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Prepared by 

U.S. DEPARTMENT OF COMMERCE 

National Oceanic and Atmospheric Administration 

National Marine Fisheries Service 

Office of Protected Resources 
���������������� ������������������������������������� ���������������������

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Prepared by 

U.S. DEPARTMENT OF COMMERCE 

National Oceanic and Atmospheric Administration 

National Marine Fisheries Service 

Office of Protected Resources 

Editor: Nicole R. Le Boeuf 
Errata

Please note the following corrections to the Marine Mammal

Protection Act of 1972 Annual Report:

Chapter IV. Marine Mammal Interactions with Salmonids and Human

Activities

The last paragraph on page 47 and the first two paragraphs 

on page 48 should be disregarded because it is duplicated text. 

Chapter VII. Conservation and Recovery Programs

On page 83-84, under the section entitled, “Section 7

Consultations Under the ESA,” The list of consultations addressed

in Alaska regarding Steller sea lions in 1997 should include:

“4) NMFS has begun consultation regarding a proposed Kodiak

rocket launch site, which may have effects on a nearby Steller

sea lion haulout; and

5) NMFS has been consulting with the U.S. Forest Service,

the Bureau of Land Management, and the Department of Interior

Solicitor’s Office regarding the applicability of section 7 to

land transfers from the federal government to the state of Alaska

or Alaska Native Corporations under the Alaska Native Claims

Settlement Act and the Alaska Statehood Act.”

These last two points were inadvertently omitted from the

document. 

Chapter VIII. Native Take of Marine Mammals

On page 112, Figure 3 should be titled, “Bowhead Whale Takes

by Alaska Natives” not “Gray Whale Takes by Alaska Natives.” This

table should, therefore be considered under the discussion

entitled “Bowhead Whales” on page 110. 
UNITED STATES DEPARTMENT OF: COMMERCE 

National Oceanit: and Ntm~~spheria Atdministration 

NATIONAL MARINE FISHERIES SEI:3VICEl: 

1335 East-West I-lighway 

Silver Spring. ME) Z1!09'113 

THE DIRECTOR 

The Honorable John McCaj-n 

Chairman, Cornmi ttee on Clornmerce, 

Science, and Transport at, ion 

United States Senate 

Washincjtori, D. C. 20510 

The Honorable Don Young 

Chai-rman, Committee on Resources 

House of Representat:ives 

Washington, D.C. 20515 

Dear Chairman McCairi and Chairman Young: 

I am pl-eased to submit to .you the National Ma:rime Fisheries 

Service (NMFS) Annua.1 Report regarding the adrnin:i:;tr.at..ion o:E the 

Marine Mammal Protectiori Act (MMPA) from January 1, 1997 to 

December 31, 1.997, as requ.ired by section 103 (f) of the MMPA. 

The report addresses the conservation, managern~s~lt:, and. research 

activit.ies corlducted by l\TMl?S for the benefit of marine mammals, 

inc1udi:~ig whales , dolphins, and porpoise of the ort3er (:let.acea ancl 

seals and sea li-ons of the suborder Pinnipedia. 

Sincerely, 

Rolland A. ~cAmi.tt:.en 

Enclosure 

THE ASSISTANT ADMIIVIS'T'RA'I~OR 

F(3R FlSHERlEIS 
���������������������������������������������������

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This Annual Report to Congress regarding the administration of the Marine Mammal Protection Act (MMPA) 

has been prepared by the National Marine Fisheries Service (NMFS) pursuant to sections 103(f), 104(h)(3)(C), 

110(d) and 115(b)(3) of the MMPA. 

The MMPA is the principal federal legislation that guides 

marine mammal species protection and conservation 

policy. The MMPA vests responsibility for most marine 

mammals in the Department of Commerce, National 

Oceanic and Atmospheric Administration (NOAA), 

National Marine Fisheries Service (NMFS). Under the 

MMPA, NMFS is responsible for the management and 

conservation of species of whales, dolphins, and porpoises 

as well as seals, sea lions, and fur seals. 

Species management is administered through NMFS’ 

Regional Offices and Fisheries Science Centers in cooperation with states, conservation groups, the public, the 

Marine Mammal Commission, other federal agencies, 

and other constituents including scientific researchers, 

the fishing industry, and the marine mammal public display community. NMFS’ Office of Protected Resources 

oversees the administration of these activities. 

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The MMPA was enacted in 1972 largely due to public 

response to the high levels of dolphin mortality in the 

Eastern Tropical Pacific Ocean tuna purse seine fishery 

as well as to concerns over commercial whaling and the 

killing of harp seals for the fur trade. Since then, many 

issues have changed, but the need to conserve and protect marine mammals remains. 

In section 2(6), the MMPA states that, 

“...it is the sense of Congress that they [marine 

mammals] should be protected and ecouraged to develop to 

the greatest extent feasible commensurate with sound policies of resource management and that the primary objectives 

of their management should be to maintain the health and 

stability of the marine ecosystem.” 

On April 30, 1994, the MMPA was reauthorized by the 

MMPA Amendments of 1994. These amendments introduced substantial changes to the provisions of the 

MMPA. Some of the most notable changes in the 1994 

Amendments occurred through the addition of sections 

117 and 118, which address the taking of marine mammals incidental to commercial fishing, the preparation 

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of stock assessment reports for all marine mammal stocks 

in U.S. waters, and the development and implementation of take reduction teams and their plans to reduce 

bycatch of selected “strategic” marine mammal stocks as 

defined in the MMPA. 

The effects that the MMPA has had on the status of 

marine mammals around the world is certainly immeasurable. Numerous countries not only look toward the 

United States for guidance on marine mammal conservation issues, but have also established policies of their 

own patterned after the MMPA. Here in the United 

States, we have only begun to quantify the MMPA’s impact on marine mammal stocks. However, some tangible 

results can been recognized. Some species of marine mammals have recovered so well as to be removed from the 

List of Endangered and Threatened Widllife such as the 

eastern North Pacific stock of gray whale, which has the 

distinction of being the first marine mammal species to 

be removed from this list. 

Although the passage of the MMPA has been beneficial 

by assisting the recovery of some species, this protection 

has also resulted in the escalation of other marine mammal/human conflicts. For example, on the West Coast of 

the United States, some pinniped populations are thriving. Their numbers and the continually increasing use 

of coastal resources by people have exacerabated interactions between these two worlds. These complicated situations can cause shifts in protective needs of the species 

and create difficult management decisions that must be 

evaluated by the overarching principles of ecosystem management. 

On the opposite end of the spectrum, there are some 

species on which scientists have spent much time and 

many resources attempting to recovery from decline and, 

despite considerable and often exhaustive, focused conservation efforts, these species remain critically endangered. Among these are the Hawaiian monk seal and 

northern right whale, for which recovery efforts have included the study of life histories and the reduction of 

human-caused injury and mortality, among numerous 

other conservation and management actions. Still, the 

future of these species is uncertain. 

Perplexing and nonetheless frustrating is the lack of success and difficult in recovering listed species and stocks 

where the primary threats to the population are not understood. The western stock of Steller sea lions in Alaska 

have dramatically diminished in numbers since the 1970s 

and continue to do so. Although they have been the focus of intensive research, no clear cut answer as to why 

their populations are declining has been ascertained, 

making establishment of recovery actions arduous. 

This report addresses in more detail many of these issues, primarily focusing on research and management 

activities conducted by NMFS in 1997 relative to the 

MMPA Amendments of 1994 and their significance to 

the dual goals of the MMPA, resource management and 

marine mammal protection. From section 3(2) of the 

MMPA, the scope of these programs may, 

“...constitute a modern scientific resource program, 

including, but not limited to, research, census, law enforcement, and habitat acquistion and improvement.” 

This report also reviews permits issued in 1997 for purposes pursuant to the MMPA. 

Copies of the MMPA 1997 Annual Report as well as 

other publications compiled in association with NMFS 

management and conservation activities are available from 

the Office of Protected Resources in Silver Spring, Maryland. See Appendix G for this address as well as those of 

the NMFS Regional Offices and Fisheries Science Centers. 

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the stock, including effects on marine mammal habitat and 

prey; 

4) describe commercial fisheries that interact with the stock, 

including — 

a) the approximate number of vessels actively participating in each such fishery; 

b) the estimated level of incidental mortality and 

serious injury of the stock by such fishery on an annual basis; 

c) seasonal or areal differences in such incidental 

mortality and serious injury; 

d) the rate, based on the appropriate standard unit 

of fishing effort, of such incidental mortality and serious injury, and an analysis stating whether such level is insignificant and is approaching a zero mortality and serious injury 

rate; 

5) categorize the status of the stock as one that either — 

a) has a level of human-caused mortality and seri­

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Section 117 of the Marine Mammal Protection Act 

(MMPA) requires the National Marine Fisheries Service 

(NMFS) and the U.S. Fish and Wildlife Service (FWS) 

to prepare and periodically update marine mammal stock 

assessment reports. 

Section 117 (a)(1) states that NMFS shall: 

“... prepare a draft stock assessment for each marine mammal stock which occurs in waters under the jurisdiction of the United States. Each draft stock assessment, 

based on the best scientific information available, shall — 

1) describe the geographic range of the affected stock, including any seasonal or temporal variation in such range; 

2) provide for such stock the minimum population estimate, 

current and maximum net productivity rates, and current 

population trend, including a description of the information upon which these are based; 

3) estimate the annual human-caused mortality and serious 

injury of the stock by source and, for a strategic stock, other 

factors that may be causing a decline or impeding recovery of 

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ous injury that is not likely to cause the stock to be reduced 

below its optimum sustainable population; or 

b) is a strategic stock, with a description of the reasons therefore; and 

6) estimate the potential biological removal level for the stock, 

describing the information used to calculate it, including 

the recovery factor.” 

NMFS convened a workshop in 1994 to develop guidelines for preparing the stock assessment reports. These 

guidelines were finalized in 1995, and the 1995 stock 

assessment reports were based on these guidelines. 

In April 1996, NMFS convened a workshop to evaluate 

the guidelines upon which stock assessment reports were 

based and to revise the guidelines as needed. The workshop results indicated that substantive changes to the 

guidelines were not required; however, several provisions 

were clarified, primarily to ensure that default values for 

various parameters were interpreted correctly. A report 

of this workshop, along with final revised guidelines for 

preparing the stock assessment reports, was published in 

February 1997. 

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The MMPA requires NMFS and FWS to review the 

stock assessment reports annually for strategic stocks of 

marine mammals and every three years for stocks determined to be non-strategic consistent with any new information. NMFS has revised those reports for which 

significant new information is available (See Appendix 

A. Summary of Marine Mammal Stock Assessments for 

Stocks Under NMFS Authority). These 1996 Stock Assessment Reports were published in the fall of 1997 in 

three separate documents, with notification of the publication being published in the Federal Register in January 

of 1998. 

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Most changes to the stock assessment reports incorporated new information from abundance or mortality estimates. Although stock structure was reexamined, 

andresulted in revised stock identification for killer whales 

in the Alaska and Pacific regions and for harbor porpoise 

in Alaska, none of these stocks was designated as strategic. 

A total of 145 stocks were defined for taxa that are under 

the authority of NMFS (see Appendix A), which are cetaceans and most pinnipeds (eight additional stocks of 

manatees, polar bears, sea otters, and walrus are under 

the authority of the FWS). There were 57 marine mammal stocks defined in the Atlantic and Gulf of Mexico, 

55 defined along the Pacific coast of the continental U.S. 

and Hawaii, and 33 defined in Alaska or the North Pacific. Further work on the definition of stock structure 

of many species is needed, including: Pacific and Atlantic harbor porpoise, Pacific killer whales, beluga whales, 

Atlantic bottlenose dolphins, and Pacific harbor seals. 

NMFS therefore anticipates that the number of stocks 

will change as additional information is collected and 

stock structure is revised. 

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Sixteen stocks that have an estimated human-caused mortality greater than the calculated Potential Biological Removal level (PBR) are designated strategic (see Figure 1, 

page 6). Along the Atlantic coast of the continental 

United States, there were nine strategic stocks of cetaceans out of a total of 31stocks. Minimum estimated 

right whale mortality from collisions with ships (1.4) and 

from entanglement in fishing gear (1.1) were both alone 

estimated to be greater than PBR (0.4). Mortality in the 

Atlantic large pelagics drift gillnet fishery for swordfish, 

tuna, and shark was primarily responsible for the strategic designation in six of the nine stocks. Significant mortality of some of these stocks also occurred in the Atlantic pair-trawl fishery and the Atlantic longline fishery, 

both of which also target swordfish, tuna, and shark. It 

is possible that there was also significant mortality of some 

stocks in the Atlantic squid, mackerel, butterfish trawl 

fishery, although available data have not yet been analyzed. The Gulf of Maine harbor porpoise had fisheries 

mortality estimated to be 3.8 times its PBR, primarily in 

the New England multispecies sink gillnet fishery. The 

mid-Atlantic coastal gillnet fishery was thought to be responsible for incidental mortality estimated from 

strandings that exceeds the PBR of Atlantic coastal bottlenose dolphins, as well as being responsible for additional 

mortality of harbor porpoise. 

Along the Pacific coast of the continental United States, 

five stocks out of a total of 35 were considered strategic 

because incidental fishery mortality exceeded their calculated PBRs. Their incidental mortality is nearly exclusively from the California/Oregon thresher shark/swordfish drift gillnet fishery. 

None of the 26 stocks in the Gulf of Mexico had estimates of incidental fishery mortality greater than their 

PBR. Similarly, none of the 20 Hawaii stocks had fisheries mortality greater than PBR. 

None of the 33 Alaska stocks had incidental fishery mortality that exceeded their calculated PBR; however, only 

one of 13 Category II fisheries in Alaska have been observed to estimate their marine mammal mortality levels. The stocks of Cook Inlet beluga whales 

(Delphinapterus leucas) and western Steller sea lions 

(Eumetopias jubatus) had estimated human-caused mortality that was greater than PBR. For both stocks the primary source of mortality was subsistence harvest. 

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Three Alaska stocks were identified as special subsistence 

stocks in the initial 1995 stock assessment reports, including beluga whales in Cook Inlet and Norton Sound 

and harbor seals in the Gulf of Alaska. After examining 

new information, and in accordance with advice from 

the Alaska Scientific Review Group, NMFS revised these 

reports to present the full information required under 

the MMPA. The Norton Sound beluga whale (re-named 

the eastern Bering Sea stock of beluga) was identified as 

non-strategic because its estimated human-caused mortality was less than PBR in the revised assessment. As 

noted above, the stock of Cook Inlet beluga whales was 

designated strategic because subsistence harvest was estimated to be greater than the PBR. The estimated human-caused mortality of Gulf of Alaska harbor seals 

(Phoca vitulina) was also greater than their calculated PBR. 

The stock assessment report for this stock states, 

“...because of 1) uncertainty regarding stock boundaries, 2) the likelihood that the cooperative management 

process will address the concern that this stock may be over 

harvested, and 3) the likelihood that the current level of 

take is sustainable because the total removal of female harbor seals is less than one-half of PBR, this stock is not classified as strategic at this time.” 

Estimated human-caused mortality was greater than PBR 

for the western stock of Steller sea lion for the first time 

in 1996. This was due to the PBR being lowered when 

the stock was listed as endangered under the Endangered 

Species Act (ESA). Any management actions concerning these or any other stock that is used for subsistence 

purposes would be addressed through a co-management 

process as indicated by section 119 of the MMPA (see 

Chapter VIII. Native Take of Marine Mammals). 

New abundance estimates were made for the following 

three stocks of deep-diving whales: Baird’s beaked whale 

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(Berardius bairdii), Cuvier’s beaked whale (Ziphius 

cavirostris), and pygmy sperm whale (Kogia breviceps) in 

the Pacific Ocean. These estimates were higher because 

they included a recently developed correction factor for 

animals not detected on the track line. This allowed 

NMFS to determine that human-caused mortality and 

serious injury of these stocks did not exceed PBR; therefore, these stocks were changed from strategic to nonstrategic (see Figure 2, page 7). However, a lower abundance estimate and a higher mortality estimate led to the 

designation of the California/Oregon/Washington stock 

of minke whale (Balaenoptera acutorostrata) as strategic. 

The following four stocks in the Atlantic were reported 

as having mortality levels that exceeding their PBRs in 

the 1995 assessments, but that decreased to below PRB 

in 1996: sperm whale (Physeter macrocephalus), longfinned pilot whale (Globicephala melas), Atlantic whitesided dolphin (Lagenorhynchus acutus), and offshore 

bottlenose dolphin (Tursiops truncatus) (see Figure 2, page 

7). A combination of higher abundance estimates (for 

three of the stocks) and lower mortality estimates (also 

for three of the stocks) led to their estimated humancaused mortality being lower than PBR. The higher abundance estimates resulted from a new survey in 1995 that 

covered a larger area. The mortality estimates changed 

because a different time period was used, in the interest 

of using the most current information. The 1996 reports used the years 1991-95, while the 1995 stock assessment reports used the years 1989-93. Because there 

was no recognized causal mechanism, such as a reduction in fishing effort or mitigation measures to explain 

the lower mortality, the changes in estimated mortality 

may be due to sampling variability. 

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Stocks that are listed as endangered or threatened under 

the ESA or are designated as depleted under the MMPA 

are automatically designated as strategic. There are 27 

stocks in this category (see Figure 3, page 8). The blue 

(Balaenoptera musculus), fin (Balaenoptera physalus), sei 

(Balaenoptera borealis), humpback (Megaptera 

novaeangliae), right (Eubalaena glacialis), bowhead 

(Balaena mysticetus), and sperm whales were all listed as 

endangered in the 1970s, primarily because they were 

considered severely depleted due to harvest by commercial whalers. The Hawaiian monk seal (Monachus 

schauinslandi) is listed as endangered for a variety of reasons, including concern about their low and declining 

population size. The guadalupe fur seal (Arctocephalus 

townsendi) are listed as threatened because of their reduction to a very low population size from direct harvest. 

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Steller sea lions were listed as threatened because of recent declines, and the western stock’s status was recently 

changed to endangered because of its continuing decline, 

whereas the eastern stock remained threatened. Northern fur seals were designated as depleted because of a 

population decline from the mid-1970s to the mid-1980s. 

Coastal bottlenose dolphins were also designated depleted 

after an anomalous mortality event in 1988-89. 

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Six other stocks were designated strategic because of potential fishery interaction problems, a lack of information, or because of other potential problems with human-caused mortality. These stocks are the Atlantic dwarf 

sperm whale (Kogia simus), Atlantic pygmy sperm whale 

(Kogia breviceps), Gulf of Mexico Bays, Sounds, and Estuaries bottlenose dolphin (Tursiops truncatus), Gulf of 

Mexico dwarf sperm whale (Kogia simus), Gulf of Mexico 

pygmy sperm whale, and the Gulf of Mexico short-finned 

pilot whale (Globicephala macrorhynchus). 

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The regional scientific review groups (SRGs) were established as directed by section 117 (d) which states that: 

“(I) Not later than 60 days after the date of enactment of this section [June 29, 1994], the Secretary of Commerce shall, in consultation with the Secretary of the Interior (with respect to marine mammals under that Secretary’s 

jurisdiction), the Marine Mammal Commission, the Governors of affected adjacent coastal States, regional fishery and 

wildlife management authorities, Alaska Native organizations and Indian tribes, and environmental and fishery 

groups, establish three independent regional scientific review 

groups representing Alaska, the Pacific Coast (including Hawaii), and the Atlantic Coast (including the Gulf of Mexico), 

consisting of individuals with expertise in marine mammal 

biology and ecology, population dynamics and modeling, 

commercial fishing technology and practices, and stocks taken 

under section 101(b). The Secretary of Commerce shall, to 

the maximum extent practicable, attempt to achieve a balanced representation of viewpoints among the individuals 

on each regional scientific review group. The regional scientific review groups shall advise the Secretary on— 

(A) population estimates and the population status and trends of such stocks; 

(B) uncertainties and research needed regarding 

stock separation, abundance, or trends, and factors affecting 

the distribution, size, or productivity of the stock; 

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(C) uncertainties and research needed regarding 

the species, number, ages, gender, and reproductive status of 

marine mammal; 

(D) research needed to identify modifications in 

fishing gear and practices likely to reduce incidental mortality and serious injury of marine mammals in commercial 

fishing operations; 

(E) the actual, expected, or potential impacts of 

habitat destruction, including marine pollution and natural environmental change, on specific marine mammal species or stocks, and for strategic stocks, appropriate conservation or management measures to alleviate any such impacts; 

and 

(F) any other issue which the Secretary or the groups 

consider appropriate. 

(II) The scientific review groups established under this subsection shall not be subject to the Federal Advisory Committee Act (5 app. U.S.C.). 

(III) Members of the scientific review groups shall serve without compensation, but may be reimbursed by the Secretary, 

upon request, for reasonable travel costs and expenses incurred in performing their obligations. 

(IV) The Secretary may appoint or reappoint individuals to 

the regional scientific review groups under paragraph (1) as 

needed.” 

The three SRGs were formed in 1994 with approximately 

11 members each (see Figure 4, page 10). These groups 

are convened and organized out of each of the following 

NMFS Fisheries Science Centers: Alaska, Southwest and 

Northeast/Southeast. 

Each SRG has a designated NMFS contact person at 

these Centers. The Centers are responsible for assisting 

the SRG members in arranging meetings, identifying and 

coordinating lodgings and travel accommodations, pro­

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viding materials requiring SRG consultation, and assisting in facilitating communication between SRG members and documentation of recommendations. NMFS, 

through the Centers, provides travel, hotel and meetinglocation expenses. 

In their first year of existence, the SRGs reviewed the 

proposed guidelines for stock assessment reports. Additionally, they reviewed the draft 1995 stock assessment 

reports themselves and assisted NMFS in revising and 

finishing the 1995 assessments. In 1996, the SRGs reviewed draft 1996 stock assessment reports, which were 

updates of the 1995 reports. The SRGs also sent representatives to a workshop that revised the guidelines for 

preparing the stock assessment reports, and all of the SRG 

members were given the opportunity to comment on 

the revised guidelines. 

A total of six SRG meetings were held during 1997 (see 

page 7). In these meetings, the SRGs reviewed new marine mammal stock data and information and provided 

NMFS with recommendations for future research. The 

SRGs reviewed the revised 1996 stock assessment reports 

and assisted NMFS in bringing these reports to a finished form. Additionally, the guidelines for preparing 

the stock assessment reports, which the SRGs had reviewed, were published in February 1997, along with 

the report of the workshop. 

The following sections of text have been extracted from 

the written summaries of the scientific review group meetings that took place in 1997. Where appropriate, recommendations relevant to marine mammal species (sea 

otter, walrus, polar bear, and manatee) under the jurisdiction of the U.S. Fish and Wildlife Service have been 

removed. 

ATLANTIC SCIENTIFIC REVIEW


GROUP


5th Meeting, 22-23 May 1997


New Orleans, LA


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The Atlantic SRG reviewed research priorities for the 

upcoming FY98 MMPA Funding Review Panel. The 

Atlantic SRG prioritized research needs in the following 

areas: 

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1) Estimate stock identification and abundance for coastal 

bottlenose dolphins, particularly along the Atlantic coast. 

Stock identification should be resolved through a combination of techniques, including photographic identification, genetics, and telemetry. 

2) Improve understanding of the species and stock identity and abundance of pelagic cetaceans, particularly 

beaked whales, common dolphins, and pilot whales. 

3) Improve understanding of the stock structure of harbor porpoises impacted by incidental catches in the Gulf 

of Maine and mid-Atlantic regions. 

4) Improve estimation of g(0), the proportion of animals that are missed during line transect surveys, particularly for deep-diving species. 

5) Estimate abundance of bottlenose dolphins and pilot 

whales in waters of the U.S. Caribbean Sea. 

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1) Improve estimates of fishing effort for most fisheries 

in the Atlantic and Gulf of Mexico that interact with 

marine mammal stocks. 

2) Estimate incidental catches of marine mammals for 

the mixed coastal gillnet fisheries of the Atlantic coast, 

using strandings and alternative observation techniques, 

if necessary. 

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3) Better characterize incidental catches for the Atlantic 

trawl fisheries for squid, mackerel, herring, and butterfish. 

4) Determine whether current levels and distribution of 

observer coverage are adequate for mortality estimation 

in the pelagic longline fishery. 

5) Obtain further information on incidental catches of 

marine mammals in the large mesh shark driftnet fishery 

in Georgia and Florida. 

6) Standardize collection and reporting of information 

on fisheries interactions from stranded cetaceans and liveentangled pinnipeds and manatees. 

7) Increase efforts to detect strandings in areas not currently observed with frequency, such as the shores of 

Louisiana. 

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1) Conduct gear research to reduce entanglements of right 

and other baleen whales. 

2) Evaluate strategies for reducing bycatch of harbor 

porpoises in sink gill nets, such as the use of acoustic 

alarms. 

3) Conduct research to identify current fishing techniques and practices that have a low probability of marine mammal bycatch. 

4) Explore the concept of individual bycatch “quotas” 

or other means of allocating PBR within and among fisheries. 

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1) Update the recovery plan for the Antillean manatee, 

incorporating information collected since 1986. 

2) Estimate abundance and trends of the North Atlantic 

right whale population using mark-recapture techniques. 

3) Conduct demographic analyses of North Atlantic right 

whales to determine which factors are limiting recovery. 

4) Create a recovery plan for mid-Atlantic coastal bottlenose dolphins. 

5) Expand survey areas for North Atlantic right whales 

outside known critical habitat. 

6) Conduct forensic analyses of stranded right whales to 

determine cause(s) of mortality. 

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1) Encourage the collection and analysis of life history 

samples from marine mammals caught incidental to commercial fisheries. Whole carcasses should be recovered 

and necropsied whenever possible. 

2) Continue site-specific population monitoring of 

bottlenose dolphins at long-term research sites, to provide the means for assessing and understanding changes 

in abundance (these studies also provide useful models 

for understanding the demography of other, poorly understood delphinid populations). 

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1) Conduct surveys of expanding pinniped populations 

to monitor the growth of these stocks and help anticipate habitat and fisheries-related issues that may develop 

as a result of this expansion. 

2) Encourage the collection and analysis of life history 

samples from marine mammals caught incidental to commercial fisheries. Whole carcasses should be recovered 

and necropsied whenever possible. 

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ATLANTIC SCIENTIFIC REVIEW


GROUP


6th Meeting, 5-6 November 1997


Charleston, South Carolina


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1) The Atlantic SRG recommends that the NMFS continue to gather information to test the provisional stock 

designations for bottlenose dolphin (Tursiops truncatus) 

populations in the Gulf of Mexico. The Atlantic SRG 

notes that there continues to be uncertainty surrounding 

the biological distinctness and degree of overlap among 

the 33 provisional stocks. 

2)The Atlantic SRG recommends that genetic approaches 

to stock identification in bottlenose dolphins be combined with more traditional methodologies to define 

stocks. The Atlantic SRG also recommends that research 

on stock structure in the Gulf of Mexico should parallel 

that in the Atlantic. 

3) The Atlantic SRG recommends that the next version 

of the Stock Assessment Report (SAR) for Gulf of Mexico 

bottlenose dolphins reflect the revised stock structure hypotheses as discussed. The Atlantic SRG also recommends that NMFS reassess the status of the mid-Atlantic bottlenose dolphin stocks after presumed recovery 

from the 1987 die-off and with changes in current levels 

of take by commercial fisheries. 

4) The Atlantic SRG is concerned that the allocations of 

MMPA and ESA funds in NMFS do not reflect the needs 

of Atlantic and Gulf of Mexico marine mammals. The 

group is also concerned that it is NMFS staff alone that 

currently participate in these allocation discussions. The 

group suggests that outside reviewers, especially someone from the U.S. Marine Mammal Commission, participate in the allocation process. The Atlantic SRG would 

like to preview NMFS Northeast and Southeast Science 

Center and Regional proposals with the intent of improving the competitiveness of the East Coast proposals. 

5) The Atlantic SRG recommends that NMFS consider 

reclassification of crab fisheries in coastal Atlantic waters 

because of the number of gear entanglements of bottlenose dolphin and that NMFS continue to monitor the 

takes in this region. 

6) The SRG agrees that it would annually review the SAR 

for each strategic marine mammal stock and one-third of 

the non-strategic stocks. 

PACIFIC SCIENTIFIC REVIEW


GROUP


5th Meeting, 6-8 May 1997


Seattle, Washington


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The SRG reviewed NMFS activities in response to a list 

of the previous major recommendations listed in the report of the 3rd meeting of the SRG and reviewed at the 

4th meeting. 

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1) The Pacific SRG recommends that a Take Reduction 

Team (TRT) be formed to evaluate the drift net fishery 

for shark and swordfish off California. This fishery is 

involved with all the marine mammal species for which 

the PBR is exceeded except two (California sea otters and 

Hawaiian monk seals), which already have recovery teams 

under the ESA. Because this one fishery is involved with 

so many stocks, the SRG recommends that one TRT for 

the fishery be established, rather than separate ones for 

each stock. 

A TRT was formed and a mortality reduction 

plan submitted for public comment. 

2) The Pacific SRG recommends conducting a comprehensive survey of the Hawaiian archipelago to fill the 

large gap in our knowledge about the abundance and 

status of Hawaiian cetacean stocks. Examining survey 

data from the Acoustic Thermometry of Ocean Climate 

(ATOC) experiments may provide additional information for these assessments. Although fishery mortality 

has not been estimated, available information suggests 

that instituting observer programs to estimate mortalities would be problematic because of the small-scale na­

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ture of the local fisheries. The problem of dolphins that 

may be shot at to discourage them from stealing fish from 

fishing lines was thought to be a law enforcement and 

education issue rather than one requiring an observer program. 

A funding proposal for a Hawaiian survey was 

submitted in 1998; however, congressionally mandated 

surveys of Eastern Tropical Pacific Ocean dolphin stocks 

in 1998 precluded NMFS from pursuing the Hawaiian 

research recommendation. A NMFS survey of Hawaiian stocks is planned for 2001. 

3) The Pacific SRG recommends that monitoring of the 

central California harbor porpoise stock continued. Although the almost total closure of the coastal set-net fishery has apparently reduced mortality, recent data suggest 

that the population still may be declining at a rate of 9­

10% per year. Monitoring of this stock should continue 

to determine if it is truly declining, whether the decline 

is due to environmental or human-caused factors, and to 

document the population growth rate in the wake of fishery mortalities and population decline. 

Monitoring of the central California harbor 

porpoise stock continued, and an aerial survey was conducted in 1997. 

4) The Pacific SRG recommends that the stock structure 

of West Coast harbor porpoise be studied in greater detail. This species appears to be particularly vulnerable to 

interactions with fisheries. 

Samples of West Coast harbor porpoise are currently being collected and analyzed by NMFS. Preliminary results were presented by NMFS to the SRG; however, samples from some poorly represented geographic 

areas are still needed. 

5) The Pacific SRG recommends research into developing correction factors to obtain better population estimates for both cetaceans and pinnipeds. For deep-diving 

cetaceans, such as members of the families Ziphiidae and 

Kogiidae, research should be conducted to devise correction factors for submerged animals during surveys. For 

pinnipeds that are counted while hauled out on land, 

more stock-specific correction factors for estimating the 

proportion at sea are needed. Demographic models could 

be developed to estimate the total minimum population 

size from pup counts. 

Field studies have collected significant new data 

for deep-diving cetaceans and harbor seals. Some correction factors have been incorporated into the current 

SARs, others will be used in future SARs. 

6) The Pacific SRG strongly supports the role of a NMFS 

liaison to promote consistency among the SRGs. Having a liaison at the Office of Protected Resources has 

better informed the SRGs, and it is expected that NMFS 

will continue to fill this need. The group notes the lack 

of consistency among SRGs for such issues as defining 

stocks and in the criteria for adopting recovery factors. 

The group recommends that the NMFS liaison distribute a list of stocks for which non-default values in the 

PBR calculations have been used, as well as the rationale 

for those deviations, to provide guidance and promote 

consistency among the groups in dealing with diverse 

management situations. The SRG recommends increased 

communication among the SRGs and within NMFS to 

maintain consistent application of the PBR concept and 

increased cooperation with international, state, and other 

agencies to promote co-management plans. 

The Pacific SRG intends to support this exchange of information by encouraging member attendance at other SRG meetings. 

7) The Pacific SRG recognizes the problems of increasing pinniped populations in some areas, particularly 

where pinniped predation on threatened and endangered 

salmonid species may be an issue. The literature review 

being conducted by the Pinniped-Fishery InteractionTask 

Force was not thought to be sufficient for answering the 

critical fisheries interaction questions for California sea 

lions and harbor seals along the Northwest Pacific coast, 

and the SRG recommends region-wide research be conducted, particularly into the food habits of these species. 

A report of the working group that NMFS convened to investigate this issue has been finalized and is 

currently out for public review (see Chapter IV. Marine 

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Mammal Interactions with Salmonids and Human Activities). Comments by the Pacific SRG are included in 

this report. The final report and its recommendations 

will be sent to the Secretary of Commerce and then to 

Congress. 

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8) The SRG recognizes the problems inherent in defining the Zero Mortality Rate Goal (ZMRG), and the group 

could not provide a viable alternative. The group recommends that NMFS assess the performance of the 

ZMRG guidelines in its third-year report to Congress. 

The Guidelines for Assessing Marine Mammal 

Stocks workshop dealt with this issue, and NMFS is considering a final position. 

9) The SRG recommends that the use of fishermen logbook data for monitoring marine mammal mortality be 

discontinued. Such data are not reliable, and the program is a drain of resources from more effective programs. 

The logbook data program has been replaced 

with a postcard reporting system (see Ch. III. Reducing 

Interactions Between Marine Mammals and Commercial Fisheries). 

10) The Pacific SRG recommends research into nonfishery human-caused mortality; specifically, how to 

quantify such mortality and how to incorporate this mortality into the PBR process. Such research should be 

given a higher priority as the fishery mortality approaches 

the PBR for each stock. 

No progress has been made on this. 

11) It is unknown whether the virtual disappearance of 

pilot whales from the California coast is a natural phenomena attributable to changing environmental conditions or due to fishery interactions. Research into the 

current distribution and migration patterns on an opportunistic basis may shed light on these questions. 

Broad-scale ecosystem studies may suggest reasons for 

these changes, as well as recent changes in the distribution and abundance of other pinniped and cetacean species in the North Pacific. 

Due to the unavailability of funds, no progress 

has been made on this recommendation. 

12) The Pacific SRG recommends monitoring the California squid purse-seine fishery with an observer program because of the lack of current information about 

marine mammal mortalities in this fishery and the previous interactions thought to occur with the southern California pilot whale population that has since declined in 

the area. 

This fishery has been reclassified as Category II 

(see Appendix B. 1997 List of Category I and II Fisheries), but funding has not yet been allocated by NMFS 

for an observer program. 

PACIFIC SCIENTIFIC REVIEW


GROUP


6th Meeting, 15-17 October 1997


La Jolla, California


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The following list of research recommendations has been 

updated. Several previous recommended actions that 

have been substantially achieved are no longer listed. The 

current list has not yet been prioritized. 

1) The Pacific SRG has previously recommended conducting a comprehensive survey of the Hawaiian archipelago to fill the large gap in our knowledge about the 

abundance and status of Hawaiian cetacean stocks. 

Because Congress has mandated that intensive 

dolphin surveys be conducted in the eastern tropical Pacific during 1998-2000, neither NOAA ship time, funding for suitable charter vessels, nor NMFS Southwest 

Fisheries Science Center (SWFSC) personnel will be available to conduct surveys in Hawaii. Instituting observer 

programs to estimate mortalities would also be problematic because of the small-scale nature of the local fisheries. The problem of dolphins that may be shot at to 

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discourage them from stealing fish from fishing lines was 

thought to be a law enforcement and education issue 

rather than one requiring an observer program. 

The SRG recommends that smaller-scale research projects 

be initiated to assist in monitoring dolphin mortality and 

trends in abundance, such as: 

a) Initiate a comprehensive program to recover 

stranded marine mammals from the Hawaiian Islands. 

This would allow trained personnel to examine carcasses 

for evidence of gunshots or fishery interactions, as well 

as to collect life history data. 

b) Conduct photo-identification studies of 

bottlenose dolphins and other species that would be good 

indices of the effects of fishery interactions. Such studies 

could allow monitoring for evidence of non-lethal gunshots or fishery interactions, to monitor abundance using mark-resight methods to detect potential declining 

trends, and to take biopsy samples for genetic analysis. 

Photographs and biopsy samples could also be collected 

opportunistically during surveys conducted for other research purposes. 

c) Conduct radio- or satellite-tracking studies 

of bottlenose, spinner, and spotted dolphins to determine home ranges and to infer population structure. 

d) Update assessments of fisheries interactions 

with marine mammals. This could be aided by coordination with the Hawaiian monk seal program to obtain 

observer mortality data from domestic and foreign fisheries operating near Hawaii. 

2) The Pacific SRG recommends that monitoring of the 

Pacific coast harbor porpoise stocks be continued. Although the reduction in effort by the California coastal 

set-net fishery has apparently reduced mortality, recent 

data collected by NMFS suggest that the population still 

may be declining. The status of harbor porpoise stocks 

in Washington and Oregon also remain unclear. 

Monitoring of these stocks should continue, along with 

studies to determine whether the declines are due to environmental or human-caused factors, as should documenting the population growth rate in the wake of fishery mortalities and population decline. Satellite tracking of Washington harbor porpoises could help determine stock structure. 

3) It is unknown whether the virtual disappearance of 

pilot whales from the California coast is a natural phenomena due perhaps to changing environmental conditions or due to fishery interactions (possibly by the squid 

purse-seine fishery). Because the California Department 

of Fish and Game is instituting a new research program 

on market squid, it would be useful for researchers aboard 

squid purse seiners to document any incidental or directed mortality that may be occurring. Research into 

the current distribution and migration patterns may shed 

light on these questions. Satellite-tracking of pilot whales 

that are captured and released from purse-seine nets could 

be attempted on an opportunistic basis. 

4) The SRG recommends that NMFS continue to support research on life history, vital parameters and condition indices, and develop population correction factors 

for California sea lions and Pacific harbor seals. These 

populations will not continue to increase indefinitely and 

when abundances stabilize and possibly decline this base 

of information will be invaluable. Such “historical” data 

sets would be very useful for assessing and reacting to 

present declines in the Steller sea lion and harbor seal 

populations in Alaska, but few such data sets currently 

exist. 

5) The SRG is concerned about the recent decline in the 

California sea otter population. The SRG recommends 

that efforts be increased to determine causes of mortality, such as: 

a) expanding the efforts of the stranding program to recover carcasses that could indicate the causes 

of death, and 

b) initiating a shore-based observer program to 

monitor new and expanding coastal fisheries (for example, 

the finfish trap fishery) to determine whether any sea 

otter mortality is occurring and contributing to the 

population’s decline. 

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6)The SRG recommends that coordination on an international level to address concerns regarding 

transboundary stock issues (e.g., Mexico and California 

sea lions; Canada and Washington harbor porpoise) continue and be increased. 

7) The Pacific SRG supports the recommendation of the 

Hawaiian monk seal RecoveryTeam to increase observer 

coverage of longline fisheries (currently at 4-5%) to a 

level that produces statistically reliable estimates of mortality. 

8) Following the October 1997 meeting described, the 

Pacific SRG included the following statement in its formal list of recommendation to NMFS: 

“Regarding the NMFS Draft Report to Congress on 

Recommendations for Addressing the Impacts of California 

Sea Lions and Pacific Harbor Seals on Salmonids and West 

Coast Ecosystems, the SRG supports the NMFS proposals 

for: 

1) implementation of site-specific management of 

California sea lions and Pacific harbor seals as outlined in 

the report; 

2) increased efforts to develop safe and effective nonlethal deterrents, and; 

3) funding and conducting research to address the 

information needs identified in the report.” 

The Pacific SRG was first briefed on the NMFS Draft 

Report at its May 1997 meeting in Seattle. Because not 

all members were in attendance during that discussion, 

the SRG reviewed this issue again at the October 1997 

meeting. 

The SRG concurs that there can be situations where predation by locally abundant pinnipeds can have negative 

effects on certain fish stocks and on sport or commercial 

fishing activities in some cases. The general conditions 

under which such effects can occur include situations 

where fish stocks have been reduced in abundance (as a 

result of habitat degradation, water diversion, over-fishing, etc.), where habitats have been altered, and where 

fish are concentrated and passage is restricted (by natural 

and artificial barriers). 

The SRG recognized that the current healthy status of 

Pacific harbor seals and California sea lions is a result of 

the success of the MMPA in providing 25 years of protection to these populations. The SRG agrees with the 

NMFS Draft Report that natural predation by pinnipeds is not implicated as a cause of the more recently 

observed declines in many salmonid stocks on the Pacific Coast. The available information suggests that many 

pinniped-fishery conflicts are the result of learned behaviors by a relatively small number of individual animals. In this respect, the proposal for site-specific management of small numbers of pinnipeds from healthy 

populations to protect other important marine resources, 

such as threatened, endangered or otherwise state-designated fish stocks, is a biologically sound and risk-averse 

approach to the conservation and management of these 

resources. 

With respect to the recommendation provided in the 

NMFS Draft Report regarding deterrents, the Pacific 

SRG strongly endorses the need to develop highly effective, long-term, non-lethal deterrents to pinnipeds (and 

other species in some cases) that may damage property, 

destroy fishing gear or catch, or be killed or seriously 

injured during fishing operations. 

The NMFS Draft Report proposes to selectively reinstate authority for the intentional lethal taking of California sea lions and Pacific harbor seals by commercial 

fishermen to protect gear and catch (see Chapter IV. 

Marine Mammal Interactions with Salmonids and Human Activities). Pacific SRG members were divided on 

this recommendation. Although some members thought 

that this authority as outlined should be granted, other 

members questioned the presumption that this deterrent was truly effective, and still others were opposed to 

the proposal. The Pacific SRG concluded that since this 

question was primarily one of policy rather than of science, a specific recommendation on this point would 

not be provided. 

The Pacific SRG agreed with the information needs identified in the NMFS Draft Report. This NMFS list is 

more complete and expands upon a previously-made 

SRG recommendation to conduct region-wide research 

on the interactions between increasing pinniped populations and other important marine resources. 

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JOINT MEETING OF THE ALASKA


AND PACIFIC SCIENTIFIC REVIEW


GROUPS


5th Meeting, 7-9 May 1997


Seattle, Washington


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1) A recommendation was adopted that for all of the 

“shared” marine mammal stocks both the Alaska SRG 

and Pacific SRG would review the status reports. 

2) Given the preliminary nature of genetics data (e.g., 

nuclear DNA analyses have not yet been completed) and 

the relatively small sample sizes used, it was recommended 

that the existing stock structures reported in the Pacific 

and Alaska SARs for killer whales be maintained at this 

time, but changing the stock designation may be considered during the next round of revisions. Further, the 

following were recommended: 

a) a detailed cross-matching of all catalogs to 

derive minimum estimates of abundance for each stock 

of killer whale in the Pacific and Alaska regions should 

be performed, 

b) creation of a subcommittee with members 

from both SRGs should be created to discuss killer whale 

status specifically, 

c) encouragement of active killer whale research 

groups to work together to produce a new estimate of 

abundance based on all available data as soon as possible, 

and 

d) NMFS should approach Department of Fisheries and Oceans or other suitable fishery agencies in 

Canada about a list of fisheries which use gear that is 

likely to entangle killer whales. 

3) Regarding the eastern stock of Steller sea lions, it was 

recommended that estimates of abundance and humanrelated removals from British Columbia should be included in the status report and in classifying the stock as 

to being strategic or not. 

It was also recommended that: 

a) additional genetic information from animals 

from British Columbia and the West Coast of the United 

States was needed, but that until such data were available, the currently recognized stock structure should be 

maintained, 

b) the recovery factor (RF) for this stock should 

be 0.75, and 

c) use of the current estimate of Nmin (the minimum estimate of the number of animals in a stock), which 

was considered reasonable continue. 

4) Regarding harbor porpoise, it was recommended that 

the significant differences found in genetic diversity from 

animals that were continuously distributed along the west 

coast of North America and Alaska supported the establishments of stocks within this species in Alaska. 

5) Regarding harbor seals, a recommendation was agreed 

upon that until additional information on genetic diversity based on nuclear DNA is gathered, the existing stock 

structure suggested in the Pacific and Alaska SARs should 

be maintained. It was further recommended that: 

a) the ANOVA be redone using the stock boundaries; 

b) an analysis of the nuclear DNA be undertaken as soon as possible, and that the results of all of the 

genetic studies be incorporated into the next status review for this species; 

c) areas for which additional samples are needed 

to better understand the stock structure of harbor seals 

in Alaska should be identified by NMFS as soon as possible; 

d) for the Gulf of Alaska stock of harbor seal an 

RF of 0.5 should be used for this stock at this time, and 

the status of this stock should be classified presently as 

non-strategic; 

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e) for the Bristol Bay stock of harbor seal an RF 

of 0.5 should be used, while for the Southeast Alaska 

stock of harbor seal an RF of 1.0 should be used; and 

f) a summary of locations where genetic samples 

have been previously collected be prepared. 

6) It was recommended that a review of the original 

“Discovery Tag” data for fin whales be reviewed prior to 

changing the existing stock structure for fin whales. 

7) It was recommended that where estimates of Nmin 

did not incorporate uncertainty or were not considered 

conservative, RF values should be less than 1.0. 

8) It was noted that a key problem related to the PBR 

system was problematic for ice seals (spotted, ribbon, 

ringed, and bearded), because reliable abundance estimates for each stock had never been made and substantial human-related mortality took place, and where none 

of these stocks had been classified as strategic in the past. 

Another recommendation agreed upon was that abundance estimates for these stocks should be determined as 

soon as possible. 

9) It was recommended that all members of both SRGs 

should receive copies of the NMFS workshop report on 

serious injury, as soon as it was available. In addition, 

future joint meetings were recommended on an as-needed 

basis. 

10) It was recommended that in the future the SARs 

should include explicit statements regarding how Nmin 

estimates were derived. 

11) Regarding northern fur seals, it was recommended 

that NMFS: 

a) determine whether the ratio of bull counts to 

pup counts was constant over time, as a check on whether 

the correction factor was likely to have remained constant over the last 15 years; 

b) develop a new correction factor for this stock 

based on more recent information on pup and non-pup 

survival and rates of reproduction; and 

c) if a new correction is determined to be necessary, and if appropriate, consider reviewing the depleted 

status of this stock, given that the historic estimate of 

abundance would not change, while the current estimate 

of abundance will likely increase. 

12) There was general agreement that mortalities of Steller 

sea lions were likely taking place incidental to fisheries in 

Russia and Canada as well as in the United States. There 

was a recommendation that such mortalities should be 

included in the status report for this stock and other 

stocks, as appropriate (e.g., harbor seals: southeast and 

western stocks, Steller sea lions: western and eastern stocks, 

Alaska harbor porpoise: eastern and western stocks; bowhead whale, gray whale, humpback whale: stocks in the 

eastern North Pacific, and all stocks of killer whale). 

13) It was recommended that a default value for the coefficient of variation (CV) of 0.2 be used in the estimate 

of Nmin for the Bristol Bay stock of beluga whale. It 

was further recommended that NMFS develop as soon 

as possible a CV for the correction factor for this stock 

based on the radio telemetry data used to derive the correction factor. It was also recommended that where years 

for which no estimate of mortality were available, they 

not be included in estimating the average mortality over 

the previous five years. 

14) It was recommended that an appendix should be 

added to the 1996 Alaska Marine Mammal Stock Assessment Report that summarizes the various observer 

programs that have been conducted over the last five years. 

15) Regarding Cook Inlet beluga whales, it was noted 

that, as agreed at the last Alaska SRG meeting, the estimate of Nmin did not incorporate any uncertainty because there was no estimate of the CV for either the count 

of belugas or the correction factor in the estimate of Nbest 

(the point estimate of abundance). After some discussion, it was recommended that a more conservative approach should be taken, and that the second estimate of 

abundance described in the text of the 1996 Alaska Marine Mammal Stock Assessment Report be used instead 

because it did include an estimate of CV for the estimate 

of abundance (i.e., the estimate of 881 animals for Nbest). 

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It was also recommended that: 

a) the satellite tagging should proceed as planned, 

but, if at all possible, NMFS should support annual surveys to determine abundance at least through the year 

1999 (i.e., 1997, 1998, and 1999); and 

b) the Chair would draft a letter to the NMFS 

Office of Protected Resources recommending that funding be allocated to support such a survey. 

16) It was recommended and agreed that NMFS should 

reevaluate its policy of restricting funding for the purpose of responding to stranding events and should include support for travel, at least in Alaska. 

17) Regarding North Pacific sperm whales, it was recognized that the stock structure presented in the 1996 Alaska 

Marine Mammal Stock Assessment Report is likely incorrect, as is the stock structure currently recognized by 

the IWC. Therefore, it was recommended that NMFS 

should place additional priority on expanding efforts to 

get biopsy samples from live and/or stranded sperm 

whales throughout the North Pacific because without 

this information it would not be possible to develop classification criteria under the ESA and MMPA. 

ALASKA SCIENTIFIC REVIEW


GROUP


6th Meeting, 21-23 October 1997


Seattle, Washington


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The following recommendations were adopted by the 

Alaska SRG. 

1) FWS should finalize its report on the 1994 survey for 

sea otters in the vicinity of Kodiak Island and in general 

should discontinue the practice of using the stock assessment report as the initial source for a particular piece of 

information. Further, a letter will be drafted from the 

Alaska SRG to FWS reiterating its recommendation to 

only include information in the stock assessment reports, 

for which at least a draft report is available detailing the 

methods and analyses used to generate the data in question. It was agreed that at the next meeting, the Alaska 

SRG should conduct a review of how consistent it had 

been in its reviewing of the NMFS status reports with 

regard to this recommendation. 

2) FWS should finalize a decision regarding the merits 

of a range-wide survey for walrus and report this decision to the Alaska SRG. 

3) NMFS should expand its efforts to collect tissue 

samples from harbor seals for use in genetic analyses. 

SWFSC should be invited to participate at the next meeting of the Alaska SRG to present a summary of recent 

work on population genetics, as it relates to harbor seals. 

4) Both NMFS and FWS should consider mechanisms 

for managing marine mammal populations at the “small 

area” level without having to make changes in the MMPA 

during the next reauthorization process in FY98. One 

approach would be to calculate a PBR-type number for 

subareas within the distribution of a stock. 

5) Both NMFS and FWS should consider mechanisms 

by which stock assessment reports for all species of marine mammals in Alaska could be jointly published in a 

single report or compendium. 

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The Marine Mammal Protection Act (MMPA) was 

amended by Congress in 1994 to establish a new longterm regime for governing interactions between marine 

mammals and commercial fisheries. Final regulations 

implementing this program were published in 1995 after considerable public involvement and comment (60 

FR 45086). 

The 1994 Amendments to the MMPA established the 

following goals: (1) reducing incidental mortality or serious injury of marine mammals occurring in the course 

of commercial fishing operations to below the Potential 

Biological Removal (PBR) level within six months of enactment and (2) further reducing these mortalities and 

serious injuries to insignificant levels approaching a zero 

mortality and serious injury rate within seven years. 

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NMFS must classify all U.S. commercial fisheries into 

Category I, II or III, based on whether or not the fishery 

has a frequent, occasional, or a remote likelihood of causing incidental mortality and/or serious injury of marine 

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mammals, respectively. NMFS defined Category I, II, 

and III fisheries based on the annual level of incidental 

mortality and serious injury of marine mammals relative to each stock’s calculated PBR level. 

