Thursday, January 25, 2024

Safer Seas Act: Sexual Assault and Harassment Compliance for Shipping

The December 2022 enactment of the Safer Seas Act (SSA) as part of the National Defense Authorization Act for Fiscal Year 2023 marks a pivotal shift in the federal government’s handling of sexual assault and sexual harassment (SASH) incidents aboard vessels. The following is intended to help senior maritime industry leaders understand the impact of the new law on their operations and ensure compliance with these emerging regulatory requirements.

Genesis of the Legislation

The SSA emerged in the wake of a poignant, anonymous narrative written by “Midshipman X” that was published online in September 2021. Her personal experiences demonstrated the stark reality of SASH within the maritime sector and energized calls for systemic change.

As a statutory response, the SSA addresses the prevalence of SASH in the maritime industry and includes a series of provisions intended to combat these issues. One of the most significant measures is the empowerment of the US Coast Guard (USCG) to revoke or suspend the credentials of individuals found guilty of such offenses. The SSA also includes provisions requiring owners and operators of US-flagged commercial service vessels to report complaints and incidents of SASH to the USCG and significantly expands the scope and breadth of incidents that must be reported.

While grace periods have been provided for vessel owners and operators to accomplish some actions (such as the below-described obligation that onboard audio and video surveillance equipment be installed on certain vessels by December 23, 2024), the bulk of the SSA’s requirements have already entered into force. With this in mind, maritime leadership must act immediately to understand what is expected of them and to ensure that policies and procedures have been developed, documented, and implemented to meet these expanded requirements.

USCG Clarifies Employer Responsibilities

The SSA has significantly broadened the responsibilities of maritime employers. Among other requirements, it mandates the integration of comprehensive SASH policies within companies’ safety management systems. This includes the implementation of annual training focused on SASH prevention, bystander intervention, and the approved means of reporting and responding to such incidents.

Subsequent to the enactment of the SSA, the USCG issued a comprehensive Marine Safety Information Bulletin followed by a series of policy letters issued through November 2023 that together serve as a guide for maritime entities. This guidance outlines the required reporting mechanisms (including specific information that must be provided in such reports as well as the timelines and methods for submitting and responding to them), provides details regarding SASH policy postings aboard vessels, and outlines a number of other control measures, such as the implementation of master key control systems.

Employers should ensure that their policies encompass all forms of harassment, including gender, sexual orientation, gender identity, race, religion, national origin, and age, as the SSA’s solo use of the term “harassment” may not be limited to only sexual harassment. Moreover, the SSA mandates that commercial vessel owners, operators, masters, and employers of seafarers must report complaints and incidents of “harassment, sexual harassment and sexual assault ‘that violate’ any law or company policy.” Read in conjunction with each other, this broad language in the SSA greatly expands the scope of reportable incidents; industry leaders should err on the side of caution and report all forms of harassment.

In terms of timing, reports must be made “immediately” after the vessel owner or operator gains knowledge of the incident and should include:

The name, role, and contact information of the person making the report
The name and official number of the documented vessel
The time and date of the incident
The geographic position or location of the vessel when the incident occurred
A brief description of the sexual assault or harassment being reported

Reporting options include the Coast Guard Investigative Service (CGIS) TIPS app and/or the email address CGISTIPS@uscg.mil, which can be used by all reporting sources, including bystanders and survivors. The reports, which can be anonymous or attributed, will be received and reviewed by the CGIS. An investigation will be initiated for all reports received, and the USCG will provide follow-up communications with all reporting sources who provide contact information. The USCG also maintains a 24/7 watch, which can field reports of sexual misconduct via the National Command Center phone number, 202-372-2100.

