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APPENDIX I

CONFERENCE PROGRAMME

Sunday 30 November 2003

5.30 to 7.30pm Welcome and registration, Millennium Hotel, Queenstown

Monday 1 December 2003 Time Session

8.45am

Delegates assemble in Conference Room for the Maori welcome ceremony or powhiri. The powhiri removes the tapu of the Manuhiri (visitors) to make them one with the Tangata Whenua (home people). It is a gradual process of the Manuhiri and the Tangata Whenua coming together.

9:00–10:15am

Powhiri and welcome addresses from: His Worship Clive Geddes – Queenstown Lakes District Mayor Mr Dave Sharp – New Zealand Seafood Industry Council Ltd Dr Changchui He – United Nations Food and Agriculture Organisation Rt. Hon. Damien O'Connor

10:45–12:40pm

Setting the Scene Presentations on perspectives of the major issues facing the governance and management of deep sea fisheries by: Rt Hon Simon Upton – OECD Round Table on Sustainable Development Mr Alastair Macfarlane – New Zealand Seafood Industry Council Ltd Mr Matt Gianni – Environmental Consultant Dr Wendy Craik – Australian Fisheries Management Authority Mr Michael Lodge – International Seabed Authority Mr Volker Kuntzsch – Unilever

Theme 1: Environment, Ecosystem Biology, Habitat and Diversity, Oceanography Chair – Dr Andy Rosenberg – University of New Hampshire, USA.

1:45–3:20pm

Keynote – Dr John Gordon – Environmental and biological aspects of deep-water demersal fishes. 1.1 – Carter, L. & M. Clark – Form, flow and fisheries – seeking the relationships between bathymetry, oceanography and fisheries. 1.2 Thresher, R. – What the coral told us: scales of oceanographic variability relevant to deep water fisheries. 1.3 – Williams, A., B. Barker, R. Kloser, N. Bax & A. Butler – A seascape perspective for managing deep-sea habitats.

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3:50–5:00pm

1.4 – Uiblien, F., M. Youngbluth, C. Jacoby, F. Pages, M. Picheral & G. Gorsky – In situ observations of deep-water fishes in four canyons off the Georges Bank, NW Atlantic 1.5 – Belyaev, V.A. & V.B. Darnitsky – The effect of seamounts and above-water archipelagos on ecosystems of the Pacific Ocean 1.6 – Bergstad, O. & T. Falkenhaug – Patterns and processes of the ecosystems of the northern mid-Atlantic (MAR-ECO) – an international census of marine life project on deep sea biodiversity 1.7 – Yarincik, K. – The Census of Marine Life: Providing basic science to the user-community

5:15 – 6:15pm Poster session

7:00–10:00pm Leave Millennium Hotel for Welcome Dinner at Gibbston Valley Winery hosted by Austral Fisheries Pty, Australia

Tuesday 2 December Time Session

Theme 2: Population and Resource

Assessment

8:30–10:10am

Chair – Dr John McKoy – National Institute of Water and Atmospheric Research, New Zealand Keynote – Dr Andre Punt – The challenges of and future prospects for assessing deep water marine resources: experiences from Australia, New Zealand, South Africa and the United States. 2.1 – Large, P. & O. Bergstad – Deep-water fisheries resources in the Northeast Atlantic: Fisheries, state of knowledge on biology and ecology and recent developments in stock assessment and management. 2.2 – Japp, D. & A. James – Potential exploitable deepwater resources and exploratory fishing off the South African coast and the development of the deepwater fishery on the South Madagascar Ridge. 2.3 – Clark, M. – Counting deepwater fish: challenges for estimating the abundance of orange roughy in New Zealand fisheries.

10:40–12:00am

2.4 – Machete, M., R. Ahrens, T. Gomes & G. Menezes. – Modelling the distribution of some fish species in seamounts of the Azores.

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2.5 – Clarke, M. – A life history approach to the assessment of deepwater species in the Northeast Atlantic. 2.6 – De Olivera, E., Bez N., Duhamel, G. – Local fishing efficiencies estimated from observers' recordings of Patagonian tooth fish. 2.7 – Girad, M., K. Mahe, E. Aubert & A. Biseau – Preliminary results of a research programme carried out in close collaboration between scientists and fishermen.

Theme 3: Harvesting and Conservation Strategies for Resource

Management

1:00–3:00pm

Chair – Dr Keith Sainsbury – Commonwealth Scientific and Industrial Research Organisation, Australia Keynote – Dr Andy Rosenberg – Between the Devil and the Deep Blue Sea – the challenges of managing deep sea living marine resources. Second Keynote – Mr Simon Cripps – Conservation of deep-sea fish stocks and ecosystems. 3.2 – Butterworth, D. & A. Brandao A., – Experiences in Southern Africa in the management of deep-sea fisheries 3.3 – Constable, A. & S. Nichol – CCAMLR: a case study for ecosystem-based management. 3.4 – Francis, C., V. Haist & K. Stokes – Management strategy evaluation can help fishery managers and industry.

3:35–4:55pm

3.5 – Boutillier, J. & G. Gillespie – combining 2 papers – A phased approach to fishery development in the Deep Sea, and A Case study for Tanner Crab. 3.6 – Rivas, D. – The challenges for management of the orange roughy fishery in Chile. 3.7 – Gunn, J. & R. Cade – Ecological risk assessment, New Zealand hoki fishery. 3.8 – Bax, N., R. Tilzey, K. Sainsbury, J. Lyle, T. Smith & S. Wayte – Deepwater orange roughy fisheries.

5:00–6:00pm

Theme 4: Technology Requirements Chair – Mr Ian Knuckey – Fishwell Consulting Ltd, Australia

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Keynote – Dr Amos Barkai – Use and abuse of data in fishery management. 4.1 – Kloser, R. – Observation technologies for sustainable deepwater orange roughy fisheries. 4.2 – Hampton, I., M. Soule & G. Clement – Use of commercial vessels for the acoustic estimation of orange roughy biomass on the Chatham Rise, New Zealand.

6:00–7:00 Poster session

7.30–11.30pm

Kiwi Country Night dinner hosted by the Hoki Management Company, Squid Management Company and Orange Roughy Management Company

Wednesday 3 December Time Session

8:30–10:35am

Continuation of Theme 4 4.3 – McClatchie, S., R. Coombs, G. Macaulay, A. Dunford & R. Barr – Review of the recent advances in deep seas fisheries acoustic surveys. 4.4 – Segura, M., M. Ramirez, A. Guardia A & J. Atiquipa – Achievements and advances in science through the use of the satellite monitoring technology applied to the industrial fishery in Peru. 4.5 – Cryer, M., K. Downing, B. Hartill, J. Drury, H. Armiger, C. Middleton & M. Smith – Underwater digital photography as a stock assessment tool for Metanephrops challengeri on New Zealand's continental slope. 4.6 – Trenkel, V. & P. Lorance – The contribution of visual observations to surveying the deep-sea fish community. 4.7 – Thiele, W. – Technical requirements and prerequisites for deep water trawling. 4.8 – Lapshin, O. & V. Korotkov – The results of deep sea fisheries development in Russia/USSR and related scientific research. 4.9 – Malahoff, A. & C. Kelley – An overview of research on Hawaiian bottom-fish populations using submersible, ROV and acoustic techniques.

11:00–12:30am

Report back and discussion. Chair – Kevin Stokes – New Zealand Seafood Industry Council

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Themes 1-4 – Dr John Gordon, Dr Andre Punt, Dr Andy Rosenberg and Dr George Rose Pre-conference meetings in Dunedin: Artisanal and Small Scale Deepwater Fisheries – Dr Ross Shotton. The Conservation and Management of Deepwater Elasmobranchs – Ms Sarah Fowler. Bioprospecting – Dr Julia Jabour Green. The Assessment and Management of Deepwater Fisheries – Dr Kevin Stokes. CoML Workshop on Seamounts and Undersea Canyons – Dr Karen Stocks.

1:30–3:15pm

Theme 5: Monitoring, Compliance and Control Chair – Mr Dave Wood – New Zealand Ministry of Fisheries. Keynote – Mr Stephen Stuart – Creating and implementing an effective deterrent. 5.1(a) – Kuruc, M. – VMS evidence proves the case in court. 5.1(b) – Botwin, B. – Technology solutions and international opportunities for improved maritime domain awareness. 5.2 – Lugten, G., S. Bache & R. Warner – Prosecuting fisheries law breaches – the "roughy" end of compliance. 5.3 – Riddell, A. – Gearing for optimal compliance at State level.

3:45–5:20pm

Theme 6: Review of Existing Policies and Instruments. Chair – Dr Marcus Haward – University of Tasmania, Australia Theme 6 Keynote – Dr Douglas Johnston – Towards a high seas management regime: Vision and reality. 6.1 – Molenaar, E. – Global, Regional and Unilateral Approaches to Unregulated Deep-Sea Fisheries. 6.2 – Hedley, C. – International law and deep-sea fisheries. 6.3 – Sabourenkov, E., D. Miller & D. Ramm – CCAMLR's approach to managing Antarctic Marine Living Resources

Thursday 4 December

Time Session

8:30–10:20am

Continuation of Theme 6 6.4 – Clarke, M. & K. Patterson – Deep sea fisheries management: the approach taken by the European Community. 6.5 – Serdy, A. – Schrodinger's TAC – superposition of alternative catch limits from

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2003 under the South Tasman Rise orange roughy arrangement between Australia and New Zealand. 6.6 – Wallace, C. & B. Weber – The devil and the deep sea. Economics, institutions and incentives: the theory and the NZ quota management experience in the deep sea. 6.7 – Annala, J., M. Clark, G. Clement & J. Cornelius – Management of NZ orange roughy fisheries – a deep learning curve. 6.8 – Oelofsen, B. & A. Staby – The Namibian orange roughy fishery: lessons learnt for future management.

11:50–11:30am

Continuation of Theme 6 6.9 – Johnston, P. & D. Santillo – Conservation of seamount ecosystems: application of an MPA concept. 6.10 – Verona, C., C. Campagna & J. Croxall – Sea and Sky: The Patagonian Large Marine Ecosystem Program. Integrating the continental shelf reality with the deep sea potentialities.

11:35–12:30pm

Theme 7: Governance and Management Chair – Mr Grant Bryden – New Zealand Ministry of Foreign Affairs and Trade Keynote – Dr Moritaka Hayashi – Governing Deep Sea Fisheries: Future Options and Challenges. 7.1 – Miller, D. – Conventions and protocols – SEAFO, MHLC and SADC.

1:30–3:30pm

7.2 – Balton, D. – Managing living marine resources multilaterally: what works, and what doesn't work. 7.3 – Constable A., C. Davies & A. Williamson – A future management – can we learn from past mistakes? 7.4 – Wallace, C. – Principles and criteria for management and governance of human impacts on the deep sea. 7.5 – Cox, A. – Subsidies and deep sea fisheries management: policy issues and challenges 7.6 – Shotton, R. & M. Haward – Managing the high seas – requirements for a Global High Seas Fisheries Trust. 7.7 – Westberg, A. – Governance and management of living marine resources and fisheries on the continental slope and in the deep sea – issues and challenges.