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In 1997, the fishery classification criteria consist of a twotiered, stock-specific approach that first addresses the total 

impact of all fisheries on each marine mammal stock, 

and then addresses the impact of individual fisheries on 

each stock. NMFS went through the following decision 

process when assessing each fishery for which data are 

available: 

Tier 1: Tier 1 considers the cumulative fishery mortality 

and serious injury for a particular stock. If the total annual mortality and serious injury across all fisheries that 

interact with a stock is less than or equal to 10% of the 

PBR level of that stock, then all fisheries interacting with 

this stock are placed in Category III. Otherwise, these 

fisheries are subject to Tier 2 standards. 

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Tier 2: Tier 2 considers fishery-specific mortality for a 

particular stock. Fisheries under Tier 2 fall into one of 

three categories. 

Category I: If the total annual mortality and serious injury of a stock in a given fishery is greater than or 

equal to 50 percent of the calculated PBR level of that 

stock, then the fishery is placed in Category I. 

Category II: If the total annual mortality and 

serious injury of a stock in a given fishery is greater than 

1 percent and less than 50 percent of the PBR level of 

that stock, then the fishery is placed in Category II. 

Category III: If the total annual mortality and 

serious injury of a stock in a given fishery is less than or 

equal to 1 percent of the PBR level for that stock, then 

the fishery is placed in Category III. 

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NMFS bases its classification of commercial fisheries on 

a variety of different types of information. The best source 

of information on the level of fishery-specific marine 

mammal incidental serious injury and mortality is a fishery observer program. Thus, if data from an observer 

program are available, NMFS will use this information 

to classify the fishery. However, because only some commercial fisheries have been monitored by observer programs, other information may also be used to classify 

fisheries. 

If data from fishery observer programs are not available, 

NMFS may also use the following sources of information to classify fisheries: fishers’ reports made formally 

through the Marine Mammal Authorization Program, 

stranding data, logbook data from the Marine Mammal 

Exemption Program, alternative observer programs that 

use platforms such as aircraft and non-fishing vessels, 

and other sources of information. 

Exceptions to this classification scheme can be made if 

the data on which the classification is based are scientifically questionable. For example, if the coefficient of variation is unreasonably large for mortality estimates from 

an observer program, NMFS may determine the level of 

serious injury and mortality by evaluating other factors, 

such as the fishing gear type used or whether or not the 

fishing season occurs during a time of highmarine mammal abundance. 

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NMFS must publish the annual List of Fisheries (LOF). 

Proposed changes to the LOF for the following year are 

published in the spring or early summer. Public comments received during the 90-day comment period are 

considered when developing the final LOF, which is published during the late fall or early winter. 

For each fishery, the LOF must include the number of 

vessels or participants in that fishery and list which marine mammal stocks or species interact with that fishery. 

Because the focus in the law is on “injuries and mortalities” to marine mammals, any marine mammal that has 

been injured or killed in a particular commercial fishery 

is included in the table. 

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Fisheries in the LOF are defined by the broad or specific 

geographic area in which they operate, the gear type used, 

the method used, and the target species. NMFS will, 

whenever possible, define fisheries in a manner which is 

consistent with federal, regional, and state fishery management plans or programs, in order to: 

• reduce confusion caused by having multiple names for 

the same fishery; 

• provide a “common name” for a fishery that can be 

used by NMFS, fishers, and state and regional fishery 

managers; 

• allow NMFS to more easily collect information on fishery statistics, such as the number of participants, target 

species landed, length of fishing season, etc.; and 

• help NMFS meet its statutory obligations by coordinating registration under the MMPA with existing fishery management programs. 

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In the future, NMFS may have sufficient information to 

subdivide certain commercial fisheries into components 

that have different levels of impact to marine mammal 

stocks. This approach may help NMFS focus management actions on certain “hot spots” where there are documented high impacts to marine mammal stocks. NMFS 

will continue to seek public comment on the optimum 

way to define commercial fisheries and will modify the 

LOF as necessary to reflect changes in U.S. fisheries. 

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A proposed List of Fisheries (LOF) for 1998 was published on May 27, 1997 (62 FR 28657) and the final 

LOF for 1998 is set to be published in February 1998 

(63 FR 5748). NMFS received four letters of public 

comment on the proposed 1998 LOF. Two comments 

specifically addressed the Mid-Atlantic coastal gillnet fishery. The remaining comments requested justification for 

the current categorization of several Category II and III 

fisheries. The Federal Register notice provided NMFS’s 

responses to these comments. The 1998 final LOF did 

not change the categorization of any commercial fisheries, but did include minor administrative changes to reflect the stock designations and the status of marine mammal stocks as described in the final 1996 Stock Assessment Reports. 

A table providing a list of all U.S. commercial fisheries 

was published in the Federal Register notice announcing 

the final LOF for 1998. This list is found in Appendix 

B. 

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One way that NMFS determines the impacts that U.S. 

commercial fisheries have on marine mammal stocks is 

through fisheries observer programs. Observer programs 

are one of the best sources of reliable, objective data on 

the levels of takes of marine mammals that occur incidental to commercial fishing operations. The purpose of 

fishery observer programs is to obtain statistically reliable estimates of incidental mortality and serious injury 

of marine mammals in commercial fisheries, to determine the reliability of fishers’ reports, and to identify 

changes in fishing methods or technology that may decrease incidental marine mammal mortality and serious 

injury. 

Five Category I and II fisheries were observed in 1997 

for interactions with marine mammals: 

Category I: 

* Northeast multispecies sink gillnet fishery 

* Atlantic Ocean/Caribbean/Gulf of Mexico large pelagics 

longline fishery 

* California/Oregon thresher shark/swordfish drift gillnet 

fishery 

Category II: 

* Mid-Atlantic coastal gillnet fishery 

* Atlantic squid/mackerel/butterfish trawl fishery 

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An internal NMFS workshop to develop a process and a 

rotation schedule for monitoring MMPA Category I and 

II commercial fishermen is scheduled for June 15-16, 

1998. Participants at this meeting will discuss issues involving a possible rotational schedule of observer programs to review case to observer programs which may 

illustrate these issues, to develop criteria for the design of 

a rotational program, and to discuss development of alternative qualitative monitoring programs for years when 

quantitative programs are not conducted. 

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The summer of 1999 will mark the beginning of the 

Alaska Marine Mammal Observer Program to monitor 

incidental takes of marine mammals by commercial fisheries in Alaskan nearshore waters. What sets this program apart from other fisheries observer programs in 

Alaska is the low level monitoring approach. Observers 

will only be collecting data for the minimum number of 

fishing days deemed necessary to gain an adequate level 

of confidence in the data collected. Fishers may have an 

observer on-board only a couple of times each season, 

depending on the fishery. 

This observer program will focus on Alaskan fisheries 

currently placed in Category II by NMFS. These fisheries have been determined to have “occasional” incidental 

serious injuries and mortalities of marine mammals. As a 

part of getting the word out to fishers, NMFS representatives attended commercial fishing expositions to dis­

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cuss the features of the future program with them. Informal discussions were held and brochures highlighting the 

major aspects of the program were distributed. Additionally, public or “open door” meetings will be regularly 

hosted by NMFS Observer Program Coordinators in 

Alaska as the start of the program draws near.These gatherings will allow fishers to ask questions, voice their concerns, and suggest methodology which is vital to the ongoing development of observer programs. 

Once the program commences, regular meetings will be 

held in major ports on a weekly or monthly basis. These 

meetings are designed to provide fishers and other interested parties with an opportunity to meet the NMFS 

Observer Program Coordinators in their local area and 

address any additional questions or concerns they may 

have about the program. At these meetings there will be 

up-to-date results from observer data collected in each 

region. This information will also be posted in major 

ports for public information. 

At the end of the fishing season, these data will be analyzed by the NMFS National Marine Mammal Laboratory in Seattle, and the results will be published in a timely 

manner for public record. 

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Commercial fishers who participate in Category I or II 

fisheries in the LOF must register in the Marine Mammal Authorization Program (MMAP). Registration under the MMPA is administered by NMFS Regional Offices, and the registration procedures differ between 

NMFS Regions. Information on region-specific registration requirements for Category I and II fisheries will be 

published along with the final LOF for 1998 in the Federal Register in early 1998. 

The MMPA states that NMFS should, to the maximum 

extent practicable, integrate registration of participants 

in Category I or II fisheries under the MMPA with existing state or federal permit systems. Between 1995 and 

1997, NMFS integrated registration in the MMAP with 

pre-existing state and federal fisheries permit systems for 

most fisheries in Category I and II. Over the past two 

years, these efforts have resulted in reduced paperwork 

for both NMFS and commercial fishers, and a total of 

over 22,500 fishers registered, with the majority of these 

not needing to register separately under the MMAP and 

to pay the federal registration fee. 

The first NMFS office to successfully integrate registration under the MMPA was the Northwest Regional 

Office (NWR). In 1995, the NWR integrated the registration of the Oregon swordfish floating longline fishery 

and the Oregon blue shark floating longline fishery with 

the permit system operated by the State of Oregon, and 

integrated the registration of the Puget Sound salmon 

drift gillnet fishery with the State of Washington. In 

1997, the NWR integrated registration of all Washington and Oregon Category I and II fisheries with the state 

fishing license renewal process. In 1996, the Alaska Regional Office successfully integrated the registration of 

all Category II fisheries with the State of Alaska system 

for registering commercial vessels and permitting commercial fishers. In 1997, the Northeast Regional Office 

integrated MMAP registration with federal and/or state 

permit processes for the following fisheries: Gulf of 

Maine/Mid-Atlantic lobster trap/pot fishery, the Atlantic squid/mackerel/butterfish trawl fishery, and the 

Northeast multispecies sink gillnet fishery. The Southeast Regional Office and the Southwest Regional Office 

are in the process of integrating MMAP registration for 

Category I and II fisheries in their regions. 

For fisheries in which the granting and administration 

of authorizations has not been integrated with state licensing, registration, or permitting systems, owners of 

vessels or gear must register with the NMFS Region in 

which their fishery operates. NMFS Regional Offices 

annually send renewal packets to participants in Category I and II fisheries that have previously registered 

with NMFS; however, it is the responsibility of fishers 

to ensure that registration or renewal forms are submitted to NMFS at least 30 days in advance of fishing. If 

fishers have not received a renewal packet by January 1 

or are registering for the first time, requests for registration forms should be sent to the appropriate NMFS Regional Office. Registrants must return the registration 

form and a $25 fee to the appropriate NMFS Regional 

Office. NMFS will send the vessel owner an Authorization Certificate, a program decal, and reporting forms 

within 30 days of receiving the registration or renewal 

form and application fee. 

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All vessel owners or operators or fishers (in the case of 

non-vessel fisheries) in Category I, II, or III fisheries must 

report all mortalities or injuries of marine mammals that 

occur incidental to their commercial fishing operations. 

These reports of marine mammal mortality or injury are 

to be submitted on postage-paid forms provided by 

NMFS and sent to NMFS Headquarters in Silver Spring, 

Maryland. 

In 1997, NMFS received approximately 200 reports of 

injuries and/or mortalities from commercial fishing vessel operators. Appendix C summarizes self-reported injuries and mortalities by species and by fishery. 

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Sections 117 and 118 of the MMPA are directly related 

to one another. These sections direct NMFS to complete Stock Assessment Reports, to convene Scientific 

Review Groups, to publish the List of Fisheries, to convene take reduction teams in order to form take reduction plans, and to meet both short- and long-term goals 

for reducing incidental takes of marine mammals. These 

are all components of a comprehensive program designed 

to reduce interactions between marine mammals and 

commercial fishing operations. 

The Stock Assessment Reports required under section 

117 indicate whether the status of a marine mammal 

stock is considered “strategic” and provide much of the 

data NMFS uses to classify fisheries under section 118 

in the LOF. The formation of a take reduction team to 

reduce interactions between marine mammals and commercial fisheries is dependent on a fishery’s classification 

in the LOF and whether its status is strategic according 

to the Stock Assessment Reports. In addition, the Stock 

Assessment Reports provide much of the data used during the development of the take reduction plans. Scientific Review Groups (SRGs), formed pursuant to section 

117, review and make recommendations on the Stock 

Assessment Reports and the LOF. The results of observer programs, which are used to collect data on the 

level of incidental mortality and serious injury in Category I and II fisheries, are presented in the Reports. As 

NMFS begins to implement take reduction plans in order to meet the short and long-term goals of the MMPA, 

the SARs and SRGs will continue to play a critical role as 

NMFS monitors fisheries to ensure that incidental marine mammal mortalities and serious injuries decline over 

time to insignificant levels. 

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The 1994 Amendments to the MMPA established a longterm regime for governing interactions between marine 

mammals and commercial fishing operations that included the development and implementation of take reduction plans. 

Section 118(f) of the MMPA requires that NMFS develop and implement take reduction plans designed to 

assist in the recovery or prevent the depletion of strategic 

marine mammal stocks that interact with Category I or 

II fisheries. A strategic stock is: 

1) a marine mammal species that is listed as endangered 

or threatened under the Endangered Species Act (ESA); 

2) a marine mammal stock for which the human-caused 

mortality exceeds the calculated potential biological removal (PBR) level for that stock; or 

3) a marine mammal stock that is declining and likely to 

become listed as a threatened species under the ESA. 

The PBR level is the maximum number of animals, not 

including natural mortalities, that may be annually removed from a marine mammal stock while allowing that 

stock to reach or maintain its optimal sustainable population level. 

The immediate goal of a take reduction plan is to reduce, within six months of its implementation, the mortality and serious injury of strategic stocks incidentally 

taken in the course of commercial fishing operations to 

below the PBR levels established for those stocks. The 

long-term goal is to reduce, within five years of its implementation, the incidental mortality and serious injury of 

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all marine mammals taken in commercial fishing operations to insignificant levels approaching a zero mortality 

and serious injury rate, taking into account the economics of the fishery, the available existing technology, and 

existing state or regional management plans. 

NMFS must establish take reduction teams to prepare 

draft take reduction plans. Team members must have 

expertise regarding the conservation or biology of the 

marine mammal species to be addressed in the take reduction plan, or the fishing practices which result in the 

incidental mortality or serious injury of such species. 

Members should include representatives of federal agencies, each coastal state that has fisheries that interact with 

the species or stocks, appropriate Regional Fishery Management Councils, interstate fisheries commissions, academic and scientific organizations, environmental groups, 

all commercial and recreational fisheries groups and gear 

types which incidentally take the species or stocks, Alaska 

Native organizations or Indian tribal organizations, or 

others as the Secretary of Commerce (i.e., NMFS) deems 

appropriate. Take reduction teams are not subject to the 

Federal Advisory Committee Act, and meetings of the 

teams are open to the public with prior notice of the 

meetings made public in a timely fashion. 

The take reduction team is to submit a draft take reduction plan to NMFS not later than six months after the 

team has been established. Take reduction plans must 

include: 

* a review of information in the final SARs and any substantial new information that may have become available since the publication of the SARs; 

* an estimate of the total number and, if possible, age 

and gender of animals from the stocks that are being 

incidentally killed or seriously injured each year during 

the course of commercial fishing operations; 

* recommended regulatory or voluntary measures for the 

reduction of the incidental mortality and serious injury; 

and 

* recommended dates for achieving the specific objectives of the plan. 

The goal is to develop a draft take reduction plan by 

consensus. In the event consensus cannot be reached, 

the take reduction team advises NMFS, in writing, on 

the range of possibilities considered by the team, and 

the views of both the minority and majority. Not later 

than 60 days after the submission of the draft plan, NMFS 

is to publish it in the Federal Register as well as any changes 

proposed by NMFS with an explanation of the reasons 

for these changes. In addition, NMFS will propose regulations to implement the plan for public review and comment for a period not to exceed 90 days. Not later than 

60 days after the close of the public comment period, 

NMFS will issue a final plan and implementing regulations. 

In implementing a take reduction plan, NMFS may, 

where necessary to protect or restore a marine mammal 

stock or species covered by such a plan, promulgate regulations that may include, but are not limited to, measures to: 

1) establish fishery-specific limits on incidental mortality and serious injury of marine mammals in commercial fisheries or restrict commercial fisheries by time or 

area; 

2) require the use of alternative commercial fishing gear 

or techniques and new technologies, encourage the development of such gear or technology, or convene expert 

skippers’ panels; 

3) educate commercial fishers, through workshops and 

other means, about the importance of reducing the incidental mortality and serious injury of marine mammals 

in affected commercial fisheries; and 

4) monitor the effectiveness of measures taken to reduce 

the level of incidental mortality and serious injury of 

marine mammals in the course of commercial fishing 

operations. 

NMFS and the take reduction teams are to meet every 

six months, or at other intervals as NMFS determines 

are necessary, to monitor the implementation of the final 

take reduction plans until such time as NMFS deter­

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mines that the objectives of the plan have been met. 

NMFS will amend the final plan and implementing regulations if necessary in consultation with the team. 

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The coordination process to form take reduction teams 

was initiated by NMFS in 1995. Recognizing the benefits of using professional facilitators in the development 

of plans that rely on the involvement of stakeholders representing a wide variety of interests, NMFS contracted a 

professional facilitator with expertise in environmental 

dispute resolution to conduct a pilot study to explore 

processes for the development of take reduction plans. 

NMFS then contracted a group of professional facilitators in late 1995 to assist in the development of six potential take reduction plans. The facilitators’ role in the 

development of each take reduction plan were to: 

*	 assist in the interviewing of potential 

team members, 

*	 select sites and provide public notice of 

team meetings, 

* facilitate the meetings, 

* develop draft meeting summaries, 

*	 submit team travel expenses to NMFS for 

payment, and 

*	 assemble the team’s draft plan and submit it to 

NMFS within the time frame specified by the 

MMPA (six months from the date of establish 

ment of the team). 

Each take reduction team was established using the same 

general process. Before each team was formed, the NMFS 

Office of Protected Resources and the appropriate NMFS 

Regional Office(s) forwarded a list of potential team members to the facilitator for that team. The list identified 

persons that had either worked with NMFS in the past 

on issues related to marine mammal bycatch or that had 

worked with NMFS on other teams or committees because of their expertise in marine mammals or fisheries. 

The facilitator’s interview process was also a method for 

identifying other potential team members. At the end of 

the interview process, the facilitator for each team submitted a list of recommended team members to NMFS, 

and the Director of the Office of Protected Resources 

reviewed and approved the list, in consultation with the 

Assistant Administrator for Fisheries and the appropriate Regional Director(s). The publication of a Federal 

Register notice identifying the team members established 

the team. 

Six take reduction plans were given highest priority regarding development and implementation of take reduction plans to reduce the incidental bycatch of several strategic marine mammal stocks (see Figure 1, page 27). 

They were: 

*	 the Gulf of Maine Harbor Porpoise Take 

Reduction Plan, 

*	 the Atlantic Offshore Cetacean Take Reduction Plan, 

*	 the Pacific Offshore Cetacean Take Reduction Plan, 

*	 the Atlantic Large Whale Take Reduction 

Plan, 

*	 the Mid-Atlantic Take Reduction Plan, 

and, 

*	 the Alaska Steller Sea Lion Take Reduction 

Plan. 

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NMFS established the Gulf of Maine Harbor Porpoise 

Take Reduction Team (HPTRT) on February 12, 1996 

to address incidental takes of the Gulf of Maine/Bay of 

Fundy stock of harbor porpoise (Phocoena phocoena) in 

the Northeast multispecies sink gillnet fishery. The 

HPTRT included representatives of the sink gillnet fishery, NMFS, the Marine Mammal Commission, state marine resource management agencies, the New England 

Fishery Management Council (NEFMC), environmental organizations, and academic and scientific organizations. 

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The Northeast multispecies sink gillnet fishery is a Category I fishery managed by NMFS and the NEFMC 

under the Northeast Multispecies Fishery Management 

Plan (as authorized by the Magnuson-Stevens Fishery 

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Conservation and Management Act, or MagnusonStevens Act). Fishers participating in the Northeast 

multispecies sink gillnet fishery operate year-round in 

the nearshore and offshore waters from Maine to Rhode 

Island. They set their nets along the sea floor to target 

groundfish; specifically cod, haddock, hake, pollock, 

flounder, monkfish, and dogfish. Vessels are typically 

small (30-50 ft or 9-15 m) and operate from ports 

throughout New England. Each vessel sets between 40 

and 200 nets, depending on the target species. Each net 

is 50 fathoms (30 ft or 9 m) long and nets are tied together in strings of 1-30 nets. The fishery currently includes approximately 300 vessels. 

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Incidental mortality of harbor porpoise in this fishery 

has been of concern since the late 1980s. The estimated 

average mortality of harbor porpoise killed incidental to 

this fishery from 1990-1995 was 1833 animals, while 

the calculated PBR level for this stock is 483 animals. 

Although the primary species of concern for bycatch reduction measures in this fishery has been harbor porpoise, this fishery also has incidental mortality of the Western North Atlantic stock of Atlantic white-sided dolphins 

(Lagenorhynchus acutus). The estimated average mortality of white-sided dolphins killed incidental to this fishery from 1990-1995 was 121 animals, and the PBR level 

for this stock was 192 animals. For more information 

on these marine mammals stocks, see Chapter II. Marine Mammal Stock Assessment Program. 

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The HPTRT submitted a consensus draft plan to NMFS 

on August 8, 1996. The team’s draft plan represented a 

comprehensive approach to the problem of harbor porpoise incidental take and included: 

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• A Core Management Plan consisting of a schedule of 

time/area closures and periods when pingers would be 

required was recommended for each of the established 

management areas. The plan built on closures already 

instituted by the NEFMC; and 

• An Implementation Plan that included recommendations regarding: 

a) Detailed census of the gillnet fleet; 

b) Outreach, training, and certification programs for all 

fishers who use pingers; 

c) Coordination and consultation with Canadian counterparts regarding the reduction of harbor porpoise takes 

in Canadian waters; 

d) High priority for enforcement of the HPTRP; 

e) Coordination of HPTRT’s efforts with those of the 

Mid-Atlantic Take Reduction Team; and 

f)The reconvening of the team to provide periodic evaluations of the plan. 

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Soon after the HPTRT submitted its plan to NMFS, the 

NEFMC implemented Framework Adjustment 19 to 

the Northeast Multispecies Fishery Management Plan. 

This action opened the Mid-Coast area to gillnet fishing 

with pingers during November and December. Because 

the NEFMC actions altered the assumptions upon which 

the HPTRT’s consensus proceedings were based, NMFS 

modified the HPTRT’s draft plan to be consistent with 

the fishery management measures while ensuring that 

the goal of the plan would still be met. 

On August 13, 1997, NMFS published a proposed rule 

to implement the HPTRT (62 FR 43302). NMFS’ proposed changes to the Core Management Plan are summarized in Figure 2. In the proposed rule, NMFS also 

proposed changes and provided updates to several nonregulatory aspects of the Implementation Plan. 

Since the publication of NMFS’ proposed rule, new information on the bycatch levels of harbor porpoise became available that strongly indicated that NMFS’ proposed take reduction measures would not reduce harbor 

porpoise bycatch in the Gulf of Maine to levels below 

the PBR level. However, results of the Spring 1997 pinger 

experiment indicated that pingers appeared to be a viable management strategy throughout the year (see Chapter VII. Conservation and Recovery Programs). In December 1997, NMFS reconvened the HPTRT to review 

this new information and to solicit additional recommendations for more effective bycatch reduction measures. The team reiterated that the goal of the draft take 

reduction plan is to reduce takes in the Gulf of Maine 

from 1833 to less than 340 animals per year. To achieve 

this goal, the HPTRT recommended time/area closures 

and periods during which pingers should be used (outlined in Figure 3, page 29). These recommendations did 

not reflect the consensus of the team since all team members were not present for the entire team meeting. 

NMFS is currently revising the proposed rule to incorporate the team’s recommendations, updated information on harbor porpoise bycatch, and recent NEFMC 

actions. NMFS expects the revised proposed rule to be 

published in 1998. 

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NMFS established the Mid-Atlantic Take Reduction 

Team (MATRT) on February 25, 1997 to address the 

interactions between strategic marine mammal stocks and 

the Mid-Atlantic coastal gillnet fishery. The Mid-Atlantic coastal gillnet fishery historically has had incidental 

bycatch of primarily two strategic marine mammal stocks, 

harbor porpoise (Phocoena phocoena) and bottlenose dolphins (Tursiops truncatus) (Atlantic coastal stock). 

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This fishery includes all gillnet fishing from 72° 30’ W 

long. to the North Carolina-South Carolina border, except those fisheries that operate solely within rivers, bays, 

and estuaries. Target species of this fishery include, but 

are not limited to: Atlantic croaker, Atlantic mackerel, 

Atlantic sturgeon, black drum, bluefish, herring, menhaden, scup, shad, striped bass, sturgeon, weakfish, white 

perch, yellow perch, dogfish, and monkfish. This fishery is estimated to have more than 655 active participants, many of whom target different species seasonally 

as the fish stocks migrate north and south along the Atlantic coast. The mesh size used in this fishery varies 

widely, from 12.5 cm (5 in) for shad to 30 cm (12 in) for 

monkfish. These interstate fisheries are managed via state 

Fishery Management Plans. Additional state-by-state information on the U.S. Mid-Atlantic coastal gillnet fishery is provided in the draft Large Whale Take Reduction 

Plan. 

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The offshore portion of the U.S. Mid-Atlantic coastal 

gillnet fishery that targets monkfish and dogfish has been 

observed since 1993. Data from the observer program 

indicate that six harbor porpoise (Gulf of Maine/Bay of 

Fundy stock) were observed killed in 1995, and 19 were 

observed killed in 1996. 

The following marine mammals have also been taken in 

observed trips: in 1994 there was one bottlenose dolphin 

observed killed, in 1995 there were two common dolphins, and in 1996 there were two common dolphins 

and one harbor porpoise. Information provided to the 

Mid-Atlantic Take Reduction Team on total estimated 

mortality of harbor porpoise indicated that 103 and 310 

harbor porpoise were killed incidental to the mid-Atlantic coastal gillnet fishery in 1995 and 1996, respectively, 

with the majority (70%) of the mortalities in February 

and March and in New Jersey, Maryland, and North 

Carolina. The fisheries responsible for these mortalities 

were targeting either dogfish or monkfish. For more information on these marine mammal stocks, see the U.S. 

Atlantic and Gulf of Mexico Marine Mammal Stock 

Assessment Reports. 

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The MATRT submitted a report to NMFS on August 

25, 1997. Although the team did not reach consensus 

on a draft plan, the team’s report incorporated both consensus and non-consensus recommendations for harbor 

porpoise bycatch reduction measures, as well as research 

and data collection recommendations for coastal bottlenose dolphins. The team’s report recommended the following take reduction measures: 

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The team’s report recommended modifications of those 

gear characteristics and fishing activities that appear to 

be most closely linked with higher harbor porpoise 

bycatch. The MATRT based its recommendations on 

the observer data provided by NMFS, which showed 

patterns or trends where reduced bycatch might be 

achieved if certain combinations of gear characteristics 

were used. The report also recommended a schedule of 

fishery closures in areas and at times most closely linked 

with high harbor porpoise bycatch based on the observer 

data. 

����������� Information on the dogfish fishery suggested that harbor porpoise takes are concentrated from 

January through April. Since January takes were highest 

in New Jersey and lower in the rest of the Mid-Atlantic, 

the time frame for the management measures proposed 

by the MATRT reflected the temporal and spatial nature 

of the takes. These were: 

• New Jersey waters, and U.S. waters off New Jersey out 

to 320 km (200 mi): January 1 through April 30 

• Southern Mid-Atlantic waters (MD, DE, VA, NC) and 

U.S. waters off the southern Mid-Atlantic to 320 km 

(200 mi): Close the fishery for a block of 20 days between February 1 and April 30. The timing of the closure is to be determined by individual fishers. 

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������������������ The gear characteristics that 

provided the most bycatch reduction in the monkfish 

fishery were floatline length, twine size, mesh size, tie 

downs, and reduced soak time. Because none of the gear 

characteristics alone were strongly correlated with reduced 

bycatch, the MATRT recommended a combination of 

management measures in order to achieve bycatch reduction below the PBR level. Since these measures would 

be ineffective if effort increased, the MATRT recommended that a net cap or net limit be implemented to 

keep effort at current levels (see Figure 4, page 30). 

������������������� Since harbor porpoise bycatch 

occurs predominantly in the spring and is concentrated 

in certain areas during different months, time and area 

closures are intended to displace fishing effort from those 

areas and at those times of highest bycatch. Because the 

correlation between gear modifications and reduced 

bycatch was not clear in the monkfish fishery, and because the observed bycatch of harbor porpoise was concentrated in fairly discrete areas during the spring, the 

MATRT believed that a closure during times and areas 

of high bycatch was an important aspect of a successful 

plan. 

The MATRT recognized that additional closures in the 

monkfish fishery may be implemented as a result of the 

Monkfish Fishery Management Plan. If the Monkfish 

Fishery Management Plan mandates a closure during a 

different time period, then the MATRT recommended 

that the MATRT be reconvened to evaluate this aspect 

of the proposed measures. 

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��������������������� Gear characteristics and other 

measures were chosen to reflect the unique character of 

the dogfish fishery and to combine those gear characteristics that provided the best correlation to bycatch reduction. For example, the Mud Hole is not a specific area of 

interest for the dogfish fishery; therefore, the MATRT 

did not feel the need to distinguish it as a specific management area within New Jersey waters. Tie downs are 

not used in the dogfish fishery, therefore, they are not 

included as appropriate gear modifications. A net cap or 

limit was considered necessary for the dogfish fishery for 

the same reason as the monkfish fishery, i.e., to ensure 

that effort does not increase and thereby nullify the 

bycatch reduction effects of the gear changes (see Figure, 

5, page 30). 

���������������������� The Team’s Report also 

included consensus recommendations regarding: outreach and education programs for fishers; improvements 

to the marine mammal observer program; and general 

management recommendations for other Mid-Atlantic 

winter ocean gillnet fisheries. In addition, the report 

details some of the data concerns of the MATRT. 

The MATRT did not reach consensus on whether or 

not a pinger experiment should be conducted in the MidAtlantic coastal gillnet fishery to test the effectiveness of 

pingers as a means of reducing harbor porpoise bycatch 

in this region. The team’s report addressed this issue and 

includes a summary of members’ opinions regarding the 

proposed pinger experiment in the dogfish fishery. 

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The MATRT discussed developing measures to address 

bycatch of Mid-Atlantic coastal bottlenose dolphins in 

gillnet fisheries in the Mid-Atlantic. The MATRT determined that there was insufficient information on stock 

separation, magnitude of bycatch, and fishery characterizations and that this would hamper efforts to develop a 

realistic plan to reduce the mortality of bottlenose dolphins incidental to fisheries in the Mid-Atlantic. For 

these reasons, the MATRT recommended that NMFS 

delay convening a take reduction team for bottlenose dolphins until January 1999 so that the agency would have 

additional time to gather data to answer critical questions regarding the interactions between fisheries and the 

western North Atlantic stock of coastal bottlenose dolphins throughout their range. 

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NMFS is in the process of developing a proposed MidAtlantic Take Reduction Plan, which will be based on 

the take reduction strategies recommended by the 

MATRT. This proposed take reduction plan is expected 

to be published in 1998. 

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NMFS convened the Atlantic Offshore Cetacean Take 

Reduction Team (AOCTRT) on May 23, 1996 to address interactions between strategic marine mammal 

stocks and the Atlantic pelagic driftnet, pair trawl, and 

longline fisheries for swordfish, tuna and sharks. Cumulatively, these fisheries incidentally take Atlantic spotted 

dolphin (Stenella frontalis), bottlenose dolphin (Tursiops 

truncatus), common dolphin (Delphinus delphis), 

pantropical spotted dolphin (Stenella attenuata), longfinned pilot whales (Globicephala melas), short-finned 

pilot whales (Globicephala macrorhynchus), beaked whales 

(Mesoplodon spp. and Ziphius cavirostris), right whales 

(Eubalaena glacialis), humpback whales (Megaptera 

novaeangliae), and sperm whales (Physeter macrocephalus) 

at levels that are estimated to be above the PBR levels 

established for these stocks. The AOCTRT included 

representatives of each of the three fisheries, environmental and conservation groups, several states, the Mid-Atlantic Fisheries Management Council, independent fisheries, the marine mammal biological community, and 

NMFS. 

The Team reviewed stock assessment information for each 

stock, appropriate marine mammal behavioral studies, 

available mortality and serious injury data for each of the 

fisheries (broken down by area and season or month), 

target species catch data, take reduction strategies tested 

in similar fisheries, and other pertinent information. 

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The Atlantic swordfish fishery is managed by NMFS 

under the Atlantic Swordfish Fishery Management Plan 

(as authorized by the Magnuson-Stevens Act) and under 

the Atlantic Tunas Convention Act (ATCA). ATCA directs NMFS to regulate the swordfish fishery as required 

by the International Commission for the Conservation 

of Atlantic Tunas (ICCAT). A Total Allowable Catch 

level is set for the directed swordfish fishery each year; 

approximately 98% is allocated to the longline/harpoon 

fisheries and the remaining 2% is allocated to the drift 

gillnet fishery. The Atlantic tuna fishery is also managed 

under the authority of ATCA, which authorizes NMFS 

to regulate the tuna fishery as required by ICCAT. The 

Atlantic shark fishery is managed by NMFS under the 

Atlantic Sharks Fishery Management Plan (as authorized 

by the Magnuson-Stevens Act). 

����������������������� This fishery typically operates 

off Cape Hatteras, North Carolina, in the winter and 

spring, and from Hudson Canyon off Cape Cod to the 

Hague Line during the summer. Drift gillnets used in 

this fishery have a mesh size of 45-55 cm (18-22 in), are 

60-70 meshes deep, and are set 5.4-9 m (18-30 ft) below 

the surface. The total length of net that can be set by 

each vessel is 2.4 km (1.5 mi). The nets are typically set 

at dusk and retrieved at dawn. There are currently between 12-15 active vessels in the fishery. Swordfish is the 

primary target of the fishery, although tuna and shark 

are also caught and landed. 

����������������� The Atlantic longline fishery operates from the Gulf of Mexico and the Caribbean to the 

Grand Banks and off Newfoundland. Longlines consist 

of a continuous monofilament mainline suspended from 

the surface by a series of floats. Gangions with baited 

hooks are attached to the mainline at regular intervals. 

The mainline averages about 40 km (25 mi), but may be 

as long as 128 km (80 mi). There are between 200-400 

active participants in the fishery. 

������������������� The pair trawl fishery operated in 

pelagic waters off Long Island, New York from 1991 to 

1995 (primarily around Hudson Canyon). The fishery 

used a large mesh net (mesh size of 3-18 m or 10-60 ft) 

towed between two trawlers to target bigeye tuna. It 

typically operated from June to October. There were 12 

participants in the fishery in 1995. 

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����������������������� The mortality estimates from 

observer data available through 1995 indicated that the 

level of mortality and serious injury incidental to this 

fishery was equal to or above the PBR levels for the following strategic stocks: North Atlantic right whales (Western North Atlantic stock (WNA)), common dolphins 

(WNA), short-finned pilot whales (WNA), dwarf sperm 

whales (WNA), Mesoplodont beaked whales (WNA), 

and spinner dolphins (WNA). In addition, the level of 

mortality and serious injury that occurs incidental to this 

fishery is above 50% of the PBR level for Atlantic spotted dolphins (WNA) and pantropical spotted dolphins 

(WNA). 

������������������ The mortality estimates from observer data available through 1993 indicate that the level 

of mortality and serious injury that occurs incidental to 

this fishery was equal to or above 50% of the PBR level 

for pilot whales. The fishery also has observed takes of 

Risso’s dolphins, Atlantic spotted dolphins, pantropical 

spotted dolphins, and killer whales. It should be noted 

that the team did not have access to mortality estimates 

from the 1994/1995 fishing seasons, although it did review observed takes (including a significant number of 

animals reported to be released alive). Some of these 

animals released alive were injured. Because national 

guidelines were not in place for determining which injuries are serious, the team was unable to make specific 

recommendations regarding these takes. 

������������������� The mortality estimates from observer data indicate that the level of mortality and serious 

injury that occurs incidental to this fishery was equal to 

or above the 50% of the PBR level for common dolphins, a strategic stock. For more information on these 

marine mammals, see Chapter II. Stock Assessment Program. 

In 1993, NMFS authorized the operation of the Atlantic pelagic pair trawl fishery as an experimental fishery, 

targeting Atlantic tunas. NMFS renewed the permit for 

this fishery in 1994 and 1995. However, during the team’s 

deliberations, a request to have the fishery be considered 

an authorized gear type for targeting tunas was denied to 

prevent the overexploitation of tuna. Representatives of 

the pair trawl industry remained involved in the development of the take reduction plan. Therefore, although 

the team’s draft plan includes recommendations for reducing bycatch in the pelagic pair trawl fishery, NMFS is 

not pursuing implementation of these strategies. 

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On November 25, 1996, the AOCTRT submitted its 

draft plan to NMFS. The AOCTRT developed comprehensive strategies for each fishery — drift gillnet, 

longline, and pair trawl. Each comprehensive strategy 

included a number of activities that are designed to reduce the incidental mortality and serious injury of strategic stocks of marine mammals. The team’s plan recommended that several general regulatory and non-regulatory actions be initiated to reduce bycatch of marine 

mammals in all three fisheries, and that fishery-specific 

strategies also be implemented. 

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• Closure of Northern Right Whale Critical Habitat -

Even though there is currently no fishing effort for swordfish or tuna currently taking place in these areas, the 

AOCTRT recommended a closure of all critical habitat 

for northern right whales to prevent fisheries from expanding into these areas. 

• Coordination of Fishery Management Measures - The 

AOCTRT recommended coordination among fishery 

management authorities to integrate marine mammal 

protection measures with other fishery management and 

conservation activities. 

• Educational Workshops and Outreach -The AOCTRT 

recommended that NMFS develop a program to inform 

the fishing industry of the problem of marine mammal 

bycatch and of the potential solutions for reducing 

bycatch. The AOCTRT recommended that the program 

include fact sheets, newsletters, workshops, and guidelines for marine mammal releases. The AOCTRT also 

recommended the establishment of an at-sea “clearinghouse” to relay information to other fishers about areas 

of high concentrations of marine mammals. 

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• Technical Advisory Work Group -The AOCTRT recommended the formation of an ad-hoc group of similar 

composition as the AOCTRT to assist in the implementation of education and outreach strategies, to engage in 

ongoing discussions of strategies to reduce incidental takes 

of marine mammals, and to identify gear and fishing 

technique modifications. 

• Research on Cetacean Behavior - The AOCTRT recommended that NMFS conduct research on cetacean 

behavior, as it relates to fishery interactions, including 

migration patterns, behavior around fishing gear, auditory responses to noise sources such as pingers, and feeding patterns (i.e., depth, time of day, prey preferences). 

• Research on Calculating Minimum Population Estimates -The AOCTRT recommended that NMFS conduct surveys to estimate cetacean stock abundances in 

seasons other than summer, to conduct some abundance 

survey program with industry financial support, and, in 

the absence of more extensive stock surveys, to explore 

alternative methods of estimating the minimum population estimate for pelagic dolphins. 

• Observer Coverage -The AOCTRT recommended that 

NMFS convene an intra-agency work group to develop 

a stratified sampling scheme that addresses priorities for 

the NMFS observer program (in particular, the longline 

fishery observer program) in such a way that the collection of observer data on protected species is optimized 

relative to marine mammals, turtles, and fish. The 

AOCTRT also recommended increased funding for observer coverage in the longline fishery. 

• Development of Criteria for Assessing Marine Mammal Injuries - NMFS recommended that the current injury categories in the MMPA mortality/injury report form 

be reviewed for determining the nature and seriousness 

of injuries and that NMFS convene a workshop to develop: 

1) guidelines for determining and recording serious injury, 

2) recommendations for changes and/or additions to 

observer logs or reporting forms, 

3) recommendations for further research including how 

to monitor previously entangled animals, and 

4) recommendations to the fleet on operating procedures 

when interactions occur to minimize injury and maximize survivorship. 

The AOCTRT also recommended that NMFS review 

how injuries are recorded with the objective of standardizing the data collection and reporting. 

• Comprehensive Cetacean Surveys -The AOCTRT recommended that NMFS conduct a comprehensive survey of common dolphins and pilot whales in 1997 and 

make every effort to ensure the timely analysis and review of these survey data. 

• Research on Gear Modifications -The AOCTRT recommended research on gear design and deployment 

methods, such as: ball drop length (distance between 

top of net and sea surface), escape panels, and mesh size 

for drift gillnets; hook, twine, and bait types, soak time, 

rig configurations, and other characteristics for longlines. 

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• Observer Coverage - The AOCTRT recommended 

100% observer coverage of all vessels participating in the 

drift gillnet fishery. If NMFS is unable to place an observer on a vessel due to overwhelming safety concerns, 

this vessel would be excluded from the fishery. 

• Limited Entry - The AOCTRT recommended a limited entry program for the swordfish drift gillnet fishery 

to exclude new entrants from being allowed into the fishery, as defined in the NMFS proposed rule for Amendment 1 to the Swordfish and Shark Fishery Management 

Plans. 

• Time/Area Closure - The AOCTRT recommended a 

time/area closure for the fishery from Hudson Canyon 

south from December 1 to May 30 in order to eliminate 

the traditional winter season. 

• Elimination of the Derby Fishery by Allocating Sets 

per Vessel - The AOCTRT recommended an allocation 

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of transferrable sets per vessel and open access, controlled 

by limited entry and the total number of sets, to the general swordfish quota. This would require removal of the 

subquota for the drift gillnet fishery as it currently exists. 

• Real-Time Monitoring and Evaluation of Marine Mammal Takes - The AOCTRT recommended real-time 

monitoring and evaluation of marine mammal takes as 

is done for the swordfish quota. 

• Pinger Experiment -The AOCTRT recommended that 

the fishery undertake a scientifically designed and statistically valid experiment to determine the potential effectiveness of acoustical devices (pingers) in deterring marine mammal interactions. This recommendation included adequate observer coverage to ensure the experiment is statistically valid. 

• Buyout Program - The AOCTRT recommended the 

establishment of a buyout program that would allow each 

fisher the opportunity to sell their allocation of effort 

(sets). 

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• Limited Entry - The AOCTRT recommended a limited entry for the pelagic longline fishery. 

• Limit Length of Pelagic Longline Gear -The AOCTRT 

recommended that the length of the longline used in the 

mid-Atlantic area from August through November 1997 

be limited to a maximum length of 24 nautical miles. 

• Reduce Maximum Soak Time - The AOCTRT recommended that fishers reduce their maximum soak time 

by retrieving gear in the same order it is set (running 

back on the gear) in the mid-Atlantic area from August 

through November. 

• Move after One Entanglement - The AOCTRT recommended that longliners be required to move after one 

entanglement and alert other vessels in the immediate 

area. 

• Development of Guidelines for Interactions and Entanglements - The AOCTRT recommended the development and distribution of guidelines for disentangling 

marine mammals from longline gear. 

• Research on Acoustic Systems -The AOCTRT recommended that research be conducted on the use of acoustic devices to mask the sounds of setting and hauling 

gear or to deter marine mammals from gear. 

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• Industry Panel - The AOCTRT recommended that 

the pair trawl fleet organize an industry panel to review 

the conditions and activities associated with marine mammal takes and operation of the gear by fishery participants. 

• Certification of Nets - The AOCTRT recommended 

that any new net designs for the pair trawl fishery be 

subjected to “test tank” observation before the construction and deployment of a full size net. 

• Industry Trigger to Alleviate Poor Performance - The 

AOCTRT recommended that the industry panel determine standards for an acceptable level of marine mammal interactions for each pair. If a pair exceeds this standard, it would cease participating in the fishery for the 

remainder of the season. 

• Operator Qualifications - The AOCTRT recommended that any new entrants to the fishery be required 

to demonstrate their ability to operate their vessels and 

gear in accordance with specified handling criteria. The 

implementation of this qualification program would be 

directed by the industry advisory panel. 

The draft plan also recommended: 

1) a review of the current information on the status of 

the strategic Atlantic offshore cetaceans that interact with 

the drift gillnet, longline, and pair trawl fisheries; 

2) a description of these fisheries, including regulatory/ 

management structure; 

3) an indication of foreign and other domestic fisheries 

that interact with Atlantic offshore cetaceans; 

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4) sources and a summary of observer data; 

5) research and data recommendations; 

6) draft guidance for handling caught marine mammals; 

and 

7) strategies discussed but not selected. 

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On December 5, 1996, NMFS closed the drift gillnet 

fishery for swordfish in the Atlantic Ocean through May 

29, 1997 (61 FR 64486). NMFS had reinitiated consultation under the Endangered Species Act (ESA) for 

Atlantic swordfish fisheries due to new information concerning the status of the northern right whale (see Chapter VII. Conservation and Recovery Programs). The closure would ensure that no irreversible and irretrievable 

commitment of resources was made that had the effect 

of foreclosing the formulation or implementation of any 

reasonable and prudent measures while the consultation 

on the fishery was pending. 

NMFS issued a Biological Opinion on the Atlantic Pelagic Fishery (which includes the Atlantic swordfish and 

tuna fisheries) on May 29, 1997, under section 7 of the 

ESA. The consultation covered all components of the 

Atlantic Pelagic Fishery, including the drift gillnet, 

longline, and hand gear (hook and line, harpoon) fisheries in the western Atlantic, Caribbean and Gulf of Mexico 

(except billfish). The conclusions of the Biological Opinion pertaining to the drift gillnet and longline fisheries 

were as follows: 

* Continued operation of the drift gillnet component 

for swordfish, tuna, and shark is likely to jeopardize the 

continued existence of the northern right whale; 

* Continued operation of the drift gillnet component 

for swordfish, tuna, and shark may adversely affect, but 

is not likely to jeopardize the continued existence of 

humpback and sperm whales (and several sea turtles); 

* Continued operation of the longline component may 

adversely affect, but is not likely to jeopardize the continued existence of any endangered or threatened species 

under NMFS jurisdiction. 

The Biological Opinion identified two possible alternatives for avoiding a “jeopardy” decision namely: 

* Prohibition of the use of drift gillnet gear for the taking 

of pelagic swordfish, tuna, or shark, in all areas and at all 

times; or, 

* Implementation of actions that allow for the restricted 

use of drift gillnet gear, including implementation of 

portions of the Atlantic Large Whale Take Reduction 

Plan and the draft Atlantic Offshore Cetacean Take Reduction Plan. 

On June 5, 1997 (62 FR 30775), NMFS extended the 

swordfish drift gillnet fishery emergency closure for a second period of 180 days until November 26, 1997, or 

until a preferred option to avoid the likelihood of jeopardy was identified and implemented. 

NMFS reinitiated consultation on the Atlantic Pelagic 

Fishery on August 12, 1997, based on new information 

regarding the implementation of conservation measures 

to protect right whales and recent information on mortality and recruitment of the right whale population. 

Consultation considered an assessment of a new reasonable and prudent alternative, which included a prohibition on the use of drift gillnet gear to target swordfish 

and tunas from November 1 through July 31 and 100% 

observer coverage. NMFS concluded that the new alternative did not change the basis for the original determination and that continued operation of the drift gillnet 

fishery, without modification, may adversely affect and 

is likely to jeopardize the continued existence of the northern right whale. An amendment to the May 29, 1997, 

Biological Opinion was issued on August 29, 1997, and 

concluded that the new alternative, if implemented, may 

adversely affect, but is not likely to jeopardize the continued existence of the northern right whale. 

On November 4, 1997, NMFS published a draft Environmental Assessment (EA) (62 FR 59657) on alternatives for implementation of an Atlantic Offshore Cetacean Take Reduction Plan. Public comments on the draft 

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EA will be accepted until January 4, 1998. The draft EA 

included information that was not available to the 

AOCTRT at the time of their deliberations, including 

new information on the status of northern right whales 

and a revised estimates of abundance and PBR level for 

common dolphins. The draft EA described several alternatives for implementation of a take reduction plan, including the team’s draft plan, a modified plan for the 

drift gillnet fishery with a marine mammal bycatch limit, 

and a modified plan with prohibition of drift gillnet gear. 

The EA did not indicate a preferred alternative or identify a proposed action for the implementation of a take 

reduction plan. 

On December 1, 1997 (62 FR 63467), NMFS issued a 

final rule to close the Mid-Atlantic and Northeast Coastal 

segments of the Atlantic pelagic drift gillnet fishery for 

swordfish, tuna, and shark through July 3, 1998. This 

action was necessary to avoid the likelihood that this fishery would jeopardize the continued existence of the northern right whale until more long-term regulatory measures could be issued. 

NMFS has delayed implementation of a take reduction 

plan for reducing takes of Atlantic offshore cetaceans in 

order to conduct a comprehensive review of the Atlantic 

swordfish fishery under the broad management objectives of the Magnuson-Stevens Act, the MMPA, and the 

ESA. 

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NMFS convened the Pacific Offshore Cetacean Take 

Reduction Team (PCTRT) on February 12, 1996 to 

address takes of short-finned pilot whales (Globicephala 

macrorhynchus), mesoplodont beaked whales (Mesoplodon 

spp.), Baird’s beaked whales (Berardius bairdii), Cuvier’s 

beaked whales (Ziphius cavirostris), pygmy sperm whales 

(Kogia breviceps), sperm whales (Physeter macrocephalus), 

and humpback whales (Megaptera novaeangliae) in the 

California/Oregon drift gillnet fishery for thresher shark 

and swordfish. Members of the PCTRT included representatives of the fishery, environmental groups, the California Department of Fish and Game (CDFG), the Pacific States Marine Fisheries Commission, NMFS, and 

independent fisheries scientists and whale biologists. Representatives of other groups and agencies (i.e., recreational 

fishers and the Oregon Department of Fish and Wildlife) were interviewed, but chose not to participate on 

the team. 

The PCTRT considered a full menu of potential take 

reduction strategies for inclusion in the draft take reduction plan. The team reviewed the literature on incidental taking of marine mammals in drift gillnets and heard 

presentations on the status of strategic stocks incidentally taken by the fishery, the estimated annual taking of 

these stocks from observer data, and strategies currently 

used by the fishery to avoid taking marine mammals. In 

addition, the team reviewed extensive analyses of observer 

data (which were gathered over the past five fishing seasons) to determine if there were correlations between incidental take of cetaceans and fishing techniques, gear 

used, or oceanographic factors that might suggest appropriate take reduction strategies. 

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The CA/OR drift gillnet fishery is regulated primarily 

by the CDFG under a limited access permit system. The 

Oregon Department of Fish and Wildlife issues ten “unlimited” landing permits and offers 44 “limited” landing 

permits by lottery (although only 15 people applied for 

permits in 1996). The fishery operates from the United 

States/Mexico border to waters off Oregon and Washington. The fishery is closed from February through late 

April. From late April through August, drift gillnets cannot be used to catch swordfish or thresher shark within 

75 nautical miles of shore. Only limited restrictions are 

in place from August through January. 

Drift gillnets are tied at one end to a vessel and drift with 

the current at the other end. Most nets are made of multifilament nylon and are 1.8 km (1nmi) in length. They 

typically have a stretched mesh size from 45-55 cm (18­

22 in). Extender lines, which attach the net to buoys at 

the surface, suspend the net below the surface. The net is 

set at night and retrieved at dawn. There are approximately 150 active fishers in the drift gillnet fishery. 

