9 7 8 9 2 5 1 0 6 1 5 2 7

TC/M/I0490E/1/11.08/2000

ISBN 978-92-5-106152-7 ISSN 2070-7010

519

ISSN 2070-7010

FAOFISHERIES ANDAQUACULTURE

TECHNICALPAPER

Risk analysis is an objective, systematic, standardized and defensible method of assessing the likelihood of negative consequences occurring due to a proposed action or activity

and the likely magnitude of those consequences, or, simply put, it is “science-based decision-making”. Risk analysis has mainly been applied in assessing risks to society and the

environment posed by hazards created by or associated with aquaculture development, e.g. risks of environmental degradation; introduction and spread of pathogens, pests and invasive species; genetic impacts; unsafe foods; and negative social and economic impacts.

Risk analysis provides insights and assists in making decisions that will help avoid such negative impacts and allows aquaculture development to proceed in a more socially and

environmentally responsible manner. An integrated approach to risk analysis will assist the aquaculture sector in reducing risks to successful operations from both internal and external hazards and can similarly contribute to protect the environment, society and other resource users from adverse and often unpredicted impacts. This could lead to improved profitability and sustainability of the sector, while at the same time improving the public’s perception of

aquaculture as a responsible, sustainable and environmentally-friendly activity.

Understanding and applying risk analysis in aquaculture

Un

derstan

din

g an

d ap

plyin

g risk an

alysis in aq

uacu

lture

519FA

O

Cover photos:Left column, top to bottom: Fish farmers administering antibiotic treatment to a suspected viral infection of fish, courtesy of M.B. Reantaso.Middle column, top: Suminoe oyster (Crassostrea ariakensis), courtesy of E. Hallerman; bottom: Mortalities of common carp in Indonesia due to koi herpes virus, courtesy of A. Sunarto.Right column: Women sorting shrimp post-larvae at an Indian shrimp nursery, courtesy of M.J. Phillips.

�

�

Understanding and applying risk analysis in aquaculture

Edited byMelba G. Bondad-ReantasoFishery Resources Officer (Aquaculture)Aquaculture Management and Conservation ServiceFAO Fisheries and Aquaculture DepartmentRome, Italy

James Richard ArthurFAO ConsultantBarriereBritish Columbia, Canada

and

Rohana P. SubasingheSenior Fishery Resources Officer (Aquaculture)Aquaculture Management and Conservation ServiceFAO Fisheries and Aquaculture DepartmentRome, Italy

FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONSRome, 2008

FAOFISHERIES ANDAQUACULTURE

TECHNICALPAPER

519

The designations employed and the presentation of material in this information product do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations (FAO) concerning the legal or development status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of specific companies or products of manufacturers, whether or not these have been patented, does not imply that these have been endorsed or recommended by FAO in preference to others of a similar nature that are not mentioned.

The views expressed in this information product are those of the authors and do not necessarily reflect the views of FAO.

ISBN 978-92-5-106152-7

All rights reserved. Reproduction and dissemination of material in this information product for educational or other non-commercial purposes are authorized without any prior written permission from the copyright holders provided the source is fullyacknowledged. Reproduction of material in this information product for resale or other commercial purposes is prohibited without written permission of the copyright holders. Applications for such permission should be addressed to: Chief Electronic Publishing Policy and Support BranchCommunication Division FAO Viale delle Terme di Caracalla, 00153 Rome, Italy or by e-mail to: copyright@fao.org

© FAO 2008

Understanding and applying risk analysis in aquaculture

FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS Rome, 2008

FAOFISHERIES AND AQUACULTURE

TECHNICAL PAPER

519

Edited byMelba G. Bondad-ReantasoFishery Resources Officer (Aquaculture)Aquaculture Management and Conservation ServiceFAO Fisheries and Aquaculture DepartmentRome, Italy James Richard ArthurFAO ConsultantBarriereBritish Columbia, Canada

and

Rohana P. Subasinghe Senior Fishery Resources Officer (Aquaculture)Aquaculture Management and Conservation ServiceFAO Fisheries and Aquaculture DepartmentRome, Italy

The designations employed and the presentation of material in this information product do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations (FAO) concerning the legal or development status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of specific companies or products of manufacturers, whether or not these have been patented, doesnot imply that these have been endorsed or recommended by FAO in preference to others of a similar nature that are not mentioned.

The views expressed in this information product are those of the author(s) and do notnecessarily reflect the views of FAO.

ISBN 978-92-5-10...........

