Marine Stewardship Council Surveillance Announcement

Name of Fishery Gulf of California Mexico Sardine and continued expedited audi(Northern) Surveillance level Onsite, Normal Frequency (annual) and type Surveillance 1st Surveillance number (tick one) 2nd Surveillance 3rd Surveillance 4th Surveillance × Other (expedited etc) Proposed Team Dr. Sian Morgan, SCS Global Services (Team Leader and Principle 2 expert) Leader Proposed team Dr. Carlos Alvarez, Principle 1 expert. Please see attached CV. Dr. Alvarez was members [remove on the surveillance audit team in 2014. if not applicable] Dr. Oscar Sosa-Nichizak i, Principle 3 expert. Please see attached CV. Dr. Sosa- Nishizak i was on the original team as well as on the surveillance audits. Audit/review time Date: May 19, 2015 in Guyamas, Mexico (Baja California) at the offices of and location CONEPESCA. Asse ssme nt/ Review of evidence on the remaining open conditions, updates to management, review activities personnel changes, fishing activities, stock status of Pacific sardine and thread herring, stak eholder interviews

This notice is to advise any parties (individuals or organizations) interested in providing input, to contact SCS and provide: a) your name and contact details; b) your association with the fishery; and c) the issues you would like to discuss (in order for us to arrange appropriate representation).

Information is most useful to the assessment team when it is specific and includes constructive suggestions for improving existing situations. Also, supporting documentary evidence for any issues of concern will be greatly appreciated by the assessment team.

Please contact SCS by 1700 PDT 30 May 2015 if you would like provide comments.

Submitted by: A. Vincent

Date: 27 April 2015

Document: MSC Surveillance Announcement Template V1.0 Page 1 Date of issue: 8 October 2014 © Marine Stew ardship Council, 2014

Appendix 1: CVs of team leader and team (optional)

Please see the following pages.

Document: MSC Surveillance Announcement Template V1.0 Page 2 Date of issue: 8 October 2014 © Marine Stew ardship Council, 2014

Siân K. Morgan, Ph.D.

Research Associate, Fisheries Centre, University of British Columbia,

SCS Global Services: 2000 Powell St. Suite 600 Emeryville, CA, USA 94608

Tel: +001.415.613.1519 Email: [email protected]

Professional Experience

Regional Director, SCS Global Services Sept 2011 - Present  MSC Preassessment, Full Assessments  ASC Preassessemtns, Full Assessments and piloting work  Managing organizational capacity including financial and staff management, subcontractors networks and client interactions.  Technical consultant developing Fair Trade USA’s Wild Capture Fisheries standard. Pilot auditing and audit tool development.

Consultant, California Environmental Associates July 2010 - Sept 2010  Assessment of the impacts of Marine Stewardship Certification for the David & Lucille Packard Foundation  Examining direct (on-water) and indirect socio-economic impacts of certification on fisheries, fishing communities and regulatory structures  Assessment of the value of Packard’s investment in MSC to date

ASC: TAG and GSC Member (ShAD & FTAD) Sept 2008 - present  Member of the ASC Technical Advisory Group  Member of the Global Steering Committee (GSC) for the Shrimp Aquaculture Dialogue (ShAD) and the Freshwater Trout Aquaculture Dialogue (FTAD), on behalf of FishWise, at the WWF-convened Aquaculture Dialogues  Standards writing with focal leadership on siting (biodiversity impacts) and resource use (feed inputs, energy use) for both the ShAD and FTAD.  Working to assure efficient governance and market-success of the Dialogue standards (e.g. liaising points of intersection between MSC and ASC, working on behalf of GSCs to clarify relevant aspects of ASC governance, communicating information back to GSCs from ISEAL)

Director of Science, FishWise Sept 2008-July 2010  Leading scientific outputs for public dissemination and assuring the quality of public Science outputs for Fish Wise’s ~50 corporate partners.

1 Siân K.Morgan

 Representing FishWise at relevant Science and policy venues/events /conferences and building Scientific brand recognition for the organization  Participating in cluster groups for the Conservation Alliance for Seafood Solutions: Data Sharing and Research (emerging issues), Certification, Continuous Improvement,  Producing and supervising assessments of fisheries or aquaculture, based on a variety of criteria (e.g. Monterey Bay Aquarium’s criteria) and assessing equivalency between ecolabels

Contracted Research Scientist 2004-2008

World Wildlife Fund 2008 (British Columbia ENGO Marine Planning Network)  Experimental design, analysis and report writing for a project entitled “Identifying Pacific marine species, responsive to area-based management.”, which stratified BC marine biodiversity by ecosystem function, and then scored 60 species based on 22 response criteria  Coordination and interviews with provincial government and non-government staff in a variety of agencies to obtain system-specific gray literature life history information

Secretariat of CITES 2004 - 2006  Experimental design, statistical analysis and report writing for a project entitled “Measuring for management of the international trade in seahorses, Hippocampus spp.”, commissioned by the Secretariat of CITES, the Council of Agriculture, and the Swiss government.  Responsibilities included: design of outreach workshops with traditional medicine associations (Hong Kong, Taipei, Vancouver, Los Angeles), supervision of research assistants collecting in-country data, database design and management, liaising with aquarium fish traders, government agencies, international ENGOs (TRAFFIC-WWF Hong Kong), and human use protocols.  Production of pragmatic science-based policy recommendations to the CITES secretariat to support the May 2004 listing of seahorses on CITES Appendix II.

