U.S. Atlantic and Gulf of Mexico Marine 

Mammal Stock Assessments - 2010 

US DEPARTMENT OF COMMERCE 

National Oceanic and Atmospheric Administration 

National Marine Fisheries Service 

Northeast Fisheries Science Center 

Woods Hole, Massachusetts 

December 2010

NOAA Technical Memorandum NMFS-NE-219 
Recent Issues in This Series:

200. Essential Fish Habitat Source Document: Black Sea Bass, Centropristis striata, Life History and Habitat Characteristics (2nd 

ed. By Amy F. Drohan, John P. Manderson, and David B. Packer. February 2007. vi + 68 p., 33 figs., 2 tables. NTIS Access No. PB2008-107378.

[Online publication only.]

201. U.S. Atlantic and Gulf of Mexico Marine Mammal Stock Assessments -- 2006. By Gordon T. Waring, Elizabeth Josephson, Carol P. 

Fairfield, and Katherine Maze-Foley, eds. Dana Belden, Timothy V.N. Cole, Lance P. Garrison, Keith D. Mullin, Christopher Orphanides, Richard 

M. Pace III, Debra L. Palka, Marjorie C. Rossman, and Fredrick W. Wenzel, contribs. March 2007. vi + 378 p., 92 figs, 84 tables, 5 app., index. NTIS 

Access No. PB2007-112570. 

202. Evaluation of Northern Right Whale Ship Strike Reduction Measures in the Great South Channel of Massachusetts. By RL Merrick and 

TVN Cole. March 2007. NTIS Access No. PB 2008-107377. 

203. Essential fish habitat source document: Spiny dogfish, Squalus acanthias, life history and habitat characteristics, 2nd edition. By LL 

Stehlik. December 2007. NTIS Access No. PB2008-107376. 

204. An Evaluation of the Northeast Region’s Study Fleet pilot program and Electronic Logbook System: Phases I and II. By Michael C. 

Palmer, Susan E. Wigley, John J. Hoey, and Joan E. Palmer. December 2007. NTIS Access No PB2008-107374. 

205. U.S. Atlantic and Gulf of Mexico Marine Mammal Stock Assessments -- 2007. By GT Waring, E Josephson, CP Fairfield, and K MazeFoley, Editors. November 2007. NTIS Access No _______. 

206. Growth of Black Sea Bass (Centropristis striata) in Recirculating Aquaculture Systems. By Dean M. Perry, David A. Nelson, Dylan H. 

Redman, Stephan Metzler, and Robin Katersky. October 2007. NTIS Access No. PB2008-107374. 

207. Analysis of Atlantic Sea Scallop (Placopecten magellanicus) Fishery Impacts on the North Atlantic Population of Loggerhead Sea 

Turtles (Caretta caretta). By Richard Merrick and Heather Haas. February 2008. NTIS Access No PB2008-107373. 

208. Global Applications of the Large Marine Ecosystem Concept 2007-2010. By Kenneth Sherman, Marie-Chirstine Aquarone, and Sally 

Adams. June 2007. NTIS Access No. PB______-_______. 

209. Impacts to Marine Fisheries Habitat from Nonfishing Activities in the Northeastern United States. By Michael R. Johnson, Christopher 

Boelke, Louis A. Chiarella, Peter D. Colosi, Karen Greene, Kimberly Lellis-Dibble, Heather Ludemann, Michael Ludwig, Sean McDermott, Jill 

Ortiz, Diane Rusanowsky, Marcy Scott, and Jeff Smith February 2008. NTIS Access No. PB______-_______. 

210. U.S. Atlantic and Gulf of Mexico Marine Mammal Stock Assessments -- 2008. By GT Waring, E Josephson, CP Fairfield, and K MazeFoley, Editors. February 2009. NTIS Access No _______. 

211. Trends in Selected Northeast Region Marine Industries. By Eric M. Thunberg. July 2008. NTIS Access No. 

212. Summary of harbor porpoise (Phocoena phocoena) bycatch and levels of compliance in the northeast and mid–Atlantic gillnet fisheries 

after the implementation of the Take Reduction Plan: 1 January 1999 – 31 May 2007. By Debra Palka, Christopher D. Orphanides, and Melissa 

L. Warden. August 2008. NTIS Access No. 

213. U.S. Atlantic and Gulf of Mexico Marine Mammal Stock Assessments -- 2009. By Gordon T. Waring, Elizabeth Josephson, Katherine MazeFoley, and Patricia E. Rosel. December 2009. NTIS Access No. 

214. Mortality and Serious Injury Determinations for Baleen Whale Stocks along the United States and Canadian Eastern Seaboards, 2004-

2008. By Allison H. Glass, Timothy V.N. Cole, and Mendy Garron. May 2010.NTIS Access No. 

215. Atlantic Sturgeon Research Techniques. By Kimberly Damon-Randall, Russell Bohl, Stephania Bolden, Dewayne Fox, Christian Hager, 

Brian Hickson, Eric Hilton, Jerre Mohler, Erika Robbins, Tom Savoy, Albert Spells. May 2010. NTIS Access No. 

216. The Trophic Dynamics of 50 Finfish and 2 Squid Species on the Northeast US Continental Shelf. By Brian E. Smith and Jason S. Link. 

May 2010. NTIS Access No. 

217. General Trends and Interannual Variability in Prey Selection by Larval Cod and Haddock from the Southern Flank of Georges Bank, 

May 1993-1999. By Elisabeth A. Broughton and R. Gregory Lough. May 2010. NTIS Access No. 

218. NEUS – Atlantis: Construction, Calibration, and Application of an Ecosystem Model with Ecological Interactions, Physiographic 

Conditions, and Fleet Behavior By Jason S. Link, Robert J. Gamble, Elizabeth A. Fulton. January 2011. NTIS Access No. 
U.S. Atlantic and Gulf of Mexico Marine 

Mammal Stock Assessments - 2010 

Gordon T. Waring1, Elizabeth Josephson1, Katherine Maze-Foley2, and 

Patricia E. Rosel3

, Editors 

with contributions from (listed alphabetically) 

 

Kevin Barry2, Barbie Byrd4, Timothy V.N. Cole1, Laura Engleby5, Carol Fairfield6, Lance P. 

Garrison6, Allison Glass1, Larry Hansen4, Jenny Litz6, Christopher Orphanides1, Richard M. 

