1. The importance of regional Red Lists

2. From Global to Sub-global
Importance of Regional Red Lists
From Global to Sub-global
Continents
Countries
States
Provinces
Biogeographical or ecological areas
Africa
THAILAND
VIET NAM
CAMBODIA
LAO PDR
Lower Mekong River basin area
East African countries
Afghanistan provinces
Regional and national red lists have become highly important conservation tools. By a “regional” red list, we are referring to any geographic scale below the global level. Using the IUCN methodology, a regional red list could be developed for a continent (as IUCN’s Freshwater Biodiversity Unit has done for Africa), a group of countries (such as the European Red List coordinated by the IUCN Red List Unit and the IUCN Regional Office for Europe), one country, state, province, or even a biogeographical or ecological area.
USA states

3. Regional & National Uses
Monitor status of biodiversity in the region
Identify priority species & habitats
Identify knowledge gaps
Assist in site-based conservation planning
Communication & awareness raising
Provide species inputs for environmental impact assessment
Help guide allocation of resources for biodiversity conservation
Support policy development
Over the past several decades, the number of national and regional red lists has grown exponentially. These lists have multiple conservation applications, and can and are used in countries all around the world to:
Assess and monitor the status of biodiversity in the region
Help identify species and habitats that are priorities for conservation action
Identify knowledge gaps and areas where further study is required
Assist in site-based conservation planning (e.g. national parks, KBAs, etc.)
Help communicate the conservation message to governments, businesses and the general public, and raise awareness of the need to protect the environment
Provide information that businesses and governments can use when conducting environmental impact assessments, to minimize the environmental harm caused by development projects
Help to guide allocation of resources for biodiversity conservation, by identifying the species and areas that require urgent action
Support development of policies and legislation designed to protect the environment and improve the status of threatened species
Regional red lists can clearly have a major impact informing and influencing conservation policies, actions and decision-making at the regional and national levels. We can expect these tools to become ever more important as the biodiversity crisis intensifies and the need for the information on regional and national red lists grows.

4. International Commitments
Most countries around the world have agreed to international commitments to conserve and protect biodiversity
In addition to applications of national/regional red list information within the country or region itself, most countries around the world have agreed to international commitments to conserve and protect biodiversity. Information from national/regional red lists can be used to inform most of these agreements. The logos presented here represent just a few of the international environmental agreements that many countries have signed up to.
Note to Trainers – some info on these international agreements:
CBD – stemmed from the 1992 Earth Summit in Rio de Janeiro. Most of the world’s governments committed to the three aims of the CBD: 1) the conservation of biological diversity; 2) the sustainable use of its components, and 3) the fair and equitable sharing of the benefits from the use of genetic resources.
Ramsar Convention – The Convention on Wetlands of International Importance. Stemmed from international meeting in Ramsar, Iran in Now nearly 2,000 Ramsar sites identified. Parties committed to maintain the ecological character of their Wetlands of International Importance.
Bern Convention – The Convention on the Conservation of European Wildlife. Signed in Bern, Switzerland in 1979 and in force since Parties have committed to 1) promote national policies for the conservation of wild flora and fauna, and their natural habitats; 2) have regard to the conservation of wild flora and fauna in their planning and development policies, and in their measures against pollution;
3) promote education and disseminate general information on the need to conserve species of wild flora and fauna and their habitats; 4) encourage and co-ordinate research related to the purposes of this Convention; 5) co-ordinate efforts to protect migratory species; and 6) exchange information and the share experience and expertise.
Habitats Directive – Council Directive 92/43/EEC on the Conservation of natural habitats and of wild fauna and flora. EU directive adopted in 1992 in response to the Bern Convention. Aims to protect over 200 habitats and around 1,000 species listed in the directive's Annexes. The directive requires EU Member States to report on the state of their protected areas every six years.
CMS (Bonn Convention) - Convention on the Conservation of Migratory Species of Wild Animals. Aims to conserve terrestrial, marine and avian migratory species throughout their range. Parties committed to conserving migratory species and their habitats by providing strict protection for the most endangered species, by concluding regional multilateral agreements for the conservation and management of specific species or categories of species, and by undertaking co-operative research and conservation activities.
CITES - Convention on International Trade in Endangered Species of Wild Fauna and Flora. Aims to ensure that international trade in specimens of wild animals and plants does not threaten their survival. Accords protection to more than 30,000 plant and animal species.
International Treaty on Plant Genetic Resources for Food and Agriculture - Conservation and sustainable use of plant genetic resources for food and agriculture and the fair and equitable sharing of the benefits arising out of their use, in harmony with CBD, for sustainable agriculture and food security. Covers all plant genetic resources for food and agriculture.