Canadian Parks and Wilderness Society, David Suzuki Foundation, 2005-2006 Ecology Action Centre, Living Oceans Society, Sierra Club of Canada  Visioning and launching a national markets campaign for sustainable fisheries products in Canada with a steering committee composed of eight members from five non-governmental organizations  Modeling Canadian seafood consumption and available science by species  Assessing criteria used across conservation organizations, to rank inherent vulnerability and sustainability of fisheries, selecting methodology for use by SeaChoice 2

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 Outreach and relationship-building with relevant stakeholder groups (BC Seafood Alliance, Fisheries and Oceans Canada, restaurants, consumers, retailers)  Creating communications outputs – website (www.seachoice.org), seafood database consumer seafood card, 3 national press conferences, miscellaneous promotional materials (brochures, drop cards)  Hiring and guiding consultant researchers  Grant writing and donor relations with large philanthropic foundations

Syngnathid Biologist and Network Coordinator 2004-2005 Fisheries Centre, UBC  Led Project Seahorse’s work as the IUCN Red Listing Authority for syngnathids, coordinating and writing Red Listings for seahorses and related families  Wrote relevant reports (e.g. IUCN Shattering the Myth campaign) and publications (e.g. Environmental Biology of Fishes – Threatened Fishes of the World series)  Facilitated the exchange of information between international academic researchers and policy-makers, mediation of the Syngnathid Research listserv, public outreach

Education

Ph.D University of British Columbia, Vancouver, B.C. 2003 - 2008 Visiting doctoral student, Fisheries Centre McGill University, Montréal , Québec 1999 - 2008 Department of Biology

University of California, Santa Cruz, CA, USA 2007 Visiting researcher, hosted by Dr. Daniel Doak Zoological Society of London, UK 2003 Visiting researcher, hosted by Dr. Heather Hall Shedd Aquarium, Chicago, IL, USA 2001 Visiting researcher, hosted by Dr. Jeff Boehm University of Oregon, Eugene, Oregon 2000 Graduate Course Exchange, Biology of Fishes

B.Sc. (Hons) University of British Columbia, Vancouver, B.C. 1994 - 1999 Ecology and Environmental Biology University of Queensland, Brisbane, Qld., 1996 - 1997 Exchange Program, Honours Ecology

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Grants

Global Steering Committee Participation in the Resource Legacy Fund 2009, 2010 Aquaculture Dialogues Mobilizing markets to Support Sustainable Packard Foundation, 2006 Fisheries in Canada $100 000 Reproductive correlates in Hippocampus NSERC student research 2004 comes (Co-author) award (Lara Brady) Graduate Training Committee Travel Award McGill University 2004

Alma Mater Student Travel Grant McGill University 2004

Dispersal in seahorse populations of the central People’s Trust for 2003 Endangered Species (Co-author) Sophie Danforth Conservation Biology Fund Roger Williams Park Zoo, 2002 - 2003 Award Rhode Island

Understanding movement in an exploited P.A.D.I. Foundation 2000 seahorse species Dispersal and movement in fragmented NSERC 2000 populations of a coral reef fish (Co-author)

Honours/Awards

J.W. McConnell McGill Majors Scholarship McGill University 2003 - 2004

NSERC PGS B Graduate Scholarship McGill University 2001 - 2003

NSERC PGS A Graduate Scholarship McGill University 1999 - 2001

Alumni Association Scholarship University of Oregon 2000

University Graduate Fellowship University of British Declined Columbia Dean’s List University of British 1997 - 1999 Columbia Hugh M. Brock Overseas Award University of British 1996 - 1997 Columbia Award of Recognition University of Queensland 1996 - 1997

UBC McMillan Entrance Scholarship University of British 1994 - 1995 Columbia

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MSC Client Fisheries

 Mexican Gulf of California Sardines  Mexican Gulf of California Thread Herring (Expedited P1 assessment)  Mexican Sinaloan Thread Herring  Canadian Pacific Halibut  Canadian Atlantic Haddock  US Louisiana Blue Crab  US Pacific Halibut  Mexican Baja Spiny Lobster  US Sablefish  Confidential Preassessments (Nicaragua, Mexico (X4),

Peer-reviewed/Refereed Publications – published/in review

Magera, A. Morgan, S.K. Koldewey, H.J.K. & A.C.J. Vincent. In Review Immediate market impacts of CITES: five key conditions promoting market change in the conservation listing of marine fishes (Hippocampus spp.). Frontiers in Ecology and the Environment.

Morgan, S.K. & A.C.J. Vincent. In Review. Planktonic dispersal of exploited tropical seahorses Hippocampus comes and H. spinosissimus. Journal of Fish Biology

Morgan, S.K. & A.C.J. Vincent. In review. Life history reference points for management of exploited tropical seahorses. Marine and Freshwater Research.

Galitzine, V. Morgan, S.K. & J. Harvey. 2009. U.S. Farmed Shrimp. Monterey Bay Aquarium Report. Pp. 52.

Galitzine, V. Morgan, S.K. 2009. U.S. Freshwater Prawn. Monterey Bay Aquarium Report. Pp. 43.

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Ban, N.C., Caldwell, Ban, N.C., Caldwell, I.R., Green, T.L., Morgan, S.K., Selgrath, J.C. Jan 2009. Diverse Solutions Needed For Diverse Fisheries, Science. (authorship alphabetical). 323(5912):338-339

Ban, N., Blight L.K, Foster S.A ., O’Donnell K., Morgan, S.K..2008. Pragmatism before prescription for managing global fisheries. Frontiers in Ecology and the Environment. 6(10): 521 (authorship alphabetical)

Morgan, S.K. 2008. Identifying Pacific Marine Species Responsive to Area-Based Management. Research Report for the World Wildlife Fund Pacific Region Marine Program. Pp.44

Morgan, S.K. and J. M. R. Curtis. 2008. Axes of excellence: A role for students as community-engaged scholars. Frontiers in Ecology and the Environment. 6(2):105-106

Morgan, S. K. 2008. The Ontogenetic Ecology and Conservation of Exploited Tropical Seahorses. PhD. Thesis. McGill University, pp. 296

Bartnik, S.E.H., S.K. Morgan, J. Pogonoski, D. Pollard, and J. Paxton. Solegnathus lettiensis. In: IUCN 2008. 2008 IUCN Red List of Threatened Species.

Bartnik, S.E.H., S.K. Morgan, J. Pogonoski, D. Pollard, and J. Paxton. Solegnathus robustus. In: IUCN 2008. 2008 IUCN Red List of Threatened Species.

Bartnik, S.E.H., S.K. Morgan, J. Pogonoski, D. Pollard, and J. Paxton. Solegnathus spinosissimus. In: IUCN 2008. 2008 IUCN Red List of Threatened Species.

Bartnik, S.E.H., S.K. Morgan, J. Pogonoski, D. Pollard, and J. Paxton. Syngnathiodes biaculeatus. In: IUCN 2008. 2008 IUCN Red List of Threatened Species.