Pace1

, Debra L. Palka1, Marjorie C. Rossman1, Carrie Sinclair2, and Frederick W. Wenzel1. 

1

 National Marine Fisheries Service, 166 Water Street, Woods Hole, MA 02543 2

 National Marine Fisheries Service, P.O. Drawer 1207, Pascagoula, MS 39568 3

 National Marine Fisheries Service, 646 Cajundome Blvd. Suite 234, Lafayette, LA 70506 4

 National Marine Fisheries Service, 101 Pivers Island, Beaufort, NC 28516 5

National Marine Fisheries Service , 263 13th Ave. South, St. Petersburg, FL 33701 6

 National Marine Fisheries Service, 75 Virginia Beach Drive, Miami, FL 33149 

US DEPARTMENT OF COMMERCE 

Gary Locke, Secretary 

National Oceanic and Atmospheric Administration 

Dr. Jane Lubchenco, Administrator 

National Marine Fisheries Service 

Eric C. Schwaab, Assistant Administrator for Fisheries 

Northeast Fisheries Science Center 

Woods Hole, Massachusetts 

December 2010

NOAA Technical Memorandum NMFS-NE-219 

This series represents a secondary level of scientific publishing. All issues employ thorough internal 

scientific review; some issues employ external scientific review. Reviews are transparent collegial 

reviews, not anonymous peer reviews. All issues may be cited in formal scientific communications. 
Editorial Notes 

Information Quality Act Compliance: In accordance with section 515 of Public Law 106-554, the 

Northeast Fisheries Science Center completed both technical and policy reviews for this report. 

These predissemination reviews are on file at the NEFSC Editorial Office. 

Species Names: The NEFSC Editorial Office’s policy on the use of species names in all 

technical communications is generally to follow the American Fisheries Society’s lists of 

scientific and common names for fishes, mollusks, and decapod crustaceans and to follow the 

Society for Marine Mammalogy's guidance on scientific and common names for marine 

mammals. Exceptions to this policy occur when there are subsequent compelling revisions in the 

classifications of species, resulting in changes in the names of species. 

Statistical Terms: The NEFSC Editorial Office’s policy on the use of statistical terms in all 

technical communications is generally to follow the International Standards Organization’s 

handbook of statistical methods. 

Internet Availability: This issue of the NOAA Technical Memorandum NMFS-NE series is 

being published as a Web document in PDF format and can be accessed at: 

http://www.nefsc.noaa.gov/nefsc/publications/. 

Editorial Treatment: To distribute this report quickly, it has not undergone the normal technical 

and copy editing by the Northeast Fisheries Science Center's (NEFSC's) Editorial Office as have 

most other issues in the NOAA Technical Memorandum NMFS-NE series. Other than the four 

covers and first two preliminary pages, all writing and editing have been performed by – and all 

credit for such writing and editing rightfully belongs to – those so listed on the title page. 
iii

Table of Contents

Acknowledgements.................................................................................................. vi

Executive Summary ................................................................................................ vii

Introduction................................................................................................................1

TABLE 1. A Summary (including footnotes) of Atlantic Marine Mammal Stock Assessment Reports for 

Stocks of Marine Mammals under NMFS Authority that Occupy Waters under USA Jurisdiction.....................2

North Atlantic Cetacean Species

North Atlantic Right Whale (Eubalaena glacialis): Western Atlantic Stock.................................8

Humpback Whale (Megaptera novaeangliae): Gulf of Maine Stock............................................18

Fin Whale (Balaenoptera physalus): Western North Atlantic Stock................................................29

Sei Whale (Balaenoptera borealis): Nova Scotia Stock..............................................................35

Minke Whale (Balaenoptera acutorostrata acutorostrata): Canadian East Coast Stock ........................40

Blue Whale (Balaenoptera musculus): Western North Atlantic Stock .............................................49

Risso's Dolphin (Grampus griseus): Western North Atlantic Stock ..............................................52

Long-Finned Pilot Whale (Globicephala melas melas): Western North Atlantic Stock....................59

Short-Finned Pilot Whale (Globicephala macrorhynchus): Western North Atlantic Stock................72

White-Sided Dolphin (Lagenorhynchus acutus): Western North Atlantic Stock .............................83

Short-Beaked Common Dolphin (Delphinus delphis delphis): Western North Atlantic Stock .........92

Bottlenose Dolphin (Tursiops truncatus truncatus): Western North Atlantic Northern Migratory Coastal 

Stock .........................................................................................................................100

Bottlenose Dolphin (Tursiops truncatus truncatus): Western North Atlantic Southern Migratory Coastal 

Stock .........................................................................................................................111

Bottlenose Dolphin (Tursiops truncatus truncatus): Western North Atlantic South Carolina/Georgia Coastal 

Stock .........................................................................................................................123

Bottlenose Dolphin (Tursiops truncatus truncatus): Western North Atlantic Northern Florida Coastal Stock

................................................................................................................................130

Bottlenose Dolphin (Tursiops truncatus truncatus): Western North Atlantic Central Florida Coastal Stock

................................................................................................................................138

Bottlenose Dolphin (Tursiops truncatus truncatus): Northern North Carolina Estuarine System Stock..145

Bottlenose Dolphin (Tursiops truncatus truncatus): Southern North Carolina Estuarine System Stock..155

Harbor Porpoise (Phocoena phocoena): Gulf of Maine/Bay of Fundy Stock .................................164

North Atlantic Pinniped Species

Harbor Seal (Phoca vitulina concolor): Western North Atlantic Stock ..........................................176

Gray Seal (Halichoerus grypus): Western North Atlantic Stock ..................................................183

Harp Seal (Phagophilus groenlandicus): Western North Atlantic Stock .........................................191
iv

Gulf of Mexico Cetacean Species

Sperm Whale (Physeter macrocephalus): Northern Gulf of Mexico Stock.....................................198

Bottlenose dolphin (Tursiops truncatus truncatus): Gulf of Mexico Eastern Coastal Stock................204

Bottlenose Dolphin (Tursiops truncatus truncatus): Gulf of Mexico Northern Coastal Stocks ............212

Bottlenose Dolphin (Tursiops truncatus truncatus): Gulf of Mexico Western Coastal Stocks.............220

Bottlenose Dolphin (Tursiops truncatus truncatus): Gulf of Mexico Bay, Sound, and Estuarine Stocks .228