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The mortality estimates from observer data available 

through 1995 indicate that the level of mortality and 

serious injury incidental to this fishery is above the PBR 

levels for the following: sperm whales (CA/OR/WA 

stock), humpback whales (CA/OR/WA-Mexico stock), 

short-finned pilot whales (CA/OR stock), mesoplodont 

beaked whales, and minke whales (CA/OR/WA stock). 

In addition, the level of mortality and serious injury that 

occurs incidental to this fishery is above 50% of the PBR 

level for Baird’s beaked whales (CA/OR/WA stock). 

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On June 27, 1996, the PCTRT reached consensus on a 

draft plan. The PCTRT submitted its draft plan to 

NMFS on August 15, 1996. The team believed that no 

single strategy could meet the goals of the MMPA. Therefore, the team identified four primary strategies which, if 

implemented as a package, were expected to meet the 

six-month goal of reducing the takes of strategic stocks 

to below PBR levels and, to some extent, the long-term 

goal of attaining ZMRG for all marine mammal stocks. 

In addition, the take reduction plan includes possible 

contingency strategies, should the primary strategies prove 

less effective than anticipated, and additional recommendations to NMFS regarding supplementary data gathering and study activities. The four primary strategies are: 

• Acoustic Devices — NMFS and the fishery should initiate a multi-year experiment to test the effectiveness of 

acoustic devices (pingers) beginning in the 1996-97 fishing season before a final take reduction plan has been 

adopted by NMFS. The success of pingers in reducing 

overall cetacean incidental take during the 1996 fishing 

season (August 15, 1996 - January 31, 1997) would determine whether pingers are recommended as a mandatory strategy for reducing takes when the final plan is in 

place. 

• Gear Modifications — There should be fleet-wide deployment of a six fathom minimum buoy line extender 

length on a mandatory basis for the 1997-98 season. 

NMFS and the PCTRT should review the efficacy of 

this strategy after the final plan has been in place for at 

least six months to determine if the minimum extender 

length should be modified. 

• Skipper Education and Feedback — NMFS should conduct skipper workshops on the final take reduction plan 

coupled with expert skipper panels to further generate 

and consider potential, additional take reduction strategies. Workshop attendance would be mandatory. 

• Reduction in the Number of Drift Gillnet Permits —The 

CDFG should continue its policy of not issuing new 

shark and swordfish drift gillnet permits to replace those 

that have lapsed. A permit “buy-back” program should 

be instituted for CDFG drift gillnet permit holders to 

encourage part-time skippers to leave the fishery permanently. The draft plan also included: 

1) a review of the current information on the status of 

the affected strategic marine mammal stocks; 

2) a description of the CA/OR drift gillnet fishery; 

3) an analysis of data from NMFS’ CA/OR drift gillnet 

fishery observer program from 1990-1995; 

4) recommendations to enhance NMFS’ CA/OR drift 

gillnet observer program; and 

5) an evaluation of other potential strategies to reduce 

strategic stock bycatch in the fishery. The team assumed 

that each individual strategy would be refined or modified if necessary based upon the initial year results. 

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As recommended by the team, a pinger experiment was 

conducted in the fishery during the 1996/1997 fishing 

season. The results of the experiment indicated that cetacean entanglement rates were 75% lower in nets that 

had pingers. NMFS published a proposed rule to implement the Pacific Offshore Cetacean Reduction Plan on 

February 14, 1997 (62 FR 6931). Because of the success 

of pingers in reducing cetacean bycatch, NMFS proposed 

that pingers be deployed on all nets. All of the other 

recommendations made by the PCTRT were proposed 

without changes. In May 1997, the PCTRT was recon­

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vened to review the results of the pinger experiment. 

Based on the results of the experiment, the PCTRT agreed 

that all fishing vessels should be required to use pingers. 

Skipper workshops were held throughout California and 

Oregon in the summer of 1997. NMFS presented information on the status and content of the draft take 

reduction plan, and background on the MMPA, and provided a demonstration of pingers, and an opportunity 

for question and answers. In addition, the workshops 

included discussions of the current strategies that fishers 

were using to avoid interactions with marine mammals. 

Workshop participants were provided a comprehensive 

field guide to the marine mammals that occur off the 

California coast. By the last workshop, over 140 vessel 

owners and operators had attended the workshops. 

On October 3, 1997, NMFS published the final rule 

implementing the take reduction plan (62 FR 51805). 

Preliminary results from the 1997/1998 fishing season 

indicate that compliance with the plan is high, and that 

bycatch of marine mammals should be below the calculated PBR level for all strategic stocks. 

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On August 6, 1996, NMFS established the Atlantic Large 

Whale Take Reduction Team (LWTRT) to address the 

incidental bycatch of large baleen whales, primarily the 

northern right whale (Eubalaena glacialis) and the humpback whale (Megaptera novaeangliae) in the following fisheries: the Gulf of Maine/U.S. mid-Atlantic lobster trap/ 

pot fishery, the Gulf of Maine sink gillnet fishery, the 

mid-Atlantic coastal gillnet fishery, and the southeastern 

U.S. Atlantic shark gillnet fishery. These two large whale 

stocks are considered strategic under the MMPA because 

they are listed as endangered under the ESA, and because the level of human-caused mortality is greater than 

the calculated PBR levels (see also Chapter VII. Conservation and Recovery Programs). 

The LWTRT includes representatives from each fishery, 

NMFS, state marine resource management agencies, the 

New England Fishery Management Council, the 

Mid-Atlantic Fishery Management Council, the Marine 

Mammal Commission, environmental organizations, and 

academic and scientific organizations. 

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������������������������� This fishery is managed by 

both individual states and by NMFS, under the Lobster 

Fishery Management Plan (as authorized by the 

Magnuson-Stevens Act). This fishery operates in 

nearshore and offshore waters in the Gulf of Maine and 

the mid-Atlantic. Vessels used in the inshore fishery are 

typically under 15 m (50 ft) in length and have a crew of 

one to four people. Vessels used in the offshore fishery 

are typically between 15-30 m (50-100 ft) in length and 

have a crew of three to five people. Offshore vessels generally fish in waters up to 360 m (1200 ft) deep. There 

are approximately 14,600 permit holders, including 4000 

vessels that fish in offshore waters. 

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���� See the description of these fisheries under the section of this chapter on the harbor porpoise take reduction plan and the mid-Atlantic take reduction plan, respectively. 

����������������������������������This fishery is regulated by NMFS under the Atlantic Sharks Fishery Management Plan (as authorized by the Magnuson-Stevens 

Act). This fishery operates primarily in federal waters 

from Port Salerno, Florida to Savannah, Georgia. Nets 

are typically 300 m (1000 ft) to 1.6 km (1 mi) in length 

and are set and fished overnight. There are approximately 

16 active fishers in the fishery. 

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Records of whale entanglements in the lobster pot/trap 

fishery consist entirely of strandings and opportunistic 

reports of live and dead animals. Recent studies indicate 

that this fishery incurs 0.4 serious injuries of right whales 

each year. The PBR level for right whales is 0.4 animals 

(see Chapter VII. Conservation and Recovery Programs). 

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There are also records of humpback and right whale entanglements attributed to gillnet gear in the Gulf of 

Maine, mid-Atlantic, and Southeast, but quantitative estimates of average annual mortality in these fisheries were 

not available for the team. For more information on 

these marine mammal stocks, see Chapter II. Marine 

Mammal Stock Assessment Program. 

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The LWTRT did not reach consensus on a plan for reducing bycatch of large whales in the Atlantic. The 

LWTRT submitted a draft report of their deliberations 

to NMFS, which was used, in part, to develop a proposed and interim final rule which served as the take 

reduction plan for the fisheries. A proposed rule to implement the Large Whale Take Reduction Plan was published on April 7, 1997 (62 FR 16519). NMFS held 12 

public hearings from Maine to Virginia and received approximately 13,000 comments on the proposed rule. As 

a result, major changes to boundaries of affected areas, 

gear, and marking requirements, and contingency measures were made. Because the changes from the proposed rule were significant, NMFS issued regulations for 

reducing bycatch in these fisheries as an interim final 

rule and accepted additional comments on the rule. A 

final rule implementing the plan is due to be published 

in 1998. 

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The interim final rule, published on July 22, 1997 (62 

FR 39157) closed right whale critical habitat areas to 

specific types of fishing gear during certain seasons and 

modified fishing practices in such a way that would meet 

the goals of the MMPA without damaging a vital fishing 

industry (see Figures 6-9, pages 40-41). The plan uses 

seven strategies to achieve the six-month goal: 

• Closure of right whale critical habitats to some gear 

types during times of the year when right whales are 

present; 

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• Restricting the way strike nets are set in the Southeast 

shark gillnet fishery; 

• Requiring that all lobster and anchored gillnets be set 

in such a way as to prevent line from floating at the surface; 

• Requiring all lobster and anchored gillnets to have at 

least some additional characteristics that are likely to reduce the risks of entanglements; 

• Requiring that drift gillnets in the mid-Atlantic be either tended or stored on board at night; 

• Improving the voluntary network of personnel trained 

to assist in disentangling right whales (see Chapter XI. 

Public Education and Outreach Programs); and 

• Prohibiting storage of inactive gear in the ocean. 

In addition, all gear covered under this plan must be 

marked so that the type of gear that entangles cetaceans 

can be identified, and gear near the surface cannot be 

allowed to float at the surface. 

The use of gear modifications to minimize the risks of 

entangling large whales will be key to the long-term success of the take reduction plan. To this end, the LWTRT 

developed lists of acceptable gear technologies currently 

available that are believed to reduce the likelihood that 

cetaceans will become entangled, or increase the likelihood that a cetacean will break free from the gear if entangled. These gear technologies include weak links for 

buoy lines and the use of sinking line for the buoy line or 

the ground lines. Fisheries may be required to use one or 

more of these acceptable technologies if they fish in certain areas at certain times of the year. 

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NMFS has determined that it is not appropriate at this 

time to establish an Alaska Steller Sea Lion Take Reduction Team. This decision was made after consultation 

with the State of Alaska. NMFS expects to review this 

decision when more information becomes available on 

the mortality and serious injury of Steller sea lions associated with commercial fishing operations. 

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As previously stated, one of the mandates of section 118 

of the MMPA is to reduce incidental mortality and serious injury of marine mammals that occurs in the course 

of commercial fishing operations to below Potential Biological Removal (PBR) levels. In addition, the long-term 

goal of the MMPA is to reduce incidental mortality and 

serious injury to insignificant levels approaching a zero 

mortality and serious injury rate. 

It has long been clear to NMFS that defining the concept of “serious injury” is integral to implementing the 

MMPA. 

NMFS provided a clear definition of “injury” to marine 

mammals under the MMPA (50 CFR 229.2), but recognized that determining which injuries are likely to lead 

to mortality, and thus should be considered serious, is 

tremendously difficult. NMFS defined injury in 50 CFR 

229.2 as. . . 

“. . .a wound or other physical harm. Signs of 

injury include, but are not limited to, visible blood flow, loss 

of or damage to an appendage or jaw, inability to use one or 

more appendages, asymmetry in the shape of the body or 

body position, noticeable swelling or hemorrhage, laceration, 

puncture, or rupture of eyeball, listless appearance or inability to defend itself, inability to swim or dive upon release 

from fishing gear, or signs of equilibrium imbalance. Any 

animal that ingests fishing gear, or any animal that is released with fishing gear entangling, trailing, or perforating 

any part of the body will be considered injured regardless of 

the absence of any wound or other evidence of an injury.” 

Serious injury is defined in 50 CFR 229.2 as. . . . 

“. . .any injury that is likely to result in mortality.” 

On April 1-2, 1997, a workshop was held to address this 

issue. The objective of the Serious Injury Workshop was 

to explore a broad range of guidelines that could be used 

to determine which marine mammals entangled in fishing gear or injured incidental to fishing operations should 

be considered seriously injured as a result of the encounter. 

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The probability that a marine mammal will survive an 

entanglement in fishing gear depends on the species of 

marine mammal involved and how, how long, and the 

type of gear in which the animal is caught. During the 

workshop, there were discussions of entanglement situations of marine mammals in gillnet, longline, and pot/ 

trap gear. 

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Marine mammal researchers have found that small cetaceans, such as harbor porpoise (Phocoena phocoena) and 

bottlenose dolphins (Tursiops truncatus), that come into 

contact and become entangled in gillnets, seldom survive. This idea is supported by a lack of observer and/or 

fisher observations of live animals released from gillnet 

gear and from a low frequency of healed wounds consistent with interactions with gillnet gear on dead, stranded 

marine mammals. However, a few stranded small marine mammals exhibit healed wounds consistent with previous interactions with gillnet gear, so it is clear that not 

all small marine mammals die as a result of interactions 

with gillnets. 

Gillnet interactions are often identified as the cause of 

death of stranded harbor porpoise in the mid-Atlantic. 

Because lacerations and wounds indicative of gillnet interactions may be easily missed during a preliminary 

necropsy, a detailed protocol has been designed to aid 

biologists in determining whether or not a gillnet interaction may have been the cause of death. The most common indication of a mortality caused by gillnet gear is 

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the presence of narrow, linear lacerations in the epidermis caused by the gillnet pressing into the animal’s body. 

Sometimes these lacerations can be used to estimate mesh 

size and whether the line was mono- or multi-filament. 

Large marine mammals, such as humpback whales, right 

whales, and Steller sea lions may become entangled in 

gillnets, but often survive the initial contact with the gear. 

However, the entanglement of larger marine mammals 

in gillnet gear may cause considerable damage to the gear. 

A marine mammal may also swim away with a portion 

of the gillnet wrapped around a portion of its body such 

as: a pectoral fin, the tail stock, the neck, or the mouth 

(trailing gear, which can lead to mortality). 

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The Atlantic pelagic longline fishery, which targets swordfish and tunas, primarily has incidental interactions with 

pilot whales (Globicephala spp.) and Risso’s dolphins 

(Grampus griseus). Both species may become entangled 

in the mainline or gangions and may be hooked in the 

body or in the mouth. Although this fishery has a relatively low rate of observed incidental mortality of marine mammals, it has a higher rate of incidental injury of 

marine mammals. If some of the hooked or entangled 

animals are seriously injured, the total annual level of 

mortality and serious injury would increase for this fishery. Most observed marine mammal interactions with 

this fishery occured north of Cape Hatteras. 

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Large whales become entangled in large- and small-mesh 

gillnets, pot gear, and unidentifiable line of different types. 

Documented cases indicate that entangled animals may 

carry gear for long periods of time and over long distances, may free themselves from the gear, may be freed 

by the disentanglement network, or may subsequently 

die as a direct result of the long-term entanglement. Indirect impacts are also possible. For example, entanglement may compromise the animal by causing cuts or 

impeding mobility or feeding, which may make the animal more susceptible to disease and/or predation. 

Workshop participants noted that not all entanglements 

will result in mortality and indicated that the proportion 

of entangled animals that survive entanglements is unknown. Participants stressed that a thorough necropsy is 

necessary to determine the cause of death of large cetaceans and the degree to which an entanglement may have 

contributed to the mortality. The need for thorough 

necropsies to determine cause(s) of death was also stressed 

for all marine mammals. 

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Human-related injuries to pinnipeds occur as a result of 

entanglement in net or line, internal and external imbedding of hooks, shooting, or other trauma. Typically, 

it is very difficult to determine the extent of the pathology based solely on an external examination of the animal. Injuries that result from entanglements or hookings 

may cause major infections that can severely compromise the health of the animal and lead to death. 

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Marine mammals may die from physiological responses 

to stressful events such as live strandings, chase, capture, 

or interaction with fishing gear. The severity of the stress 

response depends on the species, age, general health/condition of the marine mammal, and the type and duration of the stressors. Generalizations cannot presently be 

made about how many marine mammals subjected to a 

specific stressor would likely die. In general, marine mammals that inhabit offshore waters (e.g., spinner or common dolphins) appear to be more susceptible to stressrelated mortality than marine mammals that inhabit 

nearshore habitats (e.g., coastal bottlenose dolphins). 

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Scientists have found that exposure to chronic stress may 

cause physical damage to certain tissues, that is caused 

by extended exposure of the tissue to adrenaline (exposure that lasts longer than minutes or days). Necropsies 

have identified heart lesions in cetaceans known to have 

died as a result of being encircled in fishing gear. For 

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these animals, stress was the likely cause of death. It is 

unknown what proportion of stressed animals die some 

time after the stressor occurs. 

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At the Serious Injury Workshop, participants worked toward developing guidelines for “serious injury” determination. It was recognized that guidelines for what constitutes a serious injury in an animal could include: 

1) any animal that is observed injured in any way or are 

observed trailing gear, 

2) some animals that are observed injured in any way or 

are trailing gear, or 

3) no animals that are observed injured in any way, but 

are not moribund or are trailing gear. 

The workshop participants accepted the second option 

as the “middle ground” because of observations of living 

or dead marine mammals with healed injuries and observations of marine mammals that disentangle themselves from fishing lines and/or nets. 

The workshop participants separated into two groups, a 

large whale subgroup and a small cetacean subgroup, and 

developed possible guidelines for determining what constitutes a serious injury to a marine mammal. 

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This subgroup addressed the entanglements of large 

whales in fishing line and nets that resulted in animals 

becoming entangled in some or all of the fishing gear. 

The subgroup identified many ways that an entanglement could impact an animal, including impeding its 

locomotion, its ability to feed, its reproduction, or causing systemic injury. Subgroup participants indicated that 

any entanglement which resulted in an animal trailing 

gear, such that the animal’s mobility or ability to feed 

was impeded, should be considered a serious injury. However, specific criteria indicating how to determine whether 

an entanglement impeded locomotion or ability to feed 

were not identified. 

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This subgroup addressed the interactions between small 

cetaceans and the longline fishery. The subgroup participants indicated animals that may ingest hooks, may 

be released trailing gear or may be observed to swim away 

abnormally upon release should be considered seriously 

injured. The subgroup participants indicated that animals that were hooked externally or were released and 

swam away normally should not be considered seriously 

injured. The participants stated that any incident that 

cannot be addressed by the above criteria should be evaluated on a case-by-case basis. Specific criteria indicating 

the amount of gear a cetacean would have to trail before 

the animal was considered seriously injured were discussed, but a consensus was not reached. 

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The workshop participants discussed whether or not an 

animal that has been disentangled by a commercial fisher 

or by a formal disentanglement response team should be 

considered in classifying a commercial fishery. This was 

identified as a concern because there is no incentive for 

fishers to report an entangled animal to the disentanglement network if disentangled animals will be used to 

classify a fishery. It was suggested that animals documented as disentangled should be classified as uninjured. 

However, there was not consensus on this issue. 

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Because information on marine mammal serious injury 

and mortality is used to classify and manage commercial 

fisheries, it is important that adequate documentation 

on the level of serious injury and mortality be provided. 

The strongest types of evidence of marine mammal interactions with commercial fisheries include data published in peer-reviewed journals or situations where information is collected in a systematic way using an established protocol (e.g., observer programs, necropsy reports). Anecdotal or opportunistic reports of marine 

mammal serious injury or mortality are less useful, but 

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may be used to support management decisions. If possible, anecdotal or opportunistic reports should be accompanied by a statement from the individual who made 

the report and a written statement from a NMFS individual who can assess the objectivity of the individual 

who made the report. 

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A brief discussion of injuries reported for pinnipeds indicated that an animal hooked in the mouth (internally) 

or trailing gear should be considered seriously injured. 

Some participants felt that an animal with a hook in its 

body would likely not be seriously injured. 

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The results of this workshop were published as a NOAA 

technical memorandum. This report will be used to help 

NMFS develop draft guidelines for what constitutes a 

serious injury. 

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Section 101(a)(5)(E) of the MMPA allows for the take 

of marine mammals listed as endangered or threatened 

under the Endangered Species Act (ESA) incidental to 

commercial fishing operations, if it can be determined 

that: 

1) incidental mortality and serious injury will have a negligible impact on the recovery of the affected species or 

stock, 

2) a recovery plan for that species or stock has been developed or is being developed, and 

3) where required under section 118, a monitoring program has been established, vessels are registered, and a 

take reduction plan has been developed or is being developed. 

In order to determine whether commercial fishing activities are having a negligible impact on endangered and 

threatened stocks of marine mammals, NMFS evaluated 

the total number of all incidental serious injuries and 

mortalities due to commercial fishing for each such stock 

based on information included in final stock assessment 

reports and in the Environmental Assessment (EA) prepared for the implementation of section 118 of the 

MMPA. 

Negligible impact, as defined in 50 CFR Part 228.3, is 

“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.” Because of the 

qualitative nature of this definition and limitations on 

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available information, NMFS determined that the application of strict quantitative criteria for making negligible impact findings was not appropriate. However, as 

a starting point, NMFS considered a total annual serious injury and mortality of less than 10% of a stock’s 

PBR level to be insignificant. This determination was 

based on the recommendations of a NMFS workshop 

held in June 1994 to propose guidelines for preparing 

stock assessment reports. Such a criterion was not, however, the only factor in evaluating whether a particular 

level of take was considered negligible. The information 

in the stock assessment reports and the EA had varying 

degrees of uncertainty, and factors other than PBR level 

(e.g., population trend) were also considered. Because 

the negligible impact determinations required some 

judgement based upon the available information, each 

finding indicated NMFS’ best assessment of whether or 

not the estimated mortality and serious injury of endangered and threatened marine mammals incidental to commercial fishing operations adversely affected the species 

or stock through effects on annual rates of recruitment 

or survival. 

In order to determine which fisheries would receive permits under section 101(a)(5)(E), NMFS classified ESAlisted marine mammal stocks into three categories (60 

FR 45399). These classifications and associated stocks 

are listed in Figure 11, page 45. NMFS issued individual three-year permits to fisheries in the first category, 

and will issue individual permits to participants in conjunction with section 118 authorization certificates, subject to the same terms and conditions. 

Although there were no new authorizations for the incidental taking of endangered or threatened species issued 

in 1997, existing permits were still in place. 

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Pinnipeds cause damage to (or loss of) catch in commercial and recreational fisheries, and there are many claims 

of major economic impact, with complaints regarding 

such damage having increased in recent years. 

Conflict between humans and pinnipeds can take a variety of forms and has become common between expanding pinniped populations and human activities. These 

conflicts may result in harassment, injury, or death of 

marine mammals or in the modification of the habitats 

upon which they depend. Human activities can also exacerbate the effects of natural perturbations in marine 

ecosystems. 

Significant use and alteration of natural resources and 

habitat have considerably affected pinniped as well as 

salmonid populations on the West Coast of the United 

States. Under the protection of the MMPA, pinniped 

populations on the West Coast of the United States have 

rebounded, while many salmonid populations have declined. The current estimate of California sea lion 

(Zalophus californianus) numbers ranges from 167,000 

to 188,000, and Pacific harbor seal (Phoca vitulina) populations are now at very high levels having increased at a 

rate of 6-8% per year since the mid-1970s. 

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Over the same period time that some pinniped stocks 

have increased, there have also been increasing conflicts 

with human activities such as fisheries and fishery resources (especially salmon). In recent years, salmonid 

populations have declined drastically along the West 

Coast raising serious concerns about resource conflicts 

and the impacts of pinnipeds on salmon listed under the 

Endangered Species Act (ESA). Although pinnipeds did 

not cause the declines of salmon listed under the ESA, as 

salmonid populations decline to low levels, pinnipeds 

can affect the status and recovery of salmonid populations in some situations. Clearly, the combination of 

high local predator abundance during salmonid migrations, restricted passage, and depressed fish stocks can 

result in substantial impacts on local salmonid 

populations.peds cause damage to (or loss of) catch in 

commercial and recreational fisheries, and there are many 

claims of major economic impact, with complaints regarding such damage having increased in recent years. 

Conflict between humans and pinnipeds can take a variety of forms and has become common between expanding pinniped populations and human activities. These 

conflicts may result in harassment, injury, or death of 

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marine mammals or in the modification of the habitats 

upon which they depend. Human activities can also exacerbate the effects of natural perturbations in marine 

ecosystems. 

Significant use and alteration of natural resources and 

habitat have considerably affected pinniped as well as 

salmonid populations on the West Coast of the United 

States. Under the protection of the MMPA, pinniped 

populations on the West Coast of the United States have 

rebounded, while many salmonid populations have declined. The current estimate of California sea lion 

(Zalophus californianus) numbers ranges from 167,000 

to 188,000, and Pacific harbor seal (Phoca vitulina) populations are now at very high levels having increased at a 

rate of 6-8% per year since the mid-1970s. 

Over the same period time that some pinniped stocks 

have increased, there have also been increasing conflicts 

with human activities such as fisheries and fishery resources (especially salmon). In recent years, salmonid 

populations have declined drastically along the West 

Coast raising serious concerns about resource conflicts 

and the impacts of pinnipeds on salmon listed under the 

Endangered Species Act (ESA). Although pinnipeds did 

not cause the declines of salmon listed under the ESA, as 

salmonid populations decline to low levels, pinnipeds 

can affect the status and recovery of salmonid populations in some situations. Clearly, the combination of 

high local predator abundance during salmonid migrations, restricted passage, and depressed fish stocks can 

result in substantial impacts on local salmonid populations. 

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Over the same period time that pinniped stocks have 

increased in number, there have also been increasing conflicts with human activities such as fisheries and fishery 

resources (especially salmon). In recent years, salmonid 

populations have declined drastically along the West 

Coast raising serious concerns about resource conflicts 

and the impacts of pinnipeds on salmon listed under the 

ESA (seven salmonid populations have recently been listed 

as either threatened or endangered on the West Coast). 

Although in only the case of the winter-run steelhead 

population have sea lions been documented to consume 

a large part of the run, these this demonstrates that a 

significant portion (65%) of an entire salmonid run can 

be consumed by sea lions. Clearly, the combination of 

high local predator abundance during salmonid migrations, restricted passage, and depressed fish stocks can 

result in substantial impacts on local salmonid populations. Although a combination of factors, including habitat degradation and overfishing may have contributed to 

salmonid declines, pinnipeds can affect salmonid recovery in some situations. 

Section 118(a)(5) of the MMPA contained a new provision to halt the intentional lethal taking of marine mammals, although section 101(c) was maintained to authorize intentional lethal taking if imminently necessary in 

self-defense or to save the life of a person in immediate 

danger. However, because of increasing conflicts between 

growing pinniped populations and their interactions with 

declining salmonid stocks as well as human activities, 

section 120 (authorizing lethal removal) was also added 

to the MMPA in 1994. 

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The most widely known and intensely studied pinniped/ 

salmonid conflict is California sea lion predation on winter steelhead at the Ballard Locks in Seattle, Washington. 

Although California sea lions first began appearing in 

the Ballard Locks area on a somewhat regular basis in 

1980, their predation on steelhead was not viewed as a 

resource conflict until 1985, when a significant decline 

in the wild winter steelhead spawning escapement was 

noted. Subsequent scientific studies documented that 

sea lions were removing significant numbers of adult steelhead that were returning to the Lake Washington system 

to spawn. Between 1986 and 1992, sea lions consumed 

42-65% of the total return of spawning winter steelhead 

each year and prevented achievement of spawning escapement goals. In spite of intense sea lion deterrence 

and mitigation efforts from 1985 to 1995, a small number of sea lions returned to the Ballard Locks area each 

season and preyed on substantial numbers of returning 

adult steelhead. Although adequate spawning and rear­

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ing habitat was available, the winter steelhead population declined significantly during this timeframe down 

to an all time low of only 70 spawners in 1994. 

Because of the precarious status of the Lake Washington 

winter steelhead population in 1994 and the impact that 

California sea lions were having on it, the State of Washington applied to NMFS in June 1994 for the authorization under the new “Pinniped Removal Authority” under section 120 of the MMPA (enacted by the 1994 

Amendments to the MMPA) for authorization to lethally 

remove these individual sea lions that prey on winter steelhead migrating through the Ballard Locks. In accordance with section 120, NMFS made a determination 

on the adequacy of the application and provided public 

notice of the application with a request for public comments. NMFS also formed the Ballard Locks PinnipedFishery Interaction Task Force (Task Force), which was 

convened to review the pertinent information and public comments and to make recommendations to NMFS 

on approval or denial of the State’s application. In November 1994, after several public meetings, the Task Force 

completed its report and recommended that approval of 

lethal removal of individually identifiable predatory California sea lions be allowed only if a number of conditions were met regarding temporary holding of sea lions 

in captivity, achievement of a specified predation rate, 

use of deterrence, and other measures. 

On January 6, 1995, after consideration of the Task Force 

recommendations, public comments, and pertinent scientific information, NMFS issued a three-year Letter of 

Authorization (LOA) to WDFW that authorized the 

intentional lethal taking of California sea lions that prey 

on wild winter-run steelhead that migrate through the 

Ballard Locks. The LOA authorized lethal removal only 

if the state was in compliance with eleven conditions in 

the LOA including having a non-lethal deterrence program (acoustic deterrence devices) underway and undertaking efforts to capture and temporarily hold predatory 

sea lions if practical and feasible. During the 1995 season, no sea lions were lethally removed and only one 

animal was captured and held in captivity for the duration of the steelhead run. The 1995 steelhead spawning 

escapement totaled 126 fish, and 8% of the run was consumed by sea lions. Several sea lions were present during 

the run period in spite of deterrence efforts, and two 

identifiable sea lions were responsible for most of the 

steelhead predation. 

In September 1995, as required by section 120(c)(5) of 

the MMPA and the conditions of the LOA, the Task 

Force was reconvened to evaluate the effectiveness of 

measures taken by WDFW under the LOA. The Task 

Force found that sea lion predation posed a continued 

risk for recovery of the steelhead run because of the continuing low numbers of winter steelhead and recommended modifications to the conditions on the lethal 

removal authorization to better preserve the steelhead run. 

In March 1996, NMFS modified the conditions of the 

LOA based on the Task Force recommendations and 

additional information on the individual sea lion, which 

had been held in captivity in 1995, returning to the 

Ballard Locks and again preying on salmonids. NMFS 

removed the temporary captive holding condition in the 

LOA and modified the conditions for lethal removal of a 

“predatory” sea lion, which was defined as an individually identifiable sea lion that has preyed on returning steelhead and has foraged in the ensonified zone at the Ballard 

Locks (the area of intense acoustic deterrence). A “predatory” sea lion could be lethally removal by WDFW during a steelhead season (January 1 to May 31) upon being 

observed foraging at the Ballard Locks. 

Upon issuance of the modified LOA, WDFW indicated 

that it intended to lethally remove predatory sea lions 

during the 1996 steelhead run. However, shortly after 

issuance of the modified LOA, NMFS was contacted by 

Sea World in Orlando, Florida with an offer to receive 

the predatory sea lions permanently for public display. 

Prior to this time, no display facility had expressed any 

interest in permanent holding of these adult male sea 

lions. Since predatory sea lions would be permanently 

removed and could not return to prey on steelhead (which 

was the intent of lethal removal), NMFS and WDFW 

agreed to capture three predatory sea lions and transfer 

them to Sea World in May 1996. No sea lions were 

lethally removed. 

In September 1996, the Task Force was again reconvened 

to review information from the 1996 season and to make 

recommendations on whether the LOA be extended be­

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yond the June 30, 1997 expiration date. The Task Force 

submitted a report to NMFS recommending that the 

LOA be extended because insufficient time had passed 

to evaluate the success of management actions at Ballard 

Locks. The Task Force opinions on the extension ranged 

from no extension to a period of eight years (two steelhead cycles) with the majority of the Task Force favoring 

an extension of four years (one steelhead cycle) to June 

30, 2001. The State of Washington subsequently requested that the authorization be extended for an additional eight years (through June 30, 2005) with no change 

to current terms and conditions. Notice of the proposed 

extension of the LOA was published in the Federal Register on June 19, 1997 (62 FR 33396) with a 30-day public comment period. 

On September 23, 1997, after consideration of public 

comments and the recommendations of the Task Force, 

NMFS approved a four-year extension to the LOA to 

June 30, 2001. NMFS determined that there was a need 

to continue protecting and enhancing the winter steelhead back to the population levels of the mid-1980s, 

and to allow sufficient time to evaluate the effectiveness 

of lethal removal. Notice of the extension was published 

in the Federal Register on September 29, 1997 (62 FR 

50903). 

During the 1997 steelhead season, only 37 hours of sea 

lion presence was observed at the Ballard Locks in contrast with 116 hours in 1996. The difference in sea lion 

presence was most evident in the first two months of the 

year; sea lions were observed for a total of only 16 minutes as compared to over 91 hours in 1996. This difference in sea lion presence appears directly related to the 

absence of the predatory sea lions, which were captured 

and placed in captivity at Sea World in 1996. The predatory sea lions accounted for about 60% of the sea lion 

presence in 1996 and likely would have been at the Locks 

(based on past patterns) in 1997 had they not been removed. The 1997 observations indicate that permanent 

removal of known predatory sea lions reduces the presence of sea lions during the steelhead run and may have 

a beneficial effect on reducing recruitment of new sea 

lions to the area. The information on sea lion presence 

collected in 1997 indicates that past predatory sea lions 

are not replaced rapidly. It also does not appear that new 

sea lions are frequently exploring the Locks area in the 

absence of the predatory animals that constantly entered 

the Locks area (i.e., new animals are not following the 

predatory sea lions into the Locks area and becoming 

aware of the site). WDFW reported an estimated 610 

winter steelhead escaped to spawn in 1997 which is a 

substantial increase in spawning escapement over the past 

four years which ranged from 70 to 234. 

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In recent years, a new conflict between California sea 

lions and salmonids similar to the Ballard Locks situation has developed 128 miles upriver from the Pacific 

Ocean at a fish passage facility at Willamette Falls in 

Oregon City, Oregon. Since 1990, the Oregon Department of Fish and Wildlife (ODFW) has reported at least 

one to three California sea lions foraging on salmonids 

seasonally from February through May near the fish passage facility at the Falls. ODFW and NMFS marine 

mammal biologists conducted observations in May 1995 

and found four to six male California sea lions were consuming both steelhead and spring chinook salmon in 

the area below the falls. 

ODFW began a monitoring program on sea lion predation at Willamette Falls in 1996 and found at least five 

California sea lions were foraging at the Falls in April 

and May. The sea lions were observed consuming 42 

spring chinook salmon, 27 steelhead and 20 unidentified salmonids (a total of 89 salmonids). In 1997, observations were conducted by ODFW from April 1 through 

May 20. During 544 hours of observation in 1997, sea 

lions were observed consuming 165 salmonids (65 

chinook, 39 steelhead and 61 unidentified salmonids) 

and one Pacific lamprey. 

Willamette River winter steelhead and spring chinook 

salmon numbers have declined in recent years, and unabated pinniped foraging at this critical fish passage site 

is unacceptable to ODFW. Due to these concerns and 

the potential for increasing sea lion predation on returning salmonids, NMFS and ODFW have developed a 

program of non-lethal removal measures to prevent sea 

lion predation at this site. In February 1997, NMFS 

and ODFW prepared an draft Environmental Assess­

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ment (EA) that examines the environmental consequences 

of actions for preventing sea lion foraging and predation 

on salmonids at Willamette Falls in accordance with the 

National Environmental Policy Act. The proposed nonlethal actions, ranging from deterrence efforts to capture 

and removal, are authorized under section 109 of the 

MMPA which allows non-lethal removal of nuisance 

marine mammals by state and federal officials. NMFS 

determined that the California sea lions at the Willamette 

Falls are a “nuisance” because pinniped foraging in this 

area adversely affects fish passage and salmonids are especially vulnerable at this location to pinniped predation. Further, Willamette Falls is located in the freshwater environment far upriver and well outside the normal 

range and habitat of California sea lions. Public notice 

of the draft EA was published in the Federal Register on 

March 13, 1997 (62 FR 11845) with a 30-day public 

comment period. After consideration of public comments, NMFS completed the final EA in November 

1997. The environmental review process led to a conclusion on December 4, 1997 that this action will not 

have a significant effect on the human environment. 

Notice of the final EA and responses to public comments 

was published in the Federal Register on January 2, 1998 

(63 FR 55). 

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To address increasing concerns regarding the impacts of 

California sea lions and Pacific harbor seals on salmonids and, more broadly, on ecosystems along the West 

Coast, the MMPA Amendments of 1994 included section 120(f), which required NMFS to: 

“conduct a scientific investigation to determine whether 

California sea lions and Pacific harbor seals 

a) are having a significant negative impact on 

the recovery of salmonid fishery stocks which have been 

listed as endangered species or threatened species under 

the Endangered Species Act, or which the Secretary finds 

are approaching such endangered species or threatened 

species status; or 

b) are having broader impacts on the coastal 

ecosystems of Washington, Oregon, and California.” 

Upon completion of the investigation, section 120 required NMFS to enter into discussions with the Pacific 

States Marine Fisheries Commission (PSMFC), on behalf of the states of California, Oregon, and Washington, to address any issues or problems identified as a result of the scientific investigation and to develop recommendations to address such issues. The recommendations from these discussions, along with the scientific 

investigation report, were to be made available to the 

public for review and comment for a period of 90 days, 

and then submitted to the House of Representatives’ 

Committee on Resources and to the Senate’s Committee 

on Commerce, Science, and Transportation. 

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An investigation into the existing scientific information 

addressing the issues identified by Congress was undertaken by a Working Group established by NMFS. It 

was determined at the onset of the investigation that 

NMFS did not have the resources nor was there sufficient time to conduct rigorous field investigations on the 

issues identified by Congress within the specified oneyear timeframe, so the investigation focused on a review 

of information from past field studies. The Working 

Group, consisting of NMFS and state biologists, was selected for their knowledge of salmonids, marine mammals, and the interactions between them. The Working 

Group compiled and reviewed all available information 

on the status and trends of California sea lions, Pacific 

harbor seals, and the seven species of salmonids found in 

Washington, Oregon, and California. Members of the 

Working Group also conducted several additional studies to augment existing information thereby extending 

completion of the report beyond the one-year timeframe. 

NMFS published the final Working Group report in 

March 1997 as a part of the NOAA Technical Memorandum series entitled, “Investigation of Scientific Information on the Impacts of California Sea Lions and Pacific Harbor Seals on Salmonids and on the Coastal Ecosystems of Washington, Oregon, and California.” 

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* California sea lion and Pacific harbor seal populations are robust, widely distributed and increasing at 

rates of 5-7% per year. 

* Many salmonid stocks are declining or depressed; six salmonid populations were listed under the 

ESA at the time of the report and many others were either proposed for listing or candidates for listing. 

* Pinnipeds did not cause the declines of salmon 

listed under the ESA, but when salmonid populations 

decline to low levels, pinnipeds can affect recovery in 

some situations. 

* The investigation did not result in conclusion 

that either pinniped species is having a significant negative impact on any wild salmonid population, except 

winter steelhead that migrate through the Ballard Locks, 

because of the limitations of the available data. 

* Although additional research is needed to fully 

address this issue, existing information on the seriously 

depressed status of many salmonid stocks is sufficient to 

warrant actions to remove pinnipeds in areas of co-occurrence where pinnipeds prey on depressed salmonid 

populations. Data collected from the Ballard Locks and 

in the Puntledge River in Canada clearly demonstrates 

that the combination of high local predator abundance 

during salmonid migrations, restricted passage, and depressed fish stocks can result in significant impacts on 

local salmonid populations. 

* Pinnipeds cause damage to (or loss of) catch in 

commercial and recreational fisheries. There are many 

claims of pinnipeds, especially California sea lions, causing economic impact to fisheries especially in salmon 

fisheries and in the southern California charterboat fishery. 

* Data is lacking on assessing the impact of pinnipeds on coastal ecosystems. 

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In June 1996, NMFS began discussions with PSMFC 

and representatives of Washington Department of Fish 

and Wildlife, Oregon Department of Fish and Wildlife, 

and California Department of Fish and Game. Using 

the information from the scientific investigation as a focus of discussions over the course of eight months, two 

issues were identified and four recommendations were 

developed to possibly mitigate any impacts identified 

through the investigation. In February 1997, the discussions were completed, and NMFS drafted a report to 

Congress to recommend measures to address issues identified in the discussions with PSMFC and representatives of the coastal states. On March 28, 1997, NMFS 

published notice in the Federal Register (62 FR 14889) 

on the availability of the draft report to Congress for 

public review and comment. The comment period ended 

June 26, 1997. 

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Two issue statements on pinniped impacts on salmonids 

and West Coast ecosystems were identified and are described in the Report. They are as follows: 

1) Pinniped Impacts on Salmonids - California sea lion 

and Pacific harbor seal populations on the West Coast 

have been increasing since passage of the MMPA in 1972, 

while many salmonid populations are decreasing. Salmonid populations that are depressed and declining, especially those that are listed or proposed to be listed under 

the ESA, can be negatively impacted by expanding pinniped populations and attendant predation. 

2) Pinniped Impacts on West Coast Ecosystems - Increasing California sea lion and Pacific harbor seal populations and their expanding distribution are negatively 

impacting commercial and recreational fisheries, damaging private property, and posing threats to public safety. 

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That draft report also contained four major recommendations: 

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1) Implement Site-specific Management for California


Sea Lions and Pacific Harbor Seals


Establish a framework that would allow state and federal


resource management agencies to immediately address


conflicts involving California sea lions and Pacific har­


bor seals. Any lethal takings would have to be within the


Potential Biological Removal levels established by NMFS


for all human causes of mortality. The three compo­


nents of the framework are:


a) In situations where California sea lions or Pacific harbor seals are preying on salmonids that are listed or proposed for listing under the ESA, immediate use of lethal 

removal by state or Federal resource agency officials would 

be authorized; 

b) In situations where California sea lions or Pacific harbor seals are preying on salmonid populations of concern to the state or are impeding passage of these populations during migration as adults or smolts, lethal takes 

by state or federal resource agency officials would be authorized if: 

(i) non-lethal deterrence methods are underway 

and are not fully effective, or 

(ii) non-lethal methods are not feasible in the 

particular situation or have proven ineffective in the past; 

and, 

c) In situations where California sea lions or Pacific harbor seals conflict with humans, such as at fishery sites 

and marinas, lethal removal by state or federal resource 

agency officials would be authorized as a last resort when 

an individual pinniped fails to respond to repeated deterrence attempts, or when repeated deterrence attempts 

do not affect the behavior of an individual pinniped over 

the long-term. 

2) Develop Safe, Effective Non-lethal Deterrents 

In order to provide an array of options broader than lethal removal to resolve West Coast pinniped problems, 

there is a pressing need for research on the development 

and evaluation of deterrent devices and further exploration of other non-lethal removal measures. Potential 

options need to be evaluated in a concerted, adequatelyfunded effort to address this issue. Research and development of pinniped deterrence methods should be a research priority for addressing expanding pinniped populations on the West Coast. 

3) Selectively Reinstate Authority for the Intentional Lethal Taking of California Sea Lions and Pacific Harbor 

Seals by Commercial Fishermen to Protect Gear and 

Catch 

Prior to the 1994 Amendments to the MMPA, commercial fishermen were allowed to kill certain pinnipeds 

as a last resort in order to protect their gear or catch. 

Although the 1992 NMFS’ legislative proposal contained 

provisions to continue such authority, they were not included in the 1994 Amendments to the MMPA. A limited authorization, based on demonstrated need, should 

be provided to certain commercial fishermen at specified sites to use lethal means, as a last resort, to protect 

their gear and catch from depredation by California sea 

lions and Pacific harbor seals until such time that effective non-lethal methods are developed for their specific 

situation. 

4) Information Needs


An array of additional information is needed to better


evaluate and monitor California sea lion and Pacific har­


bor seal impacts on salmonids and other components of


the West Coast ecosystems. Details of such studies are


described in the draft Report to Congress.


There is a suite of research needs to answer the questions 

regarding pinniped impacts to salmonids and coastal ecosystem and NMFS’ recommendations. These reflect the 

need to take management actions immediately in those 

cases where continued pinniped predation could result 

in continued loss of individuals within severely depleted 

salmonid runs. Further, additional research and development should be directed into this arena, but not instead of active management where the situation is deemed 

critical. 

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The lack of clear, integrated legislative guidance on resource use in combination with highly polarized constituencies on this issue, compound the difficulties of 

managing this situation for NMFS. Because of the limi­

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tations of the available data, the scientific investigation 

did not result in a certain determination that either pinniped species (California sea lions or harbor seals) is having a significant negative impact on overall wild salmonid populations. The study did find that in several areas 

where fish passage is restricted, pinnipeds occur during 

salmonid migration. It was concluded; however, that 

even though substantial additional research is needed to 

fully address this issue, existing information on the seriously depressed status of many salmonid stocks is sufficient to warrant actions to remove pinnipeds in areas 

where pinnipeds prey on depressed salmonid populations. 

In terms of the pinnipeds effects on coastal ecosystems, 

however, no conclusions can be drawn to adequately assess the impacts. 

The Draft Report to Congress found that there may be 

conflicts among provisions of environmental legislation. 

It also recognized the need for immediate management 

action and/or active (inseason, in-situ) management in 

certain situations. NMFS recognizes the risk of loss of 

biodiversity and the need to preserve present and future 

options in terms of declining salmonid populations. The 

loss of the remaining members of endangered salmonids 

must be weighed against the loss of a small number of 

pinnipeds from large, healthy populations. NMFS is 

also aware that there is a risk-averse approach to protecting salmonid stocks and contributing to their recovery. 

Although waiting for scientific certainty before instituting management actions can lead to management failures, numerous questions must be answered about the 

ultimate effects that pinniped populations are having on 

the recovery of declining salmonid species and the entire 

coastal ecosystem. As both human and pinniped populations continue to grow and to demand more from 

coastal resources, conflicts between them are likely to 

increase as well. This trend suggests that active management will become increasingly important to reduce damage and conflict between humans and common species. 

The publication of the final Report to Congress is anticipated in 1999. 

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The issue of resolving pinniped problems on the West 

Coast is certainly controversial; consequently, NMFS 

received thousands of comments on the draft report to 

Congress. Many letters were not responses to the actual 

draft report, but were part of campaigns by marine mammal protection groups against any or all actions toward 

sea lions. Although some of the comments supported 

NMFS’ recommendations, a significant amount of them 

opposed them. This polarity of comments on the recommendations ensures that the re-authorization of the 

MMPA in 1999 will be controversial, particularly concerning these recommendations as a balanced way of resolving specific pinniped conflicts on the West Coast 

consistent with the MMPA goal of maintaining all marine mammals at optimum sustainable population levels. 

The Pacific Scientific Review Group (SRG) discussed 

the draft Report to Congress at its May 1997 meeting 

and supported the recommendations for site-specific 

management of pinnipeds by state/federal authorities, 

development of effective non-lethal deterrents, and 

needed research (see Chapter II. Marine Mammal Stock 

Assessment Program). However, the SRG did not clearly 

decide on a recommendation for lethal deterrents by fishermen because of concern for possible shooting of Steller 

sea lions (Eumetopias jubatus) (in areas where California 

and Steller sea lions co-occur) and the potential perception by fishers that lethal taking is the only effective deterrent. 

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As a result of increasing pinniped populations interacting with human activities, one of which is aquaculture, 

the 1994 MMPA Amendments included section 120(h), 

which required NMFS to convene a task force to provide advice on issues or problems regarding pinnipeds 

interacting in a dangerous or damaging manner with 

aquaculture resources in the Gulf of Maine. The Gulf of 

Maine Pinniped-Fishery Interaction Task Force members were selected from the aquaculture industry, State 

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government, the scientific community, and conservation 

organizations. The Task Force was established in January 

1995 and met three times for multi-day meetings, visited pen-sites, conducted public hearings, met with 

salmon growers, conducted surveys, and reviewed literature related to the issue, prior to completion of its report. 

In February 1996, the Task Force submitted its final report to NMFS. The report contained consensus Task 

Force recommendations to mitigate the pinniped predation. 

NMFS used the Task Force’srecommendations and comments received from the public to prepare its proposed 

recommendations to the U.S. Congress. The draft report recommended options available to mitigate the pinniped-aquaculture interactions. It was completed on 

March 17, 1997 (62 FR 12602) and was made available 

for a 30-day public review and comment period. Highlights of the draft report included the following: 

1) The aquaculture industry needs to develop a reporting system to substantiate its claims of damage by pinnipeds, develop and implement standards to prevent damage by predators, take advantage of government assistance in developing deterrence strategies, and develop 

marketing strategies to help make future losses more sustainable; 

2) Congress should clarify whether or not it intended 

that the lethal take provisions in MMPA section 109(h) 

be applied to the situation when a marine mammal gets 

inside a net-pen; and 

3) NMFS reiterates its support of the intentional lethal 

take provision included in its 1992 legislative proposal 

and recommends that Congress re-examine the need for 

intentional lethal taking under the MMPA. 

In response to public comments, the report has been 

modified to state that NMFS does not have the authority under MMPA section 109(h) to kill pinnipeds that 

are discovered within net-pens and to focus the recommendations regarding lethal removal on the specific 

charge within MMPA section 120(h) rather than on the 

broad issue of management of abundant pinniped populations. 

Recommendations in the final report include the following: 

• The salmon aquaculture industry in the Gulf of Maine 

should collect data on the extent of the impacts experienced by seal attacks on net-pen. The data should include documenting damages caused by the seals, as well 

as, resources diverted from production to work on the 

seal predation problem. 

• The primary responsibility for preventing and mitigating the effects of seal attacks on aquaculture resources in 

the Gulf of Maine should rest on the industry itself. The 

research and development of deterrence/prevention technologies must be initiated by the industry. 

• NMFS has resources that may help resolve the seal predation problem. NMFS has expertise in the behavior 

and biology of marine mammals, the engineering and 

design of fishing gear, and other related fields. NMFS, if 

approached by the industry, may be able to apply these 

areas of expertise to this relatively new problem. Furthermore, NMFS funds grant programs to which industry proponents may apply for funds to support research 

and development intent on resolving the seal predation 

problem. 

• At the request of the industry, NMFS will investigate 

the predator control measures in use in other salmon 

produce countries and will consider the applicability of 

MMPA section 102(c)(3), by which NMFS could halt 

the importation of salmonid products from nations that 

allow practices inconsistent with the MMPA. 

• In the rare event that a seal is discovered to have entered 

the confines of a net-pen, the grower is left in an intolerable situation that seems to have no legal means of resolution. NMFS believes that lethal methods may be necessary to resolved this and other situations. 

NMFS forwarded the report to the Department of Commerce, which then transmitted the report to Congress 

on August 1, 1997. Copies of the report are now available to the public. 

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The Marine Mammal Protection Act (MMPA) was enacted in 1972, due in large part in response to public 

reaction to the high levels of dolphin mortality caused 

by the yellowfin tuna purse seine fishery in the eastern 

tropical Pacific Ocean (ETP). In the late 1950s, fishermen began using the as yet unexplained association between schools of large yellowfin tuna, over 25 kg (55 lbs) 

and schools of certain species of dolphin to locate and 

capture tuna. Observer records of mortality begin in 

1972 with the enactment of the MMPA. At that time, 

the ETP fishery was dominated by U.S. vessels, and annual mortality was estimated at over 350,000 dolphins. 

With enactment of the MMPA, incidental mortality from 

fishing by the U.S. domestic fleet began to decline, but 

participation in the fishery by foreign vessels began to 

increase. Although the U.S. industry was instrumental 

in developing gear and procedures for reducing mortality and for releasing animals, foreign vessels were not subject to the requirements of the MMPA, and international 

fleet mortality, although reduced by procedures and gear 

developed by U.S. vessels, began to rise as a result of the 

increase in the number of foreign vessels. 