Morgan, S.K. & A.C.J. Vincent. 2007. The ontogeny of habitat associations in the tropical tiger tail seahorse Hippocampus comes Cantor, 1850. Journal of Fish Biology. 71:701-724

Morgan, S.K. and H. M. Panes 2007. Threatened fishes of the world: Hippocampus spinosissimus Weber, 1913 (Syngnathidae). Environmental Biology of Fishes. 10.1007/s10641-007-9250-5 (published online April 27 07)

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Morgan, S.K. and S.A. Lourie 2006. Threatened fishes of the world: Hippocampus comes Cantor, 1850 (Syngnathidae). Environmental Biology of Fishes. 75:311-313

Kendrick, A.J., S.K. Morgan. Acentronura australe. In: IUCN 2006. 2006 IUCN Red List of Threatened Species

Morgan, S.K. Hippocampus mohnikei. In: IUCN 2006. 2006 IUCN Red List of Threatened Species.

Morgan, S.K., J.J. Pogonoski, J.R. Paxton and D.A. Pollard. Hippocampus breviceps. In: IUCN 2006. 2006 IUCN Red List of Threatened Species.

Morgan, S.K., J.J. Pogonoski, J.R. Paxton, D.A. Pollard. Solegnathus dunckeri. In: IUCN 2006. 2006 IUCN Red List of Threatened Species

Morgan, S.K., J.J. Pogonoski, J.R. Paxton, D.A. Pollard. Solegnathus hardwickii. In: IUCN 2006. 2006 IUCN Red List of Threatened Species

Pogonoski, J.J., J.R. Paxton and D.A. Pollard and S.K. Morgan. Pegasus lancifer. In: IUCN 2006. 2006 IUCN Red List of Threatened Species.

Woods, C.M.C., S.K. Morgan, K. Martin-Smith, J.J. Pogonoski, J.R. Paxton, D.A. Pollard and A. J. Morgan. Hippocampus abdominalis. In: IUCN 2006. 2006 IUCN Red List of Threatened Species.

Peer-reviewed Publications - in preparation

Morgan, S.K. & A.C.J. Vincent. The ontogenetic behaviour of tropical seahorses (Hippocampus comes Cantor, 1850) beginning their pelagic phase.

Morgan, S.K., W. H. Satterthwaite & D. F. Doak. Modeling pragmatic policy options to address overfishing and habitat degradation in an artisanal seahorse fishery.

Morgan, S.K., H. M Panes, B. Giles, D. McCorry & A.C. J. Vincent. Gold rush: the rise and fall of a sea cucumber/ seahorse fishery in the central Philippines.

Publications - Policy

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In Progress: Draft Standards for Responsible Shrimp Aquaculture. Created by the Shrimp Aquaculture Dialogue. 1 March 2010. Version 1.0 for Public Comment

In Progress: Draft Standards for Responsible Freshwater Trout Aquaculture. Created by the Freshwater Trout Aquaculture Dialogue. Version 1.0

Wabnitz, C.C.C. and S.K. Morgan. 2006. Lessons Learned and Best Practices in the Management of Coral Reef Marine Protected Areas in the Wider Caribbean Region. United Nations Environment Programme Caribbean Office (UNEP-CAR/RCU)

Morgan, S.K. and A.C.J. Vincent. 2006. Measuring for management of the international trade in seahorses, Hippocampus spp. A report to the CITES Secretariat, Geneva, Switzerland. Project Seahorse, Vancouver, Canada. pp.82

Morgan, S.K. and A.C.J. Vincent. 2006. Summary version: Measuring for management of the international trade in seahorses, Hippocampus spp. A report to the CITES Secretariat, Geneva, Switzerland. Project Seahorse, Vancouver, Canada. pp.10

Media/Digital/Printed Materials

FishWise Website: www.fishwise.org, re-launched March 2009. Content, navigation.

Morgan, S.K. 2007. Seahorses. New Book of Knowledge Encyclopaedia.

Morgan, S.K. & J. Barnaby. 2007. Students Mobilize Sustainable Seafood at UBC. Grad Gazette: E-news for UBC Alumni.

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Morgan, S.K. & J. Barnaby. 2007. Students Mobilize Sustainable Seafood at UBC. UBC Trek Magazine.

SeaChoice Website: www.seachoice.ca, launched September 27 2006. Content, navigation and database structure.

SeaChoice Materials: Consumer wallet card, Drop card, Promotional Brochure

Conferences Attended

Seafood Summit 2010 Paris, France January 2010 FAO/OECD Roundtable on Ecolabelling Hague, Netherlands May 2009 and Certification in the Fisheries Sector Seafood Summit 2009 San Diego, USA January 2009

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Thinking Big – Daniel Pauly Symposium Vancouver, Canada May 2006 Seafood Summit 2006 Seattle, USA January 2006

Climate and Fisheries 2005 Victoria, Canada October 2005

10th International Coral Reef Symposium Naha, Okinawa, July 2004

4th World Fisheries Congress UBC, Vancouver, Canada May 2004

FAME Student Conference Crescent Beach, Canada April 2004

27th Annual Larval Fish Conference University of California Santa August 2003 Cruz, Santa Cruz, USA 16th Annual Meeting for the Society for University of Kent, UK July 2002 Conservation Biology 9th Biennial Congress of the International Université de Québec à July 2002 Society for Behavioral Ecology Montréal, Montréal, Canada Invited Workshop - Modeling Larval University of California Santa January 2002 Transport Barbara, Santa Barbara, USA 26e Congrès Annuel de la SQEBC Université de Rimouski, December Rimouski, Canada 2001 24e Congrès Annuel de la SQEBC Université de Laval, Québec November (Ville), Canada 1999 International Stickleback Symposium, UBC, Vancouver, Canada July 1999

SSE (Society for the Study of UBC, Vancouver, Canada June 1998 Evolution)/SSB (Society of Systematic Biologists)/ASN (American Society of Naturalists)

Workshops/ Roundtables (Coordinator)