Killer Whale (Orcinus orca): Northern Gulf of Mexico Stock ...................................................240

Risso's Dolphin (Grampus griseus): Northern Gulf of Mexico Stock ..........................................244

Caribbean Cetacean Species

Sperm Whale (Physeter macrocephalus): Puerto Rico and U.S. Virgin Islands Stock ........................249

APPENDIX I. Estimated serious injury and mortality (SI&M) of Western North Atlantic marine mammals 

listed by U.S. observed fisheries for 2004-2008. ........................................................................253

APPENDIX II. Summary of confirmed human-caused mortality and serious injury (SI) events............ 256

APPENDIX III. Fishery Descriptions ...........................................................................257

APPENDIX IV. Summary of surveys and abundance estimates ..............................................331

APPENDIX V. Reports not updated in 2010.....................................................................331

Sperm Whale (Physeter macrocephalus): North Atlantic Stock .................................................343

Dwarf Sperm Whale (Kogia sima): Western North Atlantic Stock...........................................350

Pygmy Sperm Whale (Kogia breviceps): Western North Atlantic Stock ....................................355

Killer Whale (Orcinus orca): Western North Atlantic Stock .....................................................360

Pygmy Killer Whale (Feresa attenutta): Western North Atlantic Stock .....................................362

Northern Bottlenose Whale (Hyperoodon ampullatus): Western North Atlantic Stock .................364

Cuvier's Beaked Whale (Ziphius cavirostris): Western North Atlantic Stock..............................367

Blainville’s Beaked Whale (Mesoplodon densirostris): Western North Atlantic Stock .................374

Gervais’ Beaked Whale (Mesoplodon europaeus): Western North Atlantic Stock........................381

Sowerby’s Beaked Whale (Mesoplodon bidens): Western North Atlantic Stock .........................387

True’s Beaked Whale (Mesoplodon mirus): Western North Atlantic Stock.................................394

Melon-Headed Whale (Peponocephala electra): Western North Atlantic Stock ...........................400

White-Beaked Dolphin (Lagenorhynchus albirostris): Western North Atlantic Stock....................403

Atlantic Spotted Dolphin (Stenella frontalis): Western North Atlantic Stock .............................408

Pantropical Spotted Dolphin (Stenella attenuata): Western North Atlantic Stock.......................413

Striped Dolphin (Stenella coeruleoalba): Western North Atlantic Stock ......................................418

Fraser's Dolphin (Lagenodelphis hosei): Western North Atlantic Stock .......................................422

Rough-Toothed Dolphin (Steno bredanensis) Western North Atlantic Stock .............................424

Clymene Dolphin (Stenella clymene): Western North Atlantic Stock .........................................430

Spinner Dolphin (Stenella longirostris): Western North Atlantic Stock .......................................433
v

Bottlenose Dolphin (Tursiops truncatus): Western North Atlantic Offshore Stock .........................436

Bottlenose Dolphin (Tursiops truncatus): Charleston Estuarine System Stock ..............................442

Bottlenose Dolphin (Tursiops truncatus): Northern Georgia/Southern South Carolina Estuarine System 

Stock .........................................................................................................................449

Bottlenose Dolphin (Tursiops truncatus): Southern Georgia Estuarine System Stock ......................454

Bottlenose Dolphin (Tursiops truncatus): Jacksonville Estuarine System Stock ............................459

Bottlenose Dolphin (Tursiops truncatus): Indian River Lagoon Estuarine System Stock ..................463

Bottlenose Dolphin (Tursiops truncatus): Biscayne Bay Stock ...............................................471

Bottlenose Dolphin (Tursiops truncatus): Florida Bay Stock .................................................476

Hooded Seal (Cystophora cristata): Western North Atlantic Stock..............................................481

Bryde's Whale (Balaenoptera edeni): Northern Gulf of Mexico Stock .........................................486

Cuvier's Beaked Whale (Ziphius cavirostris): Northern Gulf of Mexico Stock............................490

Blainville’s Beaked Whale (Mesoplodon densirostris): Northern Gulf of Mexico Stock ...............495

Gervais' Beaked Whale (Mesoplodon europaeus): Northern Gulf of Mexico Stock ......................500

Bottlenose Dolphin (Tursiops truncatus): Northern Gulf of Mexico Continental Shelf Stock .............505

Bottlenose Dolphin (Tursiops truncatus): Northern Gulf of Mexico Oceanic Stock ........................510

Atlantic Spotted Dolphin (Stenella frontalis): Northern Gulf of Mexico Stock ...........................514

Pantropical Spotted Dolphin (Stenella attenuata): Northern Gulf of Mexico Stock.....................519

Striped Dolphin (Stenella coeruleoalba): Northern Gulf of Mexico Stock ....................................523

Spinner Dolphin (Stenella longirostris): Northern Gulf of Mexico Stock .....................................527

Rough-Toothed Dolphin (Steno bredanensis): Northern Gulf of Mexico Stock...........................531

Clymene Dolphin (Stenella clymene): Northern Gulf of Mexico Stock .......................................536

Fraser's Dolphin (Lagenodelphis hosei): Northern Gulf of Mexico Stock .....................................540

False Killer Whale (Pseudorca crassidens): Northern Gulf of Mexico Stock................................544

Pygmy Killer Whale (Feresa attenuata): Northern Gulf of Mexico Stock ..................................548

Dwarf Sperm Whale (Kogia sima): Northern Gulf of Mexico Stock.........................................552

Pygmy Sperm Whale (Kogia breviceps): Northern Gulf of Mexico Stock ..................................557

Melon-Headed Whale (Peponocephala electra): Northern Gulf of Mexico Stock .........................562

Short-Finned Pilot Whale (Globicephala macrorhynchus): Northern Gulf of Mexico Stock............566

APPENDIX VI: Indian Manatee Stock Assessments – Florida and Antilles stocks... 570
December 2009

HUMPBACK WHALE (Megaptera novaeangliae):

Gulf of Maine Stock

STOCK DEFINITION AND GEOGRAPHIC RANGE

In the western North Atlantic, humpback 

whales feed during spring, summer and fall over 

a geographic range encompassing the eastern 

coast of the United States (including the Gulf of 

Maine), the Gulf of St. Lawrence, 

Newfoundland/Labrador, and western Greenland

(Katona and Beard 1990). Other North Atlantic 

feeding grounds occur off Iceland and northern 

Norway, including off Bear Island and Jan 

Mayen (Christensen et al. 1992; Palsbøll et al.

