locate and prosecute other submarines and/or surface ships during the
exercise. The platforms used in ASW exercises are identified below.
Surface Ship Sonars--A variety of surface ships participate in
training events, including the Fast Frigate (FFG) and the Guided
Missile Destroyer (DDG), and the guided missile cruiser (CG). These
three classes of ship are equipped with active as well as passive
tactical sonars for mine avoidance and submarine detection and
tracking. DDG and CG class ships are equipped with the AN/SQS-53 sonar
system (the most powerful system), with a nominal source level of 235
decibels (dB) re 1 [mu]Pa @ 1 m. The FFG class ship uses the SQS-56
sonar system, with a nominal source level of 225 decibels (dB) re 1
[mu]Pa @ 1 m. Sonar ping transmission durations were modeled as lasting
1 second per ping and omni-directional, which is a conservative
assumption that will overestimate potential effects. Actual ping
durations will be less than 1 second. The AN/SQS-53 hull-mounted sonar
transmits at a center frequency of 3.5 kHz. The SQS-56 transmits at a
center frequency of 7.5 kHz. Details concerning the tactical use of
specific frequencies and the repetition rate for the sonar pings is
classified but was modeled based on the required tactical training
setting.
Submarine Sonars--Submarine sonars (e.g., AN/BQQ-10) are used to
detect and target enemy submarines and surface ships. Because submarine
active sonar use is very rare and in those rare instances, very brief,
it is extremely unlikely that use of active sonar by submarines would
have any measurable effect on marine mammals. In addition, submarines
have a high frequency AN/BQS-15 sonar used for navigation safety and
mine avoidance that is not unlike a fathometer in source level or
output. There is, at present, no mine training range in the MIRC area.
Therefore, given its limited use and rapid attenuation as a high
frequency source, the AN/BQS-15 is not expected to result in the take
of marine mammals.
Aircraft Sonar Systems--Aircraft sonar systems that would operate
in the MIRC include sonobuoys and dipping sonar. Sonobuoys may be
deployed by maritime patrol aircraft or helicopters; dipping sonars are
used by carrier-based helicopters. A sonobuoy is an expendable device
used by aircraft for the detection of underwater acoustic energy and
for conducting vertical water column temperature measurements. Most
sonobuoys are passive, but some can generate active acoustic signals,
as well. Dipping sonar is an active or passive sonar device lowered on
cable by helicopters to detect or maintain contact with underwater
targets. During ASW training, these systems' active modes are only used
briefly for localization of contacts and are not used in primary search
capacity.
Extended Echo Ranging and Improved Extended Echo Ranging (EER/IEER)
Systems--EER/IEER are airborne ASW systems used to conduct ``large
area'' searches for submarines. These systems are made up of airborne
avionics ASW acoustic processing and sonobuoy types that are deployed
in pairs. The EER/IEER System's active sonobuoy component, the AN/SSQ-
110A Sonobuoy, generates an explosive sound impulse and a passive
sonobuoy (ADAR, AN/SSQ-101A) that would ``listen'' for the return echo
that has been bounced off the surface of a submarine. These sonobuoys
are designed to provide underwater acoustic data necessary for naval
aircrews to quickly and accurately detect submerged submarines. The
sonobuoy pairs are dropped from a maritime patrol aircraft into the
ocean in a predetermined pattern with a few buoys covering a very large
area. The AN/SSQ-110A Sonobuoy Series is an expendable and commandable
sonobuoy. Upon command from the aircraft, the explosive charge would
detonate, creating the sound impulse. Within the sonobuoy pattern, only
one detonation is commanded at a time. Twelve to twenty SSQ-110A source
sonobuoys are used in a typical exercise. Both charges of each sonobuoy
would be detonated independently during the course of the training,
either tactically to locate the submarine, or when the sonobuoys are
commanded to scuttle at the conclusion of the exercise. The AN/SSQ-110A
is listed in Table 1 because it functions like a sonar ping, however,
the source creates an explosive detonation and its effects are
considered in the underwater explosive section.
Advanced Extended Echo Ranging (AEER) System--The proposed AEER
system is operationally similar to the existing EER/IEER system. The
AEER system will use the same ADAR sonobuoy (SSQ-101A) as the acoustic
receiver and will be used for a large area ASW search capability in
both shallow and deep water. However, instead of using an explosive AN/
SQS-110A as an impulsive source for the active acoustic wave, the AEER
system will use a battery powered (electronic) source for the AN/SSQ
125 sonobuoy. The output and operational parameters for the AN/SSQ-125
sonobuoy (source levels, frequency, wave forms, etc.) are classified.