GSC Meeting, Shrimp Aquaculture Dialogue (ShAD) Washington DC, June 2010 (WWF) USA Global Steering Committee Meeting, Freshwater Paris, France June 2010 Trout Aquaculture Dialogue (FTAD) (WWF) MSC Low Trophic Level Fisheries Workshop Seattle, USA March 2010 Full Dialogue Meeting and GSC Meeting, ShAD Jakarta, March 2010 (WWF) Global Steering Committee Meeting, FTAD (WWF) Paris, France January 2010 Global Steering Committee Meeting, ShAD (WWF) Paris, France January 2010 Global Steering Committee Meeting, ShAD (WWF) Bangkok, November 2009 Full Dialogue Meeting, FTAD (WWF) Barcelona, Spain September 2009 Global Steering Committee Meeting, ShAD (WWF) Paris, France September 2009 GAA Standards Oversight Committee Meeting Brussels, Belgium April 2009 European Seafood Exhibition Brussels, Belgium April 2009

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Scientific Methods in the Conservation Alliance for Boston, USA December Seafood Solutions 2009 Asian Regional ShAD (WWF) Bangkok, Thailand November 2008 America’s Regional ShAD (WWF) Guayaquil, Ecuador October 2008 Developing a teaching dossier University of British March 2007 Columbia Managing Your Career in Fisheries University of British March 2005 (Robyn Forrest, Natalie Ban, Sarah Foster) Columbia Facilitative Leadership (Rosamma Varghese) University of British November Columbia 2004

IUCN Initiative on Extinction in the Sea: coral reef 10th International July 2004 species (Kristin Sherwood) Coral Reef Symposium Innovation and Outlook in Fisheries 4th World Fisheries May 2004 (Alida Bundy, Ratana Chuenpagdee) Congress Marine Protected Areas of BC’s West Coast University of British May 2004 (Jude Grass, Jeremy McCall) Columbia Conflict Resolution (Frances Picherack) University of British February Columbia 2004 Science and Application of Conservation Area University of British November Designs in Regional Land Use Planning & Natural Columbia 2003 Resource Management (Kim Wright)

Oral Presentations

Siting and Resource Use Standards Content Shrimp Aquaculture Dialogue, March 2010 of the Shrimp Aquaculture Dialogue Jakarta, Indonesia Introducing FishWise Methodology, to Pleasanton, USA January Safeway Executive 2010 “Using Market Tools to Advance Marine Invited Lecture – Cabrillo April 2010 Conservation.” College, Santa Cruz, USA “The Ontogenetic Ecology and Conservation McGill University, Montreal, April 2008 of Exploited Tropical Seahorse.s” Canada “The demography and conservation of University of California, Santa June 2007 tropical seahorses.” Cruz “Saving Seahorses Saves the Sea.” Invited Speaker – Sea and October Learn Saba, Dutch Antilles. 2007 “Using CITES to Advance the Conservation Invited speaker – Monterey June 2007 of Seahorses” Bay Aquarium “Small and significant: the juvenile ecology McGill University, PhD April 2007 and life history of exploited tropical Seminar seahorses.” “Introducing Sustainable Seafood Canada” Invited Panelist – American 2006 Zoo and Aquarium Association 11

Siân K.Morgan

Conference

“Seahorses and CITES” (public lecture) Ocean Aquatics, Delta, British 2005 Columbia, Canada “Acknowledging the habitat requirements of 10th International Coral Reef 2004 juvenile coral reef fishes: the tiger-tailed Symposium, Okinawa Japan seahorse Hippocampus comes as a case study” “Gold Rush: the rise and fall of a sea 4th World Fisheries 2004 cucumber fishery in the central Philippines” Congress, Vancouver, BC “Gold Rush: the rise and fall of a sea FAME Student Conference, 2004 cucumber fishery in the central Philippines” Vancouver, BC

“Planktonic dispersal in tropical seahorses”. Dirt Lunch Seminar Series, 2004 UBC, Vancouver, BC “Planktonic dispersal of tropical seahorses” 27th Annual Larval Fish 2003 Conference, Santa Cruz, CA Oral Qualifying Exam McGill University, 2001 Montreal, Quebec “In-situ follows of newborn seahorses: results McGill University, 2001 from a pilot study” Montreal, Quebec “Movement and dispersal in exploited McGill University, 2000 Philippines seahorses” Montreal, Quebec “How media composition affects coccolith UBC, Vancouver, BC 1998 production in Emiliania huxleyi (Lohm.)”

Supervision

USA Victoria Galitzine FishWise, Science Analyst 2008+ Canada Mika Ogilvie Project Seahorse volunteer 2005 Cheryn Wong UBC Workstudy student 2004-2005 Natalie Kim Project Seahorse volunteer 2004 Lara Brady Undergraduate summer NSERC student 2004 Lara Brady UBC Workstudy student 2003-2004 Claire Salvador UBC Workstudy student 2003-2004 Lyndsey Zotzman Project Seahorse volunteer 2003-2004 Imran Jibratz McGill Workstudy student 2002 Philippines Hazel Panes Research assistant 2002-2003 Meghan Winters International volunteer (Canada) 2002-2003 Bobet Abapo Seahorse fisher 2003 Cesar Socias Seahorse fisher 2003 Amelito Malaga Boat operator 2003 Alejandra Deiparine Cook 2001-2003 Marjorie Deiparine Cook 2002-2003 Dionisio Deiparine Boat operator/Community advisor 2001-2003 Sybille DeJaegher International volunteer (Belgium) 2002 Jeffrey Malaga Boat operator 2002-2003 12

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Dioli Ann O. Payo Research assistant 2001-2002

Refereeing/Expert Adjudication/Committees

 Marine Stewardship Council, Stakeholder Council, 3 year term Sept 2010-12

 Journal of Fish Biology

 New Zealand Journal of Marine and Freshwater Research

 IUCN Red List Evaluations, as a Syngnathid Listing Authority

Connolly, R. 2006. Phycodurus eques. In: IUCN 2006. 2006 IUCN Red List of Threatened Species.

Connolly, R. 2006. Phyllopteryx taeniolatus In: IUCN 2006. 2006 IUCN Red List of Threatened Species.