1997). These six regions represent relatively 

discrete subpopulations, fidelity to which is 

determined matrilineally (Clapham and Mayo 

1987). Genetic analysis of mitochondrial DNA 

(mtDNA) has indicated that this fidelity has 

persisted over an evolutionary timescale in at 

least the Icelandic and Norwegian feeding 

grounds (Palsbøll et al. 1995; Larsen et al.

1996). Previously, the North Atlantic humpback 

whale population was treated as a single stock 

for management purposes (Waring et al. 1999). 

Indeed, earlier genetic analyses (Palsbøll et al.

1995), based upon relatively small sample sizes, 

had failed to discriminate among the four 

western North Atlantic feeding areas. However, 

genetic analyses often reflect a timescale of 

thousands of years, well beyond those commonly 

used by managers. Accordingly, the decision was 

made to reclassify the Gulf of Maine as a 

separate feeding stock (Waring et al. 2000); this 

was based upon the strong fidelity by individual 

whales to this region, and the attendant 

assumption that, were this subpopulation wiped 

out, repopulation by immigration from adjacent 

areas would not occur on any reasonable 

management timescale. This reclassification has subsequently been supported by new genetic analyses based upon a 

much larger collection of samples than those utilized by Palsbøll et al. (1995). These analyses have found significant 

differences in mtDNA haplotype frequencies among whales sampled in four western feeding areas, including the 

Gulf of Maine (Palsbøll et al. 2001). During the 2002 Comprehensive Assessment of North Atlantic humpback 

whales, the International Whaling Commission acknowledged the evidence for treating the Gulf of Maine as a 

separate management unit (IWC 2002).

During the summers of 1998 and 1999, the Northeast Fisheries Science Center conducted surveys for humpback 

whales on the Scotian Shelf to establish the occurrence and population identity of the animals found in this region, 

which lies between the well-studied populations of the Gulf of Maine and Newfoundland. Photographs from both 

surveys have now been compared to both the overall North Atlantic Humpback Whale Catalogue and a large 

regional catalogue from the Gulf of Maine (maintained by the College of the Atlantic and the Provincetown Center 

for Coastal Studies, respectively); this work is summarized in Clapham et al. (2003). The match rate between the 

Scotian Shelf and the Gulf of Maine was 27% (14 of 52 Scotian Shelf individuals from both years). Comparable 

rates of exchange were obtained from the southern (28%, n=10 of 36 whales) and northern (27%, n=4 of 15 whales) 

Figure 1. Distribution of humpback whale sightings from 

NEFSC and SEFSC shipboard and aerial surveys during 

the summers of 1998, 1999, 2002, 2004 2006, and 2007.

Isobaths are the 100-m, 1000-m and 4000-m depth

contours.
ends of the Scotian Shelf, despite the additional distance of nearly 100 nautical miles (one whale was observed in 

both areas). In contrast, all (of the 36) humpback whales identified by the same NMFS surveys elsewhere in the Gulf 

of Maine (including Georges Bank, southwestern Nova Scotia and the Bay of Fundy) had been previously observed 

in the Gulf of Maine region. The sighting histories of the 14 Scotian Shelf whales matched to the Gulf of Maine 

suggested that many of them were transient through the latter area. There were no matches between the Scotian 

Shelf and any other North Atlantic feeding ground, except the Gulf of Maine; however, instructive comparisons are 

compromised by the often low sampling effort in other regions in recent years. Overall, it appears that the northern 

range of many members of the Gulf of Maine stock does not extend onto the Scotian Shelf. 

During winter, whales from most Atlantic feeding areas (including the Gulf of Maine) mate and calve in the 

West Indies, where spatial and genetic mixing among subpopulations occurs (Katona and Beard 1990; Clapham et 

al. 1993; Palsbøll et al. 1997; Stevick et al. 1998). A few whales of unknown northern origin migrate to the Cape 

Verde Islands (Reiner et al. 1996). In the West Indies, the majority of whales are found in the waters of the 

Dominican Republic, notably on Silver Bank and Navidad Bank, and in Samana Bay (Balcomb and Nichols 1982; 

Whitehead and Moore 1982; Mattila et al. 1989; Mattila et al. 1994). Humpback whales are also found at much 

lower densities throughout the remainder of the Antillean arc, from Puerto Rico to the coast of Venezuela (Winn et 

al. 1975; Levenson and Leapley 1978; Price 1985; Mattila and Clapham 1989).

Not all whales migrate to the West Indies every winter, and significant numbers of animals are found in midand high-latitude regions at this time (Clapham et al. 1993; Swingle et al. 1993). An increased number of sightings 

of humpback whales in the vicinity of the Chesapeake and Delaware Bays occurred in 1992 (Swingle et al. 1993). 

Wiley et al. (1995) reported 38 humpback whale strandings occurred during 1985-1992 in the U.S. mid-Atlantic and 

southeastern states. Humpback whale strandings increased, particularly along the Virginia and North Carolina

coasts, and most stranded animals were sexually immature; in addition, the small size of many of these whales 

strongly suggested that they had only recently separated from their mothers. Wiley et al. (1995) concluded that these 

areas were becoming an increasingly important habitat for juvenile humpback whales and that anthropogenic factors 

may negatively impact whales in this area. There have also been a number of wintertime humpback sightings in 

coastal waters of the southeastern U.S. (NMFS unpublished data; New England Aquarium unpublished data). 

Whether the increased number of sightings represent a distributional change, or are simply due to an increase in 

sighting effort and/or whale abundance, is unknown.

A key question with regard to humpback whales off the southeastern and mid-Atlantic states is their population 

identity. This topic was investigated using fluke photographs of living and dead whales observed in the region 

(Barco et al. 2002). In this study, photographs of 40 whales (alive or dead) were of sufficient quality to be compared 

to catalogs from the Gulf of Maine (the closest feeding ground) and other areas in the North Atlantic. Of 21 live 

whales, 9 (42.9%) matched to the Gulf of Maine, 4 (19.0%) to Newfoundland and 1 (4.8%) to the Gulf of St 

Lawrence. Of 19 dead humpbacks, 6 (31.6%) were known Gulf of Maine whales. Although the population 

composition of the mid-Atlantic is apparently dominated by Gulf of Maine whales, lack of recent photographic 

effort in Newfoundland makes it likely that the observed match rates under-represent the true presence of Canadian 

whales in the region. Barco et al. (2002) suggested that the mid-Atlantic region primarily represents a supplemental 

winter feeding ground used by humpbacks.