4:00–5:15pm

Report Back and Discussion: Themes 5-7 – Mr Marcel Kroese, Prof. Douglas Johnston & Mr Michael Lodge

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World Conference on Deep Sea Fisheries – Dr Ross Shotton Workshop on the Governance of High Seas Biodiversity Conservation – Dr John Annala

5:15–6:30pm

Special COML/OBIS Session – Presentations hosted by COML The Census of Marine Life and the Ocean Bio-geographic Information System: Collecting and serving data on the diversity, distribution and abundance of marine life 1. Census of Marine Life: Overview of research and global partnership –

K. Yarincik 2. A Demonstration of the Ocean Biogeographic Information System – K. Stocks 3. Biodiversity of seamounts: A global field project – K. Stocks 4. Life on the Mid-Atlantic Ridge: First Views from the Mir Submersible Dives –

M. Vecchione 5. History of Marine Animal Populations – A. Rosenberg

Friday 5 December Time Session

9:00–10:30am

The Way Ahead Chair – Dr Ross Shotton – United Nations Food and Agriculture Organisation Perspectives panel session: Dr Mike Sissenwine – NOAA Fisheries, USA Dr Carlos Verona – Wildlife Conservation Society consultant, Argentina Dr Denzil Miller – CCAMLR Mr Geoffrey Richardson – AFMA, Australia Mr Michael Lodge – International Seabed Authority Ms Kristina Gjerde – IUCN Prof. Moritaka Hayashi – Waseda University, Japan

11:00–12:00pm

Mr Martin Exel – Austral Fisheries Pty Ltd, Australia Mr David Sharp – New Zealand Seafood Fishing Industry Council Question and answer / discussion

12:00–12:30pm Conference Synthesis: The Future and Closure Rt Hon Pete Hodgson – New Zealand Minister of Fisheries address

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APPENDIX II

CONFERENCE SPONSORS Founding Sponsors

The Ministry of Fisheries, New Zealand (MFish) Australian Department of Agriculture Fisheries and Forestry (DAFF) Fisheries Research and Development Corporation, Australia (FRDC) Food and Agriculture Organisation of the United Nations (FAO)

Major Sponsors

The National Institute of Water and Atmospheric Research (NIWA) The Census of Marine Life (CoML) Unilever National Oceanographic and Atmospheric Administration, Fisheries (NOAA Fisheries)

Supporting Sponsors

The Institute of Geological and Nuclear Sciences (GNS) The Australian Fisheries Management Authority (AFMA) The Commonwealth Scientific and Industrial Research Organisation (CSIRO)

Event Sponsors

Austral Fisheries Pty Ltd Hoki Fishery Management Company Ltd Squid Fishery Management Company Ltd The Orange Roughy Management Company Hallprint Pty Ltd

Co-Sponsors

The World Conservation Union (IUCN) Commission for the Conservation of Antarctic Marine Living Resources (CCAMLR) Asia-Pacific Economic Cooperation (APEC) Ministry of Fisheries and Marine Resources, Namibia Subsecretaría de Pesca, Chile Royal Norwegian Ministry of Fisheries, Norway Marine and Coastal Management, Department of Environmental Affairs and Tourism, South Africa Instituto del Mar del Peru

Steering Committee

Dr John Annala Conference Convenor Ministry of Fisheries, New Zealand Dr Ross Shotton Fisheries Department, FAO, Rome, Italy

Mr Glen Hurry Agriculture, Fisheries and Forestry Canberra, Australia Dr Kevin Stokes Programme Committee Convenor New Zealand Seafood Industry Council

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Ms Kylie Paulsen Fisheries Research and Development Corporation, Australia Mr Geoff Rohan Australian Fisheries Management Authority Dr Malcolm Clark National Institute of Water and Atmospheric Research, New Zealand Dr Richard Tilzey Bureau of Resource Sciences, Australia Dr Ian Knuckey Australian Fishing Industry Mr George Clement New Zealand Fishing Industry

Dr Alan Williams Commonwealth Scientific & Industrial Research Organization, Australia Ms Kristina Gjerde International Union for Conservation of Nature and Natural Resources Dr Denzil Miller Commission for the Conservation of Antarctic Marine Living Resources Hobart, Australia Ms Eidre Sharp-Brewer Conference Director, Zeus Faber Wellington, New Zealand

Programme Committee

Dr Kevin Stokes Programme Committee Convenor New Zealand Seafood Industry Council Dr Eugene Sabourenkov Commission for the Conservation of Antarctic Marine Living Resources Hobart, Australia Dr Malcolm Clark National Institute of Water and Atmospheric Research, New Zealand (Theme: Environment, ecosystem biology and resource assessment) Dr Chris Francis National Institute of Water and Atmospheric Research, New Zealand (Theme: Population biology and resource assessment) Dr Keith Sainsbury Commonwealth Scientific & Industrial Research Organization, Australia (Theme: Resource Management, including harvesting and conservation strategies)

Dr Ian Knuckey Fishwell Consulting Ltd, Australia (Theme: Technology requirements) Mr Geoff Rohan Australian Fisheries Management Authority (Theme: Monitoring, compliance and control) Dr Marcus Haward University of Tasmania, Australia (Theme: Review of existing policies and instruments) Mr Grant Bryden Ministry of Foreign Affairs and Trade, New Zealand (Theme: Governance and management) Dr Ross Shotton Fisheries Department, FAO, Rome, Italy (Theme: The Way Ahead) Sandra Diesveld New Zealand Seafood Industry Council Ltd.

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APPENDIX III

REPORT OF THE FAO WORKSHOP ON THE ASSESSMENT AND MANAGEMENT OF DEEPWATER FISHERIES

University of Otago, Dunedin, New Zealand

27– 29 November 2003

1. Introduction The purpose of this workshop was to discuss technical issues related to the assessment and management of deepwater stocks. This report, prepared by session chairs, summarises discussions and considerations of possible ways forward. 2. Session 1 – The estimation of abundance Presentations in this session covered aspects of trawl, acoustic and egg surveys; the use of catch per unit effort data; and tag and recapture data. The presentations referred to ongoing work in the northeast, northwest and southeast Atlantic, the Ross Sea and waters around New Zealand. Species covered included orange roughy, redfish, smooth oreo dory, Antarctic toothfish and a wide range of species from the northeast Atlantic. The question arose in discussions as to what made abundance estimation of deepwater and deep-sea species special (or not). For some deepwater species, such as orange roughy, it was noted that they have low productivity, are highly aggregating, and often are found in association with underwater features but not exclusively. And, they react to approaching survey and fishing gear not only at the time of sonification or capture but also much earlier. The reasons for their aggregating behaviour (e.g. suitable conditions or learned behaviour) were discussed but no conclusions were reached. It was recognized that more work on fish behaviour is highly desirable. It was also noted that the low productivity in deepwater may not be universal. Some "deepwater" species (particularly those with long pelagic phases, strong diurnal migration patterns, or preferred depths above about 800 m) have moderate levels of productivity. The utility of fish egg surveys were discussed but such surveys were considered unlikely to be a good means of estimating abundance for a variety of reasons. Problems with the use of CPUE as an index of abundance were noted (also in Session 3). Trawl and acoustic surveys were viewed as potentially the most useful methods for estimating abundance. Both could be used to create relative abundance indices although the use of acoustic methods is difficult even for relative abundance estimation when the target species is also associated with other species during the survey period. Both methods present problems with respect to the estimation of absolute abundance. For acoustics surveys, difficulties include determination of target strength (backscattering cross sections) and target species identification. For trawl surveys, estimating survey catchability, or vulnerability of fish to capture, is problematic. The use of remotely operated vehicles (ROVs) and autonomous underwater vehicles (AUVs) was discussed. The potential to use such technology in its own right for abundance estimation, or in experiments to estimate catchability of trawls, was noted. Most participants agreed that more technical work alone was not sufficient to solve many of the problems associated with abundance estimation. Rather, a greater understanding of fish behaviour (both natural and in response to fishing and research vessels and gear) is needed. In particular, further work is needed on factors influencing aggregating behaviour. ROVs and AUVs may offer opportunities for progress in this respect.

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Other issues of concern included those relating to stock structure, distribution and movement. Obtaining some form of relative or absolute abundance estimates may be feasible, but their validity will depend on appropriate survey designs that take account of underlying distributions and movements. In general, it was accepted that there is no one best way to estimate abundance of deepwater fish resources but rather a range of methods analysed individually or in combination would offer the best way forward. In some areas, trawl and acoustic surveys are in regular use and the estimates and indices derived are used in stock assessments with varying degrees of success – often depending on the availability and quality of other data. The costs of surveys are high and it was recognised that the cost-benefit of surveys was an important consideration in deciding on best ways forward in different circumstance. Dedicated research cruises undoubtedly provide the best means of providing abundance estimates and can often undertake a wider range of associated work at the same time. However, the use of industry-based surveys (especially acoustic surveys) may also provide useful inputs for stock assessments at a much lower cost. 3. Session 2 – Biology, age and growth This was a varied session, with nine papers covering a wide range of topics. These included biological characteristics of deepwater fish species in the North Atlantic, New Zealand and Chile, stock structure, age and growth, climate change effects, and the relationships between oceanographic features and fisheries. In addition, IFREMER researchers presented a video on an ROV cruise that examined aspects of ‘catchability’, i.e. vulnerability to capture, based on video observations and trawl catches. Given the variety of presentations, and the time available, the discussion was limited and focused on the following critical gaps in knowledge. i. Biological characteristics can vary widely between species, but many feature high longevity,

slow growth rates, high age at maturity and low fecundity. Session participants recognised that many (but not all) deepwater species have relatively low annual production to biomass ratios. For such stocks, this means that sustainable yield levels will be relatively low and recovery from depleted states can be slow.

ii. Routine data collection and analysis is critical, and this should not be restricted to data needed

for immediate stock assessment purposes. Biological characteristics (e.g. size-at-maturity) can change as fish stock size changes. Such characteristics should therefore be monitored as ancillary inputs to evaluating stock status. Density-dependent effects need to be considered in the stock assessment, as do estimates of catchability, maturity, growth rates, spawning success and other factors that may change.

iii. Stock structure is generally poorly known for most deepwater species. Their depth of capture

means that direct methods to monitor distribution and movements (like tagging) can rarely be applied. Methods to determine stock relationships were not reviewed, but the importance of knowing stock boundaries to plan research and management was acknowledged.

iv. Biological parameters are often variable and poorly known. It was noted in discussions that

several deepwater species (e.g. orange roughy and hoki) do not spawn each year. This means that reliance upon gonad stage data to determine age at maturity, or the maturity ogive, may be misleading. In the case of orange roughy, there is a transition zone in the otolith that appears to mark the onset of spawning. However, the frequency of spawning is important in terms of the proportion of the population available to the fishery or the biomass survey each year, particularly if the proportion varies between years.

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v. Accurate ageing of fish is a requirement for monitoring population status, as well as evaluating changes over time. Technology has given a lot more confidence to the interpretation of otolith rings as annual growth indicators, with chemical and radiometric methods providing improved validation. In the absence of initial data, general age and growth estimates may be available from other areas or fisheries. Ageing studies are still needed, however, in the major fisheries.

iv. There is a pressing need to understand the ecological processes affecting biological variability.

Without this, predictive modelling can be misleading. At the least, consideration should be given to better understanding of trophic interactions and links between deepwater demersal fish and mesopelagic energy sources.

vii. Stock-recruitment relationships and levels of recruitment are poorly known for most, if not all,

deepwater species. Yet this is important for understanding changes in stock size and for the management of sustainable fisheries.

4. Session 3 – Assessment of deep-sea fisheries A total of seven papers were presented in this session; however, two of these were more closely related to the topic of Session 4 (below). Topics covered in the other five papers included hyper-depletion in orange roughy fisheries (the situation where commercial CPUE decreases at a faster rate than abundance itself), and assessment methodologies and results for Namibian orange roughy, Patagonian toothfish, New Zealand hoki and northeast Atlantic (ICES region) deepwater sharks. Based on the presentations and the outcome from ensuing discussions, session participants identified a number of key data gaps and data needs for stock assessments of deepwater species. The three most important data needs, in order of priority were agreed as follows. i. Catch data – at the minimum it is essential to know the amount and location of fisheries

catches. These need to be collected at an appropriate spatial scale given the localised aggregations formed by many deepwater species. It would also be useful to collect data on length frequency distributions of target species, and catches of bycatch species.

ii. Valid indices of relative abundance – preferably these should be fishery-independent but, realistically, they are likely to be fishery-dependent commercial catch rates. It will be extremely difficult to develop “valid” interpretations of the indices at the beginning of a fishery; however, programmes should be developed to collect data on relevant factors such as the relationship between commercial CPUE and abundance, selectivity by fisheries, stock boundaries, migration patterns and the dynamics of aggregating behaviour.

iii. Estimates of absolute abundance – ultimately, these are needed to estimate long-term sustainable yields. They can be obtained either from a fishery-independent survey that provides estimates of absolute abundance (e.g. an acoustic survey) or an assessment model that estimates absolute abundance based on catch and relative abundance.