Kendrick, A.J., S.K. Morgan, 2006. Acentronura australe. In: IUCN 2006. 2006 IUCN Red List of Threatened Species

Morgan, S.K., J.J. Pogonoski, J.R. Paxton and D.A. Pollard. 2006. Hippocampus breviceps. In: IUCN 2006. 2006 IUCN Red List of Threatened Species.

Morgan, S.K., J.J. Pogonoski, J.R. Paxton and D.A. Pollard. 2006. Hippocampus minotaur. In: IUCN 2006. 2006 IUCN Red List of Threatened Species.

Pogonoski, J.J., J.R. Paxton and D.A. Pollard. 2006. Hippocampus mohnikei. In: IUCN 2006. 2006 IUCN Red List of Threatened Species.

Pogonoski, J.J., J.R. Paxton and D.A. Pollard and S.K. Morgan. 2006. Pegasus lancifer. In: IUCN 2006. 2006 IUCN Red List of Threatened Species.

Woods, C.M.C., S.K. Morgan, K. Martin-Smith, J.J. Pogonoski, J.R. Paxton, D.A. Pollard and A. J. Morgan. 2006. Hippocampus abdominalis. In: IUCN 2006. 2006 IUCN Red List of Threatened Species.

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Skills

Computing  Comfortable in both Mac and PC environments  Processing: MS Word, MS Excel; MS Access; MS PowerPoint; EndNote  Project Management: Basecamp, Gantt Project  Statistics: SPSS, Systat, S-Plus, Oriana (Circular statistics), Primer (Multivariate statistics), Sigmaplot, Mark 4.3 (mark-recapture)  Programming: Basic familiarity with Matlab and R  Imaging: Adobe Photoshop; Adobe Acrobat; JASC PaintShop Pro, Image J  GIS: Basic use of ArcGIS 9.0.x  Communications: Comfortable and regular user of various instant messenging/video/webinar systems

Languages/Culture  French (Canadian French Immersion = 50% French schooling from age 6-18)  Rudimentary knowledge of Cebuano  Latin (3 years)

Scientific  Fish marking and tagging methods  Mark-recapture analysis  WHMIS lab safety and hazardous waste disposal protocols  Extensive microscope (dissection, compound) and dissection skills  Experience with basic molecular biology procedures (DNA extraction, PCR, RAPDs)

Other  PADI SCUBA certifications: ~400 dives, Divemaster, Rescue, Advanced, OW  Occupational First Aid Level I (CPR), Spinal Immobilization  Travel: Anguilla, Australia, Austria, Belgium, Cambodia, , Croatia, Dutch Antilles, Ecuador, Fiji, France, Honduras, Iceland, Indonesia, Italy, Japan, Germany, Greece, Guatemala, Hong Kong SAR, Kyrgyzstan, Luxembourg, , Mexico, Nepal, Netherlands, New Zealand, Denmark, Philippines, Russia, Saba, Scotland, Slovenia, Spain, St. Lucia, Switzerland, Tajikistan, Taiwan, Thailand, United Kingdom, United States, Uzbekistan  Sport: triathlon, running, ocean swimming, backcountry hiking

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CARLOS MIGUEL ALVAREZ FLORES Fisheries and wildlife consultant

CURRICULUM VITAE

GENERAL INFORMATION

CITIZENSHIP: Mexican

PRESENT ADDRESS: Playa Alta 158, Fracc. Pedregal Playitas. Ensenda B. C. Mexico. C. P. 22860.

TELEPHONE: +52(646) 175 2609

EMAIL: [email protected] [email protected]

ACADEMIC BACKGROUND

UNDERGRADUATE: School of Science, National Autonomous University of Mexico. Mexico City. (1980-1984)

GRADUATE: MASTER: School of Science, National Autonomous University of Mexico. Mexico City. (1988-1990).

DOCTORAL (PhD): School of Fisheries, University of Washington. Seattle, WA, USA. (1995 - 2002).

POSDOCTORAL: Alaska Fisheries Science Center. NOAA Fisheries. Seattle, WA, USA. (2003-2005).

DEGREES: Biologist. March 1987. Master of Science. January 1995. Doctor of Philosophy. August 2002.

RESEARCH INTERESTS

My research interests are focused on the management and conservation of wildlife and fisheries. They include abundance estimation; assessment of population status; estimation of population parameters; the effect of human intervention; direct harvest; bycatch and associated environmental effects; projections based on biological potential; population viability; risk assessment; design of alternative management strategies. My background comes from work dealing with large, pelagic, data rich fisheries, but my current assignments are related to small scale, coastal, data poor fisheries. Therefore, my present challenge is to combine ideas, techniques, knowledge and experience to improve the performance of these extensive problematic activities in developing countries.

Most of my experience has been centered in practical investigations applied to population assessment and management as a consultant for governments, NGOs and the private sector of different countries. Presently, I am President of the Okeanos- Oceanides Consortium, an organization interested in the conservation of fisheries, wildlife and sea life in general. Although the main interests of the Consortium are focused on marine life, we are interested as well in the sustainable development of human societies, therefore we seek to find sound strategies to use animal resources that satisfy both objectives of human development and biological conservation.

PUBLISHED PAPERS

-Alvarez, F.C., A. Aguayo L. and L. Johnson M. 1988. Observaciones Sobre el Manatí, Trichechus manatus, en la Región Media del Usumacinta, Tabasco. Pp. 617-624. In: Ecología y Conservación del Delta de los Ríos Usumacinta y Grijalva. INIREB-Tabasco y Gobierno del Estado. 720 pp. Villahermosa , Tab., Méx.

-Alvarez, F.C., A. Aguayo L., R. Rueda M. and J. Urbán R. 1990. A Note on the Stock Size of Humpback Whales Along the Pacific Coast of Mexico. Pp. 191-193. In: P.S. Hammond, S.A. Mizroch and G.P. Donovan. Individual Recognition of Cetaceans: Use of Photo-Identification and Other Techniques to Estimate Population Parameters. Rep. Int. Whal. Commn. Special Issue 12. Cambridge, England.

-Urban, J. R., C. Alvarez F., M. Salinas Z., J. Jacobsen, K. C. Balcomb III, A. Jaramillo L., P. Ladron de Guevara P., and A. Aguayo L. 1999. Population size of humpback whale, Megaptera novaeangliae, in waters off the Pacific coast of Mexico. Fishery Bulletin. 97:1017-1024.