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To address the concern regarding increased mortality by 

foreign vessels, the U.S. Congress amended the MMPA 

in 1984 to tighten the importation requirements for fish 

and fish products harvested by foreign tuna vessels in the 

ETP. The 1984 amendments to the MMPA required 

that nations exporting yellowfin tuna to the United States 

have in place a regulatory program for marine mammal 

protection comparable to that of the United States, and 

achieve an incidental mortality rate for dolphins in the 

yellowfin tuna fishery comparable to that of the United 

States. Those amendments also set a mortality limit of 

250 coastal spotted dolphins and 2,750 eastern spinner 

dolphins for the U.S. fleet in the ETP fishery. 

In 1988, Congress again amended the MMPA. Statistics for 1987 showed mortality incidental to foreign fishing effort at 85,185 for the year, while U.S. mortality 

was under 13,992. By imposing additional requirements 

on domestic and foreign tuna fishermen, Congress expected that overall mortality would decrease. Those 

amendments retained the annual quota of 20,500 dolphins killed or seriously injured during the purse seining 

operations of the U.S. tuna fleet in the ETP, but also 

added additional requirements applicable to the U.S. fleet. 

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The amendments also clarified what the Secretary of 

Commerce must consider when determining whether a 

foreign nation is taking measures comparable to those of 

the United States in protecting dolphin in the ETP fishery. These included the same prohibitions that were applicable to U.S. vessels and set specific limits on total 

dolphin mortality and the percentage of eastern spinner 

and coastal spotted dolphins in the total mortality. The 

amended MMPA also required: 

1) that an intermediary nation show that it had acted to 

ban imports of any tuna subject to a U.S. import ban, or 

face a U.S. ban on its yellowfin tuna; 

2) adoption of skipper performance standards; 

3) restrictions on sundown sets and the use of certain 

explosive devices to herd dolphins; and 

4) a National Academy of Sciences study on alternative 

methods of locating and catching tuna, not requiring 

setting on dolphins. 

The 1988 amendments to the MMPA also required certification under the Pelly Amendment for those nations 

not meeting the comparability requirements of the 

MMPA for a period of six months. The embargoes that 

resulted from MMPA requirements were challenged by 

other countries as being inconsistent with the General 

Agreement on Tariffs and Trade (GATT). Although never 

formally adopted by the GATT, a panel report found 

against the United States’ embargoes to be GATT-inconsistent. 

In 1990, Congress passed the Dolphin Protection Consumer Information Act (DPCIA). The DPCIA required 

that tuna labeled as “dolphin safe” meet certain criteria. 

Under the definition, all tuna harvested in the ETP on a 

trip where there was any intentional encirclement of dolphins which could not be considered “dolphin safe.” The 

DPCIA did not prohibit tuna that did not meet the “dolphin safe” labeling requirements from being imported, 

but U.S. tuna canners instituted a voluntary “dolphin 

safe” tuna campaign where they purchased only “dolphin safe” tuna for introduction to the U.S. market. 

The International Dolphin Conservation Act (IDCA) 

was passed in 1992, with the intent to establish an international moratorium on the practice of harvesting tuna 

through the use of purse seine nets deployed on or to 

encircle dolphins or other marine mammals. The United 

States was not successful in getting any nation to commit to such a moratorium. However, the IDCA limited 

U.S. dolphin mortality to 1,000 dolphins for 1992 and 

800 for the period between January 1, 1993, and 

March 1, 1994. The IDCA required that the number 

of dolphins killed or seriously injured decrease from one 

year to the next. Estimated U.S. dolphin mortality decreased from 19,712 animals in 1988, to 1,004 in 1991, 

less than 500 in 1992, and 115 in 1993. Because the 

IDCA required that authorized U.S. mortality decrease 

each year, the U.S. ETP yellowfin tuna fishery was closed 

on February 8, 1994, when the incidental dolphin mortality was approaching 115. The IDCA prohibited U.S. 

citizens from intentionally encircling marine mammals 

and made it unlawful for any person to sell non-dolphin 

safe tuna in the United States after June 1, 1994. However, foreign participation in the ETP fishery continued 

to increase, and mortality was managed under the voluntary international dolphin conservation program under the auspices of the Inter-American Tropical Tuna 

Commission (IATTC). 

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While U.S. participation in the ETP tuna fishery declined significantly as a result of MMPA prohibitions on 

encircling dolphins (only a few “dolphin-safe” vessels remained in the fishery), foreign participation in the fishery continued. In the fall of 1992, the nations participating in this fishery convened at the annual meeting of 

the IATTC and signed the La Jolla Agreement. That 

Agreement placed voluntary limits on the maximum 

numbers of dolphin that could be incidentally killed annually in the fishery, lowering the maximum each year 

over seven years, with a goal of eliminating mortality in 

the fishery. The United States and the governments of 

Belize, Colombia, Costa Rica, Ecuador, France, Honduras, Mexico, Panama, and Spain, whose vessels fish for 

tuna in the ETP, came together again in 1995 and negotiated the Panama Declaration. 

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The Panama Declaration initiative was the result of the 

efforts of five environmental organizations, the Center 

for Marine Conservation, Greenpeace International, 

World Wildlife Fund, National Wildlife Federation, and 

the Environmental Defense Fund, who negotiated an 

initial draft with Mexico and the other nations in the 

fishery. Because the multi-nation yellowfin tuna fleet 

fishes in international waters, a binding international 

agreement is key to successfully protecting dolphins. The 

signing nations agreed that, contingent on the United 

States amending provisions of the MMPA for those countries participating in the international dolphin conservation program in the ETP, they would enter into a binding international agreement for the continued protection of dolphin and the entire ETP ecosystem. The 

Panama Declaration set the stage for the establishment 

of conservative species/stock specific annual dolphin mortality limits and represents an important step toward reducing bycatch in commercial fisheries with sound ecosystem management. 

The Panama Declaration contains provisions for additional protection for individual stocks of dolphins and 

for other living marine resources, to achieve an ecosystem approach to management of the fishery. The signatory nations expected that, as a result of their actions in 

reducing dolphin mortality, the United States would 

amend its laws so their participation in the International 

Dolphin Conservation Program would satisfy comparability requirements of U.S. law and result in the lifting of 

embargoes on yellowfin tuna and yellowfin tuna products. Through the International Dolphin Conservation 

Program, dolphin deaths have been reduced to below 

4,000 annually, a level considered non-threatening to 

dolphin stocks. Total dolphin mortality by the international fleet for 1997 was 3,000. Until implementation 

of the IDCPA, however, prohibitions on the importation of ETP purse seine-harvested yellowfin tuna from 

Colombia, Mexico, Panama, Vanuatu, and Venezuela remain in place, as well intermediary nation embargoes on 

all yellowfin tuna from Costa Rica, Italy, and Japan. 

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In August 1997, Congress passed the International Dolphin Conservation Program Act (IDCPA), amending the 

MMPA to provide exceptions to the import prohibitions 

for those nations participating in the international dolphin conservation program in the ETP. Contingent upon 

the results of research into the effects of chase and encirclement on depleted dolphin stocks, the legislation 

would change the definition of “dolphin safe” to mean 

tuna caught in a set without any observed dolphin deaths, 

rather than tuna caught without encircling dolphins on 

any set during an entire trip by the purse seine vessel. 

The IDCPA is the United States’ response to the Panama 

Declaration. The IDCPA provides the basis for entry 

into the United States of yellowfin tuna that would otherwise be under embargo because it was harvested by 

encircling marine mammals, provided the harvesting 

nation provides documentary evidence of its participation in the International Dolphin Conservation Program 

and its membership in the IATTC. The IDCPA will 

also allow U.S. fishing vessels to again participate in dolphin fishing the ETP yellowfin tuna fishery by making 

sets on dolphins. U.S. citizens crewing on the vessels of 

other nations in the fishery will be able to take marine 

mammals during fishing operations outside of the U.S. 

exclusive economic zone without being in violation of 

the take prohibitions of the MMPA. 

Also, under the IDCPA the definition of “dolphin safe” 

tuna will change immediately for tuna caught in areas 

other than the ETP, and then for the ETP if certain findings based upon mandated research are made. Unlike 

other issues in which NMFS interacts with commercial 

fisheries, the burden of proof regarding whether or not 

the practice of setting purse seine nets on dolphins while 

fishing for yellowfin tuna is detrimental to these dolphin 

populations is on NMFS. That is, in the absence of 

significant scientific data supporting the position that 

the process of chasing and encircling dolphin schools in 

the pursuit of tuna in the ETP adversely affects dolphin 

populations in the ETP, the meaning of the “dolphin 

safe” label in the United States will change in of March 

1999. 

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Unless the Secretary of Commerce determines, on the 

basis of that research and other relevant information, that 

intentional chase and encirclement of dolphins is having 

a significant adverse impact on a depleted dolphin stock 

in the ETP, tuna harvested in a set where there is no 

observed dolphin mortality will be considered “dolphin 

safe.” The contrasts with the DPCIA definition, where 

no tuna harvested during an entire trip is considered “dolphin safe” if there was a set on dolphin during the entire 

trip. 

The IDCPA provides enhanced protection for dolphins 

and enhanced attention to the conservation of ecosystems and the sustainable use of living marine resources 

related to the tuna fishery in the ETP. However, the 

provisions of the IDCPA will become effective only when 

two certifications are made. The Secretary of State must 

certify to Congress that a binding legal instrument establishing the International Dolphin Conservation Program has been adopted and is in force, and the Secretary 

of Commerce must certify that research has begun on 

the effects of intentional chase and encirclement on ETP 

dolphins, and that funds are available to complete the 

first year of the study. 

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The initial objectives of the Dolphin-Safe Research Program initially were: 

* to determine whether any modern technologies can be 

used to detect subsurface schools of large yellowfin tuna 

in the ETP when the fish are not associated with dolphins 

* to identify ways in which dolphins could still be used 

to locate tuna, with the tuna-dolphin bond being broken before a set is made. 

The second line of research listed above was discontinued in 1996, based the results of a workshop held in 

1995. Participants at the workshop concluded that practical economic and logistical constraints associated with 

the remote and wide-spread location of tuna-dolphins 

associations in the ETP preclude useful further investigation at this time. Ideally, if effective tuna detection technology can be found, the use of dolphin schools as cues 

to locate these fish could be eliminated. The original 

technologies investigated included acoustics, optics (lidar), and radar. Radar technologies were quickly identified as inappropriate at the current time and further investigation into this technology was discontinued. Mathematical modeling of estimated acoustic signal propagation in the ETP and initial experiments with various lidar systems indicated that both these technologies have 

potential for subsurface detection of large yellowfin tuna 

in the ETP when the fish are not associated with dolphins, so investigations related to these two technologies 

have continued. 

During the period January 1, 1997 through December 

31, 1997 the Dolphin-Safe Research Program awarded 

eight contracts to further its goals. These contracts included three projects investigating various aspects of lidar technology and five projects investigating various 

aspects of acoustic detection. The lidar projects included 

the following: 

1) investigation of the utility of an airborne Streak Tube 

Imaging Lidar (STIL) for detecting large yellowfin in 

the ETP; 

2) investigation of the potential for construction of a lowcost lidar; and 

3) mathematical modeling of estimated lidar performance 

and power density levels in the ETP oceanic environment. 

All three of these contracts are scheduled for completion 

during 1998, so final results will be discussed in the next 

MMPA Annual Report. 

The acoustic projects included two separate contracts 

developing specifications for an acoustic detection system optimized for detection of large yellowfin tuna in 

the ETP. Another project involved evaluating the probable effect of low-frequency acoustic sounds on marine 

mammals. A fourth project entailed an experimental study 

of the effects of blast and acoustic trauma on marine 

mammals, and a fifth project entailed measurement of 

swim bladder volumes and tuna reflectivity from freshlycaught large yellowfin tuna from the ETP. 

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Both projects developing specifications for an optimized 

acoustic system for detecting ETP large yellowfin made 

similar recommendations for an active, low-frequency, 

high decibel towed-array system utilizing various types 

of sophisticated signal processing to analyze the acoustic 

signal returns. The proposed systems are very promising, 

with likely detection distances of 20 or more km (12 mi) 

for subsurface schools of large yellowfin tuna in the ETP. 

However, further progress in development of this acoustic system is currently suspended due to the proposed 

high cost of constructing and testing in situ the prototype systems recommended by the contractors. 

The projects addressing the potential for acoustic disturbance and trauma in marine mammals were developed 

in conjunction with the development of recommendations for the most appropriate acoustic technology for 

detecting large yellowfin in the ETP, in order to determine whether the desired detection technology might 

have undesirable effects on the marine mammals which 

also inhabit the ETP ecosystem. These two contracts are 

scheduled for completion during 1998. 

The study to measure swim bladder volumes will provide the first direct measurements of swim bladder volumes in large yellowfin tuna. Swim bladder volume is 

the controlling parameter in determining the acoustic 

signature of yellowfin for active acoustic detection systems, so this project will provide critical data for refining 

the optimal system. This contract is also scheduled for 

completion during calendar year 1998. 

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Research initiatives actually began prior to passage of the 

IDCPA in August 1997. Research progress was initiated 

in July 1997 with a workshop on “Investigation of the 

potential influence of fishery-induced stress on dolphins 

in the ETP.” This workshop reviewed current knowledge about stress responses in mammals and about the 

practice of “dolphin fishing” in the ETP, and then developed recommendations for physiological/histological/ 

morphological measures that might practically be sampled 

in order to evaluate the potential effects that this practice 

might be having on individual dolphins and on dolphin 

stocks. 

Following passage of the IDCPA in August 1997, Congress appropriated funds for FY98 to initiate various research projects mandated therein. These research projects 

include: 

* three surveys of dolphin abundance in the ETP in 1998, 

1999, and 2000 in the ETP 

* a literature review of effects of stress on marine mammals 

* analyses of historical data for evidence of fishery-related stress 

* a necropsy program to sample dolphins killed during 

routine fishing operations, and 

* a chase/recapture experiment to examine physiological 

parameters in individual dolphins captured repeatedly. 

Planning for the initial abundance survey began immediately and included a survey design meeting held during December 1997. Planning will continue in 1998, 

culminating in departure of the first survey vessels in early 

August 1998. The literature review was initiated in October 1997 and will be completed by the end of December 1998. Planning for the necropsy program, historical 

data analyses, and chase/recapture experiment was initiated with the July 1997 workshop and continued 

throughout the remainder of calendar year 1997. 

More detailed results from these research projects will 

appear in the 1998 MMPA Annual Report. 

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2) the taking of bottlenose dolphins and spotted dolphins incidental to the removal of oil and gas structures 

in the Gulf of Mexico; and 

3) the taking of a number of species of marine mammals 

during U.S. Navy ship shock trials off southern California. owever, no Letters of Authorization were issued 

during 1997 for conducting ship shock trials off Southern California. 

In 1997, NMFS received two new applications for takings incidental to specified activities, while two other activities previously authorized continued. Those activities 

that had received prior authorization are: 

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On June 7, 1996, NMFS received a request from the 

U.S. Navy for a small take of marine mammals incidental to shock testing the USS SEAWOLF submarine in 

the waters offshore Norfolk, Virginia, or Jacksonville, 

Florida, in the summer of 1997. The Navy proposed to 

shock test the USS SEAWOLF by detonating a 4,500 kg 

(10,000 lb) explosive charge near the submarine once 

per week over a five-week period, 

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sometime between 

Section 101(a)(5)(A) of the MMPA was added in 1981 

and mandates that NMFS authorize, upon request, the 

incidental, but not intentional, taking of a small number of marine mammals by U.S. citizens who engage in a 

specified, lawful, activity (other than commercial fishing) for periods not to exceed five years per authorization. Before issuing regulations that allow the takes, 

NMFS must determine that the takes will not have more 

than a negligible impact on the species requested to be 

taken and will not have an unmitigable adverse impact 

on the availability of the species for subsistence hunting. 

The regulations must prescribe permissible means of taking and requirements for monitoring and reporting the 

taking. 

In 1997, three specific activities were authorized to incidentally take marine mammals under this provision of 

the MMPA. The authorized activities were: 

1) the taking of ringed seals incidental to seismic activities on the ice in the Beaufort Sea; 

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May 1 and September 30, decreasing the distance between the submarine and the explosive each time. Detonations would occur 30 m (100 ft) below the ocean surface in a water depth of 150 m (500 ft). The USS 

SEAWOLF would be underway at a depth of 19.5 m 

(65 ft) at the time of the test. For each test, the submarine would move closer to the explosive so the submarine would experience a more severe shock. 

On August 2, 1996, NMFS released for public comment proposed regulations that, if implemented, would 

authorize the harassment, injury, and mortality of a small 

number of marine mammals incidental to the Navy’s 

shock trial. The proposed rule contained measures designed to minimize loss of marine mammal life and that 

would require aerial, shipboard, and acoustic monitoring of the planned detonations. The public review and 

comment period closed on September 17, 1996. While 

a final rule is expected to be published in late spring 1998, 

due to a delay in the test program, the Navy has requested 

the effective date of the five-year rule to be delayed until 

the year 2000. 

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On May 31, 1995, NMFS received an application for a 

small take exemption from the USCG in order to allow 

a small take of certain marine mammal species incidental to USCG vessel and aircraft operations off the U.S. 

Atlantic Coast. The application was submitted in response to an order dated May 2, 1995, and was revised 

in response to a May 19, 1995 court order. In that case, 

Strahan v. Linnon, the presiding District Court judge 

ordered the USCG to apply by May 31, 1995, for a small 

take authorization for northern right whales (Eubalaena 

glacialis). The USCG also requested authorization of a 

small take of humpback (Megaptera novaeangliae), blue 

(Balaenoptera musculus), fin (Balaenoptera physalus), sei 

(Balaenoptera borealis) and sperm whales (Physeter macrocephalus). The application covers USCG vessels and 

aircraft in the North Atlantic, including responses to 

marine pollution events, port safety and security issues, 

law enforcement efforts, search and rescue missions, vessel traffic control, and maintenance of aids to navigation. 

Before processing this application, NMFS determined 

that it would be necessary to first complete consultation 

under section 7 of the Endangered Species Act (ESA). 

The USCG submitted a final ESA Biological Assessment 

of its activities along the U.S. Atlantic Coast on August 

3, 1995, and NMFS issued a Biological Opinion on September 15, 1995. As a result of an October 9, 1995, 

humpback whale strike in the Gulf of Maine, the USCG 

requested reinitiation of consultation on February 22, 

1996. That process was concluded on July 22, 1996 

with the issuance of a revised Biological Opinion. During the time period for consultation, processing of the 

USCG application for a small take authorization was 

suspended. 

Because the July 22, 1996 Biological Opinion concluded 

that continued vessel and aircraft operations by the USCG 

are likely to jeopardize the continued existence of northern right whales, and because NMFS has determined 

that the loss of even a single northern right whale is significant, a negligible impact finding under section 

101(a)(5)(A) could not be made for ship strikes of northern right whales by the USCG. As a result, the USCG’s 

June 2, 1995, application for a small take authorization 

for northern right whales was denied by letter on July 

31, 1996. The requested authorization for taking other 

whale species incidental to USCG operations was not 

addressed at that time. 

In response to concern expressed by the presiding judge 

in Strahan v. Linnon regarding NMFS’ actions on the 

small take application and other marine mammal authorizations, on October 17, 1996 (61 FR 54157), NMFS 

announced receipt of the USCG application and offered 

the public 30 days in which to submit comments on the 

application, in order to crystallize the underlying issues 

more efficiently and formally in the public forum. NMFS 

expects to make a determination on the appropriateness 

of issuing a proposed rule in response to the application 

during 1998. 

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On October 24, 1997, NMFS issued a proposed rule to 

renew the authorization for the incidental taking of a 

small number of ringed seals (Phoca hispida) and bearded 

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seals (Erignathus barbatus) incidental to winter seismic 

operations conducted by oil and gas exploration companies in the Beaufort Sea. Seismic surveys will be conducted using a Vibroseis energy source, wherein large 

trucks with vibrators mounted on them, systematically 

put variable frequency energy into the sea ice, underlying water, and bottom strata. Because a minimum of 

three to four feet of ice is required to safely support the 

weight of the equipment, on-ice seismic operations are 

usually confined to the five-month period between January through May. Seals are expected to avoid the immediate area around seismic operations, therefore, they are 

not expected to be subject to potential hearing damage 

from exposure to underwater sounds from the operations. Any takings of seals that occur are expected to 

result from short-term disturbance by noise and physical 

activity associated with the seismic operations. The effects of any such taking are anticipated to be negligible. 

Regulations governing the taking of ringed and bearded 

seals incidental to on-ice seismic surveys will be published in early 1998 and will remain in effect until December 31, 2002. NMFS expects that Letters of Authorization to take the two species during these operations 

in the Beaufort Sea off Alaska will be issued soon after 

publication of the final rule to British Petroleum Exploration, Western Geophysical, and Northern Geophysical, all of Anchorage, Alaska. 

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On June 16, 1997, NMFS received an application for a 

small take exemption from the North Atlantic Energy 

Service Corporation to authorize the take of harbor seals 

(Phoca vitulina) and other pinnipeds incidental to routine operations of its Seabrook Station nuclear power 

plant. Seabrook is a single-unit, 1,150-megawatt nuclear 

power generating facility located in Seabrook, New 

Hampshire. Cooling water for plant operations is supplied by three intake structures approximately one mile 

offshore in 18 m (60 ft) of water. Approximately 

1,782,200 L (469,000 gallons) per minute are drawn 

through the intakes to a 5.7 m (19 ft) diameter, 4.8 km 

(3 mi) long tunnel beneath the seafloor and into large 

holding bays (called forebays) at the power plant. Lethal 

takes of seals occur sporadically, and are expected to continue to occur as juvenile seals enter the cooling water 

intake structures and apparently drown en route to the 

forebays. A proposed rule to authorize the takings of 

these seals incidental to power plant operations and an 

accompanying environmentl assessment are expected to 

be published in mid-1998. 

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Section 101(a)(5) of the MMPA was amended by the 

MMPA Amendments of 1994 to establish an expedited 

process by which citizens of the United States can apply 

for an authorization to incidentally take small numbers 

of marine mammals by harassment only for up to one 

year (Incidental Harassment Authority). The amendments established specific time limits for processing applications, for public notice and comment, and for issuance or denial of authorizations. This type of authorization does not require issuance of regulations. 

On April 10, 1996 (61 FR 15884), NMFS published an 

interim rule to amend the small take regulations to implement the process for issuing harassment authorizations 

without the need to issue specific regulations governing 

the taking of marine mammals for each and every activity. This rule sets forth the process for applying for and 

obtaining an authorization; the time limits set by the 

statute for NMFS review, publication, and public notice 

and comment on any applications for such authorizations; and the requirements for submitting plans of cooperation and for scientific peer review of an applicant’s 

monitoring plans (if that activity may affect the availability of a species or stock of marine mammal taken by 

Alaska Natives for subsistence purposes). The rule also 

amended the regulations to clarify the requirements for 

obtaining a small take authorization and for requesting 

NMFS concurrence that no marine mammal takes are 

likely. 

In 1997, under these new small take provisions, NMFS 

accepted applications on and issued authorizations for 

the following activities: 

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1) The taking of small numbers of seals and sea lions by 

harassment incidental to launches of Delta II, LockheedMartin Athena, Taurus and Titan rockets from 

Vandenberg Air Force Base (AFB), California. Prior authorizations for this activity had expired in 1995 and 

1996. 

2) British Petroleum Exploration Alaska (BPXA), Anchorage, Alaska was authorized to take small numbers of 

bowhead whales and four other species of marine mammals by harassment incidental to conducting a three-dimensional seismic energy exploration survey in the western Beaufort Sea, Alaska; 

3) California Department of Transportation was authorized to harass harbor seals (Phoca vitulina) and California sea lions (Zalophus californianus), while retrofitting 

the Richmond-San Rafael Bridge, San Francisco Bay, 

California; 

4) ARCO Alaska was authorized to take small numbers 

of bowhead whales (Balaena mysticetus), beluga whales 

(Delphinapterus leucas) and seals incidental to winter oil 

exploration in the Beaufort Sea; and 

5) U.S. Geological Survey was authorized to take small 

numbers of marine mammals by harassment incidental 

to conducting a seismic survey for earthquake hazards in 

Puget Sound, Washington, in early 1998. 

More detailed descriptions of these activities follow: 

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During 1997, NMFS issued incidental harassment authorizations to the U.S. Air Force at Vandenberg AFB to 

take small numbers of harbor seals, California sea lions, 

elephant seals (Mirounga angustirostris), and northern fur 

seals (Callorhinus ursinus) incidental to launches of Delta, 

Lockheed, Taurus, and Titan rockets at Vandenberg AFB, 

California. These authorizations, which are valid for one 

year, were issued on July 17, 1996 (Lockheed launch vehicles), November 13, 1996 (McDonnell Douglas Delta 

II), November 13, 1996 (Orbital Science’sTaurus rocket) 

and November 27, 1996 (Titan II and IV rockets). 

Based upon documentation submitted with these requests, NMFS concurred with the U.S. Air Force that 

the launches will result in only negligible impacts to harbor seals located on Vandenberg AFB, and no impacts 

are likely at the pinniped haul-outs on San Miguel Island, except for launches of Titan IV rockets with a trajectory that could produce a sonic boom over the northern Channel Islands. To ensure that these determinations are correct, the U.S. Air Force will conduct shorebased pinniped surveys along the Vandenberg coastline 

and will employ time-lapse photographic monitoring 

during any launch taking place during the harbor seal 

pupping season, when observers are denied access to the 

beach. Acoustic monitoring will also be employed whenever necessary at South Vandenberg and on San Miguel 

Island to obtain launch noise profiles. Biological monitoring at locations on the northern Channel Islands will 

take place whenever sonic booms greater than 0.9 kg/m2 

(2 lbs/ft2) are predicted. 

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On March 5, 1997, NMFS received an application from 

BPXA requesting renewal of its 1996 authorization for 

the harassment of small numbers of several species of 

marine mammals, principally bowhead whales, incidental to conducting an ocean-bottom-cable-seismic survey 

during the open water season in the U.S. Beaufort Sea. 

The purpose of the survey was to refine assessments of 

petroleum reserves prior to developing those reserves. 

The number of potential incidental takes by harassment 

will depend on the distribution and abundance of marine mammals (which vary annually due to variable ice 

conditions and other factors) in the area of seismic operations. In addition, no take by injury and/or death 

was anticipated, and the potential for temporary or permanent hearing impairment would be minimized 

through the incorporation of mitigation measures. This 

would include a shutdown protocol when marine mammals entered a predesignated safety zone, ramping up 

the source whenever it is powered down for more than 

one minute, requiring biological observers to monitor 

safety zones, and aerial and acoustic monitoring after 

September 1, 1997, to look for bowhead whales. 

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Because bowhead whales generally remain east of the seismic area in the Canadian Beaufort Sea until late August/ 

early September, seismic activities were not expected to 

impact subsistence hunting of bowhead whales prior to 

that date. After September 1, 1997, BPXA initiated aerial 

survey flights for bowhead whale assessments. In addition, appropriate measures to avoid unmitigable adverse 

impacts on the availability of bowhead whales for subsistence needs were the subject of consultation between 

BPXA and subsistence users. 

After a 30-day public comment period, which closed on 

May 22, 1997, and a review of both the documentation 

provided by the applicant and the views of the 

commenters, NMFS determined that the short-term 

impact of conducting seismic surveys in the Beaufort 

Sea would result, at worst, in a temporary modification 

in the behavior of bowhead whales and certain other species of cetaceans and pinnipeds. While behavioral modifications may be made by these species to avoid the noise 

associated with the seismic survey, but these behavioral 

changes are expected to have negligible impacts on the 

animals. Therefore, an incidental harassment authorization was issued to BPXA for a one-year period commencing on July 11, 1997. 

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On July 7, 1997, NMFS received a request from the 

California Department of Transportation (CALTRANS) 

for an authorization to take small numbers of Pacific 

harbor seals and possibly California sea lions by harassment incidental to seismic retrofit construction of the 

Richmond-San Rafael Bridge, San Francisco Bay, California. The bridge will be seismically retrofitted to withstand possible future severe earthquakes. As construction in one area of the bridge may potentially result in 

disturbance of pinnipeds hauled out at Castro Rocks, an 

incidental harassment authorization under the MMPA 

was considered necessary. Taking of harbor seals and 

California sea lions could result from disturbance by the 

presence of workers, construction noise, and construction vessel traffic. Disturbance from these activities is 

expected to have only short-term, negligible impacts to 

a small number of harbor seals and sea lions. The potential for such disturbance will be reduced by implementation of proposed work restrictions and mitigation measures to avoid noise during the pupping season. 

After public notice of the application and proposed authorization on September 3, 1997, and after consideration of public comments, NMFS determined that the 

short-term impact of the seismic retrofit construction of 

the Bridge will result, at worst, in the temporary modification in behavior by harbor seals and, possibly, by some 

California sea lions. Although behavioral modifications, 

including seals and sea lions temporarily vacating the haulout site, may be made by these species to avoid visual 

and acoustic disturbance, the construction activities are 

expected to have a negligible impact on the animals. In 

addition, NMFS determined that no take by injury and/ 

or death is likely, and harassment takes will be at the 

lowest level practicable due to incorporation of the mitigation measures mentioned above. Accordingly, on December 16, 1997, NMFS issued a one-year authorization to CALTRANS for these incidental takings. 

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On May 15, 1997, ARCO Alaska requested a one-year 

authorization for the possible harassment of small numbers of several species of marine mammals incidental to 

moving a Concrete Island Drilling System (CIDS) from 

Prudhoe Bay to Camden Bay, Alaska, and drilling an oil 

exploration well at that location during the winter, 1997/ 

1998. On July 15, 1997, NMFS published a notice of 

receipt of the application and proposed authorization. 

A 30-day public comment period was provided on the 

proposed authorization, and many comments were received. Due to the weather window, concern over impacts during the upcoming bowhead whale migration 

period, and other concerns, ARCO proceeded to move 

the CIDS prior to obtaining the incidental harassment 

authorization. A lawuit filed to stop the CIDS movement was unsuccessful and the movement was complete 

by August 18, 1997. The barging of fuel, equipment, 

and supplies was completed before the bowhead migration began; and ARCO negotiated a Cooperation and 

Avoidance Agreement with North Slope residents to avoid 

any unmitigable adverse impact on subsistence needs. 

After movement and supply, the CIDS was shutdown 

until ice conditions were satisfactory for drilling. After 

drilling, the CIDS went into cold weather shutdown. 

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NMFS determined that the short-term impact on marine mammals from the noise of this activity would result, at worst, in a temporary modification in the behavior of certain species of marine mammals. These behavioral changes are expected to have no more than a negligible impact on the animals and to have no unmitigable 

adverse impacts on their availability to Alaska Natives 

for subsistent hunting. Accordingly, on September 25, 

1997, NMFS issued an Incidental Harassment Authorization to ARCO Alaska for the taking of small numbers 

of marine mammals incidental to conducting oil exploration activities during the 1997/98 winter in the Beaufort Sea. 

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On December 30, 1997, after a public review and comment period ending October 18, 1997, NMFS issued 

an Incidental Harassment Authorization to the U.S. Geological Survey (USGS) for the harassment of small numbers of marine mammals incidental to conducting seismic surveys for research purposes in Puget Sound and 

the Strait of Juan de Fuca, Washington. The survey will 

be conducted in March 1998, to collect data on the earthquake hazards of the area. 

Geological features lie obscured beneath water, city, forest, and thick glacial deposits. As a result, investigators 

must use sound waves that are produced by an array of 

air guns to indirectly view these features. Because seismic noise from the survey’s air guns could potentially 

disturb marine mammals (i.e., acoustic harassment), an 

incidental harassment authorization was requested by 

USGS. Through its review, NMFS was able to determine that the short-term impact of conducting deep 

crustal marine seismic surveys would result in only a temporary modification in the behavior of certain species of 

pinnipeds and possibly, some individual cetaceans. Because these behavioral changes are expected to have no 

more than a negligible impact on the animals, the Incidental Harassment Authorization was issued. 

The objectives of the monitoring program will be to 

minimize potential harassment of marine mammals by 

monitoring mandatory safety (shut-down) zones; to document the number of animals of each species present in 

the vicinity of the sound transmissions; and to evaluate 

the reactions of marine mammals to these transmissions. 

In addition to observers on board the seismic vessel, a 

Canadian ship and aerial surveys will be employed to 

assess impacts to marine mammals. 

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The Marine Mammal Protection Act of 1972 (MMPA) 

authorizes NMFS to initiate and implement management actions, such as the development of conservation 

plans, for species or stocks whose survival is in jeopardy. 

The Endangered Species Act (ESA) confers similar management authority to NMFS for endangered and threatened marine species. This chapter summarizes species 

management, as well as research activities undertaken by 

NMFS in 1997 pursuant to the MMPA and ESA. 

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The northern right whale is the world’s most endangered 

large whale species. In the North Atlantic Ocean, there 

are believed to be only about 300 individuals. North 

Atlantic right whales calve and nurse their young in winter off the Southeast United States in the waters of Georgia and Florida waters. In spring and summer, right whales 

feed off the Northeast of the United States’ and Canadian coastlines. This species can be adversely affected by 

many human activities because of its coastal distribution. Like some other large whale species, northern right 

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whales have been very slow to recover from over-exploitation by commercial whaling because of their slow reproductive rates and human-related mortalities. Over half 

of all western North Atlantic right whales bear scars from 

fishing gear of some type, and at least 20% of the mortalities documented between 1970 and 1989 were attributable to vessel strikes. 

Between 1993 and 1997, there was an average of four to 

five documented right whale entanglements in U.S. waters per year, with some animals dragging the gear for 

weeks to months. Because of the large number of whales 

with fishing gear scars, this figure is considered the minimum when estimating the total number of entanglements. Recent mortalities off the Atlantic coast of the 

United States have caused escalating concern for the western North Atlantic population, especially with regard to 

the population’s vulnerability to human interaction. 

Given these threats to right whales, NMFS has intensely 

focused its efforts on reducing the likelihood of an adverse effect from human activities. To reduce the threat 

of vessel interactions (e.g., collisions and disturbance) with 

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right whales, NMFS has taken a number of interagency 

as well as international actions. 

Because of the considerable amount of effort being put 

into the recovery of right whales and other endangered 

large whale species, NMFS augmented its staff at the 

Office of Protected Resources with the addition of a Large 

Whale Recovery Activities Coordinator in 1997. This 

individual will work with other federal agencies, members of the scientific community, as well as personnel 

within NMFS to coordinate recovery efforts for ESAlisted large whale species especially northern right whales. 

The relative scarcity of current and historic sighting 

records from the eastern North Pacific suggests that this 

stock is very close to extinction. Historically, right whales 

occurred across the entire North Pacific north of 55� N. 

Scarce and geographically scattered sightings in the 20th 

century are from as far south as central Baja California 

and the Yellow Sea, and as far north as the Bering Sea 

and the Okhotsk Sea. 

In the North Pacific, right whales were hunted from as 

early as the 1570s through 1980. The International Whaling Commission estimates that 15,451 right whales were 

taken by Japan in the North Pacific between 1840 and 

1909. As a result, North Pacific right whales were rare by 

the end of the 19th century. Although this species has 

been legally protected in the North Pacific and throughout its entire range since 1949 under the Convention for 

the International Regulation of Whaling, it is now known 

that Soviet whalers continued harvesting North Pacific 

right whales until 1980. In addition, North Pacific right 

whales are likely subject to the same human activities 

that result in mortality and injury of North Atlantic right 

whales (e.g., fishing gear entanglement and ship strikes). 

Increased search efforts and reporting of sightings to the 

appropriate investigators are resulting in a better idea of 

specific areas of occurrence and stock identity. Data to 

indicate trends in abundance are scarce, but the paucity 

of sightings strongly suggests there has been little or no 

growth in populations in either the North Pacific or North 

Atlantic. NMFS expects to support population abundance and trend assessment surveys of the populations 

in coming years. 

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NMFS appointed a RecoveryTeam consisting of experts 

on right whales from the private sector, academia, and 

government. A Recovery Plan for the Northern Right 

Whale was approved by NMFS in December 1991. The 

Recovery Plan identifies known and potential factors affecting the northern right whale in both the Atlantic and 

Pacific Oceans, and it also recommends research and 

conservation activities to reduce or eliminate adverse effects to the species. The plan outlines the following objectives toward that goal: 

• identify and protect habitats essential to survival and 

recovery; 

• coordinate federal, state, international, and private efforts to implement recovery efforts; 

• identify and minimize any detrimental effects of directed air and watercraft interactions; 

• identify and/or eliminate sources of human-caused injury or mortality; 

• maximize efforts to free entangled whales and acquire 

scientific information from all specimens, dead or alive; 

and 

• monitor population size and trends in abundance. 

For right whales in the North Pacific Ocean, the stated 

objectives are to: 

• initiate studies to determine the population size and 

monitor trends in abundance; 

• identify and protect habitats essential to survival and 

recovery; 

• collect and analyze information on the areas and seasons where potential conflicts exist between vessel traffic 

and right whales and the type of vessels involved; 

• vigorously enforce whale protection laws; 

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• continue international bans on hunting and other directed lethal take; 

• reduce or eliminate injury and mortality caused by fisheries and fishing gear; and 

• maximize efforts to acquire scientific information from 

dead or stranded right whales. 

The Recovery Plan states that recovery is likely to be slow. 

Even under the best conditions, the northern right whale 

population will take more than 100 years to recover to 

pre-exploitation levels in both oceans. Therefore, as an 

interim goal, the plan seeks to work toward an increase 

in population such that right whales can be “downlisted” 

to threatened status. It recommends that this change in 

listing be considered when: 

• the size of the western North Atlantic population recovers to a level of 6,000 individuals; 

• the population has been increasing steadily over a period of 20 years or more at an average annual net recruitment rate of at least 2% per year; and 

• an effective program is in place to control known right 

whale mortality factors and ensure that deterioration of 

essential habitat is not likely to occur so as to prevent the 

species’ continued increase toward its optimum sustainable population level. 

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NMFS is updating the Northern Right Whale Recovery 

Plan. The updated plan will review progress made in 

implementing the 1991 plan, review information that 

has been gathered since publication of that plan, and 

identify new objectives and recommended recovery actions. Revised recovery actions will likely focus heavily 

on sources of human impact, specifically, ship strikes and 

entanglement. A proposed revised plan, expected by the 

end of 1998, will address both the North Atlantic and 

North Pacific right whale stocks. 

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The ESA provides authority to the Secretary of Commerce to establish teams to review recovery activities and 

to, among other things, provide recommendations to 

NMFS on improving such activities. Two such teams 

have been formed for right whales – one in the southeastern United States and one in the northeastern United 

States. 

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In August 1993, the SEIT was formed. This team currently consists of representatives from the Georgia Department of Natural Resources; the Florida Department 

of Environmental Protection; NMFS Southeast Fisheries Center and Southeast Regional Office; U.S. Navy; 

Marine Mammal Commission; Georgia Ports Authority; Canaveral Port Authority; Glynn County Commission, Glynn County, GA; University of Georgia; U.S. 

Army Corps of Engineers; U.S. Environmental Protection Agency; Port of Fernandina, Fernandina, Florida; 

the U.S. Coast Guard (USCG), and the Jacksonville Port 

Authority. 

Since its inception, the SEIT has met regularly and has 

been active in a number of areas, including the development of an “Early Warning System.” This system involved aircraft surveys and communication systems to 

alert mariners to the seasonal presence of and real-time 

sighting data on right whales in the southeasten calving 

grounds. The central feature of the system has been a 

jointly-funded (NMFS, U.S. Army Corps of Engineers, 

USCG, and the U.S. Navy) aerial survey program designed to obtain accurate, current information on the 

locations of whales. On a number of occasions in recent 

years, aircraft observers were able to contact and divert a 

ship that was on a direct course for a right whale. 

Surveys were initiated in the waters off the Southeast 

Region in fall 1993 and have been continued each year 

since. Survey lines are flown throughout right whale critical habitat, and in surrounding waters. Sighting locations are passed from the aircraft to centralized locations 

operated by the USCG and the Navy. These groups in 

turn relay the information through a number of real­

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time media, including USCG Broadcast Notice to Mariners and NAVTEX (the USCG international communication system). If a survey locates whales, especially 

right whales within a specified distance of a navigational 

channel, vessels are advised to proceed at minimum safe 

operational speeds and keep a sharp lookout for whales. 

The U.S. Navy is the central repository and administrator of sighting location information. This system is continually reviewed and improved upon by the SEIT. 

Members of the SEIT have also implemented a local Notice to Mariners broadcast about right whale calving 

grounds. This notice is broadcast four times daily by the 

USCG on VHF radio, and also is published daily along 

with the tides and weather in regional newspapers, and is 

carried by the Army Corp of Engineers as a part of its 

annually distributed tide charts. The SEIT also recommends to NMFS regarding right whale research in the 

Southeast United States and provides guidance on additional measures to reduce the possibility of ship strikes, 

including development of safe operating procedures for 

large vessels transiting right whale habitat, minimum 

vessel approach distances, and restrictions of hazardous 

fishing gear in right whale calving areas. 

In recognition of their outstanding efforts on behalf of 

the right whale, members of the SEIT received a “Coastal 

America Partnership Award” in September 1997. The 

Coastal America Partnership recognizes federal agencies 

as well as state and local governments and other organizations that develop projects to protect, preserve, and 

restore coastal ecosystems while maintaining a health economic balance. 

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Recovery Plan implementation for right whales and 

humpback whales (Megaptera novaeangliae) has been 

ongoing within NMFS Northeast Region since at least 

December 1990. These efforts were formalized with the 

establishment of the NEIT in August 1994. Team members include representatives from the USCG, the Environmental Protection Agency, NMFS, the Stellwagen 

Bank National Marine Sanctuary, the NewEngland Fisheries Management Council, the Marine Mammal Commission, Canada’s Department of Fisheries and Oceans, 

Massachusetts’ Division of Fisheries and Wildlife, Coastal 

Zone Management Office, and Port Authority. Subgroups were formed to address research needs, reduction 

of mortality due to ship strikes and fishing activities, and 

habitat monitoring. 

The NEIT has focused mostly on efforts to reduce human-related impacts to right whales. It provides recommendations to NMFS regarding ongoing plans for constructing a sewage outfall tunnel in Massachusetts Bay, 

dredge disposal activities in the Bay, restricting hazardous fishing gear in right whale habitats, advising fishermen regarding disentangling whales caught in gear, and 

issuing of permits for proposed aquaculture projects in 

Cape Cod Bay. The Team and its participating agencies 

have also had important roles in the “Early Warning System” aircraft survey and communication system, as well 

as in the recovery of stranded or dead floating whales. 

Using the SEUS aircraft survey program as a model, efforts were initiated in 1997 to develop a similar program 

in Cape Cod Bay (CCB) and the Great South Channel 

(GSC) in late winter and early spring. The program is a 

cooperative effort by NMFS, the USCG, Massachusetts 

Division of Fisheries, the Massachusetts Environmental 

Trust, the Center for Coastal Studies, the U.S. Navy, and 

MASSPORT (the Boston port authority). 

In 1997, surveys were conducted to cover peak right whale 

abundance periods and were flown principally between 

CCB in January and March, and in the GSC between 

April and early July. The 1997 surveys produced more 

than 300 right whale sightings. Sources of information 

for the early warning network include weekly survey 

flights by USCG helicopters, marine mammal lookouts 

posted during USCG vessel operations, and from USCG 

pilots, ship-based sightings by the Center for Coastal 

Studies during their studies of right whale feeding and 

behavior in CCB, or when responding to reports of whale 

entanglements, and sightings from research and other 

ships operated by the NMFS and the State of Massachusetts. 

These sightings are reported to NMFS’ Northeast Fisheries Science Center, where they are plotted via a Geographic Information System (GIS). They are disseminated 

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by an automated facsimile system to cooperators and 

made available to mariners through various media. Information is broadcast 24 hours a day to target shipping 

traffic as well as other marine resource users through established communication channels that include broadcast alerts on NOAA Weather Radio, the USCG broadcast Notice to Mariners, telex updates through NAVTEX, 

and the Army Corps of Engineers Traffic Controllers at 

Cape Cod Canal. Maps with right whale sightings are 

posted on the NMFS Northeast and Southeast Region 

web sites and at the WHALENET web site at: 

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A NMFS Inquiry (telephone) Line also provides information on sighting locations and sends information by 

facsimile to interested callers. 

In addition to vessel strikes and entanglement in fishing 

gear, habitat degradation due to coastal development (e.g., 

discharge or disposal in the marine environment or fishery or mineral management activities), as well as disturbances by vessels such as noise pollution, have been identified as major threats to the right whale population. These 

impacts, among others, are considered to be major indirect threats. The precarious state of the right whale population and its preference for coastal areas strongly suggests that human activity may have a greater impact on 

population growth rates and trends relative to the other 

whale species. 

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In addition to its management and monitoring program, 

NMFS is developing a three to five-year research plan 

that will focus on implementing those Recovery Plan priorities that address serious gaps in our present understanding of right whale biology. 

NMFS has worked with several agencies and institutions 

toward implementation of the Northern Right Whale 

Recovery Plan. The USCG, The U.S. Navy, The Army 

Corps of Engineers, the Center for Coastal Studies, University of Rhode Island, the New England Aquarium, 

the Georgia Department of Natural Resources, and the 

Florida Department of Environmental Protection are 

among those who have already participated or will be 

participating in the following list of studies. 

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Photo-identification, along with associated sight-resight 

methods, has been identified as the best way to monitor 

trends in North Atlantic right whale abundance and life 

history parameters. Maintenance of the catalog and the 

ongoing analysis is central to a broad range of right whale 

science and management goals. 

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Life history and human impact data are obtained from 

stranded and dead floating right whales through collaboration between NMFS, the USCG, the Center for Coastal 

Studies, the New England Aquarium, and others. The 

on-site presence of experienced researchers is assured, as 

well as the maximization of data collection following standardized protocols and the submission of reports, which 

include the cause of injury or death. 

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Genetic analyses have been underway since 1988 to determine or clarify information on taxonomy, matrilines, 

genealogies, and habitat-use patterns of right whales. 

These analyses are helping to provide insights into stock 

definition and genetic variability within a stock. 

The goals of this research are to: assess the population’s 

genetic heterogeneity (variability), identify the number 

of reproductive animals (the genetic-effective population 

size) and their reproductive status, identify social units 

and individual association patterns in each habitat area, 

better understand mating relationships, and identify 

matrilines, the degree of inbreeding, population viability, and other factors essential to management. Recent 

scientific investigations have compared the genetic variability of northern and southern (E. australis) right whales, 

and found the former to be significantly less diverse. This 

work suggests that this might be indicative of inbreeding 

in the population, but no definitive conclusion can be 

reached using current data. Another area with which ge­

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netic analysis may be able to help is in searching for locations where individuals other than calving females and a 

few juveniles overwinter. 

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Radio tags are being used to identify the location of unknown wintering grounds as well as to gain better understanding of habitat use patterns in known high-use 

areas. Studies are ongoing in the Bay of Fundy in fall for 

unknown wintering grounds, and off the coasts of Georgia and Florida in winter and spring to track movements 

in relation to vessel traffic and document the spatial extent of the calving grounds. 

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The North Pacific right whale populations are presumed 

to be very small and are little understood. NMFS expects to support survey efforts in the coming years to 

assess abundance and trends in these populations. 

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A long-term sighting and survey database is currently 

maintained, and newly collected information is added 

on a timely basis. Data products and analyses are provided to collaborating investigators. Priorities for this 

ongoing project in recent years include a review of distribution and demographics of right whales in New England waters and an analysis of estimated mortalities in 

relation to sighting effort. 

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The goals of this project are to determine the physical 

and biological conditions linked with right whale occurrence and habitat-use patterns. Models of the bays’ ecosystems will be merged with those of the GSC area to 

develop a composite characterization of preferred habitat. 

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This project’s goals are to summarize, synthesize, and 

update information to provide a comprehensive picture 

of right whale occurrence in New England waters, and 

describe right whale distribution and habitat use. Central trends will be described as well as any anomalies and 

habitat shifts and movements or connections between 

sub-areas. 

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A series of demographic population models will be used 

to evaluate population status; determine vital rates most 

important in assessing abundance trends; describe the 

population’s potential for growth; its expected fluctuations and its risk of extinction; and to provide guidance 

for population monitoring and other management activities. The models will also help to decide whether or 

not apparently unusual events should be considered natural fluctuations or evidence of worrisome changes in 

population performance. 

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NMFS is required by section 118 of the MMPA to annually publish the List of Fisheries (LOF), which classifies U.S. commercial fisheries into one of three categories based upon the level of marine mammal mortalities 

and serious injuries that occur incidental to those fisheries (see Chapter III. Reducing Interactions Between Marine Mammals and Commercial Fisheries). A notable 

change in the 1998 LOF was the combination of the 

New England inshore and offshore lobster pot fisheries 

into one fishery and the classification change of this fishery from Category III (remote likelihood of serious injury or mortality) to Category I (frequent serious injury 

or mortality). The re-classification was due to entanglement records that indicate that at least 0.2 right whales 

per year are seriously injured or killed incidental to the 

Atlantic lobster pot fishery.These events carry with them 

the ramifications of potential additional requirements, 

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e.g., observer coverage. Because of the current state of 

the northern right whale population, this level of impact 

is considered significant. This classification will continue 

in 1998. 

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In August 1996, NMFS formed the Atlantic Large Whale 

Take Reduction Team to address the incidental take of 

humpback (Megaptera novaeangliae), fin (Balaenoptera 

physalus), minke (Balaenoptera acutorostrata) and northern right whales in the following fisheries: the Gulf of 

Maine/U.S. mid-Atlantic lobster trap/pot fishery, the 

mid-Atlantic coastal gillnet fishery, the southeastern U.S. 

Atlantic shark gillnet fishery, and the Gulf of Maine sinkgillnet fishery. The Team forwarded a non-consensus 

report to NMFS in February 1997. NMFS issued a proposed rule in April 1997 to implement a plan based primarily upon the recommendations within this report. 

Following consideration of public comments on the plan, 

it will be implemented as an interim final rule, with most 

requirements taking effect January 1, 1998. The plan includes a number of measures to address right whale interactions in fishing gear. The proposed rule involved 

substantial reduction of some fishing operations and temporal and geographical restrictions of others. The plan 

contains regulations that focus on reducing the impact 

of fishing interactions on the most critical species, the 

right whale, by ensuring that gear regulated by this plan 

is either removed or significantly restricted in the three 

right whale critical habitats found in U.S. waters: Cape 

Cod Bay, Great South Channel, and the Georgia-Florida 

in the Southeast. However, the intent of the Atlantic 

Large Whale Take Reduction Plan (ALWTRP) is to 

achieve the long-term goals of the MMPA for all large 

whale species addressed by the Team through a combination of gear modifications supplemented by progressive gear research, expanded disentanglement efforts, extensive outreach efforts in key areas, and an expanded 

aircraft survey program. The basic elements of the proposed plan included: 

1) a gear marking system to better determine the source 

of lines found on entangled whales; 

2) the formation of a gear advisory group to identify and 

evaluate gear design features that would reduce entanglement risks for whales; 

3) expanded support for whale disentanglement teams; 

and 

4) a series of time/area closures and/or gear modification 

requirements; and 

5) observer requirements and certain restrictions on the 

use of strikenet gear in otherwise closed areas. NMFS 

published an interim rule in July 1997. A final rule is 

being prepared that will likely be similar to the interim 

rule and is expected to be issued in mid-1998. 