All rights reserved. Reproduction and dissemination of material in this information product for educational or other non-commercial purposes are authorized without any prior written permission from the copyright holders provided the source is fully acknowledged. Reproduction of material in this information product for resale or other commercial purposes is prohibited without written permission of the copyright holders.Applications for such permission should be addressed to:

Chief Electronic Publishing Policy and Support BranchCommunication Division FAO Viale delle Terme di Caracalla, 00153 Rome, Italy or by e-mail to: copyright@fao.org

© FAO 2008

iii

Preparation of this document

A project “Application of risk analysis to aquaculture production” was undertaken in 2007 through a desk study and an expert workshop held in Rayong, Thailand, from 7 to 11 June 2007. The project culminated in the publication of this document, which is presented in two parts.

Part 1 contains 12 technical papers presented during the expert workshop, contributed by 23 specialists and peer-reviewed by nine experts. These include seven commissioned sectoral review papers addressing the seven identified major risk sectors of aquaculture production: pathogen risks, food safety and public health risks, genetic risks, ecological risk assessment and management of exotic organisms, environmental risks, financial risks and social risks, as well as an additional five contributed papers addressing the following topics: general principles of risk analysis, introduced marine species risk assessment, guidelines for ecological risk assessment of marine fish aquaculture, the aquaculture insurance industry risk analysis process and risk analysis experiences from small-scale shrimp farmers in India. Part 2 of this document contains the highlights of the FAO/NACA Expert Workshop on Understanding and Applying Risk Analysis in Aquaculture, with 42 experts participating.

The commissioned review papers and expert workshop were technically supervised by Dr Melba B. Reantaso, Fishery Resources Officer and Dr Rohana P. Subasinghe, Senior Fishery Resources Officer of the Aquaculture Management and Conservation Service, Fisheries and Aquaculture Management Division of the FAO Fisheries and Aquaculture Department.

The study, workshop and publication were made possible with financial assistance through the Programme Cooperation Agreement of Norway under B.1 and D.1 objectives administered through the FishCode Programme of the FAO Fisheries and Aquaculture Department and the Nutrition and Consumer Protection Division of the FAO Agriculture and Consumer Protection Department, respectively.

iv

Abstract

As a food-producing sector, aquaculture has surpassed both capture fisheries and the terrestrial farmed meat production systems in terms of average annual growth rate. However, it has a number of biosecurity concerns that pose risks and hazards to both its development and management, and to the aquatic environment and society. Aquaculture faces risks similar to those of the agriculture sector. However, as aquaculture is very diverse (in terms of species, environments, systems and practices), the range of hazards and the perceived risks are complex. Multiple objectives are driving the application of risk analysis to aquaculture. Foremost is for resource protection (human, animal and plant health; aquaculture; wild fisheries and the general environment) as embodied in international agreements and responsibilities. The other drivers of risk analysis are: (i) food security, (ii) trade, (iii) consumer preference for high quality and safe products, (iv) production profitability and (v) other investment and development objectives.

The expert workshop, using a series of seven review papers commissioned by the desk study, focused on the importance and application of risk analysis to seven major risk sectors of aquaculture production: pathogen risks, food safety and public health risks, ecological (pests) risks, genetic risks, environmental risks, financial risks and social risks. Part 1 of the document consists of 12 peer-reviewed technical papers relative to the application of risk analysis to aquaculture that were prepared by 23 specialists papers on: general principles of risk analysis, food safety and public health risks associated with products of aquaculture, pathogen risk analysis, application of risk analysis to genetic issues in aquaculture ecological risk assessment and management of exotic organisms, introduced marine species risk assessment, guidelines for ecological risk assessment of marine fish aquaculture, the aquaculture insurance industry risk analysis process and risk analysis experiences from small-scale shrimp farmers in India. Part 2 contains the detailed outcomes of the deliberations of 42 experts who developed the contents of a Manual on the Application of Risk Analysis to Aquaculture, discussed in great length the seven risk sectors and reached general conclusions and specific recommendations to enhance the application of the risk analysis process to aquaculture production.

Risk analysis methods as applied to the seven risk sectors have many commonalities but also many differences. An overriding feature is a firm foundation in drawing upon the results of scientific studies, the use of logic or deductive reasoning and the application of common sense in assessing risk and applying risk management measures. General principles that apply to risk analysis for aquaculture include application of the precautionary approach when dealing with uncertainty, transparency of the process, consistency in methodolody, use of stakeholder consultation, application of high level of stringency, use of minimal risk management interventions needed to achieve an acceptable level of risk, the concept of unacceptable risk and recognition that some "risky" actions cannot be managed and therefore should not be permitted under any circumstance, and the concept of equivalence where alternative risk management measures achieving the required level of protection are equally acceptable.