To provide an additional layer of safety and accountability, the SSA stipulates that video and audio surveillance systems be installed on certain vessels. Commercial, non-passenger-carrying vessels — excluding certain commercial fishing vessels — covered by this requirement include the following:

Documented vessels with overnight accommodations for at least 10 individuals on board that are (a) on a voyage of at least 600 miles that crosses seaward of the Boundary Line or (b) at least 24 meters (79 feet) in overall length and required to have a load line under Title 46, Chapter 51
Documented vessels of at least 500 gross tons … on an international voyage
Vessels with overnight accommodations for at least 10 individuals on board that are operating for no less than 72 hours on waters superjacent to the Outer Continental Shelf

Finally, the expanded scope of reportable offenses and the substantial increase in penalties for noncompliance (which range up to $55,000 for each violation) also reflect a stringent approach toward eradicating SASH.

Looking Ahead

Although the SSA has been in full force and effect for over a year, it is clear that the journey toward full compliance and understanding remains ongoing. The USCG’s bulletins and policy letters have provided some valuable guidance, yet many aspects of the SSA remain open to interpretation (including the definition of “harassment”). Vessel owners, operators, and employers must not only familiarize themselves with these requirements but also engage in ongoing education and adaptation to ensure their operations are fully aligned with the SSA’s provisions.

Reinforced by the USCG’s guidance, the SSA calls for a collective commitment and proactive approach from all stakeholders to ensure rigorous compliance and to foster a culture of safety, respect, and accountability. As maritime companies move forward, it is incumbent upon them to ensure that these regulations are embedded in the fabric of their operations and create an environment in which the industry is synonymous with safety, respect, and integrity.

Sid Lewis is a partner and leader of Jones Walker's Labor & Employment Practice Group, where he consults and advises management and human resources personnel with respect to employment and labor laws. Sid can be contacted at: slewis@joneswalker.com, 504.582.8352.

Sara Kuebel is an associate in Jones Walker's Maritime Practice Group, where she focuses on maritime litigation, including allisions and collisions and claims under General Maritime Law, the Jones Act, the Longshore and Harbor Workers’ Compensation Act, and the Outer Continental Shelf Lands Act. Sara can be contacted at: skuebel@joneswalker.com, 504.582.8483.

BP and Equinor End NY Offshore Wind JV Splitting Empire and Beacon Wind

offshore wind farm — BP and Equinor will split their JV each taking ownership of one offshore wind lease area (file photo)

Two of the large offshore wind developers, BP and Equinor, announced an agreement to end their joint venture projects in New York and independently pursue future offshore wind opportunities as they positioned for today’s close of New York State’s fourth offshore wind solicitation. The companies will swap interests in both Beacon Wind and Empire Wind and associated shore facilities in Brooklyn and Queens, New York.

The two companies had a 50-50 joint venture to develop Empire Wind which would be located south of Long Island and Beacon Wind which would be located between Cape Code, Massachusetts and Long Island, New York. Equinor won the lease for Empire Wind in 2017 and Beacon Wind in 2019. The following year, BP joined the projects with an investment of $1.1 billion.

Both projects are advanced in their permitting process with the two phases of Empire Wind having already received federal Record of Decision from the Bureau of Ocean Energy Management. The federal environmental review for Beacon Wind commenced in June 2023. Offtake contracts were also set for Empire Wind 1 in 2019 and 2021 and contracts for Empire Wind 2 and Beacon Wind 1 were included in New York’s second solicitation. New York regulators in October 2023 however rejected a proposal for the wind farms to revise their power agreements to reflect increased costs.

Under the agreement announced today between the two companies, BP will take full ownership of Beacon Wind and Equinor will take full ownership of Empire Wind. BP will also take ownership of the Astoria Gateway onshore to support the project while Equinor will take ownership of the facility at the South Brooklyn Marine Terminal.

The companies also said that they agreed with the New York State Energy Research and Development Authority (NYSERDA) to terminate the power agreement for Beacon Wind. Canceling the prior contracts was a condition for the developers to resubmit in the new solicitation which closes today. BP did not indicate if it would be submitting a proposal but did report it will be taking a pre-tax impairment charge of around $0.6 billion related to its U.S. offshore wind assets.

The Beacon Wind lease was originally awarded in 2019. The plan calls for two phases with Beacon Wind 1 having a potential capacity of 1,230 MW and the second phase 1,360 MW. The lease comprises a combined area of 128,000 acres located between approximately 15 and 30 miles southeast of Long Island.

