Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture Full document FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS/ THE WORLD BANK Rome, 2017 Cover photograph: Oyster culture in Chanthaburi, Thailand Molluscs feed low on the food chain, which make them a relatively cheap source of protein. Culture plots can be established and managed by individual farmers, a cluster of farmers, or the community. This neat and well-managed stretch of oyster culture units in Chantaburi Province, Thailand, reflects some of the advantages of community-based aquaculture management in terms of an equitable and conflict-free access to the water resource, clean culture environment and improved incomes. Off-bottom culture techniques include polyethylene rafts, longlines, racks and cages. Courtesy of Pornsak / Shutterstock.com Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture Full document José Aguilar-Manjarrez Aquaculture Officer Aquaculture Branch FAO Fisheries and Aquaculture Department Rome, Italy Doris Soto Senior Scientist Interdisciplinary Center for Aquaculture Research Puerto Montt, Chile and Randall Brummett Senior Aquaculture & Inland Fisheries Specialist Environment and Natural Resources Department World Bank Washington, DC. 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PREPARATION OF THIS DOCUMENT This publication builds on the experiences gained in that expert workshop. This document was validated The Seventh Session of the Sub-Committee on by contributors to this publication and other Aquaculture of the FAO Committee on Fisheries international experts at a workshop in Izmir, Turkey, (COFI) acknowledged the growing importance of on 5–8 July 2015. It was also tested in a few countries spatial planning to promote aquaculture growth, and such as Angola, Kenya and the United Republic of requested the Food and Agriculture Organization of Tanzania before it was finalized. the United Nations (FAO) to develop a step-by-step guide for the implementation of spatial planning The purpose of the publication is to provide practical tools and continue capacity building in developing guidance on spatial planning to managers, policy- countries. Furthermore, environmental, aquatic animal makers, technical staff and farmers. The publication health and socioeconomic issues require an ecosystem reviews spatial planning and management of approach to management of the sector moving aquaculture development within the framework of beyond individual farms to the management of the ecosystem approach to aquaculture development, spatial units such as aquaculture zones or aquaculture and also presents suggestions for a strategy for their management areas. To this end, FAO in partnership implementation using an area management approach with the World Bank have prepared this publication to ensure greater sustainability for future aquaculture on aquaculture zoning, site selection and aquaculture development initiatives by governments. It is based on management areas under the ecosystem approach the FAO Code of Conduct for Responsible Fisheries, to aquaculture. It is aimed primarily at managers and which contains principles and provisions in support of policy-makers, but has relevance to a wide range of sustainable aquaculture development. The publication stakeholders. is global in its reach and is aimed to be of relevance and use in developing countries. An expert workshop on Site Selection and Carrying Capacities for Inland and Coastal Aquaculture The handbook and Annexes 1, 2, 3 and 4 were convened on 6–8 December 2010 at the Institute edited by FAO/World Bank. However, Annexes 5 of Aquaculture, University of Stirling, the United (case studies) and 6 (workshop report) have been Kingdom of Great Britain and Northern Ireland, and reproduced as submitted. proposed the development of a guide for aquaculture site selection and carrying capacity estimation within an ecosystem approach to aquaculture. Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture | iii ABSTRACT Part two of the publication includes six annexes that present key topics, including: (i) binding and non- The ecosystem approach to aquaculture provides legally binding international instruments, which set the the conceptual guideline for spatial planning and context for sustainable national aquaculture; management. This publication describes the major (ii) biosecurity, zoning and compartments, infected steps related to these activities. The rationale for and zones and disease-free zones; (iii) aquaculture objectives of each step, the ways (methodologies) to certification and zonal management; (iv) an overview implement it, and the means (tools) that are available of key tools and models that can be used to facilitate to enable a methodology are described in a stepwise and inform the spatial planning process; (v) case fashion. Recommendations to practitioners and studies from ten countries–Brazil, Chile, China, policy-makers are provided. A separate policy brief Indonesia, Mexico, Oman, the Philippines, Turkey, accompanies this paper. The benefits from spatial Uganda and the United Kingdom of Great Britain and planning and management are numerous and include Northern Ireland; and (vi) a workshop report. higher productivity and returns for investors, and more effective mitigation of environmental, economic and The country case studies illustrate key aspects of the social risks, the details of which are provided in this implementation of spatial planning and management paper. While the costs are not explicit, the publication at the national level, but mostly within local contexts. describes the resources required–some in broad terms, Take-home messages include the ways in which others in more detail –to apply the methodologies and institutional, legal and policy issues are addressed to to acquire and use essential tools. implement the process, or parts of the process. Some of the case studies such as Chile, Turkey and the This publication is organized in two parts. Part one is United Kingdom of Great Britain and Northern Ireland the “Guidance”; it is the main body of the document provide examples of the benefits to the aquaculture and describes the processes and steps for spatial industry from the application of spatial planning and planning, including aquaculture zoning, site selection management. and area management. Aguilar-Manjarrez, J., Soto, D. & Brummett, R. 2017. Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture. Full document. Report ACS113536. Rome, FAO, and World Bank Group, Washington, DC. 395 pp. iv | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture CONTENTS 5. Site selection 27 5.1 Assessment of suitability for aquaculture 27 Preparation of this document iii Detailed estimation of carrying capacity 5.2  Abstract iv for sites 29 List of tables vi 5.3 Biosecurity planning and disease control 32 List of figures vii 5.4 Authorization arrangements 34 List of boxes vii 5.4.1 Aquaculture licences or permits 34 Acknowledgements viii 5.4.2 Aquaculture leases 35 Abbreviations and acronyms ix Foreword x 6. Aquaculture management areas 37 Delineation of management area 6.1  boundaries with appropriate stakeholder consultation 37 1. Introduction 1 Establishing an area management entity 6.2  1.1 Objectives and target audience 1 involving local communities as appropriate 38 1.2 Why spatial planning of aquaculture? 2 What does the area management 6.2.1  1.3 The ecosystem approach to aquaculture 3 entity do? 41 Carrying capacity and environmental 6.3  Implementation of aquaculture spatial 2.  monitoring of AMAs 45 planning and management 5 Some key actions to establish ecological 6.3.1  2.1 Process 5 carrying capacity and maximum allowable 2.2 Recommended steps 6 aquaculture production in aquaculture zones and aquaculture management areas 48 3. Scoping 11 6.4 Disease control in AMAs 50 Review of national and subnational 3.1  6.5 Better management practices 51 priorities for aquaculture 11 6.6 Group certification 51 Identification of relevant stakeholders 3.2  Essential steps in the implementation 6.7  for consultation 11 and evaluation of a management plan Review and possible adaptation of laws, 3.3  for an AMA 51 policies, regulations and institutional frameworks affecting aquaculture 12 3.4  Identification of general issues and References opportunities 13 (for main text of guidance, annexes have 3.5  Identification of potential for cultured their specific references) 54 species and farming systems 15 4. Zoning 17 Glossary 59 Identification of areas suitable 4.1  for aquaculture 18 4.2 Identification of issues and risks in zoning 20 Annexes 63 4.3  Broad carrying capacity estimation 1. Binding and non-legally binding for aquaculture zones 22 international instruments, that govern 4.3.1 Ecological carrying capacity 23 sustainable aquaculture 4.3.2 Social carrying capacity 25 Arron Honniball and Blaise Kuemlangan 63 4.4. Biosecurity and zoning strategies 25 4.5 Legal designation of zones for aquaculture 25 Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture | v 2. Biosecurity, zoning and compartments, LIST OF TABLES infected zones, disease-free zones David Huchzermeyer and Melba G. Bondad- 1. Users of this publication 1 Reantaso 67 2. Problems associated from the lack of 3. Aquaculture certification and zonal spatial planning and opportunities through management aquaculture zoning and area management 3 Anton Immink and Jesper Clausen 87 3. Main characteristics of the process for 4. Tools and models for aquaculture zoning, scoping, zoning, site selection and area site selection and area management management for aquaculture 6 Richard Anthony Corner and 4. Potential framework to guide the José Aguilar-Manjarrez 95 implementation of aquaculture spatial planning and area management 9 5. Case studies 146 5. Policy, institutional and legal aspects Brazilian Aquaculture Parks–Fish Farming involved in sustainable aquaculture planning and Mariculture and management 14 Felipe Matias 148 6. Examples of zoning initiatives in different Chile Case: The Spatial Planning of Marine countries 17 Cage Farming (Salmon) 7. Essential criteria for scoping, zoning, site Adolfo Alvial 170 selection and aquaculture management areas. Zonal Aquaculture Management in China Depending upon the species and systems and Indonesia being considered for aquaculture, Anton Immink, Han Han, Pamudi and other criteria deserve consideration 21 Jack Morales 198 8. Criteria and data requirements to address Spatial Planning of Marine Finfish production, ecological, and social Aquaculture Facilities in Indonesia opportunities and risks 28 Roberto Mayerle, Ketut Sugama, 9. Some examples of regulated site-to-site Karl-Heinz Runte, Nyoman Radiarta and minimum distances 29 Stella Maris Vallejo 222 Distances between salmon aquaculture sites 10.  Shrimp Farming in Mexico and other areas in British Columbia, Canada 30 Giovanni Fiore Amaral 253 Common issues to be addressed 11.  Aquaculture Site Selection and Zoning in aquaculture management areas 43 in Oman Examples of indicators for aquaculture 12.  Dawood Suleiman Al-Yahyai 271 management areas 52 Mariculture Parks in the Philippines Examples of management plan 13.  Patrick White and Nelson A. Lopez 287 objectives and indicators to address Mariculture Parks in Turkey the prioritized issues 53 Güzel Yücel-Gier 314 Aquaculture Parks in Uganda Nelly Isyagi 332 Aquaculture Zoning, Site Selection and Area Management in Scottish Marine Finfish Production Alexander G. Murray and Matthew Gubbins 358 6. Workshop report 374 Pete B. Bueno vi | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture LIST OF FIGURES 6.  Monitoring and modelling of bloom events in the Gulf of Ancud and Corcovado, south 1. Potential steps in the spatial planning and of Puerto Montt in Chile 42 management process for coastal, marine 7.  Output from a particulate waste distribution and inland aquaculture 7 model (TROPOMOD) developed for fish cage 2. Suitability for small-scale farming and culture, which provides a footprint of organic potential yield (crops/year) of Nile tilapia enrichment beneath clusters of fish farms in Africa 20 (Panabo Mariculture Park, the Philippines) 46 3.  Output from a particulate waste distribution 8.  Example output from GIS to identify potential model developed for fish culture in Huangdun sites for cage aquaculture within a zone along Bay, China, using GIS, which provides a footprint the Red Sea coast of Saudi Arabia 49 of organic enrichment beneath fish farms 32 4.  Changes in productivity for three species of fish (kg harvest per smolt) under LIST OF BOXES overcrowded (pre-2009) and properly spaced (post-2008) farm density 33 1.  A guide to stakeholder identification 5a.  Conceptual arrangement of aquaculture in aquaculture planning and management 12 farming sites clustered within management 2.  Area-based environmental monitoring areas designated within aquaculture zones. systems to address climatic variability Coastal and marine aquaculture 39 and climate change 46 5b.  Conceptual arrangement of aquaculture farming sites clustered within management areas designated within aquaculture zones. Inland aquaculture 39 Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture | vii ACKNOWLEDGEMENTS The authors wish to further acknowledge the contributions of David Huchzermeyer and The authors gratefully acknowledge the valuable Melba G. Bondad-Reantaso for their inputs on contributions of the individuals who provided support biosecurity; Blaise Kuemlangan, David VanderZwaag, during the preparation process of this paper. In this Arron Honniball and Jorge Bermudez for their inputs regard, the authors would like to give special thanks on the policy and legal aspects; Anton Immink and to the authors of the ten case studies presented Jesper Hedegaard Clausen for drafting a chapter on in this document, they are: Felipe Matias (Brazilian aquaculture certification and zonal management; and Aquaculture Parks–Fish Farming and Mariculture); Richard Anthony Corner for his inputs on carrying Adolfo Alvial (Chile Case: The Spatial Planning of capacity and for the chapter on tools and models. Marine Cage Farming [Salmon]); Anton Immink, Han Han, Pamudi and Jack Morales (Zonal A separate policy brief that accompanies this paper Aquaculture Management in China and Indonesia); was prepared with inputs of Pete Bueno. The authors Roberto Mayerle, Ketut Sugama, Karl-Heinz Runte, would also like to thank the Institute of Marine Nyoman Radiarta and Stella MarisVallejo (Spatial Sciences and Technology, Dokuz Eylul University, for Planning of Marine Finfish Aquaculture Facilities in hosting the workshop in Turkey in 2015 where this Indonesia); Giovanni Fiore Amaral (Shrimp Farming in publication was presented and improved, and in Mexico); Dawood Suleiman Al-Yahyai (Aquaculture particular Guzel Yucel Gier for her kind assistance in Site Selection and Zoning in Oman); Patrick White the organization and assistance at the workshop. and Nelson A. Lopez (Mariculture Parks in the The authors thank Maria Giannini for proofreading the Philippines); Alexander G. Murray and Matthew document, and the participants at the workshop in Gubbins (Aquaculture Zoning, Site Selection and Area Turkey for their valuable inputs. The document layout Management in Scottish Marine Finfish Production); specialist was Koen Ivens. Güzel Yücel-Gier (Mariculture Parks in Turkey); and Nelly Isyagi (Aquaculture Parks in Uganda). This publication has been realized with the financial support of the World Bank. Special thanks go to Richard Anthony Corner for providing valuable edits during the final review process and to Patrick White for preparing notes for the first draft of this publication. viii | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture ABBREVIATIONS AND ACRONYMS MOM Modelling–Ongrowing fish farms– Monitoring AMA aquaculture management area BMP better management practice COFI AO Committee on Fisheries EQS environmental quality standards DEPOMOD computer particle tracking model FARM Farm Aquaculture Resource DFO Department of Fisheries and Oceans Management Canada FCR feed conversion ratio EAA ecosystem approach to aquaculture HAB harmful algal bloom EIA environmental impact assessment HACCP hazard analysis and critical control point FAO Food and Agriculture Organization of IMTA integrated multi-trophic aquaculture the United Nations ISA infectious salmon anemia GIS geographic information system SSPO Scottish Salmon Producers IUCN International Union for Conservation Organisation of Nature and Natural Resources Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture | ix FOREWORD social and economic outcomes resulting from aquaculture development and at the same time With increasing wealth, health consciousness and protecting the environment, all essential elements global population, coupled with continued reliance of of the “Blue Economy”. It is also a key element in poor coastal communities on fish for protein, demand building resilience to climate change and resolving for seafood is increasing. Current levels of wild capture transboundary issues around trade and biosecurity. fisheries are unsustainable and declining. Aquaculture is a key component of closing the distance between The Food and Agriculture Organization of the United demand and supply. Nations (FAO) Fisheries and Aquaculture Proceedings No. 21 on Site selection and carrying capacities for New investment in the order of US$100 billion is inland and coastal aquaculture, published in 2013, needed to grow aquaculture, but the generally lays out the theoretical underpinnings of an ecosystem small scale and organic growth of the aquaculture approach to aquaculture. This handbook seeks to industry has made it difficult to plan and regulate, describe its implementation and ensure that countries contributing importantly to the high levels of risk and communities can integrate their investments in perceived by potential new investors. In particular, aquaculture within the wider ecosystem, such that poor spatial planning can undermine the viability it promotes sustainable development, equity, and of businesses and the social and economic benefits resilience of interlinked socio-economic systems. derived from aquaculture development. Vulnerability to external shocks, the outbreak and spread of Good spatial planning and management are absolutely disease, environmental impacts, and social conflicts essential if aquaculture is to maximize its potential with other resource users are all symptomatic of to reduce poverty and hunger and meet the demand bad planning. And, of course, the flip side is true: from the growing middle class. The World Bank good spatial planning can attract investment while and FAO together are delighted to have, at last, a ensuring equitable access to ecosystem services by comprehensive handbook to help us do just that. communities, helping countries achieve the desired Malcolm Beveridge Valerie Hickey Acting Head Practice Manager, Strategy and Operations Aquaculture Branch Environment and Natural Resources Management FAO Fisheries and Aquaculture Department The World Bank Rome Washington, DC x | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture 1. INTRODUCTION This publication is presented in two parts. Part 1 “Guidance” is the main body of the document and 1.1 Objectives and target audience describes the processes and steps for spatial planning, including aquaculture zoning, site selection and area Generally, the starting point for national aquaculture management.2 planning comes from a need for fish, jobs and/ or taxable revenues from organized aquaculture Specific processes and steps are placed in their relevant development. Unplanned aquaculture development context to highlight their rationale and how they has led to negative environmental and social impacts can be applied within a spatial planning framework. that can outweigh the benefits of growing more The guidance (Part 1) can be used as a “standalone” fish or other aquatic products. Some countries with section by policy-makers, planners and stakeholders experience in aquaculture have adopted spatial with reference to Part 2 as appropriate. The guidance planning1 based on a balance between environmental is necessarily generic because the approaches will vary carrying capacity, social risks and economic significantly depending on location and application, opportunities to minimize negative impacts while but broadly agreed-upon steps and a common permitting the industry to contribute to the national framework for more sustainable approaches are economy. The main objective of this publication is to described. Possible activities and spatial planning tools provide practical guidance on spatial planning to a are briefly introduced in Part 1 with a few examples of broad range of stakeholders. These stakeholders are their application. the target audience for this publication and include policy-makers, regulators, developers, farm managers, Part 2 includes “six annexes” that present key topics: scientists and providers of extension services, whose (i) binding and non-legally binding international relevance is defined in Table 1. instruments, which set the context for sustainable TABLE 1. Users of this publication Users Relevant processes and activities Policy-makers Guide on policies, requirements and processes for responsible aquaculture planning and management Regulators All the sections and steps are relevant to improve norms, regulations and enforcement, including zoning, site selection, licencing and permitting, fish health management, area management systems, monitoring and feedback Farm developers Relevant guide on farm site selection, carrying capacity and maximum production limits, environmental impact assessments and biosecurity Farm managers Management of the farm and coordination with neighbouring farms within the aquaculture management area for biosecurity, health management and environmental management Scientists Zone and site selection tools, carrying capacity estimation, and environmental and health monitoring surveys Extension services Support zoning processes, aquaculture management area development and servicing, including biosecurity  Spatial planning refers to the methods used by the public sector to influence the distribution of people and activities in spaces of 1 various scales. Spatial planning takes place at the local, regional, national and international levels and often results in the creation of a spatial plan. Spatial planning also entails a system that is not only spatial, but one that also engages processes and secures outcomes that are sustainable, integrated and inclusive (FAO, 2013). 2 A separate policy brief accompanies this paper. See FAO & World Bank. 2015. Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture. Policy brief. Rome, FAO. (also available at www.fao.org/documents/card/en/c/4c777b3a-6afc-4475-bfc2- a51646471b0d/) |1 national aquaculture; (ii) biosecurity, zoning and have farm sites based in locations that are suitable for compartments, infected zones and disease-free zones; sustainable production. All aquaculture species have (iii) aquaculture certification and zonal management; specific biological needs such as oxygen, temperature (iv) an overview of key activities and relevant tools and good water quality that have to be fulfilled to that can be used to facilitate and inform the spatial secure high production and to minimize stress and planning process; (v) case studies from ten countries disease. Location of aquaculture farms require access –Brazil, Chile, China, Indonesia, Mexico, Oman, the to land and water where use must also co-exist Philippines, Turkey, Uganda and the United Kingdom with other human activities. Access to roads and of Great Britain and Northern Ireland; and (vi) a electricity (infrastructure) is also necessary. A poor workshop report. A summary analysis of the ten case location of an aquaculture farm or zone will not only studies is provided to highlight the main gaps and create environmental problems such as localized issues in the processes of zoning, site selection and eutrophication, it may also have a broader impact on design of aquaculture management areas. The ten environmental, social and economic aspects, such as case studies are presented in detail to describe the conflicts with other human activities over the use of processes and steps carried out by each country. inland and coastal zone resources, that can detract from the benefits of a sustainable aquaculture industry. Part 2 should be read in conjunction with Part 1, as the latter provides the context and rationale for the former. Common problems arising from the lack of spatial The most important activities and tools that can be used planning and management of aquaculture can be to facilitate more integrated planning are reviewed. categorized as: (i) fish disease; (ii) environmental Where appropriate, the reader is directed to other more issues; (iii) production issues; (iv) social conflict; comprehensive reviews and other documents. (v) post-harvest and marketing issues; (vi) risk financing; and (vii) lack of resilience to climatic This publication provides practical advice based variability, climate change and other external threats on field experience in planning of aquaculture and disasters. Spatial planning and management using selected case studies from around the world. of aquaculture can be done at several geographical Practitioners are encouraged to select, modify and scales to address problems in aquaculture and provide continuously adapt their approaches and tools to their opportunities to enhance development (Table 2). own specific circumstances. It calls for pragmatic and systematic, but flexible planning and management, When spatial planning is within a Blue Growth or combined with a good dose of participation, patience, Blue Economy Programme, there are additional persistence, adequate funding and good governance opportunities to link to other initiatives such as to create an enabling environment conducive to innovative financing and energy efficiencies which can sustainable aquaculture development. improve social, economic and ecosystem outcomes.3 1.2 Why spatial planning of aquaculture? Spatial planning could also be a means to improve Inappropriate spatial arrangement and site selection negative public perception about potential of aquaculture is a major constraint to sustainable environmental impacts, especially those associated development and expansion of the industry. To create with marine fish farming, and on access to and use a successful aquaculture business, it is necessary to of coastal resources.4,5 3 FAO. 2015. Achieving Blue Growth through implementation of the Code of Conduct for Responsible Fisheries. Policy Brief. Rome, FAO. (also available at www.fao.org/fileadmin/user_upload/newsroom/docs/BlueGrowth_LR.pdf). 4 Bacher (2015) provides a global overview and synthesis of studies on perceptions of aquaculture in both developed and developing countries. The document also includes recommendations for policy-makers, the industry and other stakeholders on improving public understanding of aquaculture and on the roles various actors can play in this process. 5 The FAO workshop “Increasing Public Understanding and Acceptance of Aquaculture – the Role of Truth, Transparency and Transformation” was held in Vigo, Spain, in October 2015. The workshop covered a number of core topics related to the perceptions of aquaculture, including transparency and ethics, communication, collaboration, responsibilities and new approaches to better management of sector performance and perceptions (FAO, 2016a). 2 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture TABLE 2. Problems associated from the lack of spatial planning and opportunities through aquaculture zoning and area management Problems Opportunities Fish disease and lack of effective biosecurity, e.g. when Minimize fish disease risks and coordinated response to • farms are too close to each other and/or do not respect outbreaks. basic rules of farm-level disease prevention. Improve access to finance when overcoming biosecurity • concerns. Environmental issues such as eutrophication, biodiversity •Better coordinated and integrated approaches to the use and ecosystem service losses, e.g. when there are too many and management of natural resources. farms in a given area or waterbody. • Improved animal welfare and growth rates. Production issues such as lower growth and biomass of • Improved filter-feeders’ productivity and yield filter feeders (e.g. oysters, mussels) due to excessive farming density and overharvesting of common-pool oxygen and microalgae. Social conflicts, equity issues and lack of public confidence Improved accountability and transparency through • in the sustainability of aquaculture, e.g. when aquaculture relevant stakeholder involvement at all levels and is competing with other users for access to water and space documented environmental management. use. improved public perception of aquaculture • Post-harvest and marketing issues, e.g. when individual Clusters of farmers having better access to common • neighbour farmers do not have access to post-harvest post-harvest processes and other services. services. Area-based management and certification as a • governance and risk-sharing model for sustainable aquaculture. Risk financing. National governments and financing National-level information on areas available to invest on • institutions do not have a good knowledge of where aquaculture. the prospects for aquaculture development are the most Implementing area-based management strategies • promising before committing resources to development. (e.g. clusters of farmers) to facilitate access to finance. Lack of resilience to climatic variability, climate change, • A more resilient sector, better adapted to shocks. and other external threats and disasters, e.g. hurricanes, •More effective mechanisms for governments and other tsunamis, drought, and industrial pollution of water sources. institutions, including civil society organizations, to deliver services and fulfil their commitments to sustainable aquaculture development. 1.3 The ecosystem approach to aquaculture development should be a planned activity that is One of the major challenges for the sustainable designed in a more responsible manner so as to development of aquaculture is the sharing of water, minimize negative social and environmental impacts land and other resources with alternative uses, such as much as possible. One essential step is appropriate as fisheries, agriculture and tourism. Spatial planning spatial planning at the local, regional and national for aquaculture, including zoning, site selection levels, and accounting for transboundary issues where and the design of aquaculture management areas, these are relevant. Although many of the social and should consider the balance between the social, environmental concerns surrounding impacts derived economic, environmental and governance objectives from aquaculture may be addressed at the individual of local communities and sustainable development. farm level, most impacts are cumulative. Impacts may It is now widely recognized that further aquaculture be insignificant when an individual farm is considered, Introduction | 3 but potentially highly significant when multiple farms The EAA provides a planning and management are located in the same area, or when the entire framework to effectively integrate aquaculture into sector is taken as a whole. The process and steps local planning, and give clear mechanisms for engaging through which aquaculture is spatially planned and with producers and the government for the effective managed, and integrated into the local economy and sustainable management of aquaculture operations by ecological context is termed the ecosystem approach taking into account local and national social, economic, to aquaculture (EAA). Three principles govern the environmental and governance objectives. implementation of the EAA: (i) Aquaculture should be developed in the context The EAA benefits from having a national aquaculture of ecosystem functions and services (including and/or other relevant policy (e.g. food security, coastal biodiversity) with no degradation of these beyond zone management) to guide implementation, and their resilience. depends on legally binding and fair regulation and (ii) Aquaculture should improve human well-being allocation of user rights. Mandated under the EAA with equity for all relevant stakeholders (e.g. access are permanent stakeholder consultations and use rights and fair share of incomes). of best available knowledge to underpin policy and (iii) Aquaculture should be developed in the context of enforcement (FAO, 2010). other sectors, policies and goals, as appropriate. 4 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture 2. IMPLEMENTATION such proximity that disease and water quality are OF AQUACULTURE SPATIAL best managed collectively rather than by individual PLANNING AND MANAGEMENT farms. 2.1 Process An aquaculture zone can be all or part of any hydrological system that is at least partly suitable for A process for aquaculture site selection and carrying aquaculture, whether it be the open ocean (normally capacity estimation within the framework of an within the exclusive economic zone), a bay, part of ecosystem approach to aquaculture was initially a river or estuary, or any inland waterbody (lake or elaborated by Ross et al. (2013). A comprehensive dam). The creation of zones facilitates the integration planning process should begin with the formation of aquaculture activities into areas already being of an appropriate task team to evaluate the pros and exploited by other users. The effectiveness of zoning cons of aquaculture and to create a roadmap for its depends upon its simplicity, clarity and degree of local sustainable development. The task team is usually support. comprised of government policy-makers and technical experts in aquaculture, business development and Site selection is the process by which the biophysical aquatic ecosystem management. attributes of a prospective site are compared with the needs of cultured organisms and the The first activity of the aquaculture task team is proper functioning of aquaculture farms. Poor site to undertake a national scoping exercise aimed at selection is a major cause of failure in aquaculture establishing objectives for aquaculture, reviewing development. This process is normally led by the relevant laws, identifying general areas that might be private sector, local landowners and others seeking suitable for various types of aquaculture, establishing to embark on an aquaculture business venture. national priorities for ecosystem conservation and Governments maintain control through clear conversion, and determining who might be the relevant regulations that define the process and requirements stakeholders to engage in decision-making. Scoping is for site licencing. often done within the context of a national aquaculture strategy or policy exercise and influences each As all farms within a constrained space contribute subsequent step in the spatial management process. to nutrient loading, the spread of diseases and other impacts of aquaculture, some kind of collective Once scoping has identified aquaculture as a priority management is often needed. AMAs are defined at the national level, detailed plans are elaborated for as shared waterbodies, or parts thereof, where all progressively smaller geographical units at the regional the aquaculture operators agree (coordinate and and local levels, as appropriate. The process of spatial cooperate) to certain management practices or planning usually consists of the following three steps: codes of conduct that act to minimize the overall impacts from their collective activities. Estimation and (i) Aquaculture zoning: bringing together the criteria evaluation of the biological carrying capacity of zones, for locating aquaculture and other activities in farm sites and AMAs, and biosecurity considerations order to define broad zones suitable for different are the baseline upon which allowable fish and farm activities or mixes of activities. density are based. (ii) Site selection: identifying the most appropriate locations for individual farm development within Once AMAs have been established with a clear zones. management plan, a system for monitoring Aquaculture management areas (AMAs): within (iii)  the plan is needed to allow for review and zones, AMAs contain a number of individual farms iterative adjustment as the need arises. Individual that share a common water supply and/or are in components of the plan such as biosecurity, |5 social and environment measures will need to be new to a country or to a large geographical area, periodically adjusted as technology and the local practicioners might want to start with a broad scoping production and socio-economic context evolve. exercise, followed by zoning, site selection, design of A schematic diagram of the potential steps in aquaculture management areas, and elaboration of the spatial planning and management process is the corresponding management plans. In countries presented in Figure 1. or geographical areas where aquaculture farms/ structures are well established, however, it may not 2.2 Recommended steps be possible to relocate farm/structures (e.g. ponds, tanks, raceways) to meet carrying capacity, biosecurity The order in which the main steps shown in Figure 1 and socially acceptable thresholds. Under these and Table 3 are taken depends upon the local circumstances, there may be an obligation to begin situation. For example, when aquaculture is completely with the definition of AMAs and management plans; TABLE 3. Main characteristics of the process for scoping, zoning, site selection and area management for aquaculture Characteristics Scoping Zoning Site selection Area management Main purpose Plan strategically for Regulate development; Reduce risk; Protect environment; development and minimize conflict; optimize production reduce disease risk; management reduce risks; reduce conflict maximize complementary uses of land and water Spatial scale Global to national Subnational Farm or farm clusters Farm clusters Executing Organizations National and local Commercial Farmer associations; entity operating globally; governments entities regulating agencies national aquaculture with aquaculture departments responsibilities Data needs Basic, relating to Basic environmental, All available data Data for carrying technical and economic social and economic sets capacity and disease risk feasibility, growth and models other uses Required Low Moderate High High resolution Results Broad, indicative Directed, moderately Specific, fully detailed Moderately to fully obtained detailed detailed Source: Kapetsky and Aguilar-Manjarrez (2013). 6 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture FIGURE 1. Potential steps in the spatial planning and management process for coastal, marine and inland aquaculture a. Coastal and marine aquaculture b. Inland aquaculture Identification of aquaculture zones Identification of aquaculture zones Village Land Marine Land environment River Mangroves Aquaculture Village zone Coral reef Land area Land Roads Village Main river Selection of farm sites within zones Selection of farm sites within zones F Land Land F Village F Marine F F F F environment F F F River Mangroves F F F F F F F F F F F F F F F Aquaculture F F Village F zone F F F Coral reef F F Land F F area F F F F Roads F Land Main river Village Grouping of farms into management areas Grouping of farms into management areas F Land Land F Village F F F F AMA 1 AMA 2 F Marine F F F River Mangroves environment F F AMA 2 AMA 1 F F F F F F F F F AMA 3 F F AMA 3 F Aquaculture F F Village F zone F F F Coral reef F F F area Land F F F AMA 4 F F AMA 4 Land Roads F Village Main river Note: Note: • Schematic figure of a designated aquaculture zone (hatched area in • Schematic figure of an existing aquaculture zone (the whole depicted blue colour) representing an estuary and the adjacent coastal marine area) representing individual land-based farms (F), e.g. catfish area. Individual farms/sites (F), owned by different farmers, are ponds and/or other species, that may be owned by different farmers presented in different colours and can incorporate different species (presented in different colours). and farming systems. • The designation of AMAs depends upon mutual and exclusive use of incoming and outgoing water supplies by a given set of farmers. The order in which the main steps are taken above depends upon the local situation. Implementation of Aquaculture Spatial Planning and Management | 7 this has been the case in countries where disease The inclusion of all these components in any planning outbreaks have forced governments and producers to initiative may be a formidable task. However, if the develop collective response protocols. In some cases, larger goal of long-term sustainable development is an entire zone might share a common water supply to be realized, most of these components will need or be configured in such a way that it functions as to be considered. The outcomes of the process will an AMA. There is no fixed pathway; the steps are also be more durable if the principles of stakeholder flexible and should be adapted to local/national participation and use of best available knowledge are circumstances and capacities as necessary. There applied at all stages of the process. are a range of different zoning, site selection and AMA schemes that have been developed worldwide Many of the processes and components in Table 3 to address different constraints to aquaculture are repeated in each main step defined in Table sustainability and local conditions. Selected examples 4 (e.g. identification of issues) because each are described in the case studies in Annex 5. component should serve to inform the scope and focus of others steps, and because some countries The main steps for spatial planning and area may want to focus more on specific aspects without management can be broken down into a more having to follow all the steps in sequence. It is detailed set of processes, each drawing on a range recommended that countries in which aquaculture of activities and tools (Table 4). The components, is a new activity would need to follow all the steps, and the associated activities and tools, are briefly broadly in sequence. described in the sections below. Some of the main tools and their application to aquaculture development and management are reviewed in Annex 4. 8 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture TABLE 4. Potential framework to guide the implementation of aquaculture spatial planning and area management Steps Process Activities and tools National/ •Review national/subnational priorities • Review relevant policy and legal frameworks subnational for aquaculture • Institutional mapping and analysis scoping •Identification of relevant stakeholders • Stakeholder mapping and analysis for consultation • Aquaculture species/systems review •Review and possible adaptation of laws, • Issue trees policies, regulations and institutional •Geographic information system (GIS), remote sensing and mapping frameworks affecting aquaculture • Google Earth marking of aquaculture areas •Identification of general issues and opportunities •Identification of potential for cultured species and farming systems Zoning • Identification of areas suitable for • Identification of high-level objectives aquaculture • Description and mapping (GIS-related tools) • Identification of issues and risks in • Zone selection and modelling zoning • Issue trees •Broad carrying capacity estimation for •Strategic environmental assessment and other related approaches aquaculture zones •Tools/proxies to estimate carrying capacity for large areas • Biosecurity and zoning strategies • Land use planning maps • Legal designation of zones for • Marine spatial planning aquaculture • Mass balance equation models • Dynamic models • Risk mapping and analysis •Stakeholder consultation to identify issues and potential conflicts • Environmental indicators such as the TRIX index Site • Assessment of suitability for •Description and mapping (GIS-related tools) selection aquaculture • Site selection modelling •Detailed estimation of carrying capacity • Issue trees for sites •Environmental impact assessment, licences, permits • Biosecurity planning and disease control • Environmental management plan • Authorization arrangements • Description and mapping • Nutrient mass balance equation models •Dynamic models for environmental impact • Landscape and seascape analysis •Choice of environmental indicators (e.g. benthic diversity, water quality) Aquaculture •Delineation of management area •Agreement on the administration and leadership of the AMA management boundaries with appropriate • Description and mapping (GIS-related tools) areas (AMAs) stakeholder consultation • Stakeholder identification •Establishing an area management • Participatory, facilitation tools entity involving local communities as • Issue trees appropriate • Mass balance equation models •Carrying capacity and environmental • Dynamic models for environmental impact monitoring of AMAs • Biosecurity tools • Disease control in AMAs • Value chain tools • Better management practices • Farmer organization inclusion and responsibilities • Group certification •Agreed management plan and management measures •Essential steps in the implementation, • Environmental management tools monitoring and evaluation of a • Conflict resolution and communication tools management plan for an AMA • Enforcement measures • Better management practices • Standard operating procedures • Traceability • HACCP and food safety guidelines • Environmental monitoring surveys Notes: • Some of the main tools and models are described in Annex 4. • Scoping is also needed for zoning and the design of management areas. • Ehler and Douvere (2009) describe marine spatial planning (MSP) as “a public process of analyzing and allocating the spatial and temporal distribution of human activities in marine areas to achieve ecological, economic, and social objectives that are usually specified through a political process”. Meaden et al. (2016) provide a comprehensive listing of additional information about MSP, including worldwide examples where MSP has been applied under varied local conditions at highly variable geographic scales. Implementation of Aquaculture Spatial Planning and Management | 9 Fish ponds for culture of Nile tilapia, African catfish and African bonytongue, Cameroon There is considerable potential to expand inland aquaculture in Africa to improve food security. The first step in aquaculture planning is identifying areas that have potential for aquaculture. In this scoping process, it is important to review any existing coastal zone management plan to establish whether it facilitates aquaculture development. Legal and regulatory frameworks should establish clear mechanisms for aquaculture zoning and site selection in waterbodies considered “common property” and the granting of tenure rights, including aquaculture licences. Courtesy of José Aguilar-Manjarrez 3. SCOPING base, local jobs, some other expected benefit, or a combination with differing priorities. The answers The first step in spatial planning is scoping, which to these issues will determine the amount of land, includes as the main tasks: collection of baseline water, institutional resources, types of systems, information, definition of priorities for aquaculture, and aquaculture species that will be targeted identifying stakeholders, and setting broad for government support and development. For objectives. It is important in this step to define the example, government revenues may be higher with boundaries of both the management unit and the a focus on high-value species for export grown in ecosystem, which are often different. Availability seawater cages by large corporations with relatively of baseline data (through a baseline report) is few employees, meaning that aquaculture sector essential. Not only does a proper baseline report planning should focus on coastal areas and on enable a project to measure impact, it also ensures developing strong relationships with the private that everyone is clear regarding the challenges, sector. Pond aquaculture of cheaper species by small- opportunities and issues for sustainable aquaculture and medium-scale farms employing relatively large development. numbers of local people could supply more fish to local markets at reasonable prices for consumers, Led by the aquaculture task team, scoping is the but will require land and freshwater that may or may largely subjective weighing of national and regional not be locally available. Acceptable levels of risk to development and conservation objectives. important biodiversity or natural areas are other key It influences decision-making at all subsequent levels considerations to be weighed. Reviewing priorities, of aquaculture spatial planning and management. therefore, influences the decisions made in relation to The main processes undertaken in scoping include: the type of aquaculture development that could be undertaken. Consultation with stakeholders is critical review of national and subnational priorities for • in clarifying national priorities. aquaculture; • identification of relevant stakeholders for consultation; 3.2 Identification of relevant stakeholders for • review and possible adaptation of laws, policies, consultation regulations and institutional frameworks affecting aquaculture; The identification of relevant stakeholders for identification of general issues and opportunities; • consultation is central to the success and durability and of aquaculture spatial planning. Box 1 provides identification of potential for cultured species and • guidance for identifying and selecting stakeholders, farming systems. some of which may be more or less relevant depending upon the step in the process: scoping, 3.1 Review of national and subnational priorities zoning, site selection or area management. It may for aquaculture not be necessary or possible to involve all stakeholder groups throughout the whole process, so careful The first step is to understand the priorities that consideration must be given as to who needs to be the government attaches to the aquaculture sector encouraged and supported to participate, and at relative to other national or subnational priorities what stage of the planning process. To make best use for economic development and natural resource of identified stakeholders, refer to the participatory conservation. There is a need to understand whether tools for facilitation of group decision-making aquaculture is to be undertaken for food and/or described by FAO (2010). food security, income generation, expanding the tax | 11 BOX 1 A guide to stakeholder identification in aquaculture planning and management Criteria for selection of stakeholders: • those who have sufficient political clout to draw in officials with the public authority to make decisions; • those who have legal standing and therefore the potential to block a decision; • those who control resources (or property rights) necessary for implementation of a decision; • those who may not be sufficiently organized to pose a relevant threat today, but may in the near future; and those who hold necessary information. The range of necessary types of information can be quite broad, and com- •  plex issues often deal with phenomena about which data are limited or privately held. Including parties who may have access to such information may be essential. According to the criteria above, stakeholders could include: • fish farmers; • capture fishers; • local communities and/or businesses reliant on aquaculture and fisheries value chains; • authorities (local, regional, national, other): aquaculture, fisheries, environment, animal health etc. • tourism; • environmentalists; • scientists and other technical experts; • homeowners; • recreational users; • enterprises directly using the waterbody concerned (marinas, ports, shipping, wind farms); and • enterprises indirectly using the coast or waterbody (urban or industrial consumers of water, polluters, etc.). Source: FAO (2010). 3.3 Review and possible adaptation of laws, management of aquaculture, including, for example, policies, regulations and institutional frameworks access use rights and duties; and affecting aquaculture encouragement and empowerment of the • aquaculture sector to self-regulate where The collection of relevant information and the appropriate. review of policy and legal frameworks will need to be undertaken. The need for different levels of The policy and legal frameworks for sustainable planning in order to identify aquaculture zones or aquaculture must be based on the law of the sea, as sites, to designate aquaculture management areas, reflected in the United Nations Convention on the and to manage or overcome social conflicts such Law of the Sea of 10 December 1982 (UNCLOS) and as competition for space and conflicts of interest international environmental law as well as various and environmental considerations necessitate the soft law instruments (Table 5 and Annex 1). There is following: also a need for a review of different areas of national law and administration frameworks that may relate a clear and efficient institutional framework with • to or have an impact on aquaculture activity. For clearly defined competencies; example, spatial and area management requirements clear policy and legal frameworks and rules • may exist in legislation relating to the authorization and regulations that govern development and and conduct of commercial or development activities, 12 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture public works, zoning and planning, public health and 3.4 Identification of general issues and environmental legislation. A review of these legal opportunities frameworks in the scoping phase will help determine whether they need to be strengthened to include It is advisable to identify social, economic, aquaculture development. In countries where there is environmental, and governance issues and no legal framework for aquaculture, which sets out opportunities. In most cases, environmental, social the main requirements for aquaculture management and economic issues have a root cause that needs to including spatial planning and management in one be overcome, such as governance and institutional legislation, appropriate legislation may need to be factors, lack of adequate knowledge, lack of training, developed. inappropriate legislation, lack of enforcement, problems with user rights, and so on. It is important There has been an increase in effort in the that these root causes are investigated, and mitigation development of enhanced national policy, legal or remedial actions proposed. These are not factors and institutional frameworks for aquaculture that can always be overcome instantaneously and may administration in the last decades with the require investment of time and financial resources. expansion of the sector. A corresponding growth in External forcing factors should also be considered environmental consciousness is also being noted in to include, for example, catastrophic events, climate the increased number and breadth of environmental change impacts, sudden changes in international considerations in policy, regulations and management. markets, and the effects of other users of aquatic The FAO fisheries National Aquaculture Legislation ecosystems on aquaculture such as agriculture and Overview (NALO) Web page (www.fao.org/fishery/ urban pollution of aquatic environments that may nalo/search/en) includes legal fact sheets for negatively affect aquaculture. 61 countries. A list of legal issues for sustainable aquaculture planning and management, adapted from A large number of issues can be identified, but their the NALO fact sheets are presented in Table 5. importance varies greatly. Consequently, it is necessary to have some way of prioritizing them so that those Institutional analysis should cover both formal and that require immediate management decisions receive informal institutions (FAO, 2010). Formal institutions more attention within a plan of action. Examples and are those such as government departments or more details of issue identification and priorization can agencies that typically have a legally defined role be found in FAO (2010), FAO (2003) and APFIC (2009). and structure. Informal institutions are those such as business, social or family networks or associations. The identification of issues also represents an The latter in this group also have structure and sets opportunity for the implementation of a spatial of procedures, although they may have no legal planning process under an ecosystem approach to or written basis. In essence, institutional analysis aquaculture, which ensures coordinated, orderly requires that a specific set of questions be addressed, development and promotes sustainability. As an including: What are the rules? Who decides, and example, if one of the issues is fish disease and the how is this done (process and decision criteria)? Who lack of effective biosecurity (e.g. when farms are too implements what rules, and how? How and when close to each other leading to quick infection and is progress assessed? and What are the relationships reinfection), there is an opportunity to minimize fish between different institutions (both formal and disease risks and better respond to outbreaks through informal)? good spatial planning. Scoping | 13 TABLE 5. Policy, institutional and legal aspects involved in sustainable aquaculture planning and management Policy, institutional and legal aspects Instruments, institutions, requirements International binding and non-binding Binding instruments include, for example, the Ramsar Convention on • instruments* Wetlands of International Importance (Ramsar, 1971)1 and the United Nations Convention on the Law of the Sea (Montego Bay, 1982)2 Non-binding instruments include the Kyoto Declaration on Aquaculture, • Agenda 21, Rio Declaration, and the Code of Conduct for Responsible Fisheries (FAO, 1995)3, among others Basic national legislation • Fisheries and/or aquaculture law • Planning law • Water law • Sanitary law • Tax law • User rights law Institutions • Fisheries and aquaculture authorities • Health and sanitary authority • Environmental authority • Forestry and water resources authority • Culture and tourism authority • Indigenous peoples authority • Commerce authority • Local authorities • Trade/farmer associations Site allocation • Site allocation criteria and user rights • Required distance between farm sites • Required distance between farm sites and other activities • Interaction with other activities • Indigenous/artisanal fishing community rights Authorization system • Leasing or permitting system • Operation licence (duration, renovation, revocation) • New site, change of use, or change of capacity Environmental impact • Emission standards • Water quality • Sedimentation models • Waste management Control mechanisms • Environmental assessments • Self-monitoring • Citizens’ participation • Enforcement and penalties • Conflict resolution procedures Production system • Production volume • Species mix • Animal Welfare 14 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture Policy, institutional and legal aspects Instruments, institutions, requirements Fish movement • Notification and information • Transport of species • Accidental release of farmed species Disease control • Quarantine • Outbreak management • Therapeutants Feed • Feed quality • Effect of feed residues on environment Product safety and traceability • Certification systems Education, research and development • Extension and training • Research and development • Public information and awareness Aqualculture management areas (AMAs) • Organization and management of AMAs *For more details on binding and non-binding agreements, see Annex 1. 1 United Nations. 1976. Convention on Wetlands of International Importance especially as Waterfowl Habitat. United Nations Treaty Series, Vol. 996, I-I- 1583. Entered into force 21 December 1975. (also available at https://treaties.un.org/doc/Publication/UNTS/Volume%20996/volume-996-I-14583-English.pdf). 2 United Nations. 1994. United Nations Convention on the Law of the Sea. 10 December 1982, Montego Bay, Jamaica. United Nations Treaty Series, Vol. 1833, 1-31363. Entered into force 16 November 1994. (also available at https://treaties.un.org/doc/Publication/UNTS/Volume%201833/volume-1833-A-31363-English.pdf). 3 FAO. 1995. Code of Conduct for Responsible Fisheries. Rome, FAO. 41 pp. (also available at www.fao.org/docrep/005/v9878e/v9878e00.htm). Note: Brugère et al.(2010) provide practical guidance on policy formulation and processes. It starts by reviewing governance concepts and international policy agendas relevant to aquaculture development and proceeds by defining “policy”, “strategy” and “plan” while explaining common planning terminology. See Brugère, C., Ridler, N., Haylor, G., Macfadyen, G. & Hishamunda, N. 2010. Aquaculture planning: policy formulation and implementation for sustainable development. FAO Fisheries and Aquaculture Technical Paper. No. 542. Rome, FAO. 70 pp. (also available at www.fao.org/docrep/012/ i1601e/i1601e00.pdf). 3.5 Identification of potential for cultured species Also essential is a broad assessment of areas where it and farming systems is technologically feasible to place appropriate culture installations. For example, sea cages for fish grow-out Species should be mainly those with proven and longlines for mussel grow-out are the prevalent culture technologies and with established national culture structures in current offshore mariculture or international markets. Some environmental practice. Both sea cages and longlines are tethered concerns can be overcome by selecting native to the sea floor, and thus the key assumption is that species depending on the region of interest, the both sea cages and longlines will, for the time being species already cultured, or those undergoing trials. and until technology develops, be located close to The identification of potential areas for aquaculture coastlines because of the technical and cost limits should be based on criteria that would be favourable related to the depth of tethering. For land-based for grow-out of these species. For instance, it is well systems, especially ponds for the growth of relatively known that temperature affects the feeding, growth cheaper species, costs become an issue, so ready and metabolism of fish and shellfish; thus, water access to a suitable freshwater source is needed on temperature is a common area selection criterion for relatively flat land whose soil structure means ponds all species. do not need to be lined. Scoping | 15 Shrimp aquaculture ponds in Sinaloa, Mexico The Mexican National programme for Aquaculture Management was created to: (i) enable an orderly and competitive aquaculture sector that is sustainable; and (ii) regulate and administrate the sector using processes and tools such as the delimitation of aquaculture zones. In this programme, shrimp farming in Sinaloa State is used as one example to illustrate how aquaculture is managed through aquaculture production units or aquaculture zones. Courtesy of Giovanni Fiore Amaral 4. ZONING prevent and control environmental deterioration • at the farm and watershed scale; implement biosecurity measures and disaster risk • Zoning implies bringing together the criteria for locating management; aquaculture and other activities in order to define reduce adverse social and environmental • broad zones suitable for different activities or mixes of interactions; and activities. Zoning is a process that countries can use to serve as a focus for estimates of environmental • sustainably and responsibly identify and allocate areas capacity. that are biophysically and socio-economically suitable for aquaculture. In broad terms, zoning can be used to Additionally, zoning can also be used to: identify potential areas for growth where aquaculture is increase production and social development; • new, and help regulate the development of aquaculture serve as a platform for dialogue to reduce conflict • where it is already established (Table 6). Definition of among potential resource users; the legal boundaries of zones demands a consultative help potential developers identify prospective farm • process that aligns policy, law, local interests and sites where long-term investments are possible (user ecological carrying capacity (more details on carrying rights); capacity are found in Annex 4). More specifically, establish clear norms/regulations for commercial • zoning according to GESAMP (2001) can be used to: behaviour within zones; and define the area over which planners and regulators • set and monitor objectives. TABLE 6. Examples of zoning initiatives in different countries Country Zoning initiatives Source Australia The responsible minister may identify within state waters: South Australia Aquaculture zones, in which specified classes of aquaculture will be permitted. • Aquaculture Act Prospective aquaculture zones, which are in effect for a specified period not • (2001, as amended exceeding three years during which investigations are to be completed to in 2003, 2005 and determine whether the zone should become an aquaculture zone. 2015)1 Aquaculture exclusion zones, in which no aquaculture will be permitted. • Aquaculture emergency zones for short-term relocation of aquaculture operations. • Chile Twelve regions have been identified so far as authorized areas for the establishment Fisheries and of aquaculture activities (A.A.A.: Areas autorizadas para el ejercicio de la Aquaculture Law2 acuicultura); defined as: “geographical areas classified as such by the Sub-Secretariat of Fisheries to be adequate for the establishment of an aquaculture facility”. Only areas so classified are eligible for aquaculture investments. New Zealand The Resource Management Act establishes that aquaculture activities are restricted Resource to designated coastal marine areas. Management Act The regional council develops regional plans and policy statements in order to 1991 as amended manage coastal resources, including aquaculture, in 20163 and the plans are approved by the Department of Conservation. 1 South Australia Aquaculture Act. 2001. Consolidated version of Act No. 66 of 2001, as amended 1 July 2015, Australia (South Australia). FAOLEX No. LEX-FAOC044087. (also available at http://faolex.fao.org/docs/pdf/sa44087.pdf). 2 General Law on Fisheries and Aquaculture (No. 18.892). Ley General de Pesca y Acuicultura (Ley No. 18.892 de 1989). Texto refundido, coordinado y sistematizado ha sido fijado por el Decreto No. 430. Chile. FAOLEX No. LEX-FAOC001227. (also available at http://faolex.fao.org/docs/pdf/chi1227.pdf). 3 Resource Management Act. 1991. Act No. 69 of 1991. Reprint as at 18 October 2016, New Zealand. (also available at www.legislation.govt.nz/act/public/1991/0069/latest/DLM230265.html). | 17 The zoning process is normally led by the government 4.1 Identification of areas suitable for aquaculture at the relevant geographical scale through a consultative interaction with national and local Zone boundaries are initially based on hydrographical stakeholders, especially those who may invest or set or hydrological parameters at a scale from a few to up fish farms, and those who may be affected by hundreds of kilometres, and are usually all or part aquaculture development (Hambrey et al., 2000). of a contiguous waterbody or basin such as a fjord, Defining and agreeing on broad development tributary of a river or whole river system, a whole objectives for an aquaculture zone is the focus for lake, a coastal bay, or an estuary or a semi-enclosed public involvement and participation. A range of rapid sea. rural appraisal communication techniques are available and can be adapted to local circumstances to facilitate Geographies with the potential to become an quality dialogue (see tools in Annex 4). aquaculture zone generally are those that have relatively few existing users, abundant water of a At the zoning stage, it is important to include policy- quality adequate for farmed species, have basic makers and government planners; scientists (fishery, production infrastructure (e.g. electricity, roads) environment, rural sociology, economics) and farmer and access to input and output markets (including leaders; private industry representatives (supply inputs, labour), and are not located near ecologically traders, processors, exporters); and local authorities sensitive sites. (agriculture, forestry, industry, tourism) where local development objectives and priorities are reviewed. At the subnational, national or regional scales, it In some cases, the inclusion of non-governmental may only be possible to define in very general terms organizations (NGOs) and/or consumer groups might where aquaculture would most likely prosper. Remote also be useful. sensing and geographic information systems (GIS) are excellent for this kind of work, and are useful When the process of actual boundary definition, zone tools to support stakeholder perceptions and insight. allocation and identification of possible impacts and Satellite images can show where human settlement mitigation strategies are discussed, it will be important and other important land uses could be expected to to have representatives of local government; the conflict with aquaculture development; for example, fishery management agency; other local regulatory GIS-based flood-zone mapping is commonly used bodies (agriculture, forestry, industry, tourism); farmer by insurance companies to identify areas prone to groups; and relevant local communities, including inundation and can also provide useful information indigenous groups. Depending upon the nature of on such risks. the zone, valuable inputs from representatives of private industry, consumer groups and agribusiness At the zoning stage, some detail is needed to define associations might also be useful. good places for aquaculture. In this context, local knowledge, organized data collection, property The key steps in the zoning process are: maps and site visits should be used to focus stakeholder discussion on defining where boundaries (i) identification of areas suitable for aquaculture; for aquaculture zones should be located within (ii) identification of issues and risks in zoning; the broader regions identified during the scoping (iii)  broad carrying capacity estimation for aquaculture exercise. zones; (iv) biosecurity and zoning strategies; and The fundamental factors that determine the viability (v) legal designation of zones for aquaculture. of a zone for aquaculture are basic topography/ bathymetry (i.e. available flat land or open water), temperature, current velocity, and water quantity 18 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture and water quality (e.g. salinity, hardness). These slowly or not at all. Social thresholds are likely to determine the species that can be cultured efficiently me more flexible, as these can change over time. In in a particular area, and give a broad indication of such cases, it is advisable to operate within optimal the production system that is best suited. The larger ranges where possible to ensure efficiency and cost the population, the greater the potential market effectiveness. for aquatic products and the availability of labour Knowledgeable technicians using the tools listed and services. Urban market centres are potential in Table 4 can identify zones with potential for locations for on-processing and marketing of the aquaculture and provide advice on the most fish. However, there are risks associated with urban suitable species. There is also a myriad of published centres, including theft and pollution. literature available on criteria for spatial planning Pre-existing aquaculture also has an influence on and management of aquaculture, many examples of where new aquaculture should be placed. The which can be found at: presence of successful aquaculture sites is indicative of more general suitability, but should not be • The GISFish Global Gateway to Geographic automatically assumed. The presence of critical Information Systems, Remote Sensing and Mapping infrastructure, such as roads, power facilities, feed for Fisheries and Aquaculture mills, processing facilities and so on, also argue for (www.fao.org/fishery/gisfish). clustering of aquaculture within zones. This must be GIS and spatial analysis. GIS and remote sensing • balanced with the need to provide sufficient space so journal articles from the Institute of Aquaculture, that effluents and disease from one farm cannot flow University of Stirling, the United Kingdom of Great onto another and the carrying capacity of the local Britain and Northern Ireland (www.aqua.stir.ac.uk/ environment. GISAP/gis-group/journal-papers). Table 7 outlines the main suitability criteria that apply A good example of the use of GIS to identify to most aquaculture farming systems. The various potential aquaculture zones is an FAO study by criteria listed in Table 7 will each have their own Aguilar-Manjarrez and Nath (1998), who estimated degree of importance, and it is essential that these inland fish farming potential at a continental scale. By can be ranked or measured for specific locations, overlaying the temperature regime, water availability, even if this can only be done crudely. It is also suitability of topography and soil texture, availability important to determine “thresholds” that pertain to of agricultural by-products, local markets and road a desired level of suitability for each criterion. The density on a map of Africa (Figure 2), they were able selection of the thresholds involves interpretation of to identify in broad terms which areas on the African the data selected, and such interpretation should be continent would be suitable for aquaculture. guided with literature research and opinions from experts and farmers. Thresholds will vary according While at this scale, it is not possible to identify exact to location, scale, environment, species and culture locations for aquaculture zones, at the scoping systems, and some of the thresholds may change stage this kind of information is useful to identify over time. For example, species generally have an parks, deserts, flooded areas, cities and other optimal range within which they will grow well, major geographical features that would rule out suboptimal ranges when stress is induced, and lethal aquaculture a priori. levels above and below this, but will change only Zoning | 19 FIGURE 2. Suitability for small-scale farming and potential yield (crops/year) of Nile tilapia in Africa Source: Aguilar-Manjarrez and Nath (1998). 