Bondad-Reantaso, M.G.; Arthur, J.R.; Subasinghe, R.P. (eds). Understanding and applying risk analysis in aquaculture. FAO Fisheries and Aquaculture Technical Paper. No. 519. Rome, FAO. 2008. 304p.

v

Contents

Preparation of this document iiiAbstract ivAcknowledgements viiContributors viii Reviewers xAcronyms and abbreviations xi

PART 1 – CONTRIBUTED PAPERS ON UNDERSTANDING AND APPLYING RISK ANALYSIS IN AQUACULTURE 1General principles of the risk analysis process and its application to aquaculture 3

J. Richard Arthur

Food safety and public health risks associated with products of aquaculture 9 Iddya Karunasagar

Pathogen risk analysis for aquaculture production 27 Melba G. Bondad-Reantaso and J. Richard Arthur

Application of risk analysis to genetic issues in aquaculture 47 Eric Hallerman

Ecological risk assessment and management of exotic organisms associated with aquaculture activities 67

Kenneth M.Y. Leung and David Dudgeon

Application of risk analysis to environmental issues in aquaculture 101 Michael J. Phillips and Rohana P. Subasinghe

Introduced marine species risk assessment – aquaculture 121 Marnie L. Campbell and Chad L. Hewitt

Guidelines for ecological risk assessment of marine fish aquaculture 135 Colin E. Nash, Peter R. Burbridge and John K. Volkman

Financial risk analysis in aquaculture 153 Lotus E. Kam and Pingsun Leung

Social risks in aquaculture 209 Pedro B. Bueno

Aquaculture insurance industry risk analysis processes 229 Philip A.D. Secretan

Risk analysis in aquaculture – experiences from small-scale shrimp farmers of India 247

N.R. Umesh, C.V. Mohan, M.J. Phillips, B.V. Bhat, G. Ravi Babu, A.B. Chandra Mohan and P.A. Padiyar

PART 2 – PROCEEDINGS OF THE FAO/NACA EXPERT WORKSHOP ON UNDERSTANDING AND APPLYING RISK ANALYSIS IN AQUACULTURE, RAYONG, THAILAND, 7–11 JUNE 2007 255

BACKGROUND 257FAO initiatives in risk analysis for aquaculture and aquatic species 257

The current project: “Application of risk analysis in aquaculture production” 258

vi

TECHNICAL WORKSHOP 259Purpose 259

Participation 259

Process 260

WORKING GROUP FINDINGS 265 Working Group 1: Development of the contents of the Manual on Understanding and Applying Risk Analysis in Aquaculture 265

Working Group 2: Identification and grouping of hazard categories and assessment methodologies 265

Working Group 3: Hazards identification with emphasis on social, financial/economic and cultural aspects 279

CONCLUSIONS AND RECOmmENDATIONS 281

ANNEXES 2871 Experts and expert profiles 2872 Expert workshop programme 3013 Expert workshop group photo 304

vii

Acknowledgements

This publication is an outcome of the contributions of the many individuals who participated in this project beginning with the desk study, through to the expert workshop and then to the final publication of this document. They are all gratefully acknowledged.

Thanks are also due to Prof. Sena de Silva, Mr Hassanai Kongkeo and Ms Rouella Udomlarp of the Network of Aquaculture Centres in Asia and the Pacific (NACA) for logistic arrangements. Special thanks go to the various institutions, agencies and projects that provided support for the participation of many experts. These are: Australia’s Division of Primary Industries (Victoria); Australia’s Department of Agriculture, Fisheries and Forestry; Australian Maritime College; Australian Rivers Institute; Canada’s Department of Fisheries and Oceans; China, Hong Kong Special Administrative Region’s Agriculture, Fisheries and Conservation Department; Marine Biosecurity Education Consortium; Thailand’s Department of Fisheries; the Secretariat of the Pacific Community; and the World Wildlife Fund. The authors and reviewers of contributed papers and the workshop participants are sincerely acknowledged for making this publication possible. The editors would also like to thank F. Schatto and T. Farmer of the FAO Fisheries and Aquaculture Information and Statistics Service and J.L. Castilla (desktop publisher) for various types of assistance during the final production of this document. J. Jia, D. Bartley, D. Soto, M. Halwart, I. Karunasagar, S. Siar, J. Collins and S. Borghesi of the FAO Department of Fisheries and Aquaculture; and J. Clausen of the FAO Regional Office for Asia and the Pacific are gratefully acknowledged for support, guidance and encouragement. Last but not least, E. Reynolds and A. Fabiani of the FAO FishCode Programme and E. Boutriff (FAO or Nutrition and Consumer Protection Division) and M. Robson (FAO Plant Production and Protection Division) for administering funding support through FAO’s Cooperation Agreement with Norway.

