ATLANTIC- BRS: 2018 Experimental Plan May 2018 Overview The Atlantic-BRS project was conceived, designed, initiated through a collaboration of researchers at several partnering organizations to study the behavioral responses of Cuvier s beaked whales (Ziphius cavirostris) short-finned pilot whales (Globicephala macrorhynchus) to U.S. Navy sonar operations off the Atlantic coast near Cape Hatteras, NC. The experimental design involves the deployment of both short-term, high-resolution archival acoustic tags longer-term, coarser resolution location dive behavior tags to study responses to simulated actual Navy sonar systems at different temporal spatial scales in controlled exposure experiments (CEEs). This first field phase of this multi-year study was successfully completed in 2017. Despite limited access to operational Navy ships some limitations due to weather, many of the experimental objectives were achieved. This successful field season demonstrated the viability of monitoring behavioral responses of priority Navy species in this important habitat area. Twenty-six satellite-linked, time-depth-transmitting tags (SLTDRs) were deployed on both focal species (14 on beaked whales, 12 on pilot whales), which resulted in thouss of hours of movement diving behavior before following CEEs. Ten of these individuals (7 beaked whales, 3 pilot whales) were monitored during a successful CEE sequence conducted with the USS MACFAUL using full-scale SQS-53C mid-frequency active sonar (MFAS). Additionally, a CEE was conducted with simulated sonar from a portable high power scaled source with seven beaked whales four pilot whales; this included focal beaked pilot whales tagged with high-resolution acoustic tags () as well as SLTDR tags. From analyses conducted thus far, there was no obvious large-scale avoidance or abonment of habitat, although several instances of short-term changes in behavior were documented (Southall et al. 2018). A large number of methodological analytical lessons were learned from the 2017 work. An logistical planning meeting was held in Beaufort, NC in February 2018 to integrate apply these lessons to the experimental plan for 2018. A fundamentally similar approach is planned, with tag deployments on both species types both tag types, with priority for CEEs with real ships secondary priority for simulated sonar CEEs. Target field periods were shifted earlier to avoid potential tropical storms in September. Several additional logistical modifications were also discussed are integrated here. Based on the outcomes discussions at the planning meeting, in subsequent discussions with Navy representatives following, this updated experimental plan was developed for the spring-summer 2018 field season. 1
1. Study Objectives The experimental objectives for the 2018 Atlantic BRS project are to deploy satellite-linked movement dive behavioral tags (SLTDRs) high-resolution, fine-scale diving acoustic tags () before conducting CEEs using operational Navy MFAS systems (top priority) or simulated MFAS sources (secondary priority). The primary metrics of success for this effort are the quantity of data obtained from both tag types the total number of exposure instances across both source types. The objective of the tagging work is to deploy satellite tags on both species (beaked whales as first priority) days to weeks ahead of planned CEE periods to deploy one or two on individuals that can be focal-followed during each CEE. Up to 15 SLTDRs will be deployed during each of two field periods (May-June August); five will be available, with up to two deployed simultaneously. The experimental objective is to conduct one CEE per week using either source type during two four-week field periods in May- June August 2018. As was recognized in 2017, numerous factors (weather, Navy ship availability, distribution of animals) will affect the number of tagged animal-exposure instances result in a range of potential outcomes during field operations. 2. Experimental Design The multi-scale tag integration approach is unique, but the experimental design is fundamentally unchanged from 2017 maintains consistency with other BRS projects, especially the SOCAL-BRS project. This consistency will allow meta-analyses that support derivation of dose-response probabilistic functions. The design includes a period in which baseline behavioral data are collected prior to the CEE. This baseline data will be collected for at least one day ( up to several weeks) for SLTDRs for a minimum of 1-h for. Preexposure baseline behavioral data collection will involve data from tag sensors, supplemented by focal follows of tagged animals by observers in small boats. The methods employed during focal follows will be consistent with those employed in SOCAL will be identical during the pre-exposure baseline, exposure, post exposure periods. Sonar transmissions during CEEs will occur in the same