However, this sonobuoy is intended to replace the EER/IEER's use of
explosives and is scheduled to enter the fleet in 2011. For purposes of
analysis, replacement of the EER/IEER system by the AEER system will be
assumed to occur at 25% per year as follows: 2011--25% replacement;
2012--50% replacement; 2013--75% replacement; 2014--100% replacement
with no further use of the EER/IEER system beginning in 2015 and
beyond.
Torpedoes--Torpedoes are the primary ASW weapon used by surface
ships, aircraft, and submarines. The guidance systems of these weapons
can be autonomous or electronically controlled from the launching
platform through an attached wire. The autonomous guidance systems are
acoustically based. They operate either passively, exploiting the
emitted sound energy by the target, or actively, ensonifying the target
and using the received echoes for guidance. The MK-48 submarine-
launched torpedo was modeled for active sonar transmissions as a high
frequency source during specified training activities within the MIRC.
The use of the less powerful MK-46 and MK-54 torpedoes will also occur
in the MIRC, however, their use was accounted for by modeling all
torpedo use in MIRC as if they were MK-48 torpedoes.
Portable Undersea Tracking Range--The Portable Undersea Tracking
Range (PUTR) would be developed to support ASW training in areas where
the ocean depth is between 400 m and 3500 m. In MIRC it would likely be
deployed in a TORPEX area or in W-517. This system would temporarily
instrument up to a 100 square-nautical mile or smaller areas on the
seafloor, and would provide high fidelity crew feedback and scoring of
crew performance during ASW training activities. No on-shore
[[Page 53802]]
construction would take place. Seven electronics packages, each
approximately 3 ft long by 2 ft in diameter, would be temporarily
installed on the seafloor by a range boat. The anchors used to keep the
electronics packages on the seafloor are made of steel, approximately
1.5 ft-by-1.5 ft and 300 pounds. PUTR use is planned for Navy training
areas other than MIRC including the Northwest Training Range Complex
and Gulf of Alaska. PUTR equipment can be recovered for maintenance or
when training is completed. The Navy proposes to deploy this system
year round, and to conduct TRACKEX and TORPEX activities for up to 35
days per year at any time of year. During each of the 35 days of annual
operation, the PUTR would be in use for up to 8 hours each day. Two
separate sound sources are associated with the operation of the PUTR:
Range tracking pingers--Range tracking pingers would be
used on ships, submarines, and ASW targets when training is conducted
on the PUTR. A typical MK 84 range tracking pinger generates a 12.9 kHz
pulse with a duty cycle of 15 milliseconds and has a design power of
194 dB re 1 micro-Pascal at 1 meter. Ping rate is selectable and
typically one pulse every two seconds. Under the proposed action, up to
four range pingers would operate simultaneously for 8 hours each of the
35 PUTR operating days per year. Total time operated would be 280 hours
annually.
Transponders--Each transponder package consists of a
hydrophone that receives pinger signals, and a transducer that sends an
acoustic ``uplink'' of locating data to the range boat. The uplink
signal is transmitted at 8.8 kilohertz (kHz) or 40 kHz, at a source
level of 190 decibels (dB) at 40 kHz, and 186 dB at 8.8 kHz. The uplink
frequency is selectable and typically uses the 40 kHz signal, however
the lower frequency may be used when PUTR is deployed in deep waters
where conditions may not permit the 40 kHz signal to establish and
maintain the uplink. The PUTR system also incorporates an emergency
underwater voice capability that transmits at 8-11 kHz and a source
level of 190 dB. Under the proposed action, the uplink transmitters
would operate 35 days per year, for 8 hours each day of use. Total time
operated would be 280 hours annually.
Acoustic Device Countermeasures (ADCs)--ADCs (e.g., AN/SLQ-25
(``NIXIE''), MK-2 and MK-3 are, in effect, decoys to avert localization
and/or torpedo attacks. These do not represent a significant source of
sound given their intermittent use and operational characteristics
(source output level and/or frequency). Given the sporadic use of these
devices, the potential to affect marine mammals is unlikely, therefore
these sources were not modeled or considered further in this analysis.