5. International Commitments
CBD Strategic Plan : The Red List is a very important tool for measuring progress in at least 13 of the 20 Targets
Target 12: By 2020 the extinction of known threatened species has been prevented and their conservation status, particularly of those most in decline, has been improved and sustained
The most influential of these international conventions is arguably the Convention on Biological Diversity (CBD). Information from red lists can be used to measure progress in at least 13 of the 20 targets, especially Target 12. National red lists can help countries measure their progress toward the CBD Targets, and can inform National Biodiversity Strategies and Action Plans.

6. International Commitments IUCN Red List Index (RLI)
Measures trends in extinction risk over time
Used as an indicator to measure progress toward many targets
Guidance for national and regional use available
IUCN has developed tools to use Red List data to measure changes in the state of biodiversity. The IUCN Red List Index measures trends in extinction risk over time, and can be used as an indicator to inform progress toward many of the targets outlined in these environmental agreements. Guidance for national and regional use of the RLI is available.
National and regional red lists are clearly important conservation tools, and contribute immensely to national and international conservation decision-making. So how do we produce a regional Red List using the IUCN methodology?

7. Using the IUCN Red List Criteria at Regional Levels

8. IUCN RED LIST CATEGORIES AND CRITERIA
IUCN Red List Categories and Criteria were developed for use at the global level.
Can be used at regional and national levels, with the Guidelines for Application of IUCN Red List Criteria at Regional Levels.
Free download from the IUCN Red List website (
The Red List Categories and Criteria were originally developed for use at the global level, but they can give incorrect assessments of extinction risk when used by themselves for regional assessments. Given the growing interest in using the IUCN system for national and regional red lists, IUCN developed the Guidelines for Application of IUCN Red List Criteria at Regional Levels, which adapt the Red List methodology for regional use (free to download from the Red List website).

9. Regionally Extinct taxa?
Regional population may range across political borders
Region may hold a very small proportion of the global population
Taxon may be highly mobile & individuals may move between populations within & outside the region
Survival of regional population may depend on immigration from outside the region (i.e. regional population is a sink)
Taxon may be a non-breeding seasonal visitor
summer
winter
Introduced taxa?
Regionally Extinct taxa?
There are several issues that complicate regional assessments compared to global assessments. When assessing a taxon globally, every individual across the entire global range is included in the assessment, regardless of political boundaries. However, when doing a regional assessment we artificially subdivide a global population based on political borders (which are entirely irrelevant to most species!). Whereas the species may freely cross those borders as part of its greater population dynamics, we are assessing the extinction risk of only a subsection of the total population. For example:
[Click] The regional population may cross political borders. We may be assessing just the population in the ‘yellow’ country, but this is actually part of a much larger population, and the extinction risk of the part of the population within the borders of the ‘yellow’ country depends on the status of the larger population.
[Click] The taxon may be highly mobile, with individuals moving between populations both within and outside the region. Again, the part of the population within the ‘yellow’ country is not isolated, and its extinction risk will depend on dynamics between that subpopulation and the subpopulations outside the country.
[Click] The taxon may be a non-breeding seasonal visitor that only winters in our region. The extinction risk for this taxon will be heavily dependent on conditions in the breeding grounds, so we can’t realistically assess the wintering population without taking this information into consideration.
[Click] Our region may hold a very small proportion of the global population. Although the tiny population size in our region may lead us to conclude the taxon has a high extinction risk, if the global population is stable the extinction risk may actually be relatively low.
[Click] On the other hand, the survival of our regional population may depend entirely on immigration from outside the region (that is, our regional population may be a sink), so the extinction risk of the population within the region being assessed may depend heavily on the status outside the region.
[Click] We haven’t even started discussing how to deal with introduced taxa or those that are extinct in the region we are assessing but extant elsewhere.
This is why you cannot assess the extinction risk of the part of the population within those borders without considering the influence of populations outside those borders.