NMFS has also begun to implement other elements of 

the plan by: 

1) establishing a fishing gear advisory group; 

2) conducting research on potential fishing gear modification to determine ways to reduce entanglement and 

facilitate release following entanglement; 

3) developing a fishermen outreach and education program; 

4) expanding the disentanglement network; 

5) hiring a large whale coordinator in Maine (a state in 

which much of the gear restrictions were opposed by the 

fishing community); 

6) continuing and refining the Northeast aircraft survey 

program (EWS); and 

7) implementing time/area closures, gear requirements, 

etc. 

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In May 1996, NMFS established the Atlantic Offshore 

Cetacean Take Reduction Team to address incidental take 

of several marine mammal species in offshore fisheries; 

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primarily the offshore driftnet fishery for swordfish, and 

the longline fishery for tunas. The Team submitted a 

draft Plan to NMFS in November 1996. Among other 

things, the Team proposed various measures to protect 

right whales that primarily involved restrictions or modifications of the drift gillnet fishery. In October 1997, 

NMFS released a draft environmental assessment of the 

proposed rule. Based in part on the Team’s recommendations, the offshore drift gillnet fishery for swordfish, 

shark, and tuna was closed because of the potential for 

interaction with right whales. Rules further promulgating the Team’s plan will probably be issued in 1998 or 

1999. For additonal information about this and other 

take reduction teams, see Chapter III. Reducing Interactions Between Marine Mammals and Commercial Fisheries. 

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In late 1997, NOAA/NMFS, the USCG, and the Marine Mammal Commission began jointly developing a 

proposal for submission to the International Maritime 

Organization (IMO) requesting implementation of a 

mandatory ship reporting system in right whale habitats. The proposal would require all ships greater than 

300 tons, entering essential right whale habitat (including designatied “critical habitat” and adjacent areas frequented by ship traffice and right whales) to report location, speed, and destination to a shore-based authority. 

Critical habitat is defined by the ESA in part as geographical areas containing physical or biological features 

essential to the conservation of a listed species (16 U.S.C. 

1532). All reporting ships would receive in return a message describing the status, distribution, and behavior of 

right whales, along with additional information about 

ways to avoid colliding with whales. Information from 

reporting ships would be compiled in a database as well 

as in GIS format. Thus, the system would provide information on right whales directly to mariners as they entered right whale habitat and provide a means to obtain 

information on ship traffic volume and routes to assist 

in identifying measures to reduce future ship strikes. 

For example, the message going to ships will indicate 

that mariners should not assume that whales will avoid 

oncoming vessels and that lookouts be alert for right 

whales, that mariners should listen for broadcasts reporting recent right whale sighting locations, and advises that 

reduced speeds be used when near whales or traveling in 

critical habitats or during conditions of poor visibility. 

To help convey NMFS’ (NOAA’s) message about the 

necessity to safeguard right whales from vessel strikes, an 

Information Paper was submitted by the U.S. through 

the USCG to the IMO describing the urgent need to 

protect right whales and NMFS’ intent to submit a proposal for a mandatory ship reporting system. A related 

article appeared in the fall 1997 issue of the IMO Newsletter. The proposal is expected to establish a mandatory 

ship reporting system to be presented to the IMO’s Subcommittee on Safety of Navigation in July 1998 in London. NMFS hopes that this plan will help bring the plight 

of the northern right whale to the forefront of the IMO’s 

agenda. 

While the system may not eliminate ship strikes, NMFS 

believes it will reduce the likelihood of such events. The 

proposed reporting system will be relatively inexpensive 

to implement and will raise mariners’ awareness of right 

whales in “real-time” as they enter areas where right whales 

are found. It also will provide much-needed information 

on the frequency and distribution of vessel transits 

through right whale habitat. 

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To help ensure safe navigation in coastal waters of the 

United States, the National Ocean Service (NOS) periodically publishes and updates nautical charts and a series of regional books called Coast Pilots, basic references 

on regional environmental conditions as well as navigation hazards and rules. In U.S. waters, all ship’s captains 

are required to carry the Coast Pilots. Since late 1997, 

NMFS, NOS, and others have been working closely to 

update information printed on nautical charts and Coast 

Pilots regarding right whale critical habitat and regulations about approaching right whales and other protected 

marine species. Coast Pilots covering the entire eastern 

United States have been or will be updated to include 

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information on the status of right whales, the times and 

areas in which they occur, the threats posed to whales by 

ships, as well as advice on measures mariners might take 

to avoid hitting right whales. 

In addition, related language regarding the vulnerability 

of right whales to ship strikes and guidance on how to 

avoid ship strikes has been included in the National Imagery and Mapping Agency’s Notice to Mariners, which 

is updated and published annually. Efforts to ensure that 

these navigational aids are updated to include information on right whales has been a cooperative effort by the 

Northeast and the Southeast Implementation Teams, the 

International Fund for Animal Welfare, the Marine Mammal Commission, and NMFS. 

The Safety of Life at Sea (SOLAS) Convention-driven 

International Safety Management Code requires vessel 

companies and owners to develop a procedure for safety 

of passengers and vessels at sea, which includes environmental protection measures and protocol. NMFS is 

working with the USCG to ensure that the implementing regulations include information regarding vessel operation that is consistent with protective measures for 

right whales and other protected marine species. 

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The Final Recovery Plan for the Northern Right Whale 

calls for establishing a disentanglement program for right 

whales. When whales become entangled in fishing gear, 

judgements must be made as to the efficacy and merits 

of disentanglement. Experience has shown that disentanglement is best undertaken by trained and experienced 

personnel, with appropriate protocols for the procedure 

as well as the associated data collection. Emergency response to marine mammal entanglements involves: 

a) a multi-agency and institution network to locate, monitor, and safely disentangle marine mammals; 

b) development and maintenance of a database for entanglements; providing data access and periodic reports 

to users ; and 

c) development of regional protocols and plans, including outreach to the general public. 

The current disentanglement effort consists of one primary team and field station support in the northern Gulf 

of Maine/Bay of Fundy, central Maine, southern Gulf of 

Maine, and Georgia/Florida. The northern Gulf of 

Maine/Bay of Fundy and Georgia/Florida field stations 

are operational primarily when biologists are conducting seasonal right whale research. The USCG provides 

critical support in monitoring initial entanglement reports and transporting disentanglement personnel to 

events. Although the disentanglement team attempts to 

respond to all legitimate entanglement reports, the priority for response is for any immediately life-threatening 

event of endangered right and humpback whales. 

NMFS is working to expand the disentanglement network, particularly with respect to increasing fishermen 

involvement. Commercial fishermen, in many ways, 

would be ideal participants in the disentanglement network because of their vast experience on the water, knowledge of local fishing gear and practices, and familiarity 

with hazardous working conditions at sea. Fishermen are 

also likely to be operating vessels in areas where entanglements occur. 

Because of this, NMFS asked the Center for Coastal Studies to develop a pilot program of formal large whale disentanglement training for commercial fishermen in the 

state of Maine. Maine fishermen were chosen as the first 

group to have the opportunity to receive this training 

because of their experience with the state’s expansive coastline (approximately 8000 km or 5000 mi), which includes numerous islands and is otherwise difficult for 

NMFS to monitor. 

Through cooperation between NMFS, the Atlantic Large 

Whale Take Reduction Team, lobster zone council representatives, other fisherman, and Maine outreach contacts, a pool of interested fishermen are being identified. 

This pilot program will consist of four training levels, 

which will increase the fishermen’s level of involvement 

with the disentanglement procedures as they progress. 

Training is set to begin in March-April of 1998 (see Chapter XI. Public Education and Outreach Programs). 

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NMFS has also committed its support to expanding the 

Disentanglement Network to provide full-time coverage 

for the entire Gulf of Maine. This involves a permanent 

contact point in Maine to supplement the existing infrastructure operating out of the Center for Coastal Studies 

in Provincetown, Massachusetts. The Center for Coastal 

Studies and NMFS staff are initiating a coordinated plan 

for disentanglement response in the Southeast Region 

modeled after the existing one in the Northeast Region. 

NMFS anticipates that the fishermen training workshops 

conducted in Maine will be a good template for similar 

training in the SEUS and other key areas along the East 

Coast. 

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In cooperation with local and state participants, the 

NMFS’ Southeast and Northeast Fisheries Science Centers coordinate the U.S. marine mammal stranding network, which responds to hundreds of strandings each 

year (see Chapter X. Marine Mammal Health and Stranding Response Program). Standardized protocols specific 

to large whale stranding events have been developed to 

help ensure that the best possible data are collected from 

each event. Because of the critical need for life history 

and human-impacts data on right whales and other species, and the limited opportunities to collect these data, 

information from stranded whales is essential. 

Since 1991, the Northeast and Southeast Region stranding networks have responded to at least 15 right whale 

mortalities. More recently, there was one in Middletown, 

Rhode Island in 1995 and one in Wellfleet, Massachusetts in 1996. Large whale stranding data collected by 

the network participants are essential to understanding 

to what degree fishing gear or other sources of humanrelated mortality were responsible for an animal’s injury 

or death. The protocol and forensic detail in which each 

stranding or entanglement event is investigated is standardized, thus increasing the management value of each 

individual report. NMFS maintains a database on all 

strandings and entanglements. Detailed investigations are 

now conducted on all entangled animals (live or dead) 

and summary reports are prepared that include: USCG 

and disentanglement team reports of the event, fishermen interviews, law enforcement investigation reports, 

stranding network reports and gear analysis by NMFS 

experts. These reports comprise NMFS’ best description of the event and the involvement of fishing gear in 

the animal’s injury or death. Any right whale found floating near or stranded on the coast is necropsied by an 

established team of experts to ensure we get maximum 

scientific value from each dead right whale. 

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Disturbance to whales is identified in the Final Recovery 

Plan for the Northern Right Whale as among the principal human-induced factors impeding recovery of the 

northern right whale. Often where human activities coincide with right whales off the U.S. East Coast, there is 

potential for disturbance of right whales, alteration of 

their behavior, as well as injury or mortality. To minimize vessel disturbance of right whales, NMFS published 

regulations in February 1997 restricting vessel approach 

of right whales. These regulations prohibit all approaches 

within 460 m (500 yds) of any right whale, whether by 

boat, aircraft, or other means. These regulations are consistent with Massachusetts’ approach regulations for right 

whales. 

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Section 7 of the Endangered Species Act (ESA) mandates that federal agencies ensure that any action they 

authorize, fund, or carry out is: 

“not likely to jeopardize the continued existence of 

any endangered species or threatened species or result in the 

destruction or adverse modification of habitat of such species.” 

Federal agencies comply with this requirement through 

an interagency consultation that involves NMFS, the U.S. 

Fish and Wildlife Service (FWS), or both, depending on 

the species affected by the action. Interagency consultations involve formalized procedures that are designed to 

identify the intended and unintended consequences of a 

federal agency’s action; federal actions that are likely to 

adversely affect listed species or designated critical habitat undergo more rigorous evaluations that conclude with 

a “biological opinion.” If the activity is likely to “jeopar­

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dize”, then a “jeopardy” decision is issued. If not, then a 

“non-jeopardy” decision is made. A considerable amount 

of the recovery activities for all endangered and threatened species are implemented through consultations between NMFS and other federal agencies. As a result of 

these consultations, NMFS issues a Biological Opinion 

(BO) on the activity, which indicates whether or not the 

activity is likely to jeopardize the continued existence of 

the species throughout all or a portion of its range and 

provides reasonable and prudent alternatives to the activity.The ESA also requires re-initiation of consultation 

if new information reveals that listed species or critical 

habitat may be affected in a manner, or to an extent, not 

previously considered. 

This section summarizes the significant points of recent 

consultations on Naval operations, fishery management 

plans, and and USCG. 

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In 1996, six right whale deaths were documented in the 

western North Atlantic. Five of the carcasses were either 

recovered or reported in waters adjacent to the SEUS 

right whale critical habitat during calving season. 

Navy facilities adjacent to the critical habitat use offshore 

areas for gunnery exercises, and because several of the 

carcasses were found near a Navy gunnery range, there 

was concern over the possibility that some deaths were 

related to recent Naval activities. Given the serious concern over the status of right whales, the Navy and NMFS 

began convening meetings on a near-continuous basis in 

mid-February 1996. By March 1996, the Navy initiated 

consultation with NMFS and began taking steps to alter 

its operations to minimize impact to right whales. These 

measures include: 

a) instructing all Navy ships entering or leaving port to 

take the shortest route through right whale critical habitat; 

b) altering most Navy ship operations to use moderate 

to slow speeds while in critical habitat; 

c) providing special training in whale identification for 

lookout and bridge watch personnel and directing ship 

officers to stay well clear of whales; 

d) committing to continued participation in regional early 

warning systems; and 

e) moving gunnery and aircraft bombing training sessions at least 50 nm (92 km) from shore. 

Although there was no direct evidence linking the right 

whale deaths to the Navy’s activities, the Navy initiated 

consultation with NMFS in March 1996 on the potential impacts of their gunnery and air-dropped ordnance 

operations in waters off the SEUS. The purpose of this 

consultation was to ensure that the Navy was taking all 

appropriate measures to protect right whales, and to determine, if possible, the cause(s) of death of the whales. 

The scope of the consultation was expanded to include 

all Navy vessel and aircraft activities related to training in 

the consultation area. NMFS issued a “non-jeopardy” 

decision on the BO of Navy activities in May 1997. 

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Over half of the identified right whales have scars indicative of entanglement in fishing gear. Gillnets and lobster 

gear are believed to be the primary gear types in U.S. 

commercial fisheries that entangle large whales. The following activities occurred in the last two years relative to 

fishing practices and large whale mortalities. 

NMFS re-initiated ESA section 7 consultations on the 

Northeast Multispecies Fisheries Management Plan and 

the Lobster Fishery Management Plan. In part, this was 

done because of a letter sent by the Northeast Implementation Team regarding the Great South Channel 

(GSC) right whale critical habitat, asking that the area 

be closed during right whale migration periods. As advised by the Atlantic Large Whale Take Reduction Team, 

NMFS required the following reasonable and prudent 

alternatives: 

1) prohibition of multispecies gear and lobster gear from 

April 1 through June 30, unless it is designed to eliminate entanglement; 

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2) coordination of similar restrictions in Cape Cod Bay 

(CCB) from February through May of each year; and 

3) other provisions. 

NMFS is exploring an option with the New England 

Fishery Management Council to implement the restrictions under the Magnuson-Stevens Fishery Management 

and Conservation Act (62 FR 15425-15428). If the 

Council does not approve this action, NMFS plans to 

work under MMPA and ESA emergency provisions. 

NMFS will also work with the fishers to modify gear to 

reduce the likelihood of entanglement and to facilitate 

disentanglement. NMFS is examining a dynamic management system in association with the Early Warning 

System, as well as alternative fishing practices that mitigate entanglement. 

������������������������� In December 1996, a 

BO was issued following a consultation on fishing conducted under the American Lobster Fishery Management 

Plan (FMP). The BO concluded that operations under 

the current FMP, including anticipated management actions over the next six months, were likely to jeopardize 

the continued existence of the northern right whale, but 

were not likely to jeopardize any other endangered or 

threatened species under NMFS jurisdiction. The reasonable and prudent alternatives identified in the opinion lead to the publication of an emergency regulation 

under the authority of the MMPA (62 FR 16108-16112) 

restricting the use of lobster pot gear in CCB critical 

habitat from April 1, 1997 to May 15, 1997, as well as in 

the GSC critical habitat from April 1, 1997 to June 30, 

1997. These closures will remain in effect until gear modifications or alternative fishing practices are approved that 

minimize the risk of entanglement or reduce the likelihood that an entanglement will result in serious injury 

or mortality. 

The BO also tasked NMFS with analyzing fishing effort 

in relation to whale distribution. NMFS’ analysis, in coordination with the states, has begun to assess fishing 

effort, but models to predict shifts in effort have not yet 

been developed. This alternative is a long-term measure, 

which, in combination with the closures as short-term 

measures, and with an expanded disentanglement response network capability, brought the impact of the fishery to below the jeopardy threshold for right whales. 

Under the Atlantic Coastal Cooperative Fishery Conservation and Management Act, NMFS is currently working with the Atlantic States Marine Fisheries Commission to develop a new management strategy for the lobster fishery. However, it is not known when this plan will 

become effective. 

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Consultation was undertaken on fishing conducted under the Multispecies FMP. Like the Atlantic Lobster FMP 

BO, this BO concluded that actions under this FMP 

were likely to jeopardize the continued existence of the 

northern right whale, but were not likely to jeopardize 

any other endangered species under NMFS jurisdiction. 

The alternatives included short-term measures to prevent jeopardizing right whales, with long-term solutions 

expected later. As a result of the alternatives identified in 

the opinion, NMFS worked with the New England Fishery Management Council to develop regulations under 

the authority of the Magnuson-Stevens Fishery Management and Conservation Act (62 FR 15425-15428). The 

regulations closed federal waters to multispecies gillnet 

gear in parts of the following right whale critical habitat 

areas: CCB from March 27, 1997 to May 15, 1997, and 

from January 1 to May 15, in subsequent years; and the 

GSC from April 1 to June 30, annually. 

����������������������������������� The Atlantic Pelagic Fishery for swordfish, tuna, and shark was reviewed 

under an intra-agency consultation between NMFS’ Offices of Sustainable Fisheries and Protected Resources to 

address the potential for right whale entanglement in gear 

used in these fisheries. The resulting BO concluded that 

continued operation of the driftnet component for swordfish, tuna, and shark was likely to jeopardize the continued existence of the right whale, primarily due to the 

southeastern Atlantic gillnet fishery for shark which occurs when right whales are present in SEUS right whale 

critical habitat. For example, one report potentially linking a right whale mortality to the shark driftnet fishery 

occurred off Florida in February of 1994. In addition, 

the marks on a freshly wounded right whale calf observed 

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off the coast of Florida during the same time-frame were 

consistent with gillnet gear, and the shark fishery was the 

only gillnet fishery operating in the area at the time. 

Therefore, one of the primary alternatives was closure of 

shark drift net operations in this area. In another incident, in July 1993, a right whale was observed entangled 

in a swordfish driftnet in the NEUS. This animal was 

entangled in lobster gear at the same time. However, the 

BO concluded that the probability of an interaction with 

this fishery in the offshore area, where the Northeast segment of this fishery generally operates, is remote since 

right whale occurrence in these areas is infrequent. 

The BO recommended closure of the winter fishery for 

swordfish, tuna, and sharks to protect right whales. Other 

recommendations included educational workshops for 

fishermen, implementation of a limited access system, 

and 100% observer coverage (a single observed right 

whale take would close the fishery). This led to an emergency closure of the fishery from December 1996 to June 

1997. The closure was subsequently extended for six 

months. NMFS issued an amended opinion in August 

1997 to evaluate the impacts of this fishery on endangered and threatened species. This recommended closure of the mid-Atlantic (winter) fishery for swordfish, 

tuna, and shark. NMFS issued a rule extending the closure, under authority of the ESA, to August 1998. NMFS 

is considering further measures to limit this fishery. 

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NMFS and the USCG have cooperated informally for 

many years on a range of marine protected species issues. 

For example, USCG ship and aircraft operators have 

provided reports of at least 12 “floaters” or dead whales 

since 1993. USCG vessels have also transported researchers and disentanglement teams to stranded and entangled 

whales, and USCG vessels and aircraft have been deployed to photo-document floaters at sea. The USCG 

has been an active participant in regional recovery plan 

implementation teams and has contributed to aircraft 

surveillance and sighting location communication systems. 

On September 15, 1995, NMFS issued a BO on USCG 

Vessel and Aircraft Operations. On July 22, 1996, NMFS 

issued a second BO on these operations because of a suspected whale strike by a USCG vessel shortly after the 

first BO was issued. Those BO recommended ten major 

actions (as either reasonable and prudent alternatives or 

conservation recommendations) that the USCG could 

take to avoid the likelihood of its vessel operations jeopardizing the continued existence of the northern right 

whale. In compliance with the reasonable and prudent 

alternatives which, if enacted, would avoid the likelihood 

of jeopardizing the continued existence of the northern 

right whale, the USCG posts trained, dedicated lookouts on vessels, issues speed guidance for USCG vessels, 

issues approach guidance for USCG vessels, and provides information on threatened and endangered species 

to commercial and recreational vessel operators. 

The following are significant measures put forth by both 

the 1995 and 1996 opinions, considered necessary to 

ensure that USCG vessel operations were not likely to 

jeopardize the north Atlantic right whale: 

1) When and where possible, USCG vessels should avoid 

transiting right whale habitats and maintain minimum 

distances of 460 m (500 yd) from right whales. 

2) All USCG vessels must post dedicated lookouts during all transits within 36.8 km (20 nm) of shore in addition to posting lookouts during transits in all right whale 

high-use areas. 

3) All dedicated lookouts must have completed a standardized marine mammal training program as a part of 

USCG qualification criteria for bridge watch standers. 

4) USCG will broadcast right whale sightings to advise 

mariners to operate at the slowest safe speed, exercise caution, and keep a watch for right whales. 

5) From mid-December through March in the SEUS, 

broadcasts reporting right whale sightings should be transmitted as quickly as possible over all practicable means 

to as wide a distribution of vessels possible. The message 

should advise mariners within 27.5 km (15 nm) of the 

sighting to operate at the slowest safe speed, exercise caution, and keep a watch for right whales. 

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6) The USCG should continue its active participation 

in regional recovery plan implementation teams and provide support for aerial surveys during periods of high use 

in the different regions. 

7) To avoid collisions with endangered whales, the USCG 

must provide information to commercial and recreational 

vessel operators (including publications commonly used 

by U.S. mariners for voyage planning purposes) with 

information on identifying whales, what the operator can 

do to avoid causing them harm, critical habitat and highuse areas, and regulations applicable to the protection of 

right whales. All vessel operators, including USCG, must 

be instructed to report all collisions or sightings of dead 

right whales immediately. 

The USCG once again entered into consultation following the July 1997 strike of a humpback whale off New 

England. That consultation and preparation of a BO is 

underway and is expected to be issued in the summer of 

1998. 

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On June 7, 1994, Green World, an environmental activist organization, initiated litigation against the USCG 

alleging that their vessels had struck at least two northern 

right whales and that such “takings” of the whales and 

other USCG activities were illegal under Marine Mammal Protection Act (MMPA), Endangered Species Act 

(ESA), National Environmental Policy Act (NEPA), and 

the Whaling Convention Act. 

On May 2, 1995, the court issued a memorandum and 

order, granting, in part, plaintiff’s request for summary 

judgment. The court ordered the USCG to consult with 

NMFS under section 7 of the ESA, to apply to NMFS 

for an authorization under the MMPA, and to prepare 

an environmental assessment under NEPA. The court 

declined to issue a preliminary injunction. On September 15, 1995, NMFS issued a biological opinion evaluating the impact of Coast Guard operations along the 

Atlantic coast. On October 9, 1995, a USCG vessel 

struck another whale, believed to have been a humpback 

whale. 

On June 19, 1996, the court granted plaintiff’s motion 

to amend his original complaint, and an amended complaint was filed on June 21, 1996, adding the Fund for 

Animals as an additional plaintiff, officials in the Department of Commerce, NOAA, and NMFS as additional defendants, and a variety of new claims. The revised claims included allegations that the government 

failed to take steps to conserve right whales and other 

large whales, and in particular, failed to protect whales 

from vessel collisions and interactions with fishing gear. 

At the hearing on June 19, 1996, the court also granted 

plaintiffs’ discovery request, requiring the government 

to produce numerous documents and make certain witnesses available for depositions. In addition, the court 

indicated its interest in establishing a schedule for completing various administrative actions such as the issuance of another BO evaluating the impact of USCG operations on right whales, the classificiation of the lobster 

fishery under the MMPA, the creation of a Large Whale 

Take ReductionTeam, and the issuance of a proposed 

rule to restrict approaches to right whales. In response, 

the government filed a scheduling order and status report indicating its timetable for completing these actions. 

On August 30, 1996, the plaintiffs filed a motion for 

preliminary injunction alleging that the government failed 

to promulgate a take reduction plan for large whales in a 

timely manner. The government opposed this motion 

and indicated that NMFS was committed to issuing this 

plan according to a specified schedule with the proposed 

plan to be issued by April 1, 1997, and the final plan to 

be issued by July 15, 1997. At the hearing on this motion, the court denied the request for preliminary injunction. In related litigation, the court issued a memorandum and order requiring the Commonwealth of Massachusetts to apply to NMFS for an incidental take permit and small take authorization, and to develop a proposal to eliminate or restrict the use of fixed fishing gear 

in Massachusetts’ coastal waters designated as critical 

habitat for the northern right whale (Strahan v. Coxe, 

No. 95-10927-DPW). 

The discovery phase of the litigation against the U.S. 

government ended in January 1997. Cross-motions for 

summary judgment were filed on March 7, 1997, re­

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sponse briefs were filed on March 24, 1997, and reply 

briefs were filed on April 2, 1997. Oral argument was 

scheduled for May 7, 1997. On May 20, 1997, the judge 

assigned to the case issued an order and memorandum 

granting full summary judgment to the government. On 

November 3, 1997, the plaintiff appealed the decision to 

the U.S. Circuit Court for the First Circuit. 

The original plaintiff was not represented by legal counsel in the original litigation against the USCG although 

the law firm of Foley, Hoag and Eliot represented original plaintiff and the Fund for Animals in the litigation 

resulting from the amended complaint. The law firm 

withdrew from the case following the judge’s decision on 

May 20, 1997. The plaintiffs are representing themselves 

in the appeal litigation. 

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Steller sea lion distribution extends along the North Pacific Ocean rim from the Kuril Islands and Okhotsk Sea 

and south along the North American coast to California, with centers of abundance and distribution in the 

Gulf of Alaska and Aleutian Islands, respectively. Their 

numbers have been declining precipitously over the last 

20 years. By the mid-1980s, it became clear that Steller 

sea lions were in serious trouble. As a result, the species 

was listed throughout its range as threatened pursuant to 

the ESA. Although specific causes of the decline remain 

unknown, possibilities include disease, environment perturbations (which may influence the quality and quantity of prey), fisheries impacts (including the indirect effect of reducing prey availability), or other causes. 

Steller sea lion researchers and resource managers alike 

continue their efforts today to delineate causes for the 

decline and to determine effective management tools for 

their recovery. Currents progress toward these goals is 

discussed below. 

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The Alaska population, that numbered close to 157,000 

nonpups in the 1970s, declined to less than 69,100 

nonpups by 1989, a decline of over 60%. Because of 

this precipitous decline in abundance, the species was 

listed as threatened throughout its range in 1990. NMFS 

determined, at the time of the listing, that there was insufficient information available to consider animals in 

different geographic regions as separate populations. 

Available data on population trends indicate that the western population segment of Steller sea lions is in danger of 

extinction throughout all or a significant part of its range. 

This population had exhibited a precipitous, large population decline at the time that the Steller sea lion was 

listed as a threatened species in 1990 and has continued 

to decline since the listing. However, analysis subsequent 

to the original listing indicated that two distinct populations are represented within the different regions. 

The eastern population segment has exhibited a relatively 

stable population trend for the last 15 years. However, 

the large decline of the overall U.S. population threatens 

the continued existence of the entire species. Since the 

1990 listing, NMFS and the Alaska Department of Fish 

and Game (ADFG) have conducted monitoring surveys 

that indicate that the decline of Steller sea lions has continued throughout most of Alaska. However, NMFS believes that because the underlying causes of the decline 

remain unknown, they are largely unpredictable. Bases 

on this information, on May 5, 1997, NMFS published 

the final rule to reclassify Steller sea lions as two distinct 

population segments under the Endangered Species Act 

(ESA) (62 FR 24345), designating the western population (west of 144�W. long) as endangered and maintaining the eastern population (east of 144�W. long) as threatened. 

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On February 7, 1996, NMFS and the U.S. Fish and 

Wildlife Service (FWS) published a policy clarifying its 

interpretation of the phrase “distinct population segment 

of any species of vertebrate fish or wildlife” for the purposes of listing, delisting, and reclassifying species under 

the ESA (61 FR 4722). 

NMFS used the criteria in this policy to assess the presence of distinct population segments of Steller sea lions. 

The policy outlines the following three elements to be 

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considered in deciding the status of a possible distinct 

population segment as endangered or threatened under 

the ESA: 

1) discreteness of the population segment in relation to 

the remainder of the species to which it belongs; 

2) significance of the population segment to the species 

to which it belongs; and 

3) population segment’s conservation status in relation 

to the MMPA’s standards for listing. 

Discreteness: A population segment of a vertebrate species may be considered discrete if it satisfies either one of 

the following conditions: (a) it is markedly separated 

from other populations of the same taxon as a consequence of physical, physiological, ecological, or behavioral factors (quantitative measures of genetic or morphological discontinuity may provide evidence of this 

separation); or (b) international governmental boundaries exist wherein significant differences in control of 

exploitation, management of habitat, conservation status, or regulatory mechanisms. 

The former criterion is particularly relevant for Steller 

sea lions. Genetic studies provide strong evidence that 

discrete population segments of Steller sea lions exist. 

Tagging and branding studies provide further evidence 

that the breeding behavior of Steller sea lions probably 

limits opportunities for genetic mixing among rookeries, even though Steller sea lions have been documented 

to travel large distances during the non-breedings season. This apparent natal site fidelity not only reduces 

genetic mixing among rookeries, but also makes it less 

likely that declining rookeries will be bolstered by recruitment from other rookeries. Satellite telemetry studies also provide evidence of “homing” behavior in Steller 

sea lions. Studies have shown that, for the most part, sea 

lions forage from a central place (either near a rookery or 

haulout) and return to that place at the end of a foraging 

trip, which may vary in duration from hours to months. 

Population trend data provide further evidence of separation into two population segments. The Steller sea 

lion numbers east of Cape Suckling (with the exception 

of the portion in southern California) have remained 

stable since the 1970s, whereas the numbers to the west 

have declined dramatically. It is also worth noting that 

the only break in the distribution of Steller sea lions along 

the Alaskan coast occurs in the Yakutat area, near the 

longitudinal border thought to delineate the western and 

eastern population segments. 

Research findings also suggest that, based on an evaluation of distribution, population response, phenotypic, 

and genotypic data, Steller sea lions should be managed 

as two discrete populations, with the separation point at 

about 144° W. long. 

Significance: If a population segment is considered discrete under one or more of the above conditions, its biological and ecological significance should then be considered independent of any others. In carrying out this 

examination, NMFS considered available scientific evidence of the discrete population segment’s importance 

to the taxon to which it belongs. This consideration 

included, but was not limited to, the following: 

a) persistence of the discrete population segment in an 

ecological setting unusual or unique for this taxon; 

b) evidence that loss of the discrete population segment 

would result in a significant gap in the range of a taxon; 

c) evidence that the discrete population segment represents the only surviving natural occurrence of a taxon 

that may be more abundant elsewhere as an introduced 

population outside its historic range; or 

d) evidence that the discrete population segment differs 

markedly from other populations of the species in its 

genetic characteristics. 

Because precise circumstances are likely to vary considerably from case to case, it is not possible to describe 

prospectively all the classes of information that might 

bear on the biological and ecological importance of a 

discrete population segment. 

In the case of Steller sea lions, the eastern and western 

population segments (including those in Russian), make 

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up the entire range of the species. Extinction of either 

population segment would represent a substantial loss to 

the ecological and genetic diversity of the species as a 

whole. The importance of each of the population segments indicates that the significance criterion of the policy 

is satisfied. 

Status: If a population segment is discrete and significant (i.e., it is a distinct population segment), its evaluation for endangered or threatened status will be based on 

the ESA definition of those terms and, primarily, a review of the factors enumerated in ESA section 4(a) for 

determining whether a species is endangered or threatened. These factors, as they apply to the western and 

eastern Steller sea lions population segments, were reviewed during the process by which the final determination was made for reclassifying Steller sea lions. 

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The Steller Sea Lion Recovery Team developed a plan to 

review components of the Steller Sea Lion Recovery Program and rank future research priorities. In this regard, 

a series of workshops have been planned to examine four 

subject areas and are as follows: 

1) behavior patterns at haulout sites and rookeries; 

2) satellite telemetry; 

3) physiology; and 

4) food and feeding ecology. 

Among other things, the workshops are intended to evaluate research hypotheses and methodologies, evaluate 

whether ongoing projects are likely to address proposed 

hypotheses, evaluate how ongoing studies complement 

one another, identify needs for coordination among related studies, and provide a basis for updating the Recovery Plan. The first two in the series were held in December 1997. 

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NMFS, the Alaska Department of Fish and Game, the 

North Pacific Universities Marine Mammal Research 

Consortium, and others have developed a cooperative 

research program to monitor population trends and elucidate the cause or causes of the Steller sea lion decline. 

International cooperative efforts, particularly with Russia and Japan, are also in place. For more information 

about some of these international programs, see Chapter 

XII. International Programs and Activities. 

In 1997, Congress appropriated funding to the National 

Fish and Wildlife Foundation (NFWF) for Steller sea 

lion research at the Alaska SeaLife Center (ASLC) in 

Seward. This project is one in a series of projects awarded 

in 1997 through a cooperative process established by 

NOAA and NFWF in 1993. 

In carrying out this directive, NFWF, in cooperation with 

NOAA and the ASLC, are in the process of identifying 

priority needs for ASLC conservation efforts regarding 

Steller sea lions. Correspondence amongst the cooperating entities began in December 1997. 

Ongoing since the original listing of the Steller sea lion 

in 1990, NMFS and ADFG have conducted subadult/ 

adult and pup surveys to routinely assess the Steller sea 

lion populations. Results of these population assessment 

surveys are published routinely as part of the NOAA Technical Memorandum series on Steller sea lion abundance 

estimates. In addition, the 1997 aerial and land-based 

survey results were presented to the North Pacific Fisheries Management Council in September 1997. 

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With regard to proposed federal actions that may affect 

Steller sea lions, the ESA section 7 consultation process 

continues to be an important part of the NMFS Recovery Program. 

Several consultations were addressed in Alaska regarding 

Steller sea lions in 1997: 

1) NMFS has been consulting with the Federal Highway Administration regarding a proposed road from Juneau that could have serious impacts on a Steller sea lion 

haulout listed as critical habitat. 

2) In December 1997, the North Pacific Fishery Management Council proposed a 60% increase in the 1998 

total allowable catch (TAC) for the combined Western 

and Central Regulatory Areas of the Gulf of Alaska 

(GOA) based on a comparable increase in the biomass of 

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groundfish. As a result of the proposal, which had not 

been considered in a previous biological opinion, NMFS 

reinitiated consultation, pursuant to the ESA, regarding 

the effects of the Fishery Management Plan for the Gulf 

of Alaska Groundfish Fishery and the effects of the 1998 

TAC specifications upon the endangered western population of Steller sea lions. 

After reviewing the best scientific and commercial information available on the current status of Steller sea lions 

and groundfish in Alaska, the environmental baseline for 

the action area, and the effects of the 1998 GOA fishery, 

NMFS concluded that the TAC increase is not likely to 

jeopardize the continued existence of the western population of Steller sea lions and is not likely to destroy or 

adversely modify designated critical habitat for the species in Alaska in 1998. NMFS Alaska Region intends to 

reinitiate ESA section 7 consultation for the fishery in 

1999 and in the near future. 

3) NMFS has begun consultation regarding a proposed 

Kodiak rocket launch site, which may have effects on a 

nearby Steller sea lion haulout; and 

In the past, these federal agencies had not consulted with 

NMFS during land transfers, and thus, some critical habi­

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tat sites for Steller sea lions passed out of federal jurisdiction without any consultation with NMFS. 

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NMFS conducted an aerial survey on June 10-14, 1997 

in the central and western Gulf of Alaska and the eastern 

Aleutian Islands. The 1997 survey included rookery and 

haulout sites from Outer Island off the Kenai Peninsula 

to the Umnak Island region. An Alaska-wide aerial survey for Steller sea lions was not scheduled for 1997 (since 

1992, aerial surveys have been on an alternate-year schedule, see Figure 1, page 83). However, protocols and methods were the same as for previous June aerial surveys. 

Numbers of nonpups at rookery and haulout trend sites 

in the above mentioned three-region area declined by 

13.9% since 1994 (12,196 down to 10,505) and 10.3% 

since June 1996 (11,713 down to 10,505). The decline 

in the same regions from 1994 to 1996 was 4.0%. The 

greatest relative declines were in the central Gulf of Alaska 

(Kenai Peninsula to the Semidi Islands), a region where 

nonpup numbers have declined in each survey since 1989. 

Numbers also declined at trend sites in the western Gulf 

of Alaska and in the eastern Aleutian Islands. The decrease in numbers in the eastern Aleutian Islands from 

1996 to 1997 (13.2%) was particularly notable because 

it came after a period of stability or slightly increasing 

numbers since 1990. 

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Considering all sites surveyed each year since 1994 (approximately 50% more animals than at trend sites only), 

the number of nonpups remained stable in the western 

Gulf and eastern Aleutian Islands (10,858 in 1994, 

11,034 in 1996, 11,080 in 1997). 

The most recent trend site counts/aerial surveys (using 

protocols similar to past summer surveys) conducted by 

NMFS and ADFG in the area from Southeast Alaska 

westward through Attu Island in the western Aleutian 

Islands took place in 1996. An overall decrease of 7.8% 

(from 32,930 to 30,348) since 1994 was observed in 

adult and juvenile numbers at trend sites in Alaska (see 

Figure 1, page 83). This was similar to the decline (5.5%) 

observed between 1992 and 1994. 

Between 1994 and 1996, sea lion numbers have decreased 

in Southeast Alaska (7.2%, from 8,811 to 8,181 adult 

and juvenile animals) and in the Gulf of Alaska (17.6 % 

from 11,871 to 9,782), but not in the Aleutian Islands as 

a whole. The numbers went up 1.1%, from 12,248 to 

12,385. Kenai-Kiska area trend site sea lion numbers 

decreased by 4.6% (from 18,713 to 17,847). 

NMFS counted Steller sea lion pups at the following 

eight rookeries in the Aleutian Islands during June 24-

July 7, 1997: Attu, Agattu (two rookeries), Buldir, 

Kasatochi, Seguam, Bogoslof, and Ugamak Islands. 

ADFG counted pups at the following three rookeries in 

Southeast Alaska during June 29-July 7: Forrester Island, 

Hazy Islands, and White Sisters. These were all beach 

counts (also called “drive” or “spook” counts), which required driving most nonpups from the rookery beach. 

NMFS and ADFG also made cliff counts of pups (viewing from overlooks with no disturbance to the animals) 

at three rookeries in the central and eastern Gulf of Alaska: 

Marmot Island (NMFS), Sugarloaf Island (ADFG), and 

Fish (Lewis) Island (ADFG). 

The four rookeries on Attu, Agattu, and Buldir Islands 

in the western Aleutians had not been counted previously by NMFS, thus there are no comparable data for 

analysis. The most recent previous counts in the central 

Aleutians were in 1994. Pup numbers increased by 25 % 

at Kasatochi from 1994-1997, and a significance increase 

in pup numbers at Steller sea lions was not observed. 

Pup numbers at Bogoslof and Ugamak Islands were approximately stable from 1994/1995 to 1997, although 

the count at Ugamak in 1996 was greater by more than 

100 pups. Numbers of pups at Forrester Island have 

been stable for several years. Numbers at the two other 

rookeries in Southeast Alaska, and for Southeast Alaska 

in general, continue to increase. Total pup numbers for 

the Southeast rookeries increased by 10% from 

1994-1997 and 12% from 1996-1997. 

Increases in pup numbers were documented at the western Gulf of Alaska trend site on Atkins Island (13.0% 

from 324 to 366) and at the eastern Aleutian site on 

Ugamak Island (23.0% from 574 to 706) between 1994 

and 1996 as well. However, if one examines the percent 

changes in numbers within the range of the western Steller 

sea lion population (Gulf of Alaska, Aleutian Islands and 

Bering Sea) from 1992-96, there are clearly declines in 

all areas (see Figure 2, page 84). Pup production in the 

central Gulf of Alaska declined by 49% between 1991-92 

and 1996. Pup production in the eastern and western 

Gulf of Alaska declined by 52% and approximately 25%, 

respectively, between 1992 and 1996. 

California experienced a large decline in Steller sea lion 

numbers prior to 1980. In 1995, NMFS estimated a 

greater than 50% decline between about 1950 and 1980. 

Some of the available data indicate that a northward shift 

in the Steller sea lion range may be occurring, which may 

exacerbate the decline at southern rookeries. Steller sea 

lion counts in California have been relatively stable since 

1980 (1980 count was 982), although counts declined 

19% from 1990-94 (from 1,123 animals to 915). 

Steller sea lion adult/juvenile counts at Oregon trend sites 

show a relatively large increase from 1990-94 (from 2,005 

to 2,696). This may be at least partially due to improved 

counting techniques. Steller sea lion adult/juvenile counts 

in Southeast Alaska increased approximately 8% from 

1992 to 1996 (from 7,558 to 8,181); however, pup counts 

decreased by about 10% (from a mean of 1,388 in 1992 

to a mean of 1,238 in 1996). 

Through a cooperative effort between NMFS, FWS, 

United States Geological Survey, University of Alaska, 

Fairbanks, and the Aleutians East Borough, scientists 

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conducted hydroacoustic-midwater trawl surveys for 

Steller sea lion prey at three sites in Alaskan waters during June/July 1996 and March 1997. The areas of operation included the Ugamak, Atkins, and Marmot rookeries and waters surrounding these sites. The principle 

objectives of these cruises were as follows: 

1) to assess temporal and spatial differences in prey availability near Ugamak, Atkins, and Marmot Islands; and 

2) to track instrumented juvenile sea lions while conducting hydroacoustics in tracking area. 

A total of 527 km (316 mi) of transects were completed 

as part of the basic survey. Strong “echo sign” was rarely 

seen during the day, though distinct layers of zooplankton and fish were observed after 1:00 a.m.-2:00 a.m. Preliminary biomass estimates suggest that midwater biomass was greatest at Ugamak Island and declined to the 

east. Thirteen midwater tows were conducted to determine the species composition of the identified echo sign. 

One longline set was completed in rough bottom near 

each rookery to sample large fish and their prey. A sea 

lion “young-of-the-year” was successfully tracked, and it 

appeared to alternate between dive bouts of 10-15 minute 

in duration, and surface intervals of 5-10 minutes in 

duration when away from the haulout. Given the long 

periods of diving and the presence of prey in the area, it 

is probably reasonable to conclude the animal was actively foraging. 

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During June and July 1997, a total of 119 pups were 

captured and flipper tagged at five rookeries in the Aleutian Islands. Measurements of mass, standard length, 

axillary girth, and flipper width were obtained from each 

of these pups. Blood was drawn from 45 of the pups, 

and genetic samples were taken from 30. 

Pups at Ugamak Island seemed generally lighter for the 

weighing date than previous years at that site. Pup weights 

at other sites were within normal ranges. Pups generally 

appeared normal and healthy, although four starving pups 

were observed at Ugamak (a site with 244 pups), which 

was a higher frequency than usual. Nine of the ten pups 

from which blood was drawn at this Ugamak site had 

not fed recently (this also occurred more often than in 

the past). 

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In conjunction with the listing change, NMFS indicated 

that it was taking steps to reassess the effectiveness of 

existing protective measures. Given the current understanding of the sea lion/fishery prey interactions, additional research is warranted prior to establishing revised 

management actions. 

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NMFS organized a workshop of outside experts to design an experiment for assessing the efficacy of closure 

zones to optimally benefit Steller sea lions without unnecessarily restricting commercial fishing fleets. An experimental design workshop was convened at the NMFS 

National Marine Mammal Laboratory (NMML), Alaska 

Fisheries Science Center (AFSC) in Seattle, Washington 

on May 6-7, 1997. The objectives of this workshop were: 

1) to present to a panel of non-NMFS scientists, a review of Steller sea lion population dynamics and foraging ecology, an overview of current state and federal protective measures, and relevant fisheries; and 2) to request 

advice from this panel on experimental designs to test 

the efficacy of the no-trawl fishery exclusion zones, which 

were established around major Steller sea lion rookeries 

in Alaska in 1991-1993. 

Presently, members of the NMFS staff at the ASFC are 

working on expanding the panel’s recommendations and 

are developing specific experimental designs based on 

these recommendations. A draft plan is expected to be 

completed within the next several months. When that 

plan is available, NMFS will reconvene the panel to review and comment on the plan. It will then be distributed to interested parties in the scientific, fishing, and 

environmental communities, as well as to other governmental agencies, for information and comment. 

NMML’s intention is to have an experimental design in 

place and to request funds that will allow work to begin 

in FY1999 or soon thereafter. NMFS continues to con­

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sider other management options including restrictions 

on gear types, reductions in allowable catches, and modifications to temporal and spatial allocations. Additional 

research findings on Steller sea lions can be found in the 

annual reports of the Alaska Department of Fish and 

Game and the North Pacific Universities Marine Mammal Research Program. 

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The range of the Gulf of Maine harbor porpoise extends 

from the Bay of Fundy, Canada, to the southern border 

of North Carolina. NMFS concluded that the New England, Mid-Atlantic, and Canadian gillnet fisheries incidentally take harbor porpoise at levels that are above the 

Potential Biological Removal (PBR) level for this stock 

(62 FR 3005, January 21, 1997). The best available information at the time of the proposed ESA listing indicated that the bycatch of harbor porpoise had to be reduced by more than 50% if the Gulf of Maine harbor 

porpoise stock was to be sustained. Despite fishery management measures enacted since 1994 to reduce interactions and incidental mortality, harbor porpoise bycatch 

rates have continued at a high level in the Gulf of Maine 

(GOM). 

Harbor porpoise are especially vulnerable to capture in 

gillnets because of the animal’s small size, and because 

harbor porpoise tend to feed in the same areas that are 

fished by the gillnet fleet. The true scope of this management dilemma is easily recognized when one considers 

that the average yearly take of harbor porpoise in commercial fisheries in U.S. waters from 1990 to 1995 is 

estimated to be 1,834 animals, and in 1996, the take was 

1,511 from the New England and Mid-Atlantic gillnet 

fisheries alone. 

This mortality rate exceeds the calculated PBR level for 

the GOM harbor porpoise, and scientists, managers, and 

the public have expressed concern that the stock may 

not be able to sustain the current overall highlevel of incidental bycatch in the Gulf of Maine and Mid-Atlantic 

sink gillnet fisheries. 

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NMFS, the fishing community, and the NEFMC have 

been exploring the potential of mitigating incidental 

bycatch of harbor porpoises in gillnets by using active 

acoustic alarms. These devices have shown promise as a 

marine mammal bycatch reduction measure with varying success rates in both controlled scientific experimentation and experimental fisheries. However, scientists 

note that experimental results need to be viewed with 

caution when extrapolating to geographic areas or times 

of year other than those investigated within the experiment. Harbor porpoise may respond differently seasonally, between geographic areas, or with differing oceanographic conditions. 

In the fall of 1994, NMFS authorized and provided support for a cooperative scientific experiment by New England gillnet fishers and scientists. Building on work 

completed in 1992 and 1993, the experiment sought to 

evaluate the effectiveness of acoustic deterrent devices attached to gillnets to prevent entanglement of harbor porpoise. The experiment was conducted in the “Mid-Coast” 

area off the New Hampshire/Massachusetts border closed 

to gillnet fishing. The experiment was designed with the 

recommendations of a NMFS scientific review panel. 

The experiment showed that pingers reduced the bycatch 

of harbor porpoise substantially during the fall in this 

area. 

During the experimental fishery, 25 harbor porpoise were 

caught in 423 control nets, while only two harbor porpoise were caught in 421 active nets. The experiment 

resulted in similar catches of cod and pollock as well as 

seal damage was consistent between control and experimental strings. The pingers operated at an operational 

sound pressure level of 132 db (re 1 micropascal @ 1 m) 

and a primary frequency of 10 kHz, with harmonic effects extending into the 140 kHz range. Although the 

result was a dramatic reduction in harbor porpoise 

bycatch, some concerns remained after this experiment. 

It was uncertain why the alarms worked. Harbor porpoise may have responded directly to the sound or the 

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sound may have changed the behavior of harbor porpoise prey (herring). Other unanswered questions included whether or not harbor porpoises would habituate to pinger sound, the effects on other mammals and 

fishes, and the overall environmental effects of widespread 

pinger use. 

As a result of the success of the scientific experiment, 

experimental fisheries (an experimental fishery is not a 

scientifically designed experiment, but a fishery in which 

pinger use is allowed under uncontrolled fishing conditions) occurred in the fall of both 1995 and 1996 and in 

spring, 1996. During the November/December 1995 

fishery, when the only vessels operating were vessels using pingers, there were no takes of harbor porpoise in 

225 nets (based on 48% observed trips) in the Mid-Coast 

area. In the fall 1996, three harbor porpoises were caught 

in 51 observed trips (198 hauls). However, the results of 

the spring 1996 experimental fishery were different. 

Eleven harbor porpoise were caught in nets with pingers. 

In the Jeffreys Ledge area nine harbor porpoise where 

caught in 88 hauls; in Massachusetts Bay two harbor 

porpoises were caught in 171 hauls; and in the Cape 

Cod South Closure Area no harbor porpoises were caught 

in 53 hauls. Catch rates in nets with pingers attached 

were similar to historic rates of bycatch from nets without pingers. However, the pingers may have been working up to the expectation of the 1994 scientific experiment, bu more porpoise could have been caught because 

of the higher numbers of porpoise in the fishing area. 

Thus, in spite of the absence of a control, it is hilghly 

likely that the pingers used during the experimental fishery in the spring of 1996 were as effective as the pingers 

used in the scientific experiment in fall of 1994. 

One of the possible explanations for the high bycatch in 

Spring 1996 was that the earlier fall results may have 

been due to the pingers’ deterrent effects on herring, which 

are not present in the region in spring. Consequently, 

the TRT recommended an additional scientific experiment in the spring of 1997. This experiment was conducted. The results from this experiment showed that 

there were similar mean fish catch rates and similar numbers of seals caught between all treatments. No harbor 

porpoise were caught in nets with active pingers, demonstrating that pingers reduced the incidental catch of 

harbor porpoises in sink gillnets during spring (close to 

100%). Researchers have concluded that deterrent effects on herring do not explain the discrepancy between 

results of the fall and spring experimental fisheries. However, this did not yield any other explanations for the 

contradictory results of the spring 1996 experimental fishery. 

NMFS recognized that unanswered questions add uncertainty to predictions of pinger effectiveness in areas 

other than those where the experiments occurred (in both 

time and area). As a result, NMFS recognized that conclusions cannot be drawn about the high bycatch observed in the spring 1996 experimental fishery, which 

lacked a control. Thus, management options concerning pingers should cautiously use the results of experimental fisheries. NMFS recognizes that sufficient monitoring of this fishery must occur during plan implementation to insure that the technology meets these expectations of effectiveness. 

Assuming use of pingers is highly effective in all seasons 

and areas, a benefit of widespread use of pingers over 

long periods of time, as opposed to very short duration 

in limited closure areas, is that their use would account 

for seasonal and annual variability in abundance, distribution, and bycatch of harbor porpoise that has confounded the effectiveness of time-area fishing closures 

used to reduce bycatch levels. In the past, shifts in fishing 

effort to avoid closures has resulted in higher bycatch 

around the periphery of closures and minimal effects on 

overall bycatch levels. 