Training Targets--ASW training targets are used to simulate
opposition submarines. They are equipped with one or a combination of
the following devices: (1) Acoustic projectors emanating sounds to
simulate submarine acoustic signatures, (2) echo repeaters to simulate
the characteristics of the echo of a particular sonar signal reflected
from a specific type of submarine, and (3) magnetic sources to trigger
magnetic detectors. Based on the operational characteristics (source
output level and/or frequency) of these acoustic sources, the potential
to affect marine mammals is unlikely, and therefore they were not
modeled for this analysis.
SURTASS LFA--SURTASS LFA is a long-range, all-weather, sonar system
that operates in the low frequency band (100-500 Hz). The system has
both passive and active components. The active system component, LFA,
is an augmentation to the passive detection system, and is planned for
use when passive system performance proves inadequate. LFA is a set of
acoustic transmitting source elements suspended by cable from
underneath a ship. These elements, called projectors, are devices that
produce the active sound pulse, or ping. The projectors transform
electrical energy to mechanical energy that set up vibrations or
pressure disturbances within the water to produce a ping. The passive,
or listening, part of the system is SURTASS, which detects returning
echoes from submerged objects, such as submarines, through the use of
hydrophones. The SURTASS hydrophones are mounted on a receive array
that is towed behind the vessel. The return signals or echoes, which
are usually below background or ambient sound level, are then processed
and evaluated to identify and classify potential underwater targets.
In the MIRC Study Area, the military intends to conduct three
exercises (multi-strike group exercises) that will include an LFA
component during a five-year period that may include both SURTASS LFA
and MFA active sonar sources. The expected duration of these combined
exercises is approximately 14 days. Based on an exercise of this
length, an LFA system would be active (i.e., actually transmitting) for
no more than approximately 25 hours. In the combined exercise, LFA
sonar is used as a long-range search tool (to find a potential target
at long range) while MFA sonar is generally used as a closer-range
search tool (to find a target at closer range). The LFA sonar and the
MFA sonar would not normally be operated in close proximity to each
other. Tactical and technical considerations dictate that the LFA ship
would typically be tens of miles from the MFA ship when using active
sonar.
Analysis of the environmental impacts of the SURTASS LFA system,
including the potential for synergistic and cumulative effects with
MFAS operation, was previously presented in a series of Navy EISs and
the August, 2009 biological opinion for SURTASS LFA 2009 LOA, and the
take of marine mammals incidental to the operation of LFA in the MIRC
and elsewhere has been previously authorized by NOAA/NMFS (2002a,
2007). Although the authorization of take of marine mammals incidental
to the operation of LFA sonar will not be considered here, NMFS
describes and considers the limited manner in which the two separately
analyzed systems (LFAS and MFAS) may interact in a multi-strike group
exercise in the MIRC.
Exercises Utilizing MFAS in the MIRC
As described above, ASW Exercises are the primary type of exercises
that utilize MFAS and HFAS sources in the MIRC. Unit level tracking and
torpedo ASW exercises occur regularly in the MIRC. Additionally, in a
single year the MIRC will either have several major exercises, or one
multi-strike group exercise, that integrate ASW training with other
types of training such as air, surface, or strike warfare. ASW exercise
descriptions are included below and summarized (along with the
exercises utilizing explosives) in Table 2.
ASW Tracking Exercise (TRACKEX)--Generally, TRACKEXs train
aircraft, ship, and submarine crews in tactics, techniques, and
procedures for search, detection, localization, and tracking of
submarines with the goal of determining a firing solution that could be
used to launch a torpedo and destroy the submarine. ASW Tracking
Exercises occur during both day and night. A typical unit-level
exercise involves one (1) ASW unit (aircraft, ship, or submarine)
versus one (1) target--either a MK-39 Expendable Mobile ASW Training
Target (EMATT), or a live submarine. The target may be non-evading
while operating on a specified track or fully evasive. Participating
units use active and passive sensors, including hull-mounted sonar,
towed arrays, and sonobuoys for tracking. If
[[Page 53803]]
the exercise continues into the firing of a practice torpedo it is
termed a Torpedo Exercise (TORPEX). The ASW TORPEX usually starts as a
TRACKEX to achieve the firing solution. The different types of TORPEXs
are further described below.