Other data needs that may be crucial for some stocks, and which almost always improve the accuracy and precision of assessments if available, include:

iv. relative or absolute estimates of recruitment v. the relationship between stock size and recruitment and vi. age data. Although fish age information was considered essential for estimating population productivity, session participants concluded that it is less important to devote resources to ageing stocks for which age and growth information already exists for other stocks of the same species. Estimation of ages – which enables estimation of growth rates, natural mortality and, sometimes

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recruitment, was crucial for determining sustainable yields for orange roughy fisheries when they were first initiated. It was not until development of a validated methodology that it became evident that orange roughy is characterised by unusually low growth rates, low natural mortality, high age at maturity and high longevity. Ageing of other orange roughy populations has demonstrated some differences in these life history parameters, but such differences may not be sufficient to justify initiation of major research initiatives on ageing, particularly if resources are limited. It may make more sense to give higher priority to other data needs, such as the need for abundance indices and simply adopt the age-length keys, growth parameters and natural mortality estimates from a similar stock. Finally, in order to satisfy wider objectives that are often mandated by international agreements or national policy, it may be necessary to augment existing, or to set up new, programmes to provide data on:

vii. Ecosystem considerations, such as bycatch species, associated species and the effects of

fishing on habitat. Session participants also briefly discussed the situation of multi-species fisheries for which it is extremely difficult to obtain species-specific data on catch and abundance. These may need to be assessed and managed as species assemblages with application of the precautionary approach with regards to setting catch or effort limits. 5. Session 4 – Management of deep-sea fisheries Presentations in this session covered descriptions of management arrangements for high-seas orange roughy, deep-sea and deepwater fisheries in New Zealand; development of high-seas fisheries in the western Indian Ocean and frameworks for management advice including setting of reference points. The time for discussion did not permit consideration of all issues. Some issues (e.g. the need for new legal instruments and the use of MPAs in fisheries management) were therefore intentionally deferred, as it was thought highly likely that they would receive much attention at the DEEP SEA 2003 Conference to be held the following week. Thus, discussions were focused on four main areas: i. Biological reference points: Session participants discussed differences between advisory

frameworks based on control rules using target and limit reference points, and management procedures that consider the assessment and management systems in concert using various performance measures to evaluate management outcomes. In general, the use of evaluation approaches to derive robust management procedures is seen as desirable. However, in the case of many information-poor fisheries, the feasibility of doing this is questionable (see item iii below). Appropriate target reference points were discussed and it was noted that for many low productivity stocks, target biomass levels used for management purposes vary from about 30 to 55 percent or higher of the unexploited level. It was suggested that rather than setting targets, a more useful approach may be to concentrate on avoiding a lower biomass (typically 20 percent of the unexploited biomass) with a high probability (typically 90 percent). Depending on the uncertainty inherent in any assessment and projection, the implied target biomass would vary but would likely fall within the range of typically adopted targets. The use of fishing mortality reference points was briefly discussed. Some scientists considered fishing mortality reference points to be superior.

ii. The need for an ecosystem approach to fisheries management: It was generally agreed that the

single most important first step in moving towards an ecosystem approach to fisheries management is to get single species fishing mortality under control and, in particular, to reduce it to appropriate levels where necessary. In order for this to happen, it is essential to develop better integration of assessment and management of marine resources with

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appropriate management frameworks that ensure single stock management while taking account of wider environmental or ecosystem issues.

iii. Data-poor situations: There was considerable discussion on how to deal with data-poor situations. In many cases, there may be little or no information available to set initial catches quotas or to assess stock status or estimate reference points. Adaptive management may be useful but there is a tension between adaptive management procedures that probe for information (and therefore require that catches be high enough (or low enough) to create contrast in data sets) and the adoption of a precautionary approach (which would suggest low catches for low productivity stocks; see 4 below). Evaluated (adaptive) management procedures may also be problematic in that as information rapidly accrues, the assumptions used in modelling may quickly become untenable and lead to the need for re-evaluation. The possibility of conducting meta-analyses as a means of garnering the maximum possible benefit from the dispersed global data on deepwater stocks, fisheries and associated habitats was discussed here and in Session 2. Such an analysis could provide a means for setting initial catch limits for new fisheries as a basis for adaptive and, or, precautionary management.

iv. Precautionary Approach: The approach of treading carefully and restricting catches during the

early phases of the exploitation of a fishery was recommended. In New Zealand, new orange roughy fisheries are voluntarily capped at a harvest of 500 t while information is gathered. The CCAMLR does not allow new fisheries to begin unless they are explicitly authorized, with attached permit conditions such as data collection requirements. Although there was general support for such approaches, it was pointed out that the approach has generally failed to halt apparently rapid declines in biomass of low productivity stocks for which it appears that their initial biomasses had almost invariably been overestimated.

6. General discussion The workshop considered the potential value of a hypothetical RFMO: “The Commission for the Conservation of Deepwater Fish Stocks”. There was no discussion on the logistics of creating such an organization, but rather whether or not it could have merit from a scientific and management viewpoint. It was recognized that to have merit, such an organization would need to be global and that it would need to consider a carefully agreed set of stocks. Although such an organization would have no ability to manage stocks within national jurisdictions, it could serve a management purpose for high-seas fisheries by, for example, setting catch limits, determining data collection protocols, undertaking research planning and coordination and providing compliance regimes. It would also provide a forum for the better exchange of data, assessment technologies and management approaches. This would be highly advantageous given the lack of data or information on deepwater fish species globally, as it would enhance the ability of scientists working on such fisheries to exchange information and views. A related proposal was presented during Session 3. It was suggested that a network be established for the investigation of deep-sea fisheries and resources among scientists belonging to APEC economies. Again, workshop participants generally supported the concept, but did not discuss the logistics of such an endeavour in detail. Overall, whilst recognizing the wide variety of life histories of deepwater fish species, workshop participants emphasized the observation that many species have a low productivity-to-biomass ratio and will therefore also have low sustainable yields. As for all fisheries, the pressing need is for complete and accurate catch and effort information, ideally at a highly disaggregated level, together with valid biomass indices (relative at least and, ideally, absolute if possible). Abundance estimates may be based on suitably modelled commercial catch rates (CPUE), or on trawl, acoustic or possibly visual techniques. The integration of commercial- and research vessel-based data collection schemes needs further investigation. In addition to basic catch data and abundance information, early

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fishery and ongoing otolith sampling should be undertaken to give the potential of ultimately incorporating age information into assessments. Whilst stock assessment or management procedures may be able to provide good bases for decision-making, the collection of appropriate ancillary biological data to be used in more comprehensive analyses may be crucial for elucidating patterns in population distribution and viability (e.g. contractions or expansions of spatial or temporal distribution). The need for further work on stock structure was also identified as another important area of research. 7. Summary: Best ways forward Workshop participants identified the following eight actions as the immediate priorities for improving the assessment and management of deep-sea resources:

i. formulate management objectives more explicitly

ii. incorporate biological reference points and, or, performance measures into management procedures

iii. implement management systems that promote data collection (e.g. adaptive management) iv. conduct cooperative research with the industry and other stakeholders v. implement management procedures that do not have high information needs (e.g. design

decision “triggers” for opening and closing fisheries) vi. integrate assessment and management (using, e.g. Management Strategies Evaluation (MSE)

techniques) vii. ensure use of collective experience world-wide (using, e.g. “meta-analyses”) and

viii. adhere more closely to the precautionary approach. 8. Agenda – Workshop on the assessment and management of deepwater fisheries

Time Authors Title 27 November

0900 Session 1 – Abundance estimation 0900– 0930 John Annala Workshop and session introduction

0930 – 1000 Malcolm Clark & Chris Francis

Counting deepwater fish: some aspects of NIWAs experience with trawl surveys, egg surveys, and CPUE analyses of orange roughy

1000–1030 George Rose & Stephane Gauthier

Acoustic-trawl survey methods for redfishes (Sebastes spp.) off the Grand Bank of Newfoundland

1100–1130 Pascal Lorance Abundance estimates of deepwater fish species in the northeast Atlantic

1130– 200 Ian Doonan

Measuring abundance of smooth oreo on the Chatham Rise New Zealand with acoustic surveys

1200–1230 Dave Boyer & Ian Hampton

Correction for the effects of bottom slope and transducer tilt on the dead zone in acoustic surveys of orange roughy Hoplostethus atlanticus off Namibia

1230–1300 Kevin Sullivan Assessment of Antarctic toothfish (Dissostichus mawsoni) in the Ross Sea using a tag and recapture experiment.

1300–1400 Lunch 1400–1500 Discussion 1500 Session 2 – Biology and age and growth 1500–1515 Pamela Mace Session introduction 1515–1545 John Gordon Biological characteristics of some deep-sea fish species

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Time Authors Title from the Northeast Atlantic

1545 –1615 Break 1615 –1645 Ron Thresher &

Craig Proctor Otolith composition as a means of stock delineation in Orange Roughy and Oreos in Australia and New Zealand

1645–1715 Nic Bax et al. Three factors affecting sampled age compositions for Australian orange roughy: place, schooling behaviour and time 28 November

0830–0900 Raul Gili & Alejandro Zuleta

Improvement of the growth parameters estimations of orange roughy (Hoplostethus atlanticus) in Chilean waters based on a Bayesian method

0900–0930 Di Tracey et al. Longevity of New Zealand deep-sea fish 0930–1000 Allen Andrews Radiometric age validation of long-lived fishes 1000–1030 Mary Livingston &

Jim Renwick Climate change and application to fisheries management

1030 –1100 Break 1100–1130 Vladimir Belyaev &

V. Darnitsky Retrospective analysis of New Zealand area oceanography

1130–1300 Discussion Lunch

1400 Session 3 – Assessment of deep–sea fisheries 1400–1415 Malcolm Clark Session introduction 1415–1445 John Annala &

Malcolm Clark Issues in the management of high seas orange roughy fisheries in the Australia – New Zealand region

1445–1515 Andre Punt & Richard Methot

The impact of recruitment projection methods on forecasts of rebuilding rates for overfished marine resources

1515–1545 Allan Hicks Hyper–depletion in orange roughy fisheries 1545–1615 Break 1615–1645 Doug Butterworth &

Anabela Brandao Aspects of the Assessments of Orange Roughy off Namibia and Patagonian Toothfish off the Prince Edward Islands

1645–1715 Chris Francis & Malcolm Clark

The sustainability of orange roughy fisheries

29 November

0830–0900 Kevin Sullivan Stock assessment of hoki (Macruronus novaezelandiae) in New Zealand

0900–0930 Maurice Clarke Assessment of deepwater species: Problems encountered and lessons that can be learned, using the ICES assessments of deepwater sharks as examples

0930–1030 Discussion 1100 Session 4 – Management of deep-sea fisheries 1100–1115 Kevin Stokes Session introduction 1115–1145 Kate Graham,

Charmaine Gallagher & Rob Tinkler

The Fishery Management Process of Deepwater Fisheries in New Zealand: Now and in the Future

1145–1215 Monde Mayekiso High Seas Resource management: some discussion of the Madagascar Ridge, western Indian Ocean

1215–1245 Rudy Kloser Target and limit reference points for orange roughy fisheries – what is achievable?

1315–1500 Discussion and workshop report

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APPENDIX IV

REPORT ON THE FAO WORKSHOP ON MANAGEMENT OF SMALL-SCALE DEEP-SEA FISHERIES13

University of Otago, Dunedin, New Zealand

27–29 November 2003

1. Background Small-scale deepwater fisheries usually occur along the continental shelf break and shelf slope wherever the shelf is relatively narrow and such fishing grounds are accessible to fishermen who use smaller fishing boats. These fisheries are characteristically exploited using drop lines that are retrieved using hand-powered, electric or hydraulic reels. The fish catch may be iced but otherwise little other processing is undertaken at sea. These fisheries are particularly important to small island states that have few other demersal fish resources though they are also widely found along the continental margins of many continents in tropical and sub-tropical areas. As a consequence of the limited size of slope fish habitats, the fisheries resources occupying these areas are modest in size and of relatively low productivity. Fish that are targeted by these fisheries tend to have longevities of 30 to 50 years, and while they fish may grow to relatively large sizes (50 – 100 cm), growth rates are slow. Many of the most valuable species are found in aggregations that occur for spawning, feeding or some other life-function purpose. This will make these resources particularly vulnerable to overexploitation and rapid depletion. Further, because of the limited habitats, stock sizes tend to be small, and different spawning populations of the same species may be separated by the smallest of distances. Despite their often relatively modest resource sizes these resources have the potential to provide sustainable benefits in terms of employment, food security, export revenues and the creation of economic wealth if effectivelky managed. For smaller countries they may represent relatively major renewal resources. Many countries, both developed and developing, that possess slope-fishery resources have inadequate institutional and technical capacity to effectively manage their slope-water fishery resources. Compounding this difficulty is that such boutique-like small-scale deepwater resources require the same complexity and depth of management capacity, and many of the same management costs, as that which is associated with large-scale fisheries. Data must be collected to support assessments and the provision of resource harvesting advice. Regulations must be drafted, gazetted and enforced and entitlements have to be allocated and monitored. Most of the management problems are generic in nature and so are common to both small-scale and large-scale deep-water fisheries. Small countries are often less able to deal with foreign operators who use less than scrupulous operating methods. Such operators are known to apply for licences for one type of fishing, e.g. trawling, which is known to be impractical, then equip their vessels with gear to enable them to operate in an entirely different fishery, rapidly depleting these alternate stocks that may already be targetted by a fleet of sufficient capacity. Because they lack sufficient surveillance capacity, many small countries learn of the resource depletion long after the foreign vessels have moved on to another fishing jurisidiction. A consequence of the high costs to effectively manage slope resources is the risk, if not the reality, that such fisheries develop without an associated improvement in institutional and technical management capacity. Addressing the problems of managing small-scale deepwater fisheries will