manner as in SOCAL-BRS. This includes transmission of full power (235 db (RMS) re 1 µpa) signals of a constant nominal 53-C waveform type (single ping sequence using two sequential CP/CW waveforms 0.5 sec duration each with 0.1s separation for total ping series 1.1 sec duration) transmitted with a 25s duty cycle, using surface duct sector search mode, 3 downward vertical steering, with ships transiting in a direct course at a speed of 8 kt. Transmissions will occur for a maximum of 60 minutes, unless any strong contra-indicators from the field team dictate a shut-down of the sound source. Starting positions course for vessels will be determined using in situ sound propagation modeling given the position of a focal animal using the Navy-consistent models unclassified databases in software developed provided by the Naval Postgraduate School (NPS). This includes a novel integration for the Atlantic-BRS effort developed in 2017 to use near-real time oceanographic data forecast models available through the Navy s HYCOM database. The course of the vessel will result in an escalation in received level at focal individuals based on their movement generally (but not directly) toward individuals. Given the relatively large 2
number of tagged individuals exposed during CEEs, individuals will have a varied exposure history of range received level. Target received levels for focal animals will range from 135-160 db RMS will differ between the target species (lower starting levels in beaked whales than pilot whales); this represents a slight increase in target levels based on the responses observed in 2017. The experimental design will allow for positioning of sonar sources to result in target received levels at focal individuals, but will also result in a diversity of received levels for other individuals at positions ranges that will not be controlled, but known from positions derived from satellite tags. Following the cessation of exposure, focal DTAG animals will be monitored for a further 1-h, employing the same focal animal sampling protocol. At the end of this sampling period, a biopsy sample will be obtained from the focal individual(s) as well as other animals in the group. Biopsy samples will be used to determine the sex reproductive status of the whales also to measure the level stress hormones in exposed whales. The priority for the this BRS effort is to conduct CEEs with actual SQS-53C sonar systems. There are potential confounding issues with the use of an experimental simulated sonar source, although most CEEs in other projects (e.g., SOCAL-BRS) have employed similar scaled sources. Given these confounding issues the need to focus on actual tactical sonar systems, simulated sonar CEEs will not be employed during most of the field effort. However, we will hold open the option of using the same scaled source that has successfully be used in the SOCAL-BRS 3S projects if Navy ships are unavailable. 3. Field Dates & Duration Two field periods will be conducted in 2018: one from mid-may through mid-june the second in August. The first period is similar in timing to 2017, but the latter has been pushed earlier in the year to avoid tropical cyclone systems. Both periods are consistent with successful field work conducted in Hatteras in previous years. Conducting field work in these seasons increases the relevance of those data in response analyses. Each field period will include approximately two weeks in which SLTRDs will be deployed prior to the start of CEEs. This period of baseline data collection will be followed by a month-long period in which Navy ships operating SQS-53C systems may be available to serve as sound sources for CEEs. As noted above, only a single CEE will be conducted per week. This will most likely occur on mid-week days (Tuesday, Wednesday, or Thursday) based on training schedules, but field teams will maintain operational flexibility. Additional baseline behavior may be obtained using, during periods when no Navy vessel is available, or if a CEE has already been conducted in that week. 3
4. Permits Authorizations We will use existing permits IACUC protocols from Cascadia for deployments of satellite tags on Cuvier's beaked whales pilot whales. DTAG deployments focal follows on these species will be conducted under NMFS permit # 14809 issued to D. Nowacek Duke s IACUC protocols. We have received a letter of concurrence from the NMFS permit office (to D. Nowacek) stating that the Navy s sonar operations will be performed under their currently authorized activities will be subject to the requirements total sonar transmission hours authorized for AFTT. 5. Field Logistics Configuration (vessels, personnel, tags) Satellite tags will be deployed from the R/V Barber during two week periods prior to the onset of CEE trials. The field team for this portion of the work will involve four individuals, three from Duke, Daniel Webster from