Equinor, however, confirmed it was submitting a revised bid today for Empire Wind 1 in the solicitation, but that Empire Wind 2 will be matured for a future solicitation round. Empire Wind 1 has the potential for 810 MW while phase 2 would have a potential capacity of 1,200 MW.

This swap deal follows a similar announcement by Ørsted yesterday that it would acquire Eversource’s stake in the Sunrise Wind project also located in New York State. The project is also seeking to rebid its power agreement and while saying it believes the potential for the project, Ørsted made the deal contingent on winning a position in the current New York State round.

Experts were predicting that New York would receive strong interest and a broad range of proposals in the new round. In addition to Ørsted, Equinor, and BP, several earlier-stage projects that do not have prior power agreements are expected to submit proposals. New York said it would make a fast decision anticipating selecting the projects by the end of February and targeting June to complete contracts.

Federal Grant Advances Plans for California’s First Wind Port in Humboldt

Humboldt Bay California — California plans to develop a wind port at Humboldt Bay in the northern part of the state (US Army Corps of Engineers file photo)

Plans to develop California’s first wind port are being advanced with news of a large federal grant. Still in the planning stage, the concept calls for an assembly and staging facility to be located in the Northern California city of Humboldt which could support the first two lease areas awarded in 2022 by the Bureau of Ocean Energy Management and help California reach its first goal of 25 MW offshore wind energy.

The Department of Transportation is awarding $426.7 million for the construction and maintenance of offshore wind infrastructure to the Humboldt Bay Harbor, Recreation, and Conservation District. The award is being made under provisions in the Infrastructure Act of 2023.

“Offshore wind is a key tool for combatting climate change while providing the power we need to improve lives and grow the economy. And we are paving the way here in Humboldt with this first-of-its-kind offshore wind project on the West Coast,” said Representative Jared Huffman of California during a presentation ceremony on January 23.

Humboldt Bay is the second-largest natural bay in California with commercial operations including wood imports and a historic industrial base in addition to the recreation activities in the area. Plans for the wind port were first announced in 2022 and Crowley won the rights to develop the project working with state and local officials. Crowley’s Wind Services group was negotiating a deal with the port to lease, develop, and operate the future Humboldt Bay Offshore Wind Heavy Lift Marine Terminal. The site design will support tenants in the manufacturing, installation, and operation of offshore wind floating platforms, the use of heavy cargo vessels, and staging for ultra-heavy turbine components. The agreement focuses on a 98-acre Phase I development, with options to expand later as needed. Phase 2 could double the size of the facility.

“It is a remarkable honor for the Harbor District to receive Federal funding for construction of the proposed Heavy Lift Marine Terminal Project. The project is designed to serve as a multi-purpose port facility to support offshore wind throughout the West Coast of the US,” said Rob Holmlund, Director of Development for the Humboldt Bay Harbor, Recreation and Conservation District.

The project previously received $8.6 million through the Department of Transportation and MARAD’s Port Infrastructure Program. It will require matching investments private investments but the first federal grants are an important step in the process.

Port officials highlight that its location means it could support both the planned wind farms off Humboldt Bay but also Morro Bay. The two Northern California sites were the first auction by BOEM in December 2022. California’s offshore topography means that they will need to be floating offshore wind farms requiring massive structures which the wind port is designed to accommodate. Port officials said it could accommodate 25 MW turbines, the largest currently anticipated by the industry.

Permitting and reviews are proceeding for the planned wind port and is expected to be completed by 2025. Port officials said that even on that timeline, construction could be completed by 2029 in time to support the development of California’s first offshore wind farms.

New Jersey Selects Two Offshore Wind Farms to Reinvigorate Energy Plans

New Jersey state regulators today announced the results of the state’s third offshore wind solicitation calling the awards the largest in the state’s efforts to launch offshore wind into its plans for clean energy. The state is looking to accelerate its approval process to restart the industry after Ørsted set back the efforts by pulling out of the approved Ocean Wind 1 and 2 projects citing the changed economics of the developments.