10. Regional versus global Red Lists
Given these various issues, it’s not unusual for a regional assessment to differ from a global assessment:
[Click] For example, a taxon may be globally LC, but threatened within the region because the global population is large, wide-spread and stable, but within the region the population is small and declining.
[Click] A taxon may be globally threatened (typically under criterion A or C) but LC within the region because the population in the region is large and is not declining at the same rate as elsewhere.
Global = LC
Regional = threatened
Global = threatened
Regional = LC

11. Regional versus global Red Lists
Photo: Julien Willem
Dugong Dugong dugon
Declining or EX in at least 1/3 of global range, but stable throughout much of Australian range
Global = VU A2bcd
Australia = Not threatened
Broad global distribution, large population, no significant threats across global range
Venezuela: many localized threats (fires, ag., cattle ranching) within very small distribution
Global = LC
Venezuela = VU B1ab(i,iii)
Silky Shrew Opossum Caenolestes fuliginosus
Image: Víctor Pérez
(Note to assessors: this slide is optional, if you’d like to give specific examples of species for which the category differs at the regional and global levels. These examples are current as of November 2011, but may change in future.).
The Dugong is an example of a species that is threatened at the global level, but not threatened regionally. The Dugong is declining or even Extinct across at least 1/3 of its global range, but is believed to be stable throughout much of its Australian range, mainly in the remote coasts of the Northern Territory and Western Australia. It is listed as VU on the IUCN Red List, but is not considered threatened in Australia.
The Silky Shrew Opossum, on the other hand, is LC globally as it has a broad distribution across Ecuador, Colombia and Venezuela, has a large global population and there are no significant threats across its global range. In Venezuela, however, the species is considered Vulnerable as it is found in only a very small area in one of the most threatened regions in the country, with much habitat loss due to forest fires, cultivation, cattle ranching, and threats associated with guerrilla presence in the area.

12. Categories at regional level
There are two additional categories used for regional assessments, that do not exist at the global level:
[Click] Not Applicable: Taxa that have not been assessed because they are unsuitable for inclusion in the regional Red List.
[Click] Regionally Extinct: Taxa that are considered extinct within the region but populations still exist elsewhere in the world.

13. Regional assessment a three-step process:
1. Identify NA taxa
Decide which taxa are Not Applicable (NA) for the regional Red List
2. Preliminary assessment
Apply Red List criteria to the population occurring within the region only (exclude populations outside the region)
3. Final regional assessment
Evaluate potential rescue effects from populations outside the region and consider up- or down-listing accordingly.
The regional assessment process is made up of three steps:
First you must decide which taxa are Not Applicable for the regional Red List, and which taxa you will assess.
Next the regional population for each taxon is evaluated according to the IUCN Categories and Criteria, by applying the Categories and Criteria to the population within the region as if it were the only population in existence, ignoring all information from populations outside the region. A preliminary category is assigned.
Finally the effect of populations of the same taxon in neighbouring regions on the regional population is considered, and the preliminary category is up- or downlisted if appropriate.
Note that establishing conservation priorities is a completely separate process to producing a Red List, and should take other factors into consideration in addition to extinction risk (e.g. financial factors, cultural and social values, importance of the regional population, logistics, etc.). The regional Red List can feed into the conservation priority setting process, but species should never be added to or excluded from a regional Red List simply because they have some political, economic or cultural value; when conducted following the IUCN methodology, the regional Red List should be an objective evaluation of extinction risk.
conservation priority setting (includes other factors)