Torpedo Exercise (TORPEX)--Anti-submarine Warfare (ASW) TORPEX
activities train crews in tracking and attack of submerged targets,
firing one or two exercise torpedoes (EXTORPs) or recoverable exercise
torpedoes (REXTORPs). TORPEX targets and systems used in the Offshore
Areas may include live submarines, MK-46, MK-54, and MK-48 torpedoes,
MK-30 ASW training targets, and MK-39 Expendable Mobile ASW Training
Targets (EMATTs). The target may be non-evading while operating on a
specified track, or it may be fully evasive, depending on the training
requirements of the training exercise. Submarines periodically conduct
torpedo firing training exercises within the MIRC. Typical duration of
a submarine TORPEX exercise is 10 hours, while air and surface ASW
platform TORPEX exercises using the MK-46 and MK-54 torpedoes are
considerably shorter.
Joint Expeditionary Exercise--The Joint Expeditionary Exercise
brings different branches of the U.S. military together in a joint
environment that includes planning and execution efforts as well as
military operations at sea, in the air, and ashore. The purpose of the
exercise is to train a U.S. Joint Task Force staff in crisis action
planning for execution of contingency operations. It provides U.S.
forces an opportunity to practice training together in a joint
environment as well as a combined environment with partner nation
forces, where more than 8,000 personnel may participate.
The participants and assets could include: Carrier Strike Group
with its aircraft carrier, guided missile cruisers and Guided missile
destroyers; Amphibious command and assault ships, submarines, logistic
ships. It may also include Fleet and Battle Group Staffs, Naval and Air
Force aircraft, Marine Expeditionary Units (MEU), and Army Infantry
Units. This type of exercise would include activities conducted at sea
and in the air and near-shore and ashore activities on Tinian, FDM,
Guam, and Saipan.
ASW active sonar activity may include: Single and multi-unit
TRACKEX and TORPEX in coordinated ASW events; active ASW sources may
include SQS-53; SQS-56; DICASS; IEER/AEER; AQS-22; BQQ-10; MK-48
EXTORP; and, Portable Underwater Tracking Range operation including
transponders and MK-84 range tracking pingers.
Marine Air Ground Task Force (Amphibious) (MAGTF) Exercise--This
major exercise includes over the horizon, ship to objective maneuver
and activities of the ESG and Amphibious MAGTF for up to 10 days. The
exercise utilizes all elements of the MAGTF to secure the battlespace
(air, land, and sea), maneuver to and seize the objective, and conduct
self-sustaining operations ashore with continual logistic support of
the ESG. Tinian is the primary MIRC training area for this exercise;
however elements of the exercise may be rehearsed nearshore and on
Guam.
ASW active sonar activity may include: single and multi-unit
TRACKEX and TORPEX in coordinated ASW event; active ASW sources may
include SQS-53C/D; SQS-56; DICASS; IEER/AEER; AQS-22; BQQ-10; MK-48
EXTORP and Portable Underwater Tracking Range operation including
transponders and MK-84 range tracking pingers.
Joint Multi-Strike Group Exercise--The Joint Multi-Strike Group
conducts training involving Navy assets engaging in a schedule of
events (SOE) battle scenario, with U.S. forces pitted against a
notional opposition force (OPFOR). Participants use and build upon
previously gained training skill sets to maintain and improve the
proficiency needed for a mission-capable, deployment-ready unit.
The exercise includes several at-sea activities. In Command and
Control (C2), a command organization exercises operational control of
the assets involved in the exercise. This control includes monitoring
for safety and compliance with protective measures. Air Warfare (AW)
includes missile exercises which involve firing live missiles at air
targets. Ships and aircraft fire missiles against air targets. AW also
includes non-firing events such as Defensive Counter Air (DCA). DCA
exercises ship and aircrew capabilities at detecting and reacting to
incoming airborne threats. In Anti-Surface Warfare (ASUW), Naval forces
control sea lanes by countering hostile surface combatant ships.
ASW active sonar activity in this exercise may include: Single and
multi-unit TRACKEX and TORPEX in coordinated ASW events; active ASW
sources may include SQS-53C/D; SQS-56; DICASS; IEER/AEER; AQS-22; BQQ-
10; MK-48 EXTORP; Portable Underwater Tracking Range operation
including transponders and MK-84 range tracking pingers.