“Today’s Third Solicitation awards are undeniable proof that the future of offshore wind in New Jersey is as strong as ever,” said New Jersey Governor Phil Murphy. He had previously laid out a plan calling for aggressive development of the industry to reach 11 GW of offshore wind power generation by 2040.

The governor directed state officials to accelerate their efforts after Ørsted announced at the end of October 2023 that it had ceased development of the two-stage project which was to consist of sites generating 1,100 MW and 1,148 MW. The company said the projects had experienced significant impacts from macroeconomic factors, including high inflation, rising interest rates, and supply chain constraints, particularly a vessel delay on Ocean Wind 1 that considerably impacted project timing. Ørsted is retaining the federal seabed leases.

The New Jersey Board of Public Utilities awarded a total of 3,742 MW today in the form of two projects largely recouping its position but extending the timeline to realize power from the offshore wind assets. Today’s selections are not expected to come online until 2031 and 2032, a significant delay from Ocean Wind 1 which received its final federal approvals last October and was projecting starting to generate power in 2025 and completing commissioning in 2026. Ocean Wind 2 was still in the permitting process when it was canceled. Construction had been projected to start in 2028.

The first of the two selected projects is called Leading Light. It would be located off southern New Jersey and being developed by a partnership between Invenergy and energyRe. It will be approximately 40 miles east of Long Beach Island and will consist of up to 100 turbines generating approximately 2.4 GW. Offshore construction is projected to begin in 2028 with the project fully commissioned in 2031.

The second selected project is the second phase of Attentive Energy, with a 1.3 GW project planned by TotalEnergies and Corio Generation. It will be over 40 miles offshore from Seaside Heights in central New Jersey. It would be commissioned by 2032 powering approximately 600,000 homes. Attentive Energy One located between New Jersey and New York will be sending an additional 400 MW of power to New York.

New Jersey had previously approved one other project, Atlantic Shores. A partnership between Shell New Energies US and EDF Renewables North America, it has a lease area located approximately 10 to 20 miles off the coast of New Jersey between Atlantic City and Barnegat Light. In June of 2021, the New Jersey Board of Public Utilities awarded Atlantic Shores Offshore Wind a contract to develop 1,510 MW in offshore wind energy, enough to power up to over 700,000 homes. After Ørsted withdrew its projects, the CEO of Atlantic Shores issued a statement reiterating its commitment to the project.

Officials are highlighting that the two projects selected today have both committed to supporting the establishment of a tower manufacturer to be located at the NJ Wind Port, a redevelopment site in Salem Country, New Jersey. The two projects plan O&M facilities in New Jersey and are committed to marshaling both projects at the NJ Wind Port. They will also invest to expand the monopile capacity and engineering to increase the tonnage limit per monopile.

Governor Murphy has also instructed the regulators to accelerate the state’s next offshore wind solicitation. They anticipate awards in early 2025 from the fourth round solicitation.

Ørsted Makes Conditional Deal to Take Full Ownership of Sunrise Wind

After raising questions about the financial health of the U.S. offshore wind energy industry, Ørsted appears to be changing course and again taking steps to move forward with projects in its portfolio as other companies however continue to exit the sector. Ørsted announced today it has signed an agreement with Eversource to acquire full ownership of Sunrise Wind, a 924 MW offshore wind farm that would deliver power to New York.

Eversource reported earlier in January that it was moving forward with plans to exit its investments including its 50 percent interest in Sunrise Wind, which it had planned to jointly develop with Ørsted. The companies have two joint ventures, one for the development of South Fork Wind, a project that is under construction recently reaching the halfway mark, and another JV that holds both Revolution Wind and Sunrise Wind. Eversource said it was negotiating deals for its interest and expected to record an after-tax other-than-temporary impairment charge in the range of $1.4 to $1.6 billion in the fourth quarter of 2023 on these projects.

