Opinion ID: 807161
Heading Depth: 3
Heading Rank: 1

Heading: mmpa

Text: Plaintiffs make three arguments under the MMPA. First, they argue that the Service relied on an impermissible regulatory definition that conflates the question whether an authorized take is for “small numbers” of mammals with the separate question whether the take will result in a “negligible impact” on the species or stock. Second, they argue that the Service improperly authorized incidental take without quantifying how many polar bears and Pacific walruses would be taken. Third, they argue that the Service’s qualitative “small numbers” finding was based on false assumptions and bad science. The arguments challenge the Service’s “small numbers” interpretation as applied in the 2008 rule, as well as the substance of the Service’s “small numbers” determination.
[1] Under Section 101(a)(5)(A) of the MMPA, citizens who engage in a specified activity (other than commercial fishing) within a specified geographical region may request authorization for incidental, but not intentional, take of “small numbers” of marine mammals pursuant to that activity for a period of no more than five years. 16 U.S.C. § 1371(a)(5)(A)(i). The Service shall allow such take if it determines inter alia that the total incidental take during the five-year period will have only a “negligible impact” on the relevant species or stock. Id. § 1371(a)(5)(A)(i)(I). 9534 CENTER FOR BIOLOGICAL DIVERSITY v. SALAZAR [2] The 1983 regulations implementing Section 101(a)(5) define “small numbers” as “a portion of a marine mammal species or stock whose taking would have a negligible impact on that species or stock.” 50 C.F.R. § 18.27(c). The implementing regulations, as amended, define “negligible impact” as an impact that is not reasonably likely or expected to “adversely affect the species or stock through effects on annual rates of recruitment or survival.” Id. Plaintiffs argue that the 1983 regulatory definition is an impermissible construction of the statute because it renders the “small numbers” language superfluous by conflating it with the separate “negligible impact” standard. Plaintiffs point to Natural Res. Def. Council, Inc. v. Evans, 279 F. Supp. 2d 1129, 1150-53 (N.D. Cal. 2003), decided by Magistrate Judge Laporte, which held precisely this in a challenge to incidental take regulations promulgated by the National Marine Fisheries Service (“NMFS”) under Section 101(a)(5)(A). NMFS, through the Secretary of Commerce, administers the MMPA with respect to cetaceans (whales, dolphins, and porpoises) and pinnipeds (seals and sea lions) other than walruses. 16 U.S.C. § 1362(12)(A)(i). The Service, through the Secretary of the Interior, administers the MMPA with respect to all other marine mammals, including polar bears and Pacific walruses. Id. § 1362(12)(A)(ii). It is “a cardinal principle of statutory construction” that a statute should be construed, if possible, so that “no clause, sentence, or word shall be superfluous, void, or insignificant.” TRW Inc. v. Andrews, 534 U.S. 19, 31 (2001) (quoting Duncan v. Walker, 533 U.S. 167 (2001)) (internal quotation marks omitted); see also Nevada v. Watkins, 939 F.2d 710, 715 (9th Cir. 1991) (“It is a fundamental rule of statutory construction that we should avoid an interpretation of a statute that renders any part of it superfluous and does not give effect to all of the words used by Congress.” (internal alteration and quotation marks omitted)). Section 101(a)(5)(A) of the MMPA provides that the Service shall allow incidental take of “small numCENTER FOR BIOLOGICAL DIVERSITY v. SALAZAR 9535 bers” of marine mammals if the Service “finds that the total of such taking . . . will have a negligible impact on [the relevant] species or stock.” 16 U.S.C. § 1371(a)(5)(A)(i)(I). The district court observed in Evans, “The plain language indicates that ‘small numbers’ is a separate requirement from ‘negligible impact.’ To treat them as identical would appear to render the reference to ‘small numbers’ mere surplusage.” 279 F. Supp. 2d at 1150. We agree. That is, by defining “small numbers” as any amount that would have a “negligible impact,” the implementing regulations allow the Service to authorize the incidental take of large numbers of mammals, so long as that take did not have more than a negligible impact on the relevant species or stock. This authorization, while complying with the 1983 regulatory definition, violates the plain language of the statute. [3] Legislative history confirms our reading of the statute if such confirmation is needed. The House Report accompanying Section 101(a)(4)-(5) of the MMPA indicates that Congress intended “small numbers” and “negligible impact” to serve as two separate standards. The Report explains: The taking authorized under these new provisions is the taking of small numbers of marine mammals. The Committee recognizes the imprecision of the term ‘small numbers’, but was unable to offer a more precise formulation because the concept