14. Taxa not eligible for regional assessments (NA)
STEP ONE – IDENTIFY NA TAXA
Taxa not eligible for regional assessments (NA)
Introduced taxa (not indigenous to the region and introduced for reasons other than conservation)
Let’s go through the three steps in a bit more detail. In step one, we decide which taxa are Not Applicable. That is, which species are not eligible for regional assessment?
Introduced taxa – those taxa that are not native to the region and are introduced for reasons other than conservation – are not eligible for assessment. The only introduced taxa that can be assessed are those populations resulting from a benign introduction (= populations of a species not naturally found in the region that have been established in the region for conservation purposes); if the benign population is self-sustaining, it could be assessed for the regional Red List.
Vagrant taxa – those that are not native to the region but do show up in the region occasionally and irregularly – are also excluded from a regional Red List.
Vagrant taxa (not indigenous to the region but occurs occasionally and irregularly)

15. STEP ONE – IDENTIFY NA TAXA Taxa eligible for regional assessments
Assess taxa that are native to the region
Indigenous taxa breeding within the region.
Naturally re-colonizing taxa (formerly Regionally Extinct).
Reintroduced taxa (formerly Regionally Extinct).
Marginal taxa (small proportion of global range/population within the region).
Visiting non-breeding taxa (not breeding there, but using essential resources)
See the ‘Flowchart to determine which taxa to include in a regional Red List’ in the Regional Guidelines
The following taxa are eligible for assessment on the regional Red List. Essentially, we assess all taxa that are native to the region. This includes:
Indigenous taxa breeding within the region.
Taxa that were formerly Regionally Extinct, but have naturally re-colonized the region. These taxa may be assessed after the first year of reproduction in the region.
Reintroduced taxa may be assessed as soon as at least part of the population successfully reproduces without direct support from humans (i.e., once the offspring are shown to be viable).
Taxa that occur only marginally within the region – that is, those taxa for which only a small proportion of global range or population is found within the region (e.g. the region is at the very edge of their global range) – and visiting non-breeding taxa may also be assessed.
See also the flowchart in the Regional Guidelines document that can help you determine which taxa to include in the regional Red List.

16. STEP ONE – IDENTIFY NA TAXA
Optional filter:
Threshold to determine which taxa are included and which are Not Applicable (NA)
e.g. <1% of the global population present/using resources in the region
Marginal taxa
Filter must be clearly stated in Red List documentation and the taxa filtered out should be assessed Not Applicable (NA).
For marginal and visiting non-breeding taxa, the regional Red List authority may decide to apply a filter to determine which of these are included in the Red List and which are Not Applicable (NA).
[Click] For example, assessors may want to exclude taxa where <1% of the global population occurs within the region. This is just an example; a filter could alternatively be how regularly the taxon occurs within the region, if it is marginal/vagrant but globally threatened, etc.
[Click] Such a filter is optional. It should be determined by the regional Red List Authority at the start of the assessment process and be consistent for all taxonomic groups assessed, and should be clearly stated in the regional Red List documentation.
summer
winter
Visiting non-breeding taxa

17. STEP TWO – PRELIMINARY ASSESSMENT
Assess species using the Red List Categories and Criteria, ignoring all data from outside the region
In step two, a preliminary assessment is made by applying the IUCN Red List Categories and Criteria to the total population occurring within the region only (i.e., everything occurring outside the region is ignored).
For endemic taxa, this will be the final assessment (and should be the same as the global IUCN Red List assessment). But for non-endemic taxa, this preliminary assessment may be an inaccurate indication of the true extinction risk for that taxon, because it ignores the effects of immigration. We therefore move onto step three.
Endemic taxa: Regional assessment = Global assessment