The news of the agreement for the sale of Sunrise Wind comes one day before New York State is set to close its fourth round of wind solicitations which includes a provision for existing projects to renegotiate their power purchase agreements. Ørsted is making the acquisition of the 50 percent stake in Sunrise Wind conditional on the successful award of Sunrise Wind in the ongoing New York solicitation and reaching an agreement with New York’s energy agency, NYSERDA, as well as receipt of the construction and operations plan, and relevant regulatory approvals. New York is expected to report the results of the solicitation by the end of February while final federal permits for Sunrise Wind are expected this summer.

“Following a thorough risk review of our US portfolio, we’re comfortable with taking full ownership of Sunrise Wind if the project is awarded in New York 4,” said David Hardy, Executive Vice President and CEO of Region Americas at Ørsted. “This transaction is a value-accretive opportunity for Ørsted and the best path forward for the project.”

They highlighted that the proposal is the most mature offshore wind project in New York’s pipeline, and assuming it can receive a new power agreement and final approvals, Sunrise Wind is expected to be completed in 2026.

Sounding a more positive note on the offshore wind sector, Ørsted says, “Sunrise Wind will be our third offshore wind farm off the northeast coast, following South Fork and Revolution Wind, which are already under construction. The northeast is an increasing priority for Ørsted, including these projects, port assets, a trained workforce, and supply chain partners. We’re building a future offshore wind hub that is strategic for Sunrise Wind, if awarded, as well as for upcoming solicitations in the region, helping us to differentiate and de-risk potential future bids and projects.”

If Sunrise Wind is not successful in the solicitation, the companies said the existing power contract for Sunrise Wind will be canceled per the state’s requirements, and Ørsted’s and Eversource’s 50/50 joint venture for Sunrise Wind will remain in place. In that scenario, the joint venture will evaluate its next steps.

The plan for Sunrise Wind calls for the wind farm to be located at least 30 miles east of Montauk Point, on the eastern tip of Long Island, New York. It is adjacent to other lease areas controlled by the two companies.

Three-State New England Wind Solicitation Delayed for Tax Guidance

Citing the need for additional guidance from the federal government on the tax code as it pertains to energy credits, Massachusetts along with Connecticut and Rhode Island informed regulators at the end of last week that they intend to delay their current offshore wind solicitation program. The three states had agreed to a coordinated solicitation which is currently underway and was scheduled to close at the end of the month, but will now be extended by at least two months.

“In light of the current uncertainty around federal tax guidance,” the states wrote to the regulators saying they are “concerned that the existing solicitation schedule may produce bids that do not maximize the potential clean energy tax benefits of offshore wind.” They write that they believe it is critical to revise the schedule to encourage the most cost-effective bids.

Tax credits had previously emerged as one of the issues cited by the large developers as one of the hurdles to proceeding with large U.S. offshore wind farms. In addition to the impact of inflation and supply chain problems including a shortage and delays for install vessels, Ørsted for example cited the problems in realizing proposed tax credits as one of the challenges that had caused it to review and abandon U.S. projects. The company reported it expected as much as $5.5 billion in impairment charges as its abandoned U.S. projects including a large wind farm planned for the coast of New Jersey.

The U.S. Treasury Department has been slow to issue the guidance the industry is looking for and which the state power authorities believe will impact the future proposals they receive from developers. The Inflation Reduction Act passed in 2022 includes key provisions for an Investment Tax Credit, which would be a key tax credit available to offshore wind projects. Treasury needs to issue its guidance which is expected to include additional types of energy projects covered under the Inflation Reduction Act.

“The provisions could potentially reduce costs and resulting bid prices within offshore wind proposals,” writes the Massachusetts Department of Energy Resources to the state’s Department of Public Utilities explaining the decision to delay the submission date for the current solicitation.

The U.S. Treasury Department was accepting comments on its proposed guidance through today, January 22. They have scheduled a public hearing for February 20 and are expected to finalize the guidance shortly after the hearing.

Massachusetts agreed with its two neighboring states to coordinate the three states’ solicitation in an effort to provide better opportunities and clarity for developers. They also sought to expedite the process setting the timeline for proposals by January 31, selection by June 12, and executing long-term contracts by August 14.