is not capable of being expressed in absolute numerical limits. The Committee intends that these provisions be available for persons whose taking of marine mam- mals is infrequent, unavoidable, or accidental. It should also be noted that these new provisions of the Act provide an additional and separate safeguard in that the Secretary must determine that the incidental takings of small numbers of marine mammals have a ‘negligible’ impact upon the species from which such takings occur. This additional test 9536 CENTER FOR BIOLOGICAL DIVERSITY v. SALAZAR is meant to serve as a separate standard restricting the authority of the Secretary. . . . Unless a particular activity takes only small numbers of marine mam- mals, and that taking has a negligible impact on the species, the new provisions of sections 101(a)(4) and (5) are not applicable to that activity. Id. at 1150-51 (quoting H.R. Rep. No. 97-228 (1981), reprinted in 1981 U.S.C.C.A.N. 1458, 1469) (emphasis in Evans). As a result, incidental take permitted under Section 101(a)(5)(A) “must be small and have [only] a negligible impact on the affected species or stock of marine mammals.” Id. at 1152 (emphasis in original). [4] The Service dismisses the district court’s opinion in Evans in a footnote and suggests that the court failed to apply the proper Chevron framework. The Service is mistaken. The court in Evans properly relied on “Congress’ intent” and the “plain language” of the MMPA to hold that the agency’s interpretation was an impermissible construction of the statute. Id. at 1153. As Chevron recognized, The judiciary is the final authority on issues of statutory construction and must reject administrative constructions which are contrary to clear congressional intent. If a court, employing traditional tools of statutory construction, ascertains that Congress had an intention on the precise question at issue, that intention is the law and must be given effect. 467 U.S. at 843 n.9 (internal citations omitted). The Evans court quoted from this Chevron passage in its analysis. Evans, 279 F. Supp. 2d at 1153 (quoting Chevron, 467 U.S. at 843 n.9). We agree with Evans that “[t]o effectuate Congress’ intent, ‘small numbers’ and ‘negligible impact’ must be defined so that each term has a separate meaning.” Id. The Service and Association contend that any facial challenge to the 1983 regulatory definition of “small numbers” is CENTER FOR BIOLOGICAL DIVERSITY v. SALAZAR 9537 barred by the six-year statute of limitations for civil actions against the United States. 28 U.S.C. § 2401(a). The Evans court addressed the same argument and held that “plaintiffs are time-barred from challenging the [1983] regulation itself, but are not time-barred from challenging the application of that regulation to them.” Evans, 279 F. Supp. 2d at 1148. We agree. Although Plaintiffs cannot challenge facially the 1983 regulatory definition, they can challenge the Service’s alleged application of that definition in the 2008 Chukchi Sea regulations as exceeding the agency’s statutory authority. See Nw. Envtl. Advocates v. U.S. Envtl. Prot. Agency, 537 F.3d 1006, 1018-19 (9th Cir. 2008); Wind River Mining Corp. v. United States, 946 F.2d 710, 715 (9th Cir. 1991) (a plaintiff may contest “an agency decision as exceeding constitutional or statutory authority . . . later than six years following the decision by filing a complaint for review of the adverse application of the decision to the particular challenger”). Accordingly, we must determine whether the Service applied the 1983 regulatory definition, as opposed to some other permissible definition, in promulgating the contested 2008 incidental take regulations. The Chukchi Sea regulations that were initially proposed in 2007 clearly applied the impermissible regulatory definition by conflating the “small numbers” and “negligible impact” standards. See 72 Fed. Reg. at 30,690-92. However, in the spring of 2008, based in part on criticisms of the proposed regulations made in comments filed by Plaintiffs, Service officials voiced internal concerns about the legal defensibility of the proposed “small numbers” analysis. The Service significantly redrafted the analysis in its preparation of the final regulations. Compare id., with 73 Fed. Reg. at 33,233-37. The 2008 final rule for the Chukchi Sea incidental take regulations cites the 1983 “small numbers” regulatory definition in its preamble, 73 Fed. Reg. at 33,212 (citing 50 C.F.R. § 18.27), and asserts in response to comments that “[t]he Service’s analysis of ‘small numbers’ complies with the agency’s [1983] regulatory definition,” id. at 33,244. However, the 9538 CENTER FOR BIOLOGICAL DIVERSITY v. SALAZAR 2008 final rule analyzes the “small numbers” and “negligible impact” standards separately under different headings. It determines that “the number of walrus and polar bear taken by this activity will be small and the effect on their respective populations negligible.” Id. at 33,235 (emphasis added). The final