13 Partially funded by the FishCode Programme.

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require that economies of scale are obtained through providing generic support on a collective basis for countries facing the same management challenges of these fisheries. 2. Issues 2.1 Information and data collection • Disaggregation of data to show the geographical scale of fisheries Because slope fisheries are small-scale in nature and are locally diverse in structure, data describing fishing activities, even for single-species fisheries, must record fine-scale position coordinates to enable effective management of distinct local-area reproductively-separated populations. Collecting such information requires the cooperation of fishermen and the regulatory ability to ensure that the required data are provided. • Confidentiality of Data A common concern of fishing operators when providing their detailed catch location data is concern about how confidentially the data will be treated once it is in the possession of the management authority. Of possible concern is the sale of data by government employees and, or, the failure to ensure that data are securely archived. These problems may be mainly one of perception on the part of the industry – but they still require appropriate management attention. • Provision of Generic Log Books and other Data Recording and Collection Logistics Many national small-scale deepwater fisheries often involve few vessels, often less than 10 and commonly on the order of two or three. Providing appropriate log books (which must be designed and printed) for a few vessels is expensive and usually beyond the capacity of small-country fishery management authorities. This argument may also apply to other data collection requirements, e.g. other related data collection sheets and the funding of port collection activities, associated logistics and enforcement activities. 2.2 Resource assessment/Estimation of resource abundance • Knowledge on stock structure Available information on fish stock structure indicates that such resources may be highly restricted in their movement if not almost territorial with diel vertical migratory movements. Thus fisheries, even in small areas, will probably exploit more than one stock. Management that avoids overexploitation must account for the stock structure of the exploited populations, or adopt risk-averse decision policies that may forgo potential benefits. Resolving this problem will require taxonomic studies to investigate assumptions concerning species distributions and their sub-population structure. • Availability of accurate population biology parameters Analysis of the population parameters of slope water species shows that estimates for the ‘same’ species from different areas may, in fact, differ widely. Thus, fish considered to be the same species but found in different areas may be different species. In such cases, extrapolating use of population parameters will cause errors in estimates of resource productivity and what are desirable levels of resource harvesting. • Use of CPUE as an abundance indicator The suitability of CPUE as an aid in fisheries management, in what are characteristically data poor situations, is well recognized. However, it was noted that there were many grounds for concern in the use of CPUE as a proxy for resource abundance. i. Where CPUE data were from targeted fisheries, it was important to recognize the danger of

overestimating abundance because of failures of assumptions implicit in the ‘F = q f’ relationship14.

14 F, the rate of fishing mortality is conventionally assumed to be linearly proportional to fishing effort.

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ii. Many examples were noted of fisheries prosecuted by only a few vessels where the arrival or departure of a single high-liner radically changed conclusions about resource abundance as implied by trends in the CPUE. It was apparent that the effect of a single skipper may change average fleet catch rates by more than double.

iii. These effects emphasized the need for, and care required in, undertaking trend analysis based on CPUE without accurate standardization of measures of effort. It was noted that it may be impossible to avoid at least some error from this cause.

• Gear affects on measures of CPUE Different gears and gear configurations will influence CPUE (and conclusions based on it) irrespective of any underlying change of resource abundance. • Rapid methods for estimating stock biomass Direct estimation methods commonly used in the management of shelf fish stocks are, by necessity, being used for slope resources. These involve estimating local area abundance, using, e.g. depletion estimates and visual observation, and then raising the estimate by the inverse of the sampling fraction. Concern was expressed about the potential for error in these cases as a consequence of: i. the multiplicative effect of errors in the estimates and ii. uncertainty in the size of the population habitat area. In this context, it was deemed highly desirable that iii. decisions based on the resource abundance estimates be appropriately risk averse. 2.3 Resource management – Provision of harvesting advice • Reference points Few examples of the use of management reference points in management of slope water fisheries were available. Note was taken of the use of a spawning potential ratio and the use of the ration, B/BMSY. The existence of other appropriate reference points was also noted. • Managing species complexes – multi-species management Experiences presented at the workshop indicated that most slope-water fisheries unavoidably caught several species of which at least two would be present in commercially significant amounts. Thus single-species approaches to resource management would sub-optimize management of at least one of the species (if not causing serious damage) while multi-species approaches would be impractical and be subject to well-known constraints. It was noted that the consequences to the sustainability of less abundant species in catches must be monitored and investigated when harvesting decisions were based on one, or a few, more abundant indicator species. Risk averse management approaches included that of basing harvesting decisions on the sustainability requirements of the more slow growing and less productive species. Scarcity of resources to fund management means that harvest strategies must be kept simple, easy to implement, robust and easily understood by all stakeholders. Given the speed at which small-scale slope fisheries can develop and the difficulty of small, and usually under-funded, fishery departments to rapidly implement detailed management plans, the Workshop noted the possible utility of developing “off-the-shelf and over-the-counter” management plans that could be rapidly implemented with a minimum of adaptation to particular local circumstances. Such plans should generically cover the needs for data collection, resource assessment, controlling of harvesting and rates of fishing down virgin fish resources. Such plans should include “move-on” criterion to indicate to operators when a resource has reached a limit level of depletion and effort must be relocated to other stocks or stopped.

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2.4 Current governance desiderata Management of small-scale deepwater fisheries should address common current management objectives such as the “ecological approach to management” and the “precautionary approach in decision making”. Much concern was expressed about the ability of many management authorities to satisfy such requirements, particularly when these management approaches were understood at the operational level in only a general context. Of greater concern was the view that many managers lacked the resources to undertake the basic requirements for management – collection and analysis of data, ability to provide advice on a timely basis, etc. Current management paradynes need to be considered in terms of the priorities of governance needs. It was agreed that the danger of a multiplicity of management and conservation requirements might complicate efforts at governance and be counterproductive in terms of more certainly achieving less ambitious, but obtainable, management objectives. 2.5 Conservation of biodiversity and bycatch issues While it was recognized that managers should remain cognizant of the issues of bio-diversity and bycatch, the experience of the workshop participants was that most small-scale deepwater fisheries were ‘clean’ fisheries with low amounts of bycatch and lower amounts of discards as they primarily used hook-and-line fishing gear or fish traps. 2.6 Quality control Deepwater fishes, through living at greater depths where ciguatera is not a concern, do not pose any danger of toxic products. However, these fish are often caught in countries where the threat of ciguatera is common. When ciguatera-prone species are marketed in fillet form, it is extremely difficult to distinguish these products from those derived from deepwater fishes. However, when toxic product enters the market, authorities rightly ban the sale of all fish products, safe or otherwise, from the country, or region, where the toxic product originated. This problem is regional in nature. To avoid such costly failures in quality control, a coordinated programme is required to (a) educate those in government who are responsible for undertaking quality and health control programmes to detect ciguatera-toxic product, (b) educate those in industry how to avoid or minimize the risk of exporting ciguatera-contaminated product and (c), institute regional programmes to implement these solutions. 2.7 Protection of spawning populations and sub-populations Commonly, fisheries for many of the more valuable species comprising these fisheries depend on harvesting spawning aggregations. As such it is necessary to avoid extirpating, or severely depleting, local-area spawning subpopulations, which, in the absence of difficult-to-enforce area restrictions, can be fished to extinction in a matter of days. Feeding aggregations and aggregations formed for other life history reasons, may suffer similar threats to their population sustainability. Such stocks inevitably form important parts of ecosystems of unknown complexity and function. 2.8 Governance concerns • Management costs The relative high cost of managing low-yield low-productivity deepwater fisheries and the challenges this raises for justifying the costs such management involves was noted. Various solutions to this problem were reviewed such as the following: i. collaborating in the production of, e.g. generic log books on a regional basis ii. regional collaboration in stock assessments and iii. analysis of the costs and benefits of management with appropriate consideration of

externalities such as conservation of bio-diversity and other ‘public good’ expenses that may reasonably be attributed stakeholders other than fishermen.

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• Timely management planning Because of their small-scale nature considerable uncertainty usually exists as to whether trial, or new fisheries, will be profitable. Thus, the incentives to start commercial fishing in a least-cost manner were recognized. This often meant the start of fishing operations before a management framework could be established to ensure: i. data were collected during the extremely important start-up phase of the fishery when

resources may be close to their unexploited, or virgin biomass, levels ii. regulatory mechanisms were in place to control the expansion of fishing effort to ensure

conservation of the stocks avoid dissipation of rent and iii. balancing the supply of fish to avoid saturating market demand and so maximize the benefits

to be derived from the fishery resources. • Introduction of rights-based management practices The potential that rights-based management approaches may offer through providing incentives for better management were discussed. There was agreement that this management approach had been successful in better achieving management objectives and ensuring sustainability of resources in a variety of other fisheries situations. • Management of marine protected areas/restricted fishing areas The workshop recognized the potential and popularity of marine protected areas (MPAs) and, or, restricted fishing areas (RFAs), as management and conservation tools. However it was recognized that such management methods impose significant costs for enforcement. It was noted that the use of MPAs requires genuine commitment to dialogue that goes beyond treating such consultations as part of a normative management process. As a consequence, in negotiating such zones, stakeholders may seek objectives or concessions that are inconsistent with the primary management objectives. 3. A Programme for action 3.1 Governance context The governance of small-scale deepwater fisheries may be seen within the context of a few critical elements.

i. Deepwater fisheries prosecuted along continental slopes by small-scale fisheries are characteristically small, often with sustainable yields of only a few hundred tonnes if not less.

ii. Commercial fisheries for such fisheries rely on aggregating behaviour of the fish, often for spawning but also for feeding or some other reason.

iii. Thus, such fisheries are particularly vulnerable to rapid depletion, at times even before it is realized that management action is necessary or possible.

iv. Despite their small size, management of these fisheries requires most, of not all, of the activities required for management of large-scale fisheries. Therefore, in many cases, cost-benefit ratios of management interventions are high and many countries will have great difficulty in funding the research and management activities required to ensure their fisheries remain sustainable.

These concerns and related management issues are summarized in Table 3.

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Table 3 Issues, concerns and potential solutions for small-scale deepwater fisheries

Issue Concern/Solutions

Information and Data Collection Data insufficiently disaggregated in terms of geographical locations of catches

With high resolution information on catch locations it is possible to discriminate catches from different stocks. This should allow estimation of the abundance of separate stocks with a concomitant improvement in resource management

Concerns over lack of confidentiality of data provided to management agencies, illegal sale of commercial data by government employees creates lack of trust (justified or otherwise) in government management agencies

Companies will not provide accurate position data if it becomes available to competitors. The highest probity in the management processes is needed.

Data collection Use of standard log books can be difficult on small boats lacking enclosed spaces and surfaces for writing on. The small number of vessels involved makes data collection expensive relative to the value of the catch and coordinating with landings to collect data can be difficult – such fishing is often done at night with landings during the very early morning.

Estimation of Abundance Lack of knowledge on stock structure – need for taxonomic studies

Determination of sub-stock structure will require genetic/DNA analyses, which may be beyond the capability/resources of small fishery management departments

Lack of knowledge on stock structure – dangers of exploiting aggregating stocks Consequences of fishing aggregations – when spawning or feeding

Distinct spawning populations may overlap in their range during the annual cycle. Careful management will be needed to protect sub-populations as they may be depleted or extirpated without knowledge of their complicated stock structure.

Use of CPUE as indicator of abundance Standardizing CPUE data series

Experience shows CPUE statistics from fisheries prosecuted by few boats are highly susceptible to the catch successes of the one or two high-liners if present. Such data needs careful interpretation with the uncertainties appropriately quantified. The use of different gears complicates standardizing CPUE data, e.g. hand reels versus powered reels and the effects of using GPS, echo sounders, etc. introduce similar complications of data interpretation.