viii

J. Richard Arthur Barriere, B.C., Canada V0E 1E0

G. Ravi Babu National Center for Sustainable Aquaculture, 69-17-8, SBI Officers, Colony, Rajendra Nagar, Kakinada-533003, AP, India

B.V. Bhat Marine Products Export Development Authority (MPEDA), MPEDA House, Panampilly Avenue, PB 4272, Cochin 682036, India

Melba G. Bondad-Reantaso FAO Fisheries and Aquaculture Department, Rome, Italy

Pedro B. Bueno Network of Aquaculture Centres in Asia and the Pacific (NACA), Bangkok 10903, Thailand

Peter R. Burbridge University of Newcastle (Rtd), Perthshire PH6 2JS, Scotland, United Kingdom of Great Britain and Northern Ireland

Marnie L. Campbell Australian Maritime College, Victoria, Australia

David Dudgeon The University of Hong Kong, China, Hong Kong Special Administrative Region, People’s Republic of China

Eric Hallerman Virginia Polytechnic Institute and State University, Blacksburg, Virginia, United States of America

Chad L. Hewitt Australian Maritime College, Victoria, Australia

Lotus E. Kam University of Hawaii, Mānoa, Hawaii, United States of America

Iddya Karunasagar FAO Fisheries and Aquaculture Department, Rome, Italy

Kenneth M.Y. Leung The University of Hong Kong, China, Hong Kong Special Administrative Region, People’s Republic of China

Pingsun Leung University of Hawaii, Mānoa, Hawaii, United States of America

A.B. Chandra Mohan National Center for Sustainable Aquaculture, 69-17-8, SBI Officers, Colony, Rajendra Nagar, Kakinada-533003, AP, India

Contributors

ix

C.V. Mohan Network of Aquaculture Centres in Asia and the Pacific (NACA), Bangkok 10903, Thailand

Colin E. Nash National Marine Fisheries Station, Manchester, Washington, United States of America

P.A. Padiyar Food And Agriculture Organization of the United Nations, Rehabilitation Support Coordination Unit, Jl. Angsa No. 12, Ateuk Deah Tanoh, Banda Aceh, 2344, Nanggroe Aceh Darussalam, Indonesia

Michael J. Phillips Network of Aquaculture Centres in Asia and the Pacific (NACA), Bangkok 10903, Thailand

Philip A.D. Secretan AUMS Ltd., East Sussex, BN7 2RJ, United Kingdom of Great Britain and Northern Ireland

Rohana P. Subasinghe FAO Fisheries and Aquaculture Department, Rome, Italy

N.R. Umesh National Center for Sustainable Aquaculture, 69-17-8, SBI Officers, Colony, Rajendra Nagar, Kakinada-533003, AP, India

John K. Volkman CSIRO Marine Research, Hobart, Tasmania, Australia

x

Reviewers

Peter Appleford Department of Primary Industries, Victoria, Australia

J. Richard Arthur Barriere, BC, Canada

Devin Bartley FAO Fisheries and Aquaculture Department, Rome, Italy

Malcolm Beveridge The WorldFish Center – Cairo Office, Cairo, Egypt

Pedro B. Bueno Network of Aquaculture Centres in Asia and the Pacific (NACA), Bangkok, Thailand

Jeffrey P. Fisher ENVIRON International Corp., Seattle, Washington, United States of America

John Hambrey Hambrey Consulting, Ross-shire, United Kingdom of Great Britain and Northern Ireland Doris Soto FAO Fisheries and Aquaculture Department, Rome, Italy