rule, challenged in this case, is thus different from the incidental take regulations struck down in Evans, which applied the 1983 regulatory definition and conflated the two standards. See 67 Fed. Reg. 46,712, 46,764 (July 16, 2002) (“NMFS continues to believe that its [1983] regulatory definition is consistent with Congressional intent.”); id. at 46,780 (analyzing “small numbers” and “negligible impact” together). Plaintiffs argue that even though the Service analyzes the two standards under separate headings in its 2008 final rule, the agency applies a concept of “relatively small numbers” that eviscerates any distinction from the “negligible impact” standard. In the rule, the Service interprets “small numbers” to mean small relative to the size of the mammals’ larger population. See, e.g., 73 Fed. Reg. at 33,233 (“[O]nly small numbers of Pacific walrus and polar bears are likely to be taken incidental to the described Industry activities relative to the number of walruses and polar bears that are expected to be unaffected by those activities.” (emphasis added)); id. at 33,232 (“[W]e conclude that the proposed exploration activities, as mitigated through the regulatory process, will impact relatively small numbers of animals . . . .” (emphasis added)); id. at 33,245 (“Although a numerical estimate . . . could not be practically obtained, the Service deduced that only small numbers of Pacific walruses and polar bears, relative to their populations, have the potential to be impacted by the proposed Industry activities described in these regulations.” (emphasis added)). Plaintiffs argue that “while ‘negligible impact’ may be a relative concept, ‘small numbers’ is an absolute limit that may not be defined in relation to population size, distribution, or other demographics.” They contend that the “small numbers” language in Section 101(a)(5)(A) CENTER FOR BIOLOGICAL DIVERSITY v. SALAZAR 9539 requires the Service to quantify in absolute terms the number of mammals that would be taken by the covered activities pursuant to the incidental take regulations. The Service does not provide a numerical estimate of the take that would occur under the 2008 Chukchi Sea regulations. We agree with the Service that Congress has not spoken directly to the question whether “small numbers” can be analyzed in relative or proportional terms. As the Service observed in its brief, “ ‘Small numbers’ in this context does not have a plain meaning that unambiguously forbids use of a proportional approach.” Legislative history reveals that Congress recognized “the imprecision of the term ‘small numbers,’ but was unable to offer a more precise formulation because the concept is not capable of being expressed in absolute numerical limits.” H.R. Rep. No. 97-228, reprinted in 1981 U.S.C.C.A.N. at 1469 (emphasis added). Nor is there anything in Section 101(a)(5)(A) that requires the Service, when promulgating incidental take regulations, to quantify or estimate the number of mammals that would be taken. In contrast, Congress expressly required numerical estimates in other provisions of the MMPA. See, e.g., 16 U.S.C. § 1374(b)(2)(A) (requiring that any permit for take of marine mammals for purposes like scientific research shall “specify the number and kind of animals which are authorized to be taken or imported”); id. § 1386(a)(2) (requiring that the Secretary of Commerce prepare an assessment specifying “the minimum population estimate” for each marine mammal stock in U.S. waters); id. § 1387(f)(4)(B) (requiring that take reduction plans include “an estimate of the total number . . . of animals from the stock that are being incidentally lethally taken or seriously injured each year during the course of commercial fishing operations, by fishery”). Plaintiffs note that the 1983 implementing regulations require parties requesting an incidental take authorization to submit, along with their request, “[a]n estimate of the species and numbers of marine mammals likely to be taken.” 50 C.F.R. § 18.27(d)(1)(iii)(A). However, a regulation requiring that private parties submit 9540 CENTER FOR BIOLOGICAL DIVERSITY v. SALAZAR estimates is immaterial to whether the statute requires that the Service quantify estimates of its own. Because we find that the statute is silent or ambiguous on the precise question at issue, Chevron commands that we accept the agency’s interpretation so long as it is reasonable, even if it is not the reading that we would have reached on our own. 467 U.S. at 843 & n.11. The key interpretative requirement of the Section 101(a)(5)(A) language is that “small numbers” and “negligible impact” remain distinct standards. The Service explains in its brief to us how “relatively small numbers” can have a meaning distinct from “negligible impact.” Specifically, the “small numbers” determination focuses on the portion of a species or stock subject to incidental take, whereas the “negligible impact” analysis focuses on the impact of the anticipated take — that is, on whether the