Validity of biomass estimators – potential error from raising factors and other sources

Abundance estimates that are obtained by raising areal fish-density samples will be susceptible to bias from measurement error of the habitat size. Slope-water fish habitats usually occur as ‘ribbons’ along the edge of the continental shelf. Errors in accurately measuring the slope width across a particular depth range will result in bias of abundance estimates obtained by raising statistics obtained from the sample observations.

Use of population parameters from other areas, compounded by uncertainty of the taxonomic status of the species found in the different locations

Research has shown that population parameters may differ significantly between adjacent sub-populations of the same species. The use of inappropriate parameter values in management models will result in corresponding errors in the results.

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Issue Concern/Solutions Gear affects on CPUE measures Increases in gear efficiency are rarely monitored or noted;

where there has been ‘technological creep’ CPUE indices, if uncorrected, will become biased and underestimate declines in stock abundance.

Management Reference Points Availability of appropriate target and limit reference points (e.g. spawning potential ratio, minimum spawning biomass)

Much (most?) needs to be done to determine appropriate reference points for management of small-scale slope-water fisheries species not withstanding the usually small size of these fisheries.

Validity/suitability of estimates of “MSY”; methods for determining effort-yield relationships, evaluation and management of risk

All costs, data requirements and work involved in estimating “MSYs” exist for these fisheries as they do for large-scale fisheries. However, for these fisheries, the cost of undertaking such management may be prohibitive in terms of the value of the fishery.

Identifying appropriate management models

Surplus production models will usually suffer from non-equilibrium effects and aging difficulties of deepwater species complicates Y/R analyses and age-structured models.

Management Planning Incorporation of new management paradynes – the ecosystem approach; precautionary approach

Are these current management concerns priorities for slope-water species? How valid and, or, necessary are these considerations in the management of these fisheries?

Problems and dangers of managing species complexes

Many small-scale slope water fisheries target species complexes, which complicates management efforts when management decisions are based on indicator species. Particular effort is required in these situations when minor species are vulnerable to commercial extinction.

Bycatch (≠ discards) Often, there is little awareness if this is a problem, much less whether it is being managed. Is this an issue? Hook & line fisheries characteristically are highly targeted on the species they take. Protected fish species may be unavoidably taken in fish traps.

Consequences of aggregating behaviour of slope-water species, for feeding or spawning

Fishes showing this type of behaviour are highly susceptible to depletion from pulse fishing. Their management is also complicated in that indices of species abundance based on effort are usually unreliable or difficult to interpret

General management concerns Need for management planning prior to start of a fishery

The small-scale nature of most slope-water fish species makes pre-exploitation assessments surveys difficult to justify from a commercial perspective, but without estimates of unfished biomasses, or at least CPUE indices at the start of such fisheries, their effective management is greatly complicated and there is a risk of allowing fleet overcapacity to develop.

Quality control Reliability of checks for, e.g. ciguatera

Toxicity tests, just as essential for small as for large-scale fisheries, have sample-independent costs so that the unit sampling costs for small fisheries becomes relatively expensive.

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The workshop identified a number of necessary or desirable actions. i. The need to adequately document exploratory fishing and commercial fishing activities,

particularly in the early stages of fisheries to facilitate subsequent management efforts. ii. “Old” data should be secured and entered into databases to ensure that the information is not

lost, especially where operations cease and interest is diminished or lost in the fishery. iii. Generic log book and other data recording aids – IGOs and regional fisheries bodies should

undertake or assist in the preparation of generic data recording aids, e.g. log books and data recording sheets. Such recording aids would thus be quickly available to management regimes where such fisheries were currently being exploited or were starting to develop.

iv. Data collection programmes require resources to enter the information in computer data bases – this requires adequate funding. If data are not in a readily accessible form, they are of little use.

v. Managers must convey to fishermen the expectation that data must be provided, using either incentives or penalties, whatever is most appropriate, to ensure compliance.

vi. Managers should consider the option of rotational harvesting where the small scale nature of the fishery may prevent other means of profitably exploiting the fishery.

vii. Appropriate management protocols must be established. These must recognize the importance of the spatial scale of the fisheries and the likelihood that even spatially proximal fisheries may be exploiting different stocks.

viii. Management will inevitably be multi-species in nature and may focus on one or two indicator species. This requires appropriate resource modelling cognizant of the possibility that optimal exploitation of one or a few species in the fishery may result in depletion (or under-harvesting) of others.

ix. Attention should be given to the current fashionable approaches in fisheries management and where appropriate they should be considered for implementation. Effective consultation with those stakeholders who are directly affected is recommended so as to maximize the chances of industry support.

3.3 “Rapid” management approaches Note was taken of the workshop15 by the Western Pacific Fishery Management Council, Hawaii to be held in January 2004. The outcomes and success of the workshop should be evaluated to determine if there would be benefits in duplicating the programme in other areas or supplementing any of the workshop activities.

15 Workshop on the Development of Bottom Fish Resource Assessment Methodologies for the U.S. Central and Western Pacific Fisheries. Western Pacific Fishery Management Council, Hawaii. 13–16 January 2004.

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Workshop on Management of small-scale deepwater fisheries, 27–29 November 2003

Date

Time Presenter Topic Convenor/ chairman

Convenor/ chairman – Ross Shotton then Tim Adams 0900 Ross Shotton, FAO;

Tim Adams, SPS Welcome & Introduction to Workshop – Administrative messages from FAO – Records of the meeting

R. Shotton, FAO

Overview – Introduction to characteristics of, and concerns about, slope water fisheries

Tim Adams, SPC

0930 Linsay Chapman Deep-water snapper fishing gears and techniques in the Pacific region

Video – Deepwater small scale fishing – Fiji 1000 Robert Stone Fijian deepwater fisheries

1030 Morning Tea 1100 Mark Mitsuyasu,

Hawaii Management of the Northwestern Hawaiian Islands deep-slope bottom fish and seamount ground-fish fishery resources

1130 Robert Moffit , Hawaii Stock assessment methodologies for deep-slope bottom-fish resources in the Hawaiian Archipelago

1200 Cook Islands experiences 1230 Lunch 1400 Navy Epati &

Ian Bertram The Cook Islands context

1430 Cathy Dichmont, Assessment and management of snappers in the tropical Australasian region

1500 Afternoon Tea 1545 Mario Pinho Azorean deepwater fishery: Ecosystem, species, fisheries, and

management aspects

Thurs.

Nov.

27

1630 Review of Issues – Status of Biological Knowledge • Review and identification of slope water species (geographical area/major ocean area • Review of relevant fisheries ecology – known & unknown

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National Experience papers W. Thiele,

FAO 0900 Tim Adams Overview of deepwater snapper fisheries in the SPC region 0930 Stephen Neuman Research and management systems for tropical deepwater demersal

fish resources - a case study from North-western Australia.

1000 Julie Lloyd Timor Sea slope fisheries 1030 Morning Tea 1100 Matthew Camilleri Evaluation of the activity of the Maltese small scale fishing fleet 1130 Walter Ikehara Monitoring and management of main Hawaiian Islands deep-slope

bottom-fish resources

1200 Leban Gisawa Papua New Guinea account 1230 Lunch

1400 Daren Couston The New Zealand context 1430 Lisa Stone HACCP and Fijian approaches 1500 Afternoon Tea 1530 Raul Castillo Artisanal longline fisheries in Peru 1600 Daily panel & review of issues – R. Shotton, FAO

Fri.

Nov.

28

Technology issues; technical developments; product handling

0900 Narciso de Carvalho The Timor Leste context 0930 Martin Prior Management of the small TAC scampi fishery in New Zealand 1000 Mr Dickson Status of deep-sea line fisheries other than tuna species in the

Philippines

1030 Morning Tea 1130 Pouvave Fainuulelei Samoa – national account 1230 Lunch

Sat.

Nov.

29

1400 Reporting

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APPENDIX V

REPORT OF THE WORKSHOP ON CONSERVATION AND MANAGEMENT OF DEEPWATER CHONDRICHTHYAN FISHES

Portobello Marine Station, University of Otago

Dunedin, New Zealand 27-29 November 2003

S.B. Irvine

Deakin University and CSIRO Marine Research GPO Box 1538 Hobart, Tasmania, Australia 7001

<sarah.irvine@csiro.au> 1. Workshop objectives This meeting was held to provide an opportunity for specialists to present information on the ecology, taxonomy, stock status and conservation threats to deep-sea chondrichthyans. Recommendations for the conservation and management for these highly vulnerable fish were discussed, many of which are threatened by deep-sea fisheries. The meeting was convened within the context of the FAO International Plan of Action for Conservation and Management of Sharks (IPOA-SHARKS). This IPOA recommends that all States contributing to fishing mortality of an elasmobranch species or stock should participate in their management. Funding for the meeting was provided by the FAO through a trust fund from the Japanese Government (GCP/INT/715/JPN), the David and Lucile Packard Foundation and the Department for Environment Food and Rural Affairs, U.K. The agenda of the meeting is listed in Appendix I and those who participated in Appendix II. The Workshop also undertook assessments for the 2004 IUCN Red List of Threatened Species™ which were completed for as many deep-sea chondrichthyans as possible. A baseline was established for monitoring improvements to our knowledge of this group of fishes and changes in their overall conservation and management status. 2. Background The continental slope habitat represents only 13 percent of the ocean bottom (Angel 1997) although it supports the greatest diversity of chondrichthyan species. Many species have a limited depth range and some have a narrow geographic range. Relatively few studies on deepwater chondrichthyans exist in the scientific literature and the majority deal with squaloids, reflecting their greater commercial importance. Deepwater chondrichthyans are a large bycatch and by-product component of many commercial fisheries that predominantly target teleosts and crustaceans. However, target fisheries for deepwater chondrichthyans are becoming increasingly important, driven by the international demand for their products, particularly liver oil. It has been well documented that chondrichthyans are particularly vulnerable to fishing pressure owing to their slow growth, late attainment of sexual maturity and low reproductive output (Stevens et al. 2000). Deep-sea chondrichthyan fishes are defined as bathyal species occurring at depths >200 m. Some oceanic pelagic species may descend into these deeper waters, but they were excluded from this Workshop. Data on deepwater chondrichthyan catches are sparse as landings reports rarely provide accurate species composition information in detail. In order to use landings data for assessment purposes, it is essential that the species involved can be identified and this requires all species to have been adequately described. Numerous deepwater genera, including Apristurus and Centrophorus, are currently under taxonomic revision.

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3. Meeting structure A total of 35 participants from 12 countries attended the workshop. The meeting was opened on

Thursday 27 November by two keynote addresses (summarized below), and over two days 19 oral and 8 poster presentations were given under the following themes:

• life history • conservation and management • taxonomy • utilisation and threats and • stock assessment.

On Saturday 29 November, time was allocated for general discussions and the group drafted the conclusions of the workshop. The 2004 IUCN Red List of Threatened Species™ assessment of deepwater chondrichthyans was undertaken on Saturday afternoon and many participants continued this work on Sunday 30 November. 4. Summary of keynote addresses 4.1 Professor Sho Tanaka (Tokai University): A survey of the fishery and biological situation

on deep-sea chondrichthyan fish in Suruga Bay, Japan Deep-sea sharks and chimaeras occur as an incidental catch of Japanese trawlers operating on the continental slopes. In his address Professor Tanaka gave an account of the distribution and biology of deep-sea and bottom-dwelling sharks, with some discussion on the changes in species composition and catch rate. It has been found that deepwater sharks have a high concentration of mercury, PCBs and organochlorines, independent of their proximity to sources of anthropogenic contamination. These high levels of contaminants arise from the longevity of chondrichthyans and their high trophic level. Average concentrations on contaminants often exceed (sometimes by double) the World Health Organization’s standards. Squaloids have been shown to accumulate a high level of contamination, which possibly manifests in high levels of reproductive malformation (e.g. hermaphroditism). 4.2 Dr Kazunari Yano (Seikai National Fisheries Research Institute): Aspects of the biology

of deep-sea sharks This presentation discussed the biological aspects of deep-sea sharks, including rare (e.g. Mitsukurina, Chlamydoselachus) and endemic species (e.g. of the genera Gollum and Trigonognathus) collected from several areas in the world. The different types of embryonic development and reproductive modes observed between species were described and the usually long gestation periods and small litter sizes noted. 5. Overview of presentations Theme 1: Life history Ten oral presentations and five posters were presented whose topics included descriptions of the depth distributions and habitat utilisation, reproductive biology, age and growth, and feeding habits. Information was reported on the general depth distributions for a variety of species. Chondrichthyans, especially sharks, are apex predators occupying the highest trophic levels. Their depth distributions may be linked to surface water primary production as shark numbers are highest in the deeper waters areas where surface water primary production is highest. Geographic and, or, depth segregation of different size, age or reproductive stages within a population were noted; e.g. juveniles of the species have not been found on the European continental slope.