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Activities Utilizing Underwater Detonations
Underwater detonation activities can occur at various depths
depending on the activity, but may also include activities with
detonations at or just below the surface (such as SINKEX or gunnery
exercise [GUNEX]). When the weapons hit the target, except for live
torpedo shots, there is no explosion in the water, and so a ``hit'' is
not modeled (i.e., the energy (either acoustic or pressure) from the
hit is not expected to reach levels that would result in take of marine
mammals). When a live weapon misses, it is modeled as exploding below
the water surface at 1 ft (5-inch naval gunfire, 76-mm rounds), 2
meters (Maverick, Harpoon, MK-82, MK-83, MK-84), or 50 ft (MK-48
torpedo) as shown in Appendix A of the Navy's application (the depth is
chosen to represent the worst case of the possible scenarios as related
to potential marine mammals impacts). Exercises may utilize either live
or inert ordnance of the types listed in Table 3. Additionally,
successful hit rates are known to the Navy and are utilized in the
effects modeling. Training events that involve explosives and
underwater detonations occur throughout the year and are described
below and summarized in Table 2.
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Sinking Exercise--In a SINKEX, a specially prepared, deactivated
vessel is deliberately sunk using multiple weapons systems. The
exercise provides training to ship and aircraft crews in delivering
both live and inert ordnance on a real target. These target vessels are
empty, cleaned, and environmentally-remediated ship hulk. A SINKEX
target is towed to sea and set adrift at the SINKEX location. The
duration of a SINKEX is unpredictable since it ends when the target
sinks, sometimes immediately after the first weapon impact and
sometimes only after multiple impacts by a variety of weapons.
Typically, the exercise lasts for 4 to 8 hours over 1 to 2 days.
SINKEXs occur only occasionally during MIRC exercises. Potential
harassment would be from underwater detonation. SINKEX events have been
conducted in the open ocean of the western Pacific and within the MIRC,
in compliance with 40 CFR 229.2.
The Environmental Protection Agency (EPA) grants the Navy a general
permit through the Marine Protection, Research, and Sanctuaries Act to
transport vessels ``for the purpose of sinking such vessels in ocean
waters[hellip]'' (40 CFR 229.2). Subparagraph (a)(3) of this regulation
states ``All such vessel sinkings shall be conducted in water at least
1,000 fathoms (6,000 feet) deep and at least 50 nautical miles from
land.''
SINKEX events typically include at least one surface combatant
(frigate, destroyer, or cruiser); one submarine; and numerous fixed-
wing and rotary-wing aircraft. One surface ship will serve as a
surveillance platform to ensure the hulk does not pose a hazard to
navigation prior to and during the SINKEX. The weapons actually
expended during a SINKEX can vary greatly. Table 1-2 in the Navy's
application indicates the typical ordnance used in a SINKEX, which
include HARPOON, HELLFIRE, and MAVERICK missiles, 5' gunfire, MK-48
torpedoes, and underwater demolitions. This table reflects the planning
for weapons, which may be expended during one SINKEX in the MIRC Study
Area. This level of ordnance is expected for each of the SINKEX events
in the Joint Multi-strike Group exercise. With the exception of the
torpedo, which is designed to explode below the target hulk in the
water column, the weapons deployed during a SINKEX are intended to
strike the target hulk, and thus not explode within the water column.
Surface-to-Surface Gunnery Exercise--S-S GUNEX take place in the
open ocean to provide gunnery practice for Navy and Coast Guard ship
crews. GUNEX training activities conducted in the offshore study area
involve stationary targets such as a MK-42 floating at-sea target
(FAST) or a MK-58 marker (smoke) buoy. The gun systems employed against
surface targets include the 5-inch, 76 millimeter (mm), 25-mm chain
gun, 20-mm Close-in Weapon System (CIWS), and 50-caliber machine gun.
Typical ordnance expenditure for a single GUNEX is a minimum of 21
rounds of 5-inch or 76-mm ammunition, and approximately 150 rounds of
25-mm or .50-caliber ammunition. Both live and inert training rounds
are used. After impacting the water, the rounds and fragments sink to
the bottom of the ocean. A GUNEX lasts approximately 1 to 2 hours,
depending on target services and weather conditions. The live 5-inch
and 76-mm rounds are considered in the underwater detonation modeling.