In New England waters, feeding is the principal activity of humpback whales, and their distribution in this 

region has been largely correlated to abundance of prey species, although behavior and bottom topography are 

factors influencing foraging strategy (Payne et al. 1986; 1990). Humpback whales are frequently piscivorous when 

in New England waters, feeding on herring (Clupea harengus), sand lance (Ammodytes spp.), and other small fishes. 

In the northern Gulf of Maine, euphausiids are also frequently taken (Paquet et al. 1997). Commercial depletion of 

herring and mackerel led to an increase in sand lance in the southwestern Gulf of Maine in the mid 1970s with a 

concurrent decrease in humpback whale abundance in the northern Gulf of Maine. Humpback whales were densest 

over the sandy shoals in the southwestern Gulf of Maine favored by the sand lance during much of the late 1970s 

and early 1980s, and humpback distribution appeared to have shifted to this area (Payne et al. 1986). An apparent 

reversal began in the mid 1980s, and herring and mackerel increased as sand lance again decreased (Fogarty et al.

1991). Humpback whale abundance in the northern Gulf of Maine increased markedly during 1992-1993, along with 

a major influx of herring (P. Stevick, pers. comm.). Humpback whales were few in nearshore Massachusetts waters 

in the 1992-1993 summer seasons. They were more abundant in the offshore waters of Cultivator Shoal and on the 

Northeast Peak on Georges Bank and on Jeffreys Ledge; these latter areas are traditional locations of herring 

occurrence. In 1996 and 1997, sand lance and therefore humpback whales were once again abundant in the 

Stellwagen Bank area. However, unlike previous cycles, when an increase in sand lance corresponded to a decrease 

in herring, herring remained relatively abundant in the northern Gulf of Maine, and humpbacks correspondingly 

continued to occupy this portion of the habitat, where they also fed on euphausiids (unpublished data, Provincetown 
Center for Coastal Studies and College of the Atlantic).

In early 1992, a major research program known as the Years of the North Atlantic Humpback (YONAH) (Smith

et al. 1999) was initiated. This was a large-scale, intensive study of humpback whales throughout almost their entire 

North Atlantic range, from the West Indies to the Arctic. During two primary years of field work, photographs for 

individual identification and biopsy samples for genetic analysis were collected from summer feeding areas and 

from the breeding grounds in the West Indies. Additional samples were collected from certain areas in other years. 

Results pertaining to the estimation of abundance and to genetic population structure are summarized below.

POPULATION SIZE

North Atlantic Population

The overall North Atlantic population (including the Gulf of Maine), derived from genetic tagging data 

collected by the YONAH project on the breeding grounds, was estimated to be 4,894 males (95% CI=3,374-7,123) 

and 2,804 females (95% CI=1,776-4,463) (Palsbøll et al. 1997). Because the sex ratio in this population is known to 

be even (Palsbøll et al. 1997), the excess of males is presumed a result of sampling bias, lower rates of migration 

among females, or sex-specific habitat partitioning in the West Indies; whatever the reason, the combined total is an 

underestimate of overall population size. Photographic mark-recapture analyses from the YONAH project provided 

an ocean-basin-wide estimate of 11,570 animals during 1992/1993 (CV=0.068, Stevick et al. 2003), and an 

additional genotype-based analysis yielded a similar but less precise estimate of 10,400 whales (CV=0.138, 95% 

CI=8,000 to 13,600) (Smith et al. 1999). In the northeastern North Atlantic, Øien (2001) estimated from sighting 

survey data that there were 889 (CV=0.32) humpback whales in the Barents and Norwegian Seas region.

Gulf of Maine stock - earlier estimates

Please see Appendix IV for earlier estimates. As recommended in the GAMMS Workshop Report (Wade and 

Angliss 1997), estimates older than eight years are deemed unreliable and should not be used for PBR 

determinations.

Gulf of Maine Stock - Recent surveys and abundance estimates

An abundance estimate of 521 (CV=0.67) humpback whales was obtained from an aerial survey conducted in 

July and August 2002 which covered 7,465 km of trackline over waters from the 1000 m depth contour on the 

southern edge of Georges Bank to Maine (Table 1; Palka 2006). The value of g(0) used for this estimation was 

derived from the pooled data of 2002, 2004 and 2006 aerial survey data.

An abundance estimate of 359 (CV=0.75) humpback whales was obtained from a line-transect sighting survey 

conducted from 12 June to 4 August 2004 by a ship and plane. The 2004 survey covered the smallest portion of the 

habitat (6,180 km of trackline), from the 100 m depth contour on the southern Georges Bank to the lower Bay of 

Fundy; while the Scotian shelf south of Nova Scotia was not surveyed.

An abundance estimate of 847 animals (CV=0.55) was derived from a line-transect sighting survey conducted 

during August 2006 which covered 10,676 km of trackline from the 2000 m depth contour on the southern edge of 

Georges Bank to the upper Bay of Fundy and to the Gulf of St. Lawrence. (Table 1; Palka pers. comm.) Some 

evidence exists to support a 25% exchange rate between Scotian shelf animals and with those in the Gulf of Maine 

(Clapham et al. 2003), which suggest that a 25% correction factor be applied to the humpback population estimate 

from the Scotian shelf stratum. Because the Scotian shelf was surveyed in only 2006, the 25% correction factor 

(described above) was applied to only the 2006 abundance estimate. 

Minimum Population Estimate

The minimum population estimate is the lower limit of the two-tailed 60% confidence interval of the lognormally distributed best abundance estimate. This is equivalent to the 20th percentile of the log-normal distribution 

as specified by Wade and Angliss (1997). The best estimate of abundance for Gulf of Maine humpback whales is 

847 animals (CV=0.55). The minimum population estimate for this stock is 549 animals.
Table 1. Summary of abundance estimates for Gulf of Maine humpback whales. 