NMFS conducted an Acoustic Deterrence Workshop in 

1996 that noted, 

“it is appropriate to proceed with the full-scale integration of pingers into the management regime for the NE 

sink gillnet fishery provided that the regime includes observer and monitoring programs adequate to verify that the 

bycatch remains acceptably low and that no non-target species is affected adversely.” 

A caveat was placed on this recommendation when the 

report was published noting that this conclusion may 

have been different had the results of the 1996 spring 

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experimental fishery been available or considered during 

the workshop. However, one hypothesis is that the discrepancy between results may have been in commercial 

use, suggesting that fishers may require training in order 

to ensure that the devices function properly. The devices 

themselves may also have been faulty. While this cannot 

be confirmed, fisher training in the care and maintenance 

of pingers will be addressed in the Take Reduction Plan 

through a mandatory certification requirement for fishers who want to use pingers. 

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During 1995 and 1996 experimental field tests of pingers 

in the Spike Rock Makah tribal fishery in northern Washington demonstrated dramatic decreases in the incidental mortality of harbor porpoise. The experimental nets 

were alternately fished with and without pingers, which 

led researchers to question whether pingers in continual 

use would remain effective throughout the normal six to 

eight week fishing season or whether harbor porpoise 

would habituate and begin to ignore the acoustic barrier. 

One hundred fathom set gillnets were fished by the 

Makah. During the entire fishing season, each net was 

equipped with 11 pingers that were replaced as needed 

when the nets were checked. 

NMFS observers stationed on a cliff overlooking the nets, 

systematically scanned the region around the northernmost net for harbor porpoise and recorded the position 

of any porpoise seen at the surface. With 88 net days (22 

days with 4 nets), one harbor porpoise was entangled 

and with 92 net days, eleven porpoise were entangled. 

The probability that one or more porpoise entangled was 

significantly greater during the second half of the fishing 

season. However, the 1997 probability of entanglement 

for the entire season was not significantly different than 

for nets with pingers in 1995 and 1996. Although, the 

average distance between the observation net and harbor 

porpoise sightings decreased from the first to the second 

half of the study, the average distance prior to deployment of the pingers was not different than the first halfof the study and was different from the second-half of 

the study. This suggests that the increase in mortality in 

the second half of the study may have resulted from an 

increasing trend in porpoise using the area around the 

nets that was independent of pinger usage. 

The results of the 1997 study are equivocal relative to 

harbor porpoise habituation to pingers; however, the 

study did demonstrate that with continual use of pingers 

for over six-weeks the porpoise entanglement rate (1 porpoise per 15 net days) was much lower than nets without 

pingers in 1995 and 1996 (1 porpoise per 2 net days). 

Pingers were not 100% effective, but clearly reduced 

entanglement in this fishery with historically high levels 

of porpoise mortality. 

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Gulf of Maine harbor porpoise are also caught incidental in gillnet fisheries in Canadian waters, and NMFS 

has a collegial relationship with the Canadian Department of Fisheries and Oceans (DFO). NMFS values the 

exchange of data and ideas that such a relationship affords. In the interest of continuing that relationship, 

NMFS will request that DFO consider the GOMTRT’s 

recommendations. Canada has developed their own 

bycatch monitoring program and has authority to close 

fisheries for harbor porpoise conservation reasons. In 

recent years, controles on gillnet fishing effort in Canada 

have resulted in a decrease in harbor porpoise bycatch 

levels. 

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In Alaska, harbor seals range throughout southern Alaska 

waters, the Gulf of Alaska, Aleutian Islands, and along 

the north side of the Alaska Peninsula and Bristol Bay 

(to about 59�N. lat). Prior to 1980, harbor seals were 

considered abundant in all parts of Alaska. However, 

surveys by ADFG researchers in the 1980s indicated 

sharply declining trends in some areas. 

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The National Marine Mammal Laboratory (NMML) 

has conducted surveys in Alaska intermittently since 1976 

and yearly since 1991 to obtain a minimum population 

estimate for the state. The State of Alaska was sub-divided into four regions for harbor seal census purposes 

in the early 1990s (these regions roughly follow the esti­

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mated stock separations, but logistical considerations were 

the primary factor used for this delineation). NMML, 

with funding from the NMFS Office of Protected 

Resource’s Marine Mammal Assessment Program, has 

sequentially censused each of these four regions since 

1991. 

Harbor seals are censused from aircraft by photographing those on land during the molt period (August/September). These surveys miss an unknown number of 

animals that are at sea during the survey period, and the 

number of animals hauled out is influenced by tidal state 

at many locations. 

In 1996, NMML conducted the third year of a multi-year 

study to determine a correction factor for the relative 

proportion of seals that are at sea and thus are not counted 

during the surveys. This correction factor will be applied to count data to determine a more accurate estimate of harbor seal abundance in Alaska. 

To determine the relative proportion of seals at sea that 

are not counted during low tide aerial surveys, NMFS 

researchers captured 34 harbor seals and equipped them 

with radio transmitters. Of these, 12 were males and 22 

were females, comprised of 29 adults, three subadults, 

and two yearlings. Females showed a slight tendency to 

be further along than males in the stage of their molt. 

Aerial surveys were flown during the molt period in 

mid-August and early September to record the percentage of tagged seals hauled out. Most seals remained in 

Orca Inlet (near Cordova, Alaska), where they were tagged 

or nearby, within 4-6 km (2.4-3.6 mi). A few seals traveled to locations approximately 65-75 km (39-45 mi) 

away and returned. Eleven replicate aerial surveys were 

flown and the mean percent number of tagged seals hauled 

out each day was 53%. A correction factor of 1.90, the 

reciprocal of 53%, was computed (this correction should 

only be applied to those areas similar in geography and 

phenology and censussed during similar time periods). 

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In south Puget Sound, 55 seals were tagged and branded 

in October 1995, bringing the total of permanently 

marked seals in Puget Sound to 160. Sixty percent of 

these seals were resighted in the first year compared to 

71% resighted from seals branded in 1994 and 85% 

resighted from seals branded in 1993. 

In 1996, to investigate harbor seal life history parameters, NMFS researchers captured harbor seals at Gertrude 

Island in south Puget Sound and at Boundary Bay in 

north Puget Sound. Blood samples from 116 seals were 

screened for presence of Phocine Distemper Virus (PDV), 

leptospirosis, and brucellosis. An additional 25 samples 

from 1994 and 59 samples collected in 1995 were analyzed for a total of 200 samples from south Puget Sound. 

Results were negative for PDV and leptospirosis and brucellosis. 

The total number of harbor seals and the number of pups 

were counted at four sites in south Puget Sound. During the pupping season, approximately 500 seals used 

Gertrude Island (including about 110 pups), approximately 100 seals used Eagle Island (including about ten 

pups), and approximately 400-500 seals used Woodard 

Bay (including more than 100 pups). No pups were 

observed at Commencement Bay which was used primarily by adult males and subadult seals. The first 

full-term pup was observed on Gertrude Island on July 

2, 1996. Monthly mean counts at Gertrude Island varied from 194 to 548 seals, while numbers peaked during 

the pupping season and were lowest during the winter. 

Critical values of monthly mean counts were <0.1. 

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Minimum population estimates were obtained for harbor seals in the Gulf of Alaska regions along the south 

side of the Alaska Peninsula, Shumigan Island, Cook Inlet, Kenai Peninsula, and the Kodiak Archipelago during 

August and September 1996. The mean number of seals 

counted was 10,595 with a 95% confidence interval between 9,993 and 11,197. The coefficient of variation 

(CV) of the mean was equal to 2.9%. This represents an 

increase of 4,259 seals when compared to the mean count 

from similar surveys in 1992. Aerial survey conditions 

were exceptionally good in 1996, unlike 1992. At selected major sites (>100 seals) from all areas surveyed in 

both years, seal numbers at eleven of 20 sites increased 

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and seven decreased. The overall trend was positive. 

Approximately 846 more seals (18%) were counted in 

1996 at these 20 sites. Seal counts between 1992 and 

1996 were nearly identical in the fringe areas, but increased toward the center of the range, the Kodiak Archipelago. By far the largest increase occurred at Tugidak 

Island, which increased from 770 seals in 1992 and 1,345 

in 1996. Seal counts at Tugidak Island, even though increasing, still represent an 80% decline over counts made 

in 1976. 

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NMML scientists obtained minimum population estimates for harbor seals in the northern portion of Southeast Alaska in August 1997. The mean number of seals 

counted was 18,933, with the CV of the mean equal to 

2.35%. Comparisons were made between similar surveys conducted in September of 1993. The 1993 surveys covered the entire Southeast Alaska region while 

the 1997 surveys only censused the portion from Kayak 

Island to Frederick Sound. More survey aircraft and 

observers were utilized in the 1997 study, and area coverage was much more complete. In 1997, one survey route 

was censused both in August and September with approximately 2,005 fewer seals (44%) being observed during the September survey. A site to site comparison was 

made for locations where there was a high degree of confidence that sites could be matched correctly. Observers 

more precisely delineated the location of sites in 1997 

than in 1993 and recorded seals at 321 sites in 1997 and 

139 sites in 1993. Roughly 10,000 more seals were recorded in 1997 than in 1993. Explanations for the increased number of seals observed may include: more complete area coverage, surveys conducted earlier when more 

seals are expected to haul out and weather is generally 

better, and the population growth is real and/or seals are 

immigrating from other areas. 

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Harbor seals are year-round inhabitants of the coastal 

waters of eastern Canada and Maine and occur seasonally along the southern New England and NewYork coasts 

from September through late May. Scattered sightings 

and strandings have been recorded as far south as Florida. 

A general southward movement from the Bay of Fundy 

to southern New England occurs in autumn and early 

winter. A northward movement from southern New England to Maine and eastern Canada occurs prior to the 

pupping season, which takes place from mid-May 

through June along the Maine coastline. 

Minimum abundance estimates were obtained for harbor seals along the Maine coast in May/June 1997. The 

number of seals counted was 30,990 between the Canadian/U.S. border and the Isle of Shoals off New Hampshire. This number is 7.6% higher than the count in 

1993 (28,810). The annual rate of increase since 1993 

has been 1.8%, as compared to 8.9% annual increase 

estimated for the period between 1981 and 1993. The 

estimate of the number of pups was 5,359 in Maine waters. The number of pups represented 17.3% of the population in 1997, which was higher than previous years. 

There were 26% more pups on the coast of Maine in 

1997 than in 1993 (4,250). Since 1981, the number of 

pups in Maine has increased at an annual rate of 12.9%. 

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Northern fur seals have been killed for their pelts at the 

Pribilof Islands since 1786. The kill became an enterprise of the United States government when it purchased 

Alaska, and was so lucrative that it alone repaid the purchase price in five years. International competition for 

pelts culminated in the International North Pacific Fur 

Seal Treaty of 1911 that involved Japan, Imperial Russia, 

Great Britain (for Canada), and the United States. All 

research and management of fur seals was conducted 

under the auspices of the North Pacific Fur Seal Commission from 1911 to 1985, except during World War 

II. 

In the 1950s, managers noted that the number of pups 

being born annually was the same as in the herd’s most 

productive period (1932-37), but that far fewer juvenile 

males were available to kill for pelts. They surmised that 

density-dependent mortality was increasing juvenile 

mortality, and that this situation could be reversed by 

reducing the number of pups being born annually, thereby 

reducing competition for food that was believed to be 

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causing the reduced survival. Consequently, managers 

killed 331,000 females from 1956-63 in what was called 

the herd reduction program. Managers expected the herd 

to recover from this reduction at 8% per year. Nine years 

after herd reduction ended, the expected recovery had 

not yet begun, and the herd continued to decline, ironically, at 8% per year. 

Believing that it did not fully understand the relationship between survival and abundance, or the effects of 

human activities on seal behavior and ecology, the United 

States proposed that all fur seal rookeries on St. George 

Island be set aside as a research preserve for 15 years to 

permit comparisons with rookeries at St. Paul Island (40 

km or 25 mi away) where the kill for pelts was to continue. Investigations were to include behavior, ecology, 

population dynamics, and pelagic studies. The behavioral project was to investigate whether behavioral changes 

had occurred as a result of artificial selection, human disturbance, or density-dependent processes on breeding areas. Behavioral studies were also to investigate the effects 

of fur seals on the fishery for walleye pollock. Behavioral 

studies began collecting data in the summer of 1974. 

The St. George Island project officially ended in 1985 

when the United States failed to approve continuation 

of the treaty. However, field work in behavior continued 

until 1992 when data analysis began. 

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Objectives of National Marine Mammal Laboratory 

northern fur seal research in 1997 included monitoring 

population status and trends, monitoring entanglement 

rates, and investigating foraging ecology and movement 

patterns at sea. Population monitoring activities, such as 

adult male counts, pup censuses, pup mortality, and pup 

condition indices provide vital rates with which northern fur seal population status and trends are monitored. 

Entanglement studies provide additional insight into 

mortality and survival rates, particularly for juvenile males, 

and enable NMFS to make an assessment of the effects 

of mitigating measures. Female foraging studies, scat 

analysis, stable isotope analysis, and pup migration studies provide information on prey species, feeding areas, 

and migration routes, which aid in understanding foraging ecology and movements patterns at sea. 

Researchers are currently analyzing these data. Preliminary results of some population monitoring activities for 

1997 are briefly discussed here. When completed, these 

results will be presented as a collection of research papers 

in the annual NOAA Fur Seal Investigations Technical 

Memorandum Series. 

On Bogoslof Island in the eastern Aleutian Islands, the 

number of pups born in 1997 was 5,096 (SE=32.7). This 

estimate represents a 300% increase in the number of 

pups born over the 1995 count. This dramatic increase 

must be due to immigration as it far exceeds the species 

maximum reproduction rate. The number of nonpup 

northern fur seals counted on Bogoslof Island in 1997 

was 13,451 (SE=541.5). This represents a 273% increase 

over the 1994 count of 3,691. Adding the non-pup count 

to the estimate of pup production yielded a total Bogoslof 

Island population size of 18,847 (SE=542.5). 

Studies of the life history parameters of northern fur seals 

were continued at San Miguel Island toff southern California throughout June, July, and August 1997. The primary objectives of these long-term studies, conducted in 

cooperation with the Channel Islands National Sanctuary Program and the National Park Service are: 1) to 

estimate survival, recruitment, and natality of the species 

as part of a comprehensive assessment of the ecology of 

pinnipeds in the Channel Islands and 2) to assess the 

status and recovery of fur seals throughout the North 

Pacific Ocean in accordance with the Fur Seal Conservation Plan. The total observed pup production at the San 

Miguel Island rookery complex was 3,124. The highest 

number of territorial males counted was 250 (142 with 

females, 108 without females), up 34% from 1996. 

On St. Paul Island in the Southeast Bering Sea, 5,064 

territorial males with females, and 8,560 idle adult male 

fur seals were counted in 1997. On St. George Island, 

910 territorial males with females, and 1,474 idle adult 

male fur seals were counted in 1997. From 1996 to 1997, 

the counts of territorial males with females decreased 

10.3% on St. Paul Island and 27.1% on St. George Island. The total number of adult males on the Pribilof 

Islands decreased by 5.4% from 1996 to 1997. 

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During the 1997 northern fur seal pup mortality studies, 165 pups were necropsied on St. Paul Island. Emaciation was the primary cause of death and was observed 

in 70% of the pups necropsied (the highest percentage 

observed during twelve years of pup mortality studies). 

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Pup measurements conducted during 1997 on the 

Pribilof Islands found significant differences in size between males and females, as well as between islands. Male 

pups weighed more and were longer than female pups. 

Weights and lengths were greater on St. George Island 

than on St. Paul Island, for both male pups (P=0.021, 

P<0.001) and female pups (P<0.001, P<0.001). The proportion of females observed during pup measurements 

was not significantly different than 50% for both islands 

in 1997 (48.5% on St. Paul Island and 48.8% on St. 

George Island). 

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In 1997, in cooperation with the St. Paul and St. George 

Islands’ Tribal Councils and the Pribilof Islands Stewardship Program, NMFS continued a study of juvenile 

and adult male fur seal entanglement in marine debris. 

This study was initiated in 1995 using a combination of 

research roundups and surveys during the Aleut subsistence harvest to try and determine a possible cause for a 

decline in numbers. Surveys are conducted in conjunction with the subsistence harvests to reduce the number 

of times seals are disturbed. 

The objective of this study was to determine current 

trends in the rate of observed on-land entanglement of 

northern fur seals in marine debris on St. Paul and St. 

George Islands. This information is being collected in 

order to provide: 

1) a continuing index of entanglement rates; 

2) a comparison of entanglement rates on St. Paul (which 

has been relatively stable since 1980) and St. George 

(which has been decreasing) Islands; 

3) a means of indirectly assessing the relative amount of 

entangling debris within the habitat of the fur seal; and 

4) an assessment of the proportion of debris types associated with different fisheries that are impacting fur seals. 

The juvenile entanglement rates in 1997 were 0.19% on 

St. Paul Island and 0.23% on St. George Island. The 

1997 rate of entanglement on each island was similar to 

the rates observed in 1996. 

During entanglement studies in 1997 on St. Paul and St. 

George Islands, a total of 62 entangled northern fur seals 

on non-rookery haulouts were captured and debris removed from their bodies. An additional 43 entangled 

fur seals were opportunistically captured and disentangled 

during other research projects. Four individual seals, all 

juvenile males, were disentangled on St. George Island. 

On St. Paul Island, 22 fur seals were disentangled during 

other operations, including 12 juvenile males and ten 

males five or more years old. On Bogoslof Island, 17 

individual seals were disentangled during other research 

projects, including 15 juvenile males and two young females. 

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The St. George Island Project was an integrated research 

program on northern fur seals in the Pribilof Islands, 

Alaska, from 1973 to 1988 that was intended to answer 

fundamental questions about the behavior, ecology, and 

population dynamics of the species. Most of the work 

was conducted by the National Marine Mammal Laboratory in Seattle. The final report of the behavioral portion of the program will be published in early 1998. Many 

of the results answer specific questions posed by the St. 

George Island planning document. 

����������������������������� The behavioral 

project collected descriptive data on many aspects of fur 

seal behavior at two study sites on St. George Island for 

three years as a baseline against which to compare future 

changes. The sex ratio was expected to change because 

juvenile males (which were the only age and sex class 

allowed to be harvested) were no longer to be killed for 

their pelts, and herd size was expected to increase be­

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cause of more efficient reproduction. After a hiatus of 

eight years the baseline measures were repeated so that 

behavior could be compared at a different herd size and 

sex ratio. The study focused on the behavior of several 

thousand marked individuals. During the same time, the 

project conducted behavioral experiments that were fundamental to the fur seal mating system and maternal strategy. It also investigated foraging ecology using time depth 

recorders (TDRs), and it compared foraging at the Pribilof 

Islands with foraging at Medny Island, Russia, in 1990. 

The behavioral project operated separately from the population dynamics and pelagic projects and included none 

of those results in its final report. 

���������������� The behavioral project answered 

most of the questions posed by the program outline. It 

was particularly successful in documenting the pelagic 

activities of fur seals. Through a contractor, the behavioral project produced the first TDR, an instrument that 

could document all the foraging dives that females make 

on a trip to sea. TDRs are now a standard tool for investigating foraging ecology in marine mammal research. 

Contrary to predictions, the northern fur seal population on St. George Island continued to decline after the 

killing of males stopped in 1972 (it fell by 93% and 80% 

at the two study sites). The St. George population continued to declined until 1997, when it may have increased 

slightly. The decline stopped at St. Paul Island in 1981. 

At St. George Island the sex ratio declined as predicted, 

falling from more than 25 to about nine females per breeding male. Nine to one may be the species optimal sex 

ratio given that this ratio remained unchanged for nine 

years despite the overall decline in numbers. 

During the years of decline, the density of females within 

groups on shore remained the same. This is a very important finding because it implies that the density of 

breeding groups is independent of population size and 

sex ratio. Since animals experience the same density of 

neighbors regardless of total population size, the behavior they display on shore does not depend on the overall 

size of the population. Any contribution that behavior 

makes to density-dependent mortality it is likely to occur at sea and not on land. 

The results show that fur seal harvests cannot have caused 

the population declines at the Pribilof Islands from 1956 

onward. The St. George Island population continued to 

decline for at least 24 years after the kill there ended, and 

the St. Paul Island population stopped declining four 

years before the commercial harvest ended there. That 

is, population trends were independent of the presence 

or absence of a kill for pelts. 

Environmental changes seemed to have no effect on the 

timing of reproductive events. The female population 

peaked during the same week of the year, and the median arrival date of the population did not change for 15 

years despite a major El Niño event, and a change in the 

North Pacific climate regime. Timing of reproduction 

appears to be driven by the light cycle, rather than proximate environmental events. An exception to this may be 

in the event of extreme environmental perturbation such 

as that observed in 1997 and again in 1998 in the Bering 

Sea. In which case, females may return to St. George 

Island only briefly to breed, or not at all. This data is 

currently being analyzed. 

Activity cycles on land did not change with population 

size or sex ratio, and are not likely to have been affected 

by human activities on breeding and landing beaches. 

Activity cycles on land are similar to those at sea (as measured by TDRs). The most likely explanation of this 

finding is that fur seal activity cycles are driven by the 

nightly shift of fur seal prey into surface waters. Those at 

sea feed at night, and those on shore (28 and 40 days per 

year for females and males respectively) are active doing 

most of their mating then. 

For many behavioral traits, individuals had much narrower, more specific behavioral tendencies than the population as a whole. For example, the female population 

arrived over a six-week period, but individuals usually 

arrived on about the same date each year. Mating occurred in the population over a six-week period, but individual females mated within an eight-day period unique 

to her. As long as the population remained stable, many 

females bore young within 8.3 m (27 ft) of the same site 

(unique for each female) from year-to-year despite the 

fact that many square kilometers were available to the 

population for pupping. Males returned to the same 

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territorial boundaries year after year although many square 

kilometers of space were available to them. Population 

models do not include these specific tendencies of individuals and therefore, when viewed alone, tend to mispredict how the herd will act when it changes in size or 

sex ratio. 

Experiments on captive fur seals disclosed some previously unknown facts about estrus in this species. These 

results showed that most females mate only once per year. 

If the female fails to mate, estrus wanes after only 34 

hours and does not recur later that year. Given that more 

than 90% of some age classes are pregnant each year, it is 

evident that mating is usually a highly efficient process. 

One factor that makes it so efficient is the presence of the 

male which apparently induces the onset of estrus in females. This factor, known as the Whitten Effect, has not 

previously been reported in pinnipeds. 

One reason the population may have failed to recover 

from the 1956-63 herd reduction program is that the 

climate regime that existed at that time was noted for 

low marine productivity. It is possible that under those 

foraging conditions juveniles had lower survival than in 

the 1930s, and did not recruit into the adult population 

in numbers that would allow the herd to recover from 

artificial reduction. 

The aspects of diving that relate to environmental factors (such as day length and depth of prey) change seasonally, but those that relate to physiological capabilities 

of individuals (such as recovery from diving) do not. 

Local foraging conditions, such as the width of the continental shelf, are the major cause of differences in foraging behavior at different islands in the range. 

Experts have not yet agreed on the combination of factors that caused the fur seal declines from 1956 onward, 

although many single, separate causes (such as entanglement) have been proposed. The main lesson from the St. 

George Island Program is that too little is yet known 

about environmental changes, marine mammal trophic 

relationships, and human effects on both to confidently 

predict the recovery rate of a reduced seal population. 

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The Hawaiian monk seal is endemic to the Hawaiian 

Archipelago and is the only endangered marine mammal located entirely within U.S. waters. The species was 

listed as endangered after a 50% decline in beach counts 

occurred between the late 1950s to the 1970s. Studies 

conducted over the past decade indicate that population 

abundance has continued to decline at 4-5 % per year. 

In the last three to five years, beach counts have stabilized, but further overall declines are likely due to high 

juvenile mortality and an expected decline in recruitment. 

In 1997, total abundance was estimated at about 1300­

1400 seals. 

Studies of the Hawaiian monk seal are conducted primarily by members of the Marine Mammal Research 

Program of the NMFS Honolulu Laboratory. The studies’ purposes are to provide up-to-date information on 

the status and trends of each of the six main reproductive 

subpopulations of seals. Information is collected annually on abundance, composition, survival and reproductive rates, growth and condition of seals, evidence of disease, behavior, movement between sites, fisheries interactions (including entanglement in marine debris), foraging ecology, and the effectiveness of management programs aimed at facilitating recovery. 

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The Hawaiian Monk Seal Recovery Team held its annual meeting at NMFS Honolulu Laboratory on December 1-3, 1997. The focus of the RecoveryTeam meeting was to assist the NMFS Southwest Region with 

prioritization of research and recovery actions that have 

the highest potential of directly benefitting the species. 

The objectives are updated every three years and used to 

prioritize future research and recovery activities. During 

the HMSRT meetings, the Marine Mammal Research/ 

Monk Seal Program staff presented a review of their field 

studies. These studies (discussed in greater detail below) 

provide information necessary to evaluate key objectives 

that have been identified by the HMSRT: 

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1) the status and trends of monk seal populations; 

2) survival, reproduction, growth, behavior, and feeding 

habits; and 

3) the results of various activities designed to facilitate 

population growth and reduce human disturbance. 

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For the past decade, the study and management of the 

Hawaiian monk seal has been based largely on information collected on land. A clear understanding of the marine distribution and behavior of these seals has been limited by an inability to study them at sea. The lack of 

information about their foraging ecology has been a particular impediment to their management. Relatively little 

is known about the distribution of seals at sea, their foraging behavior and strategies, and their preferred prey. 

Thus, scientists and managers have been handicapped in 

their ability to predict or assess the possible consequences 

of direct or indirect fisheries interactions. Also, while 

researchers attribute the severe increase in juvenile mortality since 1989 to starvation, the feeding habits or patterns of young seals cannot be accurately described. 

In recent years, technological advances have enabled the 

study of seals at sea. Foraging distributions are currently 

being evaluated by NMFS, in collaboration with the 

University of Minnesota, the National Geographic Society, and Hubbs-Sea World Research Institute, using 

satellite-linked telemetry (both ARGOS and Global Positioning System technologies), as well as underwater 

video systems that allow observation of feeding and other 

behaviors. While monk seals were previously thought to 

remain near their haulout locations, they are now known 

to travel to distant banks up to approximately 240 km 

(144 mi) from their haulout sites in the Northwestern 

Hawaiian Islands. Further, seals were thought to feed 

primarily on reef fishes throughout the water column, 

but video data indicates that they focus primarily on 

benthic organisms (at least during days when underwater video documented foraging patterns). The seals in 

these and other studies fed primarily at depths less than 

100 m (110 yd), but some seals foraged at depths greater 

than 500 m (550 yd). 

A complete assessment of the foraging ecology of the 

Hawaiian monk seal will take extensive effort over many 

years. Nevertheless, important progress was made in 1996 

and 1997, through satellite-linked studies of distribution and diving, video camera studies of foraging strategies, and assessment of reef productivity around the main 

reproductive sites. No work has been done on the foraging energetics of monk seals; however, plans are being 

made to expand pelagic ecology studies of juveniles, whose 

survival rates have decreased dramatically at French Frigate Shoals over the last decade and because of an apparent depletion of prey resources. 

Recent deployments of “crittercams” on male monk seals 

have indicated that foraging occurs primarily in the 

benthic/demersal habitat at approximately 60 m (198 

ft). Seals ignored fish communities in the water column 

associated with coral reefs and focused on cryptic fauna 

in transition zones where consolidated substrate, rubble, 

and debris border areas of sand. Independent video assessments indicate that this types of habitat represents a 

small percentage of the overall demersal habitat. Future 

“crittercam” work will focus on the ability to document 

nocturnal foraging with the aid of a red-shifted light 

source. This method of observing animal behavior has 

helped to better characterize nocturnal foraging habitat 

and will be used in the 1998 field season at French Frigate Shoals. 

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In 1997, field studies were conducted at French Frigate 

Shoals, Laysan and Lisianski Islands, Pearl and Hermes 

Reef, and Midway and Kure Atolls. Three of the most 

common indices of species’ status as derived from these 

studies are described below based on data from five of 

the six main reproductive sites. Midway Atoll is excluded 

from the analyses because past research effort at that site 

has been sporadic. The first index is the number of pups 

born. In 1997, 200 births were recorded, which is above 

the mean of 183 for the period from 1983 to 1995 (excluding 1994, when studies were incomplete). Since 

1983, the number of pups born has been highly variable 

(ranging from 141 to 224) with no clear evidence of a 

long-term trend. 

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The second index is a sum of the mean beach counts, 

excluding pups. In 1958, this sum was 969. By 1985, 

the counts had declined to 509, and in 1997, the sum 

was 373. Since 1993, the sum of the counts has been 

essentially unchanged. For the past decade; however, the 

trend in the beach counts has been determined largely by 

the decline in counts at French Frigate Shoals. Beach 

counts are expected to decline further at French Frigate 

Shoals because of high juvenile mortality and the attrition of older animals who are not being replaced by recruitment from younger age classes. Thus, the future trend 

for the species will depend on whether growth at other 

sites can compensate for the decline at this site. 

The third index of the status of the Hawaiian monk seal 

is the composition of beach counts. Since the mid-1980s, 

composition has shifted considerably, with the percent 

of adults rising from about 50% to 70%, and the percent of subadults and juveniles decreasing in a corresponding manner. This shift portends a decline in reproductive recruitment in the near future. 

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The observed trends in pups born, beach counts, and 

composition of beach counts are best explained by studies of individual subpopulations. A brief summary of the 

six main reproductive subpopulations is provided below. 

����������������������� In the late 1950s, the subpopulation of seals at French Frigate Shoals was depleted, 

due largely to human disturbance. After disturbance was 

eliminated, the subpopulation grew for three decades and 

by the mid-1980s, abundance was thought to have 

reached or begun to approach the environmental carrying capacity. Because subpopulations at the other main 

reproductive sites plummeted during the same period, 

the overall distribution of monk seals shifted toward 

French Frigate Shoals, and nearly 50% of the entire species was found at this site in the mid-1980s. 

In 1989, the period of growth reversed itself and by 1997, 

beach counts had dropped by 55%. The primary cause 

of the problem appears to be related to a decrease in prey 

availability, which has led to a severe drop in juvenile 

survival. In the mid 1980s, approximately 80-90% of 

weaned pups survived to age two. Since 1988-89, survival of these young animals has declined to 20% or lower. 

In 1997, studies continued to document juvenile survival rates and to investigate their foraging ecology to 

better understand factors that may be related to the decline (see the preceding section on foraging studies). Until 

recently, most pups survived through the nursing and 

early post-weaning period. However, during the past 

three years survival of unweaned and newly weaned pups 

decreased dramatically. In 1997, researchers documented 

two factors contributing to increased mortality; adult male 

aggression and shark predation. A primary research goal 

for 1998 is to investigate and mitigate the loss of young 

pups. 

����������������Contrary to the long-term trend at 

French Frigate Shoals, the subpopulation of Hawaiian 

monk seals at Laysan Island has declined steadily since 

the late 1950s. It is currently about one-third of its historical maximum size. The cause(s) of the decline prior 

to the late 1970s is unknown. In 1978, however, abundance at this site dropped considerably due to a large 

die-off of seals, possibly from ciguatera poisoning (a toxic 

substance found in some tropical fish). No subsequent 

die-offs have been observed, but the population has continued to decline slowly. 

Since the late 1970s, mobbing has been considered an 

important, if not the primary, impediment to recovery 

at this site. Mobbing occurs when multiple males gather 

and attempt to mate with the same individual seal (usually an adult female, but sometimes an immature seal of 

either sex). The mobbed female seal is frequently injured or killed, and this loss of females has impeded recovery overall. 

Mobbing is thought to occur partially due to an imbalance in the adult sex ratio. Males at this site were found 

to outnumber females by over two to one. In 1994, 22 

adult males were removed from the Laysan population 

to normalize the sex ratio and hopefully reduce the probability of mobbing. Studies in 1995-1997 have focused 

on monitoring the rate and consequences of mobbing 

since removing the adult males. The results indicate that 

the occurrence of mobbing has been significantly lower 

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since the removal of males. The males, which have moved 

to the main Hawaiian Islands, have not returned to Laysan 

Island. While mobbing seems to have been reduced, 

recovery at this site likely will be slow, as juvenile survival 

rates have also been low at Laysan Island. The cause(s) of 

additional juvenile mortality have not been determined. 

In 1997, studies continued to investigate and document 

male behavior, the occurrence of mobbing, and factors 

influencing the survival of immature animals. 

����������������� The trend of the monk seal population at Lisianski Island has been very similar to that at 

Laysan Island, but far less research has been directed at 

the Lisianski population. The cause(s) of the decline at 

this site are uncertain. The sex ratio at this site has been 

more skewed toward adult males than at Laysan Island, 

but the occurrence and rate of mobbing have not been 

well documented. Nevertheless, mobbing is thought to 

be an important problem at Lisianski Island. 

In addition to mobbing, entanglement in marine debris 

is considered a serious impediment to recovery at Lisianski 

Island. Entanglement occurs at all sites and is difficult to 

quantify because seals may be entangled at sea and not 

observed. However, Lisianski Island has the highest entanglement rate, and studies of debris deposition and seal 

entanglement indicate that entanglement-related mortality is partially responsible for the decline of seals at this 

site. In 1997, research at Lisianski Island focused on 

characterization of various sources of seal mortality, including mobbing behavior and entanglement. 

���������������������� The subpopulation of seals 

at Pearl and Hermes Reef dropped more than 80% in 

the 1960s, but since 1975 has shown steady recovery. 

The cause for the decline prior to the mid-1970s has not 

been confirmed, but may have been related to military 

activities in the two decades following World War II. 

The more recent recovery of this population has been 

vitally important for several reasons. First, the recovery 

has occurred without intensive management intervention, demonstrating that monk seal subpopulations can 

recover under natural conditions. Second, the rate of 

recovery provides a basis for estimating the potential 

growth rate of these subpopulations, and thereby serves 

as a reference for research and management. And third, 

recovery at this site and at Kure Atoll is, helping to counterbalance losses at other sites, particularly French Frigate Shoals. In 1997, study efforts at Pearl and Hermes 

Reef were directed at identifying the entire subpopulation of seals at this site and verifying that the local recovery continues. 

������������� The subpopulation of Hawaiian monk 

seals at Midway Atoll may have been driven extinct on 

two separate occasions: 1) at the turn of the century when 

seals were killed for blubber and/or food by seal hunters 

and ship-wrecked sailors and 2) in the 1950s and 1960s 

when human activities displaced seals and compromised 

their habitat. The present population of seals is approximately 45 to 50 seals, most of which are either immigrants from nearby locations or offspring of immigrants. 

For the last three decades, the seal subpopulation at this 

site has failed to show signs of recovery. 

The primary cause for the decline of this subpopulation 

has been related to human disturbance during and after 

World War II, when a Naval Air Station was developed 

and expanded at Midway. In the 1950s, beach counts of 

seals numbered in the 50s, but by the late 1960s, few 

seals were seen at the atoll. Human disturbance continued through the 1970s, 1980s, and into the 1990s. In 

1993, the U.S. Naval Air Facility at Midway Atoll was 

closed and from 1993 to 1997, the Navy has been cleaning and restoring the two main islands in the atoll. In 

1997, jurisdiction of the atoll was transferred to the FWS, 

which will maintain the site as a National Wildlife Refuge. 

To manage the atoll, the FWS has entered into a cooperative agreement with a commercial aircraft company 

that will maintain the atoll’s runway. To compensate for 

the cost of maintaining the runway, the company has 

established an “eco-tourism” venture that provides educational and recreational opportunities for visitors to Midway. Public education is considered a vital element of 

the recovery plan for the Hawaiian monk seal, and tourists at this site will have opportunities for observing and 

learning about these seals. However, the severely endangered status of the Hawaiian monk seal throughout its 

range, especially at Midway Atoll, requires that such tourist activities must be managed with extreme care to avoid 

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disturbance of the seals and further obstacles to recovery 

(see Chapter XI. Public Education and Outreach Programs). 

����������� The westernmost subpopulation of Hawaiian monk seals is at Kure Atoll and, like other western subpopulations, the number of seals at this site declined severely in the 1960s and 1970s. The primary 

cause seems to have been related to human disturbance 

during the construction and occupation of a U.S. Coast 

Guard (USCG) LORAN station. The station was closed 

in 1991 and the atoll, which is owned by the State of 

Hawaii, is no longer inhabited. 

The population of seals at Kure Atoll hit a low point in 

1986, when only a single pup was born at the atoll. Since 

then, the number of pups has increased; 18 pups were 

born in 1997. The increase in pup production is expected 

to continue and can be attributed to intensive management efforts to recover this population. In the early 1980s, 

USCG regulations were modified to limit disturbance 

of seals on the beaches. From 1981 to 1991, NMFS conducted a captive program (referred to as “Headstart”) to 

protect recently weaned female pups from sharks and 

aggressive adult males during the first months of the 

post-weaning period. From 1985 to 1995, seals that had 

been taken from French Frigate Shoals for rehabilitation 

were introduced to Kure Atoll to bolster reproductive 

recruitment. A number of these seals, and those that had 

been included in the Headstart project, have reached reproductive maturity and are now producing pups. In 

1997, studies were conducted at this site to ensure that 

recovery was, in fact, continuing, to quantify the rate of 

recovery, and to identify any impediments to further recovery. 

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With regard to concerns about the potential impacts of 

lobster fishing on Hawaiian monk seals, NMFS issued a 

biological opinion under the Endangered Species Act in 

1996. This opinion concluded that the lobster fishery, 

as it would be conducted under the Fishery Management Plan for the Crustacean Fisheries of the Western 

Pacific Region (Amendment 9) and its implementing 

regulations, was not likely to jeopardize the continued 

existence of Hawaiian monk seals. Although Amendment 9 to the Fishery Management Plan recognizes a 

potential for impacts to monk seals, NMFS has agreed 

with the Western Pacific Regional Fisheries Management 

Council’s view that there is no basis to determine that 

impacts are likely. Moreover, with reduced effort in the 

fishery due to expanded closures under Amendment 9 

and the annual harvest limitation program, the potential 

for direct entrapment or harm has greatly declined. 

Under the ‘retain-all’ strategy recently adopted by the 

Council, the potential for direct impacts, due to monk 

seals feeding on discarded lobster, is reduced. Additionally, the Council requested that NMFS immediately develop a vessel monitoring system (VMS) for the fishery 

to obtain accurate, real-time position reports of the lobster vessels at sea. With VMS, any lobster fishing activity 

around the Northwestern Hawaiian Islands (NWHI) 

would be detected. During the 1996 season, four of the 

five fishing vessels voluntarily used VMS. In 1997, under a newly established NWHI lobster fishery VMS program (62 FR 35448), all nine fishing vessels employed 

VMS units. The VMS program enables the Council 

and NMFS to effectively monitor the position of lobster 

boats anywhere in the NWHI and respond to fishing 

activities that would adversely affect the Hawaiian monk 

seals. 

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Until recently, one component of the monk seal recovery program was to rehabilitate underweight monk seal 

pups that would have had a high probability of mortality in the wild. The poor survival rate of young female 

seals at French Frigate Shoals, for example, has represented a serious threat to the recovery of the Hawaiian 

monk seal. Since 1984-85, rehabilitation and relocation 

efforts have been the primary means for salvaging the 

reproductive potential that would otherwise have been 

lost with deaths of these young seals. 

Female pups were retained in captivity for four to six 

months to then be released back into the wild at locations, where NMFS was trying to rebuild a viable monk 

seal populations. Such efforts had been successful at Kure 

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Island and were attempted to rebuild the monk seal population at Midway Island. In 1995, efforts were made to 

double NMFS’s capacity for rehabilitating seals. Twelve 

undersized female pups were collected from French Frigate Shoals for eventual release at Midway. Shortly after 

collection, however, these seals began to show symptoms 

of an eye ailment never before documented in monk seals 

or other pinnipeds. 

Although extensive diagnostic efforts have been conducted to determine the cause of the ailment, no definitive cause has been identified. Monitoring of these captive seals and diagnostic efforts are still underway; however, the seal pup rehabilitation program has been place 

on hold indefinitely for fear of its recurrence. 

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In early 1997, NMFS convened a panel of experts (i.e., 

the Hawaiian Monk Seal Captive Care Review Panel) to 

examine the ten surviving captive female monk seals, to 

consider options for their disposition, and to review the 

implications of the eye ailment for future rehabilitation 

efforts. The Panel also made recommendations about 

the Monk Seal Recovery Program as a whole, including 

the need to undertake/continue research efforts on popu­

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lation assessment, foraging ecology, and wild disease evaluation. 

The Panel made the following recommendations: 

1. The ten seals currently held at the Kewalo Research 

Facility should not be released into the wild at this time. 

Efforts must continue to determine the infectious agent, 

if possible, and establish protocols for dealing with future outbreaks. Efforts should begin immediately to arrange for a non-NMFS facility to maintain the seals and 

provide opportunities for future research. If necessary, 

NMFS should undertake financial responsibility for 

maintaining these seals for a period of two years. If, at 

that time, the infectious agent has not been determined 

or there is no alternate facility willing to accept the animals for ongoing research, they should be humanely 

euthanized. 

2. At present, while focused research is urgently needed 

to identify other promising management interventions, 

translocating, and conditioning, undersized pups found 

in areas where the probability of survival is low, for release at islands where survival may be higher, appears to 

be the most useful intervention. Until it can be determined to be medically safe, no seals should be taken to 

Oahu for rehabilitation prior to release to the wild. 

The Review Panel determined that the Hawaiian monk 

seal would be in grave danger of extinction unless NMFS 

provides comprehensive funding to the recovery program. 

The panel further recommended that NMFS concurrently undertake the following four activities, recognizing that these activities are closely linked, and that 

inadequte funding will guarantee the failure of this critical recovery effort: 

1. Continue annual high resolution population assessment to determine age-specific and sex-specific survival 

rates of seals at all sites. 

2. Undertake studies of foraging ecology, particularly of 

younger animals, food availability, and the role of local 

and ecosystem-wide environmental variations, the latter 

to determine the ecological and/or epidemiological causes 

of pup mortality. 

3. Efforts should be enhanced and expanded to define 

and characterize the medical conditions of wild Hawaiian monk seals that may lead to mortality and affect the 

success of translocation experiments. 

4. The captive seals should be studied to develop baseline 

information on health, epidemiology, immobilization 

techniques, and reproductive biology. 

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NMFS Southwest Region is in the process of identifying 

potential holding facilities for the permanent maintenance 

of the ten captive female Hawaiian monk seals, that have 

been determined to be unreleasable due to the unknown 

eye disease. 

These captive seals have potential value for future research 

on virology, behavior, genetics, and captive breeding of 

the species. It is believed that permanent captivity and 

relocation of the seals at an appropriate facility is the 

optimum choice for their long-term care. In the context 

of the Endangered Species Act (ESA), based on NMFS 

responsibility to implement the Recovery Plan and in 

accordance with the Captive Care Review Panel recommendations, relocation of these ten seals is critical. Additionally, federal funds currently being used for the care 

and maintenance of these ten animals drains the coffer 

for other conservation and recovery activities for this species as a whole. 

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Each year, NMFS biologists at the main reproductive 

sites remove beach debris capable of entangling seals or 

other wildlife and disentangle seals that have become entangled. In 1997, at least 16 seals were entangled in debris, and 13 were disentangled by observers. Two of these 

seals were found in the water, entangled in debris caught 

on coral reefs. One of these seals drowned, while the other 

was released unharmed. 

The overall impact of marine debris and entanglement 

on the recovery of the Hawaiian monk seal cannot be 

fully quantified because of the difficulty of assessing entanglement rates at sea. In past years, efforts to remove 

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debris from monk seal habitat focused on debris that 

had washed ashore. In 1996, NMFS initiated a feasibilitiy 

study to assess the amount and nature of debris caught 

on coral reefs and the removal of such debris. These 

studies were conducted at French Frigate Shoals and Pearl 

and Hermes Reef and demonstrated that extensive 

amounts of debris can be successfully and safely removed. 

The studies also evaluated the amount of effort that would 

be required to remove the debris from the marine habitat 

of this endangered species. Through 1997, three cruises 

have surveyed and removed large amounts of debris. 

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Since 1989, NMFS has participated in the Years of the 

North Atlantic Humpback (YONAH) project. YONAH 

is a large-scale international effort that uses photographic 

identification and molecular genetics to study humpback 

whales across their entire known North Atlantic range. 

The YONAH project has provided new and improved 

estimates of abundance for North Atlantic humpback 

whales, as well as detailed information on genetic and 

demographic population structure, and on migratory 

movements. The project was also the first study to use 

genotyping as the principal means of identifying individual animals on a large scale, and to base estimates of 

abundance upon genetic data. 

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On February 16, 1997, NOAA formally dedicated the 

Hawaiian Islands Humpback Whale National Marine 

Sanctuary. Nearly 500 people attended the four-day event 

in Kihei, Maui. 

The warm, shallow nearshore Hawaiian waters of the 

Sanctuary are among the most important habitats for 

humpback whales. Approximately two-thirds of the 

North Pacific humpback whale population uses this site 

for breeding, calving, nursing, and other vital activities. 

These festivities acknowledged NOAA’s and the State of 

Hawaii’s commitment to establish a federal/state partnership for the protection of humpback whales and their 

habitat in Hawaiian waters. In addition, the event highlighted the important role of the Sanctuary in increasing 

public awareness regarding the International Year of the 

Ocean and the need for enhanced marine resource protection. 

As the 12th National Marine Sanctuary to be designated, 

the Hawaiian Sanctuary was officially recognized in 1992 

under the Hawaiian Islands National Marine Sanctuary 

Act. The Sanctuary encompasses approximately 1,400 

square miles of federal and state waters, from the 600­

foot isobath to the high water mark around the islands 

of Maui, Molokai, and Lanai, off portions of Kauai and 

Oahu, and the Northwest coast of the Big Island, Penguin Bank, and the Palilolo Channel. The Sanctuary 

will be managed by NOAA’s National Marine Sanctuary 

Program in close partnership with the State of Hawaii 

and NMFS Office of Protected Resources to promote 

sustainable use and long-term survival of marine resources. 

The primary focus of the Sanctuary will be education 

and research, with guidance from a 25-member Sanctuary Advisory Council. The Sanctuary Program will work 

closely within the existing permit and regulatory programs administered by the State of Hawaii and NMFS 

to ensure the long-term protection of humpback whales 

and their Hawaiian habitat. Because this is an important 

site for the whales, there are added protective measures 

in Hawaiian waters under the MMPA, which prohibit 

approaches by water to within 90 m (100 yds), and by 

aircraft to within 300 m (1000 ft). 

On December 1991, NMFS adopted the Final Recovery Plan for the Humpback Whale. The objectives of the 

Recovery Plan and the draft Hawaiian Islands Humpback Whale National Marine Sanctuary Management 

Plan mirrored each other.They include maintaining and 

enhancing humpback whale habitat(s); reducing humanrelated mortality, injury and disturbance; measuring and 

monitoring key population parameters; and promoting 

a state/federal partnership for administration and implementation of the Recovery Plan. 

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In order to facilitate the development of a Sanctuary Management Plan, resource managers from NOAA, Sanctuaries and Reserves Division, and NMFS, convened a 

workshop to assess research and other needs and opportunities related to humpback whale management in the 

Hawaiian Islands on April 26-28, 1995, at Kaanapali, 

Maui, Hawaii. The workshop brought together representatives of county, state and federal agencies, representatives of non-government agencies and organizations, 

resource managers, and researchers to help identify research and management objectives for the Sanctuary. 

Specifically they were asked to: 

1) identify information and uncertainties that should be 

considered in developing a long-term research plan that 

meets the management and recovery objectives of the 

Sanctuary and the Recovery Plan; 

2) describe the research and long-term monitoring programs that would be required to characterize the present 

population status and to detect and monitor trends in 

life-history parameters of the humpback whale population in the North Pacific (with focus on the Hawaiian 

Islands); 

3) describe the essential components of humpback whale 

habitat(s) in the Hawaiian Islands; and 

4) identify the county, state and federal agencies that 

would participate in implementating the Recovery Plan 

and the Final Management Plan for the Sanctuary. 

A workshop report providing a summary of the information that was contributed to the workshop by these 

participants was completed in February 1997 and was 

published as part of the NOAA Technical Memorandum Series. 

The three-day workshop consisted on the first day of 

presentations by researchers and resource managers, while 

it focused working group discussions on the last two days. 

Presentations included such topics as humpback whale 

life history, humpback whale habitat, human and natural impacts, and individual agency management responsibilities. Workshop participants were divided into four 

working groups that met several times over the following 

two days and then shared their discussion results with 

the other three groups. The four groups examined: 

1) methodology, 

2) habitat characterization studies, 

3) life history studies, and 

4) recovery plan implementation needs. 

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In September 1995, NMFS convened a working group 

at its National Marine Mammal Laboratory in Seattle, 

to review the Humpback Whale Recovery Plan relative 

to completed tasks identified for the North Pacific humpback whale population(s). The group reviewed results of 

the above-mentioned meeting between the Office of Protected Resources and the Sanctuary Program and developed a draft implementation plan for North Pacific 

humpback whale recovery, for FY 96-FY 98. 

The working group discussed the overall objective of 

population assessment and monitoring of humpback 

whales in the North Pacific relative to the management 

needs of NMFS. There was agreement that recommendations should focus on information needed to evaluate 

the status and recovery of humpback whale populations 

in the North Pacific. The following activities were considered essential to evaluating the status and recovery of 

humpback whales in the North Pacific. 

1) maintain the North Pacific Fluke Collection (photo 

identification catalog); 

2) evaluate rates of humpback whale movement within 

and between geographic regions; 

3) estimate North Pacific basin-wide humpback whale 

abundance; 

4) conduct capture-recapture studies off California, Oregon and Washington, which will allow for an updated 

abundance estimate and evaluation of trends in population size; 

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5) conduct aerial surveys in Hawaiian waters, which were 

proposed to follow the development of an aerial survey 

correction factor in FY96; 

6) develop a correction factor for aerial survey estimates; 

7) conduct capture-recapture surveys in Hawaiian waters; 

8) summarize existing information and expand surveys 

in Southeastern Alaska to study distribution, survivorship and reproductive success; 

9) convene a second workshop to estimate calf mortality; 

10) convene a workshop on adult mortality; 

11) monitor anthropogenic noise on the wintering 

grounds using acoustic tags. Anthropogenic noise poses 

a potential threat to the quality of the habitat used by 

females to nurse dependent calves in Hawaiian waters. 

At this time, the technology to adequately monitor the 

response of humpback whales to anthropogenic noise 

does not exist. However, based on research supported by 

the Acoustic Thermometry of Ocean Climate program, 

a satellite-linked transmitter capable of recording received 

sound levels, depth of dive information, and position 

should be commercially available by FY 98. Therefore, a 

pilot study is recommended to determine the feasibility 

of attaching such transmitters to two to five females with 

calves and two to five females without calves on the wintering grounds. The information obtained by such an 

experiment would be used to design a study that could 

test the hypothesis as to whether anthropogenic noise 

could potentially degrade habitat critical for the recovery 

of humpback whales; 

12) develop a Geographic Information System database 

of whale sightings data; 

13) summarize information on physical and biological 

oceanographic factors that affect the distribution of 

humpback whales; 

14) summarize information on calf distribution in and 

around the Hawaiian Islands; 

15) examine prey biomass and oceanographic data from 

fisheries surveys. Concurrent collection of marine mammal sightings and prey and oceanographic data was 

deemed most valuable and the placement of marine mammal observers aboard fisheries survey vessels was recommended; and 

16) develop quanititative criteria for downlisting and 

delisting North Pacific large whales under section 4(c)(2) 

of the ESA. 