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Reproductive information, including litter size (or number of egg cases), size at birth and size at maturity was reported for numerous species. Two reproductive strategies were noted for dogfishes (Order Squaliformes): (a) small litter sizes and continuous reproductive cycle and (b), larger litter sizes and a non-continuous cycle (i.e.a rest phase between pregnancies). Reproductive seasonality was not reported for any deepwater chondrichthyan fishes and information on egg-laying rates for deepwater skates, cat-sharks or chimaeras remains unknown. Age estimates, including age at maturity, are obtained through dorsal-fin spine band counts and high longevity estimates (up to 54 years) were reported for Centroscymnus crepidater, with maturity occurring at 9–15 years. Current attempts at validating the periodicity of band deposition were reported. Information of the feeding habits of many chondrichthyans was presented. Most papers gave a detailed prey list and reported a high trophic order. Most species appear to be opportunistic feeders although ontogenetic variation in diet and specialised feeding are also evident Theme 2: Conservation and management Dr Rachel Cavanagh, in the only paper presented under this theme, reported the necessity of implementing appropriate conservation and management measures. Knowledge of the status of most deep-sea chondrichthyans is seriously limited, and most animals fall into the data deficient category. However, it is striking that several deep-sea chondrichthyans that have been assessed fall into critically endangered or endangered categories. It was noted that the IUCN Ref List of Threatened Specie ™ is a widely recognised and powerful tool that can be used to promote improvements in the fisheries management of these biologically vulnerable species. An overview of the structure for a Red List assessment was given using Centrophorus harrissoni and C. uyato – two critically endangered dogfishes – as examples. Theme 3: Taxonomy

Two oral papers and one poster were presented in this session in which it was noted that deep-sea chondrichthyan fishes of the world consist of an eclectic mix of biogeographic members varying from narrow-ranging regional endemic species to some of the most widespread fishes in the world. Evidence of a greater level of range-restriction was also discussed. An overview of the species composition in Sagami Bay, Japan was given and included accounts of species that were not been previously known in the area. Sampling data suggest that Squalus mitsukurii have a seasonal migration horizontally and vertically in Sagami Bay; no S. mitsukurii were found in winter samples.

Information on chondrichthyans available to a deepwater fishery operating in the San Andrés

Archipelago, western Caribbean Sea was also presented. Six deep-sea species were reported, of these, four were new records for Colombia. Theme 4: Utilization and threats

Three oral papers and one poster presented information on the capture and utilisation of deepwater chondrichthyans off Namibia, New Zealand, Indonesia and Australia. Species that were previously discarded in Namibia, New Zealand and Australia now have good market demand and are landed for human consumption. Case studies of Namibia and Australia demonstrated that a small number of vessels operating target fisheries can quickly deplete previously unexploited stocks. Recovery of depleted stocks is likely to be extremely slow because of the sharks’ life history characteristics.

Indonesian chondrichthyan landings are high and remain largely unreported, with little or no

discarding. Marketing of flesh, liver oil and fins are common, and in some areas of Indonesia the large oocyte (egg) of Centrophorus species is a delicacy.

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Theme 5: Stock assessment

Three oral papers and one poster presented information on chondrichthyan population and stock structures. Ecological risk to chondrichthyan populations from commercial fishing can be assessed through their biological productivity, catch susceptibility, trends in abundance and trophic position.

Biological productivity is related to generation time and reproductive output from each

generation. This can be derived from natural mortality and reproductive information – fecundity and frequency of spawning events. Vulnerability of capture is similar to the concept of ‘catchability’ but should also include considerations of bycatch, which may, or may not, be discarded. Post-capture mortality is the proportion of the animals that die from being caught in the fishing gear. Populations with a declining trend in biomass can be classed at higher risk than those with stable, fluctuating or rising trends. Trophic position is also an indicator of potential risk as species with a high trophic position are more vulnerable to the effects of ecological cascade than those in a low position.

In areas where baseline (precommercial exploitation) data exists, mean relative catch rates have

severely declined. In this context, abundance measures were reported for three species of chondricthyans in the Mediterranean Sea. 6. General discussion and recommendations 6.1 Identification of management problems

Deepwater chondrichthyans do not require any unique management measures compared to other fisheries. However, management is more complex and critical as the available stock and sustainable yield is much lower for all chondrichthyan fishes, especially those that inhabit relatively unproductive deepwater. Monitoring of fish stocks is also challenging as some fisheries are on the high seas where States’ authority over their flagged vessels may not apply and the only control may be through port states and other indirect means.

Management problems arise when a population covers an area that is fished by many states. Effective management of such stocks require agreement among fishing nations, or management through regional fisheries management organizations. In addition, the depth and spatial segregation that often occurs within a chondrichthyan population (usually by sex, age/size and reproductive stage) makes different components of the population available to the fishery. This makes it relatively easy to remove an entire and possibly vital component of a population (e.g. all the pregnant females) by a relatively localized fishery.

Reliable catch information is rarely available. The landing of processed animals (trunks, etc.) makes it extremely difficult to identify the species composition of the catch and thus obtain species composition data except by genetic techniques. Lamentably, catch statistics for many species are often collated under one name e.g. “shark various”, “black shark”, “dogfish”, “ghost shark”, “skate”, “ray”, etc. 6.2 Management requirements

Effective management requires good baseline data and this rarely exists for chondricthyan fishes and therefore a significant increase in investment research for this purpose is needed. Although research needs to increase in any event, management, in the meanwhile, should follow the precautionary approach and implement appropriate regulations immediately.

Ideally, deepwater fisheries should not be initiated until baseline data is obtained from fisheries-

independent surveys. Human and funding resource limitations make this approach difficult in many nations, thus managers and scientists need to work in conjunction with fishers to obtain the maximum data for all exploratory fisheries so fish stocks can be monitored.

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Closed fishing areas and marine protected areas are an important fisheries management and biodiversity conservation tool. However, it is important to identify candidate areas that offer the greatest benefit. This requires an understanding of species composition, stock structure and movement patterns. Managers may use this information to determine critical habitat size and location and to decide whether there are any benefits from seasonal closures. Larger areas should be allocated in those areas where collection of this information is not possible, especially if fisheries are not yet established.

Adequate catch monitoring is essential for effective management. Education programs aimed at managers and stakeholders are required to outline the vulnerability of these fishes compared to other taxa. Workshops can be used to transfer expertise to managers and scientists including through the teaching of appropriate monitoring tools and methods.

The species composition of the catch is currently impossible to determine if the fish are processed at sea, e.g. by removal of fins, tails and head. Regulations for chondrichthyan fisheries should require the retention of heads, fins and tails and prohibit the landing of fins, skate wings and livers without the accompanying carcass. 7. Future research

The Workshop identified a number of areas of scientific research that needs to focus on: i. Taxonomy

Many species taken by commercial fisheries remain undescribed and a large number of sympatric species complexes are unresolved. The resolution of these issues would enable the preparation of accurate identification keys and guides that are necessary for data collection and enable the definition of species and stock distributions.

A regional approach to tackling taxonomic problems should be a priority with subsequent collation of the information that is obtained. The use of genetic techniques may be required to separate some sympatric species and an adequate number of voucher specimens need to be collected so key morphological characteristics can be identified. Photography can be used is an important identification tool. Separate head and fin photographs are beneficial and colourations of fresh animals should be noted. ii. Life history Knowledge of longevity and age-at-maturity estimates is essential for stock assessments. Ageing techniques have been tried for squaloids, chimaeras and rajids, although band count periodicity has not been validated. Dorsal-fin spines (squaloids and chimaeras) and caudal thorns (rajids) appear to yield better results than the poorly calcified vertebrae. Age validation may require investigation into the feasibility of radiocarbon dating or radiometric isotope analysis. The cue for growth in deepwater chondrichthyans may be influenced by seasonal food availability rather than seasonal temperature cycles, thus information on trophic ecology is required. A knowledge of trophic levels would also allow basic definition of community structure and provide data for ecosystem modelling. Consumption rates, interspecies dynamics, energy partitioning between co-occurring species and the ontogenetic regional and seasonal variations are largely overlooked and unrecorded. Information on basic metabolic physiology is also required. iii. Reproductive biology Knowledge of a species’ reproductive biology (e.g. annual fecundity, maturity/maternity ogives, birth size) is central to understanding their life history. Annual fecundity, duration of development, inter-breeding intervals and natural mortality are all required, but usually are poorly understood. Reproductive cycles remain undefined and the lack of seasonality in many species prohibits the use of

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traditional analysis. Investigation into the use of specific endocrinology may be required. The life strategy benefits of the trade-offs between growth and reproduction in an energy-poor environment are unknown. iv. Stock structure Resource management is extremely difficult without knowledge of the population structure. Depth distribution studies require deeper sampling to accurately define depth ranges and possible depth-dependent segregation by sex. Many populations may occur below fishing depth, e.g. bathyrajids are not often recorded at depths of less than 2000 m. Tagging in the deep sea is in its infancy and although it is possible it remains difficult and uncertain as to its effects. Future work directions may involve the use of innovative technology, e.g. electronic tagging, pop-off satellite tags, listening stations, ‘at-depth’ tagging. All of these are expensive but when successful can produce results of great value. v. Bycatch survivability Research is needed on the survival of discards. Unwanted juveniles of larger species and smaller species are usually discarded. Different fishing methods result in different discard mortalities. With regard to trawling, analysis of the catch taken in shorter tows in cooler waters (e.g. southern Tasmania, Australia) show that a high proportion of dogfishes that land on deck are still alive. Assessments are required of the survivability of these animals if they are released quickly. 8. Conclusions Deepwater chondrichthyans may not sustain the current levels of exploitation due to their low fecundity, late attainment of sexual maturity, long life and extended gestation periods (some with a resting stage between pregnancies). Management should follow the precautionary approach and implement regulations immediately. 9. Literature cited

Angel, M.V. 1997. What is the deep sea? In: Randall, D.J. & A.P. Farrell (eds.) Deep-sea Fishes (Fish Physiology volume 16). Academic Press. San Diego, USA.

Stevens, J.D., R. Bonfil, N.K. Dulvy & P.A. Walker 2000. The effects of fishing on sharks, rays, and chimaeras (chondrichthyans), and the implications for marine ecosystems. ICES Journal of Marine Science. 57 (3) 476-494.

10. Programme of Workshop

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Conservation and Management of Deepsea Chondrichthyan Fishes

Joint FAO and IUCN Shark Specialist Group Pre-conference meeting in conjunction with DEEP SEA 2003

PROGRAMME

University of Otago, Portobello Marine Laboratory South Island, New Zealand

7–29 November 2003

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8:30 Welcome - Late registration 9:30 Sho Tanaka Address: A survey of the fishery and biological situation on deep-sea chondrichthyan fish in

Suruga Bay, Japan 10:15 Kazunari Yano Address: Aspects of biology of deep-sea sharks

11:00 MORNING TEA

Session 1: Life History

11:30 Jack Musick The bathymetric limits of sharks in the deep sea 12:00 Malcolm Francis Distribution and assemblages of New Zealand deepwater demersal chondrichthyans 12:30 Ken Graham The distribution and biology of NSW deepwater dogfishes

13:00 LUNCH

14:00 Dave Ebert Reproductive biology and habitat utilization of skates along the eastern Bering Sea slope 14:30 Enzo Acuña Reproduction and feeding habits of two deep-sea sharks from central-northern Chile: the

etmopterid Aculeola nigra and the scylliorinid Bythalaelurus canescens 15:00 Ken Graham Distribution, abundance and biology of the small-tooth sand-tiger shark Odontaspis ferox

15:30 AFTERNOON TEA

16:00 Malcolm Francis Distribution and biology of the New Zealand endemic cat-shark, Halaelurus dawsoni 16:30 Sarah Irvine Age and growth of deepwater squaloids from southern Australia

Thu

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17:30 GENERAL DISCUSSION

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Session 2: Conservation and Management

9:00 Rachel Cavanagh Conservation status of deep sea chondrichthyans 9:30 GENERAL DISCUSSION

Session 3: Taxonomy

9:45 Peter Last Deep sea elasmobranch: taxonomic problems, research needs and priorities 10:15 Jaun Pablo Caldas Deep sea chondrichthyans captured on industrial fishery in the San Andres Archipelago,

Western Caribbean Sea 10:45 GENERAL DISCUSSION 11:00 MORNING TEA

Session 4: Utilisation and threats

11:30 Hannes Holtzhausen The emerging fishery for deep-sea chondrichthyan fishes off Namibia, south-western Africa 12:00 Ron Blackwell Deepwater squaloid sharks in New Zealand waters 12:30 William White Preliminary investigation of artisanal deep sea chondrichthyan fisheries in south-eastern

Indonesia 13:00 GENERAL DISCUSSION

Session 5: Stock assessment

14:15 Terry Walker Rapid assessment for ecological risk chondrichthyan populations 14:45 Terry Walker Abundance and spatial distribution of chondrichthyan species caught by demersal trawl on the

continental slope of south-eastern Australia 15:15 Maurice Clarke Biology and assessment of deepwater chondrichthyans in the ICES area 15:45 Maurice Clarke for N. R.