4.2 Identification of issues and risks in zoning within one country, but flows through another and then used for aquaculture development. The converse There are a broad range of issues and risks for zoning, is also true when water, potentially impacted by and it is advisable to identify, inter alia, those related nutrients from aquaculture, flows across borders into to environment, biosecurity, climate-related risks, another country or region. social conflicts and governance. A good approach to identify issues is to focus on the different steps in the In most cases, issues such as climate change impacts aquaculture production process, including upstream and urban pollution of aquatic environments have (e.g. feed supply) and downstream (e.g. post-harvest) damaging effects on aquaculture. Aquaculture is aspects, and understand the impacts on such vulnerable to a number of potentially catastrophic processes and the likelihood of occurrence. By doing climatic and other disturbances. In addition to wildlife this, it should be possible to determine whether the (especially bird) predation, disease and theft, which risk and likelihood of occurrence means a specific affect all aquaculture systems, there are likely to be zone is unsuitable to become an aquaculture zone. risks that apply only to specific production systems and Aquaculture as a production process may require zone location, such as: land/sea area as well as water and specific inputs, including labour, to produce expected outputs Risks specific for pond/raceway aquaculture: such as food and income together with unwanted • floods outputs such as nutrients or chemicals. Issues need • droughts to be identified within a specific scale and ecosystem • severe winters boundary, so risks can be defined as local only, or • earthquakes regional, or national. Tranboundary issues should also • volcanic eruptions be addressed where, for example (rivers), water starts • tidal surges/storm surges/tsunamis 20 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture TABLE 7. Essential criteria for scoping, zoning, site selection and aquaculture management areas. Depending upon the species and systems being considered for aquaculture, other criteria deserve consideration Criteria Scoping Zoning Site selection Aquaculture management areas Biophysical Water quantity (overall water resources Water quantity (amount of surface and Water quantity and quality; Farms are reasonably close; (requirements available); groundwater available); Soil chemistry and structure (if ponds); Common waterbody; for farmed Water quality (distance from potential Water quality (especially salinity and Suitable topography for construction Common water source; species and pollution sources); pollution); pond dykes and farm infrastructure; Common species; systems) Suitable water temperature ranges; Optimal water temperatures; Land use; Common access/roads; Areas with suitable soil types and slopes Areas with suitable soil texture and slope Suitable depth for culture structures; Landing sites for ponds; for pond construction; Hydrodynamics (e.g. current velocity); Suitable depth ranges for culture Suitable depth ranges for floating Shelter suitable for culture structures; structures; structures (e.g. cages, racks); Access/roads landing Exposure to climate disturbances; Hydrodynamics (e.g. current velocity); Land use Infrastructure (roads, access, landing sites, etc.) Environmental Avoid protected areas, critical habitats Buffer distances to mitigate impacts Water depth; Water turnover; and very exposed areas from sensitive habitats, protected areas, Turbidity and suspended solids; Nearness of farms; natural biodiversity Chlorophyll and dissolved nutrients; Level of eutrophication; condition; Hydrodynamics (e.g. current velocity); Benthic diversity; Distance from other aquaculture zones; Sensitive habitats and species; Bottom anoxia; Suitable wave heights; Water quality and condition of the Feed conversion rate; Distance from pollution sources benthos; Presence of predators; Presence of predators; Environmental impact data in general Distance from other farms Social Avoid socially sensitive areas Mitigate/reduce visual impact of farm No visual impact of farm; Farmers are organized locally; (minimize (indigenous peoples’ traditional sites, etc.) clusters; Local labour available; There is good potential for cooperation; conflict) Potential to integrate with adjacent land Potential participation of local/indigenous Potential interest and involvement of local and water uses; communities, women; communities Population density (availability of inputs, Minimal theft, vandalism risks labour, markets, etc.); Access to capital, social services; Potential integration with traditional fisheries Economic Distance to urban areas Distance from other aquaculture zones/ Access to electricity; Access to common market; (access, availability of main markets, fish farms (for sharing resources); Access to markets in close proximity Common access to inputs and services; inputs, etc.) Access to local markets; to site; Common infrastructure/roads, Access to roads Availability of inputs; landing sites Reliable access to roads and ports; Access to services Governance Legal and regulatory frameworks Multisector regulatory frameworks; Aquaculture permitting rules and Extension for the adoption of best available; Sea and coastal access rights regulations management practices available; National strategy and development Available aquaculture certification systems; plans Compliance with management measures; Available regulations/norms, to address cumulative impacts of resource use Aquatic Legal aspects; Distance from other aquaculture zones; Pathogen dissemination pathways; Level of disease outbreak; animal health Existing biosecurity frameworks Environmental conditions and other Water flows and hydrodynamics; Water quality; forcing factors that minimize disease risks Water quality Need for implementation of biosecurity Zoning | 21 Risks specific to cage aquaculture include: warning of potentially harmful algal blooms in Chile so that their impacts can be minimized by the • oil spills/chemical spills/chemical runoff aquaculture industry (Stockwell et al., 2006). • pollution • superchill/ice It is also important to assess the environmental and • storms socio-economic risks that aquaculture can pose • harmful algal blooms and jellyfish to other sectors and on itself. These may include • hypoxia biodiversity losses due to organic and chemical pollution, diseases generated by fish farms, and In addition to these biophysical risks, conflicts with impacts from escaped fish. These risks are evaluated other natural resource users are common. Chief and mitigated through a solid understanding and among these are the direct competition for water management of a zone, or AMA location, and carrying and space with agriculture and real estate developers; capacity. For large industrial farms (e.g. salmon cages), access to traditional sites of indigenous people; and there are models to estimate the spatial distribution of disagreements over visual impact with the tourism organic matter and related risks and the consequences sector. Conflict with fishers is also common, given that in terms of water quality and overall carrying capacity sea space or lake space can become off limits when (see section 4.3 and Annex 4). structures such as cages are added, which reduces the ability of fishers to exploit such areas. 4.3 Broad carrying capacity estimation for aquaculture zones Risk analysis involves answering the following questions (Bondad-Reantaso, Arthur and Subasinghe, For purposes of aquaculture zoning, carrying capacity 2008): (i) What can go wrong? How likely is it to go sets an upper limit for the number of farms and their wrong and what are the consequence of its going intensity of production that retains environmental and wrong? and (ii) What can be done to reduce either the social impacts at manageable and/or acceptable levels, likelihood or the consequences of its going wrong? which then implies overall sustainability. At the zone level, carrying capacity will typically be expressed as Risk mapping can help to identify the most important a level of production (in tonnes) produced through threats. Examples of risk maps for aquaculture zoning a number of farms located in geographic space, or include: production in tonnes per hectare or km2. Within aquaculture zones, carrying capacity has two primary •Fish cage farming and tourism. Use of GIS-based dimensions: models for integrating and developing marine fish cages within the tourism industry in Tenerife, Canary • e cological carrying capacity: the maximum Islands (Pérez, Telfer and Ross, 2003a). production that does not cause unacceptable •Islands and wave strength. Climate-related wave impacts on the environment; and risk maps for offshore cage culture site selection social carrying capacity: the social licence for • in Tenerife, Canary Islands (Pérez, Telfer and Ross, the level of farm development that does not 2003b) disenfranchise people or result in net economic • Floods and aquaculture. Modelling the flood cycle, losses to local communities. aquaculture development potential and risk using MODIS data: a case study for the floodplain of the At a large zone level, preliminary limits to the number Rio Paraná, Argentina (Handisyde et al., 2014). of farms and intensity of production are set based on •Monitoring algal bloom development. a large-scale understanding of the area or waterbody Environmental information system using remote proposed to be or already allocated to aquaculture. sensing data and modelling to provide advanced This contrasts with setting more detailed carrying 22 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture capacity estimates for AMAs and for individual It may also be important to take into account sites in which more specific assessment is made of background wastes entering a shared waterbody, local conditions. There are circumstances where an coming from other sources such as sewage discharges aquaculture zone could become an aquaculture and diffuse inputs from agriculture, domestic management area if a suitable management plan waste and forestry. The basic reasoning is that the is developed and implemented. Typically, however, collective consequences of all aquaculture farms aquaculture zones are broader scale areas that may and background inputs can be compared with the contain one or more AMAs and numerous sites. ecological capacity of the ecosystem, which can then determine how much aquaculture can sustainably 4.3.1 Ecological carrying capacity be conducted within a certain physical space. In reality, diffuse inputs (as opposed to point sources) To estimate carrying capacity in the context of fish are difficult to assess and measure, which makes aquaculture, models are usually used to estimate a estimating the existing consequences of these maximum allowable production, limited primarily background wastes difficult. It may also be that by modelling changes to environmental conditions. activities such as forestry or agriculture have occurred Nutrient input or extraction and oxygen changes for millennia already, and therefore current water (depending on the species to be cultivated) can be quality and conditions may already reflect the impacts assessed, for example, on a specific catchment area of such activity. or waterbody for a given number of aquaculture units. For extractive production, such as shellfish, food The negative impacts of exceeding ecological depletion is the major consideration along with effects carrying capacity include eutrophication, increases on wild species and food availability for them. in primary productivity and potential phytoplankton blooms fueled by nutrients discharged from farms, The assessment of ecological carrying capacity is accumulation of noxious sediments in the form of based on the capacity of the ecosystem to continue fish faeces and feed wastes, and loss of biodiversity to function through the application of environmental due to declining habitat quality. The consequences for quality standards that cannot be exceeded when aquaculture farmers can be dramatic, including loss of aquaculture is included into the system. It is sometimes fish stocks on the farms because of blooms, oxygen referred to as assimilative capacity, implying the system stress and disease; and exceeding ecological carrying is able to assimilate a certain level of nutrients or capacity often aggravates fish health problems and oxygen uptake without causing detrimental effects social conflicts. Environmental impacts of aquaculture such as eutrophication. Aquaculture produces or vary with location, the production system and species uses dissolved and particulate matter that enter being grown. Fish cage culture is an open system that the environment, uses oxygen and other resources, extracts oxygen from water, and discharges faecal and and adds residues from diseases or parasites and feed and other wastes into the surrounding water other treatment chemicals. It is the consequences of and sediments. Pond culture is a closed system, and these on the ecosystem that are used in estimating releases nutrient-rich water and effluents during ecological carrying capacity. The capacity of a water exchange and/or pond draining during harvest. particular area also depends on water depth, flushing Bivalves depend upon natural productivity for their rates/current velocity, temperature and biological food, but compete with other organisms for food activity in the water column and bottom sediments, (organic matter, microalgae, etc.) and dissolved oxygen and attempting to define the level of ecological in the water column, and seaweed production can resilience. The multifactor nature of ecological capacity reduce light penetration affecting environmental is one of the reasons why models are often applied, as conditions and species below. The fact that there is no models can attempt to integrate the multiplicative and “consequence free” aquaculture means that there is a cumulative nature of these factors. basic need to determine ecological carrying capacity. Zoning | 23 One of the earliest applications of mass-balance (Nunes et al., 2011). Availability of models to assess modelling in aquaculture was the use of Dillon and freshwater systems is more limited. Rigler’s (1974) modification of a model originally proposed by Vollenweider (1968), which used Until more precise modelling can be undertaken at the phosphorus (P) concentration to estimate the zonal level, it is possible to apply simplistic approaches ecological carrying capacity of freshwater lakes, to limit production to acceptable levels. Examples assuming that P limits phytoplankton growth and include the Philippines where a maximum of 5 percent therefore eutrophication (Beveridge, 1984). Inputs of an aquatic body can be used for aquaculture, to the environment from fish culture are evaluated although this does not estimate carrying capacity per to determine likely changes in overall water quality. se. In Norway from 1996 to 2005, feed purchases were This model has been used widely to estimate carrying used to monitor aquaculture development. capacity of lakes to support fish farming, as in Chile. This worked initially as a quota that limited the amount Further modifications of this model have also been used of feed that could be delivered to farms. assuming nitrogen as the limiting factor (Soto, Salazar As well as serving as an indicator of production (rather and Alfaro, 2007). than capacity), this system had the benefit of rapidly reducing feed conversion ratio (FCR), as farmers tried Ecological carrying capacity models integrate to optimize the use of the feed allocated to them hydrodynamic, biogeochemical and ecological processes while maximizing production, which in turn reduced in the environment with oxygen consumption, sources, environmental consequences. This was combined with and sinks of organic matter and nutrients derived from a limit on the cage volume of 12 000 m3 per licence farm activity linked to the ecosystem state. There are together with a maximum fish density in cages. This currently few models that assess carrying capacity fully at number of licences with volume limit, along with rules the zonal scale; EcoWin (Ferreira, 1995) is one example for biomass and feed quota, was the framework used that combines hydrodynamic models with changes to to control production development. Norway’s approach water biogeochemistry to look at large-scale, multi- has since been updated to now assess carrying capacity year changes under non-aquaculture and aquaculture directly at site and/or small area scales. conditions (Ferreira, 2008a; Sequeira et al., 2008). Indices have also been used to assign the status On a slightly smaller zonal scale, models such as the of waterbodies into discrete categories that define Loch Ecosystem State Vector model (Tett et al., 2011) typically a specific water status with regards to resolve seasonal variations in oxygen and chlorophyll aquaculture development, or whether or not in defined sea areas; and the Modelling—Ongrowing aquaculture is liable to have an effect (e.g. in the latter fish farms—Monitoring (MOM) model used for farm case, of eutrophication potential using the TRIX index level assessment also contains a module for wider scale in Turkey, see Annex 5); or to define areas considered evaluation of water quality and oxygen concentration to be the most environmentally sensitive to further (Stigebrandt, 2011). fish farming development due to the high predicted levels of nutrient enhancement and/or benthic impact In Chesapeake Bay and the Puget Sound, United States (Gillibrand et al., 2002). Gillibrand et al. (2002) scaled of America, the EcoWin model has been combined with model outputs from 0 to 5, and the two scaled values a farm-level model (FARM) and with other tools into a (nutrients and benthic impact) were added together to production, ecological, and social capacity assessment provide a single combined index. On the basis of this that builds together ecological carrying capacity combined index, areas were designated as Category 1 modelling with a stakeholder engagement process that (sensitive to more production, and therefore no more seeks to reduce social conflicts (see Bricker et al., 2013; production allowed); Category 2 (production potential, Saurel et al., 2014). Other similar projects have with caution); or Category 3 (least sensitive, and occurred in Portugal (Ferreira et al., 2014) and Ireland opportunities to increase production). 24 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture Overall, the larger the area or zone being evaluated, recognized by countries and industries as essential the more complex and more difficult it is to make to sustainable growth in aquaculture (Håstein et al., reliable estimations of carrying capacity owing to the 2008; Hine et al., 2012). The World Organisation multiple interacting dynamic factors that affect it and for Animal Health defines a zone as a portion of a acceptable limits in environmental change. contiguous water system with a distinct health status with respect to certain diseases; the recognition of 4.3.2 Social carrying capacity zones is thus based on geographical boundaries. A zone may comprise one or more water catchments Social carrying capacity is less tangible than other from the source of a river to an estuary or lake, or only carrying capacities, but is the amount of aquaculture that part of a water catchment from the source of a river can be developed without adverse social impacts (Angel to a barrier that effectively prevents introduction of and Freeman, 2009; Byron and Costa-Pierce, 2013). specific infectious agents. Coastal areas and estuaries Social licence for aquaculture is affected by cultural with precise geographic delineation may also comprise norms, and can be affected by social mobility and wealth a zone. For more detail on zoning and spatial planning of people and by the species grown and aquaculture from the biosecurity perspective, see Annex 2. practices undertaken, seen as either polluting (e.g. fed fish) or non-polluting (e.g. non-fed fish or extractive 4.5 Legal designation of zones for aquaculture species) whether or not this is explicitly correct. Social capacity for aquaculture is also affected by perceived The allocation of aquaculture zones is the final step in or actual ecological degradation, the extent to which zoning and is the legal and normative process that creates aquaculture impacts other livelihoods, exclusion of an area(s) dedicated to aquaculture activities, whereby any legitimate stakeholders from decision-making, and future development thereof must respect this zone. incompatibility of aquaculture with alternative uses, which are all key sources of social conflict. Aquaculture zones should be established within the remit of local or national aquaculture plans and Social conflicts can be minimized through good legislative frameworks with the aim of ensuring the engagement in the development and management of sustainability of aquaculture development and of aquaculture zones, adverse impacts on the ecosystem promoting equity and resilience of interlinked social and use of space. Fair business practices and the and ecological systems. Regulations and/or restrictions creation of opportunities for local communities along should be assigned to each zone in accordance with the aquaculture value chain from manufacture and their degree of suitability for aquaculture activities supply of inputs through to processing, transport and carrying capacity limit. Zones to be allocated to and marketing will build alliances among the local aquaculture activities can be classified, inter alia, as population. Proper stakeholder engagement, sharing “areas suitable for aquaculture activities”, “areas of information and timely communication in the unsuitable for aquaculture activities”, and “areas planning process can help investors avoid social for aquaculture activities with particular regulation conflicts. and/or restriction”. To this end, guidelines should be developed by governments according to the specific 4.4 Biosecurity and zoning strategies location. Disease is probably the main threat and cause of Zoning plans guide the granting or denial of individual disaster to aquaculture everywhere and requires permits for the use of space. This process includes planning at all scales, from individual farms to additional elements of implementation, enforcement, aquaculture zones and aquaculture management monitoring, evaluation, research, public participation areas. The development and implementation of and financing, all of which must be present to carry biosecurity and zoning strategies is increasingly out effective management over time. Zoning | 25 Salmon farming in a remote fjord in southern Chile The location of a salmon farm must consider the environmental carrying capacity of the recipient waterbody and the local social context in order to be environmentally, socially and economically sustainable. Courtesy of Doris Soto 5. SITE SELECTION local meteorological agency or other sources), and some prediction of impacts from aquaculture activity Site selection ensures that farms are located in a and measures to be undertaken to minimize impacts specific location, which has attributes that enable the (i.e. mitigation). Before finalizing a site suitability necessary production with the least possible adverse assessment, a historical review of external risks impact on the environment and society. Site selection should be done, which can include storm, flood and is a process that defines what is proposed (species, drought frequency, and intensity data from the zoning infrastructure, and so on), estimates the likely outputs exercise (section 4.2), that should be made available to and impacts from that proposal, and assesses the individuals or groups seeking permits for aquaculture. biological and social carrying capacities of the site so that the intensity and density of aquaculture do Spacing between the proposed site and other farms not exceed these capacities and cause environmental and between the proposed fish farm and other degradation or social conflicts. It also provides an economic, cultural or ecological assets is of critical assessment for locating farms so that they are not concern in determining where a farm is likely to exposed to adverse impacts from other economic succeed and how much product a farm can generate sectors and vice versa. (Table 9). This is particularly true in the case of disease transfer, which has proved costly to the aquaculture Site selection for individual farms within designated community. If farms are too close together, diseases zones is normally led by private-sector stakeholders can easily spread from one farm to another, and with direct interest in a specific aquaculture diseases can recirculate leading to persistent problems. investment. The government assists by defining clear This is what happened in the Chilean salmon farming site licencing, environmental impact assessment industry prior to zoning and carrying capacity based procedures, and what is acceptable within the zones management, with too many farms crowded into too where the sites will be located. The key steps in the small a space. When one farm had a disease outbreak, site selection process are: it rapidly spread from one farm to another, resulting in near collapse of the entire industry (see Chile case (i) assessment of suitability for aquaculture; study in Annex 5). In the Mekong Delta of Viet Nam, (ii) detailed estimation of carrying capacity for sites; farm overcrowding has been identified as a key factor (iii) biosecurity planning and disease control; and in the inability to manage disease outbreaks (World (iv) authorization arrangements. Bank, 2014). 5.1 Assessment of suitability for aquaculture The choice of an aquaculture site should also take into consideration the location and distance of sensitive Table 8 lists the most important criteria to be habitats, tourist facilities, sites of cultural importance considered in the selection of individual farm and other service infrastructure, with a consideration sites within aquaculture zones. Because of the of the potential to impact these activities or be multidisciplinary nature of the criteria and the impacted by these activities. Table 10 provides an assessment that needs to be undertaken, it is example of distances from aquaculture facilities to normal practice to employ professional aquaculture other areas or activity in British Columbia, Canada. technicians and/or consultants. It is always wise to use conservative estimates (i.e. precautionary principle) in Being potential sources of pollution or introduction production system planning. of disease, human habitation has the potential to be a threat to the viability of a farm and should, where The assessment should thus include a review of local possible, be kept at a safe distance. Potentially, tourism conditions (e.g. temperature, water quantity), historic can also be negatively affected, both from a visual conditions (such as historical climate data from the perspective (e.g. visual impacts from tourists visiting | 27 TABLE 8. Criteria and data requirements to address production, ecological, and social opportunities and risks Farming system Production Ecological Social Coastal marine Temperature Feed regime Sea and coastal access rights cages Wind, waves, currents Critical habitats Access to capital Storm and tsunami exposure Biodiversity Beneficiaries Depth Eutrophication indicators Workforce Salinity Bottom anoxia indicators Etc. Oxygen Environmental impact assessment (EIA) Diet type data in general Feed regime Visual impact Infrastructure Etc. Investment costs Nearness to other farms Nearness to human settlements Markets Etc. Ponds (inland/ Water source Feed regime Landownership coastal) Water quantity and quality Critical habitats Water and riparian rights Soils, slopes Biodiversity Access to capital Rainfall, evaporation Eutrophication indicators Workforce Drought and flood potential Visual impact Beneficiaries Nearness to other farms EIA data in general Etc. Temperature Etc. Diet type Feed regime Infrastructure Investment costs Markets Etc. Freshwater cages Temperature Feed regime Landownership and pens Wind, waves, currents Critical habitats Water and riparian rights Depth Biodiversity Access to capital Storm exposure Eutrophication indicators Beneficiaries Oxygen Bottom anoxia indicators Etc. Diet type Visual impact Feed regime EIA data in general Infrastructure Etc. Investment, costs Nearness to other farms Nearness to human settlements Markets Etc. Hatcheries Water source Critical habitats Local needs Water quantity and quality Biodiversity Landownership Temperature Eutrophication indicators Water rights Diets Visual impact Workforce Infrastructure EIA data in general Skills availability Investment, costs Etc. Visual impact Markets Etc. Etc. Bivalve culture Temperature Critical habitats Sea and coastal access rights on the bottom, Wind, waves, currents Biodiversity Access to capital in plastic trays, Depth Bottom anoxia indicators Workforce in mesh bags, Storm exposure Visual impact Beneficiaries on rafts or on Salinity EIA data in general Etc. longlines, either pH Etc. in shallow water or Chlorophyll and productivity in the intertidal zone Investment, costs Nearness to other farms Nearness to human settlements Markets Etc. Seaweed culture Temperature Critical habitats Sea and coastal access rights on the bottom, Wind, waves, currents Biodiversity Access to capital or off bottom Storm exposure Visual impact Workforce on rafts or longlines Depth EIA data in general Beneficiaries Salinity Etc. Etc. Nutrients availability Investment, costs Markets Etc. Modified from Ross et al. (2013). Notes: Includes social, economic, environmental and governance considerations. Takes into account considerations of carrying capacity for site selection for different farming systems. The list of criteria is indicative rather than exhaustive. 28 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture TABLE 9. Some examples of regulated site-to-site minimum distances Country Site-to-site distances in national regulations Source Chile Extensive production systems must maintain a minimum distance of 200 Art. 11º- 15 metres between them and 400 metres to intensive production systems. Aquaculture Excluded from this requirement are cultures of macroalgae crops fixed to environmental a substrate. Suspended cultures of macroalgae must maintain a minimum regulation, 20011 distance of 50 metres between them and to other centres. Norway The act establishes a licencing system for aquaculture and provides The Aquaculture that the Norwegian Ministry of Trade, Industry and Fisheries may, Act (2005)2 through regulations, prescribe limitations on the number of licences for aquaculture that are allocated. Accordingly, the Norwegian Ministry of Trade, Industry and Fisheries may prescribe: • the number of licences to be allocated; • geographic distribution of licences; • prioritization criteria; •selection of qualified applications in accordance with prioritization criteria; and • licence fees. Turkey Distance between cage farms is determined by the Central Aquaculture Aquaculture Department, according to criteria such as projected annual production Regulation capacity, water depth and current speed. Distance between tuna cage No. 25507³ farms and tuna and other fish farms may not be less than 2 kilometres, and less than 1 kilometre between other fish farms. 1 Environmental Regulations for Aquaculture. 2001. Reglamento ambiental para la acuicultura (Decreto No. 320), 14 de Diciembre de 2001, Chile. FAOLEX No. LEX-FAOC050323. (also available at http://faolex.fao.org/docs/pdf/chi50323.pdf). 2 Act of 17 June 2005, No. 79, relating to aquaculture (Aquaculture Act). Lov om Akvakultur (Akvakulturloven), I 2005 hefte 8, Norway. FAOLEX No. LEX-FAOC064840. (English translation by Norwegian Directorate of Fisheries of 24 April 2006 (also available at https://www.regjeringen.no/ globalassets/upload/kilde/fkd/reg/2005/0001/ddd/pdfv/255327-l-0525_akvakulturloveneng.pdf). 3 Aquaculture Regulation No. 25507. Su Ürünleri Yetiştiriciliği Yönetmeliği, T.C Resmî Gazete No. 25507. 29 June 2004, Turkey. FAOLEX No. LEX- FAOC044968. (also available at http://faolex.fao.org/docs/texts/tur44968.doc). picturesque places that also contain aquaculture) and 5.2 Detailed estimation of carrying capacity from an environmental perspective, whereby negative for sites impacts on water quality may impact a tourist’s enjoyment of a local area. It is generally desired Assessment of carrying capacity at the site level that fish farming operations be located away from is much more developed than the assessment at tourist areas. Conversely, biological assets, such as the zonal or area scales, especially for the marine coral reefs, mangroves, seagrass beds, shellfish beds, environment, but nonetheless still contends with fish spawning grounds and other biodiversity assets, many of the complexities outlined above when should be protected by locating aquaculture sites at a considering production impacts on water quality safe distance, preferably downstream where effluents and sediments, and resolving what an acceptable cannot cause problems. Sites sacred to indigenous level of production is. In the majority of cases, site- peoples and sites of historical significance should be level carrying capacity models estimate nutrient inputs respected and only developed through consultation to the environment and assess impacts on sediments, with stakeholders and with explicit permission. on the water column, or both. More often than not, models assess these impacts against minimum environmental quality standards, often defined Site Selection | 29 TABLE 10. Distances between salmon aquaculture sites and other areas in British Columbia, Canada Distance To At least 1 km in all directions from a First Nations reserve (unless consent is received from the First Nations). At least 1 km from the mouth of a salmonid bearing stream determined as significant in consultation with the Department of Fisheries and Oceans Canada (DFO) and the province. At least 1 km from herring spawning areas designated as having “vital”, “major” or “high” importance. At least 300 m from intertidal shellfish beds that are exposed to water flow from a salmon farm and which have regular or traditional use by First Nations, recreational or commercial fisheries. At least 125 m from all other wild shellfish beds and commercial shellfish-growing operations. An appropriate distance from areas of “sensitive fish habitat”, as determined by DFO and the province. An appropriate distance from the areas used extensively by marine mammals, as determined by DFO and the province. At least 30 m from the edge of the approach channel to a small craft harbour, federal wharf or dock. from ecological reserves smaller than 1.000 ha, or approved proposals for ecological reserves At least 1 km smaller than 1 000 ha. of sight from existing federal, provincial or regional parks, or marine protected areas (or ap- Not within a 1 km line proved proposals for these). infringe on the riparian rights of an upland owner, without consent, for the term of the tenu- In order to not re licence. that would pre-empt important aboriginal, commercial or recreational fisheries, as determined Not in areas by the province in consultation with First Nations and DFO. of cultural or heritage significance, as determined in the Heritage Conservation Act. Not in areas Consistent with approved local government by laws for land use planning and zoning. from any existing finfish aquaculture site, or in accordance with a local area plan or Coastal At least 3 km Zone Management Plan. Source: Dow (2004). nationally through scientific endeavour and (in some nitrogen and phosphorus concentrations into and cases) set specifically by regulators, which then set from aquaculture systems. There is a determination a maximum production level, often derived through of how much of a specific nutrient enters or is an iterative process. Some models take this further removed from a local (site) system and analysis of by assessing profitability to ensure the ecological the consequences of that input/removal for the limits defined are profitable for the farmer as well. waterbody. Site carrying capacity models can range from A relatively simple example of a nutrient-based simple mathematical calculations to more complex carrying capacity model was developed by integrated processes that require specialized Halide, Brinkman and McKinnon (2008) and is software. In perhaps the simplest form, model available online at http://epubs.aims.gov.au/ equations produce a mass balance for many handle/11068/7831; it is in part based on the different parameters, the most widely used being MOM model (see below). 30 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture Other models are significantly more complex, and shellfish growth and human interaction and has been a few only are summarized here to indicate what field tested in a number of locations, notably in Ireland is possible. The MOM model (Ervik et al., 1997; (Ferreira, Hawkins and Bricker, 2007) and China Stigebrandt, 2011) defines, among other things, (Ferreira et al., 2008b). changes to sediment oxygen concentration from the deposition of particulate matter for a certain level An efficient production plan for aquaculture of production, which is compared with a minimum needs to consider carrying capacity and site environmental quality standard. Additionally, the Farm characteristics to determine how much production Aquaculture Resource Management (FARM) model can be accommodated in a particular location and, assesses species growth and the likely impacts of that consequently, the amount of money that could be growth on environmental conditions (Ferreira, Hawkins generated in order to achieve sustainability. Crowded and Bricker, 2007; Cubillo et al., 2016). production units mean that the stock can suffer from crowding stress, which lowers productivity (Figure 4), Another approach to carrying capacity estimation in addition to the disease transfer risks outlined at the farm scale uses depositional models (Cromey, previously. Figure 4 shows the evolution of Nickell and Black, 2002; Corner et al., 2006; Ferreira, productivity for three fish species in Chile over Hawkins and Bricker, 2007; Ferreira et al., 2008a, time, with dips in productivity associated with 2008b; Cubillo et al., 2016), which predict the overcrowding, particularly of Atlantic salmon accumulation of particulate outputs from fish cage (Salmo salar). The decrease was critical in 2008 and aquaculture in the sediments below fish cages (Figure 3) 2009, and at this time saw the introduction of new or other aquaculture systems, and can be used in regulations that established area management and local-scale assessment of the effects of fish cages on coordinated fallowing periods, which resulted in sensitive demersal flora and fauna. The DEPOMOD improved productivity for all three species.Achieving model (Cromey, Nickell and Black, 2002) is a particle production within the carrying capacity of the local tracking model for predicting flux and resuspension of system means managing for maximum productivity particulate waste material and assesses the associated rather than maximum standing stock (e.g. the benthic community, the outcome of which can number of fish in the water at any one time), which be a definition of an allowable zone of effect; see will reduce pollution and costs while ensuring the Cromey (2008). The ORGANIX model (Cubillo et al., welfare and maximizing the growth rate of the 2016) can be used to evaluate settlement of wastes, stock. and combined with the FARM model can assess the local impacts of multiple species, individually, Carrying capacity estimation for individual farm sites and in combination in an integrated multi-trophic is usually undertaken as part of the environmental aquaculture (IMTA) system. impact assessment (EIA) and the licencing procedure (FAO, 2009). A fair and equitable licencing procedure, To estimate carrying capacity of shellfish and an EIA and an assessment of carrying capacity enable seaweeds, which do not pollute through nutrient the setting of limits on farm size, including permits to outfall, but do compete with wild organisms for food, discharge nutrients or other wastes to a waterbody, to nutrients and oxygen, models should calculate the ensure that there is no deterioration of water quality. amount of shellfish that can be grown in a particular This is particularly important for fed culture systems site without starving either the cultured or wild that generate wastes, but also for extractive species animals in the area. Ferreira (1995), Nobre et al. (2005, where wild stocks also need to be maintained. 2011), and Ferreira et al. (2008a) describe a carrying capacity model applicable for such systems. EcoWin is For project planners at all levels, estimating carrying based on hydrodynamics, suspended matter transport, capacity is crucial to ensure overall sustainability of nitrogen cycle, phytoplankton and detrital dynamics, farms, and a number of modelling tools are available Site Selection | 31 FIGURE 3. Output from a particulate waste distribution model developed for fish culture in Huangdun Bay, China, using GIS, which provides a footprint of organic enrichment beneath fish farms Grid Units Meters North 100.00 Grid 0.00 0.06 North 100.00 0.13 0.19 0.25 0.32 0 0.38 3 5 0.45 8 0.51 11 0.57 13 0.64 16 0.70 21 0.76 24 0.83 26 0.89 29 32 0.95 34 1.02 37 39 Kg C/ m2 / 15-days 42 Water Depth (m) Source: Corner et al. (2006). to be able to better understand what the limits are disease outbreak not only requires the pathogen (see Annex 4). Models are generally the domain of to be present, but stocks will also need to be in a knowledgeable specialists, and it is recommended vulnerable state, typically induced by some kind of that a suitable consultant conversant with appropriate stress. Common stressors in aquaculture include rough models be engaged to develop systems relevant to handling, low dissolved oxygen, inadequate feeding, specific circumstances. and temperatures being either too high or too low or fluctuating. The combination of stressed fish and 5.3 Biosecurity planning and disease control pathogen presence can lead to a disease outbreak. Diseases cause up to 40 percent of all losses in The World Organisation for Animal Health is aquaculture systems, so biosecurity is an essential the leading international authority on disease component of proper farm management at the site management, including fish and shellfish. It proposes level. Diseases can spread to and from wild animals guidelines, published as the Aquatic Animal Health in the water surrounding a farm and through the Code (available at www.oie.int/international-standard- water to other farms, and thus they are of concern setting/aquatic-code/access-online). Additionally, to all stakeholders locally and within an aquaculture the fundamentals of aquaculture animal disease zone. Individual farms must maintain strict measures management have been reviewed by Scarfe et al. to prevent diseases coming into the farm (e.g. using (2009). The basic components of a farm- or site-level certified disease-free stock), and maintain healthy and biosecurity plan are: unstressed stocks and implement good hygiene practices so that diseases cannot gain a foothold and spread. • Screening and quarantine—all animals coming onto the farm should be certified disease free and tested Most diseases affecting aquaculture organisms are for disease on arrival, and be maintained in separate more or less ubiquitous, present in low numbers holding facilities for a period of time to ensure that in wild populations or in the environment. In most they are not infected. populations, some individuals will be resistant to a Isolation—nets, tanks and other equipment should • disease, but could still be a carrier. The onset of a be routinely disinfected, and farm workers should 32 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture FIGURE 4. Changes in productivity for three species of fish (kg harvest per smolt) under overcrowded (pre-2009) and properly spaced (post-2008) farm density Productivity (Kg harvested smolt/transferred) 5.00 4.50 4.00 3.50 3.00 2.50 2.00 1.50 1.00 0.50 0.00 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 Coho Salar Trucha Source: Data from Alvial (2011). maintain good hygiene, including handwashing during routine feeding to ensure that the fish are and foot or boot washing. The amount of vehicular eating well and are healthy. Suspect animals should traffic (cars, boats) between the farm and the be removed immediately. surrounding area should be kept to a minimum and Veterinary services—a licenced veterinarian should • disinfected upon return when possible. sample the farmed stock at regular intervals to Proper handling—to avoid stress, fish should be • ensure that any latent problem is detected as early kept in well-oxygenated water at an optimum as possible. If a government veterinarian is not temperature during holding and transport, and available, farmers should call on a local specialist. handled as little as possible during transport and when on site. A more detailed analysis of the biosecurity implications Proper stocking density—in addition to causing • for spatial planning and management can be found stress, high-density conditions increase the in Annex 2. Overall, a well-managed site, with frequency of contact among individual fish, leading maintained and healthy, well-fed stock along with to increased rates of disease transmission and appropriate and implemented hygiene procedures, infection. reduces the likelihood of a disease outbreak and Regular monitoring—one of the first signs of disease • transmission between sites. is loss of appetite. Fish should be monitored closely Site Selection | 33 5.4 Authorization arrangements farm to avoid locating it near habitats of special interest (recreation, wildlife, fishing zones) or near The aquaculture leasing, licencing or permitting industries and sewage outfall. In many cases, site system is normally established through legislation or selection decisions are made in response to singular aquaculture-specific regulations. Implementation of applications. these legislative or regulatory instruments and any • Change of use—proposals that involve a change protocols that define the procedures to be followed in the species that will be farmed on site, new leads to the issuance of authorization to conduct or modified production practices, or requests aquaculture, usually containing specific terms and to increase production. A new EIA and carrying conditions that bind the lease, licence or permit capacity estimation could be needed to make an holder. appropriate decision. The leasing, licencing or permitting system provides All leasing, licencing and permitting systems should the authorities with the means to verify the legality include consideration of distances among aquaculture of an aquaculture operation at a proposed site, and sites existing and planned, and between aquaculture can be used as a basis for controlling and monitoring and other, potentially conflicting, uses. Safe minimum the potential environmental and social impacts of site distance depends on many factors, including, but the operation. These authorizations/licences/permits not necessarily limited to, wind direction and speed, typically outline what the holder is permitted to do water currents and direction, visibility of installations, by establishing the permitted physical dimensions of wildlife corridors and nature reserves, the site, the species that can be grown, acceptable and transportation routes. operating conditions in relation to production and nutrient load limits, and the period over which 5.4.1 Aquaculture licences or permits permission to operate is valid. Each separate company or legal entity operating A proper leasing, licencing or permitting system within an aquaculture zone should be required to have provides a legally secure right to conduct an aquaculture licence or permit that defines: aquaculture operations in a specific location for a •species to be cultured; specified period of time. It provides exclusivity and •maximum permitted annual production or peak ownership over the farmed organisms to the holder biomass; of the authorization, and protects investors from •culture method; interference and from political vagaries in order to •site marking for navigation safety; and provide investor confidence. The authorization also •any special conditions such as regular environmental allows the holder of such authorization to enforce surveys and other monitoring. the right accorded under the authorization against third parties, if the right is frustrated or denied or There should be penalties or measures taken for cancelled without good or legal reason for such contravening a condition of an aquaculture licence. cancellation. In addition, a licence should also contain a provision giving the licensor the right to cancel, suspend Regulations governing the issuance of leases, licences or not renew a licence where the holder fails to and permits should consider the different stages of adhere to the required standards, or where new aquaculture development in a particular locale: information means the site is no longer acceptable • New site—a proposal for a new previously or sustainable. undeveloped site for aquaculture. Most countries have specific rules for the location of a new 34 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture 5.4.2 Aquaculture leases For both licences and permits, there should be regular surveys to monitor social and environmental impacts Each separate company or legal entity operating to ensure that they remain within acceptable levels. within the zone should be granted legal tenure by In cases where problems are occurring, flexibility in the way of an aquaculture lease issued by the competent licencing, permitting and/or lease terms should provide authority. The aquaculture lease would include terms the farmer/owner with sufficient time to enable and conditions that specify: mitigation measures to be put in place and changes to •the terms or duration of the lease and its renewal be made before more drastic action is taken (such as options; removal of the licence). •perimeter location (latitude and longitude); •lease fees; and •other specific criteria such as what happens if there is no operation of the site within a specified time, or penalties for non-payment of fees or abandonment. Site Selection | 35 Tilapia cage culture in Beihai, China When there are several farms in an enclosed or well contained waterbody, it is essential to develop and implement an area management plan to minimize risks of disease and environmental risks. Tilapia is cultured in many types of production systems. This flexibility makes the fish attractive to farmers in many parts of the world for subsistence and commercial production. Tilapia is also a favourite for many consumers. Fish from this farm in China is destined for the American market, although consumption is increasing locally. This strong demand is supporting increased production around the world in ponds and cages, in fresh and brackish water. However, as the industry grows, the risks also grow. Farmers must do their part to reduce environmental and disease risks on each farm as part of a larger resource management system that will protect the quality of water resources and the livelihoods for producers. Standardizing production practices and coordinating disease risks through area management strategies are key aspects for ensuring sustainable growth of the industry. Courtesy of Jack Morales 6. AQUACULTURE MANAGEMENT by overlapping, result in one geographical area with AREAS an identifiable physical/ecosystem base. For ease of regulation, AMAs should ideally be within one The designation and operation of an aquaculture governance administrative unit (e.g. municipal, management area (AMA) lies at the heart of the state, district, region). The AMA should be large ecosystem approach to aquaculture. It is at this level enough to make a real difference in the ability of the of organization that collective farm and environmental components to increase their operating efficiency, but management decisions are made that can more small enough to be functional and easily managed. broadly protect the environment, reduce risk for Without specific governmental interference, farms and aquaculture investors, and minimize conflict with farmers will often self-organize around areas that are other natural resource users. good for aquaculture. Their designation as aquaculture management areas simply allows for more formal and There are activities that are amenable to area better overall management. management that often fail to be effective when implemented at the individual farm level. Examples The most common means to delineate an AMA include the coordination of cropping cycles for sales is related to disease, in particular disease transfer, and marketing purposes; synchronicity of treatments which is spread through a common water in disease management; environmental monitoring source. Since diseases move through water and that ensures the cumulative effects of multiple farms environmental loading is a function of the outflow are not unduly harming the environment; waste of nutrients and wastes from all farms within a treatment and management; collective negotiation of given area, it would be typical for the AMA to be input (e.g. feed supply) and service (e.g. monitoring) delineated by the water surface/supply that is shared contracts; collective certification and marketing of by all farms within it. Ensuring that all users of a products; the ability to implement a comprehensive common water source are in the same AMA creates biosecurity and veterinary plan; and provision of incentives for cooperation in maintaining good water collective representation to the government and with quality and in coordinated disease management. other stakeholders. The key steps in the definition and In cases where it is not obvious how water flow management of AMAs are: and diseases move from farm to farm, it may be necessary to develop a hydrological (freshwater) (i) delineation of management area boundaries with or hydrodynamic (marine water) map of the area. appropriate stakeholder consultation; Such a map would identify major water sources, or (ii) establishing an area management entity involving tides and currents, that effect water movement or local communities as appropriate; flows, and will assist in determining where the AMA (iii) carrying capacity and environmental monitoring of boundaries should be located. AMAs; (iv) disease control in AMAs; It is important that all farms within a designated AMA (v) better management practices; cooperate. Failure by one or a few farms to participate (vi) group certification; and fully and to find solutions to problems when they (vii) essential steps in the implementation, monitoring occur may result in farmers who do participate and evaluation of a management plan for an becoming discouraged with a resultant loss of interest AMA. in cooperating. This is potentially wasteful in terms of time and energy on the part of the government 6.1 Delineation of management area boundaries seeking to sustainably develop aquaculture. with appropriate stakeholder consultation Within a defined aquaculture zone, AMA boundaries It is not always the case that farms in close physical can be based on biophysical, environmental, proximity necessarily share a common water supply. socioeconomic and/or governance based criteria that, In these circumstances, due to their close proximity, | 37 it may increase the likelihood of a disease transfer to educate about the local context, raise issues through other means (e.g. sharing workers, predation and concerns, ask questions, and potentially make of diseased stock by birds that are then dropped suggestions for the delineation of the management into the neighbouring farm), and these farms should area. Therefore, a planned participatory process with be extra vigilant in managing how they interact to consultation with all relevant stakeholders needs to minimize the overall risks. be in place, commencing with clear objectives about what is to be achieved. Broadly, designating physical boundaries for cage aquaculture in a lake or embayment is relatively 6.2 Establishing an area management entity straightforward (Figure 5a). Pond aquaculture systems involving local communities as appropriate are more complex, as it is often difficult to spatially arrange ponds in any meaningful way; for example, In any specific farm, it is imperative that the farmer in a river delta where the catchment (and therefore operates to the highest standards in managing the the water source) may be significantly larger and site. It may not, however, be possible to influence more dispersed than the aquaculture activity using everything that happens in the wider area, especially that water. Nonetheless, attempts should be made when other farms are in operation. Added to this, to delineate AMAs for freshwater pond systems the impacts of disease and environmental loading to (e.g. Figure 5b), and then to undertake periodic a waterbody or watershed are the result of all farms assessments to ensure they function correctly. It is operating in that waterbody or watershed; and control much easier to organize AMAs before aquaculture cannot be managed by any single farm working becomes well established, and therefore difficult alone, and collective activity becomes important in to move, rather than later when farms are already these circumstances. Where possible, all operating operating and unable to relocate. Nonetheless, the farms within an AMA should be members of a rewards from better management, perhaps increased farmers’ or producers’ association as a means to allow production, better coordination of shared resources representation in an area management entity, and and reduction of risk, mean that even where farms are which can set and enforce among members the norms long established the development of an AMA system of responsible behaviour, including, for example, the is worth the time and effort. development of codes of conduct. There is more than one way to develop an entity for an It is not necessary that an AMA is specific to a single kind AMA, given that the legal, regulatory and institutional of aquaculture system or to a single species. For example, framework will vary at the national, regional and local IMTA provides the by-products, including waste, from levels. While the main impetus for the establishment one aquatic species as inputs (fertilizers, food) to another. of a farmers’ or producers’ association must come Farmers combine fed aquaculture monitoring from the farmers themselves, there is nonetheless a (e.g. fish, shrimp) with inorganic extractive (e.g. seaweed) significant role for the government as a convening and organic extractive (e.g. shellfish) aquaculture to body and, ultimately, the government has specific create balanced systems for environment remediation responsibility as the regulator and can place a high (biomitigation), economic stability (improved output, degree of impetus on the farmers to coordinate. lower cost, product diversification and risk reduction), The government could help by providing basic services and social acceptability (better management practices). (e.g. veterinary, environmental impact monitoring, IMTA is most appropriate at the landscape level, and conflict resolution) through the farmers’ association, it is thus very relevant for an AMA. The delineation which will encourage cooperation by all farmers. of management area boundaries should be done in consultation with all relevant stakeholders. Importantly, the government may also need to create A consultation process is an opportunity for a formal structure through which it engages with the stakeholders to obtain information as well as give farmers’ associations that develop. feedback. Stakeholders can use the opportunity 38 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture FIGURE 5a and 5b. Conceptual arrangement of aquaculture farming sites clustered within management areas designated within aquaculture zones a. Coastal and marine aquaculture F F F Village Marine F AMA 1 River environment F Mangroves AMA 2 F F F F F AMA 3 F F Aquaculture Village Coral reef zone F area F F F Land F F AMA 4 F F Roads Village Note: Schematic figure of a designated aquaculture zone (hatched area in blue colour) representing an estuary and the adjacent coastal marine area. Individual farms/sites (F), owned by different farmers, are presented in different colours and can incorporate different species and farming systems. Four clusters of farms illustrate examples of AMAs, grouped according to a set of criteria that include risks and opportunities and that account for tides and water movement. b. Inland aquaculture Land Land F F AMA 2 F F F AMA 1 F F F AMA 3 F F F F F F F F F AMA 4 F F F Land Main river Note: Schematic figure of an existing aquaculture zone (the whole depicted area) representing individual land-based farms (F), e.g. catfish ponds and/or other species, that may be owned by different farmers (presented in different colours). In this example, there are four AMAs. The commonality in the AMA is the water sources and water flow (arrows) as the priority criteria (e.g. addressing fish health and environmental risks) used to set boundaries of the AMAs. Aquaculture Management Areas | 39 The number of individual farmers to be included in To be effective, it is important that all or nearly all of the an AMA should be carefully planned and discussed farmers are part of the management plan, so as to to make the AMA operational. Some good examples avoid cheating on best practices that can lead to of farmer associations include those in Chile, Hainan disaster for all. The SSPO in Scotland, the United Island (China), India and the United Kingdom of Great Kingdom of Great Britain and Northern Ireland, and Britain and Northern Ireland. Salmon Chile in Chile represent ~90 percent of production in their respective management areas, and In Chile, there are approximately 17 corporate entities in have been successful in coordinating and expanding the main producer’s association, Salmon Chile, and when production. a significant disease outbreak occurred, aquaculture area management was used to overcome and manage Where there is already a well-established aquaculture the outbreak, with Salmon Chile developing and industry, it may be practically difficult to reorganize implementing some of the response measures. farms into defined aquaculture areas, in which case it may be necessary to adopt a strategic approach that The Scottish Salmon Producers Organisation (SSPO) establishes a working area management entity around incorporates 10 commercial decision-making a core of interested farmers, and gradually expanding entities, all of whom adhere to common principles of to incorporate as many other farmers in the watershed behaviour, adopt best practices, and share important as possible. If a serious problem occurs, such as a disease and market information for the benefit of disease outbreak or pollution problems that affect an all members. In Scotland, the United Kingdom of aquaculture area, and a sizeable number of farmers Great Britain and Northern Ireland, AMAs were refuse to cooperate with the area management entity, also developed out of a need to contain a disease it may be necessary for the government to impose outbreak, infectious salmon anemia (ISA), and which regulations that require participation in an AMA as part included control measures to eliminate transfer of of the permitting/leasing process to force the process. stock between AMAs. The different scales of farmer groups will have a The Sustainable Fisheries Partnership (SFP) organizes different internal governance and management farmers’ associations into groups of approximately 20 system. Any system developed must formally identify on Hainan Island (China) and continues to support how decisions will be made, have clear leadership the Hainan Tilapia Sustainability Alliance. It is driven and hierarchy within the group, and determine by a group of leading local companies who support how the costs and any profits will be managed. In the associations with seed, feed, technical support, small farmer groups, it is easy for all members to farming and processing, and increasingly involving be involved in day-to-day decision-making, but as more of the local industry. farmer groups become larger, representatives are usually chosen to manage the group on behalf of Cluster management, used to implement appropriate members. In some cases, group members may not better management practices in Andhra Pradesh, have sufficient business and management skills and India, can be an effective tool for improving experience to manage the AMA effectively and could aquaculture governance and management in the employ professional managers from outside the small-scale farming sector, enabling farmers to work group to manage their organization until sufficient together, improve production, develop sufficient experience is gained. Management of larger, more economies of scale and knowledge to participate complex AMAs can be a time-consuming task, in modern market chains, increase their ability to leaving little time for people to focus on their own join certification schemes, improve their reliability of individual farm management and production, and is production, and reduce risks such as disease (Kassam, another reason why a professional manager may be Subasinghe and Phillips, 2011). useful. 40 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture The structure of the AMA entity will vary depending a thorough risk assessment should be considered to on whether parties are the same size. AMA entities prioritize the most important risks that should be should be inclusive, as appropriate, for identification addressed, and identify actions to be implemented to of issues, and stakeholder participation is essential. overcome or otherwise mitigate the risks. Under these circumstances, undue dominance by one or more larger commercial entities within an The majority of relevant threats “from and to” AMA can lead to disagreement on a course of aquaculture have a spatial dimension and can be action (e.g. affordable by some but not all), which mapped. Risk mapping of AMAs should include those might place a burden on the larger companies in risks associated with the clustering of a number of providing the needed financial and other support to farms within the same water resource, as well as smaller farmers within the AMA. Conversely, there external impacts that can affect the farm cluster, for are instances where larger companies that support example: small farmers facilitate overall development and support to small farmers who have less capacity to • eutrophication or low dissolved oxygen levels; take action. Some AMAs will make more sense for • impact on sensitive habitats; large-scale commercial aquaculture, while other •impact on sensitive flora (e.g. posidonia beds) or AMAs could include a mix of producer sizes and fauna; types or could be designed just for small-scale • predators (e.g. diving birds, otters, seals); farmers. • epizootics/fish disease outbreaks (e.g. ISA); •social impact and conflict with local communities 6.2.1 What does the area management entity and other users of the resource, including, for do? example, theft; • storms and storm surge; The purpose of the area management entity is the • flooding; and setting and implementation of general management • algal blooms. goals and objectives for the AMA, developing common practices that ensure commonality in A variety of data and tools exist to support risk operations to the best and highest standards mapping analysis. Some GIS-capable systems are possible, and focusing on the activity that cannot be specifically targeted at risk mapping, and many achieved by each farmer alone. In doing so, the entity general-use GIS systems have sufficient capability to is able to develop a management plan for the AMA. be incorporated into risk management strategies. Remote sensing is a useful tool for the capture of A range of issues that could be best addressed at the data subsequently to be incorporated into a GIS, level of the farmer’s association are listed in Table and for real-time monitoring of environmental 11. What is important is that the activity is of direct conditions for operational management of relevance and benefit to farmers, and that it leads aquaculture facilities. Satellite imagery has an to effective management of the AMA. The entity is important role to play in the early detection of not there specifically to resolve individual disputes harmful algal blooms (HABs). For example, in between farmers, although the management entity Chile, an early warning service based on Earth can of course play a conciliation role where this does observation data delivers forecasts of potential occur. HABs to aquaculture companies via a customized Internet portal (Figure 6). This Chilean case was led A major justification for collective action on the by Hatfield Consultants Ltd (Hatfield, UK), using part of fish farmers is the reduction of risk to the funding from the European Space Agency-funded farming system and to natural and social systems. Chilean Aquaculture Project. To guide the creation of an area management plan, Aquaculture Management Areas | 41 FIGURE 6. Monitoring and modelling of bloom events in the Gulf of Ancud and Corcovado, south of Puerto Montt in Chile Chl Secchi (mg/m3) depth (m) 30 30 27 20 24 10 21 5 18 3 15 2 12 1 9 0.5 6 0.3 3 0 ACRI ACRI processing processing Coastwatch Coastwatch product product Chlorophyll-a pigment concentration Secchi disk transparency Time period: 2005-02-23 to 2005-03-02 Precision of ± 2m. Time period: 2005-02-16 to 2005-03-02 Temperature (g/m3) (deg. °C) 2 20 19 1 18 17 0.5 16 0.3 15 14 0.2 13 0.1 12 11 ACRI ACRI processing processing Coastwatch Coastwatch product product Sea surface temperature Suspended particulate matter Precision of ± 0.5°C. Time period: 2005-03-02 Time period: 2005-02-23 to 2005-03-02 Notes: • Data extracted from Moderate Resolution Imaging Spectroradiometer (or MODIS), presented in a composite image showing data over a period of 15 days. Data distributed daily to the end users. • MODIS is a key instrument aboard the Terra and Aqua satellites. Terra MODIS and Aqua MODIS are viewing the entire Earth’s surface every 1 to 2 days. These data improve our understanding of global dynamics and processes occurring on the land, in the oceans, and in the lower atmosphere. Source: Stockwell et al. (2006). 42 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture Another example of early warning for aquaculture is in Improving aquatic animal health management Europe: the project Applied Simulations and Integrated and biosecurity Modelling for the Understanding of Toxic and Harmful •Develop a common aquatic animal health and Algal Blooms (ASIMUTH) funded by the European biosecurity plan for the area. Defines the approach Union (www.asimuth.eu) used a collection of satellite to mitigate against disease risks for the area. and modelling data to construct a HAB forecasting •Implementation of single year classes of stock tool. They incorporated ocean, geophysical, biological (e.g. fish) where juvenile inputs are coordinated and toxicity data to build a near-real-time warning and managed in order to ensure there is no disease system, which took the form of a Web portal, an SMS transfer through mixing stocks and to allow for a alert system for farmers, and a smartphone app. The fallow period to break disease cycles. Web portal is curated and maintained by scientists •Disease control through regular disease surveillance in each country participating in ASIMUTH (France, and synchronized disease and parasite treatments. Ireland, Portugal, Spain and the United Kingdom of Treatment with the same medication is useful, and Great Britain and Northern Ireland). use of only authorized medication is expected. Over and above the issues listed in Table 11 are the •Vaccination of stock for specific diseases, where key management measures that have been taken to vaccines are available, with vaccination of all address the key issues listed above where collective juveniles prior to stocking. action is better than singular action, namely: TABLE 11. Common issues to be addressed in aquaculture management areas Social Economic Environmental Governance User rights conflicts Production losses due to fish Eutrophication Weak management body diseases and fish kills of the common area Resource use conflicts Production losses due to Poor discard of solid Non-compliance (e.g. water use, space, etc.) thievery and general security wastes (feed sacs, by farmers dead fish, etc.) Lack of training Poor access to markets/low Disease and parasite Inadequate monitoring selling prices, etc. transfer to wild stocks and control Lack of adequate services Limited access to inputs Escapes impacting Poor or slow conflict (seed, feed, capital, etc.) biodiversity resolution Lack of employment and Lack of post-harvest facilities Use of chemicals Lack of institutional poor labour conditions impacting biodiversity capacity Lack of opportunities Use of fish as feed Lack of political will for women with negative impacts towards aquaculture on local fisheries Food safety problems Poor management Absence of biosecurity of water use frameworks Habitat disturbance Damage to the farms (on mangroves, caused by climatic variability, coral reefs, seagrasses, climate change or other etc.) external forcing factors Aquaculture Management Areas | 43 Coordination for fallowing and restocking dates. • FCR so that excess nutrient wastes are also reduced. Synchronized fallowing, leaving the whole area May involve re-siting farming structures (e.g. in the empty of cultured fish for a specified time, and case of cages) where a new layout for the AMA subsequent coordinated restocking supports could improve nutrient flows. This is also related to biosecurity. Dates should be agreed upon between the first bullet point above. all parties and should be obligatory. Environmental monitoring and implementation • Monitor the health status of newly stocked juveniles. • of regular environmental monitoring surveys and There should be agreement on the quality of reporting and sharing of results. the juveniles to be stocked into a management Fallowing of aquaculture areas. Synchronized • area, which may include: physiological status of fallowing of aquaculture areas, which leaves juveniles; use of vaccines; sourcing juveniles from the whole area empty of cultured fish for a specific pathogen free sources; and tests for specific specified time. This is a biosecurity as well as an pathogens on arrival. environmental management measure. It helps to Control of movement of gametes/eggs/stock • break the disease and parasite cycle and allows between the farms within the AMA and into the the sediments and water quality to partially AMA from external sources. recover. Disinfection of equipment, well boats, and so on • at farms, and following any movements between Improved economic performance of member different farms by defining the expected disinfection farms protocols. Regular monitoring and reporting of aquatic animal • Negotiation of supply and service contracts, whereby • health status, regular monitoring of disease criteria, effective economies of scale and better terms can and other management measures within the AMA. be achieved by negotiating contracts for common This should include measures to be taken against services (such as environmental monitoring), as non-conforming or non-complying farmers. well as for technology, fertilizer and feed supplies, Reconsidering the AMA boundaries to control a • among others. disease; for example, following the definition of Marketing. Sharing post-harvest facilities (ice • epidemiological units in order to limit spread and machines, packing facilities, refrigeration facilities, impact of disease outbreaks within the common etc.). Establishing a common marketing platform. area. Sharing of infrastructure, such as jetties, boat • ramps, feed storage facilities, sorting, grading and For more information on biosecurity, see Annex 2. marketing areas, and ice production plants. Sharing of services, such as net-making, net-washing • Control of environmental impact, particularly and net-repair facilities. cumulative impact Data collection, reporting, analysis and information • exchange. Information exchange may include: Establishing the carrying capacity for the area to • veterinary reports; mortality rates; timing and types receive nutrients. In most cases, this is one of the of medicines used; and mutual inspections for first measures needed to adjust production and plan assurance purposes, both within the AMA entity for the future of the AMA. and with external stakeholders, such as government Protecting natural genetic resources. Preparation • departments. of containment and contingency plans to minimize Coordinated harvesting and marketing that • escapes and to control the input of alien (non- allows farms within the AMA to have a larger and native) species introduction. continuous sales and marketing platform from Improving water quality by reducing contribution to • which to sell products. eutrophication. This will involve an improvement in 44 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture Social management measures and minimizing definition of the area and the farms included; • conflict with other resource users agreement on the management measures; • a management structure must have a mechanism • •Facilitating and strengthening clusters and farmer to engage with public agencies and organizations, associations. representatives from stakeholders, NGOs and other •Identifying relevant social issues generated by sectors that use the aquatic resource; aquaculture in the coastal communities. responsibilities for implementation of the • •Social impact monitoring by agreeing on and setting management plan must be clearly allocated to indicators of impacts and regular monitoring of the particular institutions and individuals; impacts on local communities and other users of the all farmers within the AMA must agree to conform • water and other resources. to the management plan; •Management of labour by monitoring workers’ the management structure must be able, willing, and • health and that of their families, implementing allowed to implement or administer the incentives safety standards, providing appropriate wages and and disincentives to farmers who do not conform to benefits, and identifying additional employment the management plan; opportunities along the value chain. This will also an agreed upon timetable; • include developing and implementing training the roles and responsibilities and desired • activities to upgrade the skills of workers. competencies for the key persons participating in •Implement conflict resolution and measures to avoid key management positions within the zone; and conflict. If conflict does occur between farmers and financial arrangements supporting the management • between the management area and local interests plan and area management entity. (with fishers, for example), then resolution procedures should be fair, uncomplicated and inexpensive. 6.3 Carrying capacity and environmental monitoring of AMAs Once key issues are identified and agreed upon Estimates of environmental carrying capacity of the by the group, the management entity should area should be made and regular surveys conducted develop management measures to address the key to reassess the area. Carrying capacity at the AMA issues. These will then be incorporated into an area scale could be undertaken, for example, using management agreement or plan that can guide depositional models (particle tracking) that predict future action for implementation.6 The measures the particulate outputs from fish cage aquaculture should be the most cost-effective set of management and that can be used in local-scale assessment of the arrangements designed to generate acceptable effects of fish cages on the organic footprint impact performance in pursuit of the objectives. on the sediment and sensitive demersal flora and fauna. Particulate tracking models use the output Without a clear set of objectives and time frame for from a spatially explicit hydrodynamic-dependent their achievement, the area management entity can particle tracking model to predict (organic) flux turn into a “talk shop” and lose credibility among from culture sites to the bottom. At the local scale, farmers, reducing its effectiveness and influence. screening models may be used to look at aquaculture Some elements of an area management agreement or yields,local impacts of fish farming and water quality. plan that should be considered are as follows: Figure 7 shows the modelled sediment impact below a cluster of fish farms in Panabo Mariculture Park, agreement on the participants; • the Philippines, based on the existing situation (2012) clear statements on the objectives and expected • and proposed rearrangement of the layout to increase outcomes; production while trying to minimize impact. For more information on EAA management plans, see FAO (2010); FAO (2012); Gumy, Soto and Morales (2014); and FAO (2016b). 