COFI/2001/6

SUMMARY

As instructed by the Twenty-third Session of the Committee on Fisheries, a Technical Consultation on the Suitability of CITES Criteria for Listing Commercially-exploited Aquatic Species was held in June 2000 in Rome. The Consultation reviewed a draft report by the FAO Secretariat entitled "The key points from an appraisal of the suitability of the CITES criteria for listing commercially-exploited aquatic species". The Consultation agreed that the FAO review of the CITES criteria should cover resources exploited by fisheries in marine and large freshwater bodies and that it should consider invertebrates and fish species, although some countries requested that all exploited aquatic resources including marine mammals should also be considered where appropriate. The Consultation further agreed on a set of points that might constitute a basis for possible recommendations to FAO Members, the Secretariat and CITES. These points included: first a series of recommendations regarding the criteria; and second, primarily recommendations regarding the process utilized by CITES in listing such resources. The Consultation recommended that the Committee on Fisheries be invited to consider these points and make a decision on whether to express opinions and recommendations to CITES, as appropriate, on the existing CITES listing criteria and on the process.

INTRODUCTION

1. At its Twenty-third Session in February 1999, the Committee on Fisheries (COFI) endorsed the report of the Consultation of the FAO ad hoc Expert Group on Listing Criteria for Marine Species under CITES and agreed with its results.¹
2. In accepting the ad hoc Expert Group report, COFI also endorsed the outline of the process for future action by FAO in relation to CITES criteria. The process consists of:

(i) an initial meeting of experts in exploited marine resources to consider and debate the topic and draft the proposed modifications and additions to the existing CITES criteria;

(ii) consideration of the draft proposals in a technical consultation of government representatives, open to non-governmental organizations (NGOs) and intergovernmental organizations (IGOs);

(iii) consideration of the final proposals by COFI; and

(iv) if agreed by COFI, submission of the FAO proposals to CITES through its Standing Committee.²

3. In accordance with this process, the FAO Secretariat, assisted by three consultants undertook a review of the CITES listing criteria. Their findings were reported in Fisheries Circular 954, entitled "An Appraisal of the Suitability of the CITES Criteria for Listing Commercially-exploited Aquatic Species". Fisheries Circular 954 was distributed to FAO Members and other interested parties, including the CITES Secretariat and parties at the 11th CITES Conference of the Parties (Nairobi, April 2000).

4. A Technical Consultation on the Suitability of the CITES Criteria for Listing Commercially-exploited Aquatic Species was held in June 2000 at FAO Headquarters in Rome. The Technical Consultation examined and commented on a summary of Fisheries Circular 954, "The key points from an Appraisal of the Suitability of the CITES Criteria for Listing Commercially-exploited Aquatic Species" (Consultation document FI:SLC/2000/2).

5. The report of the Technical Consultation is presented to this Session as document COFI/2001/Inf.9. The findings and conclusions of the Technical Consultation are summarized below.

SOME GENERAL OUTCOMES OF THE TECHNICAL CONSULTATION

6. The Consultation agreed that the FAO Secretariat review should cover resources exploited by fisheries in marine and large freshwater bodies and that it should consider invertebrates and fish species although some countries requested that all exploited aquatic species including marine mammals should also be considered where appropriate.

7. It was commented that there was an excessive emphasis in document FI:SLC/2000/2 on CITES Appendix I, which deals with the threat of extinction, and insufficient emphasis on Appendix II, which according to some delegates may be more relevant for fisheries and in which far more species are listed. Appendix II is intended to include: (i) all species which although not necessarily now threatened with extinction may become so unless trade in specimens of such species is subject to strict regulation, and, (ii) other species which must be subject to regulation in order that trade may be effectively controlled in those specimens referred to under (i).

8. Concern was expressed about the implications of the "look-alike" clause (Article II, Paragraph 2b of CITES) and the serious implications and economic impact it could have on fisheries, where products were frequently marketed in highly processed form, as well as if extended to non-threatened target species whose exploitation might endanger other species.

9. Some delegations expressed the view that CITES could provide a useful instrument, complementary to traditional fisheries management, in protecting fishery resources from extinction and in promoting their sustainable use. Other delegations expressed doubts about the role that CITES should play in this context and that it could be better taken care of by other instruments. In the case that CITES Criteria were to be complementary to traditional fisheries management, several factors were identified by the Consultation that would support CITES in this task:
· Clear mechanisms and procedures needed to be established for effective consultation between the CITES Secretariat, FAO, regional fishery organizations and relevant States. The Consultation noted the existing provisions in CITES and current practices by the CITES Secretariat to seek scientific advice from FAO and regional fishery organizations.
· There needed to be consistency in the mandates provided by their respective member governments to CITES, FAO and regional fishery organizations.
· There needed to be broad international agreement on the definitions, concepts and methodologies that underlie the CITES listing criteria.

10. The Consultation agreed on a set of points to be considered by COFI as a basis for possible recommendations to FAO Members, the Secretariat and CITES. These recommendations were in two parts.

11. Recommendations regarding criteria

(a) Refine the criteria and guidelines, as appropriate, considering the specific characteristics of commercially-exploited aquatic resources, and remove any possible ambiguities in the application of such criteria and guidelines which might lead to false alarms and misses. When these criteria and guidelines are established, case studies should be conducted to ascertain their reliability. Among other things, attention should be given to life histories and taxonomic groups, and should address the issue of using relative values and ratios instead of absolute figures when dealing with abundance (in Criteria A and C) and area of distribution (in Criterion B).