Air-to-Surface Gunnery Exercise (A-S GUNEX)--A-S GUNEX training
activities are conducted by rotary-wing aircraft against stationary
targets (Floating at-sea Target [FAST] and smoke buoy). Rotary-wing
aircraft involved in this activity would include a single helicopter
using either 7.62-mm or .50-caliber door-mounted machine guns. A
typical GUNEX will last approximately one hour and involve the
[[Page 53806]]
expenditure of approximately 400 rounds of 0.50-caliber or 7.62-mm
ammunition. Due to their being inert and the small size of the rounds,
they are not considered to have an underwater detonation impact.
Air-to-Surface Missile Exercise (A-S MISSILEX)--The A-S MISSILEX
consists of the attacking platform releasing a forward-fired, guided
weapon at the designated towed target. The exercise involves locating
the target, then designating the target, usually with a laser. A-S
MISSILEX training that does not involve the release of a live weapon
can take place if the attacking platform is carrying a captive air
training missile (CATM) simulating the weapon involved in the training.
The CATM MISSILEX is identical to a live-fire exercise in every aspect
except that a weapon is not released. The training requires a laser-
safe range as the target is designated just as in a live-fire exercise.
From 1 to 16 aircraft, carrying live, inert, or CATMs, or flying
without ordnance (dry runs) are used during the exercise. At sea,
seaborne powered targets (SEPTARs), Improved Surface Towed Targets
(ISTTs), and decommissioned hulks are used as targets. A-S MISSILEX
assets include helicopters and/or 1 to 16 fixed-wing aircraft with air-
to-surface missiles and anti-radiation missiles (electromagnetic
radiation source seeking missiles). Targets include SEPTARs, ISTTs, and
excess ship hulks. When HELLFIRE Missiles are used the exercise is
called a HELLFIRE MISSILEX. HELLFIRE MISSILEXs would occur 2 times per
year in an area approximately 30-35 nm south of Apra Harbor in W-517.
Potential harassment would be from underwater detonation.
Surface-to-Surface Missile Exercise (S-S MISSILEX)--S-S MISSILEX
involves the attack of surface targets at sea by use of cruise missiles
or other missile systems, usually by a single ship conducting training
in the detection, classification, tracking and engagement of a surface
target. S-S MISSILEXs always occur during a SINKEX. Engagement is
usually with HARPOON missiles or Standard missiles in the surface-to-
surface mode. Targets could include virtual targets or the SEPTAR or
ship deployed surface target. S-S MISSILEX training is routinely
conducted on individual ships with embedded training devices. A S-S
MISSILEX could include 4 to 20 surface-to-surface missiles, SEPTARs, a
weapons recovery boat, and a helicopter for environmental and photo
evaluation. All missiles are equipped with instrumentation packages or
a warhead. Surface-to-air missiles can also be used in a surface-to-
surface mode. Each exercise typically lasts five hours. Future S-S
MISSILEX could range from 4 to 35 hours. Potential harassment would be
from underwater detonation.
Air-to-Surface Bombing Exercise--During an Air-to-Surface Bombing
Exercise (BOMBEX A-S), fixed-wing aircraft deliver bombs against
simulated surface maritime targets, typically a smoke float, with the
goal of destroying or disabling enemy ships or boats. Typically, a
flight of two aircraft will approach the target from an altitude of
between 15,000 ft to less than 3,000 ft, and will adhere to designated
ingress and egress routes. Typical bomb release altitude is below 3,000
ft and within a range of 1000 yards for unguided munitions, and above
15,000 ft and in excess of 10 nm for precision-guided munitions. In
most training exercises, the aircrew drops inert training ordnance,
such as the Bomb Dummy Unit (BDU-45) on a MK-58 smoke float used as the
target. Some BOMBEXs include the use of the MK-84/GBU-31 JDAM, the
largest bomb proposed for use. JDAM training would occur 4 times per
year in W-517 and generally in the southern portion avoiding known
fishing areas. The surface danger zone requires a 25 nm buffer around
the aim point, so that all operations occur within W-517. Each BOMBEX
A-S can take up to 4 hours to complete.
Mine Neutralization--Mine Neutralization involves the detection,
identification, evaluation, rendering safe, and disposal of mines and
unexploded ordnance (UXO) that constitutes a threat to ships or
personnel. Mine neutralization training can be conducted by a variety
of air, surface and undersea assets. Potential harassment would be from
underwater detonation.