6 Aquaculture Management Areas | 45 FIGURE 7. Output from a particulate waste distribution model (TROPOMOD) developed for fish cage culture, which provides a footprint of organic enrichment beneath clusters of fish farms (Panabo Mariculture Park, the Philippines) Flux (g m-2d-1) Seaweed Benthic Community Oysters Severe impact Sea cucumbers (no animals) 75 High impact 15 Moderate impact 1 Scale (m) 0 200 400 600 800 Source: Lopez and White. Case study of the Philippines; Annex 5 of this publication. Regular environmental monitoring surveys of the regulation of Turkish marine finfish aquaculture individual farms for local impact and aquaculture area to protect coastal waters, especially those of enclosed monitoring for clusters of farms are needed. In Turkey, bays and gulfs from pollution by fish farming. aquaculture zones are monitored using the TRIX index, Environmental monitoring systems are essential to which is a measure of eutrophication, and is a tool for address climatic variability and climate change (Box 2). BOX 2 Area-based environmental monitoring systems to address climatic variability and climate change Even though each farmer may collect some information and may have access to meteorological forecasts, these may not be enough for early warning on local extreme events. Simple information collected and shared on a permanent basis (e.g. water temperature, oxygen, transparency, water level, fish behaviour, salinity) can be highly relevant for decision-making, especially when changes can produce dramatic consequences. For example, temperatures above or below average can trigger diseases, or can bring anoxic water to the surface or trigger algal blooms that kill fish. The monitoring of environmental variables such as oxygen and water transparency can also indicate excessive nutrient output from farms, etc. The sharing of monitoring information in common areas combined with early warning systems can assist rapid response to diseases and other threats such as algal blooms and anoxic bouts. In general, environmental monitoring systems should follow a risk-based approach that recognizes that increased risk requires increased monitoring efforts. The involvement and value of locally collected information should be seen as very relevant to farmers to better understand the biophysical processes and become part of the solution, e.g. rapid adaptation measures and early warning, long-term behavioural and investment changes. Key activities include training of local stakeholders on the value of the information, monitoring, and use of the feedback for decision-making. It is also advisable to provide/implement some simple network/platform to receive and analyse the information, to coordinate and connect with broader forecasts and monitoring systems, and to provide timely feedback that is useful to local stakeholders. In such cases, well organized AMAs can generate information and facilitate feedback for faster responses. A recent consultation on developing an environmental monitoring system to strengthen fisheries and aquaculture resilience and improve early warning in the Lower Mekong Basin took place in Bangkok, Thailand, in 2015 (FAO, 2017). 46 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture Capacity building The FAO-INPESCA workshop on estimating carrying capacity for shrimp farming in Estero Real, Gulf of Fonseca, Nicaragua, targeted 25 stakeholder representatives, including national and local government aquaculture technical personnel, shrimp farmer companies, shrimp farming cooperatives, local communities, and representatives of fishers from Estero Real. The workshop focused on the process and steps to assess carrying capacity for shrimp farming in a Ramsar area and review current aquaculture zoning and management measures to ensure a sustainable shrimp farming sector. Courtesy of Doris Soto 6.3.1 Some key actions to establish ecological sustainability in the long term, so that there carrying capacity and maximum allowable remain areas without aquaculture, with buffers aquaculture production in aquaculture zones and and where no other human interventions are aquaculture management areas permitted. Environmental standards tend to be related to biological and chemical parameters such as maximum chlorophyll (eutrophication). 1. Define the boundaries of the aquaculture Ecological standards could include the presence zone or aquaculture management area, and abundance of indicator species such as a fish, considering it as an ecosystem unit. In crab, marine grass, or maximum water abstraction. freshwater systems boundaries are generally Social limits might involve ensuring fishing rights/ physical boundaries such as a river basin, a water areas are maintained, or minimising visibility from catchment, a lake or oxbow lake. Boundaries urban or tourism areas. in marine systems for enclosed bays or Fjordic systems can be defined as the point at which 4. Estimate the maximum ecological carrying they connect with the open sea, and are easier to capacity of the ecosystem unit to include the define than an open coastal zone or offshore area. maximum aquaculture production permitted; The latter marine cases may require operational estimated using the best available models (see boundaries such as a current border or a sharp Annex 4) and application of the standards change in hydrography, oceanographic conditions and thresholds agreed. There are some classical or benthic morphometry. models for assessing lakes and contained water bodies (e.g. modifications of Vollenweider, 1968; 2. Establish baseline conditions for the Beveridge, 1984) to estimate likely changes in aquaculture zone or AMA. This requires data phosphorus and nitrogen according to the known collection (either remotely or directly) to establish inputs from aquaculture and certain thresholds the pre-existing conditions. Here, satellite remote for chlorophyll concentration, as an indicator of sensing is useful to define physio-chemical ecosystem response (i.e. eutrophication effects). properties such as temperature in marine systems, Establishing carrying capacity in coastal ecosystems and land use in freshwater systems. Direct data or open water systems is much more challenging collection can include samples for water quality and due to complex oceanographic and biological benthic conditions. conditions and the lack of clear boundaries. Some models can estimate likely changes over large 3. Agree a set of standards or thresholds that areas, others assess impact of individual fish farms determine environmental, ecological and or mussel farms that could be extrapolated to social limits of change to the zone/area larger areas. The application of GIS is also useful in through stakeholder consultations, scientific determining physical limits on location through the research and local knowledge. All aquaculture application of basic criteria such as water depth has “impact”, whether this is change to conditions and buffers from existing activities. This could also in the immediate vicinity of fishpond outlets or include minimum distances between aquaculture further down river systems, under or surrounding sites and other areas (see distance ranges in Tables fish cages and mussel rafts, or changes to water 9 and 10 in Chapter 5 on site selection) along flows, where there may be temporary deterioration with sufficient distance from each other, adequate of some environmental conditions. Standards water depth, and circulation. Figure 8 provides account for the baseline conditions and determine an example of the application of GIS to estimate acceptable changes in those conditions, leading possible locations of farms and broad evaluation of to definitions of maximum acceptable criteria. overall capacity in Saudi Arabia based on physical What is important is to ensure resilience in the limits. overall area or ecosystem unit to ensure sufficient 48 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture 5. Invest in appropriate research to address 7. Establish an integrated environmental carrying capacity estimation of complex systems or monitoring system at the farm scale and/or open systems for aquaculture development. at the system scale. Integrated monitoring is required since monitoring individual farms is not 6. Permit production to commence through a sufficient on its own to establish multiplicative set application and licencing system. Increase effects of many farms in a zone/area. The production slowly at first, applying a conservative monitoring of reference areas, away from farms approach, and increase production when it is but in key positions in the AMA or aquaculture clear the current production is not having undue zone, can provide the reference conditions to environmental and social impacts. It is better to be evaluate and compare ecosystem change. Also, able to increase production slowly as ecosystem permanent monitoring of other similar habitats, indicators show that there is no or minimal harm such as aquatic reserves, marine reserves and to the ecosystem and/or the farming system, protected areas, can be useful to compare with instead of starting big and being forced to reduce areas being used by aquaculture. production due to serious environmental and/or fish health damage. FIGURE 8. Example output from GIS to identify potential sites for cage aquaculture within a zone along the Red Sea coast of Saudi Arabia Note: Basic criteria has bee applied to delimit suitable locations (i.e. maximum distance from coast, water depth, protected species and areas, and basic criteria for distance between sites. This does not define ecological capacity, which requires investigation of ecosystem quality and use of models to assess actual capacity. Source: Saunders et al. (2016). Aquaculture Management Areas | 49 6.4 Disease control in AMAs designed to mitigate the impact of aquatic animal diseases may include containment, eradication, Disease outbreaks pose one of the most significant disinfection and fallowing. Control measures should risks to the sustainability of aquaculture. There are be based on the ability to define epidemiological units. many examples of how the introduction of a disease Depending on the infection pathway of an aquatic or diseases has brought large aquaculture industries to animal disease, the epidemiological unit may need the verge of collapse with serious economic and socio- to encompass the entire AMA, or a subpopulation economic consequences. Biosecurity can be broadly within the AMA, for instance, one of a group of farm described as a strategic and integrated approach that sites within an AMA. Well-defined subpopulations of encompasses both policy and regulatory frameworks aquatic animals can then be managed according to aimed at analysing and managing risks relevant to realistic outcomes. The identification and prioritization human, animal and plant life, and health, as well as of hazards represents the first step justifying associated environmental risks (FAO, 2007a; 2007b). implementation of a biosecurity scheme. This is As such, it has direct relevance to the sustainability followed by assessment of the risk posed by these of aquaculture, protection of public health, the hazards and the evaluation of critical control points environment, and biodiversity. whereby the risk can be remediated. Establishment of appropriate measures against a defined hazard or In the context of aquatic animal health, the term disease, including appropriate contingency planning, biosecurity is used to describe the measures used allows the risk to be mitigated. A programme of to prevent the introduction of unwanted biological disease surveillance is instituted for the AMA to agents, particularly infectious pathogens, and monitor occurrence or absence of a disease. Where a to manage the adverse effects associated with hazard or disease is detected or has been introduced, contagious agents. It encompasses both farmed and eradication and disinfection provides a method of wild aquatic animals; exotic, endemic and emerging managing the impact of disease with the possibility diseases; and is applied from the farm to the of reinstating a disease-free status. One of the ecosystem, and at the national and international levels outcomes of a biosecurity scheme is audited third- (Scarfe et al., 2009). Farmers should be encouraged party certification. In order for a third party to provide or possibly mandated to follow sound biosecurity disease status assurances, transparent and credible practices that provide the framework for disease written records must demonstrate the effectiveness of management on the farm and that are implemented the biosecurity scheme in preventing, controlling and through documented standard operating procedures. eradicating disease within an AMA. At the farm level, the owner or operator is responsible for ensuring implementation of biosecurity. Auditing The devastation of the Chilean salmon farming industry and certification of the efficacy of a biosecurity by the ISA disease in 2007 provides an example of programme is provided by the attending veterinarian how AMAs have been implemented in this country to and competent government officer. help rehabilitate the farming of salmon and to create an environment conducive to the sustainable growth Biosecurity planning, applied from the farm to of the industry (Ibieta et al., 2011). Establishment of the national level, provides an effective means of AMAs appropriate for aquaculture has been legislated implementing disease control at multiple levels and in Chile through the so-called “neighbourhood for preventing catastrophic disease events. At the system”. These areas represent suitable zones for zone, compartment or AMA level, the biosecurity aquaculture activities according to appropriate plan provides an auditable process of management epidemiological, oceanographic, operational procedures that can be evaluated by hazard analysis or geographic characteristics, and incorporate and critical control point (HACCP) methodologies complementary environmental, sanitary and licencing (Zepeda, Jones and Zagmutt, 2008). Control measures regulations. Epidemiological, operational and logistical 50 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture characteristics of the AMAs are aimed to address the is an evolving document that is regularly reviewed ISA virus infection and control. These site regulations to incorporate essential changes in legislation and include movement of all aquaculture concessions to emerging priorities in environmental management and AMAs, limiting the life span of a concession to 25 years the sustainable development of the industry. It brings (renewable), and banning the movement of fish from the standard of practice of every participating farmer and between sea sites. This limits the movement of up to a specified acceptable level, and is based on broodstock from sea sites to freshwater facilities, as science and experience, reflecting the industry’s desire well as the temporary use of estuarine sites. Fish inputs, to remain at the forefront of good practice. disease prophylaxis, therapeutic interventions, sanitary issues, harvesting and fallowing are coordinated 6.6 Group certification among the farms within the AMAs (neighbourhoods). The distance between neighbourhoods has been The ability to provide third-party auditing and established at a minimum of 3 nautical miles (about certification through an effective and justifiable 5.6 km), and aquaculture sites must be spaced out by biosecurity plan, when applied at the farm or at least 1.5 nautical miles (about 2.8 km) from each compartment level, can allow farmers to access other and from marine protected areas (natural parks markets that require disease-status assurances that and reserves) (Ibieta et al., 2011). may not be available on a national level. This allows trade from a suitably certified AMA, even where a 6.5 Better management practices region or country is not certified free from a disease and cannot provide relevant disease-status guarantees. Better management practices (BMPs) are a set of guidelines that promote improved farming practices If the environmental or social indicator threshold to increase production through responsible and was breached, there would be need for measures to sustainable aquaculture. There is a significant level of reduce the impact. For instance, these could include variation in BMPs for different commodities, culture improved feeding strategies to reduce FCR, longer systems and locations. In India, BMPs implemented by fallowing periods, synchronization of grow-out farmer clusters have resulted in improved yields, fewer calendars to minimize excessive biomass at any one disease occurrences and higher profitability, as well as time, and other measures. If these fail to reduce the other private and public benefits. impact to the acceptable level, a drastic step may be needed, including reductions in the total production or In the Philippines, each mariculture park has an maximum standing biomass levels within the AMA. operations manual containing production guidelines and management measures following the principles of 6.7 Essential steps in the implementation, good aquaculture practices, and serves as the guideline monitoring and evaluation of a management for all activities within the parks. The guideline covers plan for an AMA zone and farm location, layout and design, biosecurity sanitation and hygiene, waste storage and removal, The implementation of the management plan should good farm management measures, including feeds and be time bound. Two aspects are important relative to a feeding, farm effluent treatment, worker health and time frame. The first is to decide on a base year for safety, disease diagnosis, treatment and chemical use, the management system. This will represent a year harvesting, post-harvest, traceability and food safety. (or period) against which progress can be measured. The second time aspect relates to target years or In Scotland, the United Kingdom of Great Britain periods by which various aspects of the work plan can and Northern Ireland, area management agreements be achieved, or by which any quantitative programme follow the Code of Good Practice for Scottish output should be attained. Overall, it is likely that the Finfish Aquaculture. The code, developed in 2006, management system should be envisaged as spanning Aquaculture Management Areas | 51 TABLE 12. Examples of indicators for aquaculture management areas Social Economic Environmental Governance Quality of labour • • Average farm profitability Average food conversion • Adoption of Code • conditions Level of disease outbreak • rate of Conduct or good Socio-economic benefit to • % of losses during • Level of eutrophication • aquaculture practices the local community production period (e.g. TRIX index) •AMA certification Positive perception by • • Market demand Benthic diversity at edge • •Compliance of farmers to local community Product quality and • of area (cages) management measures % of local people • safety Water quality at outfall • • Level of transparency employed • % certified (ponds) % of local women • employed a 5- to 10-year time frame, but during this period the Performance indicators must be set to inform system will need periodic reviews over shorter time scales. whether set targets are being achieved, while efficiency indicators would show if there has The management plan must address all the relevant been any improvement. The indicators that are issues, have very clear and achievable operational selected should cover sustainability dimensions– objectives for each issue, and a clear timeline for social, economic, environmental, and overarching completion with targets and indicators (Table 12). governance–at the aquaculture area scale. For each objective, an indicator and its associated The management plan must have responsible performance measures should be selected so that people/institutions/entities and requires adequate the performance of each objective can be measured funding for each management approach and also and verified (Table 12 and Table 13). The choice must have resources to implement the measures of indicators to be measured should reflect the as appropriate. Since it will generally be the cumulative impacts within the management area. central government that will be implementing the work, financing will mainly come from general A monitoring programme to keep track of tax revenues, though other sources of funding implementation must be put in place. In the context include stakeholder contributions, funding from of an AMA, monitoring keeps track of the progress external donors, international and multinational of the management plan based on indicators. Just organizations, grant funding, foundations and the as important, it provides an indication of compliance private sector. Since many of the activities that by AMA members with the agreed plan. Monitoring stand to gain from a management system will be in involves: (i) continuous or ongoing collection and the private sector, it would not be unreasonable to analysis of information about implementation to expect that a range of business associations might review progress; and (ii) compares actual progress be willing to help with financing. For example, an with what had been planned so that adjustments alternative source of funding tried in China is that can be made in implementation. all users of the sea must pay a “marine user fee” if they intend to carry out production and other Corrective measures can be implemented, an economic activities. important part of which are sanctions to non- It is almost certain that the eventual financial conforming members. The result of monitoring gives support will be delivered from more than one a factual, objective basis for a sanction. Should source. Clearly, funding will need careful planning non-compliers persist, a defined conflict-resolution ahead of the systems implementation. mechanism has to be agreed on and firmly applied. 52 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture TABLE 13. Examples of management plan objectives and indicators to address the prioritized issues Issues Operational Indicators Target Management measures objectives (e.g. in 1 year) Social Limited access to inputs Increase access to seeds Average seed (biomass, 10% increase first year Build a hatchery for the AMA (seed, feed, capital, etc.) by 20% (all farmers in the numbers, etc.) being area) in two years bought by farmer per growing cycle Economic Production losses due to Diminish losses by 30% in Mortality index 20% reduction by second Establish a biosecuirity fish diseases two years year; continual reduction framework in the area thereafter with all relevant procedures Environmental Eutrophication of the Diminish eutrophication Oxygen, fish kills, Diminish eutrophication Establish the carrying common area by 40% in three years chlorophyll-a (Chl-a) by 20% in the first year capacity for nutrients in the area; Reduce total production until meeting maximum allowable according to carrying capacity Use of chemicals impacting Use only authorized Use of (extent, percentage, Zero use of banned Designation of a common biodiversity medication; biomass, etc.) banned chemicals and medication veterinarian; All medication used under chemicals and medication by year 2 All medication given under guidance of health supervision and coordinated specialist Governance Inadequate monitoring Regular monitoring of Number of performance Thorough annual monito- Regular monitoring survey and control performance indicators and indicators and related th- ring of indicators and full with standard analysis and compliance of farmers; resholds being recorded report after year 2 regular reporting and eva- All farmers in the area luation management complying to management plan Lack of institutional Designated management Number of key posts All area management Training and standard capacity committee members are filled posts filled in first year operating procedures knowledgeable, efficient on key management and well trained measures Aquaculture Management Areas | 53 That said, the use of incentives for compliance can Beveridge, M.C.M. 1984. 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Pérez, O.M., Telfer, T.C. & Ross, L.G. 2003b. On the Aquaculture, 274 (2–4): 313–328. calculation of wave climate for offshore cage culture Soto, D., Salazar, F.J. & Alfaro, M.A. 2007. site selection: a case study in Tenerife (Canary Considerations for comparative evaluation of Islands). Aquacultural Engineering, 29: 1–21. environmental costs of livestock and salmon Ross, L.G., Telfer, T.C., Falconer, L., Soto, D. & farming in southern Chile. In D.M. Bartley, Aguilar-Manjarrez, J., eds. 2013. Site selection C. Brugère, D. Soto, P. Gerber & B. Harvey, eds. and carrying capacities for inland and coastal Comparative assessment of the environmental aquaculture. FAO/Institute of Aquaculture, costs of aquaculture and other food production University of Stirling, Expert Workshop, 6–8 sectors: methods for meaningful comparisons, December 2010. Stirling, UK. FAO Fisheries and pp. 121–136. FAO/WFT Expert Workshop, 24–28 Aquaculture Proceedings No. 21. Rome, FAO. April 2006, Vancouver, Canada. FAO Fisheries 46 pp. Includes a CD–ROM containing the full Proceedings No. 10. Rome, FAO. 241 pp. (also document (282 pp.). (also available at available at www.fao.org/docrep/017/i3099e/i3099e00.htm). www.fao.org/docrep/010/a1445e/a1445e00.htm). Saunders, J., Cardia, F., Hazzaa, M.S., Rasem, Stigebrandt, A. 2011. Carrying capacity: general B.M.A., Othabi, M.I. & Rafiq, M.B. 2016. Atlas principles of model construction. Aquaculture of potential areas for cage aquaculture: Red Research, 42: 41–50. doi:10.1111/j.1365- Sea - Kingdom of Saudi Arabia. FAO Project UTF/ 2109.2010.02674.x. SAU/048/SAU, “Strengthening and supporting Stockwell, A., Boivin, T., Puga, C., Suwala, J., further development of aquaculture in the Johnston, E., Garnesson, P. & Mangin, A. 2006. Kingdom of Saudi Arabia”. FAO and Saudi Ministry Environmental information system for harmful algal of Agriculture, Saudi Arabia. 104 pp. (also available bloom monitoring in Chile, using earth observation, at www.fao.org/documents/card/en/c/c486bfa2- hydrodynamic model and in situ monitoring data. 8b80-4b26-9906-37377d110968/). (also available at www.esa.int/esaEO/SEMUS5AATME_economy_0. html). 58 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture Tett, P., Portilla, E., Gillibrand, P.A. & Inall, M.E. in accordance with agreed strategies, 2011. Carrying and assimilative capacities: the management practices and codes of ACExR-LESV model for sea-loch aquaculture. conduct, and manage production in Aquaculture Research, 42: 51–67. doi:10.1111/ order to reduce and manage risks j.1365-2109.2010.02729.x. posed by disease and parasites, Vollenweider, R.A. 1968. Scientific fundamentals of including cumulative environmental the eutrophication of lakes and flowing water with impacts and social conflict. particular reference to nitrogen and phosphorus as factors in eutrophication. Technical Report Biosecurity Mitigating the risks and impacts on DASISU/68–27. Paris, OECD. the economy, the environment, social World Bank. 2014. Reducing disease risk in amenity or human health associated aquaculture. Report 88257-GLB. World Bank with pests and diseases. Group. Washington, DC. Zepeda, C., Jones, J.B. & Zagmutt, F.J. 2008. Carrying Carrying capacity is the amount Compartmentalisation in aquaculture production capacity of a given activity that can be systems. Rev. sci. tech. Off. int. Epiz., 27 (1): 229– accommodated within the 241. environmental capacity of a defined area. In aquaculture, it is usually considered to be the maximum quantity of fish that any particular GLOSSARY body of water can support over a long period without negative effects Aquaculture A legal document giving to the fish and to the environment licence officialauthorization to carry out (FAO, 2009; Ross et al., 2013). aquaculture. This authorization may take different forms: an aquaculture Coastal zone The management of coastal and permit, allowing the activity itself to management marine areas and resources for take place; or an authorization the purposes of sustainable use, or concession, allowing occupation development and protection and/or for aquaculture of an area in (IUCN, 2009). the public domain so long as the applicant or holder of the Ecosystem A dynamic complex of plant, animal authorization complies with the and micro-organism communities and environmental and aquaculture their nonliving environment interacting regulations and other conditions of as a functional unit (Millennium the authorization (IUCN, 2009). Ecosystem Assessment, 2005). Aquaculture An aquaculture zone is an area Ecosystem  The boundaries of a system of zone dedicated to aquaculture, recognized boundaries complex interactions of ecosystem- by physical or spatial planning linked populations (including humans) authorities, that would be considered between themselves and with their as a priority for local aquaculture environment. development (GESAMP, 2001; Sanchez-Jerez, et al., 2016). Evaluation Evaluation is the systematic examination of a project in order to Area  A plan for the management of a determine its efficiency, effectiveness, management defined area for aquaculture where impact, sustainability and relevance of plan the farmers undertake aquaculture its objectives. Glossary | 59 Fallowing This refers to leaving an aquaculture social and cultural values identified by site empty of fish stock and all society. removable production structures for a certain period of time. It can be Site selection Site selection is the process by done for environmental or sanitary which various factors indicated are reasons. For an aquaculture company, considered to enable one to decide fallowing implies having several on the right site for a specific culture sites in order to maintain production system, or alternatively, to decide capacity year-round (IUCN, 2009). on a culture system that suits the available site (Kutty, 1987; Ross et al., Indicator Indicator is a parameter, or a value 2013). derived from parameters, which points to, provides information Site  Refers to all the actions involved in about, and describes the state of a management maintaining the activity on the site, phenomenon/environment/area, with including the environmental, legal, a significance extending beyond that administrative and managerial aspects directly associated with a parameter of the activity (IUCN, 2009). value (OECD, 2003). Refers to the methods used by Spatial planning  the public sector to influence the Issue tree An issue tree, also called a logic distribution of people and activities tree, is a graphical breakdown of an in spaces of various scales. Spatial issue that dissects it into its different planning takes place at local, components vertically. regional, national and international levels and often results in the creation Management Management areas are defined of a spatial plan. Spatial planning areas geographical waterbody areas where also entails a system that is not only all the operators in the management spatial, but one that also engages area agree (coordinate and cooperate) processes and secures outcomes to certain management practices or that are sustainable, integrated and codes of conduct. inclusive (FAO, 2013). Monitoring Monitoring is the continuous or Social carrying Social carrying capacity is the level periodic surveillance of the physical capacity of development above which implementation of a project to ensure unacceptable social impacts would that inputs, activities, outputs and occur. external factors are proceeding as planned. Stakeholder Person, group or organization that has a direct or indirect interest in Operational Operational objectives are measurable an activity normally initiated by a objectives production, environmental and management authority or other additional socioeconomic targets to stakeholders or is affected or has an be achieved within immediate and interest in an objective or policies long-term scales. established by such management authority (IUCN, 2009). Risk assessment focusing on a variety Risk assessment  of ecological attributes in order to Surveillance Means a systematic series of protect the environmental, economic, investigations of a given population 60 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture of aquatic animals to detect the Sources occurrence of disease for control purposes, and which may involve testing samples of a population. FAO. 2009. Environmental impact assessment and monitoring in aquaculture. FAO Fisheries and Surveillance Means a zone in which a systematic Aquaculture Technical Paper No. 527. Rome. zone series of investigations of a given 57 pp. Includes a CD-ROM containing the full population of aquatic animals takes document, 648 pp. (also available at place. www.fao.org/docrep/012/i0970e/i0970e00.htm). FAO. 2013. Applying spatial planning for promoting Targeted  Means surveillance targeted at a future aquaculture growth. Seventh Session of the surveillance specific disease or infection. Sub-Committee on Aquaculture of the FAO Zone  Means a portion of one or more Committee on Fisheries. St Petersburg, Russian countries comprising an entire Federation, 7–11 October 2013. Discussion catchment area from the source of document: COFI:AQ/VII/2013/6. (also available at a waterway to the estuary, more www.fao.org/cofi/43696-051fac6d003870636160 than one catchment area, part of a 688ecc69a6120.pdf). catchment area from the source of GESAMP (IMO/FAO/UNESCO-IOC/WMO/WHO/ a waterway to a barrier, or a part of IAEA/UN/UNEP Joint Group of Experts on the the coastal area, or an estuary with Scientific Aspects of Marine Environmental a precise geographical delimitation Protection). 2001. Planning and management for that consists of a homogeneous sustainable coastal aquaculture development. Rep. hydrological system. Stud.GESAMP, (68): 90 pp. (also available at www.fao.org/docrep/005/y1818e/y1818e00.htm). Zoning Means identifying zones for disease IUCN. 2009. Guide for the sustainable development control purposes. of Mediterranean aquaculture 2. Aquaculture site (aquatic animal health) selection and site management. IUCN, Gland, Switzerland and Malaga, Spain. VIII, 303 pp. Zoning Zoning implies bringing together the (also available at criteria for locating aquaculture and https://portals.iucn.org/library/sites/library/files/ other activities in order to define broad documents/2009-032.pdf). zones suitable for different activities or Kutty, M.N. 1987. Site selection for aquaculture. mixes of activities. Zoning may be used United Nations Development Programme. FAO. either as a source of information for Nigerian Institute for Oceanography and Marine potential developers (for example, by Research. Project RAF/82/009. (also available at identifying those areas most suited to www.fao.org/docrep/field/003/AC170E/AC170E00. a particular activity); or as a planning htm#ch1). and regulating tool, in which different Millennium Ecosystem Assessment. 2005. zones are identified and characterized Ecosystems and human well-being: synthesis. as meeting certain objectives Washington, DC, Island Press. (also available at (GESAMP, 2001). www.millenniumassessment.org/documents/ document.356.aspx.pdf). OECD. 2003. OECD glossary of statistical terms. [online]. France. [Cited 12 January 2017]. https://stats.oecd.org/glossary/detail.asp?ID=830. Glossary | 61 Ross, L.G., Telfer, T.C., Falconer, L., Soto, D. & Aguilar-Manjarrez, J., eds. 2013. Site selection and carrying capacities for inland and coastal aquaculture. FAO/Institute of Aquaculture, University of Stirling, Expert Workshop, 6–8 December 2010. Stirling, UK. FAO Fisheries and Aquaculture Proceedings No. 21. Rome, FAO. 46 pp. Includes a CD–ROM containing the full document (282 pp.). (also available at www.fao.org/docrep/017/i3099e/i3099e00.htm). Sanchez-Jerez, P., Karakassis, I., Massa, F., Fezzardi, D., Aguilar-Manjarrez, J., Soto, D., Chapela, R., Avila, P., Macias, J. C., Tomassetti, P., Marino, G., Borg, J. A., Franiˇcevi´ c, V., Yucel-Gier, G., Fleming, I.A., Biao, X., Nhhala, H., Hamza, H., Forcada, A. & Dempster, T. 2016. Aquaculture’s struggle for space: the need for coastal spatial planning and the potential benefits of allocated zones for aquaculture (AZAs) to avoid conflict and promote sustainability. Aquaculture Environment Interactions. Aquacult Environ Interact, Vol. 8: 41–54. (also available at www.int-res.com/articles/aei2016/8/q008p041.pdf). 62 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture Annex 1. Binding and Non- Legally Binding International Instruments That Govern Sustainable Aquaculture Arron Honniball and Blaise Kuemlangan Binding Instruments United Nations Framework Convention on Climate Change, UNFCCC (New York, 1992). The UNFCCC has Ramsar Convention on Wetlands of International provided a foundation for fostering national mitigation Importance (Ramsar, 1971). The Ramsar Convention is and adaptation commitments to address climate an intergovernmental treaty that provides the frame- change and ocean acidification. Those commitments work for national action and international cooperation have been further elaborated through the Kyoto for the conservation and wise use of wetlands and their Protocol (1997) and the Paris Agreement (2015). resources. Convention on Biological Diversity, CBD (Rio de Janeiro, Convention on International Trade on Endangered 1992). The CBD calls upon Member States to conserve Species of Wild Fauna and Flora, CITES (Washington, and sustainably use biodiversity, and to ensure access DC, 1973). CITES strives to ensure that international and benefit sharing from genetic resources. The CBD trade in listed specimens of wild animals and plants supports ecosystem and precautionary approaches and does not threaten their survival. promotes in situ conservation in protected areas. Convention on the Conservation of Migratory Species Cartagena Biosafety Protocol (Cartagena, 2000). The of Wild Animals, CMS (Bonn, 1979). The CMS raises Protocol seeks to protect biological diversity from the the need to consider aquaculture impacts on listed potential risks posed by living modified organisms migratory species, which include various marine resulting from modern biotechnology. mammals and waterbirds. United Nations Convention on the Law of the Sea, UNCLOS Non-Binding Instruments (Montego Bay, 1982). UNCLOS governs all aspects of ocean and Guidelines space and sets out jurisdictional rights and conservation Kyoto Declaration on Aquaculture (1976). Adopted at responsibilities relating to marine living resources. the first FAO organized aquaculture conference, the Honniball, A. & Kuemlangan, B. 2017. Binding and Non-Legally Binding International Instruments That Govern Sustainable Aquaculture. In J. Aguilar- Manjarrez, D. Soto & R. Brummett. Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture. Full document, pp. 63–66. Report ACS113536. Rome, FAO, and World Bank Group, Washington, DC. 395 pp. Binding and Non-Legally Binding International Instruments That Govern Sustainable Aquaculture | 63 Declaration placed the spotlight on the absence of to fishing grounds are not negatively affected by an adequate legal basis for aquaculture development aquaculture, government authorities are encouraged in many countries. Governments are urged to enact to foster agreements between aquafarmers and fishers aquaculture legislation facilitating the establishment to avoid resource conflicts and to subject large-scale of aquaculture industries and enabling the zoning of aquaculture developments to social and economic suitable coastal and inland areas for aquaculture. assessments. Agenda 21 (1992). Chapter 17 of this global action Bangkok Declaration and Strategy for Aquaculture plan for achieving sustainable development urges Development Beyond 2000 (2000). The Declaration countries to: provide for an integrated policy and emphasizes that aquaculture should be pursued as decision-making process, including all involved sectors; an integral component of development, contributing promote compatibility and balance of use; implement through sustainable livelihoods for the poor and integrated coastal and marine management plans; enhancing social well-being. The need for national apply preventative and precautionary approaches in aquaculture policies and regulations to promote project planning and implementation; and prepare economically viable but also environmentally respon- land and water use and siting policies. sible and socially acceptable farming practices is also highlighted. The Strategy notes the importance of Rio Declaration on the Environment and Development integrating aquaculture into coastal area and inland (1992). Adopted at the Rio Conference on Environment watershed management plans and ensuring aqua- and Development, the Declaration sets out 27 principles culture developments are within local and regional as sustainable development guideposts. Key principles carrying capacities. The Strategy calls for clarifying to be followed at the national level include: intra- and legal frameworks and policy objectives regarding intergenerational equity (principle 3); public participation access and user rights for farmers and developing (principle 10); the precautionary approach (principle 15); comprehensive and enforceable laws and procedures and environmental impact assessment (principle 17). that encourage sustainable aquaculture. FAO Code of Conduct for Responsible Fisheries (1995). International Principles for Responsible Shrimp Farming Applying to fisheries but also to aquaculture, the (2006). The International Principles are aimed at Code encourages States to: develop and maintain countering inappropriate and unplanned siting of appropriate legal and administrative frameworks to shrimp farms. Guidance is given for farm siting, in facilitate the development of responsible aquaculture; particular, not building new shrimp farms above the produce and regularly update aquaculture develop- intertidal zone; ensuring no net loss of mangroves ment strategies and plans; establish environmental or other sensitive wetland habitats; not locating new assessment and monitoring procedures specific to shrimp farms in areas already at their carrying capacity aquaculture; and to integrate aquaculture into coastal for aquaculture; retaining buffer zones between farms area management. States are urged to ensure respon- and other users; and obeying land use and coastal sible siting and management of aquaculture activities, management plans. The International Principles which could affect transboundary aquatic ecosystems. urge the preparation of integrated coastal area FAO Technical Guidelines for Aquaculture Develop- management plans that designate environmentally ment (1997). The Guidelines promote the siting of suitable locations for shrimp farms and other types of aquaculture activities in locations which: are suitable aquaculture. for sustainable production and income generation; FAO Guidelines on the Ecosystem Approach to are economically and socially appropriate; prevent Aquaculture (2010). The Guidelines stress the need or minimize conflicts with other resource users; for integrated planning and management systems and and respect nature preserves, protected areas and the need to pay more attention to the watershed scale critical or especially sensitive habitats. To ensure that where clusters of farms may have cumulative ecosys- livelihoods of local communities and their access tem effects. The Guidelines clarify that zoning may 64 | Binding and Non-Legally Binding International Instruments That Govern Sustainable Aquaculture be used either in planning to identify potential areas https://treaties.un.org/doc/Publication/UNTS/ for aquaculture or a regulatory measure to control the Volume%202226/v2226.pdf). development of aquaculture. FAO. 1995. Code of Conduct for Responsible Fisheries. Sustainable Development Goals (2015). Goal 14 of Rome. 41 pp. (also available at www.fao.org/3/ the 2030 Agenda for Sustainable Development is to a-v9878e.pdf). conserve and sustainably use the oceans, seas and FAO. 1997. Aquaculture development. FAO Technical marine resources for sustainable development. Target Guidelines for Responsible Fisheries No. 5. Rome. 14.7 addresses aquaculture and calls for increasing by 40 pp. (also available at www.fao.org/docrep/003/ 2030 the economic benefits from the sustainable use w4493e/w4493e00.htm). of marine resources including through the sustainable FAO/NACA/UNEP/WB/WWF. 2006. International management of fisheries, aquaculture and tourism, principles for responsible shrimp farming. Network to small island developing states and least developed of Aquaculture Centres in Asia-Pacific (NACA). countries. Bangkok, Thailand. 20 pp. (also available at www.enaca.org/uploads/international-shrimp- References principles-06.pdf Agenda 21, 1992 FAO. 2010. Aquaculture development. 4. Ecosystem United Nations. 1993. Agenda 21. Report of the approach to aquaculture. FAO Technical Guide- United Nations Conference on Environment and lines for Responsible Fisheries No. 5, Suppl. 4. Development, Rio de Janeiro, 3–14 June 1992. Rome. 53 pp. (also available at www.fao.org/ Annex II. UN Doc: A/CONF.151/26 (Vol. 1). docrep/013/i1750e/i1750e00.htm). New York, United Nations. 471 pp. (also available at www.un.org/en/ga/search/view_doc International Principles for Responsible Shrimp Farming, 2006 .asp?symbol=A/CONF.151/26/Rev.1(Vol.I)). FAO/NACA/UNEP/WB/WWF. 2006. International NACA/FAO. 2000. Aquaculture development beyond principles for responsible shrimp farming. Network 2000: the Bangkok declaration and strategy. of Aquaculture Centres in Asia-Pacific (NACA). Conference on Aquaculture in the Third Millen- Bangkok, Thailand. 20 pp. (also available at www nium, 20–25 February 2000, Bangkok, Thailand. .enaca.org/uploads/international-shrimp- Bangkok, NACA and Rome, FAO. 27 pp. (also principles-06.pdf). available at www.fao.org/3/a-ad351e.pdf). Kyoto Declaration on Aquaculture, 1976 Bonn, 1979 FAO. 1976. Kyoto Declaration on Aquaculture. Report United Nations. 1991. Convention on the Conserva- of the FAO Technical Conference on Aquaculture. tion of Migratory Species of Wild Animals. Kyoto, Japan, 26 May–2 June 1976. FAO Fisheries 23 June 1979, Bonn, Germany. United Nations Report No. 188. Rome. 93 pp. (also available at Treaty Series, Vol. 1651, 1-28395. Entered into www.fao.org/docrep/005/AC863E/AC863E00 force 1 November 1983. (also available at https:// .htm). treaties.un.org/doc/Publication/UNTS/Volume%20 1651/v1651.pdf). Kyoto Protocol, 1997 United Nations. 2005. Kyoto Protocol to the United Cartagena, 2000 Nations Framework Convention on Climate United Nations. Cartagena Protocol on Biosafety to Change. 11 December 1997, Kyoto, Japan. United the Convention on Biological Diversity. 29 January Nations Treaty Series, Vol. 2303, 1-30822. Entered 2000, Montreal, Canada. United Nations Treaty into force 16 February 2005. (also available at Series, Vol. 1760, 1-30619. Entered into force https://treaties.un.org/doc/Publication/UNTS/ 11 September 2003. (also available at Volume%202303/v2303.pdf). Binding and Non-Legally Binding International Instruments That Govern Sustainable Aquaculture | 65 Montego Bay, 1982 Rio de Janeiro, 1992 United Nations. 1994. United Nations Convention United Nations. 1993. Convention on Biological on the Law of the Sea. 10 December 1982, Diversity. 5 June 1992, Rio de Janeiro, Brazil. Montego Bay, Jamaica. United Nations Treaty United Nations Treaty Series, Vol. 1760, 1-3061. Series, Vol. 1833, 1-31363. Entered into force Entered into force 29 December 1993. (also 16 November 1994. (also available at https:// available at https://treaties.un.org/doc/Publication/ treaties.un.org/doc/Publication/UNTS/Volume%20 UNTS/Volume%201760/v1760.pdf). 1833/volume-1833-A-31363-English.pdf). Rio Declaration on the Environment New York, 1992 and Development, 1992 United Nations. 1994. United Nations Framework United Nations. 1993. 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(also available at https:// treaties.un.org/doc/Publication/UNTS/Volume%20 993/volume-993-I-14537-English.pdf). 66 | Binding and Non-Legally Binding International Instruments That Govern Sustainable Aquaculture Annex 2. Biosecurity Zoning and Compartments, Infected Zones, Disease-Free Zones David Huchzermeyer and Melba G. Bondad-Reantaso 1. Introduction undetected in wild aquatic animals sharing the same waters. Water in which aquatic animals are farmed The impact of infectious diseases poses an ever- provides an effective medium for the transfer of these increasing challenge to aquaculture and marketability of pathogens. Where farmed and wild aquatic animals aquaculture products as the farming of aquatic animals share a common water source, pathogen transfer may increases in intensity to meet growing global demand. take place not only among the farmed population, but Aquaculture and all levels of aquatic resource manage- also from farmed-to-wild, and from wild-to-farmed ment play an important role in food security, and may individuals. Furthermore, inadvertent release of infec- have far reaching effects on rural development, water tious agents from aquaculture farms into the natural management, the environment, poverty alleviation, environment poses serious ecological concerns and livelihoods, trade, and gender and household nutrition has the potential to impact on natural species diversity. (FAO/RAP, 2003). This chapter details how the concept Biosecurity zoning and compartmentalization provide of biosecurity is used to limit disease transmission in the a holistic approach to managing the threats posed by aquatic environment and how this is applied to zoning such diseases in the aquatic environment with the aim in aquaculture. of establishing and maintaining populations of aquatic animals with distinct health status and effectively Aquaculture farming creates large densely stocked separating these from populations with a different populations of aquatic animals that are susceptible to health status (Zepeda, Jones and Zagmutt, 2008). numerous infectious agents. In unstressed populations or where environmental conditions do not favour Far reaching consequences for both farmed and wild expression of clinical symptoms, a disease may go aquatic animals may occur when exotic diseases undetected. Where a contagious aquatic pathogen are introduced, often inadvertently, into the aquatic is present within a susceptible population of aquatic environment. Changes in the behaviour or distribution animals, the expression of disease (morbidity and of an established endemic disease, or the emergence mortality) will depend on numerous factors, including of a previously unknown disease, may be equally life stage of the host and environmental and husbandry detrimental (Arthur et al., 2005). Disease outbreaks conditions. Intense aquaculture environments tend to have proved to be one of the major constraints limiting be conducive to expression of diseases that may remain growth and sustainability of aquaculture, and in certain Huchzermeyer, K. D. A. & Bondad-Reantaso, M. G. 2017. Biosecurity, zoning and compartments, infected zones, disease-free zones. In J. Aguilar-Manjarrez, D. Soto & R. Brummett. Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture. Full document, pp. 67–86. Report ACS113536. Rome, FAO, and World Bank Group, Washington, DC. 395 pp. Biosecurity Zoning and Compartments, Infected Zones, Disease-Free Zones | 67 instances have resulted in the complete collapse of an increasingly important route of pathogen spread aquaculture fisheries with serious socioeconomic (Oidtmann et al., 2011). Advances in trade in live impact (Bondad-Reantaso et al., 2005; Subasinghe, aquatic animals and the efficiency of modern transpor- 2005). There are numerous such examples that in tation methods have created opportunities for highly recent years have resulted in tens of thousands of contagious transboundary aquatic animal diseases lost jobs, billions of dollars in direct loss, and collapse (TAADs), that have the potential to cause serious of economies reliant on aquatic animal production, socioeconomic impact and to spread rapidly across particularly in developing countries (Brummett national borders (Baldock, 2002; Bondad-Reantaso, et al., 2014). The introduction of the infectious salmon 2004; Subasinghe, 2005; Rodgers, Mohan and Peeler, anaemia (ISA) virus into Chilean salmon farms (Asche 2011). Once a pathogen becomes established within et al., 2009), the emergence of bacterial disease, such the natural ecosystem, treatment and eradication as acute hepatopancreatic necrosis disease (AHPND) may become virtually impossible (Hine et al., 2012). in shrimp farms in a number of Asian countries (FAO, In recent years, the emergence of koi herpesvirus, a 2013) and spread of white spot syndrome (WSS) highly contagious disease of carp (Cyprinus carpio); virus to shrimp farms in two countries bordering the epizootic ulcerative syndrome (EUS), an oomycete Mozambique channel (World Bank/RAF, 2013; FAO, infection that affects a wide range of fresh and 2015), underscore the vulnerability of aquaculture brackish-water finfish; and ISA, a serious viral disease farming (Brummett et al., 2014; Oidtmann et al., 2011). of Atlantic salmon, have had a major impact on finfish Such disease outbreaks have the potential of seriously production in various parts of the world where these compromising investment in future aquaculture devel- diseases previously did not occur. Among invertebrate opment. Exotic disease incursions do not only affect aquatic animals, the emergence of the viral diseases of aquaculture; they may also pose serious risk to natural shrimp: white spot syndrome, yellow head disease and fish stocks. The important role of ornamental fish in Taura syndrome; and in bivalves: the parasitic disease transmitting disease is well illustrated by epidemics Bonamia ostreae and the ostreid herpesvirus have led to of koi herpesvirus disease in cultured and wild carp enormous financial losses and socioeconomic disruptions populations in Indonesia following introduction of in affected countries (Bondad-Reantaso et al., 2005; the disease in 2002 (Sunarto, Rukyani and Itami, Oidtmann et al., 2011). 2005). Other poorly managed pathways of disease For aquaculture development to remain sustainable, transmission may involve spread from non-native wherever possible, timeous measures need to be food stocks (live, fresh or frozen material) used in applied to prevent transfer and introductions of aquaculture as in the case of pilchard herpesvirus that aquatic animal pathogens and to limit the conse- decimated wild Australian pilchard stocks following quences of disease outbreaks (Hine et al., 2012). the introduction of the disease into these waters in the The development and implementation of biosecurity late 1990s (Whittington, Jones and Hyatt, 2005). Wild and zoning strategies is increasingly recognized by populations of aquatic animals may harbour diseases countries and industries as essential to sustainable and act as reservoirs for infection in cultured stocks. growth in aquaculture (Håstein et al., 2008; Hine et al., This is particularly relevant to shrimp and marine finfish 2012). One of the strongest incentives for implement- (Bondad-Reantaso et al., 2005). Interactions between ing national biosecurity programmes is the ability to wild and cultured populations are thus of particular move and trade aquatic animals and their products concern for aquaculturists and natural resource free of specific pathogens (Håstein et al., 2008). This conservation officers. requires international recognition of a country’s ability Movement of live aquatic animals, within and between to demonstrate effective biosecurity and zoning countries, associated with aquaculture, marketing of strategies, including the ability to maintain zones and live aquatic animals, and the ornamental fish trade is compartments of known disease status. 68 | Biosecurity Zoning and Compartments, Infected Zones, Disease-Free Zones 2. Definitions of biosecurity, propose the following essential elements to ensure that zoning and compartments, the biosecurity plan is effective, justifiable and useful: infected zones and disease- • apply to a defined epidemiological unit or area free zones (compartment) or geographical zone; 2.1 Biosecurity • identify specific disease hazards (infectious pathogens); Biosecurity can be broadly described as a strategic and • evaluate the risk of these hazards to the unit; integrated approach that encompasses both policy and • evaluate critical points where diseases can enter or regulatory frameworks aimed at analysing and manag- leave the unit; ing risks relevant to human, animal and plant life and • evaluate and monitor disease status of the unit; health, as well as associated environmental risks (FAO, • have contingency plans in place if disease does 2007a). Biosecurity has direct relevance to the sustain- break out; ability of aquaculture while ensuring protection of • have written records for third-party auditing and public health, the environment and biological diversity. certifying, particularly where markets require live The term biosecurity in the context of aquatic animal animals or their products to be certified as free of health is used to specifically describe the measures disease or specific pathogens; and used to prevent introduction of unwanted biological • be transparent and credible. agents, particularly infectious pathogens, and to man- For purposes of disease control, biosecurity principles age adverse effects associated with contagious agents. should be applied to all levels of aquatic animal disease It encompasses both farmed and wild aquatic animals; management, from farm to national and regional levels. exotic, endemic and emerging diseases; and is applied from the farm to the ecosystem, and at national and Export markets may source aquatic commodities from international levels (Scarfe et al., 2009). Subasinghe countries where establishing and maintaining freedom and Bondad-Reantaso (2006) defined biosecurity from a particular disease for the entire country may be in aquaculture as a collective term that refers to difficult, or from regions of the world where countries the concept of applying appropriate measures (e.g., may not have the infrastructure, expertise and proactive disease risk analysis) to reduce the prob- resources needed to provide disease-status guarantees ability of a biological organism or agent spreading to on a national level, as required by the importing an individual, population or ecosystem and to mitigate countries. In such cases, distinct advantages are linked the adverse impact that may result. Such analysis is to applying biosecurity principles to subpopulations done in a way that incorporates best available informa- of aquatic animals restricted to compartments and tion on aspects of good husbandry, epidemiology and zones within the country. With application of relevant good science. biosecurity measures to compartments, trade from an individual farm unit becomes possible, even when a Where farming of aquatic animals takes place in open country as a whole is unable to provide guarantees of water systems connected to natural waterways, it freedom from diseases of relevance. may be impossible to exclude all infectious diseases. Biosecurity practices provide the procedures that limit 2.2 Zones the impact of infectious diseases. These include the prevention, control and eradication of diseases (Scarfe The World Organisation for Animal Health (OIE) et al., 2009). Farmers are increasingly encouraged, and defines a zone as a portion of a contiguous water in some cases mandated, to follow sound biosecurity system with a distinct health status with respect to practices. In order to have a predicted outcome, these certain diseases (Corsin et al., 2009; OIE, 2016). The should be formulated into a structured biosecurity plan recognition of zones is thus based on geographical that provides the framework for disease management boundaries (OIE, 2016). A zone may comprise one or on the farm and is implemented through documented more water catchments, from the source of a river to standard operating procedures. Scarfe et al. (2009) an estuary or lake, or only part of a water catchment Biosecurity Zoning and Compartments, Infected Zones, Disease-Free Zones | 69 from the source of a river to a barrier that effectively and Hill, 2004). Where possible, eradication or control prevents introduction of specific infectious agents measures may be implemented. A zone will retain its (OIE, 2016). Coastal areas and estuaries with precise status as infected until eradication of the disease has geographic delineation may also comprise a zone (OIE, been proved through appropriate targeted surveillance. 2016). The boundaries of zones must be scientifically If eradication is not possible, an infected zone may be justifiable, and should not be based on administrative surrounded by a clearly demarcated buffer zone that is regions or industry/production-related convenience subject to targeted surveillance for the disease in order and needs (OIE, 2016). An integral part of a biosecurity to protect surrounding areas with a disease-free status strategy is the ability to identify, maintain and (Subasinghe, McGladdery and Hill, 2004). effectively manage subpopulations of aquatic animals relative to the presence or absence of disease within 2.5 Disease-Free Zones defined zones. For official disease control purposes, Zones free of specific diseases may constitute geo- it is important that diseases restricted to zones are graphical or hydrological areas within which suscep- regulated and compulsorily notifiable under relevant tible aquatic animal populations have been shown, legislation of the concerned country (Subasinghe, through targeted surveillance and protection from McGladdery and Hill, 2004). exposure, to be free of a specific infectious disease. Disease-free compartments constitute farms or aqua- 2.3 Compartments culture establishments with independent, protected On a smaller scale, compartmentalization is based on water supplies that meet specific regulated biosecurity the concept that animals sharing the waters within and surveillance measures that demonstrate absence the same geographical location will share a common of a specific infectious disease and guard against exposure risk to pathogens. The factors defining introduction of the disease. For trade purposes, such a compartment are based on management and establishments must be officially registered with the biosecurity practices, and criteria are established by the relevant national authority. Facility-based, disease-free relevant aquatic animal health services of a country with compartments may be located within an infected the objective of facilitating trade in aquatic animals and zone or within zones of unknown disease status. their products and as a tool for disease management The acceptance of disease-free compartments for (OIE, 2016). Compartments are epidemiologic units international trade purposes opens opportunities for that define both the disease status of the population aquaculture producers to access international markets and the level of risk for entry of new pathogens (Corsin from countries where resources, skilled manpower, et al., 2009). For the purpose of international trade, infrastructure or hydrologic limitations preclude a compartment is defined by the OIE as one or more collection of sufficient national surveillance data to aquaculture establishments under a common biosecu- prove absence of disease from larger zones. rity management system, containing an aquatic animal population with a distinct health status with respect World Organisation 3.  to a specific disease or diseases for which required for Animal Health (OIE) surveillance and control measures are applied and basic guidelines and other biosecurity conditions are met (Corsin et al., 2009; OIE, 2016). One or more compartments within the same technical guidelines geographic delineation may make up a zone. To meet the aims and needs of modern society, biosecurity systems need to be based on robust 2.4 Infected Zones and transparent scientific inputs to standard-setting An infected zone represents a clearly delineated area processes, in particular those relating to trade in within a country or region with shared waterways in agricultural products (FAO, 2007a). One of the which a specific disease has been detected or is estab- fundamental principles of the General Agreement on lished as an endemic infection within the population of Tariffs and Trade (GATT), established after the end farmed or wild aquatic animals (Subasinghe, McGladdery of World War II, ensured that all nontariff barriers 70 | Biosecurity Zoning and Compartments, Infected Zones, Disease-Free Zones to international trade should be prohibited. This was a list of diseases that are notifiable to the OIE. Where retained in full with the establishment of the World new outbreaks of these diseases occur, the member Trade Organization (WTO) in 1995 (Chillaud, 1996). states are obliged to report on these outbreaks to the The 1995 WTO Agreement on the Application of OIE. For a disease to be listed, several standard criteria Sanitary and Phytosanitary Measures (SPS Agreement) are applied (OIE, 2016): aims to minimize the effects of health restrictions • the disease has been shown to cause significant pro- on international trade. To achieve this, the animal duction losses at a national or multinational level; health measures established by countries to ensure • the disease has been shown to or scientific evidence the protection of human and animal life and health indicates that it is likely to cause significant morbid- are based on international standards, guidelines and ity or mortality in wild aquatic animal populations; recommendations, primarily those developed by • the agent is of public health concern; the OIE, and the OIE code plays a central role in this • an infectious aetiology of the disease is proven; process (Chillaud, 1996). The SPS Agreement requires • an infectious agent is strongly associated with the states to not introduce or maintain health measures disease, but the aetiology is not yet known; that result in a higher measure of protection than that • likelihood of international spread exists, including via advocated by these international standards, unless live aquatic animals, their products or fomites; scientific justification for the need for such measures • several countries or countries with zones may be can be demonstrated (Chillaud, 1996). The SPS declared free of the disease based on the general Agreement also emphasizes the need for transpar- surveillance principles outlined in the Code; and ency in import health measures that states enforce • a repeatable and robust means of detection/ (Chillaud, 1996). Similarly, the Codex Alimentarius, diagnosis exists. established by the Food and Agriculture Organization of the United Nations (FAO) and the World Health Many countries in the world are members of the Organization (WHO) of the United Nations in 1963, OIE, and as such have a commitment to apply the provides international food standards, guidelines and OIE standards through relevant national policy and codes of practice, including those relating to veterinary legislation (Oidtmann et al., 2011). Supernational and drug residues that contribute to the safety, quality and political unions, such as the European Union (EU), fairness of international food trade. Through the SPS may apply common policies and legal frameworks Agreement, the Codex also has far reaching implica- to ensure that member countries apply equivalent tions for resolving trade disputes. standards in order to facilitate trade between member states. In the EU, the Council Directive 2006/88/EC (on The OIE is recognized by its member countries as the animal health requirements for aquaculture animals international organization responsible for develop- and products thereof, and on the prevention and ment and promotion of international animal health control of certain diseases in aquatic animals) provides standards, guidelines and recommendations affecting the instrument for the biosecurity framework applied safe international trade in live animals and their in the EU with an emphasis on promoting prevention products. These are documented in the OIE Aquatic of aquatic animal diseases (Oidtmann et al., 2011). The Animal Health Code (OIE, 2016) and the OIE Manual directive is particularly relevant to countries outside of Diagnostic Tests for Aquatic Animals (OIE, 2015). of the EU, so-called third countries, wishing to export Zoning and compartmentalization, with risk assess- aquatic animals or their products to the EU. While ment and epidemiological disease surveillance and standardizing aquatic animal health controls across the monitoring, form an essential component of bios- European Community (EC) to facilitate trade within the ecurity and import risk analysis (OIE, 2016). To keep EU, it makes provision for protecting areas of higher abreast with changing challenges, the input of experts health status. Such additional animal health control and working groups and the contributions of member measures applying to certain diseases and areas may countries result in an annual review and update of the include a requirement for specific disease guarantees Code and the Manual, and authorities should refer to that will reflect on relevant model animal health the most recent issue. Central to these documents is Biosecurity Zoning and Compartments, Infected Zones, Disease-Free Zones | 71 certificates required for imports into the country from and the private sector. It cannot be implemented in third countries. For example, England and Wales isolation and is interlinked with other elements of a have import requirements for a number of diseases NAAHS (FAO, 2007b). in addition to diseases considered exotic to the EC A number of other codes and conventions contribute (Oidtmann et al., 2011). to standardization of international protocols and The bulk of world aquaculture production takes place responsibilities (Håstein et al., 2008). These include: in Asia. The Asia Regional Technical Guidelines on • International Council for the Exploration of the Sea Health Management for the Responsible Movement of (ICES) Code of Practice on the Introductions and Live Aquatic Animals, and their associated implemen- Transfers of Marine Organisms; tation plan, the Beijing Consensus and Implementation • International Maritime Organization Guidelines Strategy (FAO, 2000) have been adopted by Asian for the Control and Management of Ships’ Ballast countries in a regional effort to reduce and manage Water to Minimize the Transfer of Harmful Aquatic the risk due to the transboundary movement of live Organisms and Pathogens; aquatic animals (Mohan, Chinabut and Kanchanakhan, • International Union for the Conservation of Nature 2008). These guidelines provide a comprehensive Guide to Designing Legal and Institutional Frame- framework for dealing with aquatic animal diseases works on Alien Invasive Species; emergencies. • European Inland Fisheries Advisory Commission A number of other international guidelines provide (EIFAC) Codes of Practice and Manual of Procedures technical information on fisheries, aquaculture and for Consideration of Introductions and Transfers of biodiversity with information relevant to biosecurity. Marine and Freshwater Organisms; and the The FAO Code of Conduct for Responsible Fisheries, • WTO Convention on Biological Diversity. adopted by member states on 31 October 1995, applies to both fisheries and aquaculture, and includes 4. Purpose of zoning principles and international standards of behaviour for responsible practices with a view to ensuring the Zones make distinctions between populations of effective conservation, management and development aquatic animals depending on respective disease preva- of living aquatic resources, with due respect for lence. Zones are therefore used to manage and control the ecosystem and biodiversity (FAO, 2011). Further the spread of contagious aquatic animal diseases. By technical information on health management for establishing zones of known disease status, control the responsible movement of live aquatic animals is measures can be implemented, disease prevalence can provided in the FAO Technical Guidelines for Respon- be established, and intensity of surveillance can be sible Fisheries (FAO, 2007b). determined. Zones should not be proposed as admin- istrative regions based on production-related needs or Zoning is an important element of a National Aquatic convenience (Corsin et al., 2009). Animal Health Strategy (NAAHS), a broad yet com- prehensive strategy to build and enhance capacity for Zoning is an important procedure for disease control the management of national aquatic biosecurity and and eradication, and for maintaining international aquatic animal health. It contains the national action trade opportunities, and control measures should plans at the short-, medium- and long-term using be under the direct control of a competent author- phased implementation based on national needs and ity (Zepeda, Jones and Zagmutt, 2008). Where a priorities; outlines the programmes and projects that particular aquatic animal disease posing international will assist in developing a national approach to overall risk is present in only part of a country, the establish- management of aquatic animal health; and includes ment and preservation of disease-free zones may an Implementation Plan that identifies the activities allow declarations of freedom from disease, thereby that must be accomplished by government, academia 72 | Biosecurity Zoning and Compartments, Infected Zones, Disease-Free Zones ensuring safe trade from such zones. To provide such Compartments should be clearly documented by the declarations, the specified subpopulations of aquatic respective competent authority of a country. animals within a zone must become the target of Declaration of freedom of a particular disease from a surveillance (Corsin et al., 2009). The identification and compartment has many advantages relating to trade traceability of subpopulations within a zone must be where the market or the importing country requires clearly defined, and the procedures used to establish disease-status guarantees. Where a country is unable and maintain a distinct health status of a zone must to supply such guarantees on a national or zone level, be appropriate to the disease, taking into account the either through a lack of supportive data or because epidemiology of the relevant disease, environmental a zone is infected with a disease, biosecurity and factors, risk of introduction, and establishment of management practices within a compartment may be disease and applicable biosecurity measures (OIE, used to prove negligible disease risk from a subpopula- 2016). Disease-specific recommendations for OIE-listed tion. To meet the requirements of importing countries, diseases are provided in the OIE Manual of Diagnostic compartments need to be under the responsibility of Tests for Aquatic Animals (OIE, 2015). Relevant guaran- the competent authority of the country (OIE, 2016). tees applicable to a disease-free declaration, as often Provided an aquaculture operation meets the required required by importing countries, depend on the ability biosecurity standards, compartmentalization offers of the exporting country to demonstrate that one or an internationally acceptable means of providing more zones within a country or region do not harbour guarantees. infected animals and can be kept safe from transfer of the disease from potentially infected zones. 6. Elements of zoning and 5. Purpose of compartmentalization compartmentalization 6.1 Management of a Compartment or Zone 6.1.1 Physical and Spatial Factors Compartmentalization represents the functional separation of subpopulations of aquatic animals based Where a serious disease has been identified in a on disease status through the implementation and country and eradication is not feasible, establishment documentation of management and biosecurity mea- and maintenance of free zones can limit the impact sures (Zepeda, Jones and Zagmutt, 2008; OIE, 2016). of a disease on the ability to market products both In contrast to a zone, the biosecurity management of locally and internationally (FAO, 2007b). Such zones or a compartment is the responsibility of those in control compartments may be established based on ecologi- of compartments (Zepeda, Jones and Zagmutt, 2008). cal, hydrological and climatological barriers (FAO, Active surveillance for presence of a specific infectious 2007b), bearing in mind that numerous pathogens disease can lead to declaration of freedom of disease can survive protracted periods in water and have the where no evidence of infection can be found in a ability to be transmitted downstream via water and zone or compartment. Such declarations are difficult sediments. Fomites, such as fishing equipment, fish when dealing with large transboundary watersheds. In transport tanks, people, clothes, boats and vehicles, such cases, declarations need to be limited to distinct may aid in the transfer of aquatic animal pathogens compartments, the smallest compartment being an and may circumvent natural barriers between infected individual farm and its water source. and noninfected zones. Within watersheds, fish migrations may be accountable for spread of certain The management of a compartment should encom- pathogens. One example of a pathogen that has pass disease-specific epidemiological factors, a defined spread unexpectedly is EUS, a disease that spreads by aquatic animal species within the compartment, the release of infective spores into the water. After the production systems, biosecurity practices, infra- first outbreak of EUS, in the Zambezi River upstream structural components and surveillance (OIE, 2016). of Victoria Falls in southern Africa in 2006, the disease Biosecurity Zoning and Compartments, Infected Zones, Disease-Free Zones | 73 was found to spread rapidly upstream with its greatest 6.1.2 Infrastructural Factors impact in the floodplains of the upper Zambezi, yet Where establishing and maintaining a disease-free few cases were reported downstream of the Falls status throughout an entire country or zone is impos- (Huchzermeyer and Van der Waal, 2012). sible or difficult, particularly where a specific disease exists in wild aquatic animal species or can cross Where wild-to-farmed and farmed-to-wild fish international borders, recognition of disease status interactions favour pathogen transfer, biosecurity based on biosecurity management of a compart- measures, including containment and stamping out ment is possible (OIE, 2016). With the objective to procedures, may be most successful in farms supplied facilitate trade and minimize the impact of disease on by a protected water supply (Jeremic, Dobrilla and aquaculture farms, compartments within countries Radosavljevi´c, 2004). The degree of confidence with or zones need to strive for third-party disease-status which biosecurity and surveillance are applied may be recognition. All epidemiological factors that affect influenced by a number of factors that must be taken the disease transmission are taken into account to into account, as indicated in the OIE Aquatic Animal create disease-specific separation of subpopulations Health Code (OIE, 2016): (OIE, 2016). For the purpose of facilitating trade, • the disease status of adjacent areas and areas epide- compartments must be under the control of a relevant miologically linked to the compartment; competent authority. A compartment should be clearly • the location, disease status and biosecurity of the defined, taking into account physical and special nearest epidemiological units or other epidemiologi- factors that affect the biosecurity of the compartment cally relevant premises; (OIE, 2016). These include location of its components • the distance and physical separation from other and related functional units such as broodstock ponds, aquatic animal populations with different health sta- hatchery, nursery, grow-out facilities, slaughterhouse tus in close proximity of the compartment, including and processing plants. The effectiveness of the wildlife and their migratory routes; compartment depends on a number of infrastructural • slaughterhouses or processing plants; and aspects, including the following (OIE, 2016): • fish exhibitions, put and take fisheries, fish mar- • water supply, in particular, the degree to which a kets and restaurants selling live aquatic animals, water supply is regarded safe or protected from and any other points where aquatic animals are disease risks; concentrated. • efficacy of physical separation; Functional, structural or natural barriers must ensure • people entry facilities (disinfectant foot baths, pro- that adjacent animal populations with a different tective clothing, etc.) and access control; health status are adequately separated from a • vehicle and vessel access, and washing and disinfec- compartment (OIE, 2016). Protected water sources are tion procedures; generally those that contain none of the susceptible • unloading and loading facilities; species of a particular disease or diseases and are • isolation facilities for introduced aquatic animals; usually a prerequisite for the issue of specific pathogen • facilities for the introduction of material and free (SPF) certification. Spring water and borehole equipment; water are considered the safest form of water supply. • infrastructure for feed and veterinary product Compartments utilizing recirculated water systems storage; based on a secure water source preclude the risk of • aquatic animal waste disposal facilities; introduction of pathogens via the water supply. Unless • measures to prevent exposure to fomites, mechani- such a system is managed as a closed system, patho- cal and biological vectors; and gens may still enter the system with introductions of • feed supply and source. aquatic animal stock. 