Hareide Aspects of the biology of Centrophorus squamosus and Centroscymnus coelolepis from the slopes of the Rockall Trough, Hatton Bank and Mid-Atlantic Ridge

16:15 Ken Graham The impact of trawling on the stocks of sharks and rays on the NSW upper slopes

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16:45 GENERAL DISCUSSION

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Posters and AFTERNOON TEA

17:00 Toru Taniuchi Chondrichthyan fishes of Sagami Bay, Central Japan Fabrizio Serena Catch composition and abundance of deep elasmobranchs based on the MEDITS program Sarah Irvine Utilisation of deepwater dogfishes in Australia Alexei Orlov Diets and feeding of Pacific sleeper shark and deep-benthic skates in the western Bering Sea and

Russian Northwest Pacific Ocean Peter Kyne Life history and bycatch of the argus skate Raja polyommata in the Queensland East Trawl Fishery

(ECTF), Australia Julio Lamilla Life history of deep sea Chilean chondrichthyans Fabrizio Serena Contribution to the knowledge of the biology of Etmopterus spinax (Chondrichthyes, Etmopteridae)

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Clinton Duffy Distribution and biology of Cirrhigaleus barbifer (Squalidae) in New Zealand waters

Workshop Discussion and Recommendations

9:00 10:30 MORNING TEA 11:00 12:30 LUNCH

SSG Redlist Workshop

13:30 15:00 AFTERNOON TEA

17:30 DAY’S END Sa

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19:00 DINNER – Portobello Marine Laboratories

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APPENDIX VI

REPORT OF THE WORKSHOP ON BIOPROSPECTING IN THE HIGH SEAS University of Otago, Dunedin, New Zealand

27–29 November 2003

1. Introduction A group of delegates met at the University of Otago in Dunedin to discuss bioprospecting in the high seas. The objective of the meeting was to identify and discuss the nature of current activities, including sustainability, limits to growth, timelines, regulatory requirements and potential environmental consequences. The program and the list of participants are given in Appendixes VI.1 and VI.2 respectively.

2. Overview of presentations Science Research scientists working on sponges, micro-organisms and fish gave an overview of their experiences with regard to sample collection, laboratory investigation, findings and knowledge of the bioprospecting industry. The group heard that the oceans are the largest ecosystems on earth with immense biodiversity already known and thousands of new species being discovered as marine scientific research intensifies. Novel marine biodiversity is concentrated most specifically in four areas or hot spots: coral and temperate reefs, seamounts, hydrothermal vents, and abyssal slopes and plains. These concentrations are largely untouched, despite being highly sought after by scientists, governments and companies that have speculated about the immeasurable pharmaceutical potential of novel structures. However, each of the hot spots also has idiosyncrasies that make it particularly vulnerable to other ocean uses such as trawl fishing.

Case studies of work in progress highlighted the nature of some current activities. A compound, IPL576,092 based on the sponge steroid contignasterol, completed US Phase I trials as an asthma drug in 2000. Cytotoxins from deepwater sponges found on the Chatham Rise 400 km off the New Zealand coast are also under investigation. Other work in progress involves the Conus venoms (the source of the first of the modern marine-based drugs and cytotoxic organic extracts); cold adapted enzymes from deep-sea microbial extremophiles in the Southern Ocean and deep-sea extreme environments such as hydrothermal vents; and genes for "anti-freeze" proteins from fishes found in the Southern Ocean. The difficulties with assay and the long time frame of investigation of potential leads were explained. In the case of fish proteins, for example, it was noted that the proteins could be replicated from genetically modified organisms and did not require the direct harvesting of fish. In a similar fashion, most bacteria can be cultured. Sponges have historically been harvested, but it is also possible to culture them under certain conditions in a natural environment.

Potential applications from marine-sourced material include:

• Pharmaceuticals • Fine chemicals • Enzymes • Agrichemicals • Cryoprotectants • Bioremediators • Cosmaceuticals • Nutraceuticals

Industry A study of small-molecule new chemicals introduced globally as drugs between 1981-2002 showed that 61 percent can be traced to, or were inspired by, natural products (Newman et al. 2003). This

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figure rose to 80 percent in the year 2002–2003. Compounds from natural products are considered to be more agreeable to consumers and two-thirds of the anti-cancer drugs, for example, are derived from both terrestrial and marine natural products. Marine-sourced material, e.g. from sea water or marine sediment, has a higher chance of a successful commercial hit because of its mega-diversity (using the formula: samples x biodiversity x assays = probability of a hit).

The USA National Cancer Institute (NCI) was one of the first organisations to begin systematic large-scale collection of marine invertebrates and in the mid-1980s formal collection programs were initiated to protect access to the original material (Newman and Cragg 2005). The cost of sample collection, laboratory investigation and further downstream processing is high and there is only an estimated 1:50 chance of successfully producing a marketable product beyond a pre-clinical lead. For example, one kilogram of shallow-water marine invertebrates collected, prepared for sampling, identification and transport costs approximately US$1 000 a sample. From the one-kilogram sample, only approximately 20-50 grams of liquid and 4–15 grammes of organic material will be extracted, costing approximately US$200 a sample. Subsequent testing (in the 60 cell line screen, for example) may cost as much as US$300 a sample. If all associated costs (laboratory staff and equipment, for example) are included, the total rises to tens of thousands of dollars a sample. However only about 10 percent of samples are eventually determined to be 'active'. These figures refer to shallow-water collections. (Newman and Cragg 2005).

Sampling from shallow water is economically more viable than from the deep sea, from which

specimens may be difficult to retrieve. Early NCI collection programmes used submersibles and ROVs, but the cost was too high and their deep-sea programme was suspended. Others have had more success. The Harbour Branch Oceanographic Institution uses a manned submersible and has successfully synthesised a molecule, discodermolide, from a previously undescribed deep-sea sponge. Another compound, halichondrin B, has also been isolated from a sponge species by a New Zealand joint venture. In the latter case, one tonne of sponge was harvested, which yielded 300 mg of pure halichondrin B. This process cost approximately US$500 000 (Newman and Cragg 2005). Figure 1 represents the NCI approach to the processes of biological prospecting.

It is important to note that current US legislation prohibits government institutions from

"encumbering a future invention" (Newman and Cragg 2005) therefore in terms of benefit sharing, they are prohibited from entering into royalty agreements in the phases of sample collection and testing. This may bring the government institutions into contravention of the Convention on Biological Diversity (CBD) if the US Government ratifies it. The NCI approaches benefit sharing in a novel way, begun prior to the CBD but in many ways in conformity with the principles contained therein. It involves a 'letter of collection' agreement, which requires that any licencee of an NCI patent must absolutely involve the country of origin in the further development of the compound (Newman and Cragg 2005). Despite the argument that the acts of collection and routine testing of extracts are not inventions in themselves, institutions such as the NCI cannot infringe US law by collecting in some countries where the CBD (and its royalty provisions) would apply. Another significant point is the fact that no sample collected by an NCI collector may be analysed by other researchers.

Ongoing access to material (i.e. because it cannot be replicated in a laboratory or because

further samples are sought) is of primary importance. Aquaculture and mariculture have both been used successfully in some cases, e.g. as for shallow-water sponges.

Industry presentations placed great emphasis on the odds of success, with a figure of

approximately only 1-2 percent of preclinical candidates actually becoming commercially produced.

Law and Policy Some presentations provided an overview of international law and international obligations that protect the biodiversity of hydrothermal vents and the unique situation in the Southern Ocean. Relevant laws include intellectual property laws, environmental protection and biodiversity

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conservation laws, the United Nations Convention on the Law of the Sea (UNCLOS) and Antarctic-specific laws.

Figure 1 The NCI schema of Bioprospecting Process (from Newman and Cragg 2005)

Deep Water Collection Extraction & Assay Active ?

Bioactivity-drivenIsolation Novel ?

Repeat BioactiveScreening &

Counter Screens

ViableCandidate ?

Further Suppliesby synthesis and /

or geneticanalysis, microbial

isolation

FeasibleProcess ?

Large ScaleProduction by non-

collectiontechniques

Preclinical &Clinical

Development

FDA Approval?

Commercial Drug

$$$$

Yes

No

Other Screens

Yes

No

No commercialdevelopment

Yes

NoRethink

No

Yes

Yes

No

It was noted in regard to patentable inventions, i.e. products and processes that provide a

technical solution to a technical problem, that patenting involves elements of novelty, an inventive step and industrial applicability (or utility: i.e. the object can be commercialized). However, a grey area within the law is the patenting of living organisms and products of nature. While products of nature are currently excluded, even minor modification that introduces the elements noted above may allow patenting to proceed. Patentable biotechnological inventions may include genetically modified

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plants, animals, and micro-organisms, and isolated, synthetically produced, cells, proteins and genes of known function. Critical points for discussion were the potential for conflict between sovereign rights over resources and patent rights over inventions; bioprospecting and bio-piracy, traditional knowledge and novelty (e.g. does traditional knowledge compromise the element of novelty?); and equitable access and benefit sharing (consistent with the Convention on Biological Diversity but see the earlier note regarding US legislation).

The applicable legal regime wWith regard to hydrothermal vents, , if one exists, to monitor

activities and provide protection and regulation will depend on the location of the vents. If they are located within territorial waters and exclusive economic zones (EEZs), coastal state jurisdiction prevails over access to, and use of, genetic resources. If they are located on the continental shelf beyond the EEZ, the coastal state can only regulate access to sedentary species. If hydrothermal vents are located outside national jurisdiction, access is largely free and unregulated except where states regulate the activities of their nationals, consistent with the Convention on Biological Diversity and other international law (see Leary 2003). Discussions ranged across broad areas of potential international regulation, including expanding the mandate of the International Seabed Authority to include the super-adjacent waters above the Area.

It was acknowledged that the Southern Ocean is a special case because of the overlap of

international law and Antarctic-specific law, as well as the unproven nature of sovereignty over the continent and, thus, the marine areas. This complex case highlights how the traditional freedoms of the sea have been modified in the Antarctic. A regional fishery body – the Commission for the Conservation of Antarctic Marine Living Resources (CCAMLR) – regulates the conservation and rational use of all Antarctic marine living resources (not including whales and seals). Further, an environmental protocol – the Madrid Protocol to the Antarctic Treaty – requires environmental evaluation of all activities in the Antarctic Treaty Area (i.e. south of 60° South) prior to an operation being undertaken, including marine scientific research. The initial phase of bioprospecting (sample collection) would be unlikely to breach either of these arrangements, but large-scale collection through harvesting would require closer scrutiny.

Consideration was also given to the Southern Ocean as a global commons and its resources, as

a situation of the "common heritage of mankind", not unlike that for the deep-sea bed of the high seas.

Case studies The first case study described the extent of some of the leads discovered by one institution - the Australian Institute of Marine Science (AIMS). The collection housed by AIMS includes 10 000 species of marine bacteria, fungi and micro-algae and 12 000 species of invertebrate macro-organisms. The presentation also introduced new terminology and a new concept: a dichotomy between bio-discovery (primary collection to find leads) and bioprospecting (looking for more of the lead material - re-collection).