-Urban, J. R., A. Jaramillo L., A. Aguayo L., P. Ladron de Guevara P., M. Salinas Z., C. Alvarez F., L. Medrano G., J. K. Jacobsen, K. C. Balcomb, D. E. Claridge, J. Calambokidis, G. H. Steiger, J. M. Straley, O. von Ziegesar, J. M. Waite, S, Mizroch, M. E. Dahlheim, J. D. Darling and C. S. Baker. 2000. Migratory destinations of humpback whales wintering in the Mexican Pacific. Journal of Cetacean Research and Management. 2(2):101-110. -Alvarez-Flores, C. and M. P. Heide-Jorgensen. 2004. A risk assessment on the sustainability of the harvest of beluga, Delphinapterus leucas (Pallas 1776), in west Greenland. ICES Journal of Marine Science 61(2):274-286.

DOCTORAL DISSERTATION

Uncertainty in the management of activities affecting marine mammal populations. The tuna-dolphin conflict. A case study.

Relevant Chapters:

- Model Performance In The Stock Assesment Of The North Eastern Stock Of Spotted Dolphins (Stenella Attenuata) Affected By The Tuna Fishery In The Eastern Tropical Pacific. - Population Dynamics Of The North Eastern Stock Of Spotted Dolphins (Stenella Attenuata) And The Adverse Effect Of The Tuna Fishery In The Eastern Tropical Pacific. - Risk Assessment For The Bycatch Of Spotted Dolphins In The Tuna Fishery Of The Eastern Tropical Pacific And Concluding Remarks About Acknowledging Uncertainty For The Management Of The Fishery.

POSITIONS HELD AND ASSIGNMENTS

- Director. Research Project for the Conservation of the Manatee in Tabasco. Dirección de Fomento Pesquero, Government of the state of Tabasco, Mexico. March 1984 - December 1986.

- Advisor. Development of a National Marine Mammal Research Program. National Fisheries Institute. Department of Fisheries. Government of Mexico. February - October 1990.

- Consultant. Appointment by Convimar, S.A. de C.V. to evaluate the feasibility of live captures of Bottlenose dolphins, Tursiops truncatus, in the Mecoacan Lagoon, Tabasco, Mex. February - May 1991.

- Consultant. Appointment by Greenpeace International to develop a diagnosis and an alternative proposal for the management of the Mexican tuna fishery. January - June 1992.

- Chair. Tuna-Dolphin Commission. Mexican Society of Marine Mammalogy. April 1992 - May 1994.

- Consultant. Appointment by Convimar, S.A. de C.V. to evaluate the feasibility of live capture of Bottlenose dolphins, Tursiops truncatus, in the waters around Holbox Island, Quintana Roo, Mex. May - July 1993.

- Consultant. Appointment by Convimar, S.A. de C.V. to determine the use of the area, stock identity and size of the Bottlenose dolphin, Tursiops truncatus, population in the waters around Holbox Island, Mex. With an assessment of an annual catch quota. August 1993 - August 1995.

- Coordinator. Quantitative Seminar. School of Fisheries, University of Washington. 1997.

- Research Assistant. Project: Estimation of Indirect Effects of Chase and Encirclement by the Tuna Fishery on the Dynamics of Depleted Populations of Dolphins in the Eastern Pacific Ocean. Coordinated Program between the School of Fisheries, University of Washington and the U.S. National Marine Fisheries Service. September 1998 - June 2000.

- Consultant. Appointment by the Natural Resource Research Institute of Greenland to conduct an assessment on the catch of the beluga whale along the West coast of Greenland and to develop new alternatives of catch limit policies. February 2000 to June 2000.

- Consultant. Appointment by the North Atlantic Marine Mammal Commission to modify the West Greenland beluga population model to include the effect of ice entrapments. January - May 2001.

- Research Assistant. Project: Evaluation of factors influencing the population dynamics of the southern resident population of killer whales (Orcinus orca [L.]). Cooperative agreement between the School of Aquatic and Fishery Science and Orca Relief (Non-Profit Organization). January - June 2001.

- Associate Researcher. Postdoctoral research to develop an individually based model to investigate the foraging behavior of the threatened Steller sea lion, Eumetopias jubatus, in Alaska. Joint Institute for the Study of the Atmosphere and Ocean, University of Washington/ Resource Assessment and Conservation Engineering, Alaska Fisheries Science Center, NOAA Fisheries. August 2002 - August 2005.

- Consultant. Appointment by the North Atlantic Marine Mammal Commission to compute new catch limits of narwhals, Monodon monoceros, along the West coast of Greenland. December 2003 - February 2004.

- Consultant. Appointment by the Arctic Research Division, Fisheries and Oceans Canada to conduct a risk analysis of the hunt of the beluga, Delphinapterus leucas, in Cumberland Sound, Canadá. 2004 - 2005. - Consultant. Appointment by the Arctic Research Division, Fisheries and Oceans Canada to update the risk analysis of the hunt of the beluga, Delphinapterus leucas, in Cumberland Sound, Canadá. 2006.

- Consultant. Appointment by the Arctic Research Division, Fisheries and Oceans Canada to conduct a viability analysis of bowhead whales, Balaena mysticetus, in Northeastern Canada. 2006.

- Consultant. Appointment by the Arctic Research Division, Fisheries and Oceans Canada to review the viability analysis of bowhead whales, Balaena mysticetus, in Northeastern Canada with further evaluations about the effects of process error on forecasting the species recovery. 2006.

- Chair. Scientific Committee, Mexican Society of Marine Mammalogy. Current appointment.

- President and General Manager. Okeanos-Oceanides Consortium for Conservation and Marine Development. Registration in RENIECYT/CONACYT Mexico numbers 2007/4365 and 2007/4341. December 2006 to the present.

- Consultant. Appointment by the Inter-American Tropical Tuna Commission to develop a model for the assessment and analysis of the impact of fisheries on protected species in the Pacific Ocean. February 2007 to the present.