Month/Year Type N CV

Aug 2002 S. Gulf of Maine to Maine 521 0.67

Jun-Jul 2004 Gulf of Maine to lower Bay of 

Fundy 359 0.75

Aug 2006 S. Gulf of Maine to upper Bay of 

Fundy to Gulf of St. Lawrence

847 0.55

Current Population Trend

As detailed below, current data suggest that the Gulf of Maine humpback whale stock is steadily increasing in 

size. This is consistent with an estimated average trend of 3.1% (SE=0.005) in the North Atlantic population overall 

for the period 1979-1993 (Stevick et al. 2003), although there are no feeding-area-specific estimates.

CURRENT AND MAXIMUM NET PRODUCTIVITY RATES

Barlow and Clapham (1997) applying an interbirth interval model to photographic mark-recapture data, 

estimated the population growth rate of the Gulf of Maine humpback whale stock at 6.5% (CV=0.012). Maximum 

net productivity is unknown for this population, although a theoretical maximum for any humpback population can 

be calculated using known values for biological parameters (Brandão et al. 2000; Clapham et al. 2001). For the Gulf 

of Maine stock, data supplied by Barlow and Clapham (1997) and Clapham et al. (1995) give values of 0.96 for 

survival rate, 6 years as mean age at first parturition, 0.5 as the proportion of females, and 0.42 for annual pregnancy 

rate. From this, a maximum population growth rate of 0.072 is obtained according to the method described by 

Brandão et al. (2000). This suggests that the observed rate of 6.5% (Barlow and Clapham 1997) is close to the 

maximum for this stock.

Clapham et al. (2003) updated the Barlow and Clapham (1997) analysis using data from the period 1992 to 

2000. The population growth estimate was either 0% (for a calf survival rate of 0.51) or 4.0% (for a calf survival 

rate of 0.875). Although confidence limits were not provided (because maturation parameters could not be 

estimated), both estimates of population growth rate are outside the 95% confidence intervals of the previous 

estimate of 6.5% for the period 1979 to 1991 (Barlow and Clapham 1997). It is unclear whether this apparent 

decline is an artifact resulting from a shift in distribution; indeed, such a shift occurred during exactly the period 

(1992-1995) in which survival rates declined. It is possible that this shift resulted in calves that were born in those 

years imprinting on (and thus subsequently returning to) areas other than those in which intensive sampling 

occurred. If the decline is real, it may be related to known high mortality among young-of-the-year whales in the 

waters off the U.S. mid-Atlantic states. However, calf survival appears to have increased since 1996, presumably 

accompanied by an increase in population growth.

In light of the uncertainty accompanying the more recent estimates of population growth rate for the Gulf of 

Maine stock, the maximum net productivity rate was assumed to be the default value of 0.04 for cetaceans (Barlow

et al. 1995). 

POTENTIAL BIOLOGICAL REMOVAL

Potential Biological Removal (PBR) is the product of minimum population size, one-half the maximum 

productivity rate, and a "recovery" factor (MMPA Sec. 3. 16 U.S.C. 1362; Wade and Angliss 1997). The minimum 

population size for the Gulf of Maine stock is 549 whales. The maximum productivity rate is the default value of 

0.04. The "recovery" factor, which accounts for endangered, depleted, or threatened stocks, or stocks of unknown 

status relative to optimum sustainable population (OSP) is assumed to be 0.10 because this stock is listed as an 

endangered species under the Endangered Species Act (ESA). PBR for the Gulf of Maine humpback whale stock is 

1.1 whales. 

ANNUAL HUMAN-CAUSED SERIOUS INJURY AND MORTALITY

For the period 2003 through 2007, the minimum annual rate of human-caused mortality and serious injury to the 

Gulf of Maine humpback whale stock averaged 4.4 animals per year (U.S. waters, 4.0; Canadian waters, 0.4). This 

value includes incidental fishery interaction records, 2.8 (U.S. waters, 2.4; Canadian waters, 0.4); and records of 

vessel collisions, 1.6 (U.S. waters, 1.6; Canadian waters, 0) (Glass et al. 2009). 
In contrast to stock assessment reports before 2007, these averages include humpback mortalities and serious 

injuries that occurred in the southeastern and mid-Atlantic states that could not be confirmed as involving members 

of the Gulf of Maine stock. In past reports, only events involving whales confirmed to be members of the Gulf of 

Maine stock were counted against the PBR. Starting in the 2007 report, we assumed whales were from the Gulf of 

Maine unless they were identified as members of another stock. At the time of this writing, no whale was identified 

as a member of another stock. These determinations may change with the availability of new information. Canadian 

records were incorporated into the mortality and serious injury rates, to reflect the effective range of this stock as 

described above. For the purposes of this report, discussion is primarily limited to those records considered 

confirmed human-caused mortalities or serious injuries.

Serious injury was defined in 50 CFR part 229.2 as an injury that is likely to lead to mortality. We therefore 

limited serious injury designations to only those reports that had substantiated evidence that the injury, whether from 

entanglement or vessel collision, was likely to lead to the whale's death. Determinations of serious injury were made 

on a case-by-case basis following recommendations from the workshop conducted in 1997 on differentiating serious 

and non-serious injuries (Angliss and DeMaster 1998). Injuries that impeded a whale's locomotion or feeding were 

not considered serious injuries unless they were likely to be fatal in the foreseeable future. There was no forecasting 

of how the entanglement or injury might increase the whale's susceptibility to further injury, namely from additional 

entanglements or vessel collisions. For these reasons, the human impacts listed in this report represent a minimum 

estimate.

To better assess human impacts (both vessel collision and gear entanglement), and considering the number of 

decomposed and incompletely or unexamined animals in the records, there needs to be greater emphasis on the 

timely recovery of carcasses and complete necropsies. The literature and review of records described here suggest 

that there are significant human impacts beyond those recorded in the fishery observer data. For example, a study of 

entanglement-related scarring on the caudal peduncle of 134 individual humpback whales in the Gulf of Maine

suggested that between 48% and 65% had experienced entanglements (Robbins and Mattila 2001). Decomposed 

and/or unexamined animals (e.g., carcasses reported but not retrieved or no necropsy performed) represent 'lost data' 

some of which may relate to human impacts. 