Tactics for neutralization of ground or bottom mines involve the
diver placing a specific amount of explosives, which when detonated
underwater at a specific distance from a mine results in neutralization
of the mine. Floating, or moored, mines involve the diver placing a
specific amount of explosives directly on the mine. Floating mines
encountered by Fleet ships in open-ocean areas are detonated at the
surface. In support of an expeditionary assault, divers and Navy marine
mammal assets deploy in very shallow water depths (10 to 40 feet) to
locate mines and obstructions. Divers are transported to the mines by
boat or helicopter. Inert dummy mines are used in the exercises. The
total net explosive weight used against each mine ranges from less than
1 pound to 20 pounds.
All demolition activities are conducted in accordance with
Commander, Naval Surface Forces Pacific (COMNAVSURFPAC) Instruction
3120.8F, Procedures for Disposal of Explosives at Sea/Firing of Depth
Charges and Other Underwater Ordnance (DoN 2003). Before any explosive
is detonated, divers are transported a safe distance away from the
explosive. Standard practices for tethered mines require ground mine
explosive charges to be suspended 10 feet below the surface of the
water.
EER-IEER AN/SSQ-110A--The Extended Echo Ranging and Improved
Extended Echo Ranging (EER/IEER) Systems are airborne ASW systems used
in conducting ``large area'' searches for submarines. These systems are
made up of airborne avionics ASW acoustic processing and sonobuoy types
that are deployed in pairs. The IEER System's active sonobuoy
component, the AN/SSQ-110A Sonobuoy, generates a sound similar to a
``sonar ping'' using a small explosive and the passive AN/SSQ-101A ADAR
Sonobuoy ``listens'' for the return echo of the ``sonar ping'' that has
been bounced off the surface of a submarine. These sonobuoys are
designed to provide underwater acoustic data necessary for naval
aircrews to quickly and accurately detect submerged submarines. The
sonobuoy pairs are dropped from a fixed-wing aircraft into the ocean in
a predetermined pattern with a few buoys covering a very large area.
The AN/SSQ-110A Sonobuoy Series is an expendable and commandable
sonobuoy. Upon command from the aircraft, the bottom payload is
released to sink to a designated operating depth. A second command is
required from the aircraft to cause the second payload to release and
detonate the explosive to generate a ``ping''. There is only one
detonation in the pattern of buoys at a time. Potential harassment
would be from underwater detonations.
The AEER system (described in the sonar source section) will
eventually replace use of the EER/IEER system and was analyzed for this
proposed rule.
Vessel Movement
The operation and movement of vessels that is necessary to conduct
the training described above is also analyzed here. Training exercises
involving vessel movements occur intermittently and are variable in
duration, ranging from a few hours up to 10 days. During training,
speeds vary and depend on the specific type of activity, although 10-14
knots is considered the typical speed. The Navy logs about 1,000 total
vessel days within
[[Page 53807]]
the MIRC Study Area during a typical year. Training activities are
widely dispersed throughout the large OPAREA, which encompasses 501,873
nm\2\ (1,299,851 km\2\). Consequently, the density of Navy ships within
the Study Area at any given time is low.
Research, Development, Testing, and Evaluation
The Services may conduct RDT&E, engineering, and fleet support for
command, control, and communications systems and ocean surveillance in
the MIRC. These activities may include ocean engineering, missile
firings, torpedo testing, manned and unmanned submersibles testing,
unmanned aerial vehicle (UAV) tests, electronic combat (EC), and other
DoD weapons testing.
RDT&E activities, if they have a potential for takes of marine
mammals, will be reviewed to assure they are included within the
parameters of existing sonar and explosive activities as modeled for
this rule and the LOAs. As an example, if a new model of SQS 53 sonar
were tested, as long as it's operating parameters are within the
parameters modeled, an equal number of hours of SQS 53C use in training
would be deducted to ensure that the total SQS 53C hours for the year
(training plus RDT&E) remain within those described in the rule. The
same would apply for explosives, overall NET explosive weights for
similar munitions would be reviewed to assure compliance with existing
rules.
Additional information on the Navy's proposed activities may be
found in the LOA Application and the Navy's MIRC DEIS.