74 | Biosecurity Zoning and Compartments, Infected Zones, Disease-Free Zones 6.2 Biosecurity Plan infectious pathogens may enter a compartment and The wide diversity of farmed aquatic animal species, the measures that can be implemented to control the variation in culture methods, environments, and monitor them, including clinical evaluation and intensity of farming and interactions with wild aquatic diagnostic testing (Scarfe et al., 2009). animals and natural ecosystems make control of • Risk mitigation defines correctable critical con- aquatic animal diseases challenging. The concept of trol points, including contingency plans that make biosecurity planning, applied from farm to national provision for actions such as isolation, treatment and level, provides an effective means of implementing fallowing. “What can be done to prevent diseases disease control at multiple levels (Pali´ c, Scarfe and getting in or escaping?” (Scarfe et al., 2009). Walster, 2015). At the compartment level, the biosecu- • Disease surveillance represents the systematic rity plan provides an auditable process of management series of investigations of a given population of procedures that can be evaluated by hazard analysis aquatic animals for the clinical detection of disease and critical control point (HACCP) methodologies occurrence or for detecting the presence or absence (Zepeda, Jones and Zagmutt, 2008). Implementation of a pathogen within a specified compartment, of effective biosecurity programmes requires an zone or country and includes monitoring of existing integrated approach encompassing epidemiology, health problems (OIE, 2016). Single surveys seldom pathobiology, clinical and laboratory diagnosis, provide sufficient evidence to prove absence of a diagnostic assay interpretation, biosecurity, disease disease. Surveillance therefore encompasses ongo- transmission routes, risk analysis, critical control point ing collection, collation and analysis of information assessment, auditing, certification and associated related to animal health. A function of surveillance ethics and liability, producer goals, and government includes the timely dissemination of information to and trade regulations (Pali´c, Scarfe and Walster, 2015). those that need to know (Corsin et al., 2009). Sur- Sound epidemiological principles and a logical and veillance activities are usually performed to achieve sound science-based approach used in formulating a one or more objectives (OIE, 2016; Corsin et al., biosecurity plan include the following elements: 2009; Cameron, 2002): • demonstrate absence of disease to facilitate inter- • Hazard identification and prioritization that national trade; involves all diseases that pose a threat to the country • provide an early warning system of incursion or or to marketability of export products, and varies emergence of disease; depending on the level of application (farm, national, • identify events that require official notification and international) (Oidtmann et al., 2011). Routes of action; and introduction and pathways of spread (transport of • determine occurrence and distribution of endemic live animals or animal products, spread via water disease, and changes in incidence and prevalence, or fomites) are identified (Oidtmann et al., 2011). to provide information needed for domestic Where water connectivity occurs between farmed control programmes and for risk assessment by and wild animals, priority should focus on preven- trading partners. tion. In simple terms, the question of “What can go Surveillance can range from basic passive surveil- wrong?” needs to be addressed (Arthur et al., 2005). lance systems, relying on the reporting of unusual • Risk assessment evaluates the chances of a patho- disease events, to comprehensive targeted gen carried by an aquatic animal commodity enter- programmes to demonstrate absence of a defined ing a zone or compartment and the chances that disease or infection (Cameron, 2002; OIE, 2016). wild or farmed animals within the zone or Passive surveillance systems depend on the ability compartment will be exposed to infection. It poses to recognize and the willingness to report unusual the question, “How likely is it to go wrong?” events and require the ability to investigate and (Arthur et al., 2005). identify pathogens when such events are reported. • Critical control point evaluation and reme- Mortality rates, growth rates, and other health and diation defines the pathways by which critical production benchmarks should be used to alert Biosecurity Zoning and Compartments, Infected Zones, Disease-Free Zones | 75 authorities of a disease outbreak. In countries with contributed significantly to a resurgence of sustain- limited resources, a range of other information can able growth in this industry (Lightner, 2011). be sourced for basic surveillance, including anecdotal An important motivation for aquaculture industries to information, farm records, private and government actively participate in national biosecurity programmes laboratory reports, certification records, research is the ability of a country to compensate for officially investigations and fishery stock assessments (Corsin ordered destruction of diseased populations and the et al., 2009). Active or targeted surveillance follows implementation of enforced fallowing periods (Håstein a structured surveillance design, targeting specified et al., 2008). In this way, Denmark was successful in diseases or pathogens often with the purpose eradicating viral haemorrhagic septicaemia (VHS), a of demonstrating the disease status of a defined highly contagious salmonid disease, from more than population (Corsin et al., 2009). 400 endemically affected farms after 45 years of surveil- • Control measures designed to mitigate the impact lance and stamping out (OIE, 2015). Similar successful of aquatic animal diseases may include containment, eradication of acute incursions of VHS disease has been eradication, disinfection and fallowing procedures. reported from Norway and the United Kingdom of Control measures should be based on the ability to Great Britain and Northern Ireland (OIE, 2015). define epidemiological units. Well-defined sub- populations of aquatic animals can then be man- Nations have developed biosecurity strategies to aged according to realistic outcomes. Contingency differing levels. Countries such as Australia, Canada, planning makes provisions for the control measures the United States of America and some European that need to be applied in case of disease outbreaks countries have developed operational national bio­ and are best documented from the animal health security plans in response to several serious diseases management and biosecurity plan at the farm level (Mohan, Chinabut and Kanchanakhan, 2008). The to national and regional biosecurity strategies. This Aquatic Veterinary Emergency Plan (AQUAVETPLAN) requires an active commitment from all stakehold- of Australia represents one such effective emergency ers, including farmers, industry leaders, the compe- preparedness and response plan. Many other countries tent authority and policy makers, with due consid- are in the process of developing similar regional and eration to differing attitudes and beliefs among role national biosecurity strategies (Bondad-Reantaso, Lem players (Delabbio et al., 2005). and Subasinghe, 2009). • Eradication of the disease may be possible by destroying the stock within an affected epidemio- 6.3 Surveillance logical unit or units, followed by fallowing, in cases Management of aquatic animal diseases on a farm, where a disease incursion within a compartment national, regional and international level requires or zone has occurred. Eradication and disinfection relevant knowledge about the occurrence of disease. provide a method of managing the impact of an Surveillance activities provide the information on the introduced disease with the possibility of reinstating occurrence of important aquatic animal diseases within a disease-free status where effective barriers exist compartments, zones and countries. It is important to between the farmed and natural environment, and prioritize the diseases to be included in a surveillance the water supply can be secured. Where a water system. This may depend on the need to provide body in which aquatic animals are farmed is con- disease-status assurances for trade purposes, the tinuous with or connected to the natural aquatic financial and socioeconomic impact of the threat that ecosystem, surveillance and early warning critical a disease poses, the importance of an industry-wide control points can be used to reduce the economic disease-control programme within a country or region, impact of a disease outbreak by timeous destruc- and the resources of a country (OIE, 2016). tion of stock and a period of fallowing followed by reintroduction of SPF stock. This concept has Surveillance is the systematic ongoing collection, been applied with particular success in the aqua- collation and analysis of information related to animal culture of shrimp in a number of countries, and has 76 | Biosecurity Zoning and Compartments, Infected Zones, Disease-Free Zones health and the timely dissemination of information to Surveillance is usually performed to achieve one those who need to know so that action can be taken or more clear objectives, including the ability to (Cameron, 2002; Corsin et al., 2009). For purposes of demonstrate absence of infection needed to facilitate disease surveillance, farmed and wild populations and domestic and international movement of aquatic subpopulations of aquatic animals are managed as animals and their products, provide an early warning epidemiological units. An epidemiological unit repre- of the incursion of a new or exotic disease, describe sents a defined population or subpopulation of aquatic occurrence and distribution of diseases relevant to animals that share the same chance of exposure to a official disease control measures, and assess progress pathogen within a defined location in which infectious in control or eradication of selected diseases (Corsin diseases can be transmitted, but that is separated from et al., 2009; Subasinghe, McGladdery and Hill, 2004). other populations by some means (Corsin et al., 2009; Surveillance provides information on disease control OIE, 2016). An epidemiological unit may represent a programmes that is valuable to trading partners population of wild aquatic animals inhabiting a distinct for import risk assessment and for the justification geographic location or be as small as a single pond of import health certification requirements and to or cage on an aquaculture farm. Where management substantiate absence of disease claims required for practices cannot preclude a common exposure route export certification (Subasinghe, McGladdery and Hill, in a shared environment, the epidemiological unit 2004; FAO, 2007b). becomes larger and will apply to all the ponds or cages Implementing biosecurity practices and the systematic on a farm or even to an entire waterway or catchment. approach to gathering information on occurrence and Surveillance programmes can be implemented distribution of diseases provides aquaculture farmers once epidemiological units have been defined. As a with the most effective means of disease prevention minimum, this is based on comprehensive general (Subasinghe, 2005). Aquatic animal health services surveillance activities aimed at establishing the extent require meaningful reports on disease status of zones of endemic disease situations and as an early warning and compartments that depend on well-designed system for outbreaks of new or exotic diseases (Sub- surveillance programmes to support risk analysis and asinghe, McGladdery and Hill, 2004). More detailed to support the rapid implementation of contingency information about the status of a defined disease is programmes for eradication or containment of serious gathered through targeted surveillance aimed at a introduced diseases (Subasinghe, McGladdery and Hill, specific disease or infection (OIE, 2016). 2004; FAO, 2007b). Countries have a number of responsibilities to ensure Where infrastructural development or diagnostic effective disease surveillance (Subasinghe, McGladdery capacity is insufficient for national-level surveillance and Hill, 2004). These include: programmes supporting the creation of zones, surveil- lance of the health status of a compartment may • support national surveillance schemes by ensuring provide sufficient information for export purposes. that relevant diagnostic capacity is available, and Once surveillance data on the prevalence of diseases that field and laboratory personnel are sufficiently within a zone or compartment become available, steps trained in disease recognition, reporting and accu- can be taken to either: rate rapid pathogen identification; • develop standardized field and laboratory surveil- • limit the impact of an infectious disease if present; lance methodologies, and training and reference • eradicate the disease if present; or manuals; • ensure that an infectious disease is not introduced if • ensure that surveillance data are entered into a found to be absent. national database from which the data can be rap- idly accessed; and • ensure that adequate finances are available to sup- port active surveillance schemes. Biosecurity Zoning and Compartments, Infected Zones, Disease-Free Zones | 77 Aquatic Animal Disease Surveillance and the Trade in diseases. Many of the components of the terrestrial Live Aquatic Animals and Their Products animal disease diagnostic laboratory can, however, Domestic and international trade in live aquatic be applied to aquatic animal diseases. The pathology, animals and products may be dependent on the ability histopathology, bacteriology and virology components of a producer to provide guarantees of freedom from of the terrestrial diagnostic laboratory are relevant to diseases. For transboundary movement of live aquatic many, but not all aquatic animal diseases. Few aquatic animals and their products, it is the importing country animal diseases show pathognomonic macroscopic that states the guarantees required, usually as a condi- signs of infection by which a definitive diagnosis can be tion of an import permit. Importing countries require made. Morphological pathology, including direct light such guarantees in order to appropriately protect the microscopy, histopathology and electron microscopy, health status of aquatic animal populations within the is therefore an important and essential component of importing country. For farmers to access transbound- the diagnostic investigation of aquatic animal diseases. ary markets, they need to be in a position to meet Standard laboratory culture methods are applied to the importing country’s demands. For this purpose, viral, bacterial and mycotic pathogens, particularly surveillance of zones and compartments, at the very those of finfish. Increasingly, molecular techniques least at the farm level, is a prerequisite. Such demands are applied for detailed identification of pathogenic may appear restrictive to farmers, but by adopting organisms and provide the possibility of a more rapid and adhering to the management practices required diagnosis. Virus isolation is still the gold standard to meet strict biosecurity demands, the reduction in for the diagnosis of many aquatic viral infections of risk of disease outbreaks and associated cost bears finfish. These methods are often disease specific, and substantial advantages to animal production systems. laboratories need to develop the tests appropriate to the aquatic animal health needs of their country. 6.4 Diagnostics The laboratory isolation of finfish viruses is done on Diagnostics play two essential roles in aquatic animal pathogen-specific tissue cell lines. An appropriate health management and disease control, i.e. (1) to variety of tissue cell lines need to be sourced by labo- screen healthy animals to ensure that they are not ratories intending to offer virus isolation tests. Relevant carrying infection at subclinical levels by specific patho- viruses for positive controls need to be sourced and gens; and (2) to determine the cause of unfavourable maintained as well as the respective antisera. health or other abnormality (such as spawning failure, The type of sample material depends on the species, slow growth, behaviour, etc.) in order to recommend life stage and size of the target animal, and the epi- mitigating measures applicable to that particular demiological situation. It is influenced by the objective condition. The former, commonly done on stocks or of the diagnostic testing, whether for the detection populations of aquatic animals destined for live transfer of overt disease or for targeted sampling (OIE, 2015). from one area or country to another, reduces the risks A large amount of information can be gleaned from on two fronts: (1) risk of animals carrying opportunistic histological examination, and this technique is often pathogens which may proliferate during shipping, recommended as an initial screening method and handling or change in environment; and (2) risk of where abnormal disease or mortality occurs (OIE, resistant or tolerant animals transferring a significant 2015). Electron microscopy and molecular techniques pathogen to a population which might be susceptible may be needed to confirm pathogen identity. to infection. The latter is the most immediate and clearly recognized role of diagnostics in aquatic animal Details of relevant diagnostic methods for the OIE-listed health biosecurity (Bondad-Reantaso et al., 2001). diseases of aquatic animals are regularly updated in the OIE Manual of Diagnostic Tests for Aquatic Animals Diagnosis of aquatic animal diseases is a specialized (OIE, 2015), and laboratories should consult the recom- field and laboratories that traditionally have dealt with mended diagnostic techniques for specific pathogen terrestrial animal diseases may need to develop special- confirmation and disease surveillance. The manual ized expertise and materials to deal with aquatic animal also provides important information on the quality 78 | Biosecurity Zoning and Compartments, Infected Zones, Disease-Free Zones management in veterinary laboratories and the prin- 6.5 Emergency Response ciples and methods of validation of diagnostic assays for Emergencies can arise rapidly with the incursion of an infectious diseases (OIE, 2015). Diagnostic techniques exotic disease, a change in prevalence or behaviour employed for the examination of material from the of an endemic disease, or the emergence of a previ- three major groups of OIE-defined aquatic animals, ously unknown disease (Arthur et al., 2005). The finfish, crustaceans and bivalves, differ somewhat. well documented devastating impacts of diseases, Crustacean viruses are not routinely isolated, limiting such as koi herpesvirus and EUS in fish, the shrimp the use of virus-culture-based assays in the diagnosis diseases (white spot syndrome and Taura syndrome) of viral diseases of crustaceans. Antibody-based tests and abalone viral mortality, highlight the need for are precluded from both crustacean and molluscan emergency preparedness (Mohan, Chinabut and diagnostic techniques due to the inability of crustaceans Kanchanakhan, 2008). Emergency response is a critical and molluscs to produce antibodies (OIE, 2015). element of risk management taking into account farm- level actions, transboundary movement of pathogens, Diagnostic techniques appropriate to OIE-listed finfish misuse of chemicals, food safety, and compliance diseases include (OIE, 2015): with regional and international obligations (Mohan, • virus isolation on tissue cell cultures; Chinabut and Kanchanakhan, 2008). To deal with an • serology; emergency, relevant policy, procedures and regulations • direct microscopy; must be in place, and adequate human, infrastructural • histological techniques; and financial resources must be available. The roles • electron microscopy; and and responsibilities of relevant stakeholders must be • molecular techniques for confirmatory testing specified, and operational procedures should be clearly and diagnosis. defined, taking into account relevant risk analysis principles (FAO, 2007a). Where there is limited capacity Diagnostic techniques appropriate to OIE-listed to deal with an aquatic animal emergency within a crustacean diseases include (OIE, 2015): country, links need to be established to international consultants and organizations that have the relevant • gross and clinical signs; expertise. For example, after the first outbreak of EUS • direct bright-field, phase-contrast or dark-field in Southern Africa in 2006, both private consultants microscopy with whole stained or unstained tissue (Andrew et al., 2008) and an FAO emergency response wet mounts, tissue squashes and impression smears; team (FAO, 2009) were tasked by the affected and wet mounts of faecal strands; countries to help investigate and advise on the • histology of fixed specimens; outbreak. A similar emergency task team of relevant • bioassays of suspect or subclinical carriers using a specialist consultants, organized by the World Bank, highly susceptible host (life stage or species) as the assisted during the devastating outbreak of white spot indicator for the presence of the pathogen; syndrome in Mozambique during 2011 (World Bank/ • transmission or scanning electron microscopy; RAF, 2013). In 2002, an Emergency Disease Control • antibody-based tests for pathogen detection using Task Force organized by the Network of Aquaculture immune sera polyclonal antibodies or monoclonal Centres in Asia and the Pacific (NACA) investigated a antibodies; and suspected koi herpesvirus disease outbreak in Indone- • molecular methods (including sequencing where sia (Bondad-Reantaso, Sunarto and Subasinghe, 2007). appropriate for strain determination). More recently, a Rapid Deployment Team through Diagnostic techniques appropriate to OIE-listed bivalve the FAO’s Crisis Management Centre-Animal Health diseases include (OIE, 2015): (CMC-AH), in 2011, made a quick assessment of an unknown disease (later identified as AHPND) affecting • macroscopic examination; cultured shrimp of the Mekong Delta provinces of • histological techniques; Vietnam (FAO, 2013). • transmission electron microscopy; and • molecular methods. Biosecurity Zoning and Compartments, Infected Zones, Disease-Free Zones | 79 A rapid and timely response can reduce the potential To ensure transparency of aquatic animal disease catastrophic impacts of disease incursions and can situations on a global basis, OIE member countries create strong awareness on the importance of early undertake to report on aquatic disease outbreaks detection and rapid response to aquatic animal and to notify the presence or absence of OIE-listed epizootics both at national and regional levels (Sub­ diseases. Submission of data to the OIE is performed asinghe and Bondad-Reantaso, 2008). through the World Animal Health Information System (WAHIS), and submitted official information is made National emergency reporting systems should be immediately available to member countries through in place for suspected and confirmed outbreaks the World Animal Health Information Database of disease and should constitute an important (WAHID) Interface (www.oie.int/wahid). On a regional component of a biosecurity plan. The flow of critical basis, there are a number of other international information to national authorities tasked with aquatic reporting systems. Asia-Pacific countries report to animal disease control is essential to the successful the Network of Aquaculture Centres in Asia-Pacific implementation of early warning systems, contingency (NACA)/FAO and the OIE Quarterly Aquatic Animal planning, and the ability to mount an effective early Disease Reporting System. North Atlantic countries response, all of which are vital to the outcome of an report to ICES. European countries report to EIFAC emergency disease situation. (Subasinghe, McGladdery and Hill, 2004). Documented field observations, research data, scientific publica- 6.6 Reporting tions and other sources of information are used to Close collaboration between neighbouring countries is complement surveillance data. Reports to the OIE are essential in managing aquatic animal disease risks. The usually prepared by the national competent authority rapid and transparent sharing of information on new of each country and are submitted to the OIE by the disease occurrences, the spread of existing epidemic national delegate (usually the chief veterinary officer) diseases to areas with shared waterbodies, and of the OIE member country. The OIE Aquatic Code information relating to control measures can provide obliges member countries to submit notifications to valuable early warning to allow countries to implement the OIE within 24 hours of confirmation of any of the an appropriate response (Subasinghe, McGladdery and following events: Hill, 2004). Reporting of disease status and outbreak events should be transparent and include risk com- • a first occurrence or recurrence of any OIE-listed dis- munication strategies that facilitate an open and active ease in a country or zone of the country if the zone interchange of information among all stakeholders, or country was previously believed to be free of that with the aim of promoting public trust and confidence particular disease; in regulatory decisions and control measures (FAO, • an OIE-listed disease that has occurred in a new host 2007a). Such information should be shared among species; respective competent authorities, responsible govern- • an OIE-listed disease that has occurred with a new ment agencies, local, district, provincial or regional pathogen strain or in a new disease manifestation; management offices, laboratories and scientific • there is potential for international spread of an OIE- research institutions, and industry associations (Sub- listed disease; asinghe, McGladdery and Hill, 2004). Membership of • an OIE-listed disease has a newly recognized zoo- international and regional intergovernmental orga- notic potential; or nizations with a mandate for aquatic animal health • if in the case of an emerging disease or pathogenic management obliges countries to report surveillance agent not listed by the OIE, there should be find- data on occurrence and prevalence of regulated and ings that are of epidemiological significance to other emerging aquatic animal diseases timeously, accurately countries. and conscientiously, as appropriate (Subasinhge, Monthly reports summarizing the disease situation are McGladdery and Hill, 2004). submitted until the disease has been eradicated, or the situation has been brought under control. 80 | Biosecurity Zoning and Compartments, Infected Zones, Disease-Free Zones FAO’s Quarterly Early Warning Bulletin, a result of 6.8 Aquatic Animal Health Services a collaboration between the Emergency Prevention The confidence that trading partners place in a coun- System (EMPRES) for transboundary animal and plant try’s aquatic animal health status and the ability of a pests and diseases and food safety threats, the Global country to provide guarantees required by international Information and Early Warning System (GIEWS) and animal health certificates is a reflection of the aquatic the Food Chain Crisis Management Framework (FCC) animal health services of a country. The quality of a (www.fao.org/food-chain-crisis/early-warning-bulletin/en/), country’s aquatic animal health services depends on a integrates information on threats to the food chain number of factors, including the fundamental principles and food security for the three months ahead. Aquatic of an ethical, organizational, legislative, regulatory diseases are included in the bulletin. and technical nature to which OIE member countries have an obligation to conform, regardless of the 6.7 Documentation political, economic or social situation of their country Information on aquatic animal diseases may be docu- (OIE, 2016). Details of these fundamental principles mented in many formats, ranging from handwritten are presented in the OIE Aquatic Animal Health Code farm records to local, regional and national computer- (OIE, 2016). Each OIE member country has the right to ized databases that can be managed by linking request an evaluation of the quality of another member various relevant government agencies and diagnostic country’s aquatic animal health services where an laboratories (Subasinghe, McGladdery and Hill, 2004). initiating country is an actual or prospective importer or The competent authority of a country is responsible where a review of sanitary measures relating to trade for documentation of data that is regulatory in nature from the exporting country is a component of a risk and is required for the establishment and maintenance analysis process (OIE, 2016). Such evaluations follow of zones for diseases of national and trade concern. procedures established by the OIE. Surveillance data should be regularly updated on a country’s national database where the data can be 6.9 Role of the Private Sector accessed by policy makers, the competent authority Official aquatic animal health services provided by state and other stakeholders (Subasinghe, McGladdery and veterinarians and technologists encompass the surveil- Hill, 2004). It is in the public interest that information lance and regulatory aspects of aquatic disease man- relating to biosecurity hazards and their management agement. The provision of aquatic veterinary services is is made available by competent authorities on an a specialized field, as is the provision of official regula- ongoing basis (FAO, 2007a). Nonregulatory data may tory services, and effective biosecurity management in be documented in scientific research papers, industry some instances requires both official and private-sector newsletters and in farm records from where relevant c, Scarfe and Walster, 2015). To ensure expertise (Pali´ industry stakeholders can access the information. It effective management of aquatic biosecurity, aqua- is essential that farming operations document data culture farmers should be encouraged to make use of relevant to disease incidence and prevalence as part both private and official aquatic animal health services. of the farm-level biosecurity plan. Where third-party In countries with limited resources or where official guarantees on disease status are required, this forms aquatic animal health services are poorly developed, an important component of the auditing process (Pali´ c, private-sector aquatic animal health specialists can play Scarfe and Walster, 2015). Under certain circum- an important role in supporting the competent authori- stances, disease prevalence reporting may be seen as ties tasked with biosecurity zoning. By applying sound confidential by industry stakeholders. In such cases, biosecurity plans to compartments and zones within a the confidentiality of individual and corporate client country, private-sector specialists are able to provide a information may need to be respected where such significant advantage to aquaculture farmers while at information falls outside of regulatory requirements. Biosecurity Zoning and Compartments, Infected Zones, Disease-Free Zones | 81 the same time creating a favourable environment for absent from the receiving zone (FAO, 2007b). Where third party or official auditing and certification. Farmers zones based on entire river systems and coastal areas need to realize that disease and infectious hazards involving more than one country are affected by a change and evolve over time. An effective biosecurity contagious disease, neighbouring countries will benefit plan needs to be regularly revised to remain up to from regional zoning (FAO, 2007b). date with relevant diseases and to remove procedures In the case of salmonids, the breeding cycle of rainbow that may have become obsolete. Unless the official trout in the Northern Hemisphere is offset by six veterinary services of a country have the expertise and months from that of the Southern Hemisphere. South capacity to provide this service, aquaculture farmers Africa, for example, has a salmonid industry that should make provision to fund private-sector specialists dates back to early colonial days, and trout hatcheries to assist with the task. have traded in live salmonid ova with the Northern Hemisphere for many decades, culminating with the Application of Zoning and Compartmentalization annual export of over 40 million eyed ova during the Zoning and compartmentalization are an integral part latter part of the last century. As the breeding cycle of of biosecurity measures implemented by countries salmonids in the Southern Hemisphere is six months and aquaculture industries to contain, control and apart from that of the Northern Hemisphere, it is ben- eradicate contagious diseases. They can be applied eficial for farmers in both hemispheres to supplement in many facets, but the implementation requires their production through an additional stocking of development of appropriate diagnostic, surveillance young fish during the time of year when in the respec- and reporting capabilities within a specific regulatory tive hemisphere hatchery stock would be unavailable. framework (FAO, 2007b). In the case of an outbreak Trout farmers in South Africa, to this day, import their or suspicion of an outbreak of a disease for which so-called summer eggs from Northern Hemisphere control measures are in place, zones or compartments farms, and the Northern Hemisphere provides a good define the geographic area to which restrictions to market for ova produced in the Southern Hemisphere. the movement of aquatic animals and other control South Africa has had effective legislation governing the measures are applied. Within the framework of zoning introduction of exotic salmonid diseases. The importa- and compartmentalization, certification of disease tion of eyed salmonid ova is only permitted where status and freedom from specific pathogens provide guarantees of freedom from specific salmonid diseases further measures to prevent spread of disease (Håstein can be provided by the authorities of the exporting et al., 2008). Where eradication is not possible or country. As an additional measure, official sampling practical, containment and control within zones of imported ova takes place at the port of entry. Such provides an alternative means of limiting the impact imports remain under quarantine and are traceable of a disease (FAO, 2007b). Establishment of free until the results of the testing have become available. zones, based on ecological, geographical, hydrological Over this long time span, serious salmonid diseases and climatological barriers and meeting the specific have not been introduced into South Africa despite the technical requirements for disease control, as defined frequent importation of eyed salmonid ova. by the OIE Aquatic Animal Health Code (OIE, 2016), will restrict the impact of disease to infected zones The production of SPF trout ova for international and allow unhampered movement of aquatic animals trade provides an example of the implementation of from free zones. the concept of compartmentalization. South Africa, for example, has no national surveillance data on Effective management of zones requires that animals the prevalence of OIE-listed salmonid diseases. Yet a may be moved only from zones where the same or number of rainbow trout hatcheries in this country fewer pathogens are present than in the receiving are registered as export hatcheries with the country’s zone, or between zones where none of the specified competent authority. Export hatcheries, managed diseases occur. Restrictions are justified to prevent as a compartment, need to comply with biosecurity movement from zones where diseases occur that are measures reflecting the requirements of the importing 82 | Biosecurity Zoning and Compartments, Infected Zones, Disease-Free Zones country and stipulated by the relevant competent on such a farm is subjected to a statistically valid level authority tasked with issuing the disease-status guaran- of testing for KHV and rhabdovirus carpio for a man- tees for export. In this manner, relevant disease-status datory of four tests at six-month intervals (OIE, 2016). guarantees that meet the requirements of importing After the initial two-year testing period, the competent countries can be provided by the competent authority authority is able to issue guarantees of freedom allowing export of salmonid ova from South Africa to from KHV and SVC, and fish can be exported. In the countries such as those in the European Union. absence of wider surveillance, and establishment of KHV and SVC free zones, the routine of six-month For a competent authority of a country to provide testing continues as long as a farm remains registered guarantees of freedom from specific diseases, the as an export facility and continues selling SPF fish. As source population of aquatic animals needs to in the case of trout export hatcheries, both the state be subjected to disease surveillance testing. Such veterinarian and a private-sector aquatic animal health testing must be done at a statistically relevant level specialist jointly implement, maintain and monitor the of confidence. The OIE recommends working at the biosecurity measures relevant to the conditions for statistical 95 percent confidence level of detecting a approval and registration of an export fish farm. In the disease agent with a prevalence of 2 percent or lower case of koi, the private-sector specialist is responsible (OIE, 2016). This principle has been applied to trout for collection of surveillance samples. The accredited hatcheries exporting ova. In the case of South Africa, national laboratory in South Africa is only able to test depending on the relevant province, implementation for SVC, and a private-sector accredited laboratory is of the farm biosecurity plan and collection of surveil- used for analysing the KHV samples. Provided all tests lance samples is done either by a state veterinarian are negative and all the conditions of the importing with aquatic animal disease knowledge or jointly by a country have been met, the relevant state veterinarian state veterinarian and a private-sector aquatic animal will issue the disease status guarantees. health specialist appointed by the hatchery owner. The laboratory testing of the samples is performed by an accredited national laboratory. Provided the hatchery References has been approved by and is registered by the Andrew, T. G., Huchzermeyer, K. D. A., Mbeha, competent authority, the issuing of export certificates B. C. & Nengu, S. M. 2008. Epizootic ulcerative reflecting disease-status guarantees is done by the syndrome affecting fish in the Zambezi River state veterinarian responsible for the hatchery. system in southern Africa. Veterinary Record, 163: The koi industry in South Africa has been affected by 629–632. 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Early industry-led examples of coordinated action from Scotland, the United Kingdom of Great There has been concern among academia, consumers Britain and Northern Ireland and Surat Thani province and nongovernmental organizations (NGOs) that in Thailand are discussed. Group certification and zonal certain forms of aquaculture, mainly high-value species management certification both enshrine the develop- for export, are environmentally unsustainable, socially ment of management bodies as a core component. inequitable, raise issues of animal welfare and have These producer organizations or zone managers carry issues about food safety. Certification schemes address- the burden of compliance on behalf of producers, ing the sustainability of aquaculture production have but also guide and support them to better overall emerged to address these concerns. However, these performance. The need for certification approaches certification schemes deal with single production units, that more effectively engage small-scale producers in and have not, until recently, developed mechanisms to supply chains is also briefly discussed. validate the performance of groups of farmers or the management of zones of farms. Note on scope and definition As aquaculture continues to grow to meet global This document is a chapter in a wider document on demand, governments and production industries aquaculture zoning, site selection and area manage- must address the need to effectively manage the key ment under the ecosystem approach to aquaculture resources that aquaculture relies upon, most notably and should be read in that context. The term “zonal water, and minimize the risk of disease impacts. management” is used in this chapter because it is In order to maintain supplies, improve food safety, the terminology that certification developers and the increase traceability and develop greater social equity, it supply chain use to refer to the need to introduce and is in the interest of the market to promote mechanisms deliver aquaculture management at the resource level. to encourage this resource-level governance. Managing Zonal management currently includes processes to the risk of disease transfer between farms and develop- develop effective industry institutions and voluntary ing mechanisms to control the spread of disease are and compulsory management of shared water key components of emerging zonal management resources, disease risks and feed supplies. At present, the market has not introduced into zonal management 1 The views expressed in this annex are those of the authors and the social licence consideration included in the eco- do not necessarily reflect the views or policies of FAO or the World Bank Group. system approach to aquaculture; also the term “area Immink, A. & Clausen, J. 2017. Aquaculture Certification and Zonal Management. In J. Aguilar-Manjarrez, D. Soto & R. Brummett. Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture. Full document, pp. 87–94. Report ACS113536. Rome, FAO, and World Bank Group, Washington, DC. 395 pp. Aquaculture Certification and Zonal Management | 87 management” under “the ecosystem approach to of zonal management elements. To date, the only aquaculture” and “zonal management” are generally zonal requirement has been for salmon farms wanting interchangeable. Aquaculture Stewardship Council (ASC) certification to engage in area management systems if one exists (ASC, 2012). However, some examples specifically Introduction focused on zonal management are starting to develop, Future projections for demand for aquaculture prod- as discussed below. ucts predict that there is a need to double production There are a number of international, regional and before 2030. This is an opportunity for aquaculture national certification schemes that focus on confirming producing countries that requires both government responsible management by individual farms. In Asia, and private investments in aquaculture management most of the main exporting countries, including China, systems. The investments can be used for aquaculture Indonesia, Malaysia, Singapore, Thailand and Vietnam, production infrastructure and operations, for enter- have their own national schemes, as well as producers prises along the value chain (supplying inputs such as who comply with international certification schemes. seed and feed and delivering product to markets), and Certification schemes are a way for consumers and for supporting services, processes and institutions at retailers in developed markets in Europe, the United the sector level. Future demand for aquatic products States of America, Japan and larger Asian cities is expected to provide business opportunities across such as Singapore, Hong Kong and some capitals the sector, but risks within the framework in which of the countries that are members of Association of producers operate must be effectively governed. Southeast Asian Nations (ASEAN) to communicate Opportunities for the continued (and increasing) their demands to producers in other regions. There involvement of small-scale producers in these supply is a need for certification schemes to understand chains need to be developed. both consumer concerns and requirements, and at the same time ensure that producers are able to Aquaculture Certification produce sufficient volumes at the quality demanded. Sometimes a knowledge gap exists between what The rapid expansion of aquaculture production and consumers know about the production and what they the change from being mainly locally produced and ask for. The certification schemes are not only created consumed towards internationally traded products or driven by consumers, but they are often used by have raised concern among academia, consumers and retailers to differentiate among themselves (Belton and NGOs that certain forms of aquaculture, mainly shrimp Little, 2009; Belton et al., 2010). and marine finfish production (with salmon as the one species in particular focus), are environmentally Whereas the international certification schemes have unsustainable and socially inequitable, and that high confidence among consumers but perhaps are products are not safe for consumers (Corsin, Funge- seen as a burden by the producers, the regional and Smith and Clausen, 2007). national certification schemes or the good aquaculture practices (GAPs) and better management practices Certification is understood to be the procedure by (BMPs) are more focused on communicating the which a body or entity gives written or equivalent current good practices by producers, and working with assurance that the activity under consideration con- producers first and secondarily looking at consumer forms to the relevant standards. Impartial certification concerns. In some cases, these national schemes are based on an objective assessment of relevant factors seen as validating the performance of producers in a provides assurance to buyers and consumers that a way that allows them to meet their bottom line rather product comes from an operation (or operations) that than encouraging change in response to customer conforms to the certification standards. Both national requirements. and voluntary certifications currently focus on farm- level performance only, with limited consideration 88 | Aquaculture Certification and Zonal Management According to Bush et al. (2013), only 4.6 percent of VietGAP—An example of a current national the world aquaculture production is currently certified. certification programme. This is, given the huge attention certification schemes The overall strategic principles of the aquaculture are given, quite a low number, but the number is VietGAP are that aquaculture must ensure quality and increasing. It is easier for larger-scale, better capital- food safety by complying with the current standards and ized production units to deal with infrastructure, regulations of the state and the provisions of the Food record keeping and administrative requirements and Agriculture Organization of the United Nations (FAO) demanded by certification. It is often observed that and the World Health Organization (WHO). Aquaculture smallholder farmers are excluded from markets that must ensure aquatic animal health and living conditions require certification, even when external support such for farmed animals by creating the best conditions for as donor-funded projects, governments or NGOs health, reducing stress, limiting the risk of disease, and have tried to increase their involvement. It has been maintaining good farming environments in all stages of the production cycle. Additionally, aquaculture suggested that cluster certification systems or group activities should be done according to detailed plans certification that specifically addresses problems of and limit negative environmental impacts, according smallholders can increase their likelihood of participa- to the regulations of the state and international tion (Kassam, Subasinghe and Phillips, 2011), although commitments. There must be an evaluation of the impact the market is only starting to utilize these approaches on the environment of the planning, development and as the supply from larger farms becomes limiting. One implementation of aquaculture. way of including more of the production in certifica- VietGAP looks not only at the production steps of the tion schemes could be to include zonal management aquaculture value chain, but also looks at the other links in more of the schemes. in the value chain (e.g., breeding facilities, processing), and is therefore one of the ASEAN national programmes that Kassam, Subasinghe and Phillips (2011) also mention takes a value chain approach; most other member states the need for an international certification that recog- only look at the production steps. nizes risk reduction by smallholder farmers, something The VietGAP programme, together with other certification the world is still waiting for. However, progress is programmes and a general focus on prudent use being made on the certification of aquaculture zones, of veterinary drugs to treat aquatic animal diseases, which makes sense not only from a social point of managed to bring down the use of antibiotics and view, potentially increasing market accessibility for improve aquatic disease management practices, greatly small-scale farmers, but also makes good sense from reducing the number of antimicrobial alerts from the an environmental and production point of view. In main importing markets in the period from 2004–2013 particular, in Asia, by far the majority of aquaculture (RASFF—the EC Rapid Alert System for Food and Feed, production comes from smallholders, and the accu- 2016). In particular, the larger, more commercial farms mulated environmental impact from this production that gained certification quickly managed to reduce is largely unknown, especially since many smallholder the use of antimicrobials. However, in the period from 2013 through the end of 2015 there was a dramatic farms are not licensed. If certification recognized and increase in the number of alerts, which could be related rewarded local efforts to introduce carrying capacity- to the increased problems with diseases. It might be that based measures for establishing production volumes focusing on individual farm certification is not enough for for both new and existing areas, or if aquatic animal the industry, but that a wider focus on zonal management health programmes encouraged farms to coordinate and certification is needed to limit and prevent the spread management and treatment approaches and openly of diseases (for more information on VietGAP, see www report disease incidence, improvements to overall .quacert.gov.vn). sustainability would benefit all producers, increasing Aquaculture Certification and Zonal Management | 89 market access and reducing risk for smallholder trust has been built. These projects have had varying farmers. The challenge in this approach is who would degrees of market support and are discussed in more take on the role of “zone manager.” detail as examples elsewhere in this publication. These examples highlight the value of the private Zonal management sector initiating collaboration among multiple industry stakeholders. The added value of these processes There are some examples of industry taking a lead in was the strengthening of producer groups to become the development of good management approaches at effective representative organizations that can guide the farm and zonal levels, often in response to external members and engage with governments, NGOs and pressure, but also to respond to disease challenges other stakeholders. But the aquaculture sector has faced by the industry. The Scottish salmon industry been short on such examples and to answer the developed a Code of Good Practice that is adhered to concern about irresponsible aquaculture production, by 95 percent of the industry, verified through audits, governments and markets developed farm-level and has become a requirement for membership of certification requirements for food safety and aquatic producer organizations. Compliance with the code animal health, subsequently adding environmental is not demanded by the market, although it was and social issues. Some of these processes have been developed in part to demonstrate to the market the government driven, whereas others have been market responsible approaches taken by the sector. It also driven, but all have focused on improving performance includes requirements to be active in area manage- on individual farms. ment processes (see www.thecodeofgoodpractice .co.uk), something not typically included in current voluntary standards. The Surat Thani Shrimp Club Group certification developed disease notification processes and local groupings of farmers in the hope of reducing disease Two different approaches to certification are currently risk. Success has been mixed, but is widely recognized considered within the area of zonal management. As a as a leading example of voluntary coordinated action proxy for full zonal management, the market is engag- between producers (Boromthanarat and Nissapa, ing in group certification, particularly as a mechanism 2000; Yamprayoon and Sukhumparnich, 2010). to bring more products from small-scale producers into the market without the need for changes to the The Sustainable Fisheries Partnership has been work- overall sector management regime required in zonal ing on a bottom-up zonal management approach in management—or the need to develop a standard several Southeast Asian countries and in China that at a simpler level that would address the reduced has shown that there is significant positive value in risks typically posed by small-scale producers. Many farmers developing both formal and informal commu- of the standards are developing group certification nication and representation mechanisms within a zone mechanisms, following on from GLOBALG.A.P., which or group (www.sustainablefish.org and www.hntsa was the first international standard and which also .org). Building trust among producers strengthens delivered pilot projects, for example, with pangasius internal management of the industry, but an effective producers in Viet Nam. GLOBALG.A.P. has had great multistakeholder entity that involves feed companies, success with its group certification processes for processors, hatcheries and technical support/input agricultural crop farmers. The Global Aquaculture Alli- suppliers can also speak with more confidence when ance (GAA) is finalizing a group certification standard representing a unified industry with outside stakehold- and ASC is in the late stages of drafting a standard. ers from government, other industries or the market. At the heart of group certification, there is still a need Having such a producer organization also enables the for each farm to fully comply with individual farm-level market to communicate market requirements more certification requirements. There is an additional effectively to a whole industry, meaning changes obligation for an internal quality control process within can happen more quickly, benefiting everyone once the group to ensure each farm is in compliance, which 90 | Aquaculture Certification and Zonal Management reduces the requirement for every farm in the group standard is the need for a “zone manager”—an entity to be visited by an auditor in each certification period, or a person who will take responsibility for ensuring and therefore reduces overall auditing costs for the that a zone management system is developed and fol- group. The auditor will instead look for evidence that lowed by all producers within the zone. A competent the internal control system is operating effectively and disease control specialist, likely a veterinarian, needs to will visit a sample number of farms each time certifica- validate that the scale of the zone proposed and the tion is renewed, eventually visiting all farms over a measures to be followed by farms offer effective dis- number of renewal cycles. In group certification, the ease control. The programme requires that the major- farms do not all have to be located in the same area, ity of farms within the zone are active participants in although they have to be within reasonable travelling the zone management process and follow farm-level distances to be effectively managed. Groups also requirements within that process, but not all farms do not need to be constituted from all the farmers need to be individually certified to all the requirements within a specific area. This is an important distinction of current farm-level certifications. This means that from zonal management, because although increased small-scale producers can more easily be part of the collaboration between farms is a requirement of zonal programme. The programme will provide business- management, group certification does not require to-business reassurance. The zonal programme is in those farms to be in geographically contiguous zones the pilot-testing phase, working with producers in or for a majority of farmers from a specific zone to Canada, Chile, China, Honduras, Ireland, Thailand and be involved. So far, for aquaculture group certifica- the United States of America where interest has been tion, the groups are dispersed suppliers to particular shown. Producers in Canada, China and Honduras are processors that become the certification applicant, furthest in the process. There are some indications that whereas in agriculture the certification applicant is these zonal certification programmes will significantly more commonly a farmer cooperative. Details of what lower the risk for the aquaculture industry in these is required for effective group certification are avail- zones and hence make aquaculture more attractive to able from the standard demanded by the market. the large amount of investors who are looking for suit- able investment opportunities within the aquaculture industry (Hatanaka, Bain and Busch, 2005). Zonal management certification It is important that a zonal certification module or Zonal management certification, however, requires programme is in compliance with the FAO technical the industry to look at aquaculture management from guidelines on aquaculture certification and addresses a different perspective, taking into account the need environmental, aquatic animal health, animal welfare for resource-level management, not just multiples and socioeconomics (WWF, 2007 and FAO, 2011). of farm management. At the request of the market, By covering these management requirements at the the GAA is currently leading the development of a resource (zone) level rather than just at the farm level, new zone management standard and certificate that certification should be more confident in making it plans to offer under its Best Aquaculture Practice claims of verifying sustainable management—rather (BAP) certification programme (Global Aquaculture than the current approach of claiming “responsible” Advocate, 2014). BAP is already widely recognized management. for a range of standards covering farms, processing plants, feed plants and hatcheries. Other international voluntary aquaculture standards including ASC and Challenges and opportunities GLOBALG.A.P. are involved in the multistakeholder for zonal management zonal management standard development process. certification The standard will initially focus on biosecurity area management, but it is expected that environmental Aquaculture certifications are typically market-driven and social components will be added to the standard approaches that certify the performance of particular as market demand increases. At the heart of the producers. The underlying assumption in most Aquaculture Certification and Zonal Management | 91 certifications is that the legal framework takes care of value of producing food this way. Effective producer the issues considered in zonal management (and the organizations also provide the industry with a coherent ecosystem approach to aquaculture). However, in most voice to counter criticism. A confident industry, within countries, the legal framework has not been based a well-regulated environment, is also more likely to on approaches like carrying capacity and epidemiol- positively engage with detractors and regulators ogy, and the industry is often not effectively pulled rather than retreat into defensive positions that further together and represented by producer organizations. distance opposing views. In fisheries management certification, the validation The formation of groups and the internal control of the effectiveness of the legal framework to man- systems that are demanded by these certifications age fisheries is a specific requirement. For fisheries enable improvements in traceability and food safety. management certification, the legal framework is Full zonal management can provide the market with understood to be vital to the long-term availability further confidence around traceability and food of products and therefore of critical interest to the safety when all producers within any given zone are market. Aquaculture continues to supply increasing licensed—and therefore identifiable—and all operat- volumes of products to the market despite many ing according to best practice that means no single countries not having effective zonal management farm is posing an unmanaged risk to all its neighbours; regimes. The challenge will come once supplies are this should significantly reduce the need for unneces- limited because the regulatory framework is not ensur- sary and non-prudent use of chemicals to treat disease ing sustainable management at the resource level (e.g., outbreaks, leading to safer food for consumers. Where when production crashes because of uncontrolled emergency disease response plans are developed disease outbreaks or when water quality rapidly dete- and a clear plan of action is agreed upon between riorates causing mass fish kills). The dialogue around producers, regulators and scientists, there is increased aquaculture, however, continues to talk of substantial likelihood of further reductions in the unnecessary use production growth even with a “business as usual” of chemicals, improving food safety, environmental approach to regulation and management. This is plac- quality and industry reputation (World Bank, 2014). A ing a dangerous reliance on good performance at the coordinated demand from an industry for sustainable (multiple) individual farm levels rather than the much feed ingredients also helps to drive improvements in needed improvements in resource-level governance. traceability of marine ingredients from legal, regulated The market, through the use of mechanisms such and managed sources. as zonal management certification, should drive the necessary improvements before—not once—supplies become severely constrained or reputations are at risk. Conclusions But governments and larger-scale producers must also take action nationally, now, to protect their rapidly Zonal management within the context of both developing industries from the inevitable collapses that regulation and certification schemes has not previously come from intensified production practices that are received much attention. The focus on farm-level best reliant on natural resources severely lacking in effective practices and the established certification processes management (Hall et al., 2011). The burden cannot be that validate performance at the farm level offers a put on the shoulders of small-scale producers alone challenge to zonal management and zonal certification through group or zonal management certification. to demonstrate long-term value to an ever-increasing aquaculture industry. Developing effective industry associations (whether part of a group or zonal certification) will also have a Group certification and zonal management certifica- benefit for the wider social acceptance of aquaculture. tion offer mechanisms to enable small-scale producers Effective guidance and management of multiple to enter more formal supply chains at a potentially producers to deliver responsible practices will enhance lower price, but it still requires them to commit to the overall understanding of non-aquaculturists to the what is usually an improved level of performance. It 92 | Aquaculture Certification and Zonal Management also requires neighbours to collaborate. Both group millions of people, disrupt supply chains, increase certification and zonal management certification are prices and slash national productivity. There is an opportunities for smallholders, but it is important to urgent need for better governance mechanisms within emphasize that the standards for these schemes are the private sector as well as a government that acts on as stringent as for individual certification schemes. the realization that farms do not operate in isolation. There is still space in the market for a specific standard aimed at recognizing the lower levels of risk reduction References needed from small-scale producers, therefore keeping them as suppliers to the ever-growing demand for ASC (Aquaculture Stewardship Council). 2012. certified seafood. ASC Salmon standard. Version 1.0. June 2012. Utrecht, Netherlands, ASC. 103 pp. (also avail- A key component of group and zonal management able at www.asc-aqua.org/upload/ASC%20 certifications is the formation of management bodies Salmon%20Standard_v1.0.pdf). that coordinate performance among member farms. These producer organizations carry the burden of Belton, B. & Little, D. 2009. Is responsible aqua- conformity on behalf of the producers, but still culture sustainable aquaculture? WWF and the require best practices at the farm level. The idea of eco-certification of Tilapia. Society and Natural strong producer organizations should be adopted Resources, 22: 840–855. across the industry as a mechanism for improving the Belton, B., Murray, F., Young, J., Telfer, T. & Little, D. reputation of the industry, reducing disease risk and 2010. Passing the panda standards: a TAD off the environmental impacts, and increasing food safety and mark?, Ambio, 39: 2–13. traceability—whether or not it is part of a certification process. Boromthanarat, S. & Nissapa, A. 2000. Shrimp farming experiences in Thailand—a continued Group certifications have developed in part because pathway for sustainable coastal aquaculture. it has become increasingly difficult for the market NACA report submitted by Prince of Songkla to source all products they need from larger already University, Thailand. August 2000. pp. 1–109. individually certified farms. It is also increasingly Bush, S. R., Belton, B., Hall, D., Vandergeest, P., obvious to the market and producers that certified Murray, F. J., Ponte, S., Oosterveer, P., Islam, farms are often connected through shared resource M. S., Mol, A. P. J., Hatanaka, M., Kruijssen, F., use to uncertified producers who pose risks such as Ha, T. T. T., Little, D. C. & Kusumawati, R. 2013. disease transfer or water supply quality reduction Certify sustainable aquaculture? Science, 341: that cannot be addressed through current farm-level 1067–68. certifications. An approach that addresses risks at the resource (zonal) level is needed, especially as Corsin, F., Funge-Smith, S. & Clausen, J. 2007. A aquaculture production is forecast to grow significantly qualitative assessment of standards and certifica- to fulfil market demand. Sustainable intensification or tion schemes applicable to aquaculture in the blue growth will require action from governments and Asia-Pacific Region. Asia-Pacific Fishery Commis- demand from markets for resource-level management. sion, FAO. A continued push for scaling-up production as rapidly FAO. 2011. Technical guidelines on aquaculture as possible with an almost-exclusive focus on farm- certification. Rome, FAO. 122 pp. (also available level best practices will bring continued disease and at www.fao.org/in-action/globefish/publications/ environmental challenges that affect the reputation details-publication/en/c/346089). of aquaculture, negatively impact the livelihoods of Aquaculture Certification and Zonal Management | 93 Global Aquaculture Advocate. 2014. The Global RASFF—the EC Rapid Alert System for Food Aquaculture Advocate, Nov/Dec 2014 Issue. and Feed. 2016. European Commission [online]. Belgium. [Cited 22 September 2016]. http:// Hall, S. J., Delaporte, A., Phillips, M. J., Beveridge, M. & ec.europa.eu/food/safety/rasff/index_en.htm O’Keefe, M. 2011. Blue frontiers: managing the environmental costs of aquaculture. Penang, World Bank. 2014. Reducing disease risk in Malaysia, The WorldFish Center. aquaculture. World Bank Report No. 88257-GLB. Washington DC, World Bank. 120 pp. Hatanaka, M., Bain, C. & Busch, L. 2005. Third- party certification in the global agrifood system. WWF. 2007. Benchmarking study: certification pro- Food Policy, 30: 354–369. grammes for aquaculture. Environmental impacts, social issues and animal welfare. Switzerland and Kassam, L., Subasinghe, R. & Phillips, M. 2011. Norway, WWF. Aquaculture farmer organizations and cluster management: concepts and experiences. Yamprayoon, J. & Sukhumparnich, K. 2010. Thai FAO Fisheries and Aquaculture Technical Paper aquaculture: achieving quality and safety through No. 563. Rome, FAO. 90 pp. (also available at management and sustainability. Journal of the www.fao.org/docrep/014/i2275e/i2275e00.htm). World Aquaculture Society, 41: 274–280. 94 | Aquaculture Certification and Zonal Management Annex 4. Tools and Models for Aquaculture Zoning, Site Selection and Area Management Richard Anthony Corner and José Aguilar-Manjarrez1 Background and objectives including overall governance approaches, spatial analysis and modelling, and ecosystem and site specific models; Decision makers, faced with data and output from and vary from very simple to complex in application. Some spatial tools, often lack a basic understanding of spatial require purchase and others can be obtained for free modelling technologies, including their limitations (Open Source). In essence, analytical techniques should be and strengths and the kinds of questions that can be designed and delivered to match the need, and capacity of addressed by them that would allow for operational use the users to apply the tools and models appropriately. and informed decisions. The same range of understand- ing is required to decide on the level of adoption of Investment on governance approaches, spatial tools, additional tools and models that are needed to analyze ecosystem and site specific tools and models should be and address aquaculture zoning, site selection and made with a clear understanding of what should be area management options. Expanding awareness and accomplished with such application and in particular realizing the analytical potential of tools and models of on the decision-support needs involved and the variety all types are key to making better informed decisions. of stakeholder requirements that the tools can fulfil. Application of tools and models is part of the overall Success in application of tools and models depends on ecosystem approach to aquaculture (EAA), which in the assessment required, applications available, finances turn is primarily about people and collective interest to applied and capacity of users to apply them appropriately. develop aquaculture in an environmental and people- With regard to the latter, capacities vary among and friendly way. It is entirely up to aquaculture competent within countries, so there is a need to match training and authorities, decision makers and analysts, as potential technical support to the capacity to absorb them. The EAA implementers, to make sure that tools and models range of tools and models is relatively large and growing, are used responsibly, in an appropriate manner that makes their application useful and effective. 1 The views expressed in this annex are those of the authors and do not necessarily reflect the views or policies of FAO or the World The main objective of this annex is to provide an overview Bank Group. of tools and models that are applicable to aquaculture Corner, R. A. & Aguilar-Manjarrez. J. 2017. Tools and Models for Aquaculture Zoning, Site Selection and Area Management. In J. Aguilar-Manjarrez, D. Soto & R. Brummett. Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture. Full document, pp. 95–145. Report  ACS113536. Rome, FAO, and World Bank Group, Washington, DC. 395 pp. Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 95 zoning, site selection and area management, of relevance context for the application of aquaculture zoning, site to developing and developed countries. selection and/or area management, and a description of some of the approaches, spatial tools and models This annex should be considered as a brief introduc- used to implement the zoning, area management and tion and a reference. Additional reading and refer- site selection activities undertaken. ences have been selected under each subsection in this annex to allow for more thorough investigation Part 2 summarizes some of the critical require- on specific topics. It is not designed specifically to be ments that will achieve good overall governance of read in sequence, and the reader is able to select the aquaculture development. It includes short sections parts of interest, gain a brief understanding of the on strategic planning for aquaculture; the need for techniques, tools or models available, and undertake aquaculture specific laws and regulations; developing further reading where necessary. That specific tools, codes of conduct, codes of practice or best manage- models and approaches are listed here and others not ment practices; the application of spatial planning should not be taken as an endorsement or condemna- under the EAA and marine spatial planning. Use of the tion of a specific tool, model or product. The reader is environmental impacts assessment and evaluation of advised to seek professional support where needed. carrying capacity are not strictly related to governance, but nonetheless provide the means by which site specific decisions are made by regulators when Overview of this annex locating aquaculture farms, and are therefore included. Chapter 2 of the handbook of this publication Part 3 provides a brief description of some of the tools identifies a number of spatial tools and models to and models used for aquaculture zoning, site selection support aquaculture zoning, site selection and area and area management, and includes brief descriptions management. Table 4, in particular, lists a substantive for some of the available cross-cutting computer number of tools that can aid development of zoning models developed for this purpose, including the use for aquaculture, assist in the selection of appropriate of geographic information systems (GIS). This part sites, and support the design of area management also describes some of the tools and models listed in plans. Such activities and tools can be carried out over the case study table and some from the list in Table 4 different spatial scales: from regional, national areas, in Chapter 2 of the handbook. It is not, however, an including exclusive economic zones (EEZs), local and exhaustive listing of all available techniques, tools and site scale; and different temporal scales: from single models available worldwide. production cycles, through multiple cycles, to long- term sustainable development for future generations. Useful Definitions In Annex 4, a brief description is given of some overall Before reading this section, there are two useful governance approaches that should be implemented definitions that require clarification. In this document: to ensure aquaculture is developed in a sustainable manner using the EAA, supported by other tools and Tool has a very wide definition, and is considered models, that help achieve the required aims of site as any legislative instrument (laws, regula- zoning, site selection and area management. Under tions, guidelines), process (such as stakeholder each subsection further reading is provided to support engagement), computer model application understanding, which may lead to further examples. (such as GIS, or computer models to assess impacts of aquaculture), or other approaches The annex is divided into three parts. that can be used or be implemented to help and support the development of aquaculture; Part 1 includes a table that summarizes each of the and the gathering, analysis and presentation ten case studies in this publication (detailed reports of data to aid decision making. are available in Annex 5) to highlight the tools and models that have been applied within each. Each case Model is considered a predictive tool, mainly study has a brief introduction on the background and developed by modelling specialists, using 96 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management state-of-the-art equations to describe specific Outputs from models, by definition, cannot actions (e.g., fish growth), interactions (e.g., provide definitive “answers”, but do support cage aquaculture wastes into the environ- decision making by giving outcomes (e.g., ment), and consequences (e.g., setting of local species growth, aquaculture waste deposition, carrying capacity) of aquaculture. Models changes to water quality from aquaculture provide information to enable understanding activity) that improve understanding. Models of sometimes complex activity and interac- generally require calibration to local conditions tions that would otherwise not be possible. and validation through data collection. Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 97 Part 1. Case Study Summaries Spatial planning following the ecosystem approach enable the appropriate allocation of zones for culture for aquaculture is in the early stages of development of fish and other species. Uncoordinated expansion is, internationally and reflects the need for this guid- by definition, unsustainable. Zoning, site selection and ance document. Annex 5 of this document includes area management are not simply the “giving” of space ten case studies, presented by the authors at the for aquaculture. They require a systematic approach, workshop in Izmir, Turkey, in 2015. These case studies including collection, analysis and mapping of data; provide an invaluable insight into the spatial planning and the use of models are increasingly being used to development stage in each country, and include scop- determine the best locations for aquaculture develop- ing, zoning, site selection and/or area management ment that means aquaculture will be sustainable in examples, focusing on the spatial planning processes the long term. Unrestricted aquaculture development and identifying the tools and models used as part of has the potential to damage the environment, which is that development activity. counter to the ecosystem approach. Table A4.1 summarizes the activity undertaken and the The case study summaries describe the spatial plan- reasons behind the work undertaken, and identifies ning activities undertaken in each country. Although tools and models used in that development. The case the activities described are not necessarily examples of studies summarized in Table A4.1 provide evidence precise best practices, they do illustrate the application that systematic assessment and activities that lead of systematic approaches to scoping, aquaculture to a more coordinated spatially driven approach for zoning, site selection and/or area management, so aquaculture is gaining traction globally. Aquaculture that production can occur with the least impact on expansion has often developed naturally, but in an the environment while maintaining ecological and uncoordinated way, such that environmental and other social carrying capacity. The processes implemented, limitations have not been considered systematically to however, offer a variety of means to achieve this. 98 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management TABLE A4.1. Summary of the tools and models used in ten case studies described in this document. Case Study/Spatial Brief Description of Background to Zoning, Planning Category Site Selection and Area Management Activity Tools Models 2 Brazilian aquaculture This case study is based on development of tilapia production in parks—fish farming cages in aquaculture parks in the Castanhão Dam in the State of and mariculture Ceará; and oyster and mussel production in marine aquaculture Zoning example parks along the coast of the State of Santa Catarina. Aquaculture parks are designated areas for aquaculture cultivation in water owned by the federal state. Allocation of zones for aquaculture is conducted under Presidential Decrees and Inter-Ministerial Normative Instructions (INIs) that outline ministerial roles and responsibilities, guidelines for establishment of aquaculture parks, and procedures for implementation and issuing of concessions. Rules vary depending on whether an investor requests the development in a specific location or whether the government undertakes an assessment and makes suitable areas available. Demarcations of aquaculture parks were designed using GIS to Mapping application of collected data map exclusion areas, particularly environmentally sensitive sites, through GIS (type unspecified), with areas of port activity, other impediments planned by management data layers combined using a multi- plans, etc.; study of potential environmental conflicts as well as criteria evaluation to determine best mapping of infrastructure, logistics (such as roads/market access) management areas and best locations and local community organization analysis. within these areas to locate fish farms. Impacts of aquaculture on physico-chemical parameters were Conservative application of a modified assessed against defined standards and local water quality testing, Dillon-Rigler model for use in reservoirs with assessment of impacts on water quality in freshwater systems is used for freshwater environments using a well-developed, but non-aquaculture specific model to to calculate carrying capacity. evaluate water residence time and changes in phosphorus specifically. Allocation of a proportion of the Sites require an environmental permit, which is deemed difficult Applied specifically developed social, overall phosphorus loading allocated and complex to obtain, due to the time and costs involved. In environmental, economic and institutional to aquaculture (and for other uses general, permits are requested by small farmers who often lack sustainability indices, combined to give and natural phosphorus loading) to sufficient funds to complete the process effectively. an overall index score, which determines retain the reservoir below an overall overall sustainability of the site. maximum concentration. It thus defines a maximum annual production of fish, Area is managed through a management the maximum daily amount of feed committee comprising state, local and fish given, and the maximum daily load of farmer officials. phosphorus to the water column. Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 99 2 The full case study reports are in Annex 5. Case Study/Spatial Brief Description of Background to Zoning, Planning Category Site Selection and Area Management Activity Tools Models Chile: The spatial In the early 1990s, after the establishment of salmon production, planning of appropriate areas for aquaculture (called AAAs) were established, marine cage for 12 of the 15 states. These were established through dialogue at farming—salmon national and local levels but with no formal assessment on suitability. Area management Since then, a rationalization process for AAAs has occurred, with example improved digital mapping and the application of GIS to assess user and use conflicts, for example, and boundaries redrawn. Following an outbreak of infectious salmon anaemia in 2007, The application of digital mapping and Application of hydrographic work was undertaken to evaluate the mechanisms behind disease collation of data through a GIS system modelling and epidemiological transfer, including hydrodynamic assessment using hydrographic (unspecified), using a multi-criteria studies over larger areas to define models to evaluate water movement, risk analysis (disease evaluation that establishes zones for disease risk. risk analysis in particular, including epidemiological studies of specific activity and/or multi-use where disease transfer mechanisms), which lead to the establishment of the uses do not conflict, and maps aquaculture management areas (AAAs or AMAs; also referred potential user and use conflicts. to as neighbourhoods). Each AMA contains a number of group AAAs are presented in the map viewer of concessions for specific areas within the AMA, and each farm within SUBPESCA (www.subpesca.cl) supported the group concession area is licenced. AMA’s coordinate treatment by datumWGS-84, SAD-69, PSAD-56 or for disease (e.g., sea lice), has defined fallowing period when fish local datum graphics. cannot be produced and limits on stocking density, for example. 100 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management In reality, often the AMAs are in close proximity, so the Chilean Macrozones are presented in the map authorities undertook further hydrographic assessment and viewer of SUBPESCA (www.subpesca.cl) created macrozones for the specific purpose of containing disease supported by datum WGS-84 graphics. outbreak. Each macrozone contains a number of AMAs, and a Neighborhoods, not available in the minimum distance of 5 km between macrozones is applied, set to SUBPESCA map viewer, but for internal create the disease break. purposes of the authority they are presented supported by datum WGS-84 graphics. Licenses are presented in the SUBPESCA (www.subpesca.cl) map viewer supported by datum WGS-84. Uses GIS (type unspecified), to conduct regional assessments of use and user conflicts (fishing areas, ports, shipping movements, areas off-limits due to navy requirements or conservation requirements, etc.) to define suitable AMAs. Case Study/Spatial Brief Description of Background to Zoning, Planning Category Site Selection and Area Management Activity Tools Models AMA management structure is established as a forum for overall management of the AMA. Within AMAs there is coordination of activities, including stocking and disease management. Sites are established following an environmental impact Site development requires application of assessment (EIA) procedure, including stakeholder and public regulatory tools such as EIA procedures, consultation. Licencing is based on an assessment of carrying which define what assessment of impacts capacity, and specifically maintaining positive oxygen condition on needs to be carried out. The focus is the seabed, which is subsequently evaluated through monitoring. on reporting seabed conditions, likely changes resulting from the aquaculture proposal (especially oxygen), then evaluation through monitoring. Minimum distances between farms is required (1.5 nautical miles). Zonal aquaculture Zonal management has been applied through the application of management in aquaculture improvement projects in China and Indonesia. China and Indonesia China: Area (or zonal) Pond, dam and cage culture of tilapia in three counties of the management Haikou region in Hainan province, southeast China. example Focused principally on farmer and stakeholder engagement Stakeholder engagement and facilitation. to improve the use of water as a shared resource, better understanding of environmental and disease issues, a shift to developing appropriate best practice and capacity building through training. Development has included the funding of the Hainan Tilapia Sustainability Alliance, which includes seed, feed, technical suppliers, farmers and processors, providing a local complement to existing trade associations at the provincial and national level. Stakeholders include government departments and the local university to improve scientific understanding of the impacts of aquaculture, use of resources, and reporting of data on production, water quality and others. Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 101 Case Study/Spatial Brief Description of Background to Zoning, Planning Category Site Selection and Area Management Activity Tools Models Eventually, this will lead to cooperative development of the Application of code of practice. industry. One of the key present activities is the development of a localized code of practice based on those developed in more technically proficient sectors, including salmon. Indonesia: Shrimp production in Eastern Java. A similar type approach has been applied through stakeholder Application of code of practice. engagement, although the reasoning is different; it is focused primarily on East Java maintaining its early mortality syndrome (EMS)-free status, implementation of responses to disease risks, developing codes for the zonal response to disease and quality issues. It is also focused on developing the East Java shrimp industry towards international certification standards on the quality of production and products. Web site developed as a means to engage, report and support Development of web resources and local farmers with news, technical support and information. information-sharing. Spatial planning This case study is based on the management of aquaculture zoning of marine finfish and site selection in bays in Bali, Batam and Pulau Seribu, under aquaculture facilities Indonesia’s general desire to increase aquaculture production and 102 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management in Indonesia local employment while protecting the environment. Zoning and site Since 2008, the bays concerned have been analyzed as to their Primary data collection through on-site Development and application of selection example aquaculture layout, design and development, deriving the best measurements of seawater and sediments simulation models based on freely locations for aquaculture, and specific site selection through for a number of physical parameters, available modelling packages, to a series of tasks undertaken to identify each system’s carrying including water depth, water currents, assess wave height, water flows capacity, identify the best areas based on defined characteristics, salinity and dissolved oxygen, chemical and water quality (including and identify management areas and relocation of existing farms analysis for dissolved ammonia, nitrate dissolved oxygen). Adoption of based on the results. and phosphate, and concentrations general strategies for the set up and of chlorophyll, particulate organic application of models for sites with phosphorus and nitrogen, RedOx scarce data typical to South-East and sulphide. Data also collected via Asia. Freely available bathymetric remote sensing using TOPEX and SAR data from existing databases are satellite data, including temperature and combined with data from remote chlorophyll measurements, and verified sensing and ocean forecast systems, through on-site measurements. enabling the development and application of simulation models. Case Study/Spatial Brief Description of Background to Zoning, Planning Category Site Selection and Area Management Activity Tools Models A scoping exercise identified land, coastal and water uses (such as Results of simulation models based navigation routes, fishery areas, national parks, tourism, protected on freely available modelling areas and so on), verified through on-site inspection, and used to packages in terms of water levels, define management areas. Data presented through GIS and zones current velocities and waves. or management areas identified. Application of simulation models This was followed by site selection, applying a multi-criteria Application of collected data through for flow, waves, water quality and evaluation with GIS layers accounting for a number of criteria, GIS (ArcGIS), with data layers used to sediment deposition. including physical, chemical and bottom sediment properties. determine management areas and best Included within this were wave height, water flows, and water locations within these areas to locate fish and sediment quality, and the application of remote sensing data farms. SYSMAR module used to facilitate defined through hydrodynamic and depositional models. site selection. Thematic maps based on in situ measurements, simulation models and zoning schemes are prepared and imported to the decision support system. Templates built using ArcGIS. Overlay of templates generates suitability maps for marine finfish aquaculture. Sites identified through the application of a decision-support Specific site selection was done with system that included fish growth models, site selection based on SYSMAR that contained modules on likely deposition of wastes, and site and overall carrying capacity fish growth, site selection based on best set by applying a limit to this sediment deposition. flushing, protection to hazards and farm operation. Site and cumulative carrying capacity limits to production set to comply with water quality and sediment environmental quality standards, validated through on-site sampling underneath existing fish farms. Biosecurity framework using real-time polymerase chain reaction Operational sensors of water temperature (PCR) to ensure that seeds are specific pathogen free (SPF). This transmit data in quasi-real time to a is combined with the establishment of quarantine offices for control station near the site in the monitoring fish diseases. As disease outbreaks are also associated northwest of Bali. Early warnings are with sudden changes in water temperature, an operational system delivered to farmers via SMS. for monitoring of water temperature is in place. Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 103 Case Study/Spatial Brief Description of Background to Zoning, Planning Category Site Selection and Area Management Activity Tools Models Shrimp farming in Specific analysis was conducted in the State of Nayarit in Mexico, Mexico in a region that already grows shrimp in marine ponds, expanded Zoning example through unregulated development. As a land-based but marine system of production, the areas Government directorates established with of shrimp farming come under the auspices of two federal distinct responsibilities. directorates: CONAPESCA, responsible for aquaculture and fisheries in all federal waters, and SEMARNAT, responsible for the development of aquaculture on land. Many ponds were already located in the area under investigation. The study identified how overall management could be improved through zoning. The case study does not define legislative and policy documents, Legislative and policy requirements exist, but notes that the area generally does not comply with the but implementation within the area is federal requirements due to ignorance of frameworks, high cost limited. of conforming, lack of technical support and general difficulties Web resources set up to support farmers: in achieving required permits and licences. Farmers set up a local www.acuasesor.conapesca.gob.mx/ association to increase awareness and as a forum to discuss index.php. requirements. As part of the scoping study, characteristics of the location were undertaken through a literature search for data on the area, 104 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management surveys of aquaculture production units (APUs) and participatory stakeholder discussions. Spatial analysis was undertaken with defined thresholds for soil Mapping introduced through the types, hydrology, geomorphology, topography and slope, localities application of ArcGIS version 10 to define and population, roads, electricity, and natural protected areas, distribution of APUs in relation to water evaluated together through GIS. body, marsh area, towns and roads to No carrying capacity assessment is undertaken as yet. define the study area. The application of digital mapping and collation of data through ArcGIS, using a multi-criteria evaluation to establish zones of low, medium and high potential for aquaculture, mapped against existing UPAs. Case Study/Spatial Brief Description of Background to Zoning, Planning Category Site Selection and Area Management Activity Tools Models Aquaculture site Development of fish cage culture in the Gulf of Oman and Application of ArcGIS for mapping of selection and zoning Arabian Sea coast of Oman, and for on-shore prawn production. zones, based on analysis of collected and in Oman A number of the 11 governorates have been identified as suitable remotely sensed data (e.g., temperature, Scoping example for either on-shore aquaculture or marine cage aquaculture, or chlorophyll-a, land characteristics) that both, by the Ministry of Agriculture and Fisheries, Directorate of resulted in an atlas of areas suitable for Aquaculture Development, in 2010. aquaculture. The Ministry of Agriculture and Fisheries developed a strategy Legislative and regulatory requirements for aquaculture development in 2011, covering the years 2011 are established, under more general to 2030. Legislative norms apply, combining general laws on legislation, plus regulations on sea fishing and biological wealth (including aquaculture) and on aquaculture activities and operations as conservation of the environment, supported by three regulations, well as the application of environmental including development of a by-law on aquaculture and quality impact assessment (EIA) and discharge control in 2012. of waste requirements. Monitoring guidelines have been developed for environmental, disease and product quality monitoring. Specific case study relates to assessment aquaculture potential Application of spatial and criteria analysis and suitability in Musandam Governorate, which started in 2014. using ArcGIS (GIS) and ENVI (remote At an early stage, the project will include spatial analysis, such sensing). as other use and uses of both marine and land systems (e.g., marine transport, fishing areas and landing sites, combined with water quality criteria, current speeds, and other physio-chemical characteristics of local marine fjord-like systems (called khawrs) with application and analysis through GIS. Carrying capacity is to be assessed using modelling (but not defined). Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 105 Case Study/Spatial Brief Description of Background to Zoning, Planning Category Site Selection and Area Management Activity Tools Models Mariculture parks The Bureau of Fisheries and Aquatic Resources (BFAR) has, for Application of developed government- in the Philippines ten years, promoted the development of communal mariculture defined environmental requirements Area management zones and parks, and developed 67 of them. Parks are seen and certification scheme. Each park example as a way to promote responsible and sustainable development is operated through an operations of coastal cage aquaculture to provide livelihoods to local manual that lays out the requirements communities and contribute to food security. Parks use shared for operation, defining the critical infrastructure, resources and security; and use a systematic policies and regulations consistent to the approach to assessment and monitoring in setting up the parks. principles of good aquaculture practice Parks are set up following a distinct sequence of activity defined standards. in Fisheries Office Order No. 317 (2006), including surveys prior Application of aquaculture specific to establishing the park, consultation, environmental monitoring regulations, including the Fisheries of water and sediment quality in compliance with established Office Order No. 317 (2006), on setting environmental protocols, conducting carrying capacity and up aquaculture parks, and the Fisheries economic studies, and giving training and ongoing research. Code enacted in 1998, which establishes Management of the parks is through a joint agreement requirements for large and small investors, between the local government unit and BFAR, operated through and rules on the control of such areas as development of a Mariculture Park Operations Manual. stocking density and feeding rates. Work to set up a mariculture park includes a rapid assessment Critical habitats defined through mapping of the existing habitats, mapping critical habitats and setting of using Google Earth. 106 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management buffer zones to protect habitats. Undertake large consultation Application of EIA. exercises and mapping. Baseline data including hydrographic Environmental certification scheme. TROPOMOD particle tracking model assessment of tides, currents and bathymetry are used as the to define benthic impacts based basis for zoning and development. Assessment of impacts from on species to be produced, with the parks is assessed using a particle tracking model, which mariculture park layout defined by serves a number of purposes including zoning of sites, support least impact in the model output. to environmental governmental certification requirements and as part of the EIA. Application of hydrodynamic model. Case Study/Spatial Brief Description of Background to Zoning, Planning Category Site Selection and Area Management Activity Tools Models Aquaculture zoning, The case study area in Scotland, the United Kingdom of Great site selection and Britain and Northern Ireland concerned the development of zones/ area management management areas for cage culture of Atlantic salmon. in Scottish marine Management areas/zones in Scotland were developed out of a DMAs defined through disease finfish production need to control infectious salmon anaemia infection in 1989/90, to management area model, which evaluates Area management limit movement of stock across areas, and to remove cross-infection disease dispersal potential based on a example potential across large areas: denoted as disease management areas complex hydrographic model. (DMAs). Also, industry defined farm management areas (FMAs), FMAs, managed through area where companies coordinate stocking, disease treatment and management agreements, to coordinate harvesting, etc. FMAs and DMAs are often the same, and within activities such as disease treatments, and FMAs all Atlantic salmon sites are often managed by the same includes stakeholder meetings between company. Large areas of Scotland (e.g., entire east coast) are off companies and other area stakeholders limits to aquaculture development. Minimum distances are applied and water users who meet regularly to between fish and shellfish production in Shetland, and may be discuss issues. applied elsewhere, though not regulated. In zones where aquaculture is permitted there is further Categorized waterbodies as 1, 2 subdivision, with specific fjordic embayments defined as category or 3 was through the application 1, 2 or 3 for “no development,” “some limited development of the Equilibrium Concentration potential is possible,” and “development potential is possible,” Enhancement (ECE) model, respectively. estimating changes in water quality Individual site selection and licence application completed through Planning permission is given as a licence concentrations from different levels site suitability assessment, EIA and the application of waste to produce. Licence is also required of aquaculture against allowable dispersion and benthic impacts model, assessing deposition of to discharge wastes (as a controllable thresholds to define carrying wastes to the seabed, including likely concentration of in-feed substance) through the Scottish capacity. Latest developments sea lice treatments, set against defined environmental quality Environment Protection Agency, following include enhancements and standards to define a maximum biomass limit for the site. Latest the use of AutoDEPOMOD model. Approval extensions of the original ECE model, developments include assessment of inshore and offshore carrying is also required from Marine Scotland, in with two new models (ACExR and capacity through the application of more sophisticated models. relation to disease control issues. L-ESV models) in development. Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 107 Case Study/Spatial Brief Description of Background to Zoning, Planning Category Site Selection and Area Management Activity Tools Models Marine aquaculture is managed through aquaculture specific Regulatory tools, such as code of Application of AutoDEPOMOD regulations, A Marine Fish Farm Manual is available online (www conduct, licencing and EIA procedures, model. .sepa.org.uk/regulations/water/aquaculture/fish-farm-manual/), disease control requirements (European it provides the policies and regulations to be adhered to, as well Commission directives, laws and as specific guidance and other resources to ensure site evaluation regulations) are applied and enforced. and monitoring protocols are complied with. Specific aquaculture legislation has been enacted (e.g., 2013 Aquaculture and Fisheries Act (Scotland)) to provide overall control and management by government. Online fish farm manual is available as a farmer resource. All information is made publicly available through a government- Web portals and resources using desktop developed Web site: http://aquaculture.scotland.gov.uk. The ArcGIS (shifting to QGIS), and online majority of companies belong to trade organizations, including the services through ArcGIS online and use Scottish Salmon Producers Organisation, British Trout Association of GeoServer, including site applications, and Association of Scottish Shellfish Growers, who have each mapping of existing site locations and developed codes of conduct for members. approved licences, are available for public scrutiny. Mariculture parks in This case study focuses on mariculture zones in Gulluk Bay, where 108 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management Turkey 55 percent of total marine aquaculture production occurs. Conflict Zoning example with other coastal zone stakeholders (especially tourism) prompted a new regulation from the Ministry of Environment and Urbanization. In 2008, new regulations for Gulluk Bay led to the definition of two mariculture zones through consultation with stakeholders. Legislative component is well developed with specific laws on Regulatory tools, licencing and EIA fisheries and environmental protection, and regulations covering post-development monitoring procedures aquaculture development, EIA, monitoring and water pollution. are applied and enforced. Zone selection carried out on potential areas using criteria, Digitization of maps undertaken. including water depth, net depth to water depth ratio, distance Application of GIS (MapInfo) for mapping. from coast, current speed and use of the TRIX eutrophication Application of TRIX index. index to delimit areas unsuitable for aquaculture. It was combined with what was known about tourism areas, marine transport routes, and application of buffer zones around vulnerable marine communities (e.g., Posidonia beds) to further define unsuitable areas using mapping software. Case Study/Spatial Brief Description of Background to Zoning, Planning Category Site Selection and Area Management Activity Tools Models TRIX index was applied with mapping software to interpolate Application of TRIX index. TRIX measures taken at eight locations across the whole bay to provide a forecast of whole bay conditions. Water conditions were combined with mapping of unsuitable areas to then select suitable locations for fish farm activity. Site selection within demarcated zones carried out on potential Physical characteristics of the sites used areas by applying the similar criteria to zonal work (i.e., water to determine where sites could be placed depth, net depth to water depth ratio) and application of within zones. minimum distances between sites and limits on the number Monitoring determines impacts of cage of sites allowed within the zones. Monitoring undertaken to culture with measurement of physio- ensure compliance with minimum water quality requirements for chemical parameters and application dissolved oxygen, chlorophyll-a and dissolved inorganic nitrogen through the TRIX index. and total phosphorus, defined through the TRIX index. Aquaculture parks in Current production stems from family-owned and widely spread The application of digital mapping and Uganda small farms growing tilapia and African catfish. Zoning case study collation of site selection data through Scoping example relates to development of aquaculture parks through clustering GIS (ArcGIS and ArcMap), using a multi- of pond farms (land based) or cage farms (lake based) in suitable criteria evaluation that establishes suitable areas of high potential determined through a mapping study on zones for specific pond culture, and cage site suitability against defined criteria for pond culture and for lake aquaculture in lakes. culture in cages. No aquaculture zones have been allocated as yet. Legislative component is well developed with specific laws and Developed the National Aquaculture policy documents related to fish farming, social, environmental Parks Policy in 2012 to complement the components and the need for EIA. Specific policy for aquaculture National Fisheries Policy (2004) and Fish parks has been developed, but not yet fully implemented. (Aquaculture) Regulations (2003). Other non-aquaculture specific legislation needs to be taken into account. Development of parks follows a number of reviews and A national aquaculture strategy has been development of an aquaculture strategy. Parks will be public- developed. private enterprises, aimed to be self-sustaining after initial government financial support. Regulations require each park to undergo licencing procedure, Regulatory tools, licencing and EIA evaluation through impact assessment and subsequent monitoring. procedures and monitoring requirements Individual park carrying capacity assumes a maximum stocking defined. density for ponds and cages, and needed evaluation through EIA, Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 109 without specific modelling requirements being specified. Overarching Tools for Good Part 2.  Aquaculture Governance The following are a broad category of tools that can reader is recommended to review RRA, PRA and other and should be used for aquaculture development and tools in the FAO EAF toolbox and further reading in its overall good governance. Most are tools (also called application. instruments or approaches) to ensure the overall On general principle, stakeholder engagement is strategy for a country’s aquaculture development critical in the assessment of zoning, site selection is managed in a coherent way at the national and and area management under the EAA approach, and local level. Other tools ensure the siting and zoning active participation of stakeholders is encouraged for of aquaculture are done systematically and with due all facets of the necessary activity needed to achieve consideration of the environmental and social context. quality and sustainable aquaculture production. All tools can be used to ensure the long-term sustain- ability of aquaculture using the ecosystem approach. Web Resources Stakeholder Engagement as a Tool See EAF toolbox (www.fao.org/fishery/eaf-net/ toolbox/en). The Food and Agriculture Organization of the United Nations (FAO) has developed the ecosystem approach Further Reading to fisheries (EAF) toolbox, which contains a description Ahmed N. 2009. The sustainable livelihoods approach of the four steps to implementation: (i) initiation and to the development of fish farming in rural Bangla- scope; (ii) identification of assets, issues and priorities; desh. Journal of International Farm Management, (iii) development of a management system; and 4(4): 1–18. (iv) implementation, monitoring and performance review. Within each of these steps, tools and advice Barman, B. K., Little, D. C. & Edwards, P. 2002. are available to enable each of the steps to be car- Small-scale fish culture in Northwest Bangladesh: ried out, with supporting documents for particular A participatory appraisal focusing on the role of activities. Although this is for fisheries, much of the tilapia. In P. Edwards, D. C. Little & H. Demaine, information present is useful for the development of eds. Rural Aquaculture. UK, CABI Publishing. aquaculture. An ecosystem approach to aquaculture 233 pp. (EAA) toolbox is in development by FAO. The key Pido, M. D., Pomeroy, R. S., Garces, L. R. & Carlos, activity defined in the toolbox relates to stakeholder M. B. 1997. A rapid appraisal approach to evalu- engagement means and methods as approaches ation of community level fisheries management for action research which stimulate data gathering systems: Framework and field application at through engagement and observation. selected coastal fishing villages in the Philippines Rapid rural appraisal (RRA) and participatory rural and Indonesia. Coastal Management, 25(2): appraisal (PRA) are two such techniques of stakeholder 183–204. engagement. Often used in developing countries, Tiller, R. & Richards, R. 2015. Once bitten, twice much of the basic information needed for decision shy: Aquaculture, stakeholder adaptive capacity, makers to understand a local situation is provided and policy implications of iterative stakeholder by these methods, including through structured workshops; the case of Frøya, Norway. Ocean & interviews, questionnaires, working and focus groups, Coastal Management, 118(B): 98–109. and other forms of stakeholder engagement; and also for the understanding of how aquaculture is Townsley, P. Rapid rural appraisal, participatory rural facilitated in an area, how zoning may help or hinder appraisal and aquaculture. FAO Fisheries Technical production and development, and how these and Paper No. 358. Rome, FAO. 1996. 109 pp. (also siting issues might help support rural livelihoods. The available at www.fao.org/docrep/006/W2352E/ W2352E00.htm#TOC). 110 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management Developing Strategic Planning for Aquaculture EU Commission. 2012–2016. Multiannual national Development strategic plans for the promotion of sustainable Strategic planning in aquaculture results in the produc- aquaculture. In: European Commission Fisheries tion of a document that outlines the overall vision, [online]. Brussels. [Cited 12 January 2017]. goals and guiding principles for how the aquaculture http://ec.europa.eu/fisheries/cfp/aquaculture/ sector should develop within a country. Such a docu- multiannual-national-plans/index_en.htm. ment should cover all forms of aquaculture following European Commission. 2013. Strategic guidelines a systematic assessment. In outline, the document for the sustainable development of EU aqua- produced should contain the legislative background culture. Communication from the Commission to the development of aquaculture; an analysis of the to the European Parliament, the Council, the strengths, weaknesses, opportunities and threats to European Economic and Social Committee and the its development; should provide vision on how such Committee of the Regions. Brussels. COM (2013): activity will be implemented; and provide a clear plan 229 final. (also available at http://ec.europa.eu/ on when it will happen through a set of clearly defined fisheries/cfp/aquaculture/official_documents/ objectives and priorities. Such a document will also com_2013_229_en.pdf). evaluate the linkage between research and production and sustainability for the long-term development and FAO. 2010. Aquaculture development. 4. Ecosystem promotion of aquaculture products. Responsibility for approach to aquaculture. FAO Technical Guide- strategic planning lies with national governments, who lines for Responsible Fisheries No. 5, Suppl. 4. should undertake to review and update the plan at Rome, FAO. 53 pp. (also available at www.fao defined intervals once produced to ensure it takes into .org/docrep/013/i1750e/i1750e00.htm). account recent developments and is current. FAO. 2016. Regional strategy and action plan for sustainable intensification of aquaculture in the The strategic plan will allow regional and local authori- Asia-Pacific region. Bangkok, Thailand (also ties to understand government priorities and approach available at: www.fao.org/3/a-i546 6e.pdf). to aquaculture development; and will also allow developers/investors to understand the context within Fisheries and Oceans Canada. 2010. National Aqua- which their applications for fish farm sites are being culture Strategic Action Plan Initiative (NASAPI) made. This will ensure they comply with the overall 2011–2015. An initiative of the Canadian Council master plan and for all parties to make environmen- of Fisheries and Aquaculture Ministers (CCFAM). tally and economically sustainable decisions when it 20 pp. (also available at: www.dfo-mpo.gc.ca/ comes to developing aquaculture zones and manage- aquaculture/lib-bib/nasapi-inpasa/Report-eng.pdf). ment areas. At the farm site level, the strategic plan Ministry of Agriculture and Fisheries Secre- should include the evaluation of applications, issuing tariat of State for Fisheries. 2012. Timor-Leste of licences, monitoring of environmental impacts, National Aquaculture Development Strategy managing facilities; and, more generally, developing 2012–2030. [online]. Timor-Leste. [Cited 12 Janu- aquaculture in an efficient and environmentally ary 2017]. http://pubs.iclarm.net/resource_centre/ sustainable and socially acceptable manner. WF_3602.pdf. Main sources of information (general and example plans): Ministry of Food and Agriculture, Fisheries Commission. 2012. Ghana National Aquaculture Brugère, C., Ridler, N., Haylor, G., Macfadyen, G. & Development Plan [online]. Ghana. [Cited 12 Janu- Hishamunda, N. 2010. Aquaculture planning: ary 2017]. http://faolex.fao.org/docs/pdf/gha149443 policy formulation and implementation for sustain- .pdf. able development. FAO Fisheries and Aquaculture Technical Paper No. 542. Rome, FAO. 70 pp. (also NOAA Fisheries. 2016. USA Marine Aquaculture available at www.fao.org/docrep/012/i1601e/ Strategic Plan 2016–2020. (also available at i1601e00.pdf). Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 111 www.nmfs.noaa.gov/aquaculture/docs/ stakeholder engagement; screening to determine aquaculture_docs/noaa_fisheries_marine_ what areas will be considered and investigated; an aquaculture_strategic_plan_fy_2016-2020.pdf). analysis, covering those areas outlined above; and decision making based on that assessment, including The Use of Strategic Environmental Assessment development of the strategic plan. Some examples of Strategic Environmental Assessment (SEA) is a system- the application of SEA to aquaculture development are atic, analytical and participatory approach that aims to included in the further reading. integrate environmental considerations into policies, plans and programmes, and evaluates the interlinkages Web Resources with economic and social considerations. SEA confers Application of SEA to aquaculture development specific requirements on national and local govern- in South Africa (http://aquasea.csir.co.za/ ments to consider the environmental implications, sea-process). alternatives and measurable targets related to large European Union with guidance on the application of and complicated infrastructural developments, for SEA (not aquaculture-specific) (http://ec.europa example. In an aquaculture context, the application .eu/environment/eia/sea-support.htm). of SEA forms part of the principles of applying the ecosystem approach to aquaculture by considering Environmental impact professionals (SEA and EIA) how any development activity fits into a country’s (www.iaia.org/index.php). needs from a legislative, business, social, economic and environmental perspective. Further Reading Adi Associates Environmental Consultants Ltd. 2012. SEA should be carried out in order to ascertain the Strategic Environmental Assessment on Malta’s impact of legislative and regulatory systems and Aquaculture Strategy. Environmental report. practices on aquaculture development. This should be San Gwann, November 2012; viii 1 112 pp. 1 evaluated fully to identify where aquaculture-related 1 appendix. (also available at https://agriculture legislation might be enacted, if appropriate. The .gov.mt/en/fisheries/Documents/Final%20 SEA provides a clear context for development of the Environmental%20report%20%20Aquaculture industry, having evaluated not only the regulatory %20Strategy%20Oct%202013%20post framework but also the institutional capacity; exist- %20public%20c.pdf). ing and new market potential both internally and internationally; needs in terms of research, training, Department of Agriculture, Food and the Marine. infrastructure and financial/business opportunities; 2015. Strategic Environmental Assessment: SEA opportunities in terms of food security and quality statement—National Strategic Plan for sustainable assurance; compliance with international Codes of aquaculture development in Ireland. 76 pp. Conduct, such as that issued by FAO for sustainable (also available at www.agriculture.gov.ie/ fisheries (including aquaculture); and an evaluation of media/migration/seafood/marineagenciesand social and economic requirements. More broadly, it programmes/nspa/NSPASEAstatement181215.pdf). will provide an overall framework for the development Hutchings, K., Porter, S., Clark, B. M. & Sink, K. of the aquaculture industry, with an outcome of SEA 2011. Strategic Environmental Assessment: being to support the completion of a strategic plan for Identification of potential marine aquaculture aquaculture (see above). SEA can consider the cumula- development zones for fin fish cage culture. 65 pp. tive impacts of more than one project or activity on (also available at www.anchorenvironmental. the same environmental component. co.za/Documents/Pdfs/SEA%20MADZ/Draft%20 SEA%20Report%20for%20web.pdf). SEA follows a similar path to environmental impact assessment (see below) in undergoing a scoping Loughs Agency. 2010. Strategic Environmental exercise to establish the requirements and encourage Assessment (SEA) of the Aquaculture and 112 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management Shellfisheries Management Strategy. Environmen- sustainable aquaculture development, including spatial tal report, Loughs Agency. 92 pp. (also available planning for aquaculture. Please refer to Annex 1 for a at www.balticlagoons.net/artwei/wp-content/ more detailed list. uploads/2011/04/SEA-of-aquaculture-in-TWs- of-Ireland.pdf). Web Resources Rosário Partidário, M. do. 2012. Strategic See FAO. 2016. National Aquaculture Legislation environmental assessment better practice guide: Overview (NALO) Fact Sheets. [online]. Rome. methodological guidance for strategic thinking [Cited 12 January 2017]. www.fao.org/fishery/ in SEA. 76 pp. (also available at http://ec.europa. nalo/search/en. eu/environment/eia/pdf/2012%20SEA_Guid- These National Aquaculture Legislation Overviews ance_Portugal.pdf). (NALOs) exist for 61 countries on this Internet site. Aquaculture Legislation and Regulations Further Reading Laws are written legislative acts of national govern- Abate, T. G., Nielsen, R. & Tveterås, R. 2016. Strin- ment that set out the standards, procedures and gency of environmental regulation and aquaculture principles that must be followed. They are enforceable growth: A cross-country analysis. Aquaculture through the judicial system whereby failure to comply Economics and Management, 20 (2): 201–221. can result in prosecution in court. Regulations are the tools that ensure that a law is put into effect with Hishamunda, N., Ridler, N., Bueno, P., Satia, B., details about how this should be done, providing more Kuemlangan, B., Percy, D., Gooley, G., Bru- detail about the activities to be undertaken or not gere, C. & Sen S. 2010. Improving aquaculture undertaken to comply with the legal requirements. governance: What is the status and options? In R. P. Subasinghe, J. R. Arthur, D. M. Bartley, There are probably many laws that are of general S. S. De Silva, M. Halwart, N. Hishamunda, application to aquaculture without being aquaculture C. V. Mohan & P. Sorgeloos, eds. Farming the specific. A few examples include those on food safety waters for people and food. Proceedings of the and environmental protection, for example. Legislation Global Conference on Aquaculture 2010, Phuket, and regulations developed specifically for aquaculture Thailand. 22–25 September 2010. FAO, Rome and and aquaculture development are critical tools in NACA, Bangkok. correctly planning for and aiding the development of Sanchirico, J. N., Eagle, J., Palumbi, S. & Thomp- aquaculture at the national level. As a general rule, son Jr, B. H. 2010. Comprehensive planning, countries that have a well-developed aquaculture dominant-use zones and user rights: A new era sector tend to have aquaculture specific legislation and in ocean governance. Bulletin of Marine Science, regulations that have helped to support their well- 86(2): 273–285. developed sector. Legislation tends towards having a general law for Developing Codes of Practice, Codes of Conduct and Best Management Practices aquaculture development. Regulations tend towards relaying specific rules about specific subjects, such In recognition that laws and regulations need to be as environmental impact assessment, fish safety and followed and complied with, and in areas where welfare, use of drugs and other chemotherapeutants, aquaculture is well developed, industry has tended to and other aquaculture-specific areas of relevance. develop a non-mandatory set of guiding principles, often referred to as codes of practice (CoP), codes of Internationally, there are a number of binding instru- conduct (CoC) and best management practices (BMPs). ments (e.g., the Convention on International Trade in These are non-mandatory in a legal sense, as CoCs/ Endangered Species of Wild Fauna and Flora, Ramsar, CoPs/BMPs are generally voluntary schemes, often others) and nonbinding instruments (e.g., FAO codes issued by aquaculture trade associations, certification of conduct, millennium goals and others) that govern Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 113 schemes and other stakeholders, and provide a set sustainable use and a fair and equitable sharing of the of operating principles that “members” must comply benefits of aquaculture development. with to be a “member” or achieve certification, for It should be noted that compliance with CoCs/CoPs/ example. Compliance with CoCs/CoPs/BMPs can be BMPs issued by FAO or others as guidelines does laid down in aquaculture licences in some countries. not implicitly provide “certification” to aquaculture CoCs/CoPs/BMPs are useful tools to harmonize the organizations. Certification is different in that it operation of aquaculture production activities. These requires compliance with specific standards, which codes outline the standards of operation expected of are not generally presented in guideline documents the producer, designed to describe the best practices produced by FAO (Environmental Law Society, 2012). that should be undertaken. The ultimate aim is to Overall, codes of practice, codes of conduct and best provide reassurance to consumers on seafood prod- management practices are management tools that aim ucts, that production conducted by those complying to improve overall quality in production—not just in with the codes meet safety and environmental protec- the final product, but in every activity undertaken to tion standards, have been produced ethically and use produce that aquatic product. sustainable techniques. Often CoCs/CoPs/BMPs at this higher-level result Further Reading in aquaculture producers producing their own Aqvaplan Niva. 2008. Better Practice Guidelines company-specific versions that detail the methods of (BPGs) for marine pen and cage farmers for operation for specific activities (i.e., standard operating responsible and sustainable production. (also procedures (SOPs) for farm workers to adhere to, available at http://aquaculture.asia/files/online_03/ providing an overall chain of good conduct. To give PHILMANAQ%20Better%20Practice%20 two examples: (i) in certain countries, such as the mari- guidelines.pdf). culture parks set up in the Philippines, (see case study Arevalo, N. B., Donaire, T. C., Ricohermoso, M. A. & summary in Table A4.1 and full case study in Annex 5), Simbajon, R. Undated. Better Management each park has a manual of operating procedures to Practices for seaweed farming of Eucheuma and which all operators within the park comply; and (ii) in Kappaphycus (in the Philippines). [online]. NACA. Scotland, the United Kingdom of Great Britain and [Cited 12 January 2017]. http://library.enaca.org/ Northern Ireland (and in other European countries bmp/manuals/seaweed-culture-bmp-manual.pdf. also), the trade body (Scottish Salmon Producers Organisation—SSPO) has issued a code of practice for Environmental Law Society. 2012. Seafood Scottish salmon farmers, implementation of which is certification based on FAO guidelines and code required for membership. The code is based on one of conduct: a credible approach? [online]. Envi- produced at European level by the Federation of Euro- ronmental Law Institute. [Cited 12 January 2017]. pean Aquaculture Producers (FEAP). Each company has www.eli.org/sites/default/files/docs/ then developed its own code and standard operating seafood-certification-july-2012.pdf. procedures for on-site activity and management. FAO. 1995. Code of conduct for responsible fisheries. At a broad scale, guiding principles for sustainable Rome. 41 pp. (also available at www.fao.org/ production of aquaculture products have been issued docrep/005/v9878e/v9878e00.htm). by FAO, through the Code of Conduct for Responsible FAO. 2010. Aquaculture development. 4. Ecosystem Fisheries (FAO, 1995), that define a number of approach to aquaculture. FAO Technical Guidelines articles that, if implemented, will lead to improved for Responsible Fisheries No. 5, Suppl. 4. Rome. sustainability of aquaculture (and fisheries) production. 53 pp. (also available at www.fao.org/docrep/013/ This has been augmented by the EAA (FAO, 2010), i1750e/i1750e00.htm). a strategy for the integrated management of land, water and living resources that promotes conservation, 114 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management FAO. 2011. Technical guidelines on aquaculture Spatial planning for aquaculture zoning, site selection certification. Directives techniques relatives à la and the design of aquaculture management areas certification en aquaculture. Directrices técnicas should consider the social, economic, environmental para la certificación en la acuicultura. Rome/ and governance objectives of sustainable develop- Roma. 122 pp. (also available at www.fao.org/ ment. This is especially relevant when aquaculture docrep/015/i2296t/i2296t00.htm). takes place in common properties such as shared water resources. The Code of Conduct for Responsible FEAP. Undated. Code of conduct for European Fisheries encourages the concept of sustainability in aquaculture. Federation of European Aquaculture aquaculture planning and management. It urges states Producers. 8 pp. (also available at www.feap.info/ to produce and regularly update aquaculture develop- shortcut.asp?FILE=1180). ment strategies and plans to ensure that aquaculture Kusumawati, R. & Bush, S. R. 2015. Co-producing development is ecologically sustainable Better Management Practice standards for shrimp aquaculture in Indonesia. Maritime Studies, 14: 21. Further Reading doi:10.1186/s40152-015-0039-4. Aguilar-Manjarrez, J., Kapetsky, J. M. & Soto, D. Maine Aquaculture Association. Undated. Code 2010. The potential of spatial planning tools to of Practice for Aquaculture in Maine. [online]. support the ecosystem approach to aquaculture. Sustainable Solutions for Maine’s Growing Future. FAO/Rome. Expert Workshop. 19–21 November [Cited 12 January 2017]. http://maineaquaculture 2008, Rome, Italy. FAO Fisheries and Aquaculture .com/Code_of_Practice_v1.pdf. Proceedings No.17. Rome, FAO. 176 pp. (also available at www.fao.org/docrep/012/i1359e/ National Marine Fisheries Service. Undated. A i1359e00.htm). Code of Conduct for responsible aquaculture development in the U.S Exclusive Economic Zone. FAO. 2010. Aquaculture development. 4. Ecosystem 44 pp. (also available at www.nmfs.noaa.gov/ approach to aquaculture. FAO Technical Guidelines trade/AQ/AQCode.pdf). for Responsible Fisheries No. 5, Suppl. 4. Rome. 53 pp. (also available at www.fao.org/docrep/013/ SSPO. 2015. Code of Good Practice for Scottish i1750e/i1750e00.htm). Finfish Aquaculture. Scottish Salmon Producers Organisation. [online]. Perth, Scotland. [Cited FAO. 2013. Applying spatial planning for promoting 12 January 2017]. http://thecodeofgoodpractice future aquaculture growth. Seventh Session of .co.uk/chapters. the Sub-Committee on Aquaculture of the FAO Committee on Fisheries (COFI). St Petersburg, Spatial Planning for Aquaculture under the Russian Federation, 7–11 October 2013. Discussion Ecosystem Approach to Aquaculture document: COFI:AQ/VII/2013/6. (also available at Around the globe, the availability of and access to www.fao.org/cofi/43696-051fac6d003870636160 aquaculture zones and sites with favourable character- 688ecc69a6120.pdf). istics, including those areas that minimize interactions FAO. 2016. Report of the FAO workshop launching and conflicts with other activities, represent constraints the Blue Growth Initiative and implementing an for the expansion of the sector. The selection of the ecosystem approach to aquaculture in Kenya. spatial area designated for aquaculture development Mombasa, Kenya, 27–31 July 2015. FAO Fisheries and careful selection of farm sites are essential first and Aquaculture Report No. 1145. Rome. (also steps to ensure the success and sustainability of available at www.fao.org/3/a-i5997e.pdf). aquaculture. They should be carried out in accordance with the FAO Code of Conduct for Responsible Fisher- ies and the ecosystem approach to aquaculture. Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 115 Sanchez-Jerez, P., Karakassis, I., Massa, F., plans containing zoned areas and maps for specific Fezzardi, D., Aguilar-Manjarrez, J., Soto, D., activities. However, MSP is not just the production of Chapela, R., Avila, P., Macias, J. C., Tomassetti, P., maps, or a plan or zoning—as well as these, it is the Marino, G., Borg, J. A., Frani c ´ V., ˇ evic, development of a longer-term strategic process and Yucel-Gier, G., Fleming, I. A., Biao, X., management system whose aims are to best develop Nhhala, H., Hamza, H., Forcada, A. & the marine area for the benefit of all. Dempster, T. 2016. Aquaculture’s struggle for Marine spatial planning as a tool is a defined meth- space: the need for coastal spatial planning and odological process of investigation, data collection, the potential benefits of Allocated Zones for stakeholder engagement, analysis and decision making Aquaculture (AZAs) to avoid conflict and promote that provides zones and management areas for marine sustainability. Aquaculture Environment Interac- development, including aquaculture along with other tions, 8: 41–54. (also available at www.int-res important sectors that use land and marine space. .com/articles/aei2016/8/q008p041.pdf). MSP is a large subject that cannot be elaborated here Marine Spatial Planning in detail, but further reading is recommended below. There are many definitions of marine spatial planning An atlas of potential areas for aquaculture is an example (MSP). A useful one is the one given by Douvere and of “spatial planning for aquaculture (or aquaculture Ehler (2009), who describe MSP as “a public process spatial planning)” in which the analysis is primarily of analysing and allocating the spatial and temporal focused on aquaculture, whereas marine spatial plan- distribution of human activities in marine areas to ning is a cooperative approach that integrates all marine achieve ecological, economic, and social objectives users in identifying issues, opportunities and challenges that are usually specified through a political process.” to securing the sustainable use of marine space. Clearly, MSP can be considered as a strategic planning process, aquaculture spatial planning contributes to MSP, and undertaken through a consistent and agreed upon likewise other stakeholder groups such as the military, framework that enables integrated, future looking and navy and navigation authorities might have their own consistent decision making on the spatial use of the sea. spatial plans all of which contribute to development of Marine spatial planning considers and systematically MSP and the overall marine spatial plan. integrates all uses and users of selected space, while retaining and improving ecological services provided Further Reading by habitats, species and the environment, through Douvere, F. & Ehler, C. 2009. Ecosystem-based coordinated management, planning and implementa- marine spatial management: an evolving paradigm tion. An overall spatial plan for a large area allows for the management of coastal and marine places. for development of regional, national, subnational Ocean Yearbook, 23: 1–26. and local spatial plans through a participatory and Meaden, G. J., Aguilar-Manjarrez, J., Corner, R. A., coordinated approach. O’Hagan, A. M. & Cardia, F. 2016. Marine spatial Marine spatial planning, specifically, supports zoning planning for enhanced fisheries and aquaculture for aquaculture in the marine environment through an sustainability—its application in the Near East. evaluation of appropriate locations in marine space, FAO Fisheries and Aquaculture Technical Paper taking account of environmental and social suitability No. 604. Rome, FAO. (also available at www.fao and other use, users and sectorial interests while .org/3/a-i6043e.pdf). resolving or minimizing conflicts. There is a direct link The second document, in particular, contains an annex between having an overall strategic plan for aquacul- with a comprehensive listing of additional information ture, as defined above, and the implementation of this about MSP, including worldwide examples where in a systematic way through good spatial planning. MSP has been applied under varied local conditions at highly variable geographic scales. Zoning is one of the main management measures used in implementing MSP, with virtually all marine spatial 116 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management Use of Environmental Impact Assessment may also be required before final approval is given, Environmental impact assessment (EIA) can be defined however. as “The process of identifying, predicting, evaluating The application of EIA at the site level implements a and mitigating the biophysical, social, and other thorough assessment of all likely significant impacts relevant effects of development proposals prior to that an aquaculture site, or mariculture park, will major decisions being taken and commitments made” have on the local ecosystem, and should indicate (IAIA, 1999). In an aquaculture context, EIA is a the risks and mitigation of those risks. EIA should be process that occurs typically at the individual site level, implemented prior to the site being given permission but increasingly so at the area and zonal level. to operate. The site or park should be monitored EIA is a systematic assessment of the proposed subsequently to ensure the impacts of the site or park aquaculture development in terms of infrastructure to are not any worse than what was predicted in the EIA. be deployed, production and growth cycles of species Post-operational monitoring is a critical phase in the to be placed on site; an evaluation of the outputs, EIA process. in terms of solid and dissolved wastes and chemical use (e.g., plans for treating disease), for example; Further Reading and an assessment of impacts of farm activities on Corner, R. A., Siriwardena, S. N. & Fersoy, H. 2013. the ecosystem, local environment and on relevant Guidelines on the application of the environmental biodiversity. Often, EIAs will contain a summary of the impact assessment procedure in aquaculture economic impacts, including summaries of likely local in the Central Asia and Caucasus region. FAO, employment and contribution of the development to Ankara. 71 pp. the local economy. FAO. 2009. Environmental impact assessment and EIA, as a tool, generally follows a distinct sequence monitoring in aquaculture. FAO Fisheries and of activities: (i) screening to determine whether an Aquaculture Technical Paper No. 527. Rome. EIA is needed; (ii) scoping to determine what should Includes a CD-ROM containing the full docu- be evaluated; (iii) undertaking environmental studies; ment. 648 pp. (also available at www.fao.org/ and (iv) writing an environmental impact statement docrep/012/i0970e/i0970e00.htm). that aims to show possible impacts and how these IAIA, International Association for Environmental will be prevented, offset or otherwise mitigated using Assessment. 1999. Principles of environmental a precautionary approach to reduce any negative impact assessment best practice. 4 pp. (also avail- impacts from the aquaculture development. Activi- able at www.iaia.org/uploads/pdf/principlesEA_1 ties (iii) and (iv) often require collection of primary and .pdf). secondary data (e.g., baseline conditions in the local environment), and the application of computer models Evaluation of Carrying Capacity to determine the likely impacts and engagement with The evaluation of carrying capacity for aquaculture is local stakeholders and the public. The EIA should aim a relatively new area of activity within aquaculture, to address public concerns about the development. and has the aim of assessing the maximum limits This is followed by statutory and non-statutory on aquaculture production in a given area based on stakeholder consultation and feedback to the compe- environmental limitations and social acceptability. tent authority, and overall consideration of the merits of the development by the competent authority, who Carrying capacity is most typically evaluated through makes a final decision to approve the EIA or not. EIA is modelling owing to the multifactorial nature of the generally part of the wider licencing procedures, and environment, where there is a need to consider approval of the EIA leads to the issuance of a licence hydrodynamics (water current flows and speeds, tidal to produce. Other licence requirements (e.g., planning, changes and waves), impacts on water quality and municipality approval, licence to discharge wastes) waters ability to assimilate dissolved wastes, impacts Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 117 on sediment quality and its ability to assimilate par- the additional resources they provide (power, drinking ticulate wastes, impacts on wild species, and cultured water, water for crops and so on); it is especially so in species growth, and culture practices. These incorpo- lakes that have a long water residence time. rate the environmental changes brought about by the There are a number of models that assess carrying cultured and wild species (biological component) and capacity for individual sites, and further details on changing chemical processes as a result of the addition some of these are elaborated below for reference. of nutrients to the environment (chemical component), There are only a few examples of models that assess and establishing the spatial extent of impacts through carrying capacity at the area and zonal scale and these water movement (physical component). The extent are also highlighted below. The use of geographic to which each component has an effect on limiting information systems (GIS) (see section below on GIS) capacity is to some extent dependent on the local in assessment of site suitability at various geographic environmental conditions and on the species being scales is widely used, but not ubiquitous, and develop- grown, so there is no single approach that is typical of ment of GIS capacity and use in aquaculture develop- the models developed. Also, models developed as a ment is encouraged. general application will often require local calibration and validation before use. Ultimately, assessment of carrying capacity is a significant undertaking conducted by specialists in the It is worth noting that no aquaculture production is field and requires time and money: to collect needed “zero impact.” Carrying capacity assessment carries field data, to develop the model or models, and for with it a social component through adoption of calibrating and validating these before results from acceptable limits of impact and the development of the modelling are used. Fundamentally, however, the environmental quality standards, for example. The assessment of carrying capacity is the ultimate tool development of integrated multi-trophic aquaculture that will determine the overall production potential, (IMTA) has the potential to offset some of the nutri- and assessment of carrying capacity will provide for ent loading from fish culture by growing extractive the long-term sustainability of the aquaculture sector. species, such as shellfish, algae and deposit feeders. Nutrients added to the environment by fish production Further Reading are used by the other aquaculture species for growth, lowering the overall environmental load. It is, however, Byron, C. J. & Costa-Pierce, B. A. 2013. Carrying unlikely that the introduction of IMTA would reduce capacity tools for use in the implementation the net nutrient load to zero. of an ecosystems approach to aquaculture. In L. G. Ross, T. C. Telfer, L. Falconer, D. Soto & Most activity and model development has focused J. Aguilar-Manjarrez, eds. Site selection and on assessing carrying capacity for specific individual carrying capacities for inland and coastal aquacul- sites in open marine environments. This has primarily ture. FAO/Institute of Aquaculture, University of been done for species with the highest production Stirling, Expert Workshop, 6–8 December 2010. internationally, such as salmon and sea bream, mussels Stirling, the United Kingdom of Great Britain and and oysters. There has also been some evaluation of Northern Ireland. FAO Fisheries and Aquaculture carrying capacity for tilapia and carp in freshwater Proceedings No. 21. Rome, FAO. 46 pp. Includes a cage production systems. Carrying capacity estimation CD–ROM containing the full document. 282 pp. for pond systems is less critical; except when water is (also available at www.fao.org/docrep/018/i3322e/ released to the environment into rivers, lakes or the sea i3322e.pdf). during harvest activity, which can have negative conse- Campuzano, F. J., Gutiérrez, J. M., Senabre, T., quences for the receiving ecosystem. This is not to say Mateus, M. D., Perán, A., Belmonte, A., that carrying capacity assessment in freshwaters is any Aliaga, V. & Neves, R. 2015. A modelling less important than for marine systems. It is perhaps approach to estimate the environmental and more important, especially for reservoirs and lakes, productive carrying capacity for a Mediterranean given the fragility of many freshwater ecosystems and 118 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management coastal marine culture park. Journal of Aqua- capacity models for bivalve culture and recom- culture Research and Development, 6: 373. mendations for research and management. doi:10.4172/2155-9546.1000373. Aquaculture, 261(2): 451–462. Cubillo, A. M., Ferreira, J. G., Robinson, S. M. C., Ross, L. G., Telfer, T. C., Falconer, L., Soto, D., Pearce, C. M., Corner, R. A. & Johansen, J. Aguilar-Manjarrez, J., Asmah, R., Bermúdez, J., 2016. Role of deposit feeders in integrated Beveridge, M. C. M., Byron, C. J., Clément, A., multi-trophic aquaculture—a model Corner, R., Costa-Pierce, B. A., Cross, S., analysis. Aquaculture, 453: 54–66. doi:10.1016/j. De Wit, M., Dong, S., Ferreira, J. G., aquaculture.2015.11.031. Kapetsky, J. M., Karakassis, I., Leschen, W., Little, D., Lundebye, A.