(b) Consider the usefulness of developing an additional criterion which addresses evaluation of status and trends through analysis and modelling using all relevant data to estimate such status and the probability or risk of biological extinction over specified time horizons, and clarify further its applicability and practicality as well as its relationship to other criteria.

(c) Reconcile language regarding species, populations, and population-units used respectively by CITES and the community of fisheries science and management, with corresponding terms clearly identified.

(d) Improve understanding of the listing of species in Appendix II; there were differences of opinion as to whether it relates to reducing the risk of extinction and/or promoting sustainable use.

(e) Review the criteria for listing in Appendix II, particularly under Article II Paragraph 2a to ensure consistency, clarity and practicality.

(f) Review problems and potential solutions in relation to listing fishery resources under Article II so as to minimize unnecessary negative impact on the fishing industry and communities.

12. Recommendations regarding the process

(a) Convene fisheries experts from Member States with a balanced regional representation and preferably from fishing nations in order to continue the process of analysis and refinement of the CITES Criteria, definitions and guidelines.

(b) Encourage the use of national competence in fisheries in the elaboration of proposals for listing in CITES of resources exploited by fisheries in marine and large freshwater bodies.

(c) Request that the FAO Secretariat establish effective mechanisms to contribute to the elaboration and review of the CITES Criteria and implementation of Article 15 of the CITES Convention regarding consultation with FAO, Member States and regional fishery management organizations (RFMOs) in evaluating proposals for listing against the prevailing Criteria.

(d) Call on the Fisheries Department of FAO to play a facilitating role in improved dialogue and communications among Member States, regional fishery management organizations and CITES. FAO may put the issue on the Agenda of the next meeting of RFMOs and FAO, to be held before the next Session of COFI, and invite CITES to attend the meeting.

(e) Express concern about de-listing procedures. Fisheries management and aquaculture development are active processes and risks to resources may change due to environmental shifts, improvement of management schemes or restocking programmes. There is therefore a need for a sufficiently responsive objective and flexible mechanism for listing and de-listing.

(f) Establish in FAO a working group of appropriate technical experts, including Member States and regional bodies, to consider problems and potential solutions in relation to listing fishery resources under Article II, particularly those listed on the basis of paragraph 2(b) [the "look-alike" provision].

(g) The language of Annex 4 of CITES Resolution 9.24 on the precautionary measures should be revised to reflect advances in understanding of the implementation of the precautionary approach in conservation, particularly of resources exploited by fisheries in marine and large freshwater bodies, as well as its advances in fisheries.³
(h) Concern was expressed that the time available to the Technical Consultation might have been insufficient to accomplish the task before it and that additional expert consultations might be required. In addressing this issue, the FAO Secretariat indicated that this had not been contemplated by COFI when agreeing on the Programme of Work and resources for such additional meetings would be difficult to locate.

ADDITIONAL ACTIVITIES UNDERTAKEN BY THE SECRETARIAT SINCE THE TECHNICAL CONSULTATION

14. The FAO Fisheries Department was asked by CITES to be formally represented on its Criteria Working Group (CWG), which it established to assist and play a coordinating role in its own review of its listing criteria. The CWG is mandated to identify any problems and suggest possible solutions with regard to the current criteria, where possible. A member of the Fisheries Department attended the first CWG meeting in Canberra, Australia, in August 2000. The report of this meeting will be sent to all Parties for their comment, which will be referred to a Joint Meeting of the Plant and Animal Working Groups to be held in December 2000. This will be followed by a second meeting of the CWG in 2001. A report, including proposed changes to the existing criteria, will be submitted to the 12th meeting of the CITES Conference of the Parties (COP 12) in late 2002.

15. It is also the intention of the FAO Fisheries Department to put the issue on the Agenda of the next meeting of FAO and Non-FAO Regional Fishery Bodies or Arrangements to be held on 20 and 21 February 2001 just before the Twenty-fourth Session of COFI. The CITES Secretariat will be invited to attend this meeting.

16. The Fisheries Department has revised, under its sole responsibility, the main working document presented to the Technical Consultation "The key points from an Appraisal of the Suitability of the CITES Criteria for Listing Commercially-exploited Aquatic Species", taking into account the major technical points raised at the Consultation. The document is available at this session at the Documents Desk.

SUGGESTED ACTION BY THE COMMITTEE

17. The Committee is invited to take a decision on whether to express opinions and recommendations to CITES on the existing CITES listing criteria as they apply to resources exploited by fisheries in marine and large freshwater bodies and, if so, the nature and content of these. The relevant recommendations from the Technical Consultation are listed in paragraph 11.

18. The Committee is requested to endorse, as appropriate, the recommendations regarding the process including possible actions by the FAO Fisheries Department, as detailed in paragraph 12 above.

19. The Committee is further requested to make a decision on any future action to be undertaken by FAO in relation to the CITES Criteria as they apply to species exploited by fisheries in marine and large freshwater bodies taking into account the resources and time required for such activities.

1

Report of the Twenty-third Session of the Committee on Fisheries, Rome, Italy, 15 to 19 February 1999. Paragraph 48. FAO Fisheries Report No. 595. Rome, FAO, 1999. 70p.

2

COFI document COFI/99/Inf.16 Part II. Paragraph 17.

3

One delegation did not believe that it would be constructive to re-open Annex 4 for discussion at the present time.