Description of Marine Mammals in the Area of the Specified Activities
Thirty-two marine mammal species or populations/stocks have
confirmed or possible occurrence within the MIRC, including seven
species of baleen whales (mysticetes), 22 species of toothed whales
(odontocetes), two species of seal (pinnipeds), and the dugong
(sirenian). Table 4 summarizes their abundance, Endangered Species Act
(ESA) status, occurrence, and density in the area. Seven of the species
are ESA-listed and considered depleted under the MMPA: Blue whale; fin
whale; humpback whale; sei whale; sperm whale; North Pacific right
whale; Hawaiian monk seal; and dugong. The dugong is managed by the
U.S. Fish and Wildlife Service and will not be addressed further here.
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Species Not Considered Further
North Pacific right whale--The likelihood of a North Pacific right
whale (Eubalaena japonica) occurring in the action area is extremely
low. The North Pacific right whale population is the most endangered of
the large whale species (Perry et al., 1999) and, currently, there is
no reliable population estimate for this species, although the
population in the western North Pacific Ocean is considered to be very
small, perhaps in the tens to low hundreds of animals. Despite many
years of systematic aerial and ship-based surveys for marine mammals
off the western coast of the U.S., only seven documented sightings of
right whales were made from 1990 through 2005 near Alaska (Waite et
al., 2003; Wade et al., 2006). Based on this information, it is highly
unlikely for a right whale to be present in the action area.
Consequently, this species will not be considered in the remainder of
this analysis.
Hawaiian monk seal--The likelihood of a Hawaiian monk seal
(Monachus schauinslandi) being present in the action area is extremely
low. There are no confirmed records of Hawaiian monk seals in the
Micronesia region; however, Reeves et al. (1999) and Eldredge (1991,
2003) have noted occurrence records for
[[Page 53809]]
seals (unidentified species) in the Marshall and Gilbert islands. It is
possible that Hawaiian monk seals wander from the Hawaiian Islands to
appear at the Marshall or Gilbert Islands in the Micronesia region
(Eldredge 1991). However, given the extremely low likelihood of this
species occurrence in the action area, the Hawaiian monk seal will not
be considered in the remainder of this analysis.
Hubbs Beaked Whale--The likelihood of a Hubbs beaked whale
(Mesoplodon carlhubbsi) occurring in the action area is extremely low.
There are no occurrence records for the Mariana Islands and the nearest
records are from strandings in Japan (DoN 2005). Recent data suggests
that the distribution is likely north of 30[deg] N (MacCleod et al.,
2006). Given the extremely low likelihood of this species occurrence in
the action area, the Hubbs beaked whale will not be considered in the
remainder of this analysis.
Indo-Pacific Bottlenose Dolphin--The likelihood of an Indo-Pacific
bottlenose dolphin (Tursiops aduncas) occurring in the action area is
extremely low. The Indo-Pacific bottlenose dolphin is generally
associated with continental margins and does not appear to occur around
offshore islands that are great distances from a continent, such as the
Marianas (Jefferson as cited in DoN 2005). Given the extremely low
likelihood of this species occurrence in the action area, the Indo-
Pacific bottlenose dolphin will not be considered in the remainder of
this analysis.
Northern Elephant Seal--Northern elephant seals (Mirounga
angustirostris) are common on islands and mainland haul-out sites in
Baja California, Mexico north through central California. Elephant
seals spend several months at sea feeding and travel as far as the Gulf
of Alaska. Occasionally juveniles wander great distances with several
individuals being observed in Hawaii and Japan. Although elephant seals
may wander great distances it is very unlikely that they would travel
to Japan or Hawaii and then continue traveling to the MIRC. Given the
extremely low likelihood of this species occurrence in the action area,
the northern elephant seal will not be considered in the remainder of
this analysis.
The Navy has compiled information on the abundance, behavior,
status and distribution, and vocalizations of marine mammal species in
the MIRC waters from the Navy Marine Resource Assessment and has
supplemented this information with additional citations derived from
new survey efforts and scientific publications. NMFS has not designated
stocks of marine mammals in the waters surrounding the MIRC and,
therefore, does not compile stock assessment reports for this area.
This information may be viewed in the Navy's LOA application and/or the
Navy's DEIS for MIRC (see Availability), and is incorporated by
reference herein.
There are no designated marine mammal critical habitats or known
breeding areas within the MIRC. Much is unknown about the reproductive
habits of the dolphin species in MIRC, but they are thought to mate
throughout their range (like better studied species and stocks are
known to do) and possibly throughout the year. Even less is known about
the mating habits of beaked whales. Baleen whales and sperm whales are
thought to breed seasonally in areas wit