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The ESA requires that, at least once every five years, a 

review of the species be conductedon the List of Endangered and Threatened Wildlife to determine whether or 

not it should be: 

1) removed from the list, 

2) moved from the endangered to the threatened category, or 

3) moved from the threatened to the endangered category. 

NMFS completed its first five-year review on the status 

of endangered whales in 1984. A second review was 

made available in June 1991 (56 FR 29471). 

One of the problems with the current process for amending the status of listed species is that there are no objective criteria for classifying large whales as threatened or 

endangered. In FY95, NMFS contracted the University 

of Washington to develop criteria that are quantifiable 

for populations of large whales. Modeling after and building upon recent work by the International Union on the 

Conservation of Nature (IUCN), the initial approach 

was to develop quantifying criteria used to classify stocks 

in various categories of being threatened (i.e., extinct, 

extinct in the wild, critically endangered, endangered, 

and vulnerable). The goal of the project is to associate 

the two classifications under the ESA with five categories under the IUCN classification scheme and then use 

or revise the quantitative criteria for classifying under the 

IUCN scheme for classifying large whales under the ESA. 

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In addition, in September 1997, the National Marine 

Mammal Laboratory, in cooperation with the Office of 

Protected Resources, undertook a status review for six of 

the eight species of large whales that were previously reviewed in 1984 and 1991. The report of this status review is expected to be completed in FY99. 

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In January 1997, a workshop was conducted by the 

NMFS National Marine Mammal Laboratory (NMML) 

in Seattle to seek expert opinion regarding ESA classification criteria for the North Pacific population of humpback whales and other populations of large whales. At 

the workshop, consensus on a general approach for establishing classification criteria was reached. 

NMFS and other experts agreed that a population could 

be “downlisted” from endangered to threatened when all 

designated wintering and feeding areas maintain a population size such that there is a high probability that it will 

remain above a specified critical level over the following 

ten years. An international conservation regime must be 

in place and be effective in regulating human-related disturbance and mortality of the species as well. 

There was agreement that the proposed criteria were sufficiently flexible to be applied to other large whale species for which adequate information was available to determine population structure. Using humpback whales 

as a starting point, different population structure scenarios will be considered in the context of this classification criteria. In applying the preliminary classification 

criteria to humpback whales, a number of methods of 

incorporating uncertainty will be tested. The current 

ESA criteria are sensitive to assumptions about population structure and will receive further investigation. 

The primary method of evaluating the relationship between specific criteria and various parameters such as 

abundance and abundance trends will involve computer 

simulations using population models appropriate for 

species with life histories similar to humpback whales. 

Additionally, workshop participants believed the proposed criteria could provide a mechanism to address the 

lack of consistency in ESA classification decisions for both 

marine and terrestrial species. 

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In June 1994, the eastern North Pacific stock of gray 

whales was removed from the List of Endangered and 

Threatened Wildlife because of its substantial recovery 

over the previous 40 years. The ESA requires that stocks/ 

species removed from the list be monitored for a minimum period of five years and its status reassessed at the 

end of that period of time. Therefore, NMFS developed, and in 1994 initiated, a five-year monitoring and 

research plan for eastern North Pacific gray whales. 

This program will involve monitoring developments in 

and around the lagoons used by gray whales. Because 

this monitoring program requires cooperation with the 

Mexican Government, NMFS scientists have been meeting, and will continue to meet, with Mexican scientists 

to continue a dialogue on this and other habitat-related 

issues and monitoring and research programs involving 

potential habitat destruction in the lagoons. 

As another part of the five-year monitoring program, 

NMFS conducted north- and southbound survey in 

1997. Counts of southward migrating gray whales were 

conducted as they passed the Granite Canyon research 

station in central California. The northbound surveys 

were conducted to assess whether calf production was at 

the levels expected. The project was directed by NMML 

with assistance from the SWFSC. The abundance estimate in the 1995-96 survey was approximately 22,600. 

In 1997, support for this research was provided by the 

NMFS Office of Protected Resource’s Marine Mammal 

Assessment Program. Results of this survey have not yet 

been analyzed. 

In addition to these abundance estimates, the SWFSC 

conducted five consecutive annual shore-based survey 

since 1994 to estimate calf production for this stock. In 

1994 and 1996, the calf production index, which is derived by dividing the estimate of calves passing Piedras 

Blancas, California, but the most recent estimate for this 

stock, were not significantly different from surveys conducted at the same time in 1980 and 1981. In 1995 and 

1997, however, the calf production index was signifi­

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cantly lower (1995) and higher (1997) than the other 

survey years. The same survey will be conducted in 1998 

and 1999 as part of the five-year gray whale monitoring 

plan. 

During the 1995 meeting of the Scientific Committee 

(SC) of the International Whaling Commission (IWC) 

several papers were prepared and presented on gray whales 

by NMML and the NMFS SWFSC staff. One paper 

reported a substantial increase in the number and proportion of calves observed during the southward migration, which may possibly be a response to the increase 

status of gray whales relative to their carrying capacity. 

The same paper further noted that since the mid-1980s 

and the mid-1990s, the median date of the southward 

migration past the counting site in central California has 

occurred five and nine days later than it occurred in the 

early 1990s. Another paper reported on the results from 

the 1994 northward migration to enumerate the number of gray whale calves in the population. This survey 

was conducted from Piedras Blancas, California. Total 

calf production was estimated at 1,001 calves (SE 92), 

which represents 4.3% of the best estimate total population abundance. This survey was done in response to 

concerns raised over a possible reduction in calf production and indicates that calf production is currently at an 

appropriate level. 

It was also noted during the 1995 SC meeting that 44 

gray whales from the eastern North Pacific stock were 

harvested by Russian subsistence hunters in 1994 under 

the quota established by the IWC. The SC noted that 

this level of take was unlikely to adversely affect this population. Subsistence catch limits for the eastern stock of 

gray whales in the North Pacific for 1995, 1996, and 

1997 have been set by the IWC at 140 animals per year, 

but with the meat and products of the hunt to be used 

exclusively for local consumption by natives. 

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The Mitsubishi Corporation has proposed industrial development in gray whale breeding lagoons of Baja California Sur, Mexico. The proposed development involving construction of a large-scale salt works facility in San 

Ignacio Lagoon would potentially interfere with one of 

the principal winter calving and nursing lagoons for gray 

whales. 

The initial application for a permit to develop the salt 

facility was rejected by the Mexican Government because 

the accompanying environmental assessment did not adequately address possible environmental consequences. 

Subsequently, Mexico’s Ministry for the Environment, 

Natural Resources, and Fisheries established a scientific 

advisory committee. This committee, including NMFS 

biologists and other scientists from the United States, 

Chile, Mexico, and other countries, reviewed scientific 

data relevant to the project and identified environmental 

concerns that needed to be addressed. In June 1996, the 

advisory committee submitted its report to the Ministry, 

and the Mexican Government has required that 

Mitsubishi address the concerns identified by the committee in a revised environmental assessment. 

The revised environmental impact statement has not been 

completed, but when it is submitted to the Mexican Ministry for the Environment, Natural Resources, and Fisheries, it will be forwarded to the scientific advisory committee to determine if it meets the criteria set forth in its 

report. Ultimately, the Mexican Government will make 

the decision as to whether the project will go forward. 

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The National Marine Mammal Laboratory (NMML), 

in cooperation with NMFS Alaska Region and the Cook 

Inlet Marine Mammal Council, conducted an aerial survey of the beluga whale population in Cook Inlet, Alaska, 

during June 11-17, 1996. This provided thorough coverage of the coasts around the entire inlet 1,388 km (833 

mi), as well as 1,538 km (923 mi) of offshore transects. 

Therefore, 100% of the coastal areas where beluga were 

expected to be during this season were searched one or 

more times. Most (81%) of the beluga whales seen in 

Cook Inlet were in the upper Inlet near the mouth of the 

Susitna River, which is typical of their summer distribution. 

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The abovementioned surveys were tentatively planned 

for even numbered years thereafter to monitor trends in 

the population. However, in light of the unstable status 

of the Cook Inlet beluga whale stock, NMFS was encouraged by the Alaska Scientific Review Group in 1997 

to conduct the aerial survey annually. NMFS acknowledged the poor state of the stock and concurred with the 

Group’s recommendation. Results of the 1997 survey 

will be available next year. 

NMML scientists also conducted annual surveys of Cook 

Inlet beluga whales between 1993-1997. Reports analyzing data collected through 1996 were completed in 

1997 and were reported to the International Whaling 

Commission’s Scientific Committee. 

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MMPA section 101(b) provides an exemption from the 

moratorium against taking marine mammals for Alaskan Indians, Aleuts, or Eskimos if the taking is for subsistence purposes or for purposes of creating and selling 

authentic native articles of handicrafts and clothing. These 

takes; however, may be limited by quota and, in some 

cases, other regulations if the species involved is determined to be depleted. Two of the five subsistence takes 

listed below, bowhead whales (Balaena mysticetus) in the 

Beaufort and Chukchi Seas and the northern fur seals 

(Callorhinus ursinus) on the Pribilof Islands, are subject 

to such limitations. The remainder are undergoing harvest level assessments. 

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In 1994, section 119 was added to the MMPA to clarify 

that the Secretary of Commerce (NMFS) has the authority to: 

“enter into cooperative agreements with Alaska Native organizations to conserve marine mammals and provide co-management of subsistence use by Alaska Natives.” 

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Under section 119, NMFS may provide grants to Alaskan Native organizations to facilitate the: 

1) collection and analysis of marine mammal data; 

2) participation of the organization in marine mammal 

research projects; 

3) monitoring of Alaskan Native harvests of marine mammals; and 

4) development of co-management regimes with federal 

agencies. 

In April 1996, the Indigenous People’s Council for Marine Mammals (IPCMM) expressed to NMFS and U.S. 

Fish and Wildlife Service (FWS) its concern about the 

need to develop a framework for governing the development of cooperative agreements for individual species of 

marine mammals. It provided a draft agreement for consideration and, after several workshops and drafting sessions, an official Memorandum of Agreement (MOA)was 

signed by NMFS, FWS, the U.S. Geological Survey, and 

IPCMM on August 27, 1997. This umbrella agreement 

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was designed to assist in the development and implementation of section 119 agreements and promote the 

sustained health of marine mammal populations utilized 

for subsistence. The MOA recommends that section 119 

agreements consider: 

•collection and analysis of marine mammal


natural history and population data


•development of co-management infrastructures


•cooperation in enforcement efforts


•establishment of harvest levels


•development and distribution of public edu­


cation materials


•development of management plans


•incorporation of traditional knowledge into


management decision making


•training


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NMFS works cooperatively with the Alaska Eskimo 

Whaling Commission to monitor the bowhead whale 

(Balaena mysticetus) subsistence harvest. Catch limits for 

the subsistence take of bowhead whales are approved by 

the International Whaling Commission (IWC). At the 

1997 IWC Annual Meeting, a five-year subsistence take 

quota, which will be shared with the Russian Chukotka 

Natives, was established. For the years 1998 - 2002, the 

total number of bowhead whales landed shall not exceed 

280. For each of these years, the number of bowhead 

whales struck shall not exceed 67, except that any unused portion of a strike quota from any year (including 

15 strikes from the 1995-1997 quota) shall be carried 

forward and added to the strike quotas of any subsequent year, provided that no more than 15 strikes shall 

be added to the strike quota for any one year. The quota 

was established by the IWC based on a joint proposal by 

the United States and the Russian Federation. 

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An interim Alaska Native Steller Sea Lion Commission 

was formed in 1994. The Commission was to consist of 

representatives from Alaska communities that take Steller 

sea lions (Eumetopias jubatus) for subsistence needs, and 

was formed to improve communication among these indigenous communities, to advocate for conservation of 

Steller sea lions, to advocate for protection of customary 

and traditional rights of indigenous peoples with regard 

to access and use of sea lions, and to serve as the focal 

point for development of cooperative agreements with 

NMFS. No substantial progress was made during 1995­

96 in establishing a functioning Commission, or in the 

adoption of hunting guidelines originally proposed by 

Native hunters. 

In May 1997, the Aleutian/Pribilof Islands Association 

(APIA) and the Alaska Department of Fish and Game 

(ADF&G), through partial funding from NMFS, sponsored a meeting in Dutch Harbor to address the need for 

a permanent and effective Alaska statewide Steller Sea 

Lion Commission. Those in attendance agreed on the 

need for such a Commission and discussed how it might 

relate to a regional marine mammal commission, considering that the highest level of subsistence take of Steller 

sea lions occurs in the Aleutian and Pribilof Islands, and 

that the species was recently listed as endangered in its 

western range. After some discussion, the representatives agreed that regional concerns could be most effectively addressed by a statewide commission. It was also 

determined, however, that the efforts of the Aleutian and 

Pribilof Islands communities would be primarily focused 

on the establishment of a regional commission leaving 

the task of the statewide Steller Sea Lion Commission to 

others already involved with the initiative. 

Accordingly, representatives from Alaska Native communities in the Aleutian and Pribilof Islands region formed 

a regional marine mammal commission. The purpose 

of this commission is to address management and other 

concerns regarding those marine mammal species, including Steller sea lions, taken by these communities for 

subsistence use. Interim co-chairs were appointed, and 

it was agreed that bylaws would be drafted and circulated to the respective tribal governments for review and 

approval. Upon the development of a final draft, a subsequent meeting will be convened to ratify the by-laws 

and elect officers of the commission. Progress towards 

these goals continued through 1997, and it is anticipated 

that both commissions will be formally established sometime in the fall of 1998. 

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Under section 10(e) of the ESA and section 101b of the 

MMPA, prohibitions on the taking of threatened and 

endangered species normally do not apply to takings by 

Native Alaskans if such taking is primarily for subsistence purposes and if such taking will not adversely affect the recovery of the endangered stock. To date, no 

action either under the ESA or the MMPA has been taken 

to regulate, or otherwise manage, the subsistence harvest 

of Steller sea lions by Alaska Native groups. 

Although Steller sea lions have been a traditional subsistence resource for Alaska Natives in many areas of the 

state, information on harvest levels prior to the 1990s is 

limited. Therefore, beginning in 1992, NMFS provided 

funds to the ADF&G to gather information on the subsistence use of Steller sea lions in Alaska (see Figure 1). 

The annual subsistence take has been estimated by 

ADF&G on the basis of door-to-door surveys with hunters in coastal villages throughout the state. Harvest information is collected by local researchers using retrospective interview surveys in approximately 60 coastal 

communities, encompassing a range from Cape 

Newenham in the Bering Sea, west to Atka, and south 

and east through Southeast Alaska. ADF&G publishes 

an annual report containing the number of animals harvested and the number struck and lost, data on size, seasons, geographic distribution and age and sex of harvested 

animals. The results indicate that few animals in the eastern population are killed; the highest recorded annual 

harvest between 1992 and 1997 is estimated at six animals in 1992. However, the subsistence take from the 

western population is close to the calculated potential 

biological removal level each year, and more than 

three-fourths of the take is by Aleut hunters from the 

Aleutian and Pribilof Islands. 

Data from 1997 as well as the survey process itself are 

being evaluated. The process requires that hunters recollect their activities over the past year, which may be 

very difficult and therefore may lead to inaccurate data 

or unreliable conclusions. 

Nevertheless, the available information is sufficient to 

conclude that the annual subsistence take from the western population is approximately equal or greater than 

the stock’s calculated potential biological removal level. 

NMFS will work closely with Native hunters, villages, 

and commissions to ensure that the annual subsistence 

harvest does not adversely affect the Steller sea lion population. 

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In September 1995, NMFS contracted with ADF&G 

to sample tissues from the subsistence harvest of Steller 

sea lions and to increase educational efforts in three Alaska 

Native communities known to have high annual subsistence harvest levels (St. Paul Island, St. George Island, 

and Unalaska). Sampling of killed animals involved collection of tissues to determine age, sex, genetic composition, physical condition, reproductive history, and exposure to anthropogenic contaminants (see Chapter X. 

Marine Mammal Health and Stranding Response Program). Educational efforts were intended to increase Native awareness of the plight of the Steller sea lion and to 

encourage local management of the subsistence harvest. 

The contractor, in association with the NMFS Alaska 

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Region, held community workshops to discuss Steller 

sea lion recovery efforts and to inform hunters of the 

tissue collection project. This project was continued 

during 1996/97, and project reports are available. 

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Subsequent to the 1997 signing of the MOA between 

several federal agencies and Alaska Natives, NMFS and 

the Alaska Native Harbor Seal Commission (ANHSC) 

started discussions to negotiate a cooperative agreement 

for harbor seals. In December 1997, the ANHSC pre­

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sented the Alaska Region with a draft version of an agreement for consideration. NMFS convened an internal 

working group to evaluate the draft and to discuss it with 

the ANHSC. Meetings of representatives of NMFS and 

the ANHSC are scheduled for 1998 to negotiate a final 

agreement. 

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Since 1992, NMFS has contracted annually with 

ADF&G’s Division of Subsistence, to estimate the annual take of harbor seals within three separate stocks by 

Alaska Natives. Harvest information is collected using 

retrospective interview surveys as described above (see 

Figure 2). 

The stability of subsistence takes of harbor seals is indicated by the relatively small annual rates of change, which 

have varied between -4.0% and +5.0% annually since 

the beginning of the survey. There has been more between-year variation in subsistence takes at the regional 

level, with harvests of harbor seals in southeast Alaska in 

1995 and 1996 being the largest recorded since the project 

began in 1992. This likely reflects local hunting practices and community needs. The age and sex composition has also been stable. Considering known sex information, the male to female ratio has been similar across 

all five of the survey years, ranging from 2.0:1 to 2.4:1. 

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In 1997, the United States again asked the IWC to grant 

approval for an annual subsistence harvest of up to five 

whales from the eastern Pacific stock of gray whales. The 

Makah request is unique in that the Tribe’s 1855 Treaty 

of Neah Bay is the only Indian treaty in the United States 

that expressly reserves a Tribal right to go whaling. 

On October 17, the National Marine Fisheries Service 

released its final Environmental Assessment, which, 

weighing the impacts of the U.S. government’s support 

of the Makah request to continue their traditional practice of whaling and considering several alternatives, concluded that the harvest of up to five gray whales per year 

for aboriginal subsistence use would not have a significant effect on the human environment. 

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At its 1997 meeting, the IWC approved, by consensus, a 

five-year block quota of 620 gray whales (Eschrichtius 

robustus), with an annual cap of 140 animals. The quota 

was a joint proposal by the United States and the Russian Federation and was based on an aboriginal subsistence harvest of an average of four gray whales a year for 

the Makah Indian Tribe, combined with an average of 

120 gray whales by Russian natives of the Chukotka region. 

Over a five-year period, the joint quota will reduce the 

number of whales taken by 80 from the existing Russian 

140-whale annual quota. The Makah hunt could begin 

in the fall of 1998, and will be conducted in accordance 

with a cooperative agreement between between NOAA 

and the Makah Tribal Council. 

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The Alaska Beluga Whale Committee (ABWC) was 

formed in 1988 to promote healthy populations of beluga whales in Alaskan waters, to obtain better harvest 

information and to encourage better communication between beluga hunters, biologists, and agencies. Since its 

formation, the ABWC has met annually to compile reliable harvest information on beluga whale (Delphinapterus 

leucas) takes by Alaska Natives (see Figure 4). Hunters 

from approximately 50 villages belong to the ABWC and 

report annual harvest numbers. Cook Inlet hunters are 

not part of the ABWC. 

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NMFS is concerned with the Cook Inlet population of 

beluga whales , which are now being harvested at a rate 

greater than the Potential Biological Removal level. The 

small population size (estimated at 830), genetic and 

physical isolation from other Alaskan beluga populations, 

and intensive harvest effort may necessitate special designation (e.g., depleted, threatened, or endangered status) 

of this population and/or harvest limitations in the near 

future. NMFS is working with the Cook Inlet Marine 

Mammal Council (CIMMC), an association of area 

Native tribes which have historically harvested belugas, 

to conserve these whales while allowing the opportunity 

for a sustainable subsistence hunt. On January 29-30, 

1997, NMFS met with the CIMMC regarding the current level of removals. The CIMMC responded by limiting harvest to three whales for each captain. However, 

these voluntary limitations were not generally followed. 

Effective management of these whales is currently hampered by several factors, including two of the following: 

The Alaska Native population in the Cook Inlet area 

includes people from local villages, and well as those who 

have moved into the region from eslewhere. Those in the 

latter group may not be members of the CIMMC, or 

other local tribal groups; therefore, they may not be aware 

of or willing to abide by the local tribal group harvest 

guidance and goals. 

The MMPA allows for the commercial sale of edible 

portions of marine mammals in Native villages and towns 

in Alaska. Beluga whale products are being sold in Anchorage at a significant cash value. As a result, hunters 

are taking a large number of animals out of Cook Inlet 

for sale. 

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The subsistence harvest of northern fur seals (Callorhinus 

ursinus) on the Pribilof Islands, Alaska, is governed by 

regulations published under the authority of the Fur Seal 

Act and the MMPA. Pursuant to these regulations, 

NMFS publishes a summary, every three years, of the 

fur seal harvest for the previous three-year period and a 

projection of the number of seals expected to be taken in 

the subsequent three-year period to meet the subsistence 

needs of the Aleut residents on the Pribilof Islands. 

Based on the results of the 1994-1996 harvests and due 

to responses from the tribal governments on St. Paul and 

St. George Islands, NMFS published a notice establishing the annual harvest ranges on the Pribilof Islands for 

1997-1999, as follows: 300 to 500 fur seals from St. 

George Island; and 1,645 to 2,000 fur seals from St. Paul 

Island. In 1997, the subsistence harvest take total was 

1,380 fur seals, including 227 animals on St. George Island and 1,153 animals on St. Paul Island. Subsistence 

harvesting of fur seals was conducted on St. Paul Island 

for 22 days between July 1, 1997 and August 8, 1997, 

and on St. George Island on 13 days between June 30, 

1997, and August 7, 1997. 

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As a step toward achieving the maximum utilization of 

seals harvested for subsistence purposes, the tribal government of St. Paul voluntarily eliminated the “butterfly 

cut” as a standard method of field dressing harvested seals, 

and resolved to take only whole animals off the field. 

The only exceptions to the removal of whole carcasses 

from the field, as permitted by the tribal government, 

are: 

a) those animals taken to accommodate some of the elder residents who are physically unable to butcher whole 

animals supplied to them by the tribal government and; 

b) those carcasses in which the gall bladder was inadvertently ruptured, thus contaminating some of the meat 

with bile. This practice began with the 1995 harvest, 

and during 1997 only five butterfly cut (0.4% of the 

combined Pribilof total take) seals were taken from the 

field under these exceptions. The butterfly cut was never 

a standard field dressing method on St. George Island; 

therefore, removing only whole carcasses from the harvesting field is now a uniform practice in the Pribilofs. 

In cooperation with the tribal governments of St. Paul 

and St. George Islands and the Pribilof Islands Stewardship Program, NMFS continued to make significant 

progress toward “full utilization” of the animals taken in 

the subsistence harvest through the development and reestablishment of traditional art and handicraft skills. 

Among the most notable uses of the inedible portions of 

the animals taken are the traditional processing of pelts, 

throats, teeth, bone and other parts for barter, art and 

handicraft purposes. The increase in traditional use of 

these materials has substantially reduced the level of harvest byproducts previously discarded. NMFS will continue to monitor the entire harvest on St. Paul Island and 

a portion of the harvest on St. George Island during the 

1997-1999 seasons. 

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The Marine Mammal Protection Act (MMPA) places a 

moratorium, subject to certain exceptions, on the taking 

andimporting of marine mammals and marine mammal 

products. One exception to the moratorium provides for 

the issuance of permits by NMFS for specific marine 

mammal species. NMFS also administers provisions 

within its permit program, pursuant to the MMPA , the 

Endangered Species Act (ESA), and the Fur Seal Act 

(FSA), as they apply to species under the jurisdiction of 

the Secretary of Commerce. NMFS has jurisdiction over 

all cetaceans (whales, dolphin, and porpoises) and all pinnipeds (seals, sea lions, and fur seals) except the walrus. 

Under these statutes, permits may be issued for public 

display, scientific research, enhancement, and photography. 

Between January 1, 1997 and December 31, 1997, 

NMFS issued 30 permits. Of these, one was issued for 

public display, 26 were issued for scientific research, and 

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three were issued for photography. In addition, 12 letters of confirmation were issued for “Level B harassment” 

under the General Authorization for Scientific Research. 

NMFS also processes permit amendments if the proposed modifications meet the appropriate statutory and 

regulatory standards, as well as other permit-related authorizations. There are two amendment categories: major and minor. An amendment of an existing permit, 

including a request for extension of a permit by more 

than 12 months beyond its original term, or a request for 

authorization to continue activities under a permit, is 

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usually subject to the same notice, review and comment 

procedures as a permit application. During the 1997 

reporting period, 22 major permit amendments were processed. 

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On May 10, 1996, NMFS published a final rule in the 

Federal Register that amended the regulations for permits 

under the MMPA, the ESA and the FSA (61 FR 53320). 

This rule updates and consolidates the regulations for 

special exception permits and establishes basic permit requirements applicable to all permits to take, import, and 

export marine mammals and marine mammal parts for 

purposes of scientific research and enhancement, photography, and public display under the MMPA. It also 

provides additional permit criteria specific to scientific 

research and enhancement only and establishes administrative procedures for determining the releasability or nonreleasability of stranded marine mammals and their disposition after release. 

The final rule does not include the additional requirements specific to photography or public display established by the 1994 Amendments. NMFS will publish a 

separate proposed rule in 1998 for public comment for 

public display. A proposed rule for photography permits 

will be considered in 1999. 

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The 1994 Amendments to the MMPA established a new 

provisions to allow marine mammals in the wild to be 

photographed for educational and commercial purposes. 

These permits are limited to “Level B” harassment of 

non-endangered marine mammals and require that the 

photographic products be made available to the public. 

Until final regulations are published, NMFS limits the 

authorization of photographic activities to one year and 

requires a report on the activity and its effect on the marine mammals within 60 days of the completion of the 

photographic work. During 1997, three permits and 

one permit amendment were issued for commercial photography. 

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Beached or stranded marine mammals taken under the 

authority of section 109(h) of the MMPA may be held 

only for the purpose of rehabilitation until: 

1) the animal is returned to its natural habitat; 

2) NMFS concurs with a determination by the attending veterinarian that it is not feasible to return the animal 

to its natural habitat and permanent holding is authorized by NMFS; or 

3) NMFS authorizes the permanent retention of the animal as a substitute for the capture of one of the same 

species from the wild even though the attending veterinarian determines that the animal is releasable. 

The permanent retention of a rehabilitated beached or 

stranded marine mammal must be authorized by NMFS, 

in accordance with applicable MMPA requirements, before a non-releasable animal may be retained by the rehabilitating facility or transported or exported to another 

facility for public display purposes. Additionally, the recipient or retaining facility must meet the three public 

display criteria. During 1997, only one beached and 

stranded marine mammal was determined non-releasable and was transferred to another domestic facility for 

public display purposes. 

A permit is required to retain or obtain rehabilitated 

beached and stranded marine mammals for purposes of 

scientific research, enhancing the survival or recovery of 

marine mammal species or stocks or to retain a releasable 

marine mammal for purposes of public display in lieu of 

a capture. 

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The MMPA Amendments of 1994 also required NMFS 

to issue a General Authorization (GA) and implementing regulations for bona fide scientific research involving 

“Level B harassment” of marine mammals in the wild. 

In lieu of a scientific research permit, the GA provides a 

simplified process for authorizing research activities in­

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volving low levels of harassment for species not listed as 

endangered or threatened under the ESA. Research activities that are expected to cause no more than “Level B 

harassment” include photo-identification studies, behavioral observations, and vessel and aerial population surveys. An Interim Final Rule was published on October 

3, 1994 (59 FR 50372). Comments on the interim 

final rule were received, and a final rule will be published 

in 1998. 

From January 1, 1997 through December 31, 1997, 

NMFS received ten letters of intent to conduct “Level 

B” harassment on marine mammal species or stocks for 

scientific research purposes; 12 proposals were approved, 

including two proposals that were received in 1996. 

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Information on marine mammals held in captivity must 

be submitted for purposes of the Marine Mammal Inventory. This inventory included animal-specific data 

such as animal identification, sex, estimated or actual birth 

date, date of acquisition or disposition by the permit 

holder, source of acquisition including location of the 

take from the wild if applicable, name of recipient if animal is transferred, notation if animal was acquired as the 

result of a stranding, date and cause of death, and 15-day 

prior notification of any sale, purchase, export, or transport). Several demonstrations of the Marine Mammal 

Inventory database were presented during 1997 to representatives of the public display industry including a 

presentation at the Annual Conference of the Zoo Registrars Association. Other presentations were also given 

to representatives of U.S. Fish and Wildlife Service, the 

Marine Mammal Commission, and the U.S. Department of Agriculture’s Animal and Plant Health Inspection Service (APHIS). 

Section 104(c)(2)(A) of the MMPA allows for the public 

display of marine mammals provided that the holder: 

1) offers a program for education or conservation purposes that is based on professionally recognized standards 

of the public display community; 

2) is registered or holds a license under the Animal Welfare Act (AWA); and 

3) maintains facilities for the public display of marine 

mammals that are open to the public on a regularly scheduled basis and not limited or restricted in access except 

for admission fees. 

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Marine mammals may be exported from U.S. facilities 

as long as the foreign recipient meets requirements comparable to those a U.S. recipient must meet. 

Because foreign facilities are not subject to licensing or 

registration requirements under the AWA, it is only 

through the MMPA’s comparability requirement that adequate care of marine mammals transferred to foreign 

facilities can be assured. Following a policy established 

in 1975, NMFS continues to require the foreign government with jurisdiction over the facility to provide a certification that includes a comity statement to enable 

NMFS to enforce the comparability provisions of the 

MMPA once the animals have been exported. 

The Office of General Counsel reviewed the legal basis 

for the NMFS policy in 1997 and concluded that the 

requirements are reasonable within the context of the 

MMPA. This policy will be reflected in the proposed 

rule for public display to be published in 1998 and will 

be available public comment at that time. 

During 1997 the following live marine mammals were 

exported: 

• two Atlantic bottlenose dolphins (Tursiops truncatus) 

and eight California sea lions (Zalophus californianus) to 

the People’s Republic of China; 

• eight Atlantic bottlenose dolphins to Zeedierenpark, 

the Netherlands 

• two Atlantic bottlenose dolphins to Dolphin Quest -

French Polynesia; 

• five California sea lions and one harbor seal (Phoca 

vitulina) to Canada’s Wonderland for a seasonal exhibit; 

and 

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• two California sea lions to Trilogy Entertainment North, 

Ltd., Vancouver, British Columbia, Canada, for temporary holding during the production of a film. 

As part of the comity arrangements made for exports, 

inventory of exported animals is maintained by NMFS. 

In December 1997, two dolphins escaped from Dolphin 

Quest-French Polynesia; one was recovered and the other 

is presumed dead. 

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NMFS is studying activities that may adversely effect 

marine mammals, including the impact of anthropogenic 

(manmade) sound in the marine environment. NMFS’ 

goal is to develop new policies and procedures consistent 

with the MMPA and cognizant of the needs of the affected communities and stakeholders. 

As a first step toward this goal, NMFS established an 

Acoustic Team responsible for ensuring in-house coordination on protected species acoustic issues. The Team is 

preparing a publication that describes the problems that 

noise in the marine environment creates, addresses the 

issue of “harassment” as defined in the MMPA Amendments of 1994 and explores various policy options. 

In December 1996, an Interagency Coordinating Group 

(ICG) was established to explore both individual and 

common avenues for addressing acoustic issues. The 

group is comprised of representatives from NMFS, the 

Marine Mammal Commission (MMC), the Office of 

Naval Research (ONR), the Minerals Management Service, the U.S. Coast Guard, the U.S. Geological Survey, 

and the U.S. Army Corps of Engineers. 

During 1997, the ICG agreed to sponsor a series of workshops to obtain scientific information on acoustic questions. The first workshop in the series is the Behavioral 

and Nonhearing Physiological Responses of Marine 

Mammals to Manmade Sound, to be funded by ONR, 

planned for late 1997 or early 1998. The second concerns Acoustic Criteria/Impact Assessment, to be funded 

by NMFS, planned for early or mid-1998. The goal of 

the latter workshop is to determine under what circumstances producers of anthropogenic sound in the marine 

environment need apply for an authorization from 

NMFS. 

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On September 8, 1997, a scientific research permit was 

issued to researchers at Cornell University, funded by the 

U.S. Navy, to gather data on the potential impact of low 

frequency sound on marine mammals judged to be particularly sensitive to low frequency noise. 

The permit authorized the conduct of Phase I of a proposed three-phase study. Phase I involved visual and 

acoustic monitoring during playback transmissions of 

blue whales and fin whales. The permit was amended 

on December 30, 1997, to authorize Phase II. In Phase 

II, similar visual and acoustic monitoring will be conducted with gray whales during migration. A 30-day 

public comment period preceded each permit action and 

approval was based, among other things, on extensive 

mitigation measures to prevent adverse effects. Environmental assessments were prepared for both phases of the 

research, and NMFS issued a “Finding of No Significant 

Impact” for each. 

Data obtained from this research are expected to contribute to the completeness and accuracy of an Environmental Impact Statement (EIS), currently being prepared 

by the Navy, on the proposed worldwide operational employment of a Surface Towed Array Surveillance System 

- Low Frequency Active (SURTASS - LFA) sonar system. In addition to providing information for the EIS, 

the research also may contribute to current knowledge 

about the effects of many other human-made sources of 

low frequency sound in the ocean, such as shipping. Such 

data should prove useful in developing policies concerning noise in the ocean. 

Visual and acoustic monitoring during Phase I playback 

transmissions showed no obvious behavioral responses 

from blue whales (Balaenoptera musculus) or fin whales 

(Balaenoptera physalus). However, although changes in 

whale vocalizations were not detected in the field, subse­

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quent statistical analyses indicated a decrease in vocal 

activity of fin and blue whales. 

The specific goals of Phase III will be to assess the potential effects of LFS on the behaviors, vocalizations, and 

movements of humpback and sperm whales off the Big 

Island of Hawaii during mid-February to mid-April 1998. 

This research “window” allowed for a maximum of 30 

days of LFS playback experiments. A subset of the 

SURTASS-LFA sonar system was used that is specifically adapted for LFS playbacks. A passive array of underwater microphones tracked singing whales, and sophisticated computer models were used to predict the 

acoustic field generated during the transmissions and 

potentially sensed by the whales. These models allowed 

the investigators to precisely control the sound exposure 

to the individual whale they were following. Extensive 

visual and acoustic monitoring protocols and mitigation measureswerefollowed to minimize the chance that 

any marine mammal orsea turtle wasexposed to harmful sound levels. 

The application for the amendment was received on December 17, 1997 and will be published in the Federal 

Register for public comment in early January 1998. 

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Between May 18-26, 1997, NMFS embarked upon a 

media and education campaign in Florida to increase 

public awareness that feeding and harassing wild dolphins is harmful to the animals, dangerous to people, 

and is illegal under the MMPA. A NMFS team comprised of staff from the offices of Protected Resources, 

Public Affairs, Enforcement, and the Southeast Region 

visited four locations in Florida where human/dolphin 

interactions in the wild are a concern: 

1) Panama City/Destin/Ft. Walton Beach, 

2) Melbourne/Orlando, 

3) the Florida Keys, and 

4) Sarasota/ Tampa/St. Petersburg. 

Panama City Beach was chosen as the first stop because 

the problem of public interactions (i.e., feeding and swimming) with wild bottlenose dolphins has a long-standing 

history in the area. Local television, print, and radio media in each area were provided with a press kit and an 

opportunity to meet with the NMFS team and key constituent groups from the marine mammal research, conservation and public display communities. The Cable 

News Network produced and aired a segment for their 

“Earth Matters” news show, and an Audubon magazine 

reporter accompanied the NMFS team for a feature article in the September/October 1997 issue. 

During the campaign, NMFS unveiled a new brochure 

and poster entitled “Protect Dolphins - Admire Them 

From A Distance,” and announced a new enforcement 

effort to address this persistent problem in the Southeast. For 1997, NMFS established a contract with the 

Florida Marine Patrol whereby officers would deter dolphin feeding and harassment and would distribute the 

new educational materials. The brochure and poster were 

also distributed throughout the Southeast by NMFS 

enforcement officers, public display facilities, and environmental groups. 

NMFS believes that public awareness is a key factor in 

effectively addressing this problem because most people 

who engage in such activities presumably do not realize 

that they are placing the dolphins and themselves at risk. 

NMFS is working with researchers, public display facilities, and environmental groups to foster a “wildlife ethic” 

for the public to follow when in the natural habitat of 

marine mammals. For the Southeast Region, NMFS encourages passive observation from a safe distance of at 

least 50 yards with binoculars or a telephoto lens as the 

best way to observe wild dolphins. 

Regarding marine mammal feeding, the regulations explicitly prohibit such activities (50 CFR 216.3). The 

feeding prohibition was upheld in 1993 by the U.S. Fifth 

Circuit Court of Appeals, and it remains illegal to feed 

marine mammals in the wild. This regulation is widely 

supported by the scientific research and environmental 

communities since provisioning of wildlife is known to 

be harmful. An in-depth review conducted by NMFS, 

outside marine mammal experts, and the MMC, deter­

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mined that feeding marine mammals in the wild is contrary to the mandates of the MMPA to protect individuals, species and stocks of marine mammals, and alters 

their behavior in ways that place them at increased risk 

of injury and death. Repeated exposure to humans and 

human activities has been correlated with increased risk 

of interactions between these animals and vessels and 

fishing activities, vandalism, and ingestion of inappropriate and contaminated food items. In addition, feeding may impact their ability or willingness to forage for 

food. This latter alteration in behavior is of particular 

concern for young animals who need to learn foraging 

skills. 

Regarding “Swim-With-Dolphin” (SWD) programs in 

the wild, NMFS is concerned that such activities are harassing the animals. Unlike whale watching activities 

which are supposed to be conducted from passive observational platforms, SWD programs conducted in the wild 

seek out and interact with dolphins in a manner that has 

the potential to disturb the animals’ natural behavioral 

patterns. SWD activities in Panama City, Florida are of 

particular concern because they are directly facilitated by 

illegal dolphin feeding. In Hawaii, SWD activities that 

target Hawaiian spinner dolphins (Stenella longirostris) 

are encroaching upon the dolphins’ daytime resting areas in shallow bays and coves, and there is concern that 

the dolphins are being disturbed and harassed by swimmers and, most notably, that offshore movements in response to such harassment may make them more vulnerable to shark predation. Plans to continue the public 

education campaign are in place for 1998. 

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Releasing long-term captive marine mammals has the 

potential to harm both the released animals and the wild 

marine mammals they encounter. Experts are concerned 

about the ability of a released animal to hunt for food, 

defend itself from predators, and avoid interactions with 

people and boats. Other concerns include disease transmission and unwanted genetic exchange between a released animal and wild marine mammal stocks, as well 

as any behavioral patterns developed in captivity that 

could affect the social behavior of wild animals as well as 

the social integration of the released animal. 

NMFS maintains that in order to protect the health and 

welfare of marine mammals, any release should be conducted only under a MMPA scientific research permit. 

Applications for such permits are subject to scientific and 

public review, and would involve the development of a 

release protocol that addresses important concerns such 

as whether or not: 

1) a released animal is properly and humanely prepared 

to live in the wild; 

2) long-term follow up monitoring of the animal is conducted; 

3) wild marine mammals are affected; and 

4) contingency plans are in place if it is necessary to rescue a released animal. 

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Two separate unauthorized releases of captive dolphins 

occurred in Florida during May 1996. The first involved 

two female dolphins who were released into the Indian 

River from their ocean pen allegedly by vandals. Neither 

dolphin was recovered, and there were no confirmed 

sightings of them in 1996 or 1997. As a result, it is not 

clear whether or not they survived. The second incident 

involved two male dolphins who were released to the 

wild off the coast of Key West, Florida and were later 

successfully rescued by NMFS with the assistance of several law enforcement and marine mammal organizations. 

In 1997, charges were filed against several parties for harassing and illegally transporting the two male dolphins 

in connection with their deliberate release six miles off 

the coast of Key West. After the dolphins were released, 

they were found injured, emaciated, and begging for food 

from boaters in local marinas. Alleging multiple violations of the MMPA, NOAA assessed a maximum allowable fine of $10,000 for each of the six counts charged, 

resulting in a total of $60,000 in penalties against those 

involved. 

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NMFS had discussions in 1997 with the Free Willy-Keiko 

Foundation with regard to possible plans for the future 

retention or release of “Keiko,” a captive killer whale 

(Orcinus orca), that attracted worldwide attention for his 

starring role in the movie “Free Willy.” The permit issued in September 1995 for the import of this animal 

includes a condition requiring a scientific research permit be in place prior to release. The Foundation is exploring the possibility of relocating “Keiko” to a sea pen 

in the North Atlantic for continued public display, while 

continuing to evaluate whether an eventual release is appropriate. 

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When the MMPA was amended in 1994, NMFS’ role 

in specifying care and maintenance standards for captive 

marine mammals was eliminated. This responsibility 

now belongs solely to the U.S. Department of 

Agriculture’s Animal and Plant Health Inspection Service (USDA-APHIS). To implement this change, NMFS 

has taken the lead in revising a 1979 Memorandum of 

Agreement (MOA) among NMFS, U.S. Fish and Wildlife Service and APHIS. Several meetings were held in 

1997 with the parties and representatives of the Marine 

Mammal Commission to resolve differences in several 

areas of concern including the respective responsibilities, 

lack of jurisdiction and determinations associated with 

the export of marine mammals to foreign facilities. A 

final agreement is expected to be signed in 1998 and will 

promote the effective and cooperative implementation 

of the MMPA and the Animal Welfare Act (AWA) particularly as they related to the standards governing the 

humane handling, care, treatment, and transportation 

of captive marine mammals and to ensure the responsibilities of the agencies under the MMPA and AWA are 

met efficiently and with a minimum of duplication. 

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During 1995-1996, NMFS was included as a non-voting observer to the USDA-APHIS negotiated rule-making process to revise the marine mammal captive care 

standards under the AWA. This federal advisory committee consisted of several voting and non-voting (“observer”) members. NMFS suggested that the advisory 

committee address certain practices authorized under the 

AWA that could potentially impact marine mammals in 

the wild which are under the jurisdiction of the MMPA. 

Specifically, open-water pens and releases of captive marine mammals to the wild for various purposes (i.e., filming, scientific research, swim-with programs) have the 

potential of facilitating disease transmission and unwanted genetic exchange between captive animals and 

those in the wild. NMFS recommended that facilities 

with open-water pens be required to have closed-water 

system quarantine pools. 

In addition, NMFS recommended that the proposed rule 

include an explicit reference to the MMPA requirement 

that captive marine mammals may only be released to 

the wild under a scientific research permit issued by 

NMFS. Also, NMFS suggested that the regulations 

which allow the public to feed captive marine mammals 

(i.e., feeding or petting pools) be amended to require 

that the public be informed that feeding and interacting 

with marine mammals in the wild could be harmful to 

the animals; why it could be harmful, and that feeding is 

prohibited under federal law. These recommendations 

were not adopted by the committee; however, they may 

be offered again as comments on the proposed rule. 

The proceedings of this negotiated rule-making are currently under consideration by USDA-APHIS for possible publication of a proposed rule-making on the AWA 

care and maintenance standards. APHIS is working on 

the proposed rule and expects to publish it in 1998. 

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Four applications for public display were considered during 1997. One was issued, two applications were withdrawn, and one was denied. 

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An application was submitted by Sea World, Inc., for a 

permit to import one adult beluga whale (Delphinapterus 

leucas), from the Vancouver Aquarium in Stanley Park, 

Vancouver, B.C., Canada, to Sea World’s San Diego fa­

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cility. Although the whale had been in captivity at 

Vancouver since his collection in 1980, the proposed 

import was controversial. In 1992, the Canadian Minister of Fisheries and Oceans announced a ban on the capture of beluga whales from Canadian waters for export 

to other countries. Commenters contended that the Canadian government policy would apply to this import; 

however, the Canadian government issued a CITES export permit from Canada. The proposed import was determined to be consistent with the purposes and policies 

of the MMPA, and NMFS issued a permit on July 9, 

1997. 

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An application for a public display permit was submitted by the Dallas World Aquarium. The applicant requested authorization to import four Amazon River dolphins (Inia geoffrensis). The dolphins would be collected 

from the Apure river near San Fernando, Venezuela and 

maintained temporarily at the J.V. Seijas Aquarium in 

Valencia until the public display facility at the aquarium 

in Dallas was completed. This application was very controversial because this species has an extremely poor record 

of survival in captivity, had been on the candidate species list for ESA listing, and was listed as an IUCN species of concern. Following the close of the public comment period on September 15, 1997, the applicant 

withdrew the application stating it would not capture 

any wild dolphins in Venezuela and would surrender its 

collection license to the Venezuelan Service Agency 

PROFAUNA. 

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The Big Apple Circus, Walden, New York, submitted an 

application to import two Patagonian sea lions (Otaria 

byronia) from Conny-Land, a public display facility in 

Lipperswil, Switzerland, to travel with the circus for its 

1997-1998 exhibit season. During their 14-month stay 

in the United States, the animals would be accompanied 

by their trainer from Conny-Land and maintained at 

the applicant’s new facility in Walden, New York when 

not traveling with the circus. This application was highly 

controversial. During the comment period, commenters 

raised several issues including the humaneness of the original collection and various inconsistencies in the chain of 

custody of the animals. When the comment period ended 

on September 29, 1997, the applicant was informed of 

the issues and given an opportunity to address them or 

to withdraw the application. On October 29, 1997, the 

applicant withdrew the application. 

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M&M Amusement Park, Caguas, Puerto Rico, applied 

for a permit to temporarily import three South American sea lions (Otaria flavenscens) and two Atlantic bottlenose dolphins (Tursiops truncatus) for a traveling exhibit 

to the cities of San Juan, Ponce, and Mayaguez. This 

application was particularly controversial since a traveling exhibit involving cetaceans has never been issued a 

permit by NMFS. This application was denied based on 

several issuance criteria for public display permits, e.g., 

applicant did not hold an exhibitor’s license issued by 

the USDA-APHIS; there were several areas of noncompliance with animal welfare regulations; and failure to 

identify the professionally recognized standards on which 

the education program was based. Furthermore, there 

were several inconsistencies regarding the chain of custody of the sea lions. Additionally, the U.S. Customs 

Service advised that the prohibition of the import of Cuban-origin merchandise into the United States applied 

to dolphins captured in Cuba. 

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After going into bankruptcy during the summer of 1997, 

the Maine Aquarium went into receivership of the Small 

Business Administration. In September 1997, APHIS 

notified NMFS that the aquarium no longer held a valid 

Exhibitor's license under the AWA. APHIS determined 

that they could not take action under the AWA to place 

the seals in an appropriate home and asked NMFS for 

assistance to ensure that the public display requirements 

under the MMPA would be upheld. APHIS offered the 

assistance of a veterinarian inspector who was familiar 

with the situation, and the Detroit Zoo was contacted 

and agreed to take custody of the seals. The NMFS Offices of Protected Resources and Northeast Region Enforcement plan to take temporary custody of the seals 

during the first week of January 1998. 

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In 1992, the Marine Mammal Health and Stranding Response Act (MMHSRA) was enacted and became Title 

IV of the MMPA. It contains three basic elements: Marine Mammal Stranding Networks; Response to Unusual 

Mortality Events; and the National Marine Mammal 

Tissue Bank. 

To implement the Act, NMFS has instituted the Marine 

Mammal Health and Stranding Response Program 

(MMHSRP) that includes: 

• stranding networks; 

• response to unusual mortality events; 

• monitoring; 

• the National Marine Mammal Tissue Bank; 

• quality assurance; and 

• information management. 

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Marine Mammal Stranding Networks have been established in each of NMFS’ regions and are organizations, 

facilities, or individuals that meet minimum requirements 

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as designated in a Letter of Agreement (LOA) for marine 

mammal responses and can be states, aquaria, universities, or non-profit organizations. Most of the people 

carrying out the responsibilities of the stranding networks 

are volunteers. Different levels of authorization may apply (e.g., response to live stranded animals is generally 

limited to those institutions that have medical expertise 

and the physical facilities to rehabilitate animals). 

As a part of their LOA, network members arerequired to 

collect certain basic biological data (Level A data) including species name, sex, length, location, and any evidence of human interaction. In addition, they are encouraged to collect other data and tissues for use in scientific research, for determination of cause of death, for 

additional evidence of human interactions, for educational purposes, for life history investigations and other 

biological research needs. 

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The Northeast network consists of letterholders in ten 

states from Maine to Virginia. A total of 597 marine 

mammal strandings were reported in the Northeast Region in 1997. These reported strandings included 351 

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pinnipeds and 246 cetaceans. Although the total stranding numbers are larger in 1997 than in 1996, this represents a small decrease in numbers of pinniped strandings 

and an increase in the numbers of cetacean strandings. 

The increasing trend in strandings of ice seals has stabilized and there were fewer harp (119) and hooded (40) 

seal strandings in 1997 than in 1996 (153 and 46 respectively). Nevertheless, these animals continue to move 

out of their traditional habitat ranges and strand as far 

south as Florida an dPuerto Rico. Most of these animals 

show signs of nutritional stress and are often in a weakened state when found. 

Consistent throughout this decade, bottlenose dolphins 

(74) and harbor porpoises (82) comprised the majority 

of the cetacean strandings in the Northeast. Of interest 

for large whales was an increase in minke whale strandings 

(15) for the Northeast region. Of the 20 large whale 

strandings noted in the Northeast, two were fishery related and one was a ship strike. 

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In 1997, 608 marine mammal strandings were reported 

in the NMFS Southeast Region was a decrease from the 

1996 levels (795). Of these strandings, only three were 

pinnipeds with the remaining 605 being cetaceans. Consistent with previous years, bottlenose dolphins comprised 

the majority of cetacean strandings (490). 

In 1997, there was a relatively high number of live 

strandings (95) in the Southeast region, which included 

a mass live stranding. Excluding the mass stranding, the 

live strandings included three pinnipeds and 57 cetaceans. 

Similar to previous years, pygmy sperm whales and bottlenose dolphins were the two highest live stranding species. Of those live-stranded, only four animals were rehabilitated and released in the Southeast in 1997, and 

these were all bottlenose dolphins. 

A mass stranding of rough-toothed dolphins (Steno 

bredanensis) took place at Cape San Blas, Florida on 

December 14, 1997. Although over 60 animals were 

initially reported, by the time the response personnel were 

on the scene, 35 live animals were on the beaches. Due 

to strong winds and high seas, the animals could not be 

immediately taken offshore and were instead moved to a 

protected bay. On the second day of the stranding event, 

only 16 animals remained alive, and they were moved to 

rehabilitation centers. 