Each of the states has faced challenges due to the changing economics of offshore wind projects and their development. Massachusetts was the first to become involved in a dispute with developers seeking to reset previous power purchase agreements while the other states also have faced similar challenges from the industry. Part of the urgency was to provide an opportunity for federally selected projects to rebid their power agreements with state regulators.

The letter announced that they would be delaying the submission date as well as the selection and contract target dates each by approximately two months. They are now calling for submissions by March 27, hoping that the delay will provide enough time for the federal guidance to be finalized and developers to factor it into their proposals to the states.

Palaeontology: Small dinosaurs flapped their feathers to scare prey

Peer-Reviewed Publication

SCIENTIFIC REPORTS

Small omnivorous and insectivorous dinosaurs may have flapped small, feathered primitive wings to scare prey out of hiding places, according to a study published in Scientific Reports. The authors built a robot dinosaur named Robopteryx to investigate how grasshoppers responded to different potential scaring behaviours, and speculate that the results could help explain why feathered wings evolved before they were capable of flight in some types of dinosaurs.

Although the remains of numerous species of feathered dinosaurs have been discovered, so far only members of one group of dinosaurs known as Pennaraptora have been discovered with pennaceous feathers — the type of feathers required for flight. Fossils show that these developed first on small primitive or proto-wings that were not strong enough for flight and whose functions are currently unknown.

Jinseok Park, Hyungpil Moon, Yuong‑Nam Lee, Sang‑im Lee, Piotr Jablonski, and colleagues hypothesise that the proto-wings may have been used for ‘flush-pursuit’ foraging, a hunting strategy observed in multiple species of contemporary insectivorous and omnivorous bird species such as the greater roadrunner (Geococcyx californianus) and the northern mockingbird (Mimus polyglottos). This strategy consists of predators using displays of contrasting-coloured feathers on their wings and tails to startle prey out of hiding and into fleeing, at which point they can be pursued and caught.

The authors built a robot named Robopteryx to test their hypothesis, basing it on the size, shape, and estimated movement range of the pennaraptoran dinosaur Caudipteryx — a two-legged, peacock-sized predator that lived approximately 124 million years ago. They then used Robopteryx to imitate several variations of flush-pursuit display behaviours — with the full sequence consisting of spreading the proto-wings and raising a tail, pausing with them outstretched, then folding them back — and observed the behavioural response of grasshoppers to the display behaviour. Grasshoppers were used as they respond to flush-pursuit display behaviour and belong to the order Orthoptera which existed concurrently with Caudipteryx.

The authors found significant positive associations between the use of the proto-wings in the display behaviour and both the likelihood of the grasshopper fleeing — with 93% of tested grasshoppers fleeing when the proto-wings were used compared to 47% without — and how far away Robopteryx was when they fled. They also found significant associations between both the presence of white patches on the proto-wings and the presence of feathers on the tail and the likelihood of the grasshopper fleeing.

The authors conclude that their results with Robopteryx support the flush-pursuit hypothesis, and provide a new perspective on why feathered wings and tails may have initially evolved in dinosaurs.

JOURNAL

Scientific Reports

DOI

10.1038/s41598-023-50225-x

METHOD OF RESEARCH

Experimental study

SUBJECT OF RESEARCH

Not applicable

ARTICLE TITLE

Escape behaviors in prey and the evolution of pennaceous plumage in dinosaurs

Dinosaurs might have used feathers on forelimbs and tails to flush and pursue their prey – a new hypothesis integrates morphology, behavior and neurobiology

Peer-Reviewed Publication

LABORATORY OF BEHAVIORAL ECOLOGY AND EVOLUTION AT SEOUL NATIONAL UNIVERSITY

Caudipteryx and its robotic imitation used in the study — IMAGE:
FIGURE 1. (A) RECONSTRUCTED *CAUDIPTERYX* © CHRISTOPHE HENDRICKX. USED UNDER THE TERMS OF THE CREATIVE COMMONS LICENSE (CC BY-SA 3.0). LICENSING DETAILS: [https://creativecommons.org/licenses/by-sa/3.0/deed.en]. (B) ROBOPTERYX, IMITATING THE MORPHOLOGY OF *CAUDIPTERYX*, POSITIONED IN FRONT OF A GRASSHOPPER IN THE FIELD (MARKED BY A RED ARROW). (C) GRASSHOPPER TESTED IN THE EXPERIMENTS.
view more
CREDIT: CAUDIPTERYX IMAGE (A) BY © CHRISTOPHE HENDRICKX. USED UNDER THE TERMS OF THE CREATIVE COMMONS LICENSE (CC BY-SA 3.0). PHOTO (B) BY P.G. JABLONSKI, PHOTO (C) BY JINSEOK PARK.