18. STEP THREE – REGIONAL ASSESSMENT
No / unknown
Downlist
category from step 2
Yes
likely No
unlikely
3f. Can the breeding population rescue the regional population should it decline?
Yes / unknown
change
from step 2
Uplist
3c. Is the regional population a sink?
Step 2:
Assess the regional population according to the Red List Criteria
3a. Does the regional population experience any significant immigration of propagules likely to reproduce in the region?
Breeding populations:
Visiting populations:
3b. Is the immigration expected to decrease?
Yes / likely
3e. Are the conditions within the region deteriorating?
3d. Are the conditions outside the region deteriorating?
Once you have your preliminary assessment from step two, the existence and status of any populations outside the region that may affect the risk of extinction within the region is investigated and, if necessary, the assessment adjusted appropriately. In step three we move through the flowchart answering a series of questions. These questions help determine if there are extra-regional populations that can help “rescue” the regional population should it decline. The questions asked differ for taxa that are breeding within the region and taxa that are regular visitors to the region but do not breed there.
First let’s look at breeding populations. In relation to the regional population, the assessors ask themselves:
3a. Does the regional population experience any significant immigration from outside the region and are the individuals or propagules (e.g. pollen, etc.) likely to settle and reproduce within the region? If no/unknown, the population is effectively isolated (there is no known influence from populations outside the region) and the probability of extinction within the region determined in step two is correct; the preliminary assessment does not change. If yes/likely then move on to question 3b.
3b. Is the immigration expected to decrease? If no/unlikely then there is a potential rescue effect from populations outside the region, so the extinction risk is decreased within the region. Therefore, it is appropriate to downlist the preliminary assessment by a category (e.g. if the taxon was preliminarily listed as EN, it would be downlisted to VU). If yes/unknown (e.g. because conditions outside the region are deteriorating and the populations there are declining) then move on to question 3c.
3c. Is the regional population a sink? (i.e. is the existence of the regional population highly dependent on the immigration of individuals from outside the region?). If yes/likely then the extinction risk of the regional population may be underestimated by the Criteria (step two), because the regional population is unable to sustain itself without immigration, and that immigration is expected to decrease. That is, the fact that the “feeder” population outside the region is expected to decline adds to the extinction risk of the regional population and it is appropriate to uplist the preliminary category (e.g. if the taxon was preliminarily listed as EN, it would be uplisted to CR). If no/unknown, then although the population outside the region is expected to decline, the regional population is not known to heavily rely on immigration for its long-term existence; the extra-regional populations cannot “rescue” the regional population, so it is effectively isolated and therefore the preliminary assessment should remain unchanged.
Visiting populations:
3d. Are the conditions outside the region deteriorating? If yes/unknown, the preliminary assessment has already taken this into account (i.e. deterioration outside the region is expected to affect the populations visiting the region and this should already be reflected in the preliminary assessment), therefore the preliminary assessment should not change. If no/unlikely then move on to question 3e.
3e. Are the conditions within the region deteriorating? If yes/unknown then the preliminary assessment should not change (for the same reason as above – this would already have been taken into account during the preliminary assessment). If no/unlikely move on to question 3f.
3f. Can the breeding population rescue the regional population should it decline (e.g. if the regional population declines, can individuals from breeding populations replace the lost regional individuals). If yes/likely then there is a potential rescue effect from breeding populations outside the region and it is appropriate to downlist the preliminary category. If no/unknown, then there is no need to change the preliminary assessment.

19. Examples from the Swedish Red List Tusk shell Entalina tetragona
In Sweden:
EOO = km²
AOO = km²
3 locations, decline in quality of habitat
Preliminary assessment (step 2) Endangered EN B1ab(iii)+2ab(iii)
Outside the region:
Good immigration possibilities from large populations in neighbouring Norwegian waters.
Therefore, the preliminary regional category is downlisted.
Let’s take a look at a few examples. A tusk shell in Sweden has an extent of occurrence of km² and an area of occupancy of km². It is found in three locations, and there is a continuing decline in the quality of its habitat. In step two, we apply the Red List Categories and Criteria and determine that the species qualifies for Endangered under criterion B. In step three, we take a look at the conditions and populations outside of Sweden. There are healthy populations present along most of the Norwegian coast, providing good immigration possibilities into Sweden. This immigration is not expected to decrease, so the extinction risk within Sweden is actually lower than the Criteria indicate. The preliminary regional category can be downlisted to Vulnerable.
Note the symbol on the Vulnerable category – IUCN recommends that regional assessors make it clear which species have been up- or downlisted. For example, some countries use one asterisk for an up- or downlisting of one category, and two asterisks for species that are downlisted by two categories. The symbol used is up to the regional Red List authority.
In certain situations, it may be appropriate to downlist by two categories (e.g. for expanding populations whose global range barely touches the edge of the region being assessed). There is more information about this in the Regional Guidelines.
Final assessment
Vulnerable VU° B1ab(iii)+2ab(iii)