- Consultant. Appointment by three lobster fishing unions (cooperativas) from southern Quintana Roo, Mexico and the Mexican National Commission for Protected Areas to develop a management plan for the lobster fishery in the Biosphere Reserve of Banco Chinchorro towards certification by the Marine Stewardship Council (MSC). November 2008 – July 2009.

- Consultant. Appointment by the Mexican National Commission for Protected Areas to assist in the development of management plans for three fisheries in the Biosphere Reserve of San Pedro Martir in the Gulf of California. November 2008 – July 2009.

- Consultant. Appointment by Comunidad y Biodiversidad AC. (COBI) to conduct an assessment of the status and potential of the green crab fishery in the coast of Sonora (Gulf of California) Mexico towards certification by the Marine Stewardship Council (MSC). March 2010 – December 2011.

- Consultant. Appointment by three lobster fishing unions (cooperativas) from southern Quintana Roo, Mexico and the Mexican National Commission for Protected Areas to conduct an assessment of the status and potential of the lobster fishery in the Biosphere Reserve of Banco Chinchorro towards certification by the Marine Stewardship Council (MSC). November 2010 – March 2012.

- Consultant. Appointment by SCS Global to evaluate the thread herring fishery in the Gulf of California (Principle 1, Stock Assessment) towards MSC certification. January 2012 to the present.

- Consultant. Appointment by SCS Global to conduct a pre-assessment of a major industrial Mexican fishery (Identity still confidential; Principle 1, Stock Assessment) towards MSC certification. June 2013 to February 2014.

- Consultant. Base evaluator and auditor with SCS to evaluate and audit Latin- American fisheries in the context of MSC certification. February 2014 to the present.

- Consultant. Appointment by Pronatura Noroeste A.C. to conduct stock assessments of small scale coastal fisheries in northwest Mexico; to develop a general assessment and management strategy of data poor fisheries and to provide general advice on the development of management plans, strategies and institutional development. August 2012 to the present.

TEACHING EXPERIENCE

- Teaching Assistant. Course "Biology Seminar (Marine Mammalogy)". School of Science, National Autonomous University of Mexico, UNAM. November 1987 - April 1991.

- Instructor. Course "Field Biology (Photo-identification of Cetaceans in Bahia de Banderas, México)". School of Science, National Autonomous University of Mexico, UNAM. May 1988 - May 1990.

- Instructor. Course: Sea Lion Ecology. The School for Field Studies. Summer 1992.

- Instructor. Course: Marine Mammal Biology. The School for Field Studies. August 1993 - May 1994.

- Teaching Assistant. Introduction to Fisheries Science. University of Washington. Summer 1996.

- Teaching Assistant. Course: “Marine Mammalogy”. University of Washington. Spring 1997.

- Teaching Assistant. Course: “Marine Mammalogy”. University of Washington. Spring 2000.

- Instructor. Course: Introduction to Population Dynamics and Methods for Stock Assessment. Mexican Society of Marine Mammalogy. Autonomous University of Baja California Sur, School of Marine Sciences. May 2000.

- Instructor and Coordinator. Course: Population Assessment Methods and their Application to the Conservation and Management of Marine Mammals. Mexican Society of Marine Mammalogy and the Latin-American Society of Specialists on Aquatic Mammals. Autonomous University of Yucatan. School of Veterinary Medicine. November 2006.

- Instructor. Course: Population Assessment Methods. El Colegio de la Frontera Sur (ECOSUR). Chetumal, Quintana Roo, Mexico. October 2008.

- Instructor. Course: Simulation methods and statistical parameter estimation in the assessment of animal populations. El Colegio de la Frontera Sur (ECOSUR). Chetumal, Quintana Roo, Mexico. October 2009.

- Instructor. Course: Stock assessment methods applied to the conservation and management of wildlife and fisheries. The Mexican Society for Marine Mammalogy. University of Guadalajara, campus Melaque. May 2012.

- Instructor. Course: Stock assessment methods applied to the conservation and management of wildlife and fisheries. Centro de Investigación Científica y Educación Superior de Ensenada (CICESE). Ensenada, Baja California, Mexico. Winter quarter 2013.

- Instructor. Course: Stock assessment methods applied to the conservation and management of wildlife and fisheries. University of Sinaloa, Mazatlan. September 2014.

SCHOLARSHIPS

- National Council for Science and Technology (CONACyT) scholarship to obtain the Bachelors Degree on Biology. School of Science, National Autonomous University of Mexico, UNAM. 1987.

- National Council for Science and Technology (CONACyT) scholarship to conduct Master of Science studies. School of Science, National Autonomous University of Mexico, UNAM. 1988 and 1989.

- Fulbrigth-García Robles scholarship conduct doctoral studies at the University of Washington. Seattle Washington, USA. 1995-1999.

- Graduate RA-ship. School of Fisheries, University of Washington. Fall 2000.

- Graduate RA-ship. School of Fisheries, University of Washington. Fall 2001.

LANGUAGES

Spanish: Native English: Read, speak and write.

AWARDS

Faculty Merit Award. School of Aquatic and Fishery Sciences. 2002. University of Washington. June 2002.

Cooperators Award. Washington Cooperative Fish and Wildlife Research Unit. University of Washington. 2002.

REFERENCES

Dr. Ana Parma. Senior Scientist. Centro Nacional Patagonico. Puerto Madryn. Argentina. Email: [email protected]

Dr. Mark Maunder. Senior Scientist. Inter-American Tropical Tuna Commission. San Diego CA. USA. Email: [email protected]

Dr. Douglas DeMaster. Science and Research Director. Alaska Fisheries Science Center. National Marine Fisheries Service. National Oceanic and Atmospheric Administration. Seattle WA. USA. Email: [email protected]

Dr. Luís Bourillón Moreno. Director del Programa Arrecife Mesoamericano. COBI (Comunidad y Biodiversidad, A.C.). Cancún Q.R. México. Correo electrónico: [email protected]

Dr. Lorenzo Rojas Bracho. Coordinador de Investigación y Conservación de Mamíferos Marinos. Instituto Nacional de Ecología (INE). Ensenada B.C. México. Correo electrónico: [email protected]

Dr. Jorge Urbán Ramírez. Jefe del Programa de Investigación en Mamíferos Marinos de la Universidad Autónoma de Baja California Sur. La Paz B.C.S. México. Correo electrónico: [email protected]