Cascadia, who will deploy the tags. The R/V Barber is an 8-m aluminum-hulled SAFE boat capable of hling relatively heavy seas. It will run in out of Oregon Inlet on a daily basis during all aspects of field work. The field team will be housed in Manteo, NC. During periods in which CEEs will be conducted, a research crew of 10 individuals will be involved. The field team conducting CEEs will work from three vessels - the R/V Barber a second RHIB (R/V Exocetus), which will also run in out of Manteo, a charter fishing vessel, the F/V Kahuna based out of Wanchese, NC, used as a comm center base for the simulated MFAS source. The R/V Exocetus will have a crew of three, including a driver, tagger, visual observer. The Exocetus will operate only on days in which are deployed CEEs are possible. The Kahuna will serve as the offshore base of operation during Navy ship windows of availability. Operational periods for this platform will generally occur from Tuesday to Thursday during CEE weeks, so the Kahuna will be on site for any of these three days as well as additional days for simulated MFAS CEEs or to support offshore DTAG opportunities during non-cee periods. The Kahuna will also house an additional three personnel, including the chief scientist, a visual observer/radio tracker, a DTAG field technician, who will serve as an additional visual observer help with DTAG tracking recovery. Tags: At least five Version 3 from the University of Michigan will be on h for each period of Navy ship availability. These tags will be leased on a monthly basis will be returned for servicing between each of the two field periods. Thirty Low Impact Minimally Percutaneous Electronic Transmitter (LIMPET) satellite-linked tags are available approximately 15 will be deployed in each of the two field periods. Locationonly tags may be used as a last resort, but the experimental objectives will be much better met by using newer tags with time-depth recorder (TDR) capabilities (SPLASH tags). SLTDRs tags will be deployed, with the primary focus on beaked whales secondarily on pilot whales. The 4
initial tagging focus will be on beaked whales as this species is resident off Hatteras ( more challenging to tag). Pilot whales will be tagged closer to the beginning of the first CEE period. Multiple tags will be deployed in each social group of pilot whales ( potentially beaked whales, as well), to examine changes in social associations as a potential response metric. tags will be specifically programmed to optimize the data obtained ensure that appropriate response metrics are captured. 6. Analytical Plan The will focus on how beaked pilot whales respond to MFAS exposure, specifically with data collected to address questions of: (a) potential avoidance behavior; (b) potential changes in behavioral state; (c) potential changes in social behavior (Table 1). Analyses will apply successful methods developed in other BRS studies the Multi-study Ocean Acoustics Human Effects Analysis (MOCHA) project. Short- longer-term consequences of disturbance will be evaluated separately using established analytical methods for short- medium-term tags. However, this study will offer a unique opportunity to explore how these methods may complement one another how high-resolution, short-term response data may inform methods used for longer-term monitoring. 5
Table 1. Data streams collected as part of the Atlantic BRS experiment their intended products (FB = foraging behavior, SI = social interactions, HA = horizontal avoidance) Data Stream In-field Post-field Task(s) Product(s) Where Used? Tag set-up, test files, cal files Data Archive Summary Sheets Tag deployment/summary sheet with tag lat/long on/off, determine tag duration Data Archive Summary Sheets Download tag; backup archive tag data Raw.dtg files Raw data Create prh file; line up to acoustics Processed.prh files Processed data Photo ID; field Photos of all DTAG animals archived Photo archives recognition, referenced for future deployments SI response Quick look acoustic audit vocalizations Audit files Quick look CEE RL (different metrics) flow noise file generation Uncorrected corrected Pseudotracks Tag deployment quick look reports with dive profiles, pseudotrack, RLs Full acoustic audit vocalizations Call counts pre, during post CEE Click durations for focal individuals Acoustic transitions between pre-defined foraging phases Accelerometry data: depth, pitch, heading, MSA, turning angle pre, during post CEE, during dives during phases of dives Metrics for dive by dive including: dive depth, dive duration, surface duration, number of buzzes, ascent descent rates durations Processed RL noise files Raw ptrack; corrected ptrack Data Archive Summary Sheets Audit files Audit files Audit files Audit files Processed prh data (by-dive) Processed dive data (by-dive) RLs covariate in all analyses; flow noise for speed calculations FB response SI response SI response FB response FB response FB response FB response 6