type and duration of take or harassment may adversely affect the species’ annual rates of recruitment or survival. The Service explains that “even if a proposed activity affects only a small number of animals, the Service could still find[ ] that the taking will have more than a negligible effect on the species or stock, particularly if the impact on those particular animals is severe, or if those animals are of great importance to the species or stock.” For example, anticipated harassment of even small numbers of mammals might prevent mating or reproduction during key parts of the year, or might result in lethal take of newborn mammals. These circumstances could pose more than a negligible impact on the relevant species or stock, even if they directly affect only small numbers of mammals relative to the population as a whole. Likewise, a proposed activity might harass a large portion of the relevant mammal population, but have only a negligible impact on the species or stock because the harassment is merely trivial and fleeting. The Service still could not allow such a take under Section 101(a)(5)(A) because it would result in a take of more than “small numbers” of mammals. As the House Report explained, “Unless a particular activity takes only small numbers of marine mammals, and that taking has a negligible CENTER FOR BIOLOGICAL DIVERSITY v. SALAZAR 9541 impact on the species, the new provisions of sections 101(a)(4) and (5) are not applicable to that activity.” H.R. Rep. No. 97-228, reprinted in 1981 U.S.C.C.A.N. at 1469 (emphasis added). We find this interpretation of Section 101(a)(5)(A) both reasonable and persuasive. The Service’s “small numbers” analysis in the 2008 final rule focuses primarily on the location of the exploration activities in relation to the mammals’ larger populations, whereas the “negligible impact” analysis considers the likely effects of interactions on the mammals’ recruitment and survival. Thus, in making its “small numbers” determination, the final rule concludes that “given the spatial distribution, habitat requirements, and observed and reported data, the number of animals coming in contact with the industry activity will be small by an order of magnitude to the [relevant walrus and] polar bear populations.” 73 Fed. Reg. at 33,235. In making its “negligible impact” determination, the rule notes that “[t]he predicted effects of proposed activities on walruses and polar bears will be nonlethal, temporary passive takes of animals.” Id. We note that the Service relies on many of the same factors in making the two determinations. For example, the final rule does not limit its “small numbers” analysis to the portion of the polar bear and walrus populations subject to incidental take. It also looks at the nature of the anticipated take and the mammals’ behavioral response — factors that more appropriately address the “negligible impact” standard. See id. at 33,236 (“[T]he number of animals likely to be affected is small, because . . . the response by those animals will likely be minimal changes in behavior.”); see also, e.g., id. at 33,234 (“The behavioral responses and the effects were limited to short-term, minor behavioral changes, primarily dispersal or diving. None of the take that occurred would have affected reproduction, survival, or other critical life functions.”); id. at 33,235 (“[T]he behavioral response observed [from prior interactions] was a very passive form of take. . . . Such 9542 CENTER FOR BIOLOGICAL DIVERSITY v. SALAZAR response would not have affected reproduction, survival, or other critical life functions. This same level of behavioral response is expected if encounters occur during future operations[.]”). We recognize, as the Service argues in its brief, that there will inevitably be “some overlap” between the two standards. The Service can (and should) do a better job of keeping the standards distinct when promulgating future incidental take regulations under Section 101(a)(5)(A). However, we uphold the “small numbers” interpretation as applied in the 2008 rule because the Service’s “small numbers” and “negligible impact” analyses are sufficiently distinct to survive our deferential review. [5] In sum, we hold that “small numbers” and “negligible impact” are distinct standards that the Service must satisfy when promulgating incidental take regulations under Section 101(a)(5)(A) of the MMPA. The Service need not quantify the number of marine mammals that would be taken under the regulations, so long as the agency reasonably determines through some other means that the specified activity will result in take of only “small numbers” of marine mammals. The Service can analyze “small numbers” in relation to the size of the larger population, so long as the “negligible impact” finding remains a distinct, separate standard. Because the Service analyzed it as a distinct standard in the 2008 final rule, we uphold the agency’s “small numbers” interpretation as applied in the challenged regulations.