Bio-discovery was considered to have the following practical applications in addition to those listed above: seafood toxin testing, anti-foulants, bioremediation, environmental monitoring and as research tools. The latter is a lucrative application with some marine natural products valued extremely highly, e.g. Neosaxitoxin derived inter alia from dinoflagellates, blue-green algae and toxic shellfish is valued at US$21 400 a milligram. In terms of supply, however, AIMS (citing Garson 1994) noted the following quantities of original material required to yield relative quantities of lead material:

Original material Quantity yielded 450 kg acorn worms 1 mg cephalostatin 1 600 kg sea hares 10 mg dolastatin 2 400 kg sponge <1 mg spongistatin

847 kg moray eel livers 0.35 mg ciguatoxin

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This table highlights the importance of sustainable methods of wild harvest, chemical synthesis, aquaculture, cell and tissue culture, and genetic splicing. The AIMS presentation also considered Australian policy. Prior to 1994 the AIMS collections were undertaken in conformity with a scientific research permit and no benefit sharing was possible. Subsequent collections were subject to new permit conditions, which meant that new permits became more difficult to obtain in some jurisdictions and doubt was cast over the legal certainty of some existing collections. In addition, permit conditions restricted their use. Benefit sharing also became difficult, with questions arising about a lack of process and legislative basis, who should be beneficiaries and what exactly are the benefits? As a result, AIMS put in place ‘best practice guidelines’ on these issues. In addition, the Queensland government (the Australian state in which AIMS is located) is introducing a Bio-discovery Bill into Parliament, which will provide greater clarity as to the legal obligations in this area.

The presentation on environmental aspects of bioprospecting acknowledged that many agencies expect environmental impact to occur with bioprospecting activities because historically, extracting resources from the oceans (especially fishing) has had environmental consequences. Conversely, the proponents would be inclined to see bioprospecting as posing no, or only slight, risk to the environment. It is likely that the proponents see their activities this way because they are comparing their level of activity with hyper-extractive fishing, as an example. It was considered, however, that this generation of bio-prospectors represent only the artisanal stage of the activity. All human activities related to ocean usage have impacts. Those relating to bioprospecting will be relative to the location; the modes of transport, support and sample retrieval; the discard of unwanted material; and the nature of the target (i.e. compare micro-organisms with fish). The presumption that extraction of target taxa will have negligible impact is only a presumption. There are considerable legal obligations arising from, inter alia, the UNCLOS and Convention on Biological Diversity for the protection and preservation of the marine environment, including conducting environmental evaluation of proposed activities. The message remaining with participants was that of a juridical picture which is complex and is still evolving. 3. Critical points and conclusions emerging from general discussions Definitions It became apparent from the outset that there were divergent interpretations of the critical language – “bioprospecting” and “high seas” – and, therefore, it was important to define the way in which the terms were used throughout the meeting.

• “High Seas” = LOSC definition, i.e. maritime areas “outside national jurisdiction”. The group also included "the Area" (i.e. the deep sea bed) and the sub-sea biosphere in its discussion. There was considerable discussion about the status of the Southern Ocean. Although there are similarities between the Southern Ocean and other high seas areas, the complex legal situation arising from unproven sovereignty means that the Southern Ocean is a special case subject also to the legal regimes established within the Antarctic Treaty System.

• There was no universally agreed definition of “bioprospecting” but rather it was viewed as a

broad concept embracing a number of phases of research to investigate a region’s biodiversity and to collect samples of biological organisms. It was suggested that the definition be split into two discrete terms: “biodiscovery” = the first phase of scientific research into a region’s biodiversity, and “bioprospecting” = the second and subsequent phases of the re-collection of biological resources for the purposes of further investigation. It was noted that the distinction may, at times, be for expedience only and that the two classes of activity may have different objectives, different outcomes, and different requirements for permit conditions and environmental reporting, for example, attached to them.

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Level of activity and future potential There is already a considerable amount of marine scientific research conducted in high seas areas, including bio-discovery, and this has the potential to expand into more substantial bioprospecting activities in the future. Bio-discovery activity can be both targeted (e.g. at locations such as hydrothermal vents and seamounts, or events such as the death and decay of marine mammals) and serendipitous (e.g. curiosity-driven marine scientific research, by-catch). The rich biological diversity of the high seas has the potential to yield biological products of broad ranging applicability. In particular there are unique mega-diverse areas where the biodiversity is relatively untouched. Significantly, the ratio of potentially pharmaceutically useful compounds to compounds screened is higher in marine-sourced materials. There is, therefore, a higher probability of commercial success. However, marine research is expensive, and the high cost together with difficult technological challenges of retrieving material from the deep ocean, impose significant limitations on the industry. Spin-offs Spin-offs include dedicated technology that is required to assist in bio-discovery. It is important to note that technology developed from high seas experiences has much wider application.

Bio-resource spin offs include:

• Contributions to the store of scientific knowledge about previously unexplored regions and taxa and

• Identification of biodiversity hot spots, with new information contributing to the implementation of better management strategies.

Legal status Except in very general terms as prescribed in the LOSC and the CBD, bio-discovery and bioprospecting in the high seas is largely unregulated. Specifically there is no clear legal regime for:

• Environmental management • Benefit sharing (who "owns" the resources?) and • Access.

Patenting is the main avenue for securing economic benefit as a return for investment. But

there is a dividing line between bio-discovery, bioprospecting and the requirement to share benefits from commercialisation.

Environmental vulnerability There is at present no evidence that bio-discovery and bioprospecting are having any greater impact on the marine environment than any other form of marine scientific research. Currently there are greater threats to high seas biodiversity from other activities such as various technical aspects of fishing and mining. However, a precautionary approach is indicated. 4. Concluding remarks In conclusion, three ways forward were advanced:

i. The approach to conditions for access and benefit sharing must be regionally and globally consistent.

ii. Sample collection and associated activities must be sustainable and subject to environmental

impact assessment.

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iii. In lieu of economic benefit sharing, access to data, scientific knowledge and information that reveals intrinsic values may be considered appropriate alternatives.

It was also concluded that the high seas are a global commons and it was considered that its biodiversity could, therefore, be considered a “common heritage of mankind” in similar fashion to the mineral resources of the deep-sea bed. 5. Acknowledgements This work was supported by the Australian Government's Cooperative Research Centres Programme through the Antarctic Climate and Ecosystems Cooperative Research Centre (ACE CRC) and the University of Tasmania's Institute of Antarctic and Southern Ocean Studies, Centre for Law and Genetics and Tasmanian Institute of Agricultural Research. 6. Literature cited Leary, D. 2003. Bioprospecting and the genetic resources of hydrothermal vents on the high seas:

What is the existing legal position, where are we heading and what are our options? FAO Fish. Rep. No. 772. 82 pp. Rome.

Newman, D.J., G.M. Cragg & K.M. Snader 2003. Natural Products as Sources of New Drugs over the Period 1981-2002. J. Nat. Prod. (Review) 66(7):1022–1037.

Newman, D.J. & G.M. Cragg 2005. Political, Legal, Scientific and Financial Aspects of Marine Biodiscovery Programs. FAO Fish. Proc. 1. Rome. In print.

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MEETING OBJECTIVES To identify and discuss the nature of current activities in the field of bioprospecting in the high

seas, including its sustainability, limits to growth, timelines, regulatory requirements and potential environmental consequences, and to report the findings to Deep Sea 2003. MEETING STRATEGY

To achieve these objectives the pre-Conference meeting was organized in the following way:

Themes

Key questions

Biological Research & Technology

1. Why conduct bioprospecting in the high seas? 2. What is happening now and what are the prospects for the future? 3. What are the bio-resource and bio-technological spin-offs from

bioprospecting? 4. What new or adaptive technology exists? 5. To what extent are technology and cost-limiting factors to the growth

of high seas bioprospecting?

Industry

1. How do the downstream processes following sample collection work

(including technology, time, cost, intellectual property, etc)? 2. Who is bioprospecting, where, in collaboration with whom and how are

these partnerships achieved and managed?

Law & Policy

1. What are the jurisdictional issues (states, multinational companies,

nationals, vessel flag State, etc.)? 2. What is the legal status of the activity of "sample collection" (a) in the

water column (b) in the top layer of seabed sediment and (c), from a sediment core?

3. Is high seas bioprospecting in need of further regulation, i.e. is the existing regime adequate?

4. How do intellectual property laws interact with other laws relating to bioprospecting on the high seas? Is the balance appropriate?

5. What states have policies on high-seas bioprospecting? 6. What do these policies contain and how can they be used as exemplars

by others?

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APPENDIX VII.2

PROGRAMME

Friday 28 November 2003

Time

Topic

Speaker

Chair

0900–0940

Science – Natural Products

M. Munro – University of Canterbury (New Zealand)

0940–1020

Science – Microbial

K. Sanderson – University of Tasmania (Australia)

N. Perry Crop and Food Research (New Zealand)

1050–1130

Science – Fish

P. Wilson – CSIRO (Australia)

1130–1210

Industry

D. Newman – National Cancer Institute (USA)

J. Van Klink, Crop and Food Research (New Zealand)

1400–1440

Law – Overview

D. Nicol – University of Tasmania (Australia)

1440–1520

Law – Hydrothermal vents/high seas

D. Leary – Macquarie University (Australia)

S. Lorimer Crop & Food Research (New Zealand)

1550–1630

Law – Antarctica & Southern Ocean

J. Jabour Green – University of Tasmania (Australia)

1630–1700

Overview of Day One

V. Webb NIWA (New Zealand)

Saturday 29 November 2003

0900–0940

Case Study No. 1 – Research & Industry

C. Battershill – Australian Institute of Marine Science (Australia)

0940–1020

Case Study No. 2 – NGOs/Environment

A. Hemmings – Environnemental Consultant (New Zealand)

V. Webb, NIWA (New Zealand)

1050–1230

Panel Discussion – All speakers, if available – and Deep Sea 2003 Report Writing

J. Jabour Green, University of Tasmania (Australia)

84

APPENDIX VI.2

PARTICIPANTS

Admiral Hugo Arevalo Peruvian Marine Research Institute Chris Battershill Australian Institute Of Marine Science Daniel Brass New Zealand Ministry Of Economic Development Blg. Raul Castillo Peruvian Marine Research Institute Dr Rachel Codd The University Of Sydney Helge Hassold Federal Government Of Germany Dr Alan Hemmings Gateway Antarctica, University Of Canterbury, Christchurch Dr Julia Jabour Green IASOS, University Of Tasmania Jolene Key New Zealand Ministry Of Fisheries David Leary Macquarie University Michael Lodge International Seabed Authority, Jamaica Stephen Lorimer New Zealand Crop & Food Research Dr Els Maas NIWA, New Zealand Dr Patricia Martinez National Institute of Fishing Research and Development, Argentina Murray Munro University Of Canterbury, Christchurch Eva Murray New Zealand Ministry Of Foreign Affairs And Trade David Newman U.S. National Cancer Institute Dianne Nicol University Of Tasmania Nigel Perry New Zealand Crop And Food Research Michelle Rogan–Finnemore Gateway Antarctica, University Of Canterbury, Christchurch Steve Rusak University Of Otago Eng. Carlos Salazar Peruvian Marine Research Institute Dr Kevin Sanderson University Of Tasmania Allison Saunders Canadian Department Of Foreign Affairs & International Trade Eng. Marceliano Segura Peruvian Marine Research Institute John Van Klink New Zealand Crop & Food Research Cath Wallace Victoria University of Wellington, New Zealand Vicky Webb NIWA, New Zealand Barry Weeber New Zealand Forest & Bird Protection Society Dr Peter Wilson University Of Otago Dr Dorothy Zbicz U.S. Department Of State

The report describes (a) the reasons for convening DEEP SEA 2003, An International Conference on Governance and Management of Deep-Sea Fisheries,

that was held in Queenstown, New Zealand, from 30 November to 5 December 2003, (b) the agenda and structure of the Conference, (c) the main

conclusions of the Conference and (d) a prognoses for the future of deep-sea fisheries as seen by a selected group of experts. The report also documents a number of actions that the participants, in general, believed needed to be addressed, many of them on an urgent basis, as a means of

developing a global programme of future activities to address the problems that had been identified and discussed.

In addition to reporting on the events and outcomes of DEEP SEA 2003, this document provides reports from four workshops that addressed topics of relevance to the Conference theme. These were held concurrently and just prior to DEEP SEA 2003 in Dunedin, at the University of Otago, from 27 to

29 November 2003. These workshops addressed the following topics: Assessment and management of deepwater fisheries; Conservation and

management of deepwater Chondrichthyan fishes; Management of small-scale deepwater fisheries; and Marine bioprospecting. This report will be

complemented by a publication of the proceedings of the Conference in the FAO Fisheries Proceeding series.

9 7 8 9 2 5 1 0 5 2 8 0 8TR/M/Y5890E/1/02.05/2900

ISBN 92-5-105280-8 ISSN 0429-9337