Ensenada, B. C. Mexico. October 2014. Oscar Sosa-Nishizaki Centro de Investigación Científica y de Educación Superior de Ensenada Biological Oceanography Department +52(646) 1750500; email: [email protected] Current Position: Full Researcher Level C Education: Ph.D. – Dr. of Agriculture-Fisheries September 1990 The University of Tokyo Tokyo, Japan

M.S. – Fisheries March 1987 The University of Tokyo Tokyo, Japan

B.A. – Biology July 1982 Universidad Autónoma de México (UNAM) Mexico City

Job Experience Management and Assessment Department, Fisheries Secretary, 1982-1982 Mexico Federal Government

Centro de Investigación Científica y de Educación Superior de Ensenada 1990-today

Teaching Experience Fisheries Ecology Course, Marine Ecology Graduate Program (CICESE) 1995-2008

Fish Populations Dynamics, Marine Ecology Graduate Program (CICESE) 1992-2008

Consulting Experience Mexico Baja California red rock lobster MSC certification assessment report reviewer 2003 Member of the Technical Group for the drafting of the Mexican Management Standards for the Sharks and Ray Fisheries in Mexican waters: NORM-029-SAGARPA-2006 2004-2006 Gulf of California, Mexico-sardine MSC certification assessment team member 2007-today Selected Publications

1. Sosa-Nishizaki, O., and M. Shimizu. 1991. Spatial and temporal CPUE trends and stock unit inferred from them for the Pacific swordfish caught by the Japanese tuna longline fishery. Bull. Nat. Res. Inst. Far Seas Fish. (Japan.) 28: 75-90. [PA: CEECA9108] 2. Sosa-Nishizaki, O. 1993. Unilateral billfish management: the Mexican case. Jour. Nat. Res. Model. and Manag. 1:131-139. [PA: CEECA9311] 3. Hammann, H. G., J. S. Palleiro-Nayar, and O. Sosa-Nishizaki. 1995. The effects of the 1992 El Niño on the Fisheries of Baja California, Mexico. CALCOFI Rep.36: 127-133. [PA:CEECA9509] 4. Sosa-Nishizaki, O. 1998. Historical review of the billfish management in the Mexican Pacific. Ciencias Marinas 24(1):95-111.[PA: CPECA9802-98] 5. Holts, D. B., A. Julian, O. Sosa-Nishizaki, N. Bartoo. 1998. Pelagic shark fisheries along the west coast of the United States and Baja California, Mexico. Fish. Res. 39:115-125. [PA: CPECA9722-98] 6. Holts, D. and O. Sosa-Nishizaki. (1998). Swordfish fishery of the eastern north Pacific. In: Barrett, I., O. Sosa-Nishizaki and N. Bartoo (eds.). 1998. Papers from of the International Symposium on Pacific Swordfish. Ensenada, B. C., Mexico. December 11-14, 1994. NOAA Tech. Rep. 142. 65-76. 7. González-Armas, R., O. Sosa-Nishizaki, R. Funes-Rodríguez, and V.A. Levy-Pérez. 1999. Spawning area of the striped marlin, Tetrapturus audax, in the so called core area of the eastern tropical Pacific off Mexico. Fish. Ocean. 8:238-242. [PA: CEECA9909] 8. Sosa-Nishizaki, O. 2000.The fisheries for Pacific swordfish. In Hinman, K (ed) Getting ahead of the curve, conserving the Pacific Ocean’s tunas, swordfish, billfishes and sharks. National Coalition for Marine Conservation. Leesburg, Virginia. 54-61. (Capítulo de Libro) [PA: 21660] 9. Ulloa Ramírez, P., O. Sosa Nishizaki, y L.V. González Ania. 2000. Pez espada en el Océano Pacífico. En: SEMARNAP “Sustentabilidad y Pesca Responsable en México: Evaluación y Manejo 1999-2000”. INP, SEMARNAP, México. pág. 411-434. (Capítulo de Libro). [PA: CPECH20002- 2000] 10. Pérez-Jiménez, JC, O. Sosa-Nishizaki, E. Furlong-Estrada, D. Corro-Espinosa, A. Venegas-Herrera, and O.V. Barragán-Cuencas. 2005. Artisanal shark fishery at “Tres Marias” Islands and Isabel Island in the Central Mexican Pacific. J. Northw. Atl. Fish. Sci. 35: 333-343. [PA: 36799] 11. Pérez-Jiménez, JC, O. Sosa-Nishizaki, and J.L. Castillo-Geniz. 2005. A new eastern north Pacific smoothhound shark ( Mustelus, Family Triakidae) from the Gulf of California. Copeia 2005(4): 833-844. [PA: 36800] 12. Hamilton, S.L., J.E. Casselle, J.D. Standish, D.M. Schroeder, M.S. Love, J.A. Rosales-Casian, and O. Sosa-Nishizaki. 2007. Size-selective harvesting alters life histories of a temperate sex-changing fish. Ecological Applications. 17(8): 2268-2280. [PA: 70763] 13. Rojo-Vázquez, J., C. Quiñonez-Velázquez, H.A. Echavarria-Heras, G. Lucano-Ramírez, E. Godínez- Domínguez, S. Ruíz-Ramírez, V.H. Galván-Piña, and O. Sosa-Nishizaki. 2008. The fish species composition and variation of catch from small-scale gillnet fishery before, during and after the 1997- 1998 ENSO event, central Mexican Pacific. Revista Biología Tropical 56(1): 133-152. [PA: 73763] 14. Sosa-Nishizaki, O. Márquez-Farias, J. F., and Villavicencio-Garayzar, C. J. 2008. Pelagic shark fisheries along the west coast of Mexico. In: Merry D. Camhi, Ellen K. Pikitch and Elizabeth A. Babcock (eds.). Sharks of the open oceans. Blackwell Publishing Ltd., Oxford. 275-282 pp. (Capítulo de Libro). [PA: 73426] 15. Pérez-Jiménez, JC, and O. Sosa-Nishizaki. 2008. Reproductive biology of the brown smoothhound shark, Mustelus henlei, in the northern Gulf of California, Mexico. J. Fish. Biol. 73:782-792