Background

As with right whales, human impacts (vessel collisions and entanglements) may be slowing recovery of the 

humpback whale population. Of 20 dead humpback whales (principally in the mid-Atlantic, where decomposition 

did not preclude examination for human impacts), Wiley et al. (1995) reported that six (30%) had major injuries 

possibly attributable to ship strikes, and five (25%) had injuries consistent with possible entanglement in fishing 

gear. One whale displayed scars that may have been caused by both ship strike and entanglement. Thus, 60% of the 

whale carcasses suitable for examination showed signs that anthropogenic factors may have contributed to, or been 

responsible for, their death. Wiley et al. (1995) further reported that all stranded animals were sexually immature, 

suggesting a winter or migratory segregation and/or that juvenile animals are more susceptible to human impacts. 

An updated analysis of humpback whale mortalities from the mid-Atlantic states region was produced by Barco 

et al. (2002). Between 1990 and 2000, there were 52 known humpback whale mortalities in the waters of the U.S. 

mid-Atlantic states. Inspection of length data from 48 of these whales (18 females, 22 males, and 8 of unknown sex) 

suggested that 39 (81.2%) were first-year animals, 7 (14.6%) were immature and 2 (4.2%) were adults. However, 

sighting histories of five of the dead whales indicate that some were small for their age, and histories of live whales 

further indicate that the proportion of mature whales in the mid-Atlantic may be higher than suggested by the 

stranded sample.

Robbins and Mattila (2001) reported that males were more likely to be entangled than females. Their scarring 

data suggested that yearlings were more likely than other age classes to be involved in entanglements. Finally, 

female humpbacks showing evidence of prior entanglements produced significantly fewer calves, suggesting that 

entanglement may significantly impact reproductive success.

Humpback whale entanglements also occur in relatively high numbers in Canadian waters. Reports of 

interactions with fixed fishing gear set for groundfish around Newfoundland averaged 365 annually from 1979 to 

1987 (range 174-813). An average of 50 humpback whale entanglements (range 26-66) was reported annually 

between 1979 and 1988, and 12 of 66 humpback whales entangled in 1988 died (Lien et al. 1988). Two humpbacks 

were reported entangled in fishing gear in Newfoundland and Labrador waters in 2005. One towed away the gear 

and was not re-sighted, and the other was released alive (Ledwell and Huntington 2006). Eighty-four humpbacks 

were reported entangled in fishing gear in Newfoundland and Labrador from 2000-2006 (W. Ledwell, pers. comm.). 

Volgenau et al. (1995) reported that in Newfoundland and Labrador, cod traps caused the most entanglements and 

entanglement mortalities (21%) of humpbacks between 1979 and 1992. They also reported that gillnets were the 
primary cause of entanglements and entanglement mortalities (20%) of humpbacks in the Gulf of Maine between 

1975 and 1990. 

Disturbance by whale watching may be an important issue in some areas of the population's range, notably the 

coastal waters of New England where the density of whale watching traffic is seasonally high. However, no studies 

have been conducted to address this question.

As reported by Wiley et al. (1995), injuries possibly attributable to ship strikes are more common and probably 

more serious than those from entanglements. In the NMFS records for 2003 through 2007, 11 records had some 

evidence of a collision with a vessel. Eight of these were mortalities as a result of the collision. No whale involved 

in the recorded vessel collisions had been identified as a member of a stock other than the Gulf of Maine stock at the 

time of this writing (Glass et al. 2008).

Fishery-Related Serious Injuries and Mortalities

A description of Fisheries is provided in Appendix III. Two mortalities were observed in the pelagic drift gillnet

fishery, one in 1993 and the other in 1995. In winter 1993, a juvenile humpback was observed entangled and dead in 

a pelagic drift gillnet along the 200-m isobath northeast of Cape Hatteras. In early summer 1995, a humpback was 

entangled and dead in a pelagic drift gillnet on southwestern Georges Bank. Additional reports of mortality and 

serious injury, as well as description of total human impacts, are contained in records maintained by NMFS. A 

number of these records (11 entanglements involving lobster pot/trap gear) from the 1990-1994 period were the 

basis used to reclassify the lobster fishery (62 FR 33, Jan. 2, 1997).

For this report, the records of dead, injured, and/or entangled humpbacks (found either stranded or at sea) for 

the period 2003 through 2007 were reviewed. Entanglements accounted for four mortalities and ten serious injuries. 

With no evidence to the contrary, all events were assumed to involve members of the Gulf of Maine stock. While 

these records are not statistically quantifiable in the same way as observer fishery records, they provide some 

indication of the frequency of entanglements. 

Table 2. Confirmed U.S. and Canadian human-caused mortality and serious injury records of North Atlantic humpback 

whales, January 2003 - December 2007. All records were assumed to involve members of the Gulf of Maine 

humpback whale stock unless a whale was confirmed to be a member of another stock. (Glass et al. 2009). 

Datea Report 

Typeb

Age, Sex, 

ID,

Length

Locationa Assigned Cause: 

P=primary, 

S=secondary

Notes/Observations

Ship 

strike

Entang./

Fsh.inter

06/06/03 mortality Juvenile

Female

8.3m

Chesapeake 

Bay mouth, VA P

Major trauma to right side of head; 

hematoma

07/09/03 serious 

injury

Calf of 

Shockwave

sex 

unknown

Bay of Fundy,

NS

P

Constricting entanglement on a young 

whale; no gear recovered

07/12/03 serious 

injury

age & sex 

unknown

Oregon Inlet, 

NC P

Entangled in substantial amount of 

gear; no gear recovered

08/15/03 mortality

Calf

sex 

unknown

7.3m (est)

Petit Manan 

Island, ME P

Floating offshore wrapped in line; gear 

recovered consists of a small portion of 

gillnet
08/16/03 serious 

injury

age & sex 

unknown

Cape Cod, MA

P

Poor body condition; line deeply 

embedded; gear recovered included 

sink gillnet, vessel anchoring system, 

surface buoy system and endline

08/18/03 serious 

injury

age & sex 

unknown

Cape Cod, MA PExtensive entanglement; no gear 

recovered

07/11/04 serious 

injury

Juvenile

sex 

unknown

“Lucky”

Briar Island, NS

P

Entanglement on a young whale; no 

gear recovered

10/03/04 mortality age 

unknown

Male

15m (est)