SAT TAGS In field SAT TAGS Post Summary sheets for each tag with all settings deployment conditions Archive photos of each sat tagged animal. Quick look summaries/plots of locations ahead of CEE days to coordinate planning positioning of Navy ships Smoothed X-Y track Movement reaction based on sourcewhale range (avoidance) Horizontal speed calculations Metrics for dive by dive, max depth, duration. Time series within across individuals, state switching Modelled RL Acoustic range (source to whale) Data Archive Summary Sheets Photo archives Data Archive Summary Sheets Tracks ARC-GIS plots Analysis Analysis By-individual summary files Analysis Modelled RL calculated positions Photo ID; field recognition, SI response Quick-look ; FB RLs covariate in all analyses Overall Synthesis Metadata In field Daily across-project log during CEEpossible days, including coordination with ships Synthesis of known or estimated animal positions planning for CEE locations/coordination Archive back-up model runs parameters used to estimate RLs Ship tracks transmission schedule (source log if scaled source) Daily Log Pre-CEE summary Data Archive Summary Sheets Data Archive Summary Sheets Overall Synthesis Metadata Metadata summary of all CEEs with animal locations ship tracks Tracks ARC-GIS plots 7
Post FOCAL FOLLOW In field FOCAL FOLLOW Post BIOPSY SAMPLES In field BIOPSY SAMPLES Post Summary of modelled vs. actual RLs for DTAGS; model results for sat tags Download data, scribe any spoken tracks, archive field vis obs vessel track logs Quick look reports QA/QC; provide for integration with DTAG data for corrected pseudotracks GPS data, location/habitat use RL Summary Daily log files Quick look reports GIS maps; data ; All response analyses ; Quick look ; ; ; Bin FF data into time samples Data SI response Movement reaction based on sourcewhale range Data Metrics for in binned samples: Social behaviour category, group size, distance to nearest other group, defined Data SI response behaviour categories (spyhop, logging etc ), cohesion Covariates for, integrate from other data sources Data SI response Labelling storage Field data Post Processing Sex id Hormones Stress, levels pre, post Data summary Data summary Data summary Potential use in all response analyses Separate analyses Separate analyses PHOTO ID In field Compiling, naming, archiving photos Archived data Field recognition SI response PHOTO ID Post Grading matching to existing Subsequent field Catalog catalogue recognition Group size estimate from photos Data summary SI response Group composition from photos Data summary SI response 8
HARPs Post Individual sighting information Detections rates, pre, during post CEE Catalog TBD Subsequent field recognition TBD Short-term of changes in movement, foraging social interactions will primarily focus on the DTAG data for both species (Tables 2 3), supplemented with focal follow observations. Contextual variables will include: exposure level; range to source; relative movement. Response variables, such as changes in heading or vocal behavior, will be evaluated with regression models, including generalized linear (or additive) mixed-effects models generalized estimating equations (GEEs), as appropriate. Change-point analyses metrics of response intensities will be considered using individual-based analyses with methods including GEEs, Mahalanobis distance, or more univariate statistical analyses of individual behaviors. State switching models, will be used to examine the probability of changes in behavioral state following exposure (e.g., from foraging to other states). Particular attention will be given to changes in behavior that pertain to cessation of foraging following exposure. Table 2. Response Questions Analytical Methods: Pilot Whale (Gm) Response Analyses Behavioral Response Questions Horizontal Avoidance (HA) Changes in Foraging Behavior Data Collection Method Focal Follows SAT TAGs Specific Metrics * Velocity (vert, horizontal) * Heading differential * Heading variance * Location (range/bearing) to derive source-animal range * X-Y positions to derive: source-animal range spatial movements * Depth * Buzzes * MSA Analytical Methods (references) 1. General Estimating Equations (GEEs); exposure as predictor variable these response metrics. 2. Mahalanobis Distance with these as input variables 1. Behavioral change-point (BCPA) of spatial movement 2. Attraction/repulsion analytics (Hanks et al.) 3. Spatial point-process methods (Johnson et al., 2013) 1. State-switching models (likely not hidden since foraging defined; by dive?) 2. GEEs; exposure as predictor variable these response metrics 9