-K., Murray, F. J., David, G. S., Carvalho, E. D., Lemos, D., Silveira, A. N. & Phillips, M., Ramos, L., Sadek, S., Scott, P. C., Dall’Aglio-Sobrinho, M. 2015. Ecological carrying Valle-Levinson, A., Waley, D., White, P. G. & capacity for intensive tilapia (Oreochromis niloticus) Zhu, C. 2013. Carrying capacities and site selection cage aquaculture in a large hydroelectrical reservoir within the ecosystem approach to aquaculture. in Southeastern Brazil. Aquacultural Engineering, In L. G. Ross, T. C. Telfer, L. Falconer, D. Soto & 66, 30–40. J. Aguilar-Manjarrez, eds. Site selection and carry- Ferreira, J. G., Grant, J., Verner-Jeffreys, W. & ing capacities for inland and coastal aquaculture, Taylor, N. G. H. 2013. Carrying capacity for pp. 19–46. FAO/Institute of Aquaculture, University aquaculture, modelling frameworks for the of Stirling, Expert Workshop, 6–8 December 2010. determination of. In P. Christou, R. Savin, B. Costa- Stirling, the United Kingdom of Great Britain and Pierce, I. Misztal & B. Whitelaw, eds. Sustainable Northern Ireland. FAO Fisheries and Aquaculture Food Production, pp. 417–448. Proceedings No. 21. Rome, FAO. 282 pp. (also Ferreira, J. G., Hawkins, A. J. S., Monteiro, P., available at www.fao Moore, H., Service, M., Pascoe, P. L., Ramos, L. & .org/docrep/018/i3322e/i3322e.pdf). Sequeira, A. 2008. Integrated assessment of Soto, D., ed. 2009. Integrated mariculture: a global ecosystem-scale carrying capacity in shellfish review. FAO Fisheries and Aquaculture Technical growing areas. Aquaculture, 75: 138–151. Paper No. 529. Rome, FAO. 183 pp. (also available Ferriss, B. G., Reum, J. C. P., McDonald, P. S., at www.fao.org/docrep/012/i1092e/i1092e00.htm). Farrell, D. M. & Harvey, C. J. 2016. Evaluating There are a number of approaches to evaluate carrying trophic and non-trophic effects of shellfish capacity; too many to mention here. A useful means aquaculture in a coastal estuarine foodweb. ICES to gain further information is to conduct a Web search Journal of Marine Science, 73 (2): 429–440. for “aquaculture carrying capacity.” Some tools and doi: 10.1093/icesjms/fsv173. models are detailed below. McKindsey, C. W., Thetmeyer, H., Landry, T. & Silvert, W. 2006. Review of recent carrying Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 119 Part 3. Summary of spatial tools and models in use for aquaculture zoning, site selection and area management This part starts with a subsection on spatial data types, such development has taken place in Europe and quality and sources to highlight the importance of using North America, except perhaps for the application of good data and information for aquaculture zoning, site GIS, remote sensing and freshwater modelling, which selection and area management. Although high-quality have a more global application. primary and secondary data requirements are highlighted Given the vast range of tools and models, only under a subsection on “Spatial data types, quality and some of the main ones are listed in this document. sources” below, the requirements for good data apply Occasionally, tools and models are developed for equally to development of all tools and models. aquaculture for zoning, site selection and area Subsequent subsections provide a summary of a few management, but are not identified by a distinct of the available tools and models. The development of “name” (of the model), which makes them difficult aquaculture zoning, site selection and area manage- to identify and highlight. Occasionally, a suite of tools ment often results from the application of cross- is developed but the literature refers to them only as cutting tools and models, with a capability to deal being part of a general “decision support tool” used in with varying spatial scales. Often, the outputs from a particular location, which again makes them difficult small scale models can be used at the larger scale, as to include here. Other models contribute in a smaller indicated by the modelling framework in Figure A4.1. way, such as models that simulate fish and shellfish growth, which provide useful information, but do Some of the farm scale and ecosystem models not in themselves contribute to zoning, site selection selected tend to reflect the fact that the majority of FIGURE A4.1. Generic framework that shows how various tools and models can be used to provide the drivers, boundary conditions or fluxes into larger scale models and vice versa. Good quality data at each stage are vital. Drivers Data analysis Databases Individual growth Local, farm-scale Drivers models Individual models GIS & remote models Individual sensing models Drivers Drivers Spatial analysis Statistics Water quality Area/zone system-scale ecological models Fluxes and conditions Terrestrial conditions boundary boundary Hydrological model Hydrographic model 120 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management and area management activity. There is no doubt the Table A4.2 also identifies a non-exhaustive list of development and application of GIS, remote sensing projects, where tools and models are being developed and dynamic models, in particular, will increase over or used in the application of aquaculture zoning, site time as aquaculture develops and expands further. selection and area management, that will stimulate investigation. Each subsection, however, also contains This section generally covers the tools and models a reading list, generally covering more recent publica- used within the case studies (Annex 5) mentioned in tions and Web resources, where applicable. There is Table A4.1 or selected for inclusion by the authors. TABLE A4.2. Selection of recent international collaborative research projects where tools and models were applied to aquaculture zoning, site selection and area management. Name Thematic Area Web Resources Aquabest Developing responsible www.aquabestproject.eu aquaculture in the Baltic Sea region (dedicated work package on spatial planning) Aquaculture Developing aquaculture zones www.fish.wa.gov.au/Fishing-and-Aquaculture/Aquaculture/ Zones project in designated areas selected Aquaculture%20Zones/Pages/default.aspx for its suitability for a specific aquaculture sector Aquapods Spatial Planning and Bio-Economic www.bren.ucsb.edu/research/documents/aquapods_report.pdf Analysis for Offshore Shrimp Aquaculture in Northwestern Mexico AquaSpace Ecosystem approach to making www.AquaSpace-H2020.eu space for sustainable aquaculture BlueBRIDGE Building research environments www.bluebridge-vres.eu/about-bluebridge fostering innovation, decision making, governance and education to support Blue Growth Co-Exist Sustainable integration of www.coexistproject.eu aquaculture and fisheries ECASA Ecosystem approach for www.ecasa.org.uk sustainable aquaculture Lake Volta Planning for improved and www.aquaculture.stir.ac.uk/GISAP//Ghana/index sustainable cage aquaculture in Lake Volta, Ghana NASO maps NASO aquaculture map collection www.fao.org/fishery/naso-maps/country-initiatives/en/ PHILMINAQ Zoning and site selection in the www.aquaculture.asia/pages/15.html Philippines ROSA Risks and opportunities for www.rosa-marine.uk/home sustainable shellfish aquaculture ShellEye Improving shellfish aquaculture www.shelleye.org/ through satellite monitoring SISQUONOR Spatial Information System for www.forskningsradet.no/prognett-fns/Nyheter/Norwegian_ Aquaculture in Normandy and technology_to_help_French_ shellfish_production/1253990751393/ Norway p1226994063847 TAPAS Tools for assessment and planning www.tapas-h2020.eu/ of aquaculture sustainability Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 121 also a short additional reading section at the end of (i) the accuracy of data used and to their precision this Annex. (how precisely has a measurement been recorded); (ii) standardizing the methods used for data collection; Spatial Data Types, Quality and Sources (iii) the use of appropriate classification systems and Data are facts and statistics collected together for thematic categories; (iv) the timeliness of the data; reference or analysis. There are two key types: (i) and (v) possible sources of error in any data collected primary data; and (ii) secondary data. Primary data (Meaden and Aguilar-Manjarrez, 2013). include information collected directly through mea- Sources of data are many and varied, and the extent of surement, or otherwise collected directly for a specific available data depends on the location, previous work purpose. Primary data would include on-site measure- done and on their application. Increasingly, there are ments of water quality, for example, or stakeholder a large number of databases that are becoming freely feedback through project questionnaires. Secondary available on climate, from remote sensing and for data are data that have been collected by someone mapping purposes, for example. If not freely available, else, or the primary data that have been processed in then such data can also be purchased for a fee. some form (e.g., through statistics, or input into GIS, Good data sources come from the refereed literature: or a model) with the outputs constituting secondary journals that present the results from years of research data. Although primary data are available via remote conducted by universities, research institutions, and sensing, such data are generally a good example of others globally. Governments will often maintain a secondary data, for example, collected via satellite large body of data for their country. FAO maintains imagery with measurement and processing completed large databases on fisheries and aquaculture produc- by the collecting organization (e.g., through NASA tion globally through its FIGIS database, comprising or other similar agencies) and sold or made available strategic data, information, analyses, and reviews free as databases for use by third parties (such as GIS of issues and trends on a broad range of fisheries specialists or modellers). subjects. It is important that any data used come from Any tool or model applied is only as good as the data a reliable source with appropriate vetting to ensure that are used to develop and then apply that tool or the key requirements on data quality outlined above model. The old adage “poor data in = poor informa- are met. In the end, if data are not available, then the tion out” should be heeded, and people applying tools only alternative is direct data collection, remembering and models should make every effort to incorporate that this form of data collection is probably the most high-quality and relevant data for the tool or model expensive and time consuming to carry out. applied. The main factors influencing data quality There are many online sources of spatial data. Each are the money, time and effort that are put into data data set is usually described and categorized so that collection. the user can understand what the data set contains Data quality is largely scale dependent, whereby and represents—this information is known as meta- if data were collected for a small-scale (large data. An example of a metadata portal is the United area) project, then the use of the same data for a Nations Environment Programme online portal of large-scale project would almost certainly be inap- environmental data sets (http://geodata.grid.unep propriate because the resolution of the data would .ch). Hosted data are searchable by keywords, and be insufficient. Any scaling done needs to be certain can be filtered by thematic category, priority issue and that the tool or model remains valid. In developing geographic region, etc. and applying a fish growth model covering the whole For a more thorough review of data types and sources production cycle for a 1 kg fish, the data used for specific for application through GIS, see Meaden and model calibration and validation also need to cover this Aguilar-Manjarrez (2013). The Web site http://gisinecology size, and not simply scaling measured data for juvenile .com/gis_data_sources.htm also provides some stages up to 100 g and assuming this will be suf- examples of data sources available. ficient. Data quality must also take into consideration: 122 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management Web Resources number of sources and include topographic mapping, FAO. 2016. GeoNetwork—The portal to spatial data digital elevation model data and satellite imagery, and information. [online]. Rome. [Cited 12 January for example. Mapping the bathymetry (water depth) 2017]. www.fao.org/geonetwork/srv/en/main.home of the sea is slightly more specialized, with maps available from the National Oceanic and Atmospheric FAO. 2016. Global aquaculture production Administration (NOAA) (https://ngdc.noaa.gov/mgg/ 1950–2014. In: FAO Fisheries and Aquaculture bathymetry/maps/nos_intro.html) and the General Department [online]. Rome. [Cited 12 January Bathymetric Chart of the Oceans (GEBCO, www 2017]. www.fao.org/figis/servlet/TabLandArea?tb_ .gebco.net), among others. ds=Aquaculture&tb_mode=TABLE&tb_ act=SELECT&tb_grp=COUNTRY Aquaculture zoning and site selection are often evalu- ated through a multi-criteria evaluation (MCE) model UNEP. 2016. Environmental data explorer. In: United that incorporates layers of information (attributes) Nations Environment Programme [online]. Geneva. within the GIS. These include, for example, digital [Cited 12 January 2017]. http://geodata.grid.unep.ch maps; physical, chemical and biological attributes, such Further Reading as water depth (bathymetry), wave height, distance to port and population centres (markets); application Aguilar-Manjarrez, J., Kapetsky, J. M. & Soto, D. of remote sensing data (e.g. water temperature and 2010. The potential of spatial planning tools to chlorophyll concentration); identification of other support the ecosystem approach to aquaculture. water uses (fisheries, oil extraction, navigation routes FAO/Rome. Expert Workshop. 19–21 November and aggregate dredging, to name a few); and areas 2008, Rome, Italy. FAO Fisheries and Aquaculture that are off limits for other reasons (tourism areas and Proceedings No. 17. Rome, FAO. 176 pp. (also marine protected areas, for example), often verified available at www.fao.org/docrep/012/i1359e/ through field surveys (called ground truthing). These i1359e00.htm). data are used collectively to then define areas suitable Meaden, G. J. & Aguilar-Manjarrez, J., eds. 2013. for aquaculture development and map out suitable Advances in geographic information systems and aquaculture zones and sites. At a simple level, the MCE remote sensing for fisheries and aquaculture. overlaps layers and identifies areas where conflicting Summary version. FAO Fisheries and Aquaculture use is low. More typically, the MCE weighs the impor- Technical Paper No. 552. Rome, FAO. 98 pp. tance of each element in the overall scheme, to then Includes a CD–ROM containing the full docu- determine areas suitable for aquaculture identified by a ment. 425 pp. (also available at www.fao.org/ higher overall score and those not suitable for a range docrep/017/i3102e/i3102e00.htm). of reasons achieving a lower score. There are various ways in which that weighting can be completed. Geographic Information Systems The application of geographic information systems As well as providing information in its own right, (GIS) has a long history, carried out by GIS practitio- GIS can also integrate a range of other data and ners. GIS is a spatial tool that uses geospatially refer- information for presentation, including, for example, enced information to visualize, question, analyse and hydrographic information on waves, tides and cur- interpret data to understand the relationships, patterns rents, which can form a further layer in the technical and trends in the data at various geographic scales, understanding of finding the best locations for within or across administrative or ecosystem boundar- aquaculture development to take place. ies. Common outputs include maps that highlight The majority of the case studies in Table A4.1 have the data analysis undertaken, along with underlying used GIS as part of their respective zoning, site selec- information about the geospatially referenced area tion and/or area management activity and thus GIS is under investigation. Digital maps can come from a Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 123 a critical tool in the development of aquaculture. It is already being undertaken by many countries; see not possible in the available space, however, to outline FAO’s National Aquaculture Sector Overview (NASO) all possible uses and applications to aquaculture, or map collection compilation at www.fao.org/fishery/ indeed to describe how GIS works. naso-maps/country-initiatives/en. For a more thorough review of how GIS can sup- Web Resources port aquaculture development, the publications by The reader is also recommended to investigate: Kapetsky and Aguilar-Manjarrez (2005), Aguilar- Manjarrez, Kapetsky and Soto (2010), and Meaden FAO GISFish publications database (www.fao.org/ and Aguilar-Manjarrez (2013) are recommended. GIS fishery/gisfish/index.jsp), which provides a large resource is often the first tool to be applied in zoning and site of information on the application of GIS, remote selection before the application of more specific local sensing and mapping for aquaculture and fisheries. area and farm-scale models are applied, which assess likely impacts from a specific level of production at a The Institute of Aquaculture in Scotland, the United site or within an area. Kingdom of Great Britain and Northern Ireland, is a rich source of research information focused on GIS, Table A4.3 provides a list of popular GIS software remote sensing and spatial applications for resource available. Also, there are a number of aquaculture management for aquaculture (www.aquaculture.stir inventory initiatives (i.e., Web mapping applications) .ac.uk/GISAP/gis-group). TABLE A4.3. Popular general-use GIS software. Software Complexity Name Publisher Licence/Cost Description Rating Desktop GIS software QGIS QGIS Open Source Desktop analysis and cartography ■■ $ GRASS Open Source Geospatial Open Source Desktop analysis and visualization ■■ Foundation (OSGeo) $ Manifold Manifold Commercial Desktop analysis and cartography ■ $ IDRISI Clark Labs Commercial Desktop analysis and cartography ■ $$ ArcGIS ESRI Commercial Industry standard GIS tools with additional ■■ $$$ disaster templates and disaster response information support Free ArcGIS Explorer data viewer available Web GIS software GeoServer Open Source Geospatial Open Source Geospatial Web service (Web map) provider ■■■ Foundation (OSGeo) $ MapServer Open Source Geospatial Open Source Geospatial Web service (Web map) provider ■■■ Foundation (OSGeo) $ ArcGIS Server ESRI Purchase Geospatial Web service (Web map) provider ■■■ $$$ ArcGIS Online ESRI Purchase Hosted online Web maps ■ $$$ Notes: Cost rating: $$$ > US$5 000; $$ ≤ US$5 000; $ = free. Complexity rating: ■ = beginner user, training manuals; ■■ = expert user, good documentation; ■■■ = expert user. 124 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management Further Reading 12 January 2017]. www.fao.org/fishery/ Aguilar-Manjarrez, J. & Crespi, V. 2013. National naso-maps/naso-home/en. Aquaculture Sector Overview map collection. FAO/Regional Commission for Fisheries. 2013. User manual/Vues générales du secteur aquacole Report of the regional technical workshop on national (NASO). Manuel de l’utilisateur. Rome, a spatial planning development programme for FAO. 65 pp. (also available at www.fao.org/ marine capture fisheries and aquaculture. Cairo, docrep/018/i3103b/i3103b00.htm). the Arab Republic of Egypt, 25–27 November Aguilar-Manjarrez, J. & Nath, S. S. 1998. A 2012. FAO Fisheries and Aquaculture Report strategic reassessment of fish farming potential in No. 1039. Rome. 127 pp. (also available at www Africa. CIFA Technical Paper No. 32. Rome, FAO. .fao.org/docrep/017/i3100e/i3100e00.htm). 170 pp. (also available at www.fao.org/docrep/ Ferreira, J. G., Falconer, L., Kittiwanich, J., w8522e/w8522e00.htm). Ross, L. Caurel, C., Wellman, K., Zhu, C. B. & Aguilar-Manjarrez, J., Kapetsky, J. M. & Soto, D. Suvanachai, P. 2014. Analysis of production and 2010. The potential of spatial planning tools to environmental effects of Nile tilapia and white support the ecosystem approach to aquaculture. shrimp culture in Thailand. Aquaculture, 447: FAO/Rome. Expert Workshop. 19–21 November 23–36. 2008, Rome, Italy. FAO Fisheries and Aquaculture Gimpel, A., Stelzenmuller, V., Grote, B., Buck, B. H., Proceedings No. 17. Rome, FAO. 176 pp. (also Floeter, J., Nunez-Riboni, I., Pogoda, B. & available at www.fao.org/docrep/012/i1359e/ Temming, A. 2015. A GIS modelling framework i1359e00.htm). to evaluate marine spatial planning scenarios: Co- Ashok, K., Nayak, D. P., Kumar, P., Mahanta, P. C. & location of offshore wind farms and aquaculture Pandey, N. N. 2014. GIS-based aquaculture site in the German EEZ. Marine Policy, 55: 102–115. suitability study using multi-criteria evaluation Hossain, M. S. & Das, N. G. 2010. Geospatial model- approach. Indian Journal of Fisheries, 61(1): ling for aquaculture sustainability in Noakhali, 108–112 Bangladesh. World Aquaculture Society magazine, Brigolin, D., Lourguioui, H., Taji, M. A., Venier, C., 41(4): 25–29. Mangin, A. & Pastres, R. 2015. Space allocation Jenness, J., Dooley, J., Aguilar-Manjarrez, J. & for coastal aquaculture in North Africa: Data Riva, C. 2007. African water resource database. constraints, industry requirements and conserva- GIS-based tools for inland aquatic resource tion issues. Ocean and Coastal Management, 116: management. 1. Concepts and application case 89–97. studies. CIFA Technical Paper No. 33, Part 1. Falconer, L., Hunter, D-C., Scott, P. C., Telfer, T. C. & Rome, FAO. 167 pp. (also available at www.fao Ross, L. G. 2013. Using physical environmental .org/docrep/010/A1170E/A1170E00.HTM). parameters and cage engineering design within Kapetsky, J. M. & Aguilar-Manjarrez, J. 2005. GIS-based models of site suitability for coastal and Geographical information systems in aquaculture offshore aquaculture. Aquaculture Environment development and management from 1985 to Interactions, 4: 223–227. doi: 10.3354/aei00084. 2002: an assessment. Proceedings of the Second FAO. 2016. Aquaculture mapping and monitoring. International Symposium on GIS in Fisheries and In: FAO. 2016. The State of World Fisheries and Spatial Analyses. University of Sussex, England. Aquaculture 2016. Contributing to food security 3–6 September 2002. Fishery GIS Research Group, and nutrition for all, p. 111. Rome, FAO. 200 pp. Saitama, Japan. (also available at www.fao.org/3/a-i5555e.pdf). Kapetsky, J. M. & Aguilar-Manjarrez, J. 2007. Geo- FAO. 2016. National Aquaculture Sector Overview graphic information systems, remote sensing and (NASO) map collection. [online] Rome. [Cited mapping for the development and management Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 125 of marine aquaculture. FAO Fisheries Technical marine finfish aquaculture using GIS-based neuro- Paper No. 458. Rome, FAO. 125 pp. (also available fuzzy techniques. Marine Pollution Bulletin, 48(8): at www.fao.org/docrep/009/a0906e/a0906e00 1786–1799. doi:10.1016/j.marpolbul.2011.05.019. .HTM). Radiarta, I. N., Saitoh, S-I. & Yasui, H. 2010. Aqua- Kapetsky, J. M. & Aguilar-Manjarrez, J. 2010. culture site selection for Japanese kelp (Laminaria Geographic information systems, remote sensing japonica) in southern Hokkaido, Japan, using and mapping for the development and manage- satellite remote sensing and GIS-based models. ment of marine aquaculture. In: FAO. The State ICES Journal of Marine Science, 68(4): 773–780. of World Fisheries and Aquaculture, pp. 150–154. Ross, L. G., Telfer, T. C., Falconer, L., Soto, D. & Rome, FAO. (also available at www.fao.org/ Aguilar-Manjarrez, J., eds. 2013. Site selection docrep/013/i1820e/i1820e00.htm). and carrying capacities for inland and coastal Kapetsky, J. M., Aguilar-Manjarrez, J. & Jenness, J. aquaculture. FAO/Institute of Aquaculture, 2013. A global assessment of potential for University of Stirling, Expert Workshop, 6–8 offshore mariculture development from a spatial December 2010. Stirling, the United Kingdom of perspective. FAO Fisheries and Aquaculture Great Britain and Northern Ireland. FAO Fisheries Technical Paper No. 549. Rome, FAO. 181 pp. and Aquaculture Proceedings No. 21. Rome, FAO. (also available at www.fao.org/docrep/017/i3100e/ 46 pp. Includes a CD–ROM containing the full i3100e00.htm). document. 282 pp. (also available at www.fao .org/docrep/017/i3099e/i3099e00.htm). Lovatelli, A., Aguilar-Manjarrez, J. & Soto, D., eds. 2013. Expanding mariculture farther offshore— Silva, C., Ferreira, J. G., Bricker, S. B., Del Valls, T. A., technical, environmental, spatial and governance Martin-Diaz, M. L. & Yaenz, E. 2011. Site selec- challenges. FAO Technical Workshop. 22–25 tion for shellfish aquaculture by means of GIS and March 2010. Orbetello, Italy. FAO Fisheries and far-scale models, with an emphasis on data-poor Aquaculture Proceedings No. 24. Rome, FAO. environments. Aquaculture, 318: 444–457. 73 pp. Includes a CD–ROM containing the full Ssegane H., Tollner, E. W. & Veverica, K. 2012. document. 314 pp. (also available at www.fao Geospatial modeling of site suitability for pond- .org/docrep/018/i3092e/i3092e00.htm). based tilapia and Clarias farming in Uganda. Jour- Meaden, G. J. & Aguilar-Manjarrez, J., eds. 2013. nal of Applied Aquaculture, 24(2): 147–169. (also Advances in geographic information systems and available at http://dx.doi.org/10.1080/10454438 remote sensing for fisheries and aquaculture. .2012.663695). Summary version. FAO Fisheries and Aquaculture Yucel-Gier, G., Pazi, I. & Kucuksezgin, F. 2013. Technical Paper No. 552. Rome, FAO. 98 pp. Spatial analysis of fish farming in the Gulluk Bay Includes a CD–ROM containing the full docu- (Eastern Aegean). Turkish Journal of Fisheries and ment. 425 pp. (also available at www.fao.org/ Aquatic Sciences, 13: 737–744. docrep/017/i3102e/i3102e00.htm). There are a number of resources, technical papers Miceal, J., Costa, A. C., Aguiar, P., Medeiros, A. & and journal publications on the application of GIS for Calado, H. 2015. Geographic information aquaculture site selection and zonal management; system in a multi-criteria tool for mariculture site too many to mention here. A useful means to gain selection. Coastal Management, 43: 52–66. (also further information is to conduct a Web search for available at www.tandfonline.com/doi/abs/ “GIS aquaculture site selection, zone management” or 10.1080/08920753.2014.985178). variations thereof. Moreno Navas, J., Telfer, T. C. & Ross, L. G. 2011. Spatial modelling of environmental vulnerability of 126 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management TABLE A4.4. Commonly used satellite remote sensing software applicable to aquaculture. Complexity Name Publisher Licence/Cost Description Rating Satellite remote sensing ILWIS 52°North Open Source Open Source Free integrated raster + vector GIS and ■■ Software Initiative $ remote sensing software Sentinel European Space Agency Open Source Free open source toolboxes for the scientific ■■■ Toolboxes $ exploitation of the Sentinel missions IDRISI Clark Labs Commercial GIS tool set with over 300 analytical tools, ■ $$ primarily oriented to raster data ENVI Exelis Visual Information Commercial Software to process and analyse all types of ■■ Solutions $$$ imagery ERDAS Hexagon Geospatial Commercial Software to process and analyse all types of ■■ Producer Suite $$$ imagery Geomatica PCI Geomatics Commercial Software to process and analyse all types of ■■ $$$ imagery SEADAS NASA Open source Software to process ocean colour ■ $ Unmanned aerial vehicles Pix4d Mapper Pix4d Commercial Software to process and analyse UAV data ■■ Pro $$$ Agisoft Agisoft Commercial Software to process and analyse UAV and ■■ Photoscan $$$ photogrammetry data Notes: Cost rating: $$$ > US$5 000; $$ ≤ US$5 000; $ = free. Complexity rating: ■ = beginner user, training manuals; ■■ = expert user, good documentation; ■■■ = expert user. Satellite Remote Sensing from a very high resolution, such as 1 m 3 1 m, Remote sensing is the science of obtaining information or low resolution, such as 1 000 m 3 1 000 m per about objects or areas from a distance, typically from pixel, which is generally too large for specific site aircraft or satellites where sensors detect energy selection activity, but is useful for larger spatial scales reflected from the earth’s surface, using either passive considered for zoning. Raw data are generally referred means (such as sunlight) or active means (such as to as Level 1 information and constitute the primary lasers). The most often used remote sensing informa- data received from the images. Conversion using GIS, tion for aquaculture comes from satellites, which are for example, into mapped images and then model able to measure sea surface temperature and chloro- outputs represent secondary data that can, through phyll concentration, detect harmful algal blooms and the GIS applications outlined above, provide useful sea surface height, and provide wind data over large information on areas of interest for aquaculture based areas; the information can then be analysed using GIS. on the parameters measured and any other criteria used in the assessment. Satellite data generally consist of raster images, with associated data in each pixel of the image. Image Table A4.4 provides a summary of the commonly used pixels represent areas of sea (or land) at different remote sensing software, and for an overview of how spatial scales depending on the system used; they remote sensing can support aquaculture development, can have a vast range of spatial resolutions, ranging please see Dean and Popolus (2013). Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 127 Further Reading Saxena, M. R., Gangulya, K., Sunder, B. S., Rani, P., Dean, A. & Popolus, J. 2013. Remote sensing and Rao, A. & Shankar, G. R. 2014. Monitoring GIS integration. In G. J. Meaden & J. Aguilar- land use with reference to aquaculture in Manjarrez, eds. Advances in geographic informa- Chinna Cherukuru village of Nellore District, tion systems and remote sensing for fisheries Andhra Pradesh, India—A remote sensing and and aquaculture. CD–ROM version. FAO Fisheries GIS based approach. The International Archives and Aquaculture Technical Paper No. 552. Rome, of the Photogrammetry, Remote Sensing and FAO. 425 pp. (also available at www.fao.org/ Spatial Information Services, Volume XL-8, 2014. docrep/017/i3102e/i3102e00.htm). pp. 927–931. (also available at www.int-arch- photogramm-remote-sens-spatial-inf-sci.net/ Dean, A. & Salim, A. 2013. Remote sensing for the XL-8/927/2014/isprsarchives-XL-8-927-2014.pdf). sustainable development of offshore mariculture. In J. M. Kapetsky, J. Aguilar-Manjarrez & J. Jen- Travaglia, C., Kapetsky, J. M. & Profeti, G. 1999. ness. A global assessment of offshore mariculture Inventory and monitoring of shrimp farms in Sri potential from a spatial perspective, pp. 123–181. Lanka by ERS SAR data. FAO Environment and FAO Fisheries and Aquaculture Technical Paper Natural Resources Working Paper No. 1. 34 pp. No. 549. Rome, FAO. 181 pp. (also available at Travaglia, C., Profeti, G., Aguilar-Manjarrez, J. & www.fao.org/docrep/017/i3100e/i3100e00.htm). Lopez, N. 2004. Mapping coastal aquaculture and Kapetsky, J. M. & Aguilar-Manjarrez, J. 2007. Geo- fisheries structures by satellite imaging radar: case graphic information systems, remote sensing and study of the Lingayen Gulf, the Philippines. FAO mapping for the development and management Fisheries Technical Paper No. 459. Rome, FAO. of marine aquaculture. FAO Fisheries Technical 45 pp. (also available at www.fao.org/docrep/007/ Paper No. 458. Rome, FAO. 125 pp. (also available y5319e/y5319e00.htm). at www.fao.org/docrep/009/a0906e/a0906e00 Valentini, E., Filipponi, F., Xuan, A. N., Passarelli, .htm). F. M. & Taramelli, A. 2016. Earth observation for Kapetsky, J. M. & Aguilar-Manjarrez, J. 2010. maritime spatial planning: measuring, observing Geographic information systems, remote sensing and modelling marine environment to assess and mapping for the development and manage- potential aquaculture sites. Sustainability, 8(6), ment of marine aquaculture. In: FAO. The State No. 519. doi:10.3390/su8060519. of World Fisheries and Aquaculture, pp. 150–154. Wijenayake, W. M. H. K., Gunaratne, A. B. A. K., Rome, FAO. (also available at www.fao.org/ De Silva, S. S. & Amarasinghe, E. S. 2014. Use docrep/013/i1820e/i1820e00.htm). of geographical information system and remote Meaden, G. J. & Kapetsky, J. M. 1991. Geographical sensing techniques for planning culture-based information systems and remote sensing in inland fisheries in non-perennial reservoirs of Sri Lanka. fisheries and aquaculture. FAO Fisheries Technical Lakes and Reservoirs Research and Management, Paper No. 318. Rome, FAO. 262 pp. (also available 19(3): 183–191. at www.fao.org/docrep/003/t0446e/t0446e00 Risk Mapping, Including Climate Change .htm). Management of aquaculture operations, even in Platt T., Shah, P., George, G., Menon, N., Moham- normal times, is complex because of the range of med, N., Thottan, M. P. & Sathyendranath, S. factors that can affect production. All the segments 2015. Use of remote sensing in the context of of the aquaculture production and supply chain cage aquaculture. 5th International Symposium are vulnerable to disaster events, a situation which on Cage Aquaculture in Asia. (also available at makes the tasks of disaster risk reduction, emergency http://eprints.cmfri.org.in/10588/1/CAA5%20 response, and recovery and rehabilitation particularly Souvenir_Grinson.pdf). demanding in the aquaculture sector. 128 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management Aquaculture is practised in varied environmental and Web Resources physical settings, but several factors (many of which See Climate Change Vulnerability Index (www are linked to location) affect vulnerability: .natureserve.org/conservation-tools/climate- change-vulnerability-index) for plant and animal 1. Many aquaculture sites are relatively exposed com- species vulnerable to climate change impacts. pared with other industries owing to competition for coastal resources and production locations. See ClimateWizard (www.climatewizard.org) for a 2. Many aquaculture sites are situated in fragile summary of global temperature and precipitation ecosystems that can be affected by hydrometeoro- change expected in the mid and end of the logical changes. twenty-first century. 3. Conditions for cultured species easily deteriorate with changes in temperature, precipitation, and Further Reading other water quality parameters. The cultured spe- Risk Mapping cies are often sensitive or have low tolerance to Brown, D. & Poulain, F. 2013. Guidelines for the fisheries these changes. and aquaculture sector on damage and needs 4. Aquaculture is often the “last user” of freshwater assessments in emergencies. FAO, Rome. 114 pp. (also and usually accorded low priority in its allocation. available at www.fao.org/3/a-i3433e/index.html). 5. In many countries, aquaculture is mostly carried Cattermoul, B., Brown, D. & Poulain, F. 2014. out by small-scale and resource-poor farmers with Fisheries and aquaculture emergency response weak resilience and adaptive capacity to disasters. guidance. Rome, FAO. 167 pp. (also available at The use of spatial tools and models is increasingly www.fao.org/3/contents/64f74d96-3323-4795- prevalent in society. Spatial tools acquire, manage 880d-0c9399e6f049/i3432e00.htm). and analyse data that have geographic or geospatial Joyce, K. E., Wright, K. C., Samsonov, S. V. & context. This includes remote sensing technology, Ambrosia, V. G. 2009. Remote sensing and the including satellites images, aerial surveys, global disaster management cycle. Advances in geosci- positioning systems (GPS), GIS and information and ence and remote sensing. G. Jedlovec, ed. InTech, communications technology (ICT) tools more broadly, pp. 318–346. (also available at www.intechopen such as mobile communication devices, and other data .com/books/advances-in-geoscience-andremote- gathering sensors such as meteorology sensors. Some sensing/remote-sensing-and-the-disaster- tools and models are explicitly targeted to disaster management-cycle). management and/or the aquaculture sector. Climate Change Changes in climate will affect aquaculture in De Silva, S. S. & Soto, D. 2009. Climate change and freshwater and marine systems as a consequence of aquaculture: potential impacts, adaptation and increased air and water temperatures, the lack of or mitigation. In K. Cochrane, C. De Young, D. Soto & change in resources, particularly affecting rainfall and T. Bahri, eds. Climate change implications for freshwater availability in certain regions, changes in fisheries and aquaculture: overview of current ocean acidification, changes in frequency and intensity scientific knowledge, pp. 151–212. FAO Fisheries and of storms and harmful algal blooms, among others, Aquaculture Technical Paper No. 530. Rome, FAO. which will impact aquaculture stocks, infrastructure and livelihoods. The extent of impact will vary region- Hamdan, R., Othman, A. & Kari, F. 2015. Climate ally and requires the application of GIS and remote change effects on aquaculture production perfor- sensing to establish likely risks. mance in Malaysia: an environmental performance analysis. International Journal of Business and Society, 16(3): 364–385. Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 129 Handisyde, N. T., Lacalle, D. S., Arranz, S. & Ross, The mapping of aquaculture facilities can be L. G. 2013. Modelling the flood cycle, aquaculture performed accurately, regularly (i.e., days, months or development potential and risk using MODIS data: years) and at selected spatial scales by remote sensing. a case study for the floodplain of the Rio Paraná, Remote sensing—using satellites, aircraft, drones Argentina. Aquaculture, 422–423: 18–24. or fixed sensors—enables observations of large and often remote or inaccessible areas at a fraction of the Handisyde, N. T., Ross, L. G., Badjeck, M.-C. & cost of traditional surveys. It provides a large range Allison, E. H. 2014. The effects of climate change of observation data that complement and extend on world aquaculture: a global perspective. data acquired from in situ observations to support Technical report. University of Stirling and Depart- aquaculture management. ment for International Development, UK. 152 pp. Handisyde, N., Telfer, T. C. & Ross, L. G. 2016. FAO has been assisting countries in recording the Vulnerability of aquaculture-related livelihoods location and type of aquaculture structures so they can to changing climate at the global scale. Fish and improve their aquaculture zoning, site selection and area Fisheries. doi:10.1111/faf.12186 (also available management. The work of FAO by Travaglia et al. (1999) at http://onlinelibrary.wiley.com/doi/10.1111/ and Travaglia et al. (2004) has demonstrated the map- faf.12186/abstract). ping of coastal aquaculture and fisheries structures using radar satellite images in Sri Lanka and the Philippines. Lebel, L., Lebel, P. & Lebel, B. 2016. Impacts, perceptions and management of climate-related Aquaculture structures and their evolution can be risks to cage aquaculture in the reservoirs of assessed against locations of sensitive ecosystems and Northern Thailand. Environmental Management, habitats to highlight potential impacts, and they can 58(6): 931–945. be used to assess spatial risks to aquaculture. They can also be linked to the licencing process to identify Liu, Y., Saitoh, S.-I., Igarashi, H. & Hirawake, T. unregistered or illegal facilities and to land tenure 2014. The regional impacts of climate change issues. FAO’s National Aquaculture Sector Overview on coastal environments and the aquaculture of (NASO) map collection (www.fao.org/fishery/naso- Japanese scallops in northeast Asia: case studies maps/naso-home/en) provides a spatial inventory of from Dalian, China, and Funka Bay, Japan. Interna- aquaculture with attributes, including species, culture tional Journal of Remote Sensing, 35: 4422–4440. systems and production (FAO, 2016). Based on Google There are a number of journal publications on climate Earth/Maps technology, its aim is to develop ways change and aquaculture; too many to mention here. A to assist developing countries, and so to encourage useful means to gain further information is to conduct them to conduct their own inventories, at minimal a Web search for “aquaculture climate change zoning cost, as part of their strategic planning for sustainable site selection” or variations thereof. aquaculture development. Mapping Aquaculture Facilities to Improve the Google Earth is a good starting point for spatial inven- Effectiveness of Planning and Management tories of aquaculture, as it makes high-resolution data Inventories and monitoring of aquaculture facilities (e.g., satellite images or historical aerial photographs) provide decision makers with important baseline freely available to the general public without requiring data and trends on production, area boundaries, size any remote-sensing expertise. distribution of farms, environmental conditions and More advanced approaches based on image analysis impacts, and spatial risks to the ecosystem and to require the use of GIS or remote-sensing software the farming systems, and so on. Mapping facilities and access to satellite images in their original format. improves the effectiveness of planning and manage- For example, images from the Sentinel-1A satellite are ment interventions to increase production, improve being used to monitor aquaculture in the Mediter- emergency preparedness (including for diseases) and ranean (ESA, 2016). reduce risks in general. 130 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management Further Reading Application of Models and Indices—Introduction Aguilar-Manjarrez, J. & Crespi, V. 2013. National Table A4.5 provides a summary of models and indices Aquaculture Sector Overview map collection. used in the case studies and additional models of User manual/Vues générales du secteur aquacole relevance to aquaculture zoning, site selection and national (NASO). Manuel de l’utilisateur. Rome, area management. Descriptions of each of these FAO. 65 pp. (also available at www.fao.org/ models and indices are provided below. Other models docrep/018/i3103b/i3103b00.htm). and indices are available. Aguilar-Manjarrez, J., Zhou, X. & Luce, J. B. Models for Freshwater Environments 2016. Managing aquaculture from space. FAO Aquaculture Newsletter, No. 55: 46–49. (also The largest impact in freshwater lake systems is most available at www.fao.org/documents/card/ likely eutrophication potential, with the addition en/c/578da08b-8c74-4bf2-a7e3-e70e6f0386c8). of nutrients from waste feed, faeces and dissolved wastes, increasing algal growth (i.e., higher chlorophyll ESA (European Space Agency). 2016. Sentinel-1 and, in extreme cases, phytoplankton blooms) and counts fish. In: European Space Agency. reducing oxygen availability, especially when the Observing the earth. [online]. Paris. [Cited phytoplankton die and are consumed by bacteria. 12 January 2017]. http://m.esa.int/Our_Activities/ This limits productivity in aquaculture, but more Observing_the_Earth/Sentinel-1_counts_fish. fundamentally damages the ecosystem for wild FAO. 2016. Aquaculture mapping and monitoring. species and other uses. The primary limiting factor In: FAO, 2016. The State of World Fisheries and for phytoplankton growth in freshwater systems is Aquaculture 2016. Contributing to food security phosphorus, which is generally added in excess to and nutrition for all, 111 pp. Rome, FAO. (also fish feeds because fish lack phytase to be able to available at www.fao.org/3/a-i5555e.pdf). process phosphorus efficiently. When released to the environment, this increases the concentration so FAO. 2016. NASO aquaculture maps collection. In: FAO that algal growth is no longer restricted. The most [online]. Rome. [Cited 12 January 2017]. www.fao common approach to assess freshwater lake systems .org/fishery/naso-maps/naso-maps/en. and aquaculture is application of the Dillon-Rigler Travaglia, C., Kapetsky, J. M. & Profeti, G. 1999. mass-balance model. At larger river basin scales, the Inventory and monitoring of shrimp farms in Sri SWAT model is also used, and described here. Other Lanka by ERS SAR data. FAO Environment and models provide more generic assessment of freshwater Natural Resources Working Paper No. 1. 34 pp. environments at system scales (e.g., see Panuska and Kreider, undated), and for classification of estuarine Travaglia, C., Profeti, G., Aguilar-Manjarrez, J. & systems (e.g., see www.eutro.org). Lopez, N. 2004. Mapping coastal aquaculture and fisheries structures by satellite imaging radar: Dillon-Rigler Model case study of the Lingayen Gulf, the Philippines. FAO Fisheries Technical Paper No. 459. Rome, Lakes are generally sensitive waterbodies, where shifts FAO. 45 pp. (also available at www.fao.org/ in trophic status and the potential for eutrophication docrep/007/y5319e/y5319e00.htm). affect the likely uses that lakes can be put to, including aquaculture. Lakes are classified according to their Trujillo, P., Piroddi, C. & Jacquet, J. 2012. Fish farms trophic state, as oligotrophic, mesotrophic, eutrophic at sea: the ground truth from Google Earth. or hypereutrophic, depending on the level of phospho- PLoS ONE 7(2): e30546. doi:10.1371/journal rus or chlorophyll present. .pone.0030546. Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 131 TABLE A4.5. Models and indices used for zoning, site selection and area management. Complexity Model/Index Developer Description Cost Rating Scale Model Dillon-Rigler1 n/a Changes in water quality conditions, $ ■ Lake site particularly phosphorus, based selection and on water residence time and capacity. pre-existing conditions, to assess change brought about by adding aquaculture to the system. SWAT Model USDA Simulates the quality and quantity of $ ■■■ Watershed, http://swat.tamu.edu Agricultural surface water and groundwater, and river-basin area Research predicts the environmental impact of management, Service land use, land management practices, including (USDA-ARS) and climate change on that water aquaculture. and Texas quality and availability. It is sometimes A&M AgriLife used in aquaculture to determine Research. freshwater loads to marine systems. FARM1 Longline Determines sustainable level of $ ■■ Marine site Environment production for aquaculture farms selection Ltd, London, culturing a range of species in and capacity UK. marine and freshwater environments management. and pond systems. Predicts species growth and environmental loads to determine site capacity and management decision making. Ecowin Longline An ecological model for large-scale $ ■■ Marine www.longline Environment aquatic systems used to model zoning, area .co.uk/site/products/ Ltd, London, effects of multi-site aquaculture management. aquaculture UK. production on environmental conditions over decadal time scales. MOM and FjordEnv Gotenborg Determines likely impacts from $$ ■■ Marine site www.ancylus.net University, fish cage culture on water selection and Sweden. quality and benthic conditions, capacity, zoning, evaluated against standards to limit respectively. production. Can be combined with a fjordic circulation model (FjordEnv) to assess wider changes. DEPOMOD, Scottish Site selection and capacity model, $$ ■■ Marine site MERAMOD Association defining impacts from aquaculture selection and and Derivatives of Marine tested against environmental standards capacity. www.sams.ac.uk/ Science, UK. to limit production. MERAMOD and kenny-black/ other derivatives relate to specific newdepomod species and/or locations. ACExR-LESV Scottish Simulates effects of finfish and $$ ■■ Marine zoning. www.sams Association shellfish aquaculture at the water .ac.uk/mark-inall/ of Marine body (zonal) scale, and is applicable assimilative-capacity Science, UK. to regions of restricted water exchange. Contains submodels for particular characteristics. 132 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management Complexity Model/Index Developer Description Cost Rating Scale Ecopath with ecosim Ecopath Ecological modelling software suite $ ■■■ Marine zoning. http://ecopath International not developed for aquaculture, but international.org/ Initiative, applied notably to shellfish carrying Spain. capacity modelling. Qualitative Network n/a Probability model applying various $ ■■ Marine zoning. Model1 ecological and social parameters for evaluation of impacts of aquaculture activity within zones. SYSMAR Research and Decision support system comprising $ ■■ Marine site Technology of modules for farm emissions, site selection Centre, Kiel selection, and carrying capacity. and carrying University. capacity. Index TRIX Eutrophication n/a Evaluation of multiple water-quality $ ■ Marine site Index1 parameters into a single index score. selection, Used primarily in the Mediterranean. zoning. Nutrient Marine, Combines models of water quality $ ■ Marine Enhancement and Scotland. and benthic change from waste zoning, area Benthic Index1 deposition, combined into a single management. index to define whether further aquaculture development is permitted in Scottish sea lochs. Sustainability Index2 Brazil. Scoring from 1 (poor) to 5 (high) $ ■ Lake applied to a number of social, zoning, area environmental, institutional and management. economic criteria, combined to create a final sustainability index score. 1 See reading list at the end of this annex. 2 See Brazil case study in Annex 5. Notes: Cost rating: $$$ > US$5 000; $$ ≤ US$5 000; $ = free. Generally, refers to licence cost and does not include the cost of specific application, calibration and validation to local conditions and species. Complexity rating: ■ = easily applied; ■■ = expertise supplied by developer or a consultant; ■■■ = specialist user requiring knowledge of particular software, often research related. Hypereutrophic lakes are unsuitable for aquaculture, The Dillon-Rigler model was not developed with as phytoplankton growth and the potential for eutro- aquaculture in mind, but is nonetheless applied phication is already high and fish production would globally to evaluate the changes resulting from the simply increase the problems. For other conditions, the proposed aquaculture production. Application of the question of how much aquaculture is feasible depends Dillon-Rigler model (see Brazil case study, Annex 5) to a large extent on what maximum phosphorus level requires prior knowledge on the existing status of the is acceptable for the water body, whether a change in water body, so data collection of primary data is an trophic status is acceptable for that production, which is important prerequisite. Data are needed on surface in part a social decision, and whether secondary effects area and depth, which allow an estimate of water of production such as lowering oxygen concentration volume, along with flow rate into and out of the lake have a self-harming effect. Freshwaters therefore need so that residence time can be calculated. There also an evaluation to assess the likely impacts. Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 133 needs to be some estimate of the likely input to the Zhang, Y-F., Wang, D.-P., Wei, G.-Y. & Wei, H.-Y. lake system from a certain level of fish culture, and 2012. Cage culture capacity analysis of Dahua whether this is in particulate form and buries in the Yantan reservoir in Guangxi. Journal of Southern sediment, or in dissolved form and is available to Agriculture, 43(11). (In Chinese). phytoplankton in the water column. Soil and Water Assessment Tool (SWAT) Estimates of capacity for aquaculture will also depend on The Soil and Water Assessment Tool (SWAT) is a public the addition of phosphorus from other sources, natural domain hydrological model jointly developed by the and human-induced, which then allows apportionment USDA Agricultural Research Service (USDA-ARS) and of loading to different activities while remaining within Texas A&M AgriLife Research (http://swat.tamu.edu). the maximum environmental limit imposed. See further SWAT simulates the quality and quantity of surface reading on the application of this model. and groundwater and predicts the environmental impact of land use, land management practices, and Further Reading climate change on that water quality and availability. Beveridge, M. C. M. 1984. Cage and pen fish farm- The model is widely used at the scale of a small ing. Carrying capacity models and environmental watershed to river basin to assess soil erosion preven- impact. FAO Fisheries Technical Paper No. 255. tion and control, non-point source pollution control, 131 pp. (also available at www.fao.org/ and regional management in watersheds. docrep/005/ad021e/ad021e00.htm). Its inclusion here results from its use to evaluate the Johansson, T. & Nordvarg, N. L. 2002. Empirical contribution of freshwater flows on aquaculture site mass balance model calibrated for freshwater fish selection and production taking place in estuarine and farm emissions. Aquaculture, 212(1–4): 191–211. marine systems as a bridge between both ecosystems. Mhlanga, L., Mhlanga, W. & Mwera, P. 2013. Under these circumstances, the SWAT model is used The application of a phosphorus mass balance to evaluate freshwater water flows and volumes and model for estimating the carrying capacity of Lake concentration of nutrients and sediments as they Kariba. Turkish Journal of Veterinary and Animal impact the marine environment, which then support Sciences. (also available at http://journals.tubitak the further evaluation of the marine system at the .gov.tr/veterinary/issues/vet-13-37-3/vet-37-3-12- zonal scale. 1110-37.pdf). Further Reading Punuska, J. C. & Kreider, J. C. Undated. Wisconsin Ferreira, J. G., Saurel, C., Lencart e Silva, J. D., lake modelling suite: program documentation Nunes, J. P. & Vasquez, F. 2014. Modelling and user manual. Version 3.3 for Windows. (also of interactions between inshore and offshore available at http://dnr.wi.gov/lakes/Model/ aquaculture. Aquaculture, 426–427: 154–164. WiLMSDocumentation.pdf). Ferreira, J. G., Saurel, C., Nunes, J. P., Ramos, L., Riasco, J., Diaz, D., Beltran, L. & Gutierrez, F. 2012. Lencart e Silva, J. D., Vazquez, F., Bergh, Dynamical model to estimate carrying capacity in Øivind, Dewey, W., Pacheco, A., Pinchot, M., reservoirs with fish farming/Modelo dinamico para Ventura Soares, C., Taylor, N., Taylor, W., estimar la capacidad de carga de cuerpos de agua Verner-Jeffreys, D., Baas, J., Petersen, Jens con piscicultura. Revista U.D.C.A Actualidad & Kjerulf, Wright, J., Calixto, V. & Rocha, M. Divulgación Científica, 15 (1): 135–145. (In Spanish) 2013. FORWARD—Framework for Ria Formosa (also available at www.scielo.org.co/pdf/rudca/ v15n1/v15n1a15.pdf). water quality, aquaculture and resource develop- ment. 111 pp. (also available at http://orbit.dtu.dk/ ws/files/102164373/Publishers_version.pdf). 134 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management Marinov, D., Galbiati, L., Giordani, G., Viaroli, P., The following are some examples of dynamic models Norro, A., Bencivelli, S. & Zaldívar, J-M. 2007. currently applied to aquaculture zoning, site selection An integrated modelling approach for the and carrying capacity assessment. Byron and Costa- management of clam farming in coastal lagoons. Pierce (2013) provide a short review on the application Aquaculture, 269 (1–4): 306–320. of such models (including others not listed here) in carrying capacity assessment. One important point of Nobre, A. M., Ferreira, J. G., Nunes, J. P., Yan, X., note is that all models require calibration and valida- Bricker, S., Corner, R. A., Groom, S., Gu, H., tion when applied within a new situation, or require Hawkins, A. J. S., Hutson, R., Lan, D., Lencart e a certain level of enhancement when applied to new Silva, J. D., Pascoe, P., Telfer, T. C., Zhang, X. & aquaculture species. As such, application to “new” Zhu, M. 2010. Assessment of coastal management circumstances often need a period of development, options by means of multilayered ecosystem including primary and secondary data collection where models. Estuarine, Coastal and Shelf Science, 87(1): necessary. 43–62. Application of Dynamic Farm and Ecosystem- Further Reading Scale Ecological Models for Zoning and Site Byron, C. J. & Costa-Pierce, B. A. 2013. Carrying Selection in Marine Systems capacity tools for use in the implementation Dynamic ecological models are used in aquaculture of an ecosystems approach to aquaculture. In to assess the capacity of an area to support cultured L. G. Ross, T. C. Telfer, L. Falconer, D. Soto & species, most typically by providing information and J. Aguilar-Manjarrez, eds. Site selection and predictions on the growth of species on culture, carrying capacities for inland and coastal aquacul- estimations of waste generated, and how the ture. FAO/Institute of Aquaculture, University of environment will respond to that waste—essentially, Stirling, Expert Workshop, 6–8 December 2010. an assessment of the siting of a certain level of Stirling, United Kingdom of Great Britain and production in a certain area. This can be done at both Northern Ireland. FAO Fisheries and Aquaculture the farm scale (site selection) and more widely at the Proceedings No. 21. Rome, FAO. 46 pp. Includes a ecosystem scale, incorporating multiple farms (zoning). CD–ROM containing the full document. 282 pp. (also available at www.fao.org/docrep/018/i3322e/ For the models developed, these have been applied i3322e.pdf). almost universally to the marine environment. Models combine submodels on hydrodynamics (water flows), Hydrodynamic Measurement and Modelling species growth (primarily based on local water Fundamentally, hydrodynamic measurement and temperature in fed species like fish, and temperature modelling is an assessment of water movement and and food availability in unfed species like bivalves), and water flows, tides and waves. Currents are water mass balance (the balancing of energy or nutrients in density, tidally driven or caused by wind, and waves and out of the system) together with baseline envi- are caused predominantly by wind. The National ronmental information (such as measures of specific Oceanic and Atmospheric Administration (NOAA) parameters, including temperature, existing nutrient maintains a number of fixed buoys at different loca- loading and so on). tions around the world (www.ndbc.noaa.gov). These In freshwaters, model use is more limited, but given buoys are loaded with instruments to measure water that most freshwater sites are more fragile ecosystems quality and other parameters, such as wave height, than corresponding marine environments, further period and spectra. At a broad scale, for assessment work needs to be undertaken to evaluate the longer- of zones, the use of remote sensing data, as outlined term effects of aquaculture development, particularly above, is useful in determining waves and wind effects in cages in lakes. on ocean currents. Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 135 At its simplest level, current speeds and direction can Ferreira, J. G, Caurel, C., Lencart e Silva, J. D., be measured using a small float, timer and hand-held Nunes, J. P. & Vazques, F. 2014. Modelling GPS. At a larger scale, discrete current meters can the interactions between inshore and offshore be deployed (examples are electromagnetic current aquaculture. Aquaculture, 426–427: 154–164. meters, impeller-type meters and the Acoustic Dop- (also available at www.fojo.org/papers/forward/ pler Current Profiler or ADCP), fixed in one location forward.pdf). for a defined period, which measure current speed Ferreira, J. G., Hawkins, A. S. J., Monteiro, P., and direction at different water depths at fixed time Moore, H., Service, M., Pasco, P. L., Ramos, L. & intervals throughout the deployment. Seueira, A. 2008. Integrated assessment of Most large-scale hydrodynamic models incorporate ecosystem-scale carrying capacity in shellfish tidal harmonics (for a description, see Tidal Analysis growing areas. Aquaculture, 275: 138–151. Software Kit, TASK, at http://noc.ac.uk/using-science/ (also available at www.researchgate.net/profile/ products/tidal-harmonic-analysis), which are math- Ana_Sequeira6/publication/222582349_ ematical formulations of water flows based princi- Integrated_assessment_of_ecosystem-scale_ pally on Navier-Stokes equations. (See www carrying_capacity_in_shellfish_growing_areas/ .nauticalcharts.noaa.gov/csdl/learn_models.html links/541f710f0cf2218008d3e8bd.pdf). for a description of what hydrodynamic models are Foreman, M. G. G., Chandler, P. C., Stucchi, D. J., used for). Garver, K. A., Guo, M., Morrison, J. & Tuele, D. 2015. The ability of hydrodynamic models to Examples of flow models include FLOW-3D (www inform decisions on the siting and management .flow3d.com/commercial-aquaculture-systems), of aquaculture facilities in British Columbia. DFO Delft3D-FLOW (http://oss.deltares.nl/web/delft3d), Can. Sci. Advis. Sec. Res. Doc. 2015/005. vii 1 Finite-Volume Coastal Ocean Model (FVCOM) (www 49 pp. (also available at www.researchgate.net/ .int-res.com/articles/aei2014/5/q005p235.pdf), and profile/M_Foreman/publication/275523139_The_ ECOM-si (http://woodshole.er.usgs.gov/operations/ ability_of_hydrodynamic_models_to_inform_ modeling/ecomsi.html). decisions_on_the_siting_and_management_ Current speed and direction and wind and wave of_aquaculture_facilities_in_British_Columbia/ activity are critical for site selection. Wind, waves links/553ec0a00cf210c0bdaaacca.pdf). and water movement (tidal flow effects) affect the ˆ Ge cek, S. & Legovi c ´ , T. 2010. Towards carrying cage and mooring design, the spread of farm wastes capacity assessment for aquaculture in the Bolinao from aquaculture activity, which impacts the seabed Bay, Philippines: a numerical study of tidal circula- and surrounding water column. Good water move- tion. Ecological Modelling, 221(10): 1394–1412. ment through the site is needed to ensure sufficient oxygenated water flows through the cages and on-site Symonds, A. M. 2011. A comparison between infrastructure. far-field and near-field dispersion modelling of fish farm particulate wastes. Aquaculture Research, Hydrodynamic models also often underpin ecological 42(S1): 73–85. models that assess the impacts of aquaculture on the Wu, Y., Chaffey, J., Law, B., Greenberg, D. A., local and regional environment. Such models generally Drozdowski, A., Page, F. & Haigh, S. 2014. refer to the coupling of hydrodynamic and ecosystem A three-dimensional hydrodynamic model for models. aquaculture: A case study in the Bay of Fundy. Aquaculture Environmental Interactions, Further Reading 5: 235–248. The following papers are a few examples where hydrodynamic modelling has been applied in site selection and zoning activity for aquaculture. 136 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management The Farm Aquaculture Resource Management The FARM model is not particularly data intensive in (FARM) Model terms of what data are needed to produce tangible The FARM model is designed to determine the results. It is a screening model used to evaluate: sustainable level of production for aquaculture farms (i) optimal carrying capacity (i.e., the greatest sustain- culturing a range of species (fish, shellfish and algae) able yield of market-sized animals within a given time in marine and freshwater environments and pond period); (ii) ecological and economic optimization of systems, and to improve sustainability, profitability and culture practice for shellfish and finfish and algae; environmental stewardship. The model can be applied (iii) information on the effects of changing the timing to a variety of species and environmental conditions. of seeding and harvest; and (iv) is used for assessment of farm-related eutrophication effects on local water, The underlying models use equations to describe among other outputs. A limited online version of the feeding in fed species or food/nutrient availability in FARM model is available for use at www.farmscale.org. non-fed species (such as shellfish and algae); regula- tion of feeding (such as feeding rate and feed conver- The FARM model has been applied in a number of sion ratio (FCR); species growth; energy input and loss locations globally, including China, Europe, Thailand through harvestable products, wastes and biological and the United States of America (www.longline processes; oxygen consumption through anabolic .co.uk/site/products/aquaculture/farm). and catabolic processes; and mass balance equations to reflect and account for inputs and outputs to the Further Reading production system. Cubillo, A. M., Ferreira, J. G., Robinson, S. M. C., Pearce, C. M., Corner, R. A. & Johansen, J. The FARM model thus predicts growth, nutrient 2016. Role of deposit feeders in integrated uptake and release to the environment, calculates a multi-trophic aquaculture—A Model analysis. mass balance to partition where the waste ends up, Aquaculture, 453: 54–66. doi:10.1016/ and is able to assess the changes in water quality over j.aquaculture.2015.11.031. a growth cycle. The approach and the equations used reflect the species concerned and whether they are Ferreira, J. G., Grant, J., Verner-Jeffreys, W. & fed, such as with fish production, or rely on localized Taylor, N. G. H. 2013. Carrying capacity for primary productivity and nutrient availability, such as aquaculture, Modelling frameworks for the with shellfish and algae. Modelling can be undertaken determination of. In P. Christou, R. Savin, B. Costa- on individual species produced in monoculture and Pierce, I. Misztal & B. Whitelaw, eds. Sustainable multiple species in integrated multi-trophic aquaculture Food Production, pp. 417–448. (IMTA) systems. Ferreira, J. G., Hawkins, A. J. S. & Brocker, S. B. The general model framework includes individual 2007. Management of productivity, environmental growth integrated with environmental drivers and effects and profitability of shellfish aquaculture— other data on farm practices to produce the outputs. the Farm Aquaculture Resource Management When growing more than one species in an IMTA (FARM) model. Aquaculture, 264: 160–174. system, for example, the species, their activity (e.g., Ferreira, J. G., Hawkins, A. J. S., Monteiro, P., growth) and outputs (e.g., wastes) interact over time Moore, H., Service, M., Pascoe, P. L., Ramos, (e.g., shellfish using some of the particulate waste L. and Sequeira, A. 2008. Integrated assessment generated by the fish farm) to provide an overall of ecosystem-scale carrying capacity in shellfish impact on growth of each species and the impacts for growing areas. Aquaculture, 75: 138–151. the local environment. Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 137 Saurel, C., Ferreira, J. G., Cheney, D., Suhrbier, A., Further Reading Dewey, B., Davis, J. and Cordell, J. 2014. Ferreira, J. G. 1995. EcoWin—An object-oriented Ecosystem goods and services from Manila clam ecological model for aquatic ecosystems. Ecologi- culture in Puget Sound: a modelling analysis. cal Modelling, 79: 21–34. Aquaculture Environment Interactions, Ferreira J. G., Andersson, H. C., Corner, R. A., 5: 255–270. Groom, S., Hawkins, A. J. S., Hutson, R., ECOWIN Model Lan, D., Nauen, C., Nobre, A. M., Smits, J., ECOWIN is an ecological model for large-scale aquatic Stigebrandt, A., Telfer, T. C., de Wit, M., systems. The basic structure is that of a spatial (2D Yan, X., Zhang, X. L. & Zhu., M. Y. 2006. SPEAR and 3D) framework of boxes, within which relevant Sustainable options for People, catchment and biogeochemistry (e.g., nutrient concentrations) and Aquatic Resources. ISBN 972-99923-0-4. 71 pp. population dynamics are resolved. There is an underly- Ferreira, J. G., Hawkins, A. J. S., Monteiro, P., ing hydrodynamic model (such as Deflt3D-FLOW) that Moore, H. Service, M., Pascoe, P. L., imparts water movement characteristics in the model, Ramos, L., & Sequeira, A. 2008. Integrated which allows each of the model boxes to interact and Assessment of Ecosystem-Scale Carrying Capacity change as a consequence of that interaction so that, in Shellfish Growing Areas. Aquaculture, 275, for example, changes in nutrients can be assessed over 138–151. large spatial and temporal scales. Ferreira, J. G., Hawkins, A. J. S., Monteiro, P., Aquaculture is added into the appropriate model boxes Service, M., Moore, H., Edwards, A., Gowen, R., where it exists in physical space through objects cor- Lourenco, P., Mellor, A., Nunes, J. P., Pascoe, P. L., responding to hierarchies for simulating, for example Ramos, L., Sequeira, A., Simas, T. & Strong, J. hydrodynamics, air temperature, shellfish growth, 2007. SMILE—Sustainable Mariculture in Northern seeding and harvesting processes, and so on. The Irish Lough Ecosystems—Assessment of carrying location of aquaculture production has effects (such capacity for environmentally sustainable shellfish as a changed nutrient condition) on surrounding boxes culture in Lough ecosystems. Institute of Marine through the application of the hydrodynamic model. Research 100 pp. (also available at www.ecowin The net effect is to assess the impacts of aquaculture .org/smile/documents/smile%20book.pdf). development being conducted in relatively limited Nobre, A. M., Ferreira, J. G., Newton, A., Simas, T., spatial locations, over a whole area or zone under Icely, J. D. & Neves, R. 2005. Management of assessment, thus providing an indication of the overall coastal eutrophication: Integration of field data, carrying capacity for individual areas within the zone. ecosystem-scale simulations and screening models. This ecological model is applicable to the ecosystem Journal of Marine Systems, 56 (3/4), 375–390. scale, covering waterbodies or coastal areas, and can Nunes, J. P., Ferreira, J. G., Bricker, S. B., O’Loan, B., be run over time scales of several years to decades to Dabrowski, T., Dallaghan, B., Hawkins, A. J. S., assess the changing situation over the model period. O’Connor, B. & O’Carroll, T. 2011. Towards an The outputs from the ECOWIN model can also support ecosystem approach to aquaculture: Assessment of site specific assessment because the outputs from sustainable shellfish cultivation at different scales of ECOWIN can be applied within the FARM model space, time and complexity. Aquaculture 315(3–4) (described above) and other models (Figure A4.1). 369–383. The ECOWIN model has been applied in a number of Modelling-Ongrowing Fish Farms-Monitoring locations globally, including China, Ireland, Portugal (MOM) Model and FjordEnv Model and the United States of America (www.longline The MOM model was developed initially in 1997 as a .co.uk/site/products/aquaculture/ecowin). means to assess the environmental impacts of single salmon farming sites in Norway. 138 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management One of the key components of the MOM model is Further Reading consideration of the quantity of particulate material Anon. Undated. Ancylus MOM version 3.2 user released from a fish farm site and the spread of that manual. 27 pp. (also available at www.ancylus waste on the seabed for estimation of the likely .net/Filbas/MOM/Manual_MOM_v3_2.pdf). changes in sediment oxygen concentration from the Ervik, A., Kupka-Hansen, P., Aure, J., Stigebrandt, A., deposition of that particulate matter, which varies Johannessen, P. & Jahnsen, T. 1997. Regulating with the level of production and amount of feed used. the local environmental impact of intensive marine Likely changes in sediment conditions are predicted fish farming 1. The concept of the MOM system and compared to a minimum environmental quality (Modelling-Ongrowing fish farms-Monitoring). standard (EQS) defined in legislation. The model is run Aquaculture 158: 85–94. iteratively, increasing or decreasing salmon production until the EQS is not crossed, which then sets the Stigebrant, A. 2001. FjordEnv—a water quality maximum allowable production of fish (www.ancylus model for fjords and other inshore waters. .net) for the site. The model contains a range of spe- Goteborg University. 44 pp. (also available at cies that can be modelled in different environments. www.ancylus.net/Filbas/Fjord_dynamics.pdf). At a larger scale, the FjordEnv model gives an estimate Stigebrant, A. 2011. Carrying capacity: general of environmental conditions of a marine water body, principle of model construction. Aquaculture including physical circulation in fjords and other Research, 42(S1), 41–50. inshore areas. The model computes rates of mixing DEPOMOD/MERAMOD/TROPOMOD/CODMOD intensity, water exchange and residence times in and Shellfish DEPOMOD different depth strata. It also computes the expected rate of oxygen consumption and oxygen minimum in DEPOMOD (see Scottish case study, Annex 5) was the basin water. Furthermore, the model computes developed in Scotland, the United Kingdom of Great changes of water quality due to changes in the supply Britain and Northern Ireland, as a means to regulate of nutrients and organic matter from fish farms and marine fish farming activity. Particulate wastes from fish other sources through combining estimates defined by farms are a controlled substance and require permission the MOM model. for discharge—most recently through the Water Envi- ronment (Controlled Activities) (Scotland) Regulations Before the model is applied to a specific area, informa- 2011 (called CAR licence) administered by the regulatory tion on topography and forcing functions must be body, the Scottish Environment Protection Agency. gathered. Some of the forcing is derived from offshore conditions, such as tidal amplitude, density variations The DEPOMOD model is a site selection model, in the water column and the natural vertical flux of originally developed in 2002 as a means to regulate organic matter. As these vary on regional and larger the maximum production permissible on salmon sites. scales, means data can only be stored in a database DEPOMOD (Cromey et al., 2002) is a particle tracking model for predicting the flux and resuspension of and used by referencing or calling this information through the model. As tidal amplitude is used, particulate waste material (food and faeces). The hydrographic measurements collected directly using model evaluation is based on an assessment of the current meters are not specifically needed to complete associated benthic community impacts resulting the model computations, but can be used to improve from the deposition of solid wastes onto the seabed, the quality of the computations carried out. resulting changes in sediment condition, and impact on number and type of species present on the seabed. Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 139 The model algorithms define the spread of particulate Further Reading waste on the seabed based on the production of the Black, K. D., Carpenter, T., Berkeley, A., Black, K. & site, quantities of particulate material released and its Amos, C. 2016. Redefining seabed process dispersion based on particle settling velocity, current models for aquaculture: NewDEPOMOD. Final speed and direction information (gained through a report. Scottish Association of Marine Science. current meter deployment) and water depth (through 200 pp. (also available at www.sams.ac.uk/kenny- a bathymetric survey) to determine where the waste black/REFINING%20SEA-BED%20PROCESS%20 will deposit on the seabed. Applying limits on the MODELS%20FOR%20AQUACULTURE%20 impacts in terms of quantity of solids depositing Final%20Report%20for%20web.pdf). and the application of a benthic index, the model Cromey, C. J., Nickell, T. D. & Black, K. D. 2002. is run iteratively from a starting biomass of fish on DEPOMOD—modelling the deposition and site, and that quantity is reduced and/or the cage biological effects of waste solids from marine configuration altered until the site is “passed.” The cage farms. Aquaculture, 214: 211–239. (also permitted peak biomass is set at this limit. The model available at www.i-mar.cl/noticias/2009/descarga/ defines an Allowable Zone of Effect (AZE) based on Cromey_etal_Aqua2002.pdf). the settlement of waste feed and faeces. Within the AZE, a limited amount of impacts is permitted, with Cromey, C. J., Nickell, T. D., Treasurer, J., government-imposed Environmental Quality Standards Black, K. D. & Inall, M. 2009. Modelling the (EQSs) defining minimum quality standards expected impact of cod (Gadus morhua L.) farming in the (examples are minimum number of species present in marine environment—CODMOD. Aquaculture, the sediment and maximum deposition per m2). The 289(1–2): 42–53. production carrying capacity of the site is therefore Weise, A. M., Cromey, C. J., Callier, M. D., limited by comparing model runs against EQSs for Archambault, P., Chaimberlain, J. & McKind- benthic species count, medicine concentration and sey, W. 2009. Shellfish-DEPOMOD: Modelling the sediment nutrient concentration. Deposition of in-feed biodeposition from suspended shellfish aquacul- medicines, used against sea-lice infestation, is included ture and assessing benthic effects. Aquaculture, as a controlled waste and is modelled through a 228(3–4): 239–253. DEPOMOD derivative called AutoDEPOMOD. ACExR-LESV Model More recently, NewDEPOMOD has been developed as a replacement for the original version, which The ACExR-LESV(SF) model simulates the effects of has undergone recoding using new software, new finfish and shellfish aquaculture at the water body calibration, and validation and implementation of (zonal) scale, and is applicable to regions of restricted improvement based on a better understanding of water exchange, such as the fjordic sea lochs found deposition and resuspension for high water flow in Scotland, the United Kingdom of Great Britain dispersive sites. and Northern Ireland. The model contains a number of submodels to simulate changes in biology and The MERAMOD and TROPOMOD models are derived chemistry, an aquaculture fish waste submodel to from the original DEPOMOD model for application in estimate dissolved and particulate nutrient additions, Mediterranean and tropical environments, respectively, and a pelagic ecosystem submodel to define water adapted and calibrated for the fish species and quality characteristics, including dissolved oxygen, environmental conditions exhibited in those areas (see chlorophyll, nitrogen and phosphorus. The model Philippines case study, Annex 5). CODMOD is a model averages the results per 24 hours, but simulates the that completes the same activity for cod species, and changes that occur over the period of a year. The net Shellfish-DEPOMOD for assessing the impacts of effect is a model that defines modelled changes to mussel (Mytilus sp.) longlines. water conditions that result from fish farm activity. 140 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management Further Reading Kluger, L. C., Taylor, M. H., Mendo, J., Tam, J., & Tett. P. 2014. Guide to the implementation of the Wolff, M. 2016. Carrying capacity simulations ACExR-LESV(SF) model for aquaculture in sea- as a tool for ecosystem-based management of a lochs and other regions of restricted exchange. scallop aquaculture system. Ecological modelling, Scottish Association of Marine Science, Oban. 331: 44–55. 22 pp. (also available at www.sams.ac.uk/paul- McKindsey, C. 2013. Carrying capacity for sustain- tett/acexr-lesv-guide-2014). able bivalve aquaculture. In P. Christou, R. Savin, Tett, P., Portilla, E., Gillibrand, P. A. & Inall, M. B. Costa-Pierce, I. Misztal & B. Whitelaw, eds. 2010. Carrying and assimilative capacities: the Sustainable Food Production, pp. 449–466. ACExR-LESV model for sea-loch aquaculture. Springer, New York. Aquaculture Research 42: 51–67. Zhang, T. W., Su, Y. P. & Ma, S. 2011. A preliminary Tett, P., Portilla, E., Inall, M., Gillibrand, P. A., study of Ecopath with Ecosim to the shrimp pond Gubbins, M. & Amundrod, A. 2007. Modelling ecosystem. Applied Mechanics and Materials, the Assimilative Capacity of Sea-Lochs. Final 88–89: 423–426. report to the Scottish Aquaculture Research Qualitative Network Model Applied to Shellfish Forum, project SARF012. (also available at www.sarf.org.uk/Project%20Final%20Reports/ Reun et al. (2015) have applied a Qualitative Network SARF012%20-%20Final%20Report.pdf). Model (QNM) to the consequences of bivalve culture and application of management decisions on species Ecopath with Ecosim community structure within Puget Sound. This is Ecopath with Ecosim is a free ecological modelling not a site selection or zoning methodology per se, software suite (available at http://ecopath.org). The but decisions on these rely also on assessment of suite has three main components: Ecopath, which is consequences of aquaculture development as part a static, mass-balanced snapshot of the system being of the ecosystem approach, which is why it has been modelled; Ecosim, which is a time dynamic simulation included here. module; and Ecospace, a spatial and temporal dynamic The process is a probability model using a graphical module primarily designed for exploring impact and method that defines a simplified matrix of complex placement of protected areas. This modelling suite was ecological interactions between species responses not developed for aquaculture, but has been applied along with abiotic and other (e.g., social, economic) to aquaculture, most notably for shellfish production linkages. The model assesses specific scenarios by and considerations of carrying capacity as part of evaluating the impacts of changes to the system. zoning and site selection activity. In an aquaculture context, this has been applied to additional bivalve aquaculture production, removing Further Reading predators of bivalves from an area, or assessing Byron, C. J., Jin, D. & Dalton, T. M. 2015. An changes in nutrient concentrations to then evaluate integrated ecological-economic modelling frame- the consequences on the overall ecosystem structure. work for the sustainable management of oyster farming. Aquaculture 447: 15–22. Further Reading Ferriss, B. E., Reum, J. C. P., McDonald, P. S., Reum, J. C. P., McDonald, P. S., Ferriess, B. E., Farrell, D. M. & Harvey, C. J. 2016. Evaluating Farrell, D. M., Harvey, C. J. & Levin, P. S. trophic and non-trophic effects of shellfish 2015. Qualitative network models in support of aquaculture in a coastal estuarine food web. ICES ecosystem approaches to bivalve aquaculture. ICES Journal of Marine Science, 73(2): 429–440. Journal of Marine Science, 72(8): 2278–2288. Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 141 Example of a Decision Support System regarding farm and overall carrying capacity of marine SYSMAR (see Indonesia case study) is a decision finfish aquaculture sites are delivered. support system (DSS) developed for decision makers SYSMAR has been successfully applied to several in the management of finfish marine aquaculture sites in Indonesia. The modules for site selection and facilities for sites with scarce data availability. The carrying capacity have been validated using in situ DSS was designed to regulate the development of observations in South-East Asia. facilities where the activity is already well established for assessment of suitable locations and estimation Further Reading of potential environmental impacts of existing cage Mayerle, R., Windupranata, W. & Hesse, K. J. clusters. In addition, it provides guidance on planning 2009. A decision support system for a sustainable and identification of potential areas for expansion of environmental management of marine fish farming. the activity. In Y. Yang, X. Z. Wu & Y. Q. Zhou, eds. Cage SYSMAR is comprised of modules for estimation of aquaculture in Asia, pp. 370–383. Proceedings finfish farm emissions, site selection and carrying of the Second International Symposium on Cage capacities. Data from various sources and numerical Aquaculture Asia, 3–8 July 2006, Hangzhou, China. simulation models for flow, waves and water quality Vol. 2. Asian Fisheries Society, Manila, Philippines, are embedded within a graphical user interface using and Zhejiang University, Hangzhou, China. ArcGIS, with the addition of open source modelling Niederndorfer, K. In press. Proposal of a practical systems used to facilitate further developments. method to estimate the ecological carrying Site selection and carrying capacity limits are defined capacity for finfish mariculture with respect to by adoption of cost-effective methods based on the particulate carbon deposition to the sea floor. results of simulation models for water flows, waves Research and Technology Centre, University of and water quality. Freely available bathymetric data Kiel, Kiel, Germany. (Ph.D. Thesis). are combined with data from remote sensing and Van der Wulp, S. A. 2015. A strategy to optimize the ocean forecast systems, enabling cost-effective model arrangement of multiple floating net cage farms developments in places with scarce data. Specific to efficiently accommodate dissolved nitrogenous site selection is based on best flushing, protection to wastes. Dissertation. Research and Technology hazards and farm operation. Thematic maps based Centre, University of Kiel, Kiel, Germany. 