Georges Bank, 

US

P

Fresh carcass with entangling line and 

high flyer; no gear recovered

12/19/04 mortality Calf

Female 

8.0m

Bethany Beach, 

DE P

Hematoma and skeletal fracturing 

01/09/06 mortality Adult

Female

#8667

14.0m

off Charleston, 

SC

P

Extensive muscle hemorrhaging; rib 

fractures; dislocated flipper on left side 

of animal

03/17/06 mortality Juvenile

Female

10.0m

Virginia Beach, 

VA P

Crushed cranium and fractured 

mandible; hemorrhaging associated 

with fractures; ventral lacerations 

consistent with propeller wounds

03/25/06 serious 

injury

Juvenile

sex 

unknown

8m (est)

Flagler Beach, 

FL P

Heavy cyamid load; emaciated; spinal 

deformity that may or may not have 

been caused by the entanglement; gear 

recovered included line and buoys and 

was identified as lobster pot gear

08/06/06 serious 

injury

age & sex 

unknown

Georges Bank, 

US P

Multiple constricting wraps around 

head; line cutting into upper lip; wraps 

around both flippers; no gear recovered

08/23/06 serious 

injury

age & sex 

unknown

12m (est)

Great South 

Channel, US P

Flukes necrotic and nearly severed as a 

result of entanglement; pale skin and 

emaciated; gear recovered included 

heavy line and wire trap

09/06/06 mortality age & sex 

unknown

East of Cape 

Cod, MA P

Whale entangled through mouth 

continuing back to multiple wraps 

around peduncle; no gear recovered
10/15/06 mortality Juvenile

Female

10.1m

off Fenwick 

Island, DE

P S

Large laceration, penetrating through 

the bone, across rostrum with 

accompanying fractures; no gear, but 

marks around right flipper consistent 

with entanglement; subdermal 

hemorrhaging and bone trauma at 

entanglement point

01/27/07 serious 

injury

age & sex 

unknown

off Beach 

Haven, NJ P

Body wrap likely to become 

constricting; random cyamid patches; 

thin body condition; probable flipper 

wraps; no gear recovered

05/10/07 mortality Adult

Female

12.5m

off 

Wachapreague, 

VA

P

Cranium shattered, hemorrhaging on 

left lateral side midway between 

flippers & fluke

05/13/07 mortality Juvenile

Male

9.3m

Rockport, MA

P

Areas of hemorrhaging indicate major 

blunt trauma to chest, neck & head

06/23/07 serious 

injury

age 

unknown

Male

“Egg Toss”

Wildcat Knoll, 

US

P

Body wrap of gear imbedded; no gear 

recovered

06/24/07 mortality Juvenile

Female

“Tofu”

9.9m

Stellwagen 

Bank, US

P

Subdermal hemorrhaging involving 

blubber, fascia, & muscle extending 

from/around the insertion of the right 

flipper ventrally to the axilla

12/21/07 mortality age 

unknown

Male

9.4m

Ocean Sands, 

NC

P

Documented wrapped in gear, gear 

removed without permission prior to 

necropsy; external lesions at flukes, 

flippers, mouth, dorsal fin, dorsal keel 

& ventral pleats consistent with gillnet 

entanglement; animal emaciated; no 

gear recovered

a. The date sighted and location provided in the table are not necessarily when or where the serious injury or mortality 

occurred; rather, this information indicates when and where the whale was first reported beached, entangled, or 

injured. 

b. National guidelines for determining what constitutes a serious injury have not been finalized. Interim criteria as 

established by NERO/NMFS (Glass et al. 2009) have been used here. Some assignments may change as new 

information becomes available and/or when national standards are established.

Other Mortality

Between November 1987 and January 1988, at least 14 humpback whales died after consuming Atlantic 

mackerel containing a dinoflagellate saxitoxin (Geraci et al. 1989). The whales subsequently stranded or were 

recovered in the vicinity of Cape Cod Bay and Nantucket Sound, and it is highly likely that other unrecorded 

mortalities occurred during this event. During the first six months of 1990, seven dead juvenile (7.6 to 9.1 m long) 

humpback whales stranded between North Carolina and New Jersey. The significance of these strandings is 

unknown.

In July 2003, an Unusual Mortality Event (UME) was invoked in offshore waters when an estimated minimum 

of 12-15 humpback whales died in the vicinity of the Northeast Peak of Georges Bank. Preliminary tests of samples 

taken from some of these whales were positive for domoic acid at low levels, but it is currently unknown what levels 
would affect the whales and therefore no definitive conclusions can yet be drawn regarding the cause of this event or 

its effect on the status of the Gulf of Maine humpback whale population. Seven humpback whales were considered 

part of a large whale UME in New England in 2005. Twenty-one dead humpback whales found between 10 July and 

31 December 2006 triggered a humpback whale UME declaration, still considered ongoing at the end of 2007. 

Causes of these UME events have not been determined.

STATUS OF STOCK

The status of the North Atlantic humpback whale population was the topic of an International Whaling 

Commission Comprehensive Assessment in June 2001, and again in May 2002. These meetings conducted a 

detailed review of all aspects of the population and made recommendations for further research (IWC 2002).

Although recent estimates of abundance indicate continued population growth, the size of the humpback whale stock 

may be below OSP in the U.S. Atlantic EEZ. This is a strategic stock because the humpback whale is listed as an 

endangered species under the ESA. A Recovery Plan was published and is in effect (NMFS 1991). There are 

insufficient data to reliably determine current population trends for humpback whales in the North Atlantic overall.

The average annual rate of population increase was estimated at 3.1% (SE=0.005, Stevick et al. 2003). An analysis 

of demographic parameters for the Gulf of Maine (Clapham et al. 2003) suggested a lower rate of increase than the 

6.5% reported by Barlow and Clapham (1997), but results may have been confounded by distribution shifts. The 

total level of U.S. fishery-caused mortality and serious injury is unknown, but reported levels are more than 10% of 

the calculated PBR and, therefore, cannot be considered to be insignificant or approaching zero mortality and 

serious injury rate. This is a strategic stock because the average annual human-related mortality and serious injury 

exceeds PBR, and because the North Atlantic humpback whale is an endangered species.

As part of a large-scale assessment called More of North Atlantic Humpbacks (MoNAH) project, extensive 

sampling was conducted on humpbacks in the Gulf of Maine/Scotian Shelf region and the primary wintering ground 

on Silver Bank during 2004-2005. These data are being analyzed along with additional data from the U.S. midAtlantic to estimate abundance and refine knowledge of the North Atlantic humpback whales’ population structure. 

The work is intended to update the YONAH population assessment in preparation for a status review under the ESA.

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