(FB) Changes in Social Interactions (SI) SAT TAGs Focal Follows SAT TAGs * Depth * Duration * Shape * Call rates * Lat/lon position * Focal animal speed * Group size * Group spread * Surface synchrony * Heading synchrony * Behavioral state/activity * Inter-animal distance; only for animals tagged in same group 1. GEEs; exposure as predictor variable these response metrics 2. State-switching models (likely not hidden since foraging defined; by dive?) 1. General Linear Models (GLM) 2. GEEs; exposure as predictor variable these response metrics 1. Group Dynamic Movement Models (Langrock et al., Hanks et al.) Additional analyses of DTAG data will be conducted to construct informative priors to determine states inform state-switching of the longer term satellite-linked tag records within a Bayesian framework (Tables 2 3). State-switching in beaked whales is more straightforward than in pilot whales, because pilot whales possess a greater suite of behavioral states, making more computationally intense, likely requiring a hierarchical approach. Analysis of longer term movement patterns from the satellite tags will provide information on the probability of longer term avoidance (e.g., area abonment) following exposure, using metrics such as linearity of movement residence time. We also hope to examine measures of social cohesion for pilot whales ( potentially beaked whales) if multiple long-term associates are tagged within a group. 10
Table 3. Response Questions Analytical Methods: Beaked Whale (Zc) Response Analyses Behavioral Response Questions Horizontal Avoidance (HA) Changes in Foraging Behavior (FB) Data Collection Method Focal Follows SAT TAGs SAT TAGs Specific Metrics * Velocity (vert, horizontal) * Heading differential * Heading variance * Location (range/bearing) to derive source-animal range * X-Y positions to derive: source-animal range spatial movements * Depth * Clicks * MSA * Depth * Duration * Shape Analytical Methods (references) 1. General Estimating Equations (GEEs); exposure as predictor variable these response metrics. 2. Mahalanobis Distance with these as input variables 1. Behavioral change-point (BCPA) of spatial movement 2. Attraction/repulsion analytics (Hanks et al.) 3. Spatial point-process methods (Johnson et al., 2013) 1. State-switching models (likely not hidden since foraging defined; by dive?) 2. GEEs; exposure as predictor variable these response metrics 1. GEEs; exposure as predictor variable these response metrics 2. State-switching models (likely not hidden since foraging defined; by dive?) Changes in Social Interactions (SI) Focal Follows SAT TAGs * Lat/lon positions * Group size * Diving synchrony * Inter-animal distance; only for animals tagged in same group 1. General Linear Models (GLM) 2. GEEs; exposure as predictor variable these response metrics 1. Group Dynamic Movement Models (Langrock et al., Hanks et al.) Finally, we will explore the possibility of developing habitat models from existing baseline data to examine the potential for movement out of preferred habitat following exposure. We acknowledge that, although many of these tools are available, these analytical procedures are complex time consuming will require the dedicated work of several skilled analysts. 11
7. Coordination plans - Navy coordination external outreach Extensive planning occurred over the past two years between the Atlantic-BRS team Navy representatives. These unclassified discussions have included logistical planning to coordinate research objectives plans, as well as opportunities for the use of Navy sonar sources in CEEs from operational ships engaged in ongoing training exercises. Communications have been coordinated through designated Navy representatives, with logistical, operational, communication approaches leveraging protocols that were developed in SOCAL-BRS. The Atlantic-BRS team will continue to coordinate with designated representatives with Navy training operations. This will include regular updates communication, as well as quick look summaries following field operations. The Atlantic-BRS team has undertaken several measures to openly transparently communicate research plans objectives externally. These include presentations of research objectives, experimental monitoring protocols, as well as initial results from the 2017 field season at the Navy s annual Marine Species Monitoring Program technical review meetings from 2015-2018, as well as presentations at the SEAMAMMS SMM conferences. An abstract has also been submitted for a presentation on the Atlantic-BRS effort at the Effects of Sound on Marine Mammals in Amsterdam in September, 2018. We have provided research plans established lines of communication with representatives from the Mid-Atlantic Marine Mammal String Network in the unlikely event of any beaked or pilot whale string during our research operations.. We will continue to provide summary information during following research activities, as appropriate, through our participating research organizations. Results will continue to be presented in open scientific public meetings, as well as peer-review publications. 12