20. Examples from the Swedish Red List Caspian Tern Sterna caspia
In Sweden:
415 breeding pairs in 9 colonies
80 solitary breeding pairs
65% decline in Sweden over the last three generations.
Preliminary assessment (step 2) Endangered EN A2ae; C1+2a(i)
Outside the region:
Caspian Tern population in the entire Baltic Sea area (Sweden, Finland, Estonia) has declined by 39% over the last three generations.
Nearest population outside of this area is in the Black Sea.
Probability of re-colonization from the Black Sea population is very low.
Therefore, the preliminary category is left unchanged.
Here’s another example. In Sweden, there are 415 breeding pairs of Caspian Tern found in colonies, plus another 80 solitary pairs. There has been a 65% decline in Sweden over the past 3 generations, so in step two the species is preliminarily listed as Endangered. Outside of Sweden, the Caspian Tern has declined throughout the Baltic Sea by 39% over the last three generations. The nearest population beyond the Baltic Sea is in the Black Sea, and these individuals are highly unlikely to immigrate all the way to Sweden. Therefore, there are no possibilities for “rescue” from extra-regional populations and the category remains unchanged.
Final assessment
Endangered EN A2ae; C1+2a(i)

21. Tools and Resources
National/Regional Red List website:
Directory of national/regional Red List contacts
National Red List Working Group
IUCN Regional Offices:
IUCN SSC Specialist Groups:
IUCN Red List Unit (
European, African, Mediterranean Red List projects:
There are a number of tools and resources available to you to help you with your regional assessments:
IUCN and the Zoological Society of London have created a website dedicated to national and regional Red Lists, where you can find many resources, including a library of red lists from countries around the world, information on the national/regional Red List process, a network of national Red Listers located around the world that you can contact with questions or to propose collaborations, a forum, and much more.
The National Red List Working Group is a group within IUCN responsible for overseeing the use of the IUCN Red List Categories and Criteria at the national level, and for building linkages between the IUCN Red List and species assessment processes at national levels.
IUCN has offices in more than 45 countries and runs hundreds of projects around the world. These offices are involved in much more than Red Listing – they are an excellent resource that can help you with your regional Red List and also provide information, advice and contacts for many other kinds of projects.
The IUCN Specialist Groups are divided mostly taxonomically, but there are some groups arranged regionally. It is worth finding out who the Specialist Group members are in your region, and involving them in your regional Red List, if possible.
The IUCN Red List Unit is always available to provide advice, and will be responsible for arranging review of any endemic assessments, so be sure to be in touch with them.
Finally, IUCN has conducted regional Red Lists in Europe, Africa (for freshwater species) and the Mediterranean. Information and data from these projects are available on the Red List website.

22. Tools and Resources
Finally, here is where you find the regional information on the Red List website. Once you click on the region you are interested in (e.g. Europe or Central Africa), you can search within that regional dataset using the search box.

23. Endemics Communication
Finally, just a reminder that although most regional Red Lists are conducted by national/regional assessors independently of the IUCN Red List (though IUCN does have some regional projects underway), [click] it’s important that regional and global assessors maintain communication.
[Click] Endemic species may be submitted to the IUCN Red List Unit for publication on the IUCN Red List, and IUCN can provide training and advice for the regional assessment process. It’s also important for regional assessors to check the IUCN Red List regularly, as assessments may be updated with new information that can be incorporated into the regional Red List. It’s very difficult for IUCN to keep track of all the regional Red Lists conducted around the world, so if a regional Red List is updated, IUCN would appreciate knowing about it, especially if there is new information for endemic species.