As a result of the efforts of volunteers and response personnel, full necropsies and sample collections were done 

on all the dead animals. Samples were collected for histopathology, serology, toxicology, specimen archival and 

life history. Of the 16 animals taken to rehabilitation 

centers, four are being rehabilitated with the goal of releasing them back into the wild. 

Rough-toothed dolphins usually live in small groups, although groups of 100 animals have been reported. They 

are pelagic animals and live in tropical to warm temperate areas. Strandings of this species rarely occur except in 

the southeastern Atlantic-Caribbean and Gulf of Mexico 

where strandings of small numbers occur at one to fiveyear intervals. This large mass stranding was a rare event 

and provided a unique opportunity to learn more about 

this species. 

During the spring, summer, and fall of 1997, the MidAtlantic area had a beach-based observer program for 

the coasts of Maryland, Virginia, and North Carolina. 

This beach-based observer program was coordinated 

through the University of North Carolina, Wilmington 

and was funded through the NMFS Southeast Fisheries 

Science Center. Regular surveys of the beach increased 

the reporting of stranded animals and the detection of 

fishery interactions. In addition, the group was better 

able to determine the timing of fishery-related mortalities. 

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The NMFS Southwest Regional stranding network is 

comprised of two distinct areas, California and the islands of Hawaii. A total of 2,176 marine mammal 

strandings were reported to the Southwest Region in 

1997, made up of 2,048 pinnipeds and 115 cetaceans. 

The numbers of animals released back into the wild after 

rehabilitation were 504 pinnipeds and one cetacean. For 

pinnipeds, this number is significantly higher than normal, and these stranded animals were primarily comprised 

of California sea lions (Zalophus californianus) (1252) 

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and northern fur seals (Callorhinus ursinus) (50). As with 

the 1996 strandings, there were also strandings of harbor 

seals (Phoca vitulina), elephant seals (Mirounga 

angustirostris), two Guadalupe fur seals (Arctocephalus 

townsendi), and seven Steller sea lions (Eumetopias jubatus) 

in California. The increased strandings were attributed 

to the El Niño event that raises the water temperature 

near the coastline, moving the preferred prey items into 

deeper, less accessible waters.These changes make foraging difficult for newly weaned pups. As a result, many 

do not survive the yearling stage. In addition, many young 

nursing pups do not survive to weaning, as their mothers take extended feeding trips, are not able to nurse them 

as often, and the pups die due to extreme malnourishment. 

The resulting forced change in prey items may make the 

pinnipeds more susceptible to the introduction of “new” 

pathogens such as parasites and other disease-causing 

organisms. This could further impact these animals by 

compromising their already stressed immune systems. 

Gray whale (Eschirictius robustus) calf strandings are increasing on the coast of California, with one being taken 

to Sea World in San Diego for rehabilitation. A total of 

six gray whale calf strandings occurred in 1997. Four of 

these were live strandings, and only one was taken into 

captivity for rehabilitation. 

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The Northwest Regional stranding network covers the 

coasts of Oregon and Washington including the Puget 

Sound coastline. The NMFS Northwest Region stranding networks reported a total of 268 strandings, of which 

249 were pinnipeds and 19 cetaceans. Thirty-two harbor seals were rehabilitated and released alive in 1997; 

however, no cetaceans were rehabilitated and released. 

Peak stranding numbers were reported from the summer months, coincident with the harbor seal pupping 

season in the inland waters of Washington. Field biologists and stranding network personnel continue to evaluate the incidence of brucella in marine mammals from 

this region in cooperation with state and federal laboratories. 

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The Alaska Regional stranding network covers a tremendous amount of coastline, however much of it is uninhabited or inaccessible. A total of 26 cetacean strandings 

and 32 pinniped strandings were reported to the Alaska 

Region. Of these, six animals were released back into the 

wild (five harbor seals and one ringed seal). Twelve of 

the cetacean strandings were baleen whales, of which six 

showed evidence of human interactions (ship strikes and 

fishery interactions). 

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In response to the deaths of hundreds of bottlenose dolphins on the East Coast of the United States in 1987­

1988, Congress added Title IV to the MMPA. Title IV 

included a number of provisions for dealing with unusual marine mammal mortality events. It called for the 

establishment of three main components: the Working 

Group on Unusual Marine Mammal Mortality Events, 

a contingency plan for such events, a fund to support the 

response of such events (contingency fund) and a data 

management system. 

Section 304 of the MMHSRA directed NMFS to establish a Working Group on Unusual Marine Mammal Mortality Events, which was formalized in 1992. This group 

consists of individuals from a range of scientific disciplines, including veterinary medicine, pathology, epidemiology, toxicology, and marine mammal science, who 

are appointed to the Working Group for three-year terms. 

The Working Group is consulted when an unusual mortality event is suspected, determines whether such an event 

is actually occurring, and provides advice on specific actions that should be taken to respond to an event, as well 

as determine when the event is over. The Working Group 

held their annual meeting in April, 1997 in which they 

reviewed the 1996 mortality investigation results. 

In calendar year 1997, the Working Group was consulted 

three times concerning possible mortality events in the 

United States. Only one of the events resulted in an 

active investigation of a possible cause, while the other 

two events were considered recurring phenomena and 

were monitored. 

From March 25, 1997 to August 30, 1997, 90 harbor 

seals (Phoca vitulina) stranded in the vicinity of Point 

Reyes, California. Eighty-two percent of the stranded 

seals were adults and 68% were adult males. At this time 

of the year, the harbor seal population in the area typically numbers about 5,000 animals. In the previous ten 

years, only three stranded adult harbor seals had been 

recorded. 

As in previous mortality events, most of the animals were 

too decomposed to provide samples for detailed analyses. Only eleven seal carcasses were fresh enough to conduct full necropsies and to obtain tissues for examinations. These animals exhibited similar lesions and had 

lungs which were heavier and larger than normal. All 

had severe pneumonia, and two also had brain lesions. 

Serological testing was negative for herpes virus, 

morbillivirus, and influenza virus. Bacterial cultures 

showed a wide range of secondary pathogens, and water 

testing for harmful algal blooms was negative throughout the event. Based on the pathology results, the scientific team is still investigating an infectious etiology. At 

this time, no definitive causative agent has been identified; however, work continues on tissues and blood collected during the event. The Marine Mammal Center in 

Sausalito, California lead the response, and the University of California, Davis has been leading pathological 

examinations. 

In October 1997, the Working Group was consulted on 

two further events affecting pinnipeds in California. Because both events represented periodic events, the Working Group only recommended that they be monitored. 

There was a slight increase in the number of California 

sea lion (Zalophus californianus) strandings. There were 

111 in September and 45 in October, with elevated numbers again in November. Simultaneously, stranding network members observed an increase in the number of 

sea lions with leptospirosis. Leptospirosis is enzootic (limited) to California sea lions, and it periodically occurs in 

increased numbers in stranded animals, primarily juvenile males. 

Whenever an El Niño occurs, large numbers of pinnipeds are affected. Large mortalities of pinnipeds occured 

during the El Niño year of 1982-83 and 1992-93. Another major El Niño event began in 1997. A distinction 

can be made between mortality patterns of otariids (sea 

lions and fur seals) and phocids (true seals such as elephant seals). In the case of otariids, mortalities are normally due to nutritional deficiency. Changes in water 

temperature affect the prey base, and large numbers of 

animals (particularly young animals) starve. However, 

in the case of phocids, mortalities are almost entirely 

storm-related as rookery areas are flooded and mothers 

and pups are separated. 

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Beginning in October, stranding network members reported a marked increase in northern fur seal (Callorhinus 

ursinus) strandings. Virtually all of the 38 stranded animals documented were severely emaciated pups. In a 

normal year, only 10-15 northern fur seals strand in California. These fur seals are from a southern population 

that breeds on San Miguel Island, where the normal pup 

count on the island is about 2,000. Researchers on the 

island observed 75% pup mortality before weaning. 

Those that survived to weaning had very low weights 

and may have been among the animals that stranded later. 

Researchers estimate that the total annual cohort will be 

lost. Because of differences in the breeding cycle, the 

numbers of stranded California sea lions had not increased 

markedly by the end of the year, but it is estimated that 

2/3 of their annual cohort will be lost as well. 

Internationally, there was one significant mortality event 

involving the critically endangered Mediterranean monk 

seal (Monachus monachus). Two subpopulations of the 

species exist, one on the Mediterranean coast (~500 seals) 

and one off the Mauritania coast (~300 seals). The 

Mauritanian coast population experienced a mortality 

event from May to mid- July 1997. Stranding investigators recovered 117 carcasses and estimated that more 

than half of this western Sahara population died. Two 

morbilliviruses and paralytical shellfish poisoning 

biotoxin have been identified in the laboratory from tissues of necropsied seals. No definitive cause has been 

determined; however, both the biotoxin and morbillivirus 

have been implicated in the mortality event. This event 

clearly shows how devastating mortality events can be to 

already compromised species. 

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In partial response to the MMHSRA, NMFS initiated a 

Biomonitoring Program in 1991. The program consists 

of: 

1) real-time or retrospective evaluation for contaminants, 

disease, and health; 

2) method development and validation; 

3) research on problem characterization; 

4) specimen archival; and 

5) quality assurance correlation of contaminants and 

health. 

The main goals of the biomonitoring component are to 

provide baseline information on contaminant levels, incidence and types of disease, human-related impacts on 

populations and baselines on the health of populations 

of marine mammals. 

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In 1997, the Armed Forces Institute of Pathology (AFIP) 

and the NMFS participated in the last year of a threeyear interagency agreement. A new interagency agreement will be negotiated in 1998. AFIP provides histopathology support to stranding investigations, mortality 

events and disease or contaminant studies in addition to 

providing training to stranding networks. AFIP also participates in the Working Group on Unusual Marine 

Mammal Mortality Events. 

During 1997, the Department of Veterinary Pathology 

issued diagnostic histopathology reports on 134 marine 

mammals, which included 86 cetaceans, 27 seals or sea 

lions, six walruses and five sea otters. The species examined consisted of: 

38 Tursiops truncatus 

9 Kogia breviceps 

6 Delphinus delphis 

4 Delphinapterus leucas 

4 Balaena mysticetus 

4 Stenella attenuata 

3 Phocoena phocoena 

3 Kogia simus 

2 Orcinus orca 

2 Megaptera novaeangliae 

2 Globicephala macrorhynchus 

1 Grampus griseus 

1 Stenella coeruleoalba 

1 Globicephala melas 

1 Phsyeter macrocephalus 

1 Eschrichtius robustus 

1 Balaenoptera acutorostrata 

1 Eubalaena glacialis 

1 unid. dolphin 

1 unid. beaked whale 

11 Zalophus californianus 

5 Phoca vitulina 

4 Monachus schauinslandi 

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3 Cytophora cristata 

2 Erignathus barbatus 

2 Phoca groenlandica 

16 Odobenus rosmarus divergens 

5 Enhydra lutris 

AFIP pathologists also participated in investigations of 

increased mortalities in harbor seals at the Point Reyes 

National Seashore of California. AFIP pathologists also 

provided field assistance to necropsy a right whale 

(Eubalaena glacialis), a pygmy sperm whale (Kogia 

breviceps), and three bottlenose dolphin (Tursiops 

truncatus) calves. Finally, AFIP personnel participated 

in two training workshops for field personnel and scientists. 

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During 1997, the NMFS entered into a five-year interagency agreement with the National Veterinary Services 

Laboratory (NVSL) of the United States Department of 

Agriculture (USDA). In this agreement NVSL will assist NMFS in disease investigations by: 

1) performing retrospective analyses of serum for pathogen exposure; 

2) validating tests for brucella; 

3) investigating incidence and potential pathogenicity of 

brucella; 

4) assisting with mortality investigations as needed; 

5) developing control materials for specific pathogens; 

6) performing interlaboratory comparison exercises for 

specific pathogens; and 

7) participating in the Working Group on Unusual Marine Mammal Mortality Events. 

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In July 1997, NMFS hosted a training workshop, entitled “Forensic Investigations of Marine Mammal Mortalities,” for stranding network participants. This national training workshop was held in Charleston, South 

Carolina and was attended by 51 stranding participants, 

with representation from each of the regional networks. 

Topics of discussion included: forensic investigations, unusual mortality investigations, general pathology, evidence 

of human interactions, infectious diseases, biotoxins, large 

whale response, and case studies. 

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In April of 1997, NMFS held an external review of the 

MMHSRP. Twenty U.S. and international scientists 

reviewed the MMHSRP and offered individual recommendations on the program’s progress and direction. The 

reviewers were divided into two panels: stranding networks and biomonitoring; although, there were several 

issues that overlapped and were addressed as a larger 

group. Joint issues that were discussed and examined 

were: unusual mortality investigations, overview of the 

program, as well as legal and management responsibilities. The stranding group reviewed issues involving live 

animals, funding, human resources, data bases, accountability, and sample collections. The biomonitoring group 

reviewed issues relating to research projects, 

biomonitoring programs, disease surveillance, health assessment, specimen banks, quality assurance, and risks 

of contaminants to marine mammal health. A final report on the discussions will be available in 1998. 

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The contaminants component of the MMHSRP includes 

biomonitoring, archiving, and quality assurance. The 

Environmental Conservation Division (ECD) of the 

Northwest Fisheries Science Center serves as the NMFS 

lead for the quality assurance and biomonitoring components of the MMHSRP. The contaminants 

biomonitoring program began in 1991 with pilot projects 

in the Northeast and Southeast. It has expanded since 

that time to include sampling in all regions of the U. S. 

In FY97, over 400 tissue samples from a number of tissues and fluids (e.g., blubber, liver, kidney, brain, heart, 

lung, muscle, melon, blood, milk, stomach contents) 

from the following species were either acquired or analyzed for chlorinated hydrocarbons (CHs) and essential 

and non-essential elements: 

Sowerby’s beaked whale (Mesoplodon bidens)


beluga whale (Delphinapterus leucas)


bottlenose dolphin (Tursiops truncatus)


bowhead whale (Balaena mysticetus)


California sea lion (Zalophus californianus)


gray whale (Eschrichtius robustus)


harbor porpoise (Phocoena phocoena)


harbor seal (Phoco vitulina)


bearded seal (Erignathus barbatus)


humpback whale (Megaptera novaeangliae)


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killer whale (Orcinus orca)


northern elephant seal (Mirounga angustirostris)


pilot whale (Globicephala melas)


pygmy sperm whale (Kogia breviceps)


ringed seal (Phoca hispida)


Risso’s dolphin (Grampus griseus)


short- (Delphinus delphis) and long-beaked (Delphinus capensis)


common dolphin


Steller sea lion (Eumetopias jubatus)


These samples were collected for a variety of projects: 

1) ongoing monitoring of contaminants in samples collected during subsistence hunts (e.g., beluga whale); 

2) collection of tissues for the Specimen Bank project 

(e.g., beluga whale, harbor seal, Steller sea lion); 

3) analysis of tissues from cetacean and pinniped species 

that stranded and for which there are limited data (e.g., 

pygmy sperm whale); 

4) continued investigation of relationships between contaminant exposure and disease (e.g., California sea lions 

with metastatic transitional cell carcinoma); 

5) evaluation of immune function and other health effects in northern fur seal pups will be evaluated in relation to concentrations of CHs in tissues; and 

6) special studies on killer whales. 

The following briefly describes three of the above studies. 

��������������������� Causes of the high prevalence 

of cancerous tumors found in many adult California sea 

lions that stranded along the central California coast are 

unclear. Relationships between accumulation of anthropogenic contaminants and tumors are being assessed using a nearly unique data set acquired in cooperative efforts between the University of California, Davis, the 

Marine Mammal Center, and NMFS. The data set is 

comprised of chemical analyses of pollutants and detailed 

pathologic examination and life-history parameters within 

a resident population of California sea lions that has both 

diseased and non-diseased animals. The goal of this work 

over the past four years has been to determine whether 

or not there are differences in the tissue burden of toxic 

chemicals in California sea lions that died from trauma 

(e.g., gunshot) compared to animals exhibiting disease, 

specifically transitional cell carcinoma. Results of the 

initial set of analyses revealed significantly higher concentrations of CHs (i.e., PCBs, DDTs) in blubber of sea 

lions diagnosed with neoplasia than those measured in 

trauma animals. Preliminary analyses of selected liver 

tissue showed significantly higher CH concentrations in 

sea lions with cancer compared to the trauma animals. 

In FY97, approximatley 30 additional samples were analyzed for CHs, and interpretation of how the additional 

data support and augment previously observed relationships is underway. 

�������������������� Although populations of northern fur seals on St. Paul Island in the Pribilofs are relatively stable, the annual pup production of fur seals on 

nearby St. George Island has declined for unknown reasons. Studies of the northern fur seal have identified 

differences in the forage areas and prey species of the St. 

Paul population compared to the St. George population. 

These differences could result in diverse patterns of exposure to chemical contaminants, and it is hypothesized 

that these contaminant exposures could lead to immune 

dysfunctions which could increase mortality. As a collaborative effort with the University of Alaska-Fairbanks, 

the relationship between immunological parameters in 

fur seals and chemical contaminant data (e.g., CHs) was 

examined by analyzing samples of blood, milk, and blubber from northern fur seals from the Pribilof Islands for 

selected chlorobiphenyls and other selected organochlorine compounds (e.g., hexachlorobenzene, p,p’-DDE). 

To perform these studies specialized methods for analysis of CHs and lipid in blood were developed, and approximately 200 blood, blubber, and milk samples were 

analyzed. These CH results and the data from immunological tests are currently being evaluated. 

��������������� A variety of biological factors including 

sex, age, and reproduction can influence the concentration of CHs in marine mammals. Studies of contaminant levels in live animals for which substantial biological data are available are much more likely to reveal links 

between biological population effects and contaminant 

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disposition than studies with stranded animals. In FY97, 

CHs in approximately 40 blubber biopsy samples of killer 

whales from Prince William Sound pods were analyzed. 

Animals from two distinct killer whale pods, one composed of marine mammal-eating transient whales and a 

second composed of fish-eating resident whales were 

analyzed. As expected, mean PCB and DDT concentrations were significantly higher in the marine mammaleating group of whales. Although there was a wide variation in contaminant concentrations among individual 

animals, there was a trend for females with calves to have 

very low concentrations compared to their offspring. 

These results demonstrate the importance of specific biological data on sampled animals for the interpretation of 

the results of contaminant analyses. Studies will continue in 1998. 

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The National Marine Mammal Tissue Bank (NMMTB) 

was established in 1989 and was formalized in 1992, 

with the amendment to the MMPA. NMFS has continued the strong relationship with the National Institute 

of Standards and Technology to support the National 

Marine Mammal Tissue Bank and the contaminants 

Quality Assurance project. In 1997, the NMFS and 

NIST entered into a five-year interagency agreement in 

support of the National Marine Analytical Quality Assurance Program, which was established in 1995. As 

part of this agreement, NIST is establishing a satellite 

specimen bank for marine specimens, analytical laboratories, and an SRM production facility in Charleston, 

South Carolina, as part of NOAA’s Marine Environmental Health Research Laboratory. The NMMTB and the 

marine mammal quality assurance project are both included in this agreement. Specimens are collected from 

Alaska with support and collaboration of the United 

States Geological Survey/Biological Research Division 

(USGS/BRD) and Mineral Management Service through 

the Alaska Marine Mammal Tissue Archival Project 

(AMMTAP), a component of the National Marine Mammal Tissue Bank. 

Since its beginning, specimens of blubber, liver, and kidney have been routinely collected for the NMMTB. In 

1997, the development of protocols for the collection 

and banking of blood specimens for contaminant analysis began, and 249 specimens were collected and banked 

from 80 animals. Six new species were added to the 

bank (Balaenoptera physalus, Steno bredanensis, Phoca 

groenlandica, Halichoerus grypus, Cystophora cristata, and 

Enhydra lutris). As of December 31, 1997, the inventory 

of NMMTB specimens includes 918 specimens collected 

from 332 animals representing 22 species: 

52 bowhead whale (Balaena mysticetus)


1 fin whale (Balaenoptera physalus)


12 long-finned pilot whale (Globicephala melas)


13 harbor porpoise (Phocoena phocoena)


10 Atlantic white-sided dolphin (Lagenorhynchus acutus)


9 common dolphin (Delphinus delphis)


15 rough-toothed dolphin (Steno bredanensis)


45 beluga whale (Delphinapterus leucas)


13 harbor seal (Phoca vitulina)


60 ringed seal (Phoca hispida)


2 larga seal (Phoca largha)


4 harp seal (Phoca groenlandica)


3 gray seal (Halichoerus grypus)


3 hooded seal (Cystophora cristata)


10 bearded seal (Erignathus barbatus)


1 northern elephant seal (Mirounga angustirostris)


4 Steller sea lion (Eumetopias jubatus)


21 northern fur seal (Callorhinus ursinus)


18 California sea lion (Zalophus californianus)


20 Atlantic walrus (Odobenus rosmarus rosmarus)


28 polar bear (Ursus maritimus)


3 sea otter (Enhydra lutris)


Less than half of the banked specimens have been analyzed for chlorinated hydrocarbons and inorganic constituents. In 1997, banking procedures were modified 

in order to provide to ECD aliquots of all samples entering the bank for real-time contaminant analysis. 

Also in 1997, specimens were provided to four projects 

conducting research on marine mammals. Aliquots of 

blubber and liver samples of male polar bears collected 

in Alaska were provided to the Canadian Wildlife Service Lab and to the Mississippi State Lab for chlorinated 

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hydrocarbon and trace metal analysis. This was done at 

the request of and in collaboration with the U.S. Fish 

and Wildlife Service and the USGS/BRD as part of a 

polar bear monitoring study. Aliquots of liver samples 

from Phoca hispida, Erignathus barbatus, Delphinapterus 

leucas and Globicephalus melas were provided to KarlFranz University Graz in Austria for studies of organic 

forms of arsenic in marine mammals. 

Liver samples from D. Leucas collected at Point Hope, 

Alaska, were provided to the NMFS Southwest Fisheries 

Science Center as part of their beluga whale genetics investigations. Blubber samples from U. maritimus, P. 

hispida, D. leucas, and E. barbatus were provided to the 

Denver Zoological Gardens for their studies on vitamin 

D3

 deficiencies in polar bears. Data and reports on all 

four of these projects will be provided to the NMMTB 

in 1998. 

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The Quality Assurance (QA) program was initiated in 

1992 in response to the legislative mandate to improve 

the quality of chemical contaminant data for marine 

mammals and has proceeded as a collaborative effort between NIST and NMFS. This program principally involves two approaches: the development of control or 

standard reference materials using marine mammal matrices (tissue and fluids) and interlaboratory comparisons. 

Control material and standard reference materials are developed on an as-needed basis. At least annual 

interlaboratory comparisons are performed with external labs for both organic and inorganic analyses. 

In 1997, approximately 30 tissue samples, including proposed reference/control materials were analyzed as part 

of a NIST intercomparison and QA exercise for the measurement of essential and non-essential, potentially toxic 

elements in marine mammal tissues. A three-laboratory 

intercomparison study was carried out in the certification of a marine mammal standard reference material. 

The NMFS Northwest Fisheries Center, NIST, and Texas 

A&M University analyzed a whale liver control material 

for use in the NIST/NOAA Marine Mammal Quality 

Assurance Program and the development of a Standard 

Reference Material (SRM). A second aspect to the program was analysis of a split sample by the three laboratories to establish analytical comparability. The NMFS 

internal laboratory QA results were very good with small 

Relative Standard Deviations for replicate analyses of several tissues for most elements. The results from both 

external labs was transmitted to NIST for comparison. 

As a second interlaboratory comparison, congener-specific PCB and chlorinated pesticide data generated by 

NWC/ECD, NIST, and Department of Fisheries and 

Oceans Canada on the same blubber samples from Cook 

Inlet, Alaska, beluga whales were completed and transmitted to NIST for comparison of results. Also during 

1997, NIST provided guidance, quality control materials, and SRMs to the U.S. Fish and Wildlife Service 

(FWS) funded laboratories involved in the Alaska polar 

bear contaminant monitoring program (refer to National 

Marine Mammal Tissue Bank section). In 1998, FWS 

will provide the results to NIST for comparison. 

The interlaboratory comparison studies described above 

enable the analytical scientific team to assess and improve 

the quality of analytical measurements of marine mammal tissues. 

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As a part of implementing its programs, NMFS supports numerous public outreach and education efforts 

through its headquarters office as well as in each of its 

regions. Some of these outreach efforts are solely NMFS 

coordinated, but the vast majority of these projects have 

been undertaken as a part of collaborative efforts between 

NMFS, other governmental agencies, and/or non-governmental groups to promote common goals and/or policies. 

Public outreach is critical to conveying NMFS’ messages 

and announcing new programs as well as changes in existing ones. Outreach programs allow the public access 

to consumable information about federal policies and 

initiatives in their area of interest. NMFS and its programs affect a broad variety of people from fishers, to 

managers, to environmentalists, to policy-makers. Some 

of these efforts directly address particular programs. Descriptions of these outreach initiatives can be found in 

their respective sections of this report. Although NMFS 

publishes numerous technical memorandums and other 

scientific documents, much of its constituency is not 

reached with them. Although a variety of printed materials such as newsletters, brochures, flyers, and informa­

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tional posters have served to educate members of the public about NMFS’ programs, one document, the Marine 

Mammal Protection Act (MMPA) Annual Report to 

Congress, has been published annually since the enactment of the MMPA in 1972. 

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One of NMFS’ primary outreach tools is the MMPA 

Bulletin. The Bulletin is a quarterly publication of the 

Office of Protected Resources and is designed to increase 

public awareness of and participation in the MMPA regulatory and implementation process. The first edition, 

published in September 1994, included a description of 

the 1994 Amendments to the MMPA, and subsequent 

editions have focused on NMFS’ efforts to implement 

the Amendments. Those currently on the Bulletin’s mailing list are primarily fishers as well as members of the 

environmental community, marine mammal science field, 

state and federal agencies dealing with protected species 

issues, Native American groups, public display facilities, 

and Congress. 

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The MMPA Bulletin’s readership increased dramatically 

from approximately 1,800 at the end of 1995, to 2,400 

in 1996, and to over 3,000 in 1997. This increase is 

partially attributed to posting announcements about the 

availability of the Bulletin on key internet listservers, such 

as “MARMAM” and “WILDLIFE HEALTH” as well 

as on the Office of Protected Resources web site at: 

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This site attracts a large amount of additional attention 

to NMFS and its programs. Although the vast majority 

of the readership is in the United states, international 

interest in the Bulletin has recently increased. Persons in 

45 countries around the world receive the MMPA Bulletin, with Canada and the United Kingdom having the 

most recipients, 96 and 24 individuals on the mailing 

list respectively. 

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The 1994 Amendments to the Marine Mammal Protection Act required all commercial fishermen to report any 

incidental injuries or mortalities of marine mammals to 

NMFS within 48 hours of returning to port; however, 

daily logbooks of fishing activity are no longer required 

(see Chapter III. Reducing Interactions Between Marine 

Mammals and Commercial Fisheries). To remind fishermen of their reporting responsibilities under the 

MMPA, the Office of Protected Resources and the Center for Marine Conservation have developed a poster for 

display at fishing ports and marinas. Funding was also 

provided by the Norcross Wildlife Association. 

The poster depicts a fishing vessel at sea, with the caption: 

“Before you head home.... remember to fill out a marine mammal reporting form.” 

There are two versions of the poster, one depicting a typical east coast fishing vessel, and one depicting a typical 

west coast vessel. These posters will be displayed in shops 

or other facilities that fishermen frequent and will be sent 

out free of charge upon request. 

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Outreach activities are integral to all components of the 

Atlantic Large Whale Take Reduction Plan. In 1997, 

NMFS worked with the Sea Grant offices at the University of Maine and University of Rhode Island to set up 

an outreach program in the New England and 

Mid-Atlantic areas. Sea Grant organized several meetings, workshops, and seminars at key fishermen’s forums 

held in the fall 1997 (and planned through spring 1998) 

covering the area from North Carolina to Rhode Island. 

Sea Grant also prepared outreach handout materials and 

videos for use at these and other forums and for the local 

meetings set up in the Northeast. NMFS has also hired a 

Maine Plan Coordinator to work closely with the unique 

Maine Lobster Zone Council system to carry out outreach education and gear research collaboration at the 

dockside level. 

Additional outreach efforts will provide the results of gear 

research to fishermen and serve as a conduit for suggestions from fishermen to the Gear Advisory Group and/ 

or directly to ongoing gear researchers. NMFS will continue to support the Maine Plan Coordinator and will 

work with Massachusetts and Rhode Island to develop 

similar dockside outreach efforts in their areas. 

NMFS has also committed its support to the expansion 

of the Disentanglement Network to provide full-time 

coverage for the entire Gulf of Maine (see Chapter VI. 

Conservation and Recovery Programs). Significant efforts will be made in Maine in the spring of 1998 to 

educate fishermen about proper reporting and operational 

procedures regarding entangled whales. Approximately 

half of the fishermen in attendance indicated a desire to 

participate in additional training to further assist in any 

disentanglement efforts in their area. Additional meetings will be held along the East Coast to include fishermen who could not attend the first round of meetings. 

Fishermen who attend these workshops will be considered Level One participants. Responsibilities of fishermen at Level One are to observe, report, and stand by to 

monitor entangled whales. Additional training, called 

Level Two training, is scheduled to begin in late spring. 

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The Center for Coastal Studies and NMFS staff are initiating a coordinated plan for disentanglement response 

in the Southeast as well. NMFS anticipates that the fishers training workshops conducted in Maine will be a good 

template for similar training in the Southeast and other 

key areas along the East Coast. For additional information about the disentanglement network, see Chapter VII. 

Conservation and Recovery Programs. 

With expansion of the disentanglement network planned 

for 1998, new protocols will be described to fishermen 

in a series of workshops with coastal lobster associations 

as a continuing part of the outreach effort. The Early 

Warning System will also be expanded to summer-fall 

periods and will involve sightings information from fishermen. These new procedures will be included in the 

1998 outreach efforts. 

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Each year, coastal residents in the Northwest Region encounter marine mammals, alive or dead, that stimulate 

varying degrees of interest, concern, or anxiety and result 

in numerous telephone calls for assistance. These calls 

are received by state and local agencies with responsibilities in shoreline areas, wildlife management and public 

safety. The NMFS-Northwest Region, in cooperation 

with the NMFS Office of Law Enforcement - Voluntary 

Compliance Program, Olympic Coast National Marine 

Sanctuary, the Washington Department of Fish and 

Wildlife, the Oregon Department of Fish and Wildlife, 

and Oregon State University, conducted a series of workshops for police officers, health department officials, personnel from national, state and county parks, port district employees and others, to advise them on the needs 

of marine mammals and promote awareness of marine 

mammals as a normal part of the wildlife diversity in this 

area. 

The Northwest Region also issues seasonal notices to the 

public on the occurrence of harbor seal pupping during 

the spring and summer months. These news releases 

remind the public that seals need to use shoreline habitat 

during pupping and that live animals found on beaches 

are to be left undisturbed. 

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Individuals from the NMFS Southeast Region office 

along with representatives from NMFS Office of Protected Resources, Public Affairs, and members of the 

Southeast Enforcement Office participated in an “antifeed” campaign to educate the public about the potential dangers of feeding and harassing wild dolphins. These 

efforts in 1997 primarily focused on public education 

and outreach (see Chapter IX. Permit Programs). 

Members of the Southeast Implementation Team (SEIT) 

for the Northern Right Whale Recovery Plan have also 

coordinated a number of outreach efforts to educate mariners about the threat of ship strikes in right whale habitat 

by distributing brochures, fliers, videos, posters, and other 

information on right whales and the threats that vessel 

traffic poses to them. The Team and/or its participating 

agencies have developed brochures and pamphlets on 

whales, manatees and turtles, which are being distributed regionally. As a group, the Port Authorities prepared a series of posters, distributed by the harbor pilots 

when they board a vessel for navigation, which describe 

when right whales are in nearby waters. 

One member of the SEIT, with NMFS support, developed a quarterly newsletter, “Right Whale News.” The 

newsletter is edited by members of the SEIT, but anyone 

actively involved in right whale conservation efforts may 

contribute including ship operators, harbor pilots, port 

authorities, fishermen, educators, scientists, managers, 

policy makers, non-governmental organizations and other 

concerned citizens. Relevant information on right whales 

from other areas is also included. The first edition of the 

newsletter was published in August 1994, and it has been 

published continuously since. 

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Monk seals resting on Kauai’s beaches are often disturbed 

by beach goers. Recently, the Hawaii Department of 

Land & Natural Resources’ (DLNR), Division of Aquatic 

Resources (DAR) established the Kauai Monk Seal Watch 

Program (MSWP), a partnership of government agencies (i.e., NMFS and the County of Kauai) and the public to respond to all reports of seals hauled out along 

Kauai’s shoreline. Augmented with community volunteers, MSWP’s mission is to sustain and enhance the Ha­

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waiian monk seal and its habitat by instituting a management and monitoring program that encourages community participation and promotes environmental education and cultural awareness. In 1997, NMFS’ Marine 

Mammal Research Program has continued its active involvement in the MSWP. 

The MSWP government-volunteer network seeks to promote education and appreciation of monk seals by providing on-site information when Hawaiian monk seals 

are hauled up on Kauai’s beaches. MSWP volunteers 

protect the animals by keeping visitors at appropriate 

distances, fencing off mothers with pups, and posting 

signs and information flyers in the vicinity of the animals. Volunteers also record seal-human interaction and 

seal behavior, as well as annotate “scar cards” used for seal 

identification to be incorporated into the NMFS monk 

seal database. In the spirit of sound ecotourism and environmental awareness, the MSWP combines legitimate 

scientific research with public outreach to foster an appreciation for the precarious state of the Hawaiian monk 

seal (see Chapter VII. Conservation and Recovery Programs). 

NMFS has had an active role in community environmental education and cleanup efforts as well. Specifically, NMFS personnel provided guidance to The Ocean 

Recreation Council of Hawaii (TORCH), a local environmental awareness group, in planning and orchestrating a Net Debris Cleanup effort on the west coast of 

Oahu. The project received considerable media coverage, and has spawned increased community interest in 

protecting and rehabilitating Oahu’s coastal reef ecosystem. The MMRP continues to be a steward in the area 

of coastal reef clean up. Additional cleanup projects are 

planned tapping the momentum of the TORCH project 

success, and utilizing resources of other state and federal 

agencies. 

NMFS remains dedicated to promoting public awareness for one of Hawaii’s most precious endangered species. NMFS is in the process of updating literature and 

information flyers as part of a campaign to promote monk 

seal awareness to local school children. 

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With the increasing popularity of wildlife viewing in 

Alaskan waters the commercial viewing industry is expanding rapidly. To create greater awareness of responsible marine mammal viewing, the Alaska Region has 

implemented a wide-ranging public education campaign 

directed at tour operators, their clients, as well as local 

and transiting members of the public. Information has 

also been disseminated to other state and federal agencies for distribution to their constituents. The Alaska 

Protected Resources Division, with assistance from the 

regional Public Affairs Office, produced a brochure entitled “Alaska Marine Mammal Viewing Guidelines.” 

This brochure explains the MMPA and ESA authorities, 

which prohibit the “taking” of a marine mammal and 

details guidelines to follow that would prevent possible 

violations of the “take” prohibition. The Guidelines 

detail responsible marine mammal viewing from waterbased, land-based and aircraft-based platforms; the main 

points are also provided in a summary description. The 

Guidelines provide information on pinniped and cetacean behaviors that could be indicative of disturbance 

and would indicate that viewing behavior should be 

modified. 

The Alaska Region also produced a laminated poster with 

the Guidelines’ summary. The poster has been placed in 

all major ports from which wildlife viewing is conducted. 

The Guidelines summary has also been published as paid 

advertisement in coastal marine publications and in newspapers of coastal communities. The University of Alaska 

Sea Grant office also created a laminated poster for distribution that restates the Alaska Marine Mammal Viewing Guidelines. The Office of Protected Resources conducted public meetings and meetings specifically with 

charter boat associations to discuss the Guidelines and 

appropriate operating practices. These meetings were 

held in Juneau, Sitka, Ketchikan, Wrangell, Petersburg, 

Gustavus, Seward, Homer, and Anchorage. 

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The Alaska Region continues to be closely involved with 

the Pribilof Islands Stewardship Program as part of the 

Agency’s management and research responsibilities in the 

Pribilof Islands. The Program was founded in 1993 

through the Challenge Grant Program of the U.S. Fish 

and Wildlife Service (FWS). Through the FWS program, the NMFS, Pribilof Islands School District and 

local entities from St. Paul and St. George Islands serve 

as sponsors and provide a variety of funding and in-kind 

support. The Program focuses on involving the youth 

and young adults of the Pribilof Islands in management 

and research efforts to develop and establish a stewardship ethic regarding the unique wildlife and habitat of 

the islands by combining traditional knowledge and cultural practices with modern science and management 

methods. 

The NMFS Alaska Region provides office and other material support and agency resource managers, and research 

scientists serve as mentors and advisors to those in the 

program by directly involving them in on the job training and experience with a variety of projects. The Program expands NMFS’ outreach capacity by providing a 

local point of contact and interaction with tourists, the 

fishing industry, and the local residents regarding marine mammal and habitat issues in the Pribilof Islands 

through regular orientation presentations, media publicity and involvement in community events and functions. The Program has been very successful and is expected to progress in 1998. 

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Other public education/outreach efforts by the Alaska 

Region involve marine mammal strandings. The main 

issue of concern in coastal Alaska is during harbor seal 

pupping season when the public attempts to “rescue” apparently abandoned pups. The region has published information for distribution to newspaper and other media sources reiterating the need to leave the pups undisturbed. 

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Under section 108(1) of the Marine Mammal Protection Act (MMPA), the Secretary of Commerce is mandated to : 

“...initiate negotiations as soon as possible for the 

development of bilateral or multinational agreements with 

other nations for the protection and conservation of all marine mammals covered by this Act.” 

As a result, the Departments of Commerce, the Interior, 

and State, in consultation with the Marine Mammal 

Commission, must pursue international agreements, and, 

when necessary, negotiate new agreements, to achieve the 

purposes of the MMPA. This chapter describes NMFS 

involvement in international programs and activities pertaining to marine mammals during 1997. 

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The International Convention for the Regulation of 

Whaling (ICRW) was established in 1946 with the objective of achieving proper conservation of world whale 

stocks, thus making possible the orderly development of 

the whaling industry. The Convention created the In­

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ternational Whaling Commission (IWC) to provide for 

a continuing review of the condition of whale stocks and 

for such additions to or modifications of the agreed conservation measures as might appear desirable. In the 

United States, the treaty is implemented through the 

Whaling Convention Act of 1949. 

Past actions by the IWC include the establishment of a 

whale sanctuary in the Indian Ocean area and in the 

Southern Ocean (in most of the waters south of 40�S 

lat.), prohibition on the use of cold grenade (non-exploding) harpoons to kill whales for commercial purposes, a moratorium on all commercial whaling from 

the beginning of the 1985-86 pelagic and 1986 coastal 

seasons, and the adoption of a separate and distinct 

management scheme for aboriginal subsistence whaling. 

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The IWC continues to maintain the moratorium on 

commercial whaling. However, Norway lodged a timely 

objection to the 1982 moratorium decision, and therefore is not bound by that decision. Thus, it continues to 

take minke whales from the Northeast Atlantic Ocean. 

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The Government of Norway set its 1998 quota at 671 

minke whales (Balaenoptera acutorostrata). In 1997, 503 

minke whales were killed. The 1998 quota will include a 

carryover of 50 whales per the Scientific Committee’s 

recommendation that a carryover provision be allowed 

as part of the Revised Management Procedure. 

Article VIII of the ICRW grants countries the right to 

issue permits to kill whales for scientific purposes. Annually, Japan takes about 540 minke whales from the 

North Pacific and Antarctic Oceans for scientific research. 

During the 1997/1998 season, Japan took 438 minke 

whales within the Southern Ocean Sanctuary and 100 

minke whales in the North Pacific under its special permits for scientific whaling. 

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Aboriginal subsistence whaling, in accordance with limitations set by the IWC, is conducted by aboriginal Natives in Greenland, Russia, St. Vincent and the Grenadines, and the United States. In addition, although not 

currently an IWC member, Canada has continued to 

authorize the taking of bowhead whales by its Natives. 

In 1996, the United States certified Canada under the 

Pelly Amendment for whaling outside the IWC provisions. The Pelly Amendment to the Fishermen’s Protective Act of 1967 (22 U.S.C. 1978) requires the Secretary 

of Commerce to monitor the activities of foreign fishermen and certify when nationals of a foreign country are 

found, directly or indirectly, conducting fishing operations that diminish the effectiveness of an international 

fishery conservation program to which the United States 

is a party. The Secretary of Commerce has certified, under 

Pelly, several countries, including Norway, Russia, Japan 

and Canada, for whaling activities. 

�����������������������

The 49th annual IWC meeting was held in Monaco from 

October 20-24, 1997, and was preceded by 12 days of 

meetings of the IWC Scientific Committee (in 

Bournemouth, England) and three days of working 

group and technical meetings. 

At the annual meeting in Monaco, the IWC approved, 

by consensus, a five-year block (1998-2002) quota of 

620 gray whales with an annual cap of 140 animals. The 

quota was based on a joint proposal by the United States 

and the Russian Federation and will be shared by the 

Makah tribe and the Chukotka Natives of the Russian 

Federation. The IWC also approved a five-year block 

quota for 280 landed bowhead whales, again based on a 

joint proposal by the United States and the Russian Federation. 

A proposal by Ireland to establish a global whale sanctuary with limited commercial exceptions was discussed 

both in the meeting and in informal gatherings, without 

any concrete progress. Japan’s bid for an interim relief 

quota of 50 minke whales for its small-type coastal whalers was again denied based on its commercial elements. 

Resolutions were passed condemning Norway’s whaling 

and urging Japan to refrain from issuing permits for scientific takes in the Antarctic and north Pacific oceans. 

�����������������������������������

The Marine Mammal Project is one of eight projects in 

Area V of the US-Russia Agreement on Cooperation in 

the Field of the Environment and Natural Resources. 

The goal of the Project is to conduct cooperative research 

on the biology, ecology, and population dynamics of marine mammal species shared by both countries, leading 

to the development of methods for the rational management and protection of these animals. This agreement 

was signed by U.S. Vice President Al Gore and Russian 

Prime Minister Viktor Chernomyrdin on June 23, 1994, 

and supersedes the Agreement between the United States 

of America and the Union of Soviet Socialists Republics 

on Cooperation in the Field of Environmental Protection of May 23, 1972. 

The Marine Mammal Working Group established under the Agreement met April 7-11, 1997, in Kahuku, 

Hawaii, to develop the protocol of the 14th meeting. 

The Working Group reviewed activities conducted during the past two years, finalized plans for joint activities, 

and offered invitations for Russian and U.S. scientists to 

participate in joint research projects for 1998 and 1999. 

The protocol was finalized and approved during the Area 

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V meetings between Russia and the United States in Moscow, December 14-16, 1997. Joint activities during 1996 

and 1997 were discussed at the April meeting and included: joint studies on bowhead whales (Balaena 

mysticetus) in the southern Shantar Archipelago, photographic cataloguing of individually identified whales to 

be used to estimate abundance, observations of the general behavior and habitat use by these whales, about 25 

biopsy samples for genetic work, as well as analyses by 

the NMFS Southwest Fisheries Science Center to compare Okhotsk Sea bowheads with bowhead whales harvested off Barrow, Alaska. 

Joint research in the future will continue to focus on 

both gray (Eschrichtius robustus) and bowhead whales. 

The western North Pacific population of gray whales is 

recognized as one of the world’s most endangered populations of baleen whale. Research during summer 1997 

included gathering data on occurrence patterns, numbers, habitat use, and potential human effects. These types 

of studies have all been used successfully for California 

gray whales and for bowhead whales in Alaska and 

Canada. This expanded collaborative work is being conducted in response to the joint statement issued at the 

February 1997 Gore-Chernomyrdin Commission “On 

Measures to Ensure Conservation of Biological Diversity near Sakhalin Island.” 

The Working Group also discussed recent US-Russian 

meetings regarding the creation of a new subgroup conditionally named, “Conservation and Management of 

Cetacean Populations Utilized in Aboriginal Whaling.” 

This subgroup would review research and appropriate 

management measures in accordance with IWC regulations on gray and bowhead whales taken by the Native 

people of Chukotka and Alaska. However, the Working 

Group noted that the question of the subgroup’s specific 

tasks, authority, status, and structure requires further detailed development and agreement. Membership within 

this new subgroup will be determined by the U.S. and 

Russian IWC Commissioners, and activities resulting 

from this new subgroup will be reported back to the 

Working Group. Working Group members encouraged 

the creation of this new subgroup. 

Results were presented of Russian research concerning 

the redistribution of Steller sea lions (Eumetopias jubatus) 

on rookery sites, which may reflect altered age-sex composition of the population at rookeries, were presented 

to the Working Group. Pup surveys conducted in recent 

years at the main rookery sites of the Kuril Islands suggest that the population declines have ended. 

The Russians addressed the work conducted by 

KamchatRybVod and other Russian institutes in 1995 

and 1996. In both years monitoring work was conducted 

on Medniy Island and Cape Kozlov; two vessel surveys 

were conducted in the Kuril Islands; 1,100 newly born 

pups were tagged; and information was gathered on 2,800 

returns of sea lions previously tagged. The abundance of 

sea lions on Medniy Island and at the rookery by Cape 

Kozlov remains fairly constant, while the abundance of 

newborn pups on Medniy Island gradually is increasing. 

The United States reported results of federal and stateconducted Steller sea lion research in Alaska. A 1996 

census of adults showed a continued overall decline of 

7.8% since 1994 surveys, similar in magnitude to results 

observed between 1992 and 1994. Numbers have also 

decreased in Southeast Alaska by 7.2%; past surveys indicated that this area was stable or increasing. Future 

surveys will determine if the detected decline there is due 

merely to a variation in haul out patterns or if the decline 

in Southeast Alaska is real. Counts of pups throughout 

most of Alaska also showed an overall decline of 6.1% 

(see Chapter VII. Conservation and Recovery Programs). 

The United States reported results of northern fur seal 

(Callorhinus ursinus) research conducted by the National 

Marine Mammal Laboratory (NMML) and its collaborators during 1995 and 1996. In 1996, approximately 

170,000 pups were born on St. Paul Island, which was 

not significantly different from the 1990, 1992, or 1994 

censuses. On St. George Island, over 27,000 pups were 

estimated to have been born in 1996, which is a significant increase over 1992 and 1994. This is the highest 

estimate since 1985 and may indicate an end to the population decline on St. George Island. The smaller populations of fur seals on Bogoslof Island, Alaska and San 

Miguel Island, Calfornia, have continued to increase. 

Long-term trends in the number of adult males counted 

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and in rates of entanglement in marine debris were presented. Additionally, genetic studies to identify both U.S. 

and Russian fur seal stocks and their interrelationships 

are being conducted. 

Russian research on fur seals of the Commander Islands 

included a census showing a slight reduction in pup production on the Commander Islands overall. In 1995­

96, efforts were taken to monitor feeding ecology and 

behavior of female fur seals. Histological samples of reproductive organs were collected from females who died 

during the breeding period. Tagging animals was conducted to analyze the age structure of the population. 

Other research focused on the dependence of fur seal 

survival on their weight, length, and date of birth. Together with NMML specialists in Seattle, data on the 

growth of fur seal pups were analyzed, and an article was 

prepared for publication. Work is planned for 1998 on 

maternal investment of fur seal females, and American 

colleagues will be invited to participate. 

The United States reported on the results of harbor seal 

(Phoca vitulina) census surveys by NMFS from 1991 to 

1996. Because of Alaska’s large size, the state is divided 

into four sections, and one section is surveyed each year. 

One four-year cycle has already been completed, and the 

second cycle is half completed. The current uncorrected 

estimate of the number of harbor seals in Alaska is 49,213. 

Studies were completed to estimate the number of seals 

missed during aerial surveys, because the seals were in 

the water and not hauled out when the aerial surveys 

were performed. These correction factors are being developed for each type of haulout substrate (rocky, sand 

bar, ice) and in each stock area. In 1994, a correction 

factor of 1.74 was calculated for rocky substrate in Southeast Alaska. In 1995 and 1996 a correction factor of 

1.50 was calculated for sand bar haulouts in Prince William Sound (under ideal conditions), and under very poor 

conditions (high winds and rains), the correction factor 

was 2.50. 

The Russian participants informed the Working Group 

of a study conducted by the Pacific Institute of Fisheries 

and Oceanographic Research (TINRO) Marine Mammal Laboratory on the abundance of largha seals (Phoca 

largha) in Peter the Great Bay. It conducted studies by 

making a comparison of total seal abundance. Figures 

from the 1960s and recent data from 1995-1996 suggest 

that largha seal abundance has declined. The suspected 

reason for this decline of adult seals is incidental taking 

in fishing nets which account for an annual mortality of 

100-150 animals. Fifteen coastal rookeries have been 

noted, mainly on islands to the southwest, extending to 

the border with Korea. Pups haul out on shore, though 

there are cases where pups haul out on ice. 

In September 1997, a scientist from the Russian Academy of Sciences in Petropavlovsk-Kamchatski visited scientists at the Alaska Department of Fish and Game, 

Fairbanks, for one month to analyze largha seal telemetry data. In addition, a Russian scientist from TINROMagadan visted with scientists from NMML in August 

to participate in harbor seal research in Southeast Alaska. 

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The 10th Meeting of the Conference of the Parties 

(COP10) to the Convention on International Trade in 

Endangered Species of Wild Fauna and Flora (CITES) 

was held July 6-20, 1997 in Harare, Zimbabwe. Following is a brief description of agenda items and outcomes. 

All votes required a 2/3 majority of those voting for passage. In a departure from previous CITES meetings, 

secret ballots were individually requested for each vote 

described below. 

�����������������������

Resolution on the relationship between CITES and the 

IWC Japan proposed to repeal CITES Resolution Conf. 

2.9, in which CITES recommends that parties agree not 

to issue any import or export permit for any species protected from commercial whaling by the International 

Whaling Commission (IWC). The United States opposed the Japanese proposal, on the grounds that the 

IWC has never withdrawn its request for support from 

CITES members in enforcing the commercial moratorium on whaling. Japan called for a secret ballot. The 

proposal, which required a 2/3 vote to pass, was defeated 

with 27 votes in favor, 51 against. 

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In 1994, the CITES Parties passed a resolution to address illegal international trade in whale meat, which 

presisted despite the listing of these species in Appendix 

I of the treaty. A species is listed in Appendix I when it 

considered to be threatened with extinction under specific CITES criteria. The resolution recognizes the work 

of the IWC on the issue and urges CITES Parties to 

investigate illegal trade in whale meat and cooperate with 

the CITES Secretariat in the collection of this information. It also encourages the sharing of information between the IWC and CITES on illegal trade and directs 

the Secretariat to share with the IWC any information it 

collects regarding illegal trade in whale meat. Since 1994, 

NMFS has met on several occasions with Japanese government officials to facilitate exchange of information 

about ways to stop illegal trade in whales. This topic 

was included on the agenda for COP10, and a working 

group was convened. A Decision of the Parties was 

adopted that calls for increased enforcement cooperation, particularly in DNA testing of whale meat collected. 

The next CITES Conference of Parties will be held in 

2000. 

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