What are the origins of wings and tails in birds? This is one of the key questions in the evolution of animals. It has long been accepted that their evolution began in feathered dinosaurs. Some of these dinosaurs had feathers on the tails and small wing-like feathers on their forelimbs (arms). These small wing-like structures called ‘proto-wings’ are composed of special feathers known as pennaceous feathers — the stiff feathers found in the wings and tails of birds. The ancient form of these feathers first emerged in dinosaurs during the Jurassic Period, and these dinosaurs, called Pennaraptorans, had proto-wings made of pennaceous feathers. However, it has been known that these proto-wings were too small for powered flight. Because we cannot time-travel to observe their behavior, what dinosaurs did and how they behaved remains unanswered.

Various functions of proto-wings and tail feathers in the ancestors of birds have been considered since John Harold Ostrom proposed the first idea 50 years ago that proto-wings were used to knock down insect prey by small predatory dinosaurs living on the ground and following their prey. However, how the small ‘proto-wings’ and feathered tails helped the dinosaurian ancestors of birds in their lives has not been resolved.

A new scientific collaboration involving a team of field-biologists and integrative ecologists (Piotr G. Jablonski, Sang-im Lee, Jinseok Park, Sang Yun Bang, and Jungmoon Ha), paleontologists (Yuong-Nam Lee and Minyoung Son), and roboticists (Hyungpil Moon and Jeongyeol Park), has proposed a new idea: the ‘flush-pursue hypothesis’. The name of the hypothesis provides a clue to its content. Some birds employ a 'flush-pursue' foraging strategy, using wings and/or tail displays to visually flush out hiding prey and pursue the flushed prey (e.g., Northern Mockingbird, © Linzy's Vids). The hypothesis suggests that small dinosaurs with proto-wings use a similar strategy.

The hypothesis is rooted in years of detailed field-ornithological studies on several species of insectivorous birds conducted by a co-author of the current study, Piotr Jablonski and collaborators, as well as by Ron Mumme and collaborators [for example, the Painted redstart, the Slate-throated whitestart, the Spectacled Whitestart, and the Hooded warbler]. Studies on these birds have revealed that displaying contrasting plumage (often with black-and-white patches) on the wings and tails triggers the escapes of their prey and thus increases bird foraging efficiency because the escaping prey is pursued and caught by the birds. Neurobiology behind this relationship was also studied. It has been proposed by Piotr Jablonski and Nicholas Strausfeld, a leading expert in arthropod’s nervous system, that special neurons in insects are activated by simple properties of flush displays by insectivorous flush-pursuing birds.

Piotr Jablonski with collaborators first mentioned the flush-pursue hypothesis at the 2005 Gordon Research Conference on “Neuroethology: Behavior, Evolution and Neurobiology” chaired by N. Strausfeld. Since then, the idea was developed and presented at 2018 International Ornithological Congress, and at the Society for Integrative Biology Annual Meeting 2023. “After conducting extensive field studies on birds and dwelving into the examination of neurons in their prey, I have unsuccessfully tried for years to convince funding organizations and skeptical grant reviewers in Poland, USA and Korea to support studies evaluating this hypothesis concerning early pennaraptoran dinosaurs,” comments field-ornithologist Piotr Jablonski. “Eventually, the funding provided by Seoul National University allowed us to initiate our collaborative research and complete it with some additional funding. Finally, after facing multiple refusals from the Editorial Boards of 11 journals, each denying approval for a standard peer-review process of the paper, we finally found a journal that allowed our results to be peer-reviewed, which led to its publication”, adds Piotr Jablonski.