Raymon van Anrooy FAO Subregional Office for Central Asia, Ankara, Turkey

xi

Acronyms and abbreviations

AAPQIS Aquatic Animal Pathogen and Quarantine Information SystemADB Asian Development BankADCP acoustic doppler current profilerAHP analytic hierarchy processAIDS Auto-immune deficiency syndromeALARA as low as reasonably achievedALOP appropriate level of protectionALOR acceptable level of riskAPEC Asia-Pacific Economic CooperationANP Analytic Network ProcessANS Aquatic Nuisance SpeciesAQIS Australian Quarantine Inspection ServiceASFA Aquatic Science and Fisheries AbstractsASP amnesic shellfish poisoningBDNs Bayesian decision networksBMPs better management practicesBP Baculovirus penaeiCAB Commonwealth Agricultural BureauCAC Codex Alimentarius CommissionCART categorical and regression tree analysisCBD Convention on Biological DiversityCCFH Codex Committee on Food HygieneCCRF Code of Conduct for Responsible FisheriesCDFs cumulative distributions functionsCE consequence of establishmentCRS corporate social responsibilityDAFF Department of Agriculture, Fisheries and ForestryDFA discriminant function analysisDIAS Database on Introductions of Aquatic SpeciesDNA deoxyribonucleic acidDO dissolved oxygenDSP diarrhetic shellfish poisoningDTs decision treesEh redox potentialEIA environmental impact assessmentEIFAC European Inland Fisheries Advisory CommissionER economic rentERA ecological risk assessmentEU European UnionFAO Food and Agriculture Organization of the United NationsFCR food conversion ratioFCS frozen commodity shrimpFEAP Federation of European Aquaculture Producers FSO Food Safety ObjectiveGAP good aquaculture practicesGATT General Agreement on Tariffs and Trade

xii

GESAMP Group of Experts on the Scientific Aspects of Marine Environmental Protection

GIS geographic information systemGMOs genetically modified organismsHACCP Hazard Analysis and Critical Control PointHPV hepatopancreatic parvo-like virusHSNO hazardous substances and new organismsIAEA International Atomic Energy AgencyICAO International Civil Aviation OrganizationICES International Council for the Exploration of the SeaIHHNV infectious hypodermal and haematopoietic necrosis virusIMO International Maritime OrganizationIRA import risk analysisIRR internal rate of returnISI Institute for Science InformationISSG Invasive Species Specialist GroupIUCN International Union for the Conservation of NatureKSh Keynan shillingsLOVV lymphoid organ vacuolization virusLP linear programMCDM multicriteria decision makingMFF Ministry of Fisheries and Forestry (Fiji)MOP multiple objective programmingMOTAD minimization of total absolute deviationsMPEDA Marine Products Export Development AuthorityMrNV Macrobrachium rosenbergii nodavirusNAAHP National Aquatic Animal Health ProgrammeNACA Network of Aquaculture Centres in Asia and the PacificNaCSA National Center for Sustainable AquacultureNBCR net benefit-cost ratioNGO non-governmental organizationNHP necrotising hepatopancreatitisNOAA National Oceanic and Atmospheric AdministrationNPV net present valueNRC National Research CouncilOIA organism impact assessmentOIE World Organisation for Animal Health (formerly Office international des epizooties)ORP organism risk potentialPCBs polychlorinated biphenylsPCR polymerase chain reactionPE Probability of EstablishmentPICTs Pacific Island Countries and TerritoriesPL postlarvaePRA pathogen risk analysisPRP pathway risk potentialPSP paralytic shellfish poisoningRA risk analysisRAS recirculating aquaculture systemsRPS rhabdovirus of penaeid shrimpSEAFDEC Southeast Asian Fisheries Development CenterSGS sediment grain sizeSPC Secretariat of the Pacific Community

xiii

SPF specific pathogen freeSPS Agreement Agreement on the Application of Sanitary and Phytosanitary Measures STDF Standards and Trade Development FacilityTCP Technical Cooperation ProjectTDH thermostable direct hemolysinTMDL total maximum daily loadsTOTALPOLL total pollutionTRH TDH-related hemolysinTSV Taura syndrome virusTVS total volatile solidsUN United NationsUNCED United Nations Conference on Environment and DevelopmentUNEP United Nations Environment ProgrammeUNESCO-IOC United Nations Educational, Scientific and Cultural Organization-Intergovernmental Oceanographic CommissionUSA United States of AmericaUSDA United States Department of AgricultureUSEPA United States Environmental Protection AgencyVOI value of informationYHV yellow head virusWB World BankWHO World Health OrganizationWMO World Meteorological OrganizationWSD white spot diseaseWSSV white spot syndrome virusWTD white tail diseaseWTO World Trade OrganizationXG foreign exchange earningsXSV extra small virus