Plaintiffs argue that, even if the Service applied a permissible “small numbers” interpretation in the 2008 final rule, the substance of the agency’s “small numbers” analysis is arbitrary and capricious because (1) it accounts for only some of the proposed oil and gas exploration activities, and (2) it relies on “unproven” or “inadequate” monitoring and mitigation techniques. Notably, however, Plaintiffs do not challenge the Service’s “negligible impact” finding, as they did in their CENTER FOR BIOLOGICAL DIVERSITY v. SALAZAR 9543 unsuccessful challenge to the Service’s 2006 Beaufort Sea incidental take regulations. See Kempthorne, 588 F.3d at 711 (upholding the Service’s “negligible impact” finding because the agency “made scientific predictions within the scope of its expertise, the circumstance in which we exercise our greatest deference”). [6] First, Plaintiffs argue that the Service’s “small numbers” determination is arbitrary and capricious because the analysis ignores expected impacts from oil and gas support operations and onshore activities. Plaintiffs concede that the Service discusses these impacts elsewhere in the final rule. See, e.g., 73 Fed. Reg. at 33,224 (“[N]oise and disturbance from aircraft and vessel traffic associated with exploration projects are expected to have relatively localized, short-term effects.”); id. at 33,227 (“Onshore activities will have the potential to interact with polar bears mainly during the fall and ice-covered season when bears come ashore to feed, den, or travel.”). It is true that the final rule’s “small numbers” analysis focuses primarily on offshore, open-water exploration activities. However, this focus is not irrational because the analysis notes that these are the areas “where the majority of the proposed activities would occur.” 73 Fed. Reg. at 33,234. Moreover, the “small numbers” analysis does refer to onshore activities, expressly noting that “[w]here terrestrial activities may occur in coastal areas of Alaska in polar bear denning habitat, specific mitigation measures will be required to minimize Industry impacts.” Id. The final rule also explains, in response to comments: [W]e expect industry operations will only interact with small numbers of these animals in open water habitats. Of course, some of the proposed explor- atory activities will occur on land as well. However, we have reviewed the proposed activities, both on land and at sea, and . . . . [t]his review leads us to conclude that, while some incidental take of wal- ruses and polar bears is reasonably expected to 9544 CENTER FOR BIOLOGICAL DIVERSITY v. SALAZAR occur, these takes will be limited to non-lethal disturbances, affecting a small number of animals . . . . Id. at 33,244 (emphasis added). [7] Second, Plaintiffs argue that the Service’s “small numbers” determination relies on mitigation and monitoring measures “that are either unproven or that have been shown to be inadequate.” However, the overall record supports the Service’s conclusion that the mitigation and monitoring measures are effective. The 2008 Chukchi Sea rule notes that “[t]he mitigation measures associated with the Beaufort Sea incidental take regulations have proven to minimize human-bear interactions and will be part of the requirements of future LOAs associated with the Chukchi Sea incidental take regulations.” Id. at 33,229. The Service’s rule listing the polar bear as threatened under the ESA notes that the “mitigative regulations” imposed on oil and gas activities “have proven to be highly successful in providing for polar bear conservation in Alaska.” 73 Fed. Reg. 28,212, 28,265-66 (May 15, 2008). Indeed, we implicitly endorsed the Service’s mitigation measures when we analyzed Plaintiffs’ challenge to the 2006 Beaufort Sea incidental take regulations under NEPA. See Kempthorne, 588 F.3d at 712 (“[T]he EA provides convincing reasons to believe that incidental take regulations will ameliorate the impact of takes. LOAs include mitigating guidelines that minimize disturbances to, among other things, denning females.”). Accordingly, we hold that the Service’s “small numbers” determination is not arbitrary and capricious.