“We have chosen Caudipteryx as a representative of early Pennaraptoran dinosaurs,” explains paleontologist Yuong-Nam Lee, a specialist in dinosaur fossils and a co-author of the study. The robotics team led by Hyungpil Moon, an expert in robotics, has constructed a robot named ‘Robopteryx,’ that resembles the morphology of Caudipteryx (Fig. 1A). Simultaneously, the biology team has conducted a comprehensive review of the diversity of wing and tail displays used by existing flush-pursuing birds to trigger escapes in their prey visually. The researchers compiled links to clips illustrating this diversity among birds (see supplementary materials in their paper, and some other links to examples provided below). Equipped with nine motors, ‘Robopteryx’ was programmed to imitate the movements of forelimbs and tail of ground-foraging flush-pursuing birds, such as the greater roadrunner (© Kat Avila) or the rufous-tailed scrub robin (© Nature Never Die), within the anatomical constraints determined from paleontological literature by Minyoung Son, an expert in the anatomy of Cretaceous dinosaurs.

Jinseok Park (the first author of the paper and a field-ornithologist focusing on avian diet and foraging), with a team of field-biologists, conducted tests with ‘Robopteryx’ to observe behavioral responses of wild grasshoppers (Fig. 1B, C), which belong to the ancient order Orthoptera likely to co-occur with pennaraptoran dinosaurs. The results revealed that grasshoppers escaped more frequently when proto-wings were present on the forelimbs, compared to displays without proto-wings. Additionally, grasshoppers fled more often when the proto-wings had white patches, compared to when they were plain black. Moreover, grasshoppers escaped more frequently when tail feathers were present, particularly when the area of tail feathers was large.

Since the reactions of simple neural circuits involved in escapes in insect prey are crucial for understanding the evolution of flush-pursuing strategy in birds, the researchers decided to compare the responses of neurons of grasshoppers to the hypothetical displays by the dinosaurs. “I created computer animations (examples in the supplementary materials of the paper) imitating the hypothetical displays by Caudipteryx and presented them to grasshoppers in the laboratory,” explains Jinseok Park. "I used easily available inexpensive equipment to record responses of neurons,” Jinseok adds. The researchers found that the reactions of neurons, particularly peak firing rates, were higher in response to the animations with proto-wings than those without.

Based on the results, the researchers argue that dinosaurs’ prey would have been more likely to flee when proto‑wings made of feathers were present, especially near the end of the forelimbs and with contrasting patterns, and when the tail feathers, especially of a large area, were used during hypothetical flush‑displays. “We propose that using plumage to flush prey could increase the frequency of chases after escaping prey, thus amplifying the importance of proto-wings and tails in maneuvering for successful pursuit. This could lead to the development of larger and stiffer feathers as these would enable more successful pursuits and more pronounced visual flush-displays.” summarizes Sang-im Lee, the integrative ecologist member of the research team, who earlier studied the role of avian alula in aerial maneuvers by flying birds.

Examples of how "Robopteryx" s [VIDEO] |

Robopteryx startles grasshoppe [VIDEO] |

For an exhaustive list of examples of displays by birds see the supplementary materials in the paper. Here are some relevant clips from YouTube, which are covered by standard YouTube license that allows sharing.

The Greater Roadrunner

link 1: https://www.youtube.com/watch?v=qmXGDWkZSek

/ © Kat Avila

Description: the Greater Roadrunner uses relatively simple wing opening and closing movements during foraging.

The Northern Mockingbird

link 2: https://www.youtube.com/watch?v=boZz0ECyYEQ

link 3: https://www.youtube.com/watch?v=bMsa0T8fZpY

Description: Its flush-display consists of stereotypically performed hitches and pauses.

The Rufous-tailed Scrub Robin

link 4: https://www.youtube.com/watch?v=pc3YejzgBm0

link 5: https://www.youtube.com/watch?v=IHnYV-CfP7M

link 6: https://www.youtube.com/watch?v=pS31OI4YNdw