111 pp. on in situ measurements, simulation models and Windupranata, W. 2007. Development of a decision zoning schemes are prepared and imported to the support system for suitability assessment of DSS. Templates built using ArcGIS are overlaid for mariculture site selection. Research and Technol- generating suitability maps for marine finfish facilities. ogy Centre, University of Kiel, Kiel, Germany. Recommendations concerning the relocation and/or pp. 125. (Ph.D. Thesis). best location of farms are provided. Farm carrying capacity is based on hydrodynamics Application of Index Tools from measurements or model simulations. The method Indices are a method of aggregating univariate or estimates the maximum fish production for the given multivariate parameters to define an overall index flushing at the fish farm location, falling velocities of score within a range of possible scores, with the score waste, and a user-defined threshold for carbon deposi- defining an overall impact, status or condition. Indices tion on the seabed; and cumulative carrying capacity have been used in ecology for many years; examples is dictated by the rate at which nutrients can be added include diversity measures such as the Shannon- without triggering eutrophication. The emitted load of Weiner Index and AMBI (http://ambi.azti.es). Below are dissolved inorganic nitrogen (DIN) from all the farms some examples of indices that have been used within should not exceed a user-defined percentage of the the aquaculture case studies (Annex 5) summarized in DIN load entering the water body. Recommendations Table A4.1. 142 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management TRIX Index Yucel-Gier, G., Pazi, I., Kucuksezgin, F. & Kocak, F. Within the Turkey case study and in regions across the 2011. The composite trophic status index (TRIX) Mediterranean, the TRIX index has been applied to as a potential tool for the regulation of Turkish aquaculture site selection and zoning activity. TRIX was marine aquaculture as applied in the eastern originally developed by Vollenweider et al. (1998) as an Aegean coast (Izmir Bay). Applied Ichthyology, 27: index that defines trophic conditions in marine systems 39–45. based on generalized water quality parameters, Nutrient Enhancement and Benthic Index notably the linear addition of the logs of chlorophyll-a concentration, oxygen saturation, total nitrogen The nutrient enhancement and benthic index has been concentration and total phosphorus concentration. applied to Scottish sea lochs as a means to categorize whether or not aquaculture is permissible in a particu- The index is not widely used, but is applied to lar loch system (body of enclosed marine water, similar aquaculture in various countries growing fish in the to the Norwegian fjordic system). The index uses Mediterranean to evaluate changes in water conditions underlying models of nutrient enhancement, referred as a result of cage aquaculture deployment. In Turkey to as the equilibrium concentration enhancement (ECE) (Turkey case study, Annex 5), for example, it has been model, to predict the nitrogenous nutrients arising applied to define areas where aquaculture is permit- from fish farming conducted within the loch; and a ted and not permitted, based on the existing water carbon deposition model to predict the area of seabed quality to parameterize the TRIX model, combined liable to be covered by the settlement of particulate with minimum distance to shore, water depth and waste material (feed and faeces). For interpretation current speed criteria. TRIX is used to assess the likely of results, the predicted ECE values and the percent- consequences of cage aquaculture through changes age areas of “degraded” seabed are combined in a to the index score resulting from additional culture. manner which identify the relative potential sensitivity Applied through GIS, with interpolation between data of sea lochs to further fish farming development. points, the result is a map showing locations where aquaculture is permitted and demarcation of zones The approach adopted is a semi-logarithmic scaling that are strictly applied. of ECE values from 0–5, such that each sea loch can be assigned an index of nutrient enhancement. In Further Reading a similar manner, the percentage area of degraded Vollenweider, R. A., Giovanardi, F., Montanari, G. & seabed is scaled from 0–5, allowing each sea loch to Rinaldi, A. 1998. Characterization of the trophic be assigned an index of benthic impact. These two conditions of marine coastal waters, with special scaled indices are then added together to give a single reference to the NW Adriatic Sea. Proposal for combined index for each sea loch. The resultant single a trophic scale, turbidity and generalized water index, scaled from 0–10, is used to provide an indica- quality index. Environmetrics, 9, 329–357. tion of the relative sensitivity of a sea loch system to further fish farming development by assigning three Yucel-Gier, G., Pazi, I., & Kucuksezgin, F. 2013. categories. Category 1 sea lochs are the most sensi- Spatial analysis of fish farming in the Gulluk Bay tive, and precaution is applied for not allowing further (Eastern Aegean). Turkish Journal of Fisheries and aquaculture development (where aquaculture already Aquatic Sciences, 13: 737–744. (also available at exists). Precaution is also applied to Category 2 water www.trjfas.org/uploads/pdf_188.pdf). bodies, but allows for some further development, Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 143 where a developer has shown (through EIA and mod- Additional Reading elling work) that no additional harm will be caused. The following provide some additional references not For Category 3 lochs, further development of aqua- specifically identified in Part 3, which offer additional culture is permitted, although EIA is still necessary, as routes to find required information on models and it is for all aquaculture development in Scotland, the tools available. United Kingdom of Great Britain and Northern Ireland. The system has been applied to all Scottish sea lochs Bueno, G. W., Ostrensky, A., Canzi, C. & de Matos, on the west coast (aquaculture is not permitted on F. T. 2013. Implementation of aquaculture parks the east coast of Scotland, the United Kingdom of in federal government waters in Brazil. Reviews in Great Britain and Northern Ireland), and an atlas also Aquaculture, 7(1): 1–12. produced to show stakeholders the results as part of Byron, C., Link, J., Costa-Pierce, B. & Bengston, D. the overall strategic plan. 2011. Modelling ecological carrying capacity of shellfish aquaculture in highly flushed temperate Further Reading lagoons. Aquaculture, 314(1–4): 87–99. Gillibrand, P. A., Gubbins, M. J., Greathead, C. & Filueira, R., Guyondet, T., Comeau, L. A. & Grant, J. Davie, I. M. 2002. Scottish executive locational 2014. A fully-spatial ecosystem-DEB model of guidelines for fish farming: predicted levels of oyster (Crassostrea gigas) carrying capacity in the nutrient enrichment and benthic impact. Fisheries Richibucto Estuary, Eastern Canada. Journal of Research Service, Marine laboratory, Aberdeen. Marine Systems, 136: 42–54. 53 pp. (also available at www.gov.scot/Uploads/ Documents/Report63.pdf). Lauer, P., López, L., Sloan, S. & Doroudi, M. 2015. Learning from the systematic approach to aqua- Brazilian Aquaculture Sustainable Development Index culture zoning in South Australia: A case study of Brazil has undertaken development of an Aquaculture aquaculture (zones-lower Eyre Peninsula) policy Sustainable Development Index (ASDI), used to rank 2013. Marine Policy, 59: 77–84. the overall sustainability of aquaculture development Ren, J. S., Stenton-Dozey, J., Plew, D. R., Fang, J. & in freshwater lakes. Four sub-indices are incorporated, Gall, M. 2012. An ecosystem model for optimiz- covering social sustainability, environmental sustain- ing production in integrated multitrophic aquacul- ability, institutional sustainability and economic ture systems. Ecological Modelling, 246: 34–46. sustainability, each graded between 1 (poor) and 5 (high), with 3 being average. Each sub-index has up Salama, N. K. G., Murray, A. G. & Rabe, B. 2015. to five criteria that are evaluated and scored using an Simulated environmental transport distances of average weighting to calculate the overall sub-index Lepeophtheirus salmonis in Loch Linnhe, Scotland, score. Each of the four sub-indices are then weighted for informing aquaculture area management struc- (social = 5, environmental = 4, institutional = 3 and tures. Journal of Fish Diseases, 39(4): 419–428. economic = 2) to calculate the final score for the Shi, J., Wei, H., Zhao, L., Yuan, Y., Fang, J. & ASDI. A score of 3 to 4 suggests the lake is considered Zhang, J. 2011. A physical-biological coupled medium sustainability. aquaculture model for a suspended aquaculture area in China. Aquaculture, 318(3–4): 412–424. Further reading: No references are available. See case study in Annex 5. 144 | Tools and Models for Aquaculture Zoning, Site Selection and Area Management Tironi, A., Marin, V. H. & Campuzano, F. J. 2010. Resource enhancement and sustainable aqua- A management tool for assessing aquaculture culture practices in Southeast Asia: challenges environmental impacts in Chilean Pataginian in responsible production of aquatic species, fjords: Integrating hydrodynamic and pellets pp. 53–65. Proceedings of the International dispersion models. Environmental Management, Workshop on Resource Enhancement and Sustain- 45(5): 953–962. able Aquaculture Practices in Southeast Asia 2014 (RESA). Tigbauan, Iloilo, Philippines, Aquaculture Yusoff, A. 2015. Status of resource management Dept., Southeast Asian Fisheries Development and aquaculture in Malaysia. In: Romana-Eguia, Center. Parado-Estepa, Salayo, & Lebata-Ramos, eds. Tools and Models for Aquaculture Zoning, Site Selection and Area Management | 145 Annex 5. Case Studies To assist in the preparation of this publication, case defined in this publication and expand on their ideal studies from ten countries—Brazil, Chile, China, steps and processes. Indonesia, Mexico, Oman, the Philippines, Turkey, To generate general recommendations, the workshop Uganda and the United Kingdom of Great Britain and participants identified strengths and weaknesses of Northern Ireland—were selected that represent partial the spatial planning and area management processes or full implementation of aquaculture zoning, site by assessing the case studies performance against a selection and area management, covering different set of main criteria (as appropriate under each step), environments, species and farming systems. such as: (i) promoting stakeholders participation; The case studies from Oman and Uganda are good (ii) establishing agreed national/subnational priorities examples of scoping as an initial first step in spatial for aquaculture; (iii) enabling policy, legal and insti- planning for aquaculture. Case studies on aquaculture tutional frameworks; (iv) identifying main issues and zoning cover marine fish cages (Indonesia, Turkey), opportunities; (v) conducting assessments of suitability fish farming in cages in freshwater reservoirs and lakes for aquaculture; (vi) assessing risks to establish priority (Brazil), and shrimp ponds in Mexico. Case studies actions, location, maximum production, management on aquaculture management areas include: Chile, measures, etc., including aspects of carrying capacity Hainan Island in China, the Philippines and the United and biosecurity. Also included were (vii) the develop- Kingdom of Great Britain and Northern Ireland. ment of management plans; and (viii) some form of monitoring and evaluation of the management plans. Each of the ten case studies presented in this paper describe, according to their national context, the main A matrix is presented at the end of each case study to spatial planning and/or management processes as summarize according to each phase/step, if the phase/ Figure A5.1. Overall summary analysis of ten case studies. 5.00 4.00 3.00 2.00 1.00 0.00 Scoping Zoning Site Area Revision and selection management adjustment Note: The average scores (0–5) according to the main spatial planning processes/steps are presented (i.e., 0 not achieved to 5 fully achieved). Case Studies | 146 step was either well done/achieved (briefly describing proxies are used, but in general there are no ecosys- the main activities) or not done/not achieved (still tem response or long-term assessments. Management pending). In addition, the matrix lists the associated/ plans are often present for each site (in the case main activities and tools; a rating (0 not achieved to of large farms), but they are rare or less explicit for 5 fully achieved); and an approximate “incremental” clusters of farms, aquaculture zones and AMAs. Moni- investment needed for each step (United States toring and evaluation of management plans for AMAs dollars). are therefore rare or less implemented. However, in some areas, proposals for zoning and AMAs have As a result of this exercise, it was concluded that already been initiated, such as in the aquaculture parks scoping, as described in this paper, and aquaculture in Brazil and Uganda. Other countries like Indonesia, zoning and site selection are common processes in all Mexico and Oman will need more time to report on the case studies, and in most cases steps (i) to (v) are their implementation. followed. However, the establishment of aquaculture management areas (AMAs) with specific management The information described in the case studies and the plans is somewhat less common, and the criteria (vi) to feedback received from the authors of the case studies (viii) are rarely considered (Figure A5.1). during a workshop in Turkey was used to improve and complete the spatial planning and management pro- According to the findings, the carrying capacity of an cesses described in the main part of this publication. aquaculture site is rarely assessed. Some models and Case Studies | 147 Brazilian Aquaculture Parks— Fish Farming and Mariculture João Felipe Nogueira Matias1 ABSTRACT Thus, the exchange of experiences with other countries working with aquaculture parks and the support of In Brazil, the waters are owned by the federal govern- institutions such as FAO and World Bank will be very ment (Union) or by the states. In Union waters domain useful for Brazil to move forward with this public policy it is the great differential of the Brazilian aquaculture. that will put our country as one of the largest aquacul- More than 200 reservoirs (used to generate electricity) ture producers in the world with sustainability. are available for aquaculture, with a carrying capacity of almost 2.5 million tonnes of fish per year. For over 20 years we attempted to achieve the use of these 1. Introduction reservoirs for fish production, but the existing legal 1.1 Brazilian Aquaculture framework at that time, does not let us make it possi- In 2014, the national aquaculture production was ble. Only in 2003, Decree 4895/2003 enabled the legal 562,500 tonnes (FAO, 2016). Following the pattern certainty necessary for the implementation of aquícola observed in previous years, the bulk of aquaculture areas and aquícola parks and the first concessions were production comes mainly from the fresh water fish made in 2009. Currently, there are fish farms in more culture (especially Tilapia— Oreochromis niloticus than 10 reservoirs. and Tambaqui— Colosoma macropomum and its hybrids) with 474,300 tonnes. The marine culture was Expensive and time-consuming studies, which take into technical, geographical, social, economic and environmental parameters, are needed for the demar- Table 1. Aquiculture production in Brazil in 2011. cation of these parks. After these studies, the parks are demarcated and public hearings are held to discuss 2014 the implementation and occupation. Actually, there are Aquaculture Production (tonne) % two crucial issues surrounding this program in Brazil: Total 562,500 100 i) environmental monitoring which allows a simple and Fish Culture (freshwater) 474,300 84,32 faster environmental licensing process; ii) the manage- Crustaceans (shrimp) 65,100 11,57 ment of parks that allow an orderly settlement. Molluscs 22,100 3,93 Aquatic Plants 700 0,13 1 The views expressed in this information product are those of the Other Animals 300 0,05 author(s) and do not necessarily reflect the views or policies of FAO or the World Bank Group. Source: FAO (2016). Matias, J. F. N. 2017. Brazilian aquaculture parks—fish farming and mariculture. In J. Aguilar-Manjarrez, D. Soto & R. Brummett. Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture. Full document, pp. 148–169. Report ACS113536. Rome, FAO, and World Bank Group, Washington, DC. 395 pp. Brazilian Aquaculture Parks—Fish Farming and Mariculture | 148 represented by shrimp culture (Litopenaeus vanam- aquaculture purposes was established by a new mei ), with 65,100 tonnes; molluscs (mainly Perna agrarian structure, the Aquaculture Parks. These parks perna and Crassostrea gigas), with 22,100 tonnes. And must transform aquaculture in a great alternative Brazil also has aquatic plants (700 tonnes) and other development for communities located in the vicinity of animals (300 tonnes) in its aquaculture production. dammed water reservoirs and in coastal areas of Brazil; with the possibility of promoting development based Aquaculture in Waters Owned 1.2  on the dimensions of technical, economic, social and by the Federal Union environmental sustainability. According to the ANA (2007), Brazil’s geographic position is a privileged one when it comes to water Types of Concession resources, considering that the average discharge of Free Concession the rivers in the Brazilian territory add up to 180 thou- The NI3 01/2007 rules that “concession of usage rights sand m3/s. Over the course of a year, this figure over physical spaces in water bodies under Federal corresponds roughly to 12 percent of the world’s control for aquaculture purposes may be free, when available water resources. In addition to that, Brazil intended for members of traditional communities has an 8,500 km long coastline, a 200 nmi2 Exclusive contemplated by social programs, as long as their Economic Zone and, according to Ostrensky, Boeger e selection processes have been carried out by the Chammas (2008), over 5.5 million hectares of waters Ministry of Fishing and Aquaculture. MFA can only impounded in lakes and reservoirs. According to these concede usage rights freely through the publication of authors, Brazil’s climate is predominantly tropical, it is Notices of Selection that clearly describe the participa- self-sufficient in grain production, and it benefits from tion criteria. There are two types of criteria: the fact that qualified structures for staff training and Research and Development are abundant, as well as • The elimination criteria (individuals whose family existing industries that provide services, equipment income is below five minimum salaries and that have and all sorts of other input to aquiculture. proof of residence in municipalities surrounding the reservoir in which parks and/or aquaculture sites are Thus, Brazilian aquaculture’s growth potential is one being tendered); of the largest in the world. Nevertheless, such increase • And the classification criteria, that take into account of the output of aquaculture must be accompanied by social and economic aspects of the submitted propos- a corresponding shift of the public sector’s role in the als through the evaluation of objective parameters area. Ostrensky, Boeger e Chammas (2008) conclude that measure the capability to effectively fulfil the by recommending the implementation of the follow- aquaculture project and its level of compliance with ing policies: focusing funds on aquacultural extension the MFA’s Development Programme’s social goals. services, building efficient mechanisms to guarantee Paid Concession health and sanitary compliance, promoting the creation of new markets, and adjusting credit lines and The concession of usage rights will be paid for in the instruments that ensure simple legalization procedures case in which more than one interested party compete for businesses. for a particular space and its cost must be determined through a public selection process. The public The expansion of aquaculture in water bodies selection process criteria should consider objective under federal control must be subject to regulatory parameters that lead to the achievement of intended ­ mechanisms—not only due to the fact that these goals described in sections I to IV of Article 1 of the waters are a common good, but also because it would Decree in 4895, of 2003. The Winner of the public affect other users of these water resources—and selection will be the application that offers the best an instrument created to order and regulate the indicators in the following social criteria: the proposal’s assignment policy of the Union domain waters for enduring viability and sustainability over the years; its 2 Nautical Miles. 3 Normative Instruction. Brazilian Aquaculture Parks—Fish Farming and Mariculture | 149 contribution to the increase in the production of fish; With the creation of the Ministry of Fishing and the creation of new jobs; and social actions aimed at Aquaculture (MFA) by the Law No. 11,958/2009 expanding the supply of food. (BRAZIL, 2009b), the attributions of the former SEAP/PR4 were transferred to the Ministry. According The appreciation of the “Financial Proposals” will to the existing protocol, the Ministry of Fishing and take into consideration the type of bidding set out Aquaculture (MFA) receives requests from aquaculture in paragraph 1 of section IV of Article 45 of Law sites (spontaneous demands) or performs the demarca- No. 8.666/93, that is, the “Greater bid or offer.” The tion of aquaculture parks (induced demand). In either Winner will be the bidder whose bid complies with case, a technical and GIS assessment is conducted tender specifications and who offers the highest bid. by the Aquaculture Planning Secretariat (SEPOA) of In the case of absolute equality of conditions between the MFA. If the analysis is negative in either of the two (02) or more Financial Proposals as tie-breaker will two cases (technical or GIS), the candidates proposal be held the drawing for the winner’s choice, subject to will have to be reformulated. In case of a positive prior notice, as provided by paragraph 2 of Article 45 opinion, it will then be analysed by the Brazilian Navy, of Law No. 8.666/93. the National Water Agency (NWA)—if in continental waters (in coastal waters the ANA assessment is not Legal Framework needed)—and IBAMA.5 Some instruments that are part of the legal framework that solved the procedure for concession of waters If there is any negative opinion, the responsible institu- under Federal control for aquaculture purposes are tion returns the case to the MFA, which in its turn will the Presidential Decree No. 4895 of 2003 and the forward it to the interested party for correction pur- Interministerial Normative Instructions (INI’s) No. 06 of poses. If the three opinions are positive, the proposal 2004, No. 07 of 2005 and No. 01 of 2007. proceeds to the Federal Union Patrimony Secretariat (SPU),6 so that the area in question can be transferred Presidential Decree No. 4895 2003 (BRAZIL, 2003), in to the MFA (INI No. 01 of 2007). That is done through its Article 1 states that “the physical spaces in water a public selection process (bidding), according to Law bodies under Federal control may have their usage 8,666/93 (BRAZIL, 1993), the concession of physical authorized for purposes of aquaculture development, spaces in waters under Federal control in question, given their compliance with order, location and prefer- for fish farming. Before the transfer is carried out, it ence criteria, that take into consideration: sustainable is still necessary that the environmental licenses by development; the increase in the Brazilian production the State Agencies for the Environment (OEMA’s) are of fish; social inclusion; and food security.” The Decree issued. Figure 1 illustrates the flowchart of the process further states that “such authorization will be granted of concession of usage rights of water bodies under to individuals or companies that fall into the category Federal control for aquaculture purposes. of fish farmer, as specified in the legislation.” It is the MFA’s responsibility, according to Presidential The INI No. 06 of 2004 (BRAZIL, 2004) established Decree No. 4895 of 2003, to inform all governmental additional rules for the concession of usage rights of institutions involved in the process of granting physical spaces in water bodies federally owned for aquaculture purposes. The INI No. 07 of 2005 (BRAZIL, 4 Aquiculture and Fishing Special Secretariat for the President of 2005b) establishes the guidelines for the implementa- the Republic—Secretaria Especial de Aquicultura e Pesca in its tion of parks and aquaculture sites. INI No. 01 of 2007 Portuguese original denomination. (BRAZIL, 2007) establishes operating procedures for 5 Brazilian Institute of Environment and Renewable Natural Resources— Instituto Brasileiro de Meio-Ambiente e Recursos effective usage authorization of physical spaces in Naturais Renováveis in its original portuguese denomination. water bodies under Federal Control for aquaculture 6 Secretaria de Patrimônio da União in its original Portuguese purposes. denomination. 150 | Brazilian Aquaculture Parks—Fish Farming and Mariculture Figure 1. Flowchart of the processing of transfer processes use physical spaces in the Union domain waters for aquaculture purposes. MFA BRASÍLIA MARINHA IBAMA ANA MFA BRASÍLIA OEMAs GRPU/SPU/MPOG MFA BRASÍLIA PUBLIC SELECTION PROCESS permission of use of aquacultural areas of either the its recommendation to the environmental agency of authorization or the non-authorization, so that each the State to which the area belongs to, either to issue institution (ANA, IBAMA, the Navy) can take the the necessary environmental permits or not. measures within their authority, which are as follows: NAVY National Water Agency (ANA)7 The Port Authority shall send the MFA its conclusive It will be up to the ANA, when requested by the MFA, opinion on safety in maritime traffic, as ruled by the to issue a preventive grant that ensures the availability Maritime Authority Norm that sets the procedure for of water reservoirs in order to allow the investors to the execution of building works under, on, and on the elaborate plans. The preventive grant will be automati- banks of waters under Brazilian jurisdiction. cally converted by the ANA into the grant of usage rights on water resources after the project’s approval SPU by the MFA. The Federal Union Patrimony Secretariat (SPU), being responsible for the management of Federal IBAMA Union assets, shall issue an official record on having IBAMA—or any other body delegated by it—shall transferred Federal Union Ownership Waters to the analyse the project within its competence and forward MFA, so that the latter can carry out the Concession of Usage Rights to the interested parties, according to 7 Agência Nacional de Águas in the original Portuguese form. Law 8666/1993. Brazilian Aquaculture Parks—Fish Farming and Mariculture | 151 SEAs8 and community organization. These studies are According to the CONAMA Resolution No. 413, 9 intended to help choose growing areas that integrate 2009 (BRAZIL, 2009b), it is the State Environmental aquaculture with other activities developed in the area Agency’s responsibility to issue the necessary environ- as a way of mitigating conflicts related to the area’s mental permits that will allow the implementation and use and also to standardize the system of cultivation the operation of activities related to aquaculture in the so to decrease the various impacts, as well as provid- conceded area. CONAMA Resolution No. 357, 2005 ing social and economic benefits to the community, (BRAZIL, 2005a), rules on the classification of water ensuring the rational use of natural resources, as well bodies and more precisely on environmental guidelines as protecting and preserving the functioning of the to classification. It also establishes conditions and ecosystems, and reducing the production and disper- standards for effluent discharges and other measures. sion of pollutants, among other factors. The two referred CONAMA resolutions are those that After these studies, the next step is the demarcation of influence environmental permitting of aquaculture. aquaculture parks. The demarcation is a planning tool for the delimitation of areas for aquaculture, promot- 2. Zoning process ing the planning of local production and generating subsidies for aquaculture management in the region. The Ministry of Fishing and Aquaculture (MFA) sees the planification of aquaculture in Federal Union After the establishment of the Aquaculture Parks by waters as one of its top priority actions, which includes this Ministry, each park’s proposed project is submit- several mechanisms intended to promote a sustainable ted to the other Departments involved in the Usage increase in fish production in the country, and also to Rights Concession process (Brazilian Navy, National promote the planification and management of mari- Water Agency, SPU and Environmental State Agency) culture via the implantation of Aquaculture Harvesting for regularization. Parks. For the implantation of aquaculture ventures in Federal Union, specific rules shall have to be followed Once they are regularized, Public Hearings are held in in order to have a permit to use Federal Union waters order to disclose the implantation of the parks in their granted, according to Decree No. 4,895/2003 and the respective municipalities. Then the public selection Interministerial Instruction No. 06 of May 31, 2004. process for transfer of the defined aquaculture parks areas is open, paid or non-paid. The selection of The process of implanting an Aquaculture Park non-paid areas has a highly social aspect and these includes several stages: studies, demarcation, legal areas are therefore offered freely, via public tender. regularization and implementation. The selection of entrepreneurs for paid areas is done through bidding, of which the winner is the one Studies for demarcation of aquaculture parks take whose bid for the area’s usage rights is the highest. various factors into account, mapping exclusion areas The Aquaculture Parks are implanted by the Aquacul- (such as protected areas—PA—preserved totally, ture Planning Department (SEPOA) of the MFA, with areas of port activity, other impediments planned by the support of federal superintendence in every State. management plans, etc.); classifying the areas accord- ing to their degree of suitableness for the practice of aquaculture; analysing physicochemical aspects, 3. Carrying Capacity Analysis species that will be farmed and the current legislation; In Brazil, the classification of water bodies and conducting a study of potential environmental conflict environmental guidelines for such classification, as well areas as well as mapping of infrastructure, logistics as the conditions and standards for effluent discharge into water bodies are recommended and established 8 State Environmental Agency: Órgão Estadual de Meio-Ambiente by the National Environment Council (CONAMA) (OEMA) in the original Portuguese form. 9 National Environment Council —Conselho Nacional de Meio- through Resolution 357 of 17 March 2005. The Ambiente in its original Portuguese denomination. standards of water quality established in this resolution 152 | Brazilian Aquaculture Parks—Fish Farming and Mariculture set individual limits for each substance in each class responsibility of environmental agencies within the of water that must be achieved or maintained in the Executive, in regular exercise of its police powers, long run. defined by law, in which the competent body aims to grant or not grant the environmental license. The The National Water Agency—ANA, an agency of the environmental permit seeks to guarantee that these Ministry of Environment responsible for regulating preventive measures in favour of the environment are the use of water among other attributions, based on compatible with sustainable development. CONAMA’s resolution, is responsible for determining the amount of phosphorus that can be released to the However, one of the difficulties encountered by environment through the feed in order to ensure the Brazilian farmers is related to the regularization of their sustainability of the activity. All aquaculture projects in businesses, particularly in obtaining environmental Federal Union waters, whether private or governmen- licenses. The current procedure for obtaining environ- tal, must be approved by that agency. mental permits for aquaculture enterprises is complex and extremely difficult to be done by small farmers To calculate the maximum increment of nutrients acting alone. The main aspect of this limitation is from aquaculture, ANA uses the conservative model related to the time and costs associated with legaliza- of Dillon and Rigler (1974) adapted to reservoirs. In tion. The need to spend, in advance, time and money, aquaculture, ANA estimates a maximum increase also discourages the development of the sector. of 1/6 of the concentration permitted by CONAMA The higher the cost of the regularization process is, Resolution 357/2005 for water bodies of Class II, in the greater the chance that only large, diversified which the use for aquaculture farming is included. companies will have time and capital to go through This corresponds to 5 mg/m3. The other 5/6 would be the whole process. reserved to other uses that add phosphorus to water, such as the dilution of domestic and industrial sewage, It is also responsible for informing about legal doubts agricultural activity and, of course, natural phosphorus related to environmental permitting of aquaculture increment. in the Federal Union seawaters, considering that the Complementary Law 140/2011 assigns to the Federal Thus, each grant issued today includes a maximum Union, according to clause b, section XIV of Art. 7: annual production of fish, the maximum daily amount of feed given and the maximum daily load of phos- “Art. 7: The following administrative actions are under phorus added to the water—as well as other items the Federal Union’s responsibility: XIV—promote such as the grant’s validity period and the geographi- environmental permitting of projects and activities: cal coordinates of the project. b) located or developed either in the territorial sea, the continental shelf or the exclusive economic zone.” The Ministry of Fishing and Aquaculture is responsible for planning, regulating and monitoring aquaculture In order to implant Marine Aquaculture Parks in a activities and for promoting research to improve the regularized manner the consent of some relevant carrying capacity calculation method. agencies will be needed, including environmental agencies, by issuing the environmental permit. In most cases, this permit can be issued by the State Environ- 4. Siting and licensing mental Agency—OEMA. Environmental permitting’s The Environmental Licensing is a form of pre- goal is to protect environmental quality, seeking to controlling activities involving the incidence of direct significantly reduce the impacts of that activity. One of or indirect impacts on natural resources and for this the main ways to control the possible impact on the reason is the environmental management tool in the environment is through the environmental conditions, pursuit of reconciliation of interests between economic which are demands made by the competent agent development and preservation of the environmental for maintenance of licenses, having in mind its impact balance. The conduction of this procedure is under mitigating role. Brazilian Aquaculture Parks—Fish Farming and Mariculture | 153 The conditions are what the interested parties have to Disclosure and Publicizing commit to, considering their project and the mitigation As in most cases local communities are the main programs and measures established in environmental beneficiaries of aquaculture parks, it is fundamental to studies, both by law and in accordance with the develop an efficient publicizing plan in order to foment objectives and goals sought to mitigate the predicted an efficient occupation. Usually the period between environmental impacts. In this sense, the environ- studies for demarcation of parks and their actual mental conditions are demands made throughout the tender is long (over 3 years) making local communities licensing process by the relevant agent and they also reticent about the possibility of occupying the parks, have the role of mitigating impacts. In many cases and without such publicizing, communities may even the conditions become the main base of verification not occupy the parks. In this scenario, contact must be of environmental compliance of the project, either in made with the community shortly before the public terms of state supervision or in reviewing the environ- tender dates. Visiting these places is intentional to clarify mental permits, via the verification compliance with where the parks will be installed, how the tendering the proposed plans and programs or even the various process takes place and what are the prerequisites to recommendations in the mitigation measures pro- participate. The publicizing must be conducted by local posed the environmental study. In addition, they are bodies that already have familiarity with these com- taken as a basis for the formulation of environmental munities, in order to facilitate contact and accelerate the monitoring programs within the aquaculture parks. process, while also considering the credibility that these institutions already have in the region. The candidate’s noncompliance with these conditions can lead to various penalties, including the termination Public Tender of the license, and the consequent disruption of the licensed activity, the nonextension to following phases, After the completion of the disclosure and publicizing or nonrenewal of the agreement. stage, the bidding process begins and may be made in the paid and/or the unpaid forms, depending on the target audience. 5. Operation and Management Aquaculture Park Demarcation Studies Mobilizing for the Occupation Studies indicate which areas are technically best suited The occupation has been one of the hot spots around for the demarcation of aquaculture parks. Further- the park management process. This is because many more, each study provides details of socioeconomic people who win an area are not producers or develop regions, allowing an analysis of how the town is the activity in the informal sector and need to transfer organized. With the completion of studies and the their cultivation to the new demarcated area. Thus, a identification of areas of higher suitableness already suitable occupation can facilitate management of the demarcated, begins the process of defining areas to be park and all following steps. granted. Once the winners of each area are known, the mobi- lization for occupation of these areas begins. To make The Definition of Areas to Be Conceded this process quick, local extension entities, munici- The data collected and the parks already demarcated palities and associations must participate, taking the by studies should set the guiding light of the process results of the bidding process to the communities, and of defining priority areas for bidding, which still initiating contact with the winners so that they can goes through an extensive process of meetings with occupy their respective areas. This methodology seeks agencies and local entities in order to collect the an occupation with fewer conflicts, more quickly and demands of communities and disseminate the results with standard equipment. While this step is conducted of the studies. in the area of aquaculture park by local authorities, the 154 | Brazilian Aquaculture Parks—Fish Farming and Mariculture MFA should start the nautical signaling process. Thus, essential. Thus, each park should have a representative it is expected that by the end of the occupation phase, to the Committee, being chosen among the occupants the signalling process will have started and will finish of aquaculture areas in the park. In case the assignees as soon as possible. of the park already have an organization constituted as an association, cooperative, etc., the President of that The Occupation of Aquícola Parks institution must indicate the MC member. The occupation phase can take place between the definition of which parks will be tendered and the Supervision effective occupation of aquaculture parks (beginning Supervision and monitoring are under the responsibil- with the installation of the equipment for cultivation). ity of the MFA or a delegated authority for it. Thus, Thus, this step has three phases: disclosure, tendering aspects related to the implantation of structures, and mobilization. However, for the beginning of the effectively occupied areas of origin of the young form, occupation it is essential that the region presents an destination and volume production will be monitored installed support infrastructure. The construction of a in an indirect and direct way by the MFA. scenario that offers minimum conditions so that the producer can develop his work should be a priority Indirect supervision will occur through annual comple- for the occupation of the park. Investments in infra- tion of an Aquaculture Production Report in Union structure and specific projects can be a way to begin waters—Aquaculture Model Navy, which will have the installation and operation of parks; however, the its system linked to the Registrar General of Fishing creation of a long-term investment program is crucial Activity—RGP. With this you obtain information, and for the sustainability of these projects. so direct the direct enforcement actions. Already the direct supervision should be delegated to Aquaculture Parks Management local authorities since the MFA does not have enough The first step of this process is the creation of a staff to supervise all Aquaculture Parks. However, managing committee (MC) in the region. In this case, these actions can be directed according to recom- the Committee aims to: mendations of CGs and the results of the indirect supervision. “Act as an advisor and propositional body and advisory decisions in the administration of the Aquaculture Another relevant point is the monitoring of the Parks, acting as a participatory management tool to environmental licensing conditions. This point should assist in the development of rules, criteria and stan- also follow the methodology cited above; however dards for the management and planning of sustainable the Steering Committee plays an important role in use of Aquaculture Parks.” collecting the occupants of the parks following these recommendations, since everyone will be harmed if Once the MC is established it is responsible for system- the rules are not followed. Already the supervision atizing the process, describing what each institution regarding the installation of nautical sign is the respon- can and should do, and establishing a description of sibility of the Navy of Brazil. the production process performed in the parks that are part of that Committee. Thus, all processes related The supervision of aquatic animal health aspects to parks should be described and recorded in the MC, involves several institutions (state and municipal health from bureaucratic aspects to the actual concession, surveillance and ministry of agriculture, livestock and even those related to health monitoring and the supply—MAPA) and it must follow the recommenda- market of suspension. To define the occupants mem- tions of federal, state and local legislation. bers of the parks, the participation of the producers is Brazilian Aquaculture Parks—Fish Farming and Mariculture | 155 Monitoring With this plan in mind, environmental monitoring Monitoring is the stage of the management model becomes a source of critical information essential designed to ensure the efficiency of all stages of to evaluate the current state of the environment, to process management of aquaculture parks. This predict potential impacts and prevent them, and to model proposes that monitoring is carried out through develop sound strategies for environmental manage- indicators, and these should be designed for each ment, and to assist in decision making. specific stage. Thus, according to the results obtained, According to Woerden et al. (2014), these systems can the process management may be revised to solve the be developed for various purposes, such as: identified problems. • to evaluate the quality of the local environment, and 6. Environmental Monitoring to promote local awareness of the environment; • to determine compliance of a certain activity with The environmental monitoring can be understood national and international standards; as a data collection process and continuous and • to assess population exposure to pollution, and the systematic monitoring of environmental variables, impact on human health that such exposure may in order to identify and evaluate qualitatively and cause; quantitatively the conditions of natural resources and • to identify potential threats to the natural environ- environmental trends in a predefined time scale. In ment and to develop contingency systems and risk/ addition to identifying trends, the results must as disaster prevention; far as possible, provide a database for projections of • to identify sources of pollution that may harm the future developments. multiple uses of aquatic environments by offering the same control measures; The UNEP (United Nations Environment Programme • to provide information for planning and executing World Conservation Monitoring Centre, 2006) explains environmental management and planification; and that monitoring is an activity that involves repeated • to support the development of public policy, man- observation, according to a predetermined schedule of agement tools and the determination of environ- one or more elements of the environment so that you mental priorities. can detect its characteristics and trends. The tracking therefore provides tangible information on past and So that aquaculture can grow without environmental present environmental conditions within a regular impacts becoming significant enough to impair database. In addition to the environmental informa- production and the environment, it is necessary to tion, monitoring systems can also collect social and elaborate measures of planification, control, recovery, economic information that is relevant to the systemic environmental preservation and conservation, through understanding of environmental issues. instruments that allow the maintenance of natural resources in their ideal conditions. Before deploying a monitoring system it is critical to have a coordinated and strategic vision (Department of The main bottleneck in the set water monitoring Climate and Industry, 2011): initiatives in Brazil, and also in the world, is the lack of integration between existing databases, as well as the • What needs to be monitored; methodologies used between continental and oceanic • How the different monitoring systems work systems. It is of utmost importance that the environ- together; mental monitoring of these areas aligned, and that • How the information will be communicated; and water systems are seen in a systematic and integrated • How will the monitoring results be used. 156 | Brazilian Aquaculture Parks—Fish Farming and Mariculture way. Environmental management for aquaculture • Recovery of Degraded Areas. parks can consist of the following programs: In the case of suppression of native vegetation in estuaries, mangroves and around reservoirs, a • Water quality monitoring. Recovery of Degraded Areas Plan should be carried The monitoring of water quality should take into out. The suppression can occur due to the moving account the CONAMA Resolution No. 413/2009. of equipment and people in their access to the The parameters set for this resolution represent the cultivation site as well as due to the installation of very least that should be monitored for compliance supporting structures. The species that were directly with environmental permitting conditions of an affected must be closely observed, prioritizing their aquaculture park. restoration. • Solid Waste Residue Management Plan. • Good cultivation practices. The Solid Waste Management Plan should be Good Cultivation Practices are a set of actions to developed through actions that prioritize the be undertaken by the entrepreneur himself in the sustainable management of waste from the parks. day-to-day of his work, that is well planned, can It is important to follow recommendations to greatly optimize his business and at the same time reduce the generation of waste and to determine can make it more sustainable. Actions must prioritize their management and arrangement, in order to production safety, the proper choice of species and minimize environmental impacts. In the case of cultivation system, the feeding of farmed organisms; clam harvesting, for example, the generation of the improvement of production, among others shells is substantial. These may have an alternative topics. and sustainable destination, such as the building materials industry, and even handicrafts, generating The Tilapia Cage Farming in the Castanhão Dam, income for the communities. State of Ceará, Brazil • Environmental Education Programme. The Castanhão dam was built on the bed of the Rio To raise awareness of aquaculture producers, it is Jaguaribe in Ceará, Brazil (Figure 2) and inaugurated in necessary to develop an Environmental Education 2003. The reservoir consists of a 60 meter high earth Programme that aims to foment individual and barrage, and an artificial lake with a 32 500 hectares collective participation in the preservation of the when at its lowest level and 60 hectares at highest environment using aquaculture as a tool, clarifying capacity, estimated at roughly 6.7 billion cubic meters and making them aware of the interdependence (DNOCS, 2009). between good management practices, the mainte- nance of environmental quality and sustainability of The Aquaculture Parks in Castanhão Dam this type of cultivation. In 2008, the Aquaculture and Fishing Special Secretariat (SEAP/PR)—nowadays Ministry of Fishing • Monitoring the Surroundings (Fauna/Flora). and Aquaculture (MFA)—in partnership with the Monitoring the surroundings, including the fauna National Water Agency (ANA), the Environment and flora, has the task of monitoring and mitigating Superintendency of the State of Ceará (SEMACE) the impacts that aquaculture farms can generate on and the Drought Prevention National Department the animals and vegetation during installation and (DNOCS), carried out the demarcation of the aqua- operation of the project. Thus, the areas of influence culture parks in Castanhão Dam, in Ceará (Figure 3). of the projects should be evaluated in order to This coordinated action allowed the demarcation of collect and record the animals and vegetation found three aquaculture parks in Castanhão (Jaguaribe/ before and during the operation of the park. Jaguaretama, Jaguaribara and Alto Santo), with more Brazilian Aquaculture Parks—Fish Farming and Mariculture | 157 Figure 2. Castanhão Dam. Source: DNOCS, 2009. Figure 3. Aquaculture Parks in the Castanhão Dam—Ceará. Source: MFA, 2012. 158 | Brazilian Aquaculture Parks—Fish Farming and Mariculture Figure 4. Tilapia cultivation centers in the Aquaculture Parks in the Castanhão Dam. Source: Osvaldo Segundo, 2011. than 680 cultivation areas and capacity to produce average family income per capita in reais, were above 32 000 tonnes of fish per year. the average; which made these three variables yield the highest “score.” In 2008, the MFA granted the usage rights of physical spaces in the Federal Union waters for fish farming The social sustainability of fish farming in aquaculture purposes in these parks. Figure 4 depicts the cultivation parks in Castanhão-Ceará sub-index was 3.4, which of tilapia fish in one of the dam’s aquaculture parks. qualifies as a medium social sustainability score and had five weighting for purposes of calculating the The Elaboration of Sustainability Indexes aquaculture sustainability index. This sub-index shows Social Sustainability Sub-Index (SSS) medium sustainability and suggests, with regard to Among the five variables that compose this sub-index: training and identifying the social profile, that aqua- the illiteracy rate (among people aged 15 years or culture was of crucial importance, with all variables more) was above average and the percentage of adults yielding better results among the beneficiary group (15 years and older) having finished their primary (already produces fish) than in the control group (still education was below the average; which made these doesn’t produce fish). two variables yield the lowest “score.” But when it comes to variables that are inherent The other three variables: percentage of households to the public service, it is possible to conclude that with adequate water supply, percentage of households greater investments in social related aspects are greatly with access to the sewage collection network and needed, especially in education. Brazilian Aquaculture Parks—Fish Farming and Mariculture | 159 Environmental Sustainability Sub-Index (SSA) The variable “execution of decisions made at the The sub-index of environmental sustainability of fish meetings” was on average, which made it yield an farming in cages in aquaculture parks in Castanhão- intermediate “score.” Ceará was 3.4, which qualifies as medium environ- The other three variables: active participation in the mental sustainability, and weighting had four in the meetings, assessing the presented suggestions and calculation of the final aquaculture sustainability index. participation in the choice of leaders were above Among the five variables that compose this sub-index, average, which meant they yielded the highest “score” the rational use of natural resources and the risk of level (Annex 1). eutrophication were below average, which made these Thus, the institutional sustainability sub-index was two variables yield the minimum “score.” The other rated 3.8. It is considered of average sustainability three variables: the existence of an environmental level and had weight 3 in the final calculation of the permit, the destruction of vegetation and the viability Aquaculture Sustainability Index. without electricity or fossil fuels were above the aver- age, which meant that they stayed within the highest In this thesis, the institutional dimension was widely level of “score.” explored and the existence of two associative groups that have the power to build their own destinies and This sub-index yielded a medium sustainability that see in aquaculture a way to improve their lives and level, which proves that aquaculture is not of high that of their families was vehemently verified by the environmental impact, but is influenced and influences conducted case studies. However, this participation still the environment, as well as all other activities around lacks investments intended to strengthen and democra- the aquaculture system; whereas in most cases, other tize the current management structures, having in mind activities have greater environmental impact. the development of the territory in question. Economic Sustainability Sub-Index (SSE) Aquaculture Development Sustainability Index (IDSA) Among the five variables that compose this sub-index, Among the four sub-indexes that compose the all five variables (average price/cost of production, Aquaculture Sustainable Development Index, the break-even point, net present value, “payback” and Social Sustainability Sub-Index (SSS) was rated 3.4; the attractiveness rate) were above the average, which Environmental Sustainability Sub-Index was 3.4; the made these yield the highest level of “score.” Institutional Sustainability Sub-Index was rated 3.8 and Thus, this sub-index of economic sustainability was the Economic Sustainability Sub-Index was 5.0. When rated 5.0. It is considered highly sustainable and had we take into account the considerations made by weight 2 in the calculation of the fin Aquaculture Sus- local representatives, we had that the ADSI was equal tainability Index. The economic sustainability sub-index to 3.71. It is therefore considered to be of medium yielded high sustainability results, which proves that sustainability. (Table 2). an activity that generates alternative employment and • Unfortunately, after 5 years of the most strongest income in poor and disadvantaged communities tends drought in 100 years and in a scenary of no man- to have huge returns in quality of life for populations agement, no monitoring and no controlling by that are socially vulnerable. government agencies and local producers, the fish culture production in these aquaculture parks had Institutional Sustainability Sub-Index (SSI) two huge losses in 2015 and in 2016. We believe Among the five variables that compose this sub-index, that it will need two or three years to be back, if it the approval of investments was below average, which would be done in a sustainable way. made this variable to yield the lowest “score” level. 160 | Brazilian Aquaculture Parks—Fish Farming and Mariculture Table 2. Weighted elaboration of the ADSI. Thesis’ results. Sub-Index Absolute Value Weight Weighted Value Social 3.4 *5 5 × 3.4 = 17 Environmental 3.4 *4 4 × 3.4 = 13.6 Institutional 3.8 *3 3 × 3.8 = 11.4 Economic 5 *2 2 × 5 = 10 Subtotal — — Σ (17 + 13.6 + 11.4 + 10) = 52.0 ADSI = Subtotal/14 — 14 Σ (52.0)/14 = 3.71 The Cultivation of Oysters and Mussels by EPAGRI—Agricultural Research and Rural Extension in Marine Aquaculture Parks in the State Company of Santa Catarina. According to EPAGRI of Santa Catarina, Brazil (2014), the first public tenders were held in 2011, and Santa Catarina is the only Brazilian State where Marine currently most of the aquaculture sites have already Aquaculture Parks where implanted with a formal been granted to producers. Furthermore, most of Monitoring Plan through the Agreement No. 17/2012 the seawater fish farms established in Santa Catarina between the MFA and the State Agriculture and (Picture 1) were granted permits by the competent Fishing Secretary of Santa Catarina—SAR (SICONV environmental agencies for the cultivation of mussels 775438/2012) having been technically implemented and oysters (Picture 2). Picture 1. Marine Aquiculture Parks in the state of Santa Catarina, Brazil. Brazilian Aquaculture Parks—Fish Farming and Mariculture | 161 Picture 2. Oyster and mussels cultivation centre in Marine Aquiculture Parks in the state of Santa Catarina, Brazil. 7. Discussion and Conclusions companies, but through a paid process. We also have two different ways to give the federal concessions: Brazil has witnessed a period of huge development of its aquaculture, especially in the last ten years. The 1. Aquiculture Areas: Through an individual or a resolution of federal concessions to aquaculture has company who have the interest in some areas and opened new possibilities of fishing production in our ask Brazilian Ministry of Fisheries and Aquaculture country. There are more than 5.5 million of hectares of to give them the concessions; water, only in reservoirs under federal domain. Thus, 2. Aquiculture Parks (both marine and freshwater): it was imperative to work in elaborating public politics The Brazilian Ministry of Fishing and Aquacul- which could give us the planning of this development ture itself offers areas inside these parks to the process. producers. Actually, our country has a legal framework that In order to carry out the demarcation of Aquaculture still is bureaucratic, but that will allow the conces- Parks, complex studies are necessaries which include sion of usage rights to Federal Union waters to not only technical and environmental factors, but also aquaculture. In this framework, we can highlight social and economic ones. After the studies, aquacul- the Presidential Decree 4895/2003, the Interministry ture parks are demarked and the concessions process Instruction no 06/2004 and the CONAMA Resolution is realized, with a big and important participation of no 413/2009. This framework also allowed the first local stakeholders. Federal concessions to aquaculture in Brazil and have Brazil already has freshwater aquaculture parks in democratized the access to Federal Union Waters, more than 25 (twenty five) reservoirs, and marine because there is a possibility to give nonpaid conces- aquaculture parks in 4 (four) different states, sions to that population in social vulnerability who with a capacity of almost 1.5 million tonnes/ lives near the reservoirs, rivers and in the coastal areas year with fresh­water fish; 87,000 tonnes/year of and at the same time give the concessions to big 162 | Brazilian Aquaculture Parks—Fish Farming and Mariculture moluscs; 197,000 tonnes/year of marine fish and providências. Diário Oficial da União, Brasília, DF, 85,000 tonnes/year of algae in marine water. 26 nov. 2003. Seção 1. Otherwise, the public policies for aquaculture parks BRASIL. 2004. Instrução Normativa Interministerial de are too recent. It wasn’t until 2009 that first aqua- Nº 06/2004, de 31 de maio de 2004. Estabelece culture parks got built and are in different stages of as normas complementares para a autorização development: de uso de espaços físicos em corpos d’água de domínio da União para fins de aquicultura e • Aquaculture Parks with studies in development or to dá outras providências. Diário Oficial da União, be started; Brasília, DF, 31 mai. 2003. Seção 1. • Aquaculture Parks in demarcation; BRASIL. 2005a. Resolução CONAMA de Nº 357, de • Aquaculture Parks in process of concession; 17 de março de 2005. Dispõe sobre a classificação • Aquaculture Parks in production. dos corpos de água e diretrizes ambientais para So, Brazil already has some conclusions to be discussed o seu enquadramento, bem como estabelece about these different experiences: condições e padrões de lançamento de efluentes e dá outras providências. 1. The necessary studies to demarcate the parks are too complex, expensive and slow; BRASIL. 2005b. Instrução Normativa Interministerial 2. The demarcation of parks remains a huge and dif- de Nº 07/2005, de 28 de abril de 2005. Estabelece ficult work for zoning, because we have different diretrizes para a implantação dos parques e áreas uses and users to water; aquícolas. Diário Oficial da União, Brasília, DF, 28 3. The process of concessions, although resolved and abr. 2005. Seção 1. which give the legal security to the producers, are BRASIL. 2007. Instrução Normativa Interministerial de still slow and bureaucratic; Nº 01/2007, de 10 de outubro de 2007. Estabelece 4. The aquaculture parks in production, remind a os procedimentos operacionais entre a SEAP/PR e management, monitoring, controlling and supervi- a SPU/MP para a autorização de uso dos espaços sion; that hasn’t been possible to carry out (for físicos em águas de domínio da União para fins de different reasons). aquicultura. Diário Oficial da União, Brasília, DF, 11 out. 2007. • Since october 2015, the Ministry of Fisheries and Aquaculture was joined to the Ministry of Agricul- BRASIL. 2009b. Lei de Nº 11.959/2009. Dispõe ture, Livestock and Food Supply (MAPA); and so, sobre a Política Nacional de Desenvolvimento where we see MFA, we must understand MAPA. Sustentável da Aqüicultura e da Pesca, regula as atividades pesqueiras, revoga a Lei nº 7.679, de 23 Finally, the exchange of international experiences de novembro de 1988 e dispositivos do Decreto- among countries can be crucially important in this Lei nº 221, de 28 de fevereiro de 1967 e dá outras process of development to planning aquaculture parks providências. Diário Oficial da União, Brasília, DF, in Brazil and in many other countries. And actions like 30 jun. 2009. this, with the support of FAO and World Bank, must be incentivized. FAO. 2016. The State of Fisheries and Aquacuture— SOFIA, 2016. Rome, 2016. 204p. 8. References Matias. 2012. Análise da sustentabilidade da aquicul- tura em águas de domínio da Uniào, utilizando os BRASIL. 2003. Decreto Nº 4.895, de 25 de novembro parques aquícolas do reservatório do Castanhão, de 2003. Dispõe sobre a autorização de uso de no estado do Ceará como estudo de caso. João espaços físicos em corpos d’água de domínio Felipe Nogueira Matias. Tese de Doutorado. da União para fins de Aquicultura e dá outras Universidade Federal do Ceará, Fortaleza, Brazil. 126p. Brazilian Aquaculture Parks—Fish Farming and Mariculture | 163 MFA. 2015. Organização das Nações Unidas para a Sustentável da Aquicultura. Marcos Vinicius Fier Alimentação e Agricultura—FAO. Governo da Girotto. República Federativa do Brasil. Produto de consul- Departamento Nacional de Obras Contra as toria. Título do Projeto: Por um Desenvolvimento Secas—DNOCS. Castanhão. Fortaleza: DNOCS, Sustentável da Aquicultura. Consuelo Marques da 2009. Disponível em www.dnocs.gov.br. Acesso Silva. em 23 de junho de 2011. MFA. 2015. Organização das Nações Unidas para a Ostrensky, A.; Boeger, W. A.; Chammas, M. Alimentação e Agricultura—FAO. Governo da Potencial Para o Desenvolvimento da Aquicultura República Federativa do Brasil. Produto de consul- no Brasil. In: Aquicultura no Brasil—O Desafio é toria. Título do Projeto: Por um Desenvolvimento Crescer. Págs. 159–182. Brasília, 2008. 276p. Sustentável da Aquicultura. Emanuel Joaquim Victória Monteiro Oliveira Lima. Woerden, J. et al. Monitoring, Data and Indicators: A Training Manual on Integrated Environmental MFA. 2015. Organização das Nações Unidas para a Assessment and Reporting. International Alimentação e Agricultura—FAO. Governo da Institute for Sustainable Development—IISD. República Federativa do Brasil. Produto de consul- 2014. Disponível em: www.unep.org/geo/pdfs/ toria. Título do Projeto: Por um Desenvolvimento geo_resource/module-4.pdf. 164 | Brazilian Aquaculture Parks—Fish Farming and Mariculture Tilapia Cages culture in Castanhão reservoir, Ceará state, Brazil—Case study ANNEX 1.  effectiveness matrix Rating (0 not Well Done/Achieved achieved (briefly describe main Not Done/ Associated to 5 fully Approximate Investment Needed Phase/Step activities/steps) Not Achieved Activities and Tools achieved) for Each Step (US$) Phase 1 Step 1 Scoping (Scoping involves compiling essential background information required to start an aquaculture project) Definition of the 1.1  The boundaries were Background • 4 350,000 broad ecosystem defined after studies documents; boundary (spatial, realized by some EAA baseline • social and political institutions (DNOCS, reports; scales) ANA, MPA, SEMACE) and Participatory • after consultation with meetings; stakeholders considering Consultations • the main geographical with relevant and hydrographical institutions. administrative, and social boundaries. Identify over-riding 1.2  All relevant legislations, Review of relevant • 5 NA policy, legislation regulations, directives, policy and legal (such as land and decisions and framework; sea rights) and administrative procedures Institutional • regulations (such as related to aquaculture analysis; ecosystem quality development were Stakeholder • standards, water consulted. analysis; quality standards) Consultations • with relevant institutions. Setting the broad 1.3  Understanding the Communication, • 5 NA development development context consultation, objectives and considering natural and participation; identifying the main human resources and A ssessment of • issues economy. Understanding available resources, Brazilian Aquaculture Parks—Fish Farming and Mariculture | 165 the development options. needs and values. Rating (0 not Well Done/Achieved achieved (briefly describe main Not Done/ Associated to 5 fully Approximate Investment Needed Phase/Step activities/steps) Not Achieved Activities and Tools achieved) for Each Step (US$) Phase 1 Step 2 Zoning (Zoning or allocation of space is a mechanism for more integrated planning of Identifying and Tree issues aquaculture development, as well as its better regulation. It may be used either in planning to identify prioritizing the identification potential areas for aquaculture or a regulatory measure to control the development of aquaculture) main issues and priorization Zone boundary 1.4  Essential environmental See bullet points for • 4 NA definition based on socioeconomic and activities and tools relevant criteria governance criteria were in Step 1 above; identified for the zone Participatory • as well as risks (e.g., meetings; eutrophization). Literature review • and Internet searches; 166 | Brazilian Aquaculture Parks—Fish Farming and Mariculture Gross estimation of 1.5  The maximum production Simple mass • 3 NA potential production/ per aquaculture zone balance models; area was estimated based Sophisticated • on Dillon & Riggler nutrient models. Methodology. 1.6  Formal allocation Zones were allocated Participatory • 5 NA of the zone for through a national/ allocation process; aquaculture purposes provintial norm/rule Communication • sharing aquaculture with and dissemination other uses of water. of allocated zones. Phase 2 Site Selection (Site selection is based on the suitability for development of a given activity, taking into account the physical factors of the environment and the farming system) Location of the farm 2.1  Essential environmental Participatory • 4 NA sites socioeconomic and meetings; governance criteria were • Literature review and identified for the site Internet searches; as well as risks (e.g., Field data • eutrophization). collection and field measurements. Rating (0 not Well Done/Achieved achieved (briefly describe main Not Done/ Associated to 5 fully Approximate Investment Needed Phase/Step activities/steps) Not Achieved Activities and Tools achieved) for Each Step (US$) Phase 2 Site Selection (Site selection is based on the suitability for development of a given activity, taking into account the physical factors of the environment and the farming system) 2.2  Carrying capacity For cages, site selection Environmental • 3 NA estimation and maximum allowable Impact Assessment production was set (EIA); through a rough Risk assessment • conservative estimate tools. of carrying capacity; using Dillon & Riggler Methodology. Set license 2.3  Maximum production • EIA; 3 NA production limits per zone was estimated • Risk assessment. within zone or as indicated above and water body carrying maximum production per capacity site. 2.4  Allocation of licenses Allocation of licences Participatory • 3 NA and permits was done through a processes; participatory agreed Environmental • process considering equal licenses by user access rights, under provincial agency; adequate regulation Federal concession • and considering aspects to aquaculture of carrying capacity use by Brazilian and minimum distance Ministry of Fisheries between sites. and Aquaculture (MPA). Brazilian Aquaculture Parks—Fish Farming and Mariculture | 167 Rating (0 not Well Done/Achieved achieved (briefly describe main Not Done/ Associated to 5 fully Approximate Investment Needed Phase/Step activities/steps) Not Achieved Activities and Tools achieved) for Each Step (US$) Phase 3 Area Management (Aquaculture Management Areas (AMA), can be aquaculture parks, aquaculture clusters or any aquaculture area where farms are sharing a common relevant waterbody or source and that may benefit of a common management system including minimizing environmental, social and fish health risks) 3.1  Identify management Hydrodynamic conditions, Participatory • 4 NA area boundaries currents were identified consultations; for sets of cage culture Hydrodynamic • farms and risk assessment models; was done to address • Depth and current environmental and maps; socioeconomic threats and GIS and remote • others; e.g., eutrophization. sensing data and tools. 168 | Brazilian Aquaculture Parks—Fish Farming and Mariculture 3.2  Estimate total Maximum production per Environmental • 3 NA carrying capacity if area was set according Impact Assessment appropriate based on to the agreed levels of (EIA); the different risks acceptable risk (Dillon & Risk assessment • Riggler Methodology). tools; Organize a formal 3.3  Farmers are well organized There are many 3 NA association of all with identified leaders problems for the farmers in that area and supporting technical management of the groups/services. aquícola parks. Setting the broad 3.4  There is not a management Not Done NA NA NA development plan. objectives and identifying the main issues. Agree on common management10, monitoring and control measures 10 An agreed management plan for the aquaculture management area covering the most relevant issues in environmental socioeconomic aspects and governance/external forcing factors. Rating (0 not Well Done/Achieved achieved (briefly describe main Not Done/ Associated to 5 fully Approximate Investment Needed Phase/Step activities/steps) Not Achieved Activities and Tools achieved) for Each Step (US$) Phase 3 Area Management (Aquaculture Management Areas (AMA), can be aquaculture parks, aquaculture clusters or any aquaculture area where farms are sharing a common relevant waterbody or source and that may benefit of a common management system including minimizing environmental, social and fish health risks) Monitoring of 3.5  The monitoring system of the Not Done NA NA NA relevant variables and environmental and fish health enforce management conditions (not only for measures individual farms but to assess the overall situation/condition of the area as a system) is only in the beginning. Regular monitoring 4.1  NA Not Done NA NA NA and evaluation 4.2  Periodic review and NA Not Done NA NA NA adjustment Extent of use of zoning Approximate number of Approximate production from each and area management designated aquaculture aquaculture zone or AMA development zones or AMAs (quantifiable) Number of zones and 30 reservoirs with fresh­ Carrying Capacity: NA range of implementation water aquícola parks; Freshwater Aquícola Parks: 17 states with marine Freshwater Fish: 2.4 million tonnes/year aquícola parks. Marine Water: Marine Fish: 200,000 tonnes Moluscs: 90,000 tonnes Algae: 85,000 tonnes Other notes Positive issues Negative issues (especially social High production with a The management is being a big problem. NA issues) huge social and economic impacts. Brazilian Aquaculture Parks—Fish Farming and Mariculture | 169 *NA = not applicable Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) Adolfo Alvial1 ABSTRACT studies and tools, interaction with communities and other sectors and also increasing participation and Chilean salmon farming has shown an impressive developing an incentives regime. The highest contribu- growth. In about 25 years the country became the tions of the AMA’s system have been the increase in leader as farmed trout producer and the second as social capital in the industry and the development of farmed salmon producer. In general, regulations moved highest levels of public-private interaction. back the industry growth generating several gaps that did not help in preventing environmental/sanitary prob- lems. In fact in 2007 the ISA crisis caused an enormous 1. HISTORICAL ASPECTS impact on the industry with important socioeconomic Sea cage farming in Chile is only applied in salmon consequences. This fact pushes for a rapid and profound production. Salmon farming started in the 80s in Chile. change in regulations triggering the spatial management In 1988, 16 farms produced 3,400 tonne and there were that complement the initial Appropriate Areas for 178 authorized farming sites, with a production projection Aquaculture (AAA) and Licenses. Then spatially con- of 15,000 tonne as per the technology applied at that time. nected Groups of licenses (AMA’s or neighbourhoods) The geographical location of the farms was determined were established as well as Macro zones. by the proximity to areas that provide good access and services such as roads, energy, and other vital needs. Those Presently an integrated spatial management system is in initial sites were easily accessible and very concentrated place which, in spite of its weaknesses, has contributed in Chiloé (Los Lagos Region) which contained 86 percent to coordinate efforts to control diseases, improve effi- of the country’s allocated farm sites (Mendez & Munita, cacy of measures in front of a sanitary risk and create 1989). That happened under almost no regulations to better conditions for environmental/sanitary recovery of establish sites, except some nonstandardized evaluations the macro zone. Notwithstanding, improvements have and an approval process by the Undersecretary of Fisheries to be done to move closer to an ecosystem approach to (SUBPESCA) and the National Direction of Maritime Terri- aquaculture, principally emphasizing carrying capacity tory (DIRECTEMAR). At that time it was expected that the recently established official standard for minimum distance 1 The views expressed in this information product are those of the author(s) and do not necessarily reflect the views or policies of FAO of 1,5 miles (2,41 Km) between farms could diminish the or the World Bank Group. number of sites while also minimizing speculators that Alvial, A. 2017. Chile Case: The Spatial Planning of Marine Cage Farming (Salmon). In J. Aguilar-Manjarrez, D. Soto & R. Brummett. Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture. Full document, pp. 170–197. Report ACS113536. Rome, FAO, and World Bank Group, Washington, DC. 395 pp. Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) | 170 had flooded the Maritime Authority with requests for including that they should be located in authorized allocation and use of unoccupied places. The regions areas for aquaculture. In 2003 through the D.S. 125 of Aysén and Magallanes, with abundant sites, did not (Ministry of Economy) the National Policy of aquacul- attract much interest due to the limited logistic support ture expressed an objective “to promote maximum available for farm operations (Mendez & Munita, 1989). economic growth of Chilean aquaculture along the Twenty six years later (2015) the salmon industry has time, in a framework of environmental sustainability more than 350 sea sites under operation, over 1300 total and equity in access to the activity.” licenses approved, distributed in Los Lagos, Aysén and In legal terms it is important to highlight that the GLFA Magallanes regions, producing around 800,000 tonne per was followed in 1994 by Law 19,300 of the General year. An entire system establishing Appropriated Areas for Basis of Environment that introduced the EIA system Aquaculture, Macro zones, Neighbourhoods and Licenses in Chile also impacting aquaculture. Also the GLFA or Concessions, are the spatial base of the industry. was followed by the National Policy for the use of Until 1988 the rapid industry growth exceeded the the Coastal zone, D.S. 475 (1995) of the Ministry of capacity of the Government to establish an adequate Defense, that requests coastal zoning establish areas of regulation. Just a few nonconnected legal instruments preferential use including aquaculture. Thus, from the were behind this initial development. Those were early nineties, licensing and zoning in aquaculture were the articles 12 to 18 of the D.S. N° 175 (1980) of the modulated in several ways. Ministry of Economy on Fisheries activities and D.S. 162 (1985) from the same Ministry ruling on the disease 2. AQUACULTURE ZONING control in salmon species. Additionally D.S. 223 (1968) of the Defense Ministry (Navy) ruling on marine licenses 2.1 Scoping was relevant. Just as in 1988 the D.S. 99 of the Ministry At present there are four spatial territorial categories of Economy established the minimum distance above dealing with aquaculture in Chile, including sea cage referred, initiating territorial regulation of the activity farming (Figure 1): (Mendez & Munita, 1989). With the General Law of Fisheries and Aquaculture (GLFA) in 1991 licenses and • Appropriate Areas for Aquaculture (AAA).The areas authorizations for aquaculture were clearly defined and where aquaculture (not only salmon farming) can be their authorization subjected to several requirements, developed in the jurisdictional sea of Chile according Figure 1. Spatial categories related to sea cage salmon farming in Chile. AMAs are established for the three species farmed and licenses for individualized species. AAA Macro zones Coastal AMAs or zone plan neighbourhoods License Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) | 171 to the General Law of Fisheries and Aquaculture exclusive, because other activities noninterfering with (Law 18,892 or GLFA, vers. 2013, Law 20,657). aquaculture can be developed within them like tourism An AAA includes Macro zones, Neighbourhoods and benthic resource management areas, among and farming sites (also mentioned as Licenses or others (FAO, 2012; García, 2013). Concessions). Immediately after enactment of the GLFA in 1991, the • Macro zones (MZ). Zones defined by the Authority Chilean Government, through SUBPESCA, initiated (SUBPESCA) to avoid dispersion of a given disease or the process to establish the AAA in the country giving infection in any farmed species that have created an priority to the regions where aquaculture was initiated. emergency situation. (GLFA, D.S. 391, 2001). Macro zones include AMAs (Neighbourhoods) and farming Process and consultation. Under the Law, it is the sites or licenses. responsibility of the SUBPESCA to develop technical • Aquaculture Management Areas (AMAs); Also studies for identifying appropriate areas for the named Salmonid groups of licenses or Neighbour- exercise of aquaculture, consulting with agencies hoods (NEI). Group of aquaculture concessions responsible for alternative uses of those areas over within an AAA situated in a sector that presents water or land, and considering especially the existence safety, epidemiological, oceanographic, operational of aquatic resources or conditions for their production or geographical features that justify its coordinated and protection of their environment. These studies sanitary management by species group (for instance should also consider artisanal fishing activities and salmonid species), as per SUBPESCA declaration related communities, mining and communities, exit (LGPA, vers. 2013). Neighbourhoods include farming and entrance tracks to ports, anchoring areas and sites or licenses. areas for practice of the national Navy ships, areas of • Farming Sites (Licenses or concessions, LI). The ports development and touristic attractions. Also AAA administrative act through which the National Min- cannot be established over fishing grounds established istry of Defense gives to a person/entity rights of use according to the Law. AAA should also be excluded of of a resource (water column, sea bottom, coastal natural banks of benthic resources and algae beds. On site, etc.), for a period of 25 years renewable, to the other hand, intensive or extensive farming of exotic carry out in them aquaculture activities (GLFA, vers. species must keep a minimum distance of 1.5 nautical 2013). miles from marine parks and marine reserves. In cases where the land protected areas have their limits with The National Policy of the Coastal zone dictates that the sea, a protection marine band will preclude the Coastal Plans have to be established in coastal regions development of intensive or extensive aquaculture of the country defining zones of preferential uses based in exotic species. Once studies conclude, (Figure 1). SUBPESCA must publish in the official newspaper and Sea cage farming in sea water in the country is just in another one of the involved region the proposed practiced for salmon species, i.e: AAA. Within 60 days from the publication individuals or institutions can express their opinions (written) on • Atlantic salmon (Salmo salar) the studies. In such case, the SUBPESCA shall respond • Rainbow trout (Oncorhynchus mykiss) to stakeholders within 60 days. Final proposal and • Coho salmon (Oncorhynchus kisutch) studies must be sent to the Ministry of Defense. Final AAA evolution. AAA were established in the 1991 decrees will have to approve the AAA specifying their General Law of Fisheries and Aquaculture (GLFA) as perimeter. The process is schematized in Figure 2. areas situated under public use where aquaculture Since the beginning (1991) the AAA establishment can be developed prior to consultation with relevant was a participative process under which the officials of organizations in charge of alternative uses for those the SUBPESCA visited the regions organizing meetings spaces. According to the current Law, AAAs are not with local authorities, farmers, scientists, interest 172 | Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) Figure 2. Process to establish AAA in Chile. SUBPESCA OTHER SUBPESCA COMMUNITY SUBPESCA MINISTRY OF AGENCIES DEFENSE • Develop basic • Prepare AAA • Analyze AAA Send final studies • Analyze planned proposed proposal to Prepare decree, suggested AAA publication Ministry of publish final • Suggest AAA • Present observa- and studies Defense decree • Publish in a tions and • Par ticipate in national and recommendations central and local newspaper regional levels groups, and the Navy, among the principal ones. With this change, lakes, rivers and maritime zones The authority presented their initial studies and ideas forming part of the National System of Protected Wild- about the AAA envisaged which served as a base of life Areas are excluded from all extractive aquaculture discussion. The definitions were strongly influenced and fisheries activities. However, in the Maritime zones by the current production technology in all ambits of that are part of the National reserves zones these marine aquaculture and by the purpose of operating activities can be developed with previous authorization farms in areas well protected of adverse environmental of the competent agencies, to complement maritime conditions, essentially winds and waves. Also the activities of aquaculture. logistic factors were considered based on the current The coastal zoning in Chile is the process of manage- installations as those expected as per the geographic ment and planning of the coastal spaces, in order to characteristics of the coast. define the territory and establish its multiple uses, Based in the above presented process the Authority expressed in preferred applications that will not be published the AAA and received public observations exclusive, except in cases of use incompatibilities with that were finally considered before the final Decree of specific activities determined in defined sectors of the the Ministry of Defense. In 1991–1992, essentially the same zoning plan. The zoning plan identifies specific predominant sea aquaculture activities were salmon, zones, limits, conditions and restrictions for administra- trout, red seaweed and mussel farming in the Los tion in accordance with the provisions of the National Lagos Region and scallop farming in the Atacama and Policy on the use of the coastal zone. According to this Coquimbo regions. Those were the prioritized regions regulation if in a given region coastal zoning has been to establish AAA. established and duly published, the AAA should be amended to be compatible with this zoning. From the At present 12 of 15 regions of Chile have AAA. Still date of publication of the decree establishing zoning pending: the regions Arica—Parinacota (XV) and no new aquaculture concessions will be granted in Valparaíso (V). Metropolitan Region (XIII, RM in map) sectors that have been defined not consistent with do not have coast. A summary can be seen in Figure 3. that activity (Silva, 2010). In cases where SUBPESCA Legal, regulatory and institutional frameworks. proposes suitable areas for aquaculture, the Regional The Law 19,800 (2002) of the Agriculture Ministry Commission of the coastal zone must analyze and modified the article 158 of the GLFA (Law 18,892). respond within six months counted from the time of requirement. Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) | 173 Figure 3. All regions of Chile have AAA, except XV, V and Metropolitan (RM). X region is closed for new licenses. Development context. During the last 2 years the modifications. The former President of SalmonChile AAA has been questioned principally by the salmon A.G. (the Chilean salmon industry association), C. Bar- industry that has demanded a review that can facilitate ros, pointed out that territorially AAAs accomplished site relocations and reduction of site concentration. their original objective to spatially order the activity, On the other hand, different actors have mentioned “but technologies changed through time making the convenience to adapt them to the need of moving feasible farming in more exposed areas of the sea; the sites gradually towards more exposed or oceanic however the system did not adapt to the new places releasing the coastal zones for other activities changes and new aquaculture developments. As a like artisanal fisheries, mussel and small-scale farming, consequence the system moved from a positive tool and tourism among others. This was pointed out as ordering the activity to a serious constraint that tended early as 1996 (Alvial and Reculé, 1996). to concentrate farms” (García, 2013). For other leaders, like Julio Traub, “the AAA’s more than appropriate In 2005 several studies evidenced the limitations of areas for aquaculture should be considered ‘authorized AAA boundaries established 10 years before without areas’ because in its creation the system did not limit oceanographic and environmental studies for each other activities in them and just permitted aquaculture zone. As a result some areas were declared appropri- respecting distances between farms.” These present ate when in reality they were not (Aldayuz, 2005). objections are also shared by mussel producers who Authorities and the private sector have included estimated through one of their leaders, Eugenio this important topic in the agenda to review the Yokota, that the AAA establishment was a very fast system and introduce in the future complements or procedure with no adequate consultation process. 174 | Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) AMICHILE, the biggest association of mussel farmers, different regions. More recently modifications have also considers that any eventual review has to consider been done to adjust them to regional coastal zone water body capacities before approving future changes plans. (García, 2013). Through the Law 20.434 (2010) was introduced the For the author of this paper, cited in the same publica- option to declare AAA for group of species. The same tion, the review of the AAA should be based on the Law closed new license applications in the X Region best available environmental and oceanographic except for seaweed farming; it closed temporarily, information, and should consider a displacement of for 2 years licenses for salmon species farming in the salmon farming sites toward more oceanic waters XI Region and also temporarily closed applications in releasing coastal sites for artisanal fisheries, mussel the XII Region until the modification of the AAA for and seaweed farming, minimizing saturation and group of species in the period of 12 months. conflicts close to the coast. In 2012, due to the high farm concentration in the X Region, particularly of salmon and mussel, the Main socioeconomic, environmental, biosecurity Sub Secretary of fisheries declared the AAA of the and governance issues and factors. The AAA X Region not available for new license requests, system was established in order to regulate use of the only exemption being seaweed farming aquaculture of the space in the coastal zone. This need (R.EX. 825—2012, under Secretary of Fisheries and was principally evident in the X Region (essentially aquaculture). This fact will strongly reinforce the Puerto Montt and Chiloé areas) where a gradual observed tendency showing an increase of licenses concentration of salmon and mussel farming sites and salmon operations in the XI and XII Regions. In became evident as interfering with other users. The fact, at present the XI Region is leading farmed salmon scallop farming in the northern regions, IV and III harvest in Chile. experienced a similar but less intensive situation. AAA represented the very first zoning effort of an Risk assessment analysis has not been explicitly economic activity in the Chilean Sea. Not being in the included within the elements considered by the context of a wider multi-sector system, the risk was authority in the definition of the AAA. This aspect from the beginning of potential conflicts of AAA with has been part of the discussion in the meetings other users in the future, and it finally has happened. and workshops when other agencies and users are In fact, the national use of the coastal zone policy included in the consultation process. was enacted years after the AAA was established. Consequently, when the regions having AAA faced 2.2 Zoning Process the process to define a management plan of coastal The process. The first Fisheries Law enacted in 1991, zoning, the conflict emerged to conciliate other uses established the AAA. The same Law indicated the like artisanal fisheries, natural reservations, tourism, general procedure to establish them. Then the Under etc., with the already established AAA. Secretary of Fisheries leaded an initial proposal and developed a consultation process, including com- In summary it is possible to say that originally the mittees in regions and headquarters in Valparaiso, AAA’s definition was essentially based on environ- to prepare the first AAAs. Priority was given to mental aptitude of coastal zones for sea farming regions with existing aquaculture operations like: (emphasizing protection of bad weather conditions) Coquimbo (IV) and Los Lagos (X). The final proposal and almost not considering oceanographic and was presented to the National Fisheries Council, the environmental knowledge which requires a review Under Secretary, The Defense Minister (Navy) and the of AAAs. Minister of Economy. During past years several modifications to the original Choosing the tools for spatial planning. Charts limits of the AAA have been introduced in the initially used in the 80s were those managed by the Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) | 175 Oceanographic Service of the Chilean Navy (SHOA) continued in the other regions. The new system has that became obsolete. The same procedure was used expedited procedures connected to zones and license in defining location of licenses. Positioning was done approvals and modifications. in active cooperation with the Navy. Late in the 90s The new charts are published in the SUBPESCA web a geo referential unit was created in SUBPESCA to site, in section: “Áreas apropiadas para el ejercicio de manage spatial aspects of licenses and zones. The la acuicultura (AAA),” link www.SUBPESCA.cl/ approving decrees were spatially referred to in the institucional/602/w3-propertyvalue-50829.html, and original charts. then under Cartografía digital de AAA (Digital car- Problems associated with new licenses positioning tography of AAA), and Información georeferenciada, revealed deficiencies of the old system applied causing where AAAs may be seen for all regions. An example conflicts between aquaculture users and between is shown in Figure 4. them and other users of the coastal zone. That situa- The execution of the technical studies has been in tion determined the need to regularize sites and zones charge of specialized consultants selected through adjusting their location and boundaries introducing public selection processes. They have obtained a modern and widely applied digital cartography photogrammetric surveys of the coastal zone situating WSG-84 system, scale 1:50,000. This process initiated on them the concessions now positioned with high long ago in the past decade has progressed in the precision (Aldayuz, 2005). different regions demanding very exhaustive analysis and adjustments. This approach has allowed the use of Zoning application. AAAs have been applied in Geographic Information systems (GIS) and Geographic all regions except the three ones mentioned above. positioning systems (GPS) facilitating use by the In all cases legal process and procedures have been authority, companies and general public. Regulariza- strictly respected, allowing public participation. New tion started with the complex X Region and it was knowledge and demands for the use of the coastal followed by the XI and XII Regions. All of them were zone by other sectors, as well as the adjustments related to sea salmon farming. Then regularization necessary in light of the coastal zoning plan defined Figure 4. Part of the AAA in the X Region using the digital cartography system of SUBPESCA. 176 | Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) Table 1. AAA’s surface in hectares per region Estimation of aquaculture potential. Based in and total. Only salmon sea farming regions are the use of AAAs in the three regions where sea cage considered. farming is practiced (X, XI and XII), considering present regulation, production technologies, neighbourhoods Regions AAAs Hectares rotation programs and that the X Region is closed for X Region 357 498 new licenses, an estimate of total maximum salmon XI Region 550 782 production is around 1,5 to 2 million tonnes. XII Region 185 211 Total 1 093 491 Selecting the optimal zones for aquaculture. As was mentioned above, originally the AAAs definition was essentially based in environmental aptitude of by regions, have motivated modification of the AAAs coastal zones for sea farming (emphasizing protection approved through decrees explained in the SUBPESCA of bad weather conditions) and almost not considering web site www.SUBPESCA.cl/institucional/602/ oceanographic and environmental knowledge which w3-propertyvalue-50861.html. Presently 12 of requires a review of AAAs. Then a review of restric- 15 regions of the country have AAA’s approved, a tions was applied to make necessary adjustments. summary of the total surface covered by them by These restrictions were essentially in: port influence region and total is specified in Table 1. areas, fishing zones, known breeding and spawning Sectorial planning. AAAs have been integrated in zones of marine species, navigation tracks and ships the context of the coastal zone management plan mooring zones, strategic areas reserved for the navy, established in different regions. In fact, the regional natural reservation zones, zones that should be plans recognized different zones of preferential use protected and/or reserved according to contributions (National Commission of the coastal zone use, www of the participants in the different committees from .ssffaa.cl/comision-nacional-de-uso-del-borde- regions and Valparaíso involved in the process, like costero-cnubc/), like: endangered habitats, and areas of potential value for tourism among others. • Appropriated Areas for Aquaculture (AAA) • Management and exploitation areas of benthic However the technological evolution of aquaculture, resources its expansion, the emergence of some conflicts with • Distribution areas of the main national fisheries other users of the coastal zone, and the emergence • Protected marine areas of coastal zoning in some regions, determined that • Vulnerable marine ecosystems AAA had to be part of the map of preferential uses • Coastal spaces of originary people zones and adjust to the new specifications for any new • Free access areas Ref.: www.SUBPESCA.cl/ license in the future. This fact caused some concern in institucional/602/w3-article-60648.html the salmon sector (Silva, 2010) because in their opinion this opens uncertainty for the future of the activity. An example of the coastal zoning is shown in Figure 5 (Aysen Region). A complete detailed mapping with Lessons learned from recent ISA (Infectious Salmon all coastal zoning plans in the Chilean regions can be Anemia) crisis and the evidence of high concentration found in “Geoportal de Chile: www.geoportal of farms in sensitive areas have determined some .cl/geoportal/catalog/data/uso-de-borde-costero/ changes in regulation that allow modifications of AAA, zonificacion-de-uso-de-borde-costero.html as part limit new licenses in determined AAA and accept of the web site “IEDE Chile—CatálogoNacional de eventual relocations of licenses within a given AAA. InformaciónGeoespacial” (IEDE—Chile—National Catalog of geo spatial information). Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) | 177 Figure 5. Example of coastal plan zoning (Aysen region). Aquaculture preferential use zones in dark pink (taken from Zúñiga, 2013). Any eventual AAA considered should be part of the problems for the industry, regulation and enforcement coastal zone management plan of the pertinent region prohibitions/constraints, conflicts or not desirable following the evaluation of the regional Commission effects on other users, indigenous people zones, of the Coastal Zone and then the final approval of the neighbourhood communities, risk of impacts on National commission. The commissions are integrated ecosystem, endangered species, natural reservations by representatives of different sectors dealing with: and sensitive zones, among others. the aquaculture industry, other economic sectors, Risk mapping. After an initial long period in which indigenous people (Law 20249, 2008, creates marine risk analysis was only applied in the aquaculture indus- space of original people), local communities, regula- try by few companies and R&D institutions, like Marine tion and enforcement authorities, research institutions Harvest—Chile (where the author was Technical and NGOs related to environmental and social protec- Director), after the ISA crisis more private companies tion. They assure that consideration is given to several and the public sector introduced risk analysis. potential impacts, like: environmental and biosecurity 178 | Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) In fact, presently authorities, associations, technologi- SUBPESCA. Opinion or objections from other agencies cal institutions and R&D entities are regularly applying are considered in each region through the pertinent in their analysis decision making processes holistic risk organizations (regional committees of fisheries and analysis methods. In general they proceed through aquaculture). Once all processes are developed and expert consultants principally in the areas of epide- verified SUBPESCA sends all background information miology, environmental assessment and biosecurity to the National Defense Ministry—Undersecretary (José M. Burgos, Former National Director of Aquacul- of the Navy with the respective technical report. ture, SERNAPESCA, personal communication). The Minister of defense finally grants (or reject) the aquaculture concession dictating the resolution signed Examples of these risk analyses are: epidemiologic up by the Undersecretary of navy. studies for new regulations and site management in farm companies; and epidemiologic, biosecurity and It is important to mention that the holder of the con- risk analysis dealing with navigation track definitions in cession has to include in the background information the macro zone of salmon farming, principally financed a “Preliminary characterization of the site” containing through the Fishery Research Fund—Aquaculture— environmental, topographic, and oceanographic that depends on SUBPESCA. studies in the area selected for the farm site where the aquaculture activity is planned to be developed. This information is fundamental for the EIA system that 3. SITE SELECTION operates in this authorization process. In general the 3.1 Definition of Farm/System Boundaries aquaculture operations will be subjected to the EIA Any sea farm needs to have an aquaculture concession System—General Law of the basis of environment. or license to operate in the territory. The aquaculture The process will determine, according to the prelimi- concession or license is the administrative act through nary characterization of the site, if the project has to which the National Ministry of Defense gives to a be presented as an Environmental Impact Declaration person rights of use, for a period of 25 years renew- or EIA study. The license Application process is shown able, over certain domestic goods (like sea bottom, in Figure 6. The EIA system is administered by a water column, beaches or land-beaches) to carry out Regional Environment Commission and eventually by in them aquaculture activities. That period will be the National Unit if the environmental impact reaches renewed unless half of the farm site environmental more than one region. reports are negative or the farm presents infractions According to the Environmental regulation of aquacul- causing immediate termination according to the Law. ture (RAMA), intensive production farms like salmon, Concessions and authorizations are transferable and in must maintain between them a minimum distance of general susceptible to legal business, including leasing. 1.5 nautical miles. The minimum distance between No one person can ask for licenses that represent more these sites and other with extensive production than 20 percent of the total surface included in AAA, systems should be 400 meters. discounting the surface already issued for other pur- Historically site selection in sea cage farming at the poses than aquaculture and also discounting minimum beginning emphasized environmental conditions distances between farms requested by regulations. appropriate for sea farming in terms of bathymetry License applications must include a technical project (presently minimum 40 m.), gross estimations of water and other information specified by the regulation, renewal and giving particular importance to bad including its geo referenced location (boundaries weather protection, site access and proximity to ports, polygon). The Navy Undersecretary will check plans road and other services. The initial small scale of farms and not overlap with other maritime concessions, vali- created a good relationship with local communities dating these basic documents of the project. Eventual because lodging, sea transportation, cage manufactur- superposition and respect of minimum distances with ing, and labor were provided by them, principally in other aquaculture and fishery licenses is checked by the Reloncavi Gulf and Chiloé territories. Operations Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) | 179 Figure 6. License application/approval process. Letter of the Maritime Consultation to other authority indicating no conflict agencies, particularly with other concessions environmental agency Concession application SUBPESCA verifies SUBPESCA sends application (Technical Project) presented in background information and and background information to SERNAPESCA (National studies technically the Navy Undersecretary Fisheries & Aquaculture service) application Patent payment has to be Beneficiary publishes extract Licensing in charge of the demonstrated (summary) of the resolution Ministry of Defense Public observations Beneficiary ask to the Maritime Registration in the Report of the Maritime Authority the material delivery license registrar Authority to SUBPESCA of the concession and the sea cages labor were not disruptive with the present legislation as is shown in Figure 7. In this the culture of communities. Owners and managers system there are three basic ambits of authorizations: interacted with people around the farm operations one related to environmental dimension, which constructing social capital and trust. Politically the verifies compliance essentially with EIA requirements industry was well accepted and in general supported. coordinated and resolved by the Environmental Agency; the second, which verifies compliance with Notwithstanding, the progressive overcrowding of the Fisheries and Aquaculture Law, coordinated and farms, the installation of processing plans—with resolved by SUBPESCA; and the third one which demanding routine work—along with the emigration verifies compliance with the use of the coastal zone of owners and managers, opened an increasing gap and related regulations, coordinated and resolved by with the community. The arrival of managers, profes- the Undersecretary of the Navy (Ministry of Defense). sionals and technicians without adequate coaching contributed to augment this undesirable gap. Complying with Administrative/Legal 3.2  Procedures during Operation Sites were initially designed to operate with 1 or 2 modules of 10–12 square cages each, using typically In addition to the requirements, procedures, and steps between 0.5 to 2.0 Hectares. General geometry and specified above, it should be added that: boundaries are determined by geomorphology of • Deadline to begin operations is one year counted the site and bathymetry. Minimum distance between since the physical delivery of the concession. Opera- salmon farms is 1.5 nautical miles. tion is recognized when the activity of the center In summary, in a more integrated way, it has been is equal to or greater than the minimum operating estimated by some authors that the aquaculture licens- levels by species and area established by regulation. ing system in Chile has three dimensions according to 180 | Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) Figure 7. Ambits of authorizations involved in aquaculture licensing. Fishery/aquaculture Dimension • Resolution of SUBPESCA Environmental Dimension Territorial Dimension • Resolution of environmental • Resolution of Defense (Navy) agency Aquaculture license • It is understood that operation exists when the facil- of sites or AMAs avoiding/minimizing risk of propa- ity must comply with the rest period or temporary gation. Special measures can include elimination of cessation of activities determined by resolution of specimens in the farms, special biosecurity measures, the authority (counted as operation). restrictions and or additional measures on transport, • The License holder may detain operations for two cleaning, processing, disinfection, use of antibiotics, consecutive years and may apply for extension of other products to control pathologies and plagues, equivalent of twice the time of operation that pre- and any other activities related to species farming. ceded the stoppage, with a maximum of four years. • Some of the most important causes of license termi- • Transfers, leases and any act involving the transfer of nation (anticipated expiration) are: rights of aquaculture concessions or that enables its • Use of the license for a different purpose (for exercise must be recorded in the Register of Aqua- instance other species farming). culture Concessions. The Registry of Concessions • Patent is not duly paid. is public and is available for consultation on the • Sanctioned 3 times within 2 years (next to the first website of SUBPESCA. infraction). • License mortgage may proceed following the • Introduction of exotic species or GMO without requirements indicated by the Law. authorization. • License holders pay annually a unique patent of • Operations not initiated within the initial of 1 year 20 “tributary units” (indexed unit) per month per or stop operations for more than 2 consecutive hectare, in the case of exotic species, like salmon. years (there are some exceptions explicated in the This payment will finance INFAs and aquacul- regulation). ture research for regulation, among principal • Suspension of operations not respected. destinations. • Three sanctions in 3 years (density, resting period, • In case of a high risk disease in a given site, AMAs, vaccination), release of exotic species, classifica- the authority in virtue of the regulation on protec- tion with low biosecurity immediately after a tion measures to control them, can order isolation suspension of operations. Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) | 181 • Licenses in strips between macro zones and that both CPS and INFA are specified in order to determine are not requested re localization. environmental condition of the site. For this purpose, • Licenses will not be renewed to holders of licenses the resolution classifies farms in 8 categories consider- who have not paid fines caused by unfair or ing production, depth, production system (intensive or anti-union practices. Either concession will not extensive), and type of sediment, associating to each be renewed to the holder of a license that accu- category a explicit number of environmental variables mulates 3 infractions for the same reason in 3 con- that have to be monitored. In function of the charac- tinued production cycles (same farm). teristics of the farm (or the bottom below it), farms 3.3 Consultation with Stakeholders can have more than one category (Bustamante, 2010). The applicant has to obtain Maritime authority In the past, INFAs were directly in charged by the validation of plans and certification of no overlap companies to private authorized consultants. In with other concessions. Then SUBPESCA analyzes order to increase transparency, the modified GLFA that the application entered complies with all legal established that since April 2011, the National Fishery requirements and additionally consults all stakeholders Service (SERNAPESCA) will elaborate INFAs. The law at regional levels (normally through the Regional also authorized SERNAPESCA to contract qualified and Office and Commission). In this consultation usually registered third parties to do technical studies, which intervenes: Artisanal Fisheries, Communities involved, have to be selected through a public tender process. Indigenous People organizations, Tourism organiza- tions, Ports and Maritime chambers, among others. Categories of aquaculture sites, CPS, INFA are detailed Eventual objections are evaluated at the regional level in the Companion Resolution of RAMA, i.e., Resolu- and then sent to central SUBPESCA to continue the tion Ex. 3612 (2009). This last had a recent modifica- process. The project pre-evaluated is subjected to the tion in June 2014. EIA system. Having passed these stages the project has to publish and the public can present objections. 3.4  Adjustment of Maximum Production Plan According to Carrying Capacity Estimates These are finally resolved and the process continues of the Selected Site and Other Indicators for the final approval and registrations. Under present regulations the process should take around 9–12 According to present regulation carrying capacity months, but many past applications are still pending. of a site is reflected by the oxygen condition of the sediments below the site. Accordingly, when the site Sites categories and carrying capacity. The GLFA presents anaerobic conditions in the sediments as per establishes that farms must operate not exceeding the specifications and methodology established in the maximum carrying capacity of the environment. The environment regulation of aquaculture (RAMA), then environmental specific regulation, RAMA, establishes the site cannot receive fish until an aerobic condition that to initiate operations the applicant must present a is recovered. Evaluations are annually done when the preliminary characterization of the site (CPS) which has site is at maximum biomass charge. It is important to to demonstrate that the sediment has aerobic condi- highlight that a farm cannot receive fish until the farm tions and define that during the operation, through has the new results of INFA that demonstrate that it environmental reports (INFA), the environmental is satisfactorily operating in levels compatible with the condition of the site has to be monitored verifying capacity of the water body. that the farms have not surpassed carrying capacity of the water body, a situation that is reached when the Additionally according to the GLFA, SUBPESCA sediment shows anaerobic conditions. establishes for each licenses group (neighbourhood) maximum density per species or group of species. This The companion resolution of RAMA N° 3612/2009 topic as well as classification based on biosecurity will sets methodologies to develop CPS and INFA. be considered in the AMA’s chapter below. Environmental parameters and their thresholds for 182 | Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) AQUACULTURE MANAGEMENT 4.  neighbourhood system, resting periods were planned AREAS (AMA) AND MACRO ZONES impacting companies who had all or almost all their sites in one or two neighbourhoods. Because this was 4.1 What Are the Amas and Why Are They a Need? the case, what is not acceptable after that is to take AMAs were recognized as a need as early as 2004 measures assuming that each AMA really represents when INTESAL, based on the best oceanographic an environmental distinguishable area. information available, identified the first 12 “Environ- mental Areas.” INTESAL defined them as bodies of The design of the AMA system after ISA partially water where predominant oceanographic conditions considered the zoning done by INTESAL but in the were similar enough as to determine them as discussion process, first internally in the industry, identifiable water bodies. This was the first attempt to added some other information contributed by other establish some monitoring and coordinated manage- actors like Plancton Andino, and also included the ment of salmon farms in function of the characteristics views of the companies. The authority accepted both, of the water bodies. This was the base of a voluntary the proposition of the industry for AMAs and also system applied in the industry which reached as an the resting periods programming for all areas, which average participation less than 50 percent of the demanded long discussions between farmers. farms. After the ISA crisis the Industry and the Govern- So, the system principally purposed to coordinate ment realized the importance of applying a system like treatments to control diseases, essentially caligidosis, this and designed a mandatory approach. isolate or impose restrictions to group of licenses in Presently (GLFA, LAW 20, 434/2009) the AMAs also any affected AMA in order to avoid propagation, known as Neighbourhoods are Groups of Concessions principally of ISA, and to establish a rest period system (licenses) located inside an AAA in a sector that pre­ that would allow sites to recover their sanitary condi- sents epidemiologic, oceanographic, operational and tions for next production cycles. geographic characteristics that justify its coordinated Presently the authority establishes both, coordinated sanitary management by a group of species (as per the treatments and resting periods per neighbourhood. declaration of SUBPESCA). In consequence AAAs have Also SUBPESCA can accept additional management different AMAs inside depending on all mentioned measures adopted by the farmers in a given neighbour- elements based in studies ordered by SUBPESCA. hood, becoming mandatory once they are agreed on. Defining the boundaries of the AMA for new and The declaration of groups of licenses or AMA will not existing farms. The INTESAL AMAs established for a affect free boat transit, fishing operation of benthic voluntary system of the industry pretended to identify resources management areas or other maritime or management measures as per the characteristics of aquaculture licenses. Neither will it affect tourism each of them. The idea was to gradually advance activities or the rights recognized to specific coastal towards specific regulations and practices congruent space of indigenous people. with environmental characteristics and carrying capacity of each water body. Finally, it is important to mention that Groups of licenses exclusively dedicated to fish smoltification, The new AMAs defined as a consequence of the ISA broodstock maintenance and genetic management crisis are the result of a veterinarian view, emphasizing can be specifically authorized. disease control and logistics aspects. With the oceano- graphic and environmental information available it was 4.2  Developing an Ecosystem Approach possible to reach more than 60 neighbourhoods or to Aquaculture (Eaa) Management groups of licenses. Distinction was clearly influenced Plans for Amas more by logistic considerations and interest of the Considering that developing aquaculture in the context company than objective oceanographic informa- of ecosystem functions and services is a challenge tion, particularly considering that associated to the that involves defining ecosystem boundaries (at least Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) | 183 operationally), estimating some assimilative and these sectors and also supporting educational plans production carrying capacities, and adapting farming in the southern regions. CORFO (The National Agency accordingly (FAO, 2010), it is possible to say that this for Economic Development) will set a macro regional is still a pending task in Chile. Some transitions from program for salmon, mussel and seaweed industries, a conventional approach to an ecosystem approach based in public-private governance that should support have occurred, but others have not. On the right track to close fundamental gaps of these activities during are: participation, agreement on multiple objectives, the next years including scientific, technical, social and multiple (nested) scales, adaptive approach, public/ economic factors limiting sustainable development of transparent; but not much progress has been done in these industries. interaction with other sectors, extended knowledge Although there are no large scale IMTA initiatives in and incentives cited as part of an ecosystem approach Chile, several authors have studied and promoted (FAO, 2010). benefits of introducing this system integrating salmon No doubt, that the intentions of the original AMAs and mussels and/or seaweed (Aquahoy, 2011; Barra, voluntarily defined by INTESAL were conceptually 2013). Some other authors have studied IMTA poten- closer to the purpose of generating a correspondence tial for abalone or seaweed (Macchiavello, 2014). between the ecosystem limits and management areas, Process to establish AMAs. This has been essentially and consequently a higher level of harmonization an industry/authority process in which stakeholders across planning structures (FAO, 2010). But the crisis and public participation has not been considered. This moves the focus again towards disease control, has happened probably under the understanding that which is not the remedy but the symptom of more they were established essentially to control diseases, basic disruptions. The present system has to be implicitly understanding this as an “internal” problem. reviewed along with AAAs as sectors of the industry, On the contrary the AAAs and the licenses have government and community are demanding. AAA’s passed through stakeholders and public scrutiny. At and AMA’s boundary reviews supported by the August 2014, there were 78 groups of concessions for best available environmental information is a must, salmon in the Regions X, XI and XII, that include all independently of the gradual character of the future together 1,302 concessions (SUBPESCA, 2014). These adjustment process. This is a task that should be run in are summarized in Table 2. parallel to the present system operation. Figure 8 shows groups of licenses and licenses at Beyond the criticism to the present system, the situa- August 2014. Magallanes is not shown but it has tion is better than the one applied in the past which 16 groups of licenses and 88 concessions. did not recognize areas others than the original AAA. Yet more emphasis should be applied in the next 4.3 Developing Management Measures for the Ama industry stage to a closer integration with neighbour- hood communities and other sectors interacting Sanitary and environmental measures. The with the industry like indigenous people, artisanal coordinated sanitary resting system is the measure fisheries and tourism, among the principal ones. Some applicable to AMAs that consists in a period of time companies and SalmonChile have initiated programs during which the farms that are part of the respective that move in that direction creating new bridges with AMA must stop their operations and withdraw all Table 2. Salmon AMAs or groups of licenses per region including number of licenses. Region Groups of Concessions Number of Concessions Los Lagos (X) 25 505 Aysen (XI) 37 709 Magallanes 16  88 184 | Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) Figure 8. Groups of licenses (identified with red numbers) and salmon farms (concessions in yellow dots) in X and XI Regions. specimens from the site, being prohibited the entrance that boats are disinfected in authorized stations by and keeping of fish. SERNAPESCA approves the resting SERNAPESCA or follow other mitigation measures duly program for AMAs controlling coordinated harvest authorized by SERNAPESCA. (with a specified deadline) and also the fish entrance In order to manage online environmental parameters in a period of time in the number approved for each of groups of concessions these AMAs should apply AMA. Also SERNAPESCA can establish programs of a technology able to register and transmit at least epidemiologic vigilance when necessary. indicators of conductivity, salinity, temperature, depth, The authority (SERNAPESCA) establishes coordinated currents, density, fluorescence and turbidity, as per the treatment in AMAs for sea lice, determining and respective regulation. controlling the program, which include periods of License holders in a group of licenses can agree on baths and oral administration treatment as well as environmental and sanitary measures additional to rotations of products in order to mitigate potential those established in virtue of the regulations. These resistance development. should be specific for the AMA in question and not Services of holding cages (before harvest) in coastal affect environment or the normal development of zones can be regulated by SERNAPESCA to minimize other activities in the zone. All measures adopted risk of disease. will have public character and will be informed in the SUBPESCA website. The authority will enforce SERNAPESCA will prohibit transit of boats from measures agreed and duly informed. a higher risk AMA to other of minor risk except, Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) | 185 4.4 Production and Carrying Capacity Measures 4.5  Certification Potential and Social and Economic Indicators of Amas Although carrying capacity estimations are not in place for AMAs, there are measures limiting densities in all Potential for certification to AMA products. farms of an AMA and even reduction of fish intake International certification systems in aquaculture are according to the previous production cycle sanitary requesting the farms to participate in AMA systems performance. or at least demonstrate efforts to establish AMA with other farms close to them. In that sense, Chile’s pres- In fact, maximum density for a given license is done ent system has been acceptable for these certification regulating the maximum intake number of fish in any systems and has contributed to facilitate Chilean farms site of the group of licenses. This is done based on certification. sanitary conditions of each specific concessions group. Procedure Applied is: Using social and economic indicators to monitor economic (AMA costs and benefits). Although • SUBPESCA develops a proposal which is sent in there are not known public evaluations on this aspect, consultation to SERNAPESCA and the Institute of it can be said that the cost of stopping production in Fishery development (IFOP). SUBPESCA analyzes and resting periods is more than compensated by improve- includes observations and sends the proposal to the ment in sanitary conditions of the area of the farm and farms (companies) involved in the AMAs under anal- the benefit of coordinated treatment against sea lice ysis. After receiving their observations, SUBPESCA (otherwise not effective). Probably the most beneficial issues a final resolution with the densities for the effect of the AMA system has been the demonstration AMAs. that cooperation in sea farming is not an option • Farming density is the existent biomass of fish per but a need in light of the long-term projections of used area at the end of the on-growing phase in the industry that undoubtedly rest on social capital the sea. To materialize the density requirements a construction. maximum number of fish intake is established at the beginning of the on-growing stage. More regular interaction, exchange of information and • The groups of concessions are also classified in share monitoring and research efforts reduce conflicts terms of biosecurity based on the application of an and open a stronger private-public interaction. accepted model by Resolution of SUBPESCA. All Most of the procedures developed under the new sites classified in medium and low categories in a regulations in Chile, particularly those dealing with given neighbourhood are mandated to reduce fish environmental and sanitary monitoring, have been intake for the following period. standardize and certified through the INN (National • As it has been mentioned above the authority can Institute of Normalization) which improves transpar- ban fish entrance temporarily or indefinitely to an ency and quality of procedures and services. AAA, affecting all AMAs in the area. In the X Region an indefinite ban has been applied; meanwhile in 4.6 Macro Zones the XI and XII Regions temporary prohibitions were SUBPESCA establishes macro zones according to the applied in past years, subjected to some conditions procedures indicated in the GLFA and the D.S. 319 that were satisfactorily accomplished. (sanitary regulation—RESA, 2001). In fact, based on • Procuring to reduce concentration of farms in a technical report (SUBPESCA, 2012) and consultation some zones, farms can be relocated within a given with an expert panel, SUBPESCA defines macro zones AMA or moved to others complying with the and the minimum distance between them. The basis specific requirements established by SUBPESCA or are oceanographic (essentially hydrodynamic model), SERNAPESCA. epidemiologic and logistic information. The objective 186 | Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) Figure 9. Macro zones (red boundaries) and Neighbourhoods (white boundaries) in the X Region (courtesy of MundoAcuícola, Chile). of these zones is to favor bio contention in front of a 5. CONCLUSIONS sanitary emergency, contributing to avoid dissemina- tion of a disease. The establishment of the macro Chilean salmon farming has shown an impressive zones has to be based in oceanographic information. growth. In around 25 years the country became the leader as farmed trout producer and the second as Macro zones include 2 or more AMAs and their farmed salmon producer. In general, regulations boundaries consider oceanographic conditions and moved back of the industry growth generating several existence of coastal facilities allowing boats transit gaps that did not help in preventing environmental/ without passing through other Macro zones. At least sanitary problems. In fact in 2007 the ISA crisis caused 5 miles separate Macro zones between them. The enormous impact on the industry with important farms that interrupt the distance of minimum 5 miles socioeconomic consequences. This fact pushes for a between macro zones can be relocated. rapid and profound change in regulations triggering the spatial management that complement the initial In front of a sanitary emergency immediately will Appropriated Areas for Aquaculture (AAA) and operate a restriction of boats transit supporting farms licenses. Then groups of licenses (AMA’s or neighbour- between macro zones. Macro zones of the X and hoods) were established and also macro zones. XI Regions are shown in Figure 9. Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) | 187 Presently an integrated spatial management system FAO. 2012. www.fao.org/fishery/legalframe is in place which in spite of its weaknesses has work/nalo_chile/en (2012). contributed to coordinate efforts to control diseases, García, X. 2013. Del orden a una limitante. Aqua, improve efficacy of measures in front of a sanitary Febrero—Marzo 2013. pp. 74–77. risk and create better conditions for environmental/ sanitary recovery of the macro zone. Notwithstanding, Macchiavello, J & C. Bulboa. Eficiencia de absorción improvements have to be done to move closer to de nutrientes de Gracilariachilensis y Ulva an ecosystem approach to aquaculture, principally lactuca en un sistema multitrófico integrado con emphasizing carrying capacity studies and tools, el abalón rojo Haliotisrufescens. Lat. Am. J. Aquat. interaction with communities and other sectors Res. [online]. 2014, vol. 42, n. 3, pp. 523–533. and also increasing participation and developing an Mendez, R. & C. Munita. 1989. La salmonicultura en incentives regime. Highest contribution of the AMA’s Chile. Fundación Chile, 229 pp. system has been the increase in social capital in the industry and the development of highest levels of Resa. (2001). D. S. Nº 319 de 2001 Regiamento de public-private interaction. medidas de protección, control y erradicación de engermedades de alto riesgo para las especies hidrobiológicas. (Actualizado D.S. Nº 4 de 2013). 6. REFERENCES SERNAPESCA. 2014. Maps of Groups of Licenses Aldayuz, J. 2005. Levantamiento cartográfico y and Licenses in Xth and XIth regions. www regularización. Aqua, Mayo 2005. p. 87–89 .SERNAPESCA.cl/index.php?option= Alvial, A. and D. Reculé. 1996. Bases ambientales com_remository&Itemid=246&func=fileinfo para el desarrollo de la acuicultura en Chile. In &id=2833 and www.SERNAPESCA.cl/index Proceeding of the International Seminar: La zona .php?option=com_remository&Itemid= costera en Chile: presente y futuro. Fundación Chile. 246&func=fileinfo&id=2832 Aquahoy. 2011. Dr. Alejandro Buschmann, “Cultivos Silva, G. 2010. La primacía de la zonificación. Aqua, integrados multitróficos permiten incrementar los Junio 2010. pp. 18–19. beneficios para las empresas que lo practican.” SUBPESCA. 2012. Propuesta de macro zonas X y Creado En Lunes, 03 Octubre 2011 13: www XI regions. Gobierno de Chile—­ Subsecretaria .aquahoy.com/156-uncategorised/14742-dr- de Pesca. www.SUBPESCA.cl/prensa/601/ alejandro-buschmann-cultivos-integrados- articles-4768_documento.pdf multitroficos-permiten-incrementar-los-beneficios- SUBPESCA. 2014. Groups of licenses and licenses para-las-empresas-que-lo-practican in X, XI and XII regions. www.SUBPESCA.cl/ Barra, P. 2013. ¿Utopía o una alternativa real para servicios/603/w3-article-81329.html diversificar la acuicultura?.Revista Mundo Acuícola, Zúñiga, M. 2013. La Política Nacional de Uso del ed: Agosto–Septiembre, 2013. Borde Costero y el proceso de zonificación de usos Bustamante, C. 2010. Estimación de costo de preferentes; experiencias y desafíos. Presentation elaboración de los informes ambientales (INFA) in the International seminar: Towards an integrated de los centros de cultivo acuícolas para el Servicio coastal zone management, ICZM Bio-bio Region, Nacional de Pesca. www.SERNAPESCA.cl/ Chile. Cantro EULA, FAUG, Universidad de Concep- index.php?option=com_remository&Itemid= ción. www.eula.cl/seminario_OT/dia1/01.pdf 246&func=startdown&id=4716. ServicioNacional de Pesca—Chile. 55 pp. ANNEX 1 FAO. 2010. Aquaculture Development. 4. Ecosystem Annex 1 “Case study effectiveness matrix for Chilean approach to aquaculture. FAO Technical Guidelines sea cage farming” is presented in the next pages. for Responsible fisheries, 5, Suppl. 4. 53 pp. 188 | Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) Rating (0 not achieved Not Done/ to 5 fully Estimated Costs Phase/Step Well Done/Achieved Not Achieved Associated Activities and Tools achieved) (annual base) Phase 1 Step 1 Scoping Definition of the In general done in the context of the More and Basic studies done by Undersecretary of 4 Cartographic system ecosystem boundary Appropriated Areas for Aquaculture better Fisheries and Aquaculture, followed by update and re definition of (spatial, social and (AAA). However it still needs more environmental consultation process. Mapping presently boundaries have demanded political scales) and better environmental studies, studies updated. costly studies financing definitions and precisions. supporting supported by Government. spatial (Integrated to cost estimate boundaries. indicated below). Identify overriding In general terms done, particularly Ecosystem There are national policies referred to 3 Environmental studies and policy, legislation (such dealing with regulations in place. studies to environment, natural resources, use updated studies connected as land and sea rights) Some advancement in water quality improve of the coastal zone and aquaculture. or useful for legislation and regulations (such standards, minor advancements in ecosystem Basic regulations are those included in requested by authority as ecosystem quality ecosystem quality standards. quality the general basis of environment law, (ecosystem analysis, standards, water quality standards and fisheries and aquaculture general law; indicators development, standards) indicators. specific regulations bodies applicable water quality standards, to licenses, fish disease control and etc.): US$1,0 Million (1). environmental management in aquaculture, among the principal ones. There are specific environmental standards for water bodies and liquid discharges into them. Phase 1 Step 2 Zoning Zone selection based on Done for AAA selection criteria The law establishes selection criteria for 5 selection criteria which have evolved. AAA. Gross estimation of Done (referred to salmon Estimations are based in proportion 4 potential areas and production), based on available AAA area used for salmon farming in AAA, production area, proportion of use of them and considering that no new licenses by salmon farming, withdrawal can be issued in the X Region. periods, and present technology: Salmon production should reach as maximum around 2 million tonnes, Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) | 189 with all regions producing at max. capacity under present regulations. Rating (0 not achieved Not Done/ to 5 fully Estimated Costs Phase/Step Well Done/Achieved Not Achieved Associated Activities and Tools achieved) (annual base) Phase 1 Step 2 Zoning Allocation of the zone Done. There are defined AAAs in all In each region AAAs have been 5 for aquaculture purposes regions (12 over 15), with the only defined. This has been done under a exception of two with almost no participative process. mariculture activity (XV and V) and the XII (metropolitan not coastal region). Phase 2 Site Selection Carrying capacity The law establishes the way to No carrying Using oxygen concentration in 3 Cost estimate below. estimation estimate carrying capacity based capacity sediments. Still pending use of models on the bottom/sediment condition. models per and predictive-holistic tools. This is done evaluating aerobic water body condition and other complementary are in place. parameters. Annually farms have to 190 | Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) do these evaluations and report to authority. Set license production In general done. However carrying Carrying Site production limit is established in 3 limits within zone or capacities for water bodies are not capacity the authorized technical project when water body carrying yet established. models for the license is issued. On the other hand capacity water bodies maximum densities are established for the not in place. 3 species per license groups (or AMA). However these limits are not based on estimates of water body carrying capacity. At present oceanographic studies are under development to meet information from different neighbourhoods to move on with carrying capacity models for water bodies. Rating (0 not achieved Not Done/ to 5 fully Estimated Costs Phase/Step Well Done/Achieved Not Achieved Associated Activities and Tools achieved) (annual base) Phase 2 Site Selection Allocation of licenses and Done. The system is operating in Just Regularization of licenses location 4 Patent of License at permits general in good terms. regularization still under process under the new present: of licenses cartographic system. 12 UTM/Month/Hectare = location US$71/Month/Hectare under new (salmonid species). cartography is Total annual app.: under process. US$10,2 Million (1). This amount should increase up to US$17,0 Million in 2017 (1). Phase 3 Area Management Identify management Done. AMAs have defined Licenses are grouped in 5 Several oceanographic, area boundaries boundaries and a list of licenses neighbourhoods, which is an area epidemiologic, logistic included in the respective AMA or sharing environmental general and risk analysis studies neighbourhood. conditions. supported by the Government. (Cost estimate below). Estimate total carrying Very partially achieved. There is only Some oceanographic studies are in 2 capacity if appropriate an estimate place in order to progress towards based on the different for farming carrying capacities estimates in risks sites, based neighbourhoods. on oxygen concentration in the sediments. Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) | 191 Rating (0 not achieved Not Done/ to 5 fully Estimated Costs Phase/Step Well Done/Achieved Not Achieved Associated Activities and Tools achieved) (annual base) Phase 3 Area Management Organize a formal Done. Farmers have to collaborate There is a formal general association, 5 Companies have to pay association of all farmers in coordinating sanitary treatments SalmonChile, grouping over 70% of a member fee based in that area and biosecurity measures. total producer companies. Additionally on a fixed amount per Additionally they can develop there are regional associations. In the export tonne (taken as additional measures beyond those case of neighbourhoods, companies base the prior year). Total established by the regulation. have to collaborate under the present is around US$3 Million/ regulations in all those actions specified. year. Approximately half of this amount is directed to scientific and technical studies, and evaluations necessary for regulations and practice improvement 192 | Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) US$1.5 Million (1). Agree on common Done. Presently there are mandatory They have to cooperate in coordinated 5 management, densities by species, coordinated sanitary treatments, apply biosecurity monitoring and control treatments in order to control measures and immediately inform to measures sea lice, and common biosecurity other companies when a risky pathogen measures. Farms in each AMA can is detected associated to disease impacts. agree on additional measures. Additionally they can monitor and share oceanographic conditions and report to each other phytoplankton conditions (alerting of Noxious algae blooms and oxygen depletion, when detected early). Monitor and enforce Done. There are mandatory There are mandatory sanitary and 5 management measures densities, coordinated treatments environmental monitoring protocols and biosecurity measures. Additional that have to be applied and informed by voluntary measures agreed in the farmers. Also they have to receive at any AMA will become mandatory and time announced visits of SERNAPESCA they will also be enforced by the inspectors. In case of a positive fish authority. disease finding they have to report immediately following the procedure established in the regulation. Rating (0 not achieved Not Done/ to 5 fully Estimated Costs Phase/Step Well Done/Achieved Not Achieved Associated Activities and Tools achieved) (annual base) Phase 4 Monitoring and Review Regular monitoring Done. Each farm is subjected to Yes. There are several monitoring efforts 5 Environmental: INFA’s and evaluation mandatory environmental (INFAs) requested by the authority. However evaluations annually is and sanitary condition of fish. farmers in the neighbourhoods can around US$1 Million. Results in terms of mortality will agree on additional monitoring Sanitary evaluations: annual determine maximum fish entrance in efforts that once established acquire cost on regular and special the respective AMA. mandatory character. studies is around US$1,5 Million. Total: US$2.5 Million Periodic review Done. Industry and authority Monitoring results review id normally 5 Oceanographic, sanitary and adjustment regularly evaluate these measures. coordinated by the Technological and other special studies Based on joint analysis, the authority Institute of Salmon who inform to all useful for regulation and order support specific studies farmers in a given neighbourhood. spatial management is to technical agencies like (IFOP) There are periodical meetings of around US$2,5 Million. (Fishery Technical Institute). These technical committees to review, adjust are usually financed by the Fisheries or order new monitoring programs. and Aquaculture Fund (FIPA) , The National Economic Development Agency (CORFO) and The National Science and Technology Commission (CONICYT). Extent of use of zoning and area management development Approximate number of designated aquaculture Approximate production from each aquaculture (quantifiable) zones or AMAs and licenses (in parenthesis) zone or AMA Number of zones and 25 in the X Region (505) Year: 2013 (total 3 species) range of implementation 37 in the XI Region (709) 16 in the XII Region (88) : Total 78 Groups of licenses X Region: 371 000 tonnes or neighbourhoods (AMAs) and 1,302 licenses. XI Region: 383 000 tonnes XII Region: 25 500 tonnes Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) | 193 Rating (0 not achieved Not Done/ to 5 fully Estimated Costs Phase/Step Well Done/Achieved Not Achieved Associated Activities and Tools achieved) (annual base) Other notes Positive issues Negative issues (especially social After ISA crisis progress have been observed in More emphasis should be given to improve the issues) several aspects of the industry. In terms of spatial use allocation of zones for aquaculture (neighbourhoods) of the sea, zoning and limits to general production in accordance to environmental factors, and carrying (introducing withdrawal periods) and more recently capacity estimates should be conducted within these density limits, diminish risk of overuse of territories allocated zones. preventing stress that triggers diseases. Additionally, Companies should emphasize collaborative plans spatial monitoring of critical variables and coordinated with local communities and other activities like treatments also prevent environmental and disease risk. artisanal fisheries and tourism in order to contribute In the same direction can be considered the obligation to social capital building, essential for integrated to vaccine and evaluate sanitary conditions of all fish progress of these regions. being stocked in the sea. Several companies have initiated more comprehensive 194 | Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) plans of interaction with local communities, cooperating with them in line with their needs. In addition transparency has been increased by the companies and authorities, publishing information that in the past was not open, like licenses operating and producing, mapping, monitoring results, and periodical reports on industry. (1) Author estimate ANNEX 2. Chile’s Regions that presents safety, epidemiological, oceano- graphic, operational or geographical features that justify its coordinated sanitary management by species group (for instance salmonid species), as per SUBPESCA declaration (LGPA, vers. 2013). Neighbourhoods include farming sites or licenses. AMICHILE: The principal and most representative association of mussel producers, processors and suppliers in Chile. CORFO: The National Agency for economic development. CPS: Preliminary characterization of the site. A proce- dure to characterize a site or concession to apply for approval and establish a baseline for future evaluations of eventual impacts on it. Categories of aquaculture sites, CPS, INFA are detailed in the Companion Resolution of RAMA, i.e., Resolution Ex. 3612 (2009). This last had a recent modifica- tion in June 2014. D.S.: Supreme Decree. It is a written order of the President of the Republic, issued within the sphere of his/her competence, bears the signature of or ministers of respective State and is subject to a special procedure. D.S. N° 223 (1968) OF THE DEFENSE MINISTRY (NAVY): Regulation on Marine Concessions. D.S. N° 175 (1980) OF THE MINISTRY OF ECON- OMY ON FISHERIES ACTIVITIES: Reglamento para realizer actividades pesqueras (Regulation for GLOSSARY fisheries activities). AAA: Appropriate Areas for Aquaculture. Areas D.S. N° 162 (1985) OF THE MINISTRY OF where aquaculture (not only salmon farming) can ECONOMY: Aprueba reglamento sobre control de be developed in the jurisdictional sea of Chile enfermedades de peces de la familia salmonidae according to the General Law of Fisheries and y otras especies hidrobiológicas y deroga Decreto Aquaculture (Law 18,892 or GLFA, vers. 2013, n° 291, de 1985. Regulation to control diseases in Law 20,657). An AAA includes macro zones, salmonid species as well in other species. neighbourhoods and farming sites (also mentioned D.S. N° 99 (1988) OF THE MINISTRY OF as licenses or concessions). ECONOMY: Modifica D.S. N° 175 del Ministerio AMA: Also named Salmonid groups of licenses or de Economía y Turismo. Status: Derogado. It Neighbourhoods (NEI). Group of aquaculture modifies D.D. N° 175 of the Ministry of Economy concessions within an AAA situated in a sector and Tourism. Status: repealed. Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) | 195 EIA: Environmental Impact assessment system. It is farming; it closed temporarily, for 2 years licenses considered in the General Law of the basis of for salmon species farming in the XI Region and environment. Particularly in the case of aquacul- also temporarily closed applications in the XII ture, has to do with preliminary characterization of Region until the modification of the AAA for the site, and according to its results if the project group of species in the period of 12 months. In needs an EIA study or just an EIA declaration. 2012, due to the high farm concentration in the X Region, particularly of salmon and mussel, the ENVIRONMENTAL AREAS: Areas defined by Sub-Secretary of fisheries declared the AAA of the INTESAL IN 2004 that were similar enough as to X Region not available for new licenses request, determine them as identifiable water bodies. the only exemption being seaweed farming (R.EX. GLFA: General Law of Fisheries and aquaculture (Law 825—2012, Undersecretary of Fisheries and 18,892, 1991), with several amendments after Aquaculture). 1991. Presently (GLFA, LAW 20,434—2009), and LICENSE: Concession for a farming site installation again under review (2016). and operation. Derived from the administrative act IMTA: Integrated multi trophic aquaculture. through which the National Ministry of Defense INFA: Annual reports on the environmental status of a gives to a person/entity rights of use of a resource license (sea farming site), with defined monitoring (water column, sea bottom, coastal site, etc.), for a and analysis of specified variables. Categories of period of 25 years renewable, to carry out in them aquaculture sites, CPS, INFA are detailed in the aquaculture activities (GLFA, vers. 2013). Companion Resolution of RAMA, i.e., Resolution MACRO ZONE: Zone defined by the Authority Ex. 3612 (2009). This last had a recent modifica- (SUBPESCA) to avoid dispersion of a given disease tion in June 2014. or infection in any farmed species activated under INTEMIT: Technological institute of the mussel an emergency situation (not always operational). industry in Chile. It depends of AMICHILE. (GLFA, DS 391, 2001). When activated a macro zone includes AMAs (neighbourhoods) and INTESAL: The technological institute of salmon, in farming sites or licenses. charge of R&D necessary for the salmon industry. It depends of SalmonChile. MINISTRY OF DEFENSE: It is in charge of the defense of the country. It has Subsecretaries for the Army, ISA: Infectious salmon disease. It affected severely the Navy, Air Force and Police. The Subsecretary of the Chilean industry in 2007. Navy is the one related principally to fisheries and LAW OF THE GENERAL BASIS OF THE ENVIRON- aquaculture permissions, enforcement, safety and MENT: Law 19,300 enacted in 1994 defining environmental aspects. regulations for a sustainable use of natural MINISTRY OF ECONOMY AND TOURISM: The resources of the country and protection of its Ministry dealing with fisheries and aquaculture. natural reserves. It contains norms for Environ- SUBPESCA AND SERNAPESCA are part of this mental Impact assessment in the different sector, Ministry. establishing when an EIA study or declaration are necessary, among others. NATIONAL COMMISSION OF THE COASTAL ZONE: This is a commission with participation of several LAW 20.434 (2010): In this legal body it was Ministries responsible for proposing to the Presi- introduced the option to declare AAA for a group dent of the Republic, actions that promote the of species. The same law closed new license implementation and enforcement of the national applications in the X Region except for seaweed 196 | Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) policy for use of coastal zone. The commissions REGIONAL COASTAL ZONE PLANS: Sectorial plan- are integrated by representatives of different sec- ning. AAAs have been integrated in the context of tors dealing with: the aquaculture industry, other the coastal zone management plan established in economic sectors, indigenous people (Law 20249, different regions. In fact, the regional plans recog- 2008, creates marine space of original people), nized different zones of preferential use (National local communities, regulation and enforcement Commission of the Coastal zone use, www authorities, research institutions and NGOs related .ssffaa.cl/comision-nacional-de-uso-del-borde- to environmental and social protection. costero-cnubc/). NATIONAL POLICY FOR THE USE OF THE REGIONS: Territorial units of the political divisions of COASTAL ZONE: D.S. 475 (1995) of the Ministry the country; in Chile there are presently 15. (See of Defense, establishes regulations to define areas Annex 2). of preference uses in the different regions of the RESA: The fish health and sanitary regulation for country and other matters related to the best use aquaculture defined in the GLFA. of the coastal regional sea. SALMONCHILE: The association of the industry of OCEANOGRAPHIC SERVICE OF THE CHILEAN salmon in Chile. NAVY (SHOA): This is an agency of the Navy of Chile which provides oceanographic and meteo- SERNAPESCA: National Fisheries and Aquaculture rological information for ports and navigation. Service. Agency under the Ministry of Economy Also it develops studies, research and monitoring and Tourism. It is the agency essentially respon- associated with its mission. It gives scientific and sible for enforcement. technical support to the Subsecretary of the Navy SUBPESCA: Undersecretary of Fisheries and Aquacul- in relation to space management of aquaculture. ture. Institution under the Ministry of Economy RAMA: The environmental regulation for aquaculture and Tourism. It is the institution essentially defined in the GLFA. It specifies prodedures and responsible for regulation. criteria for CPS and INFA. Chile Case: The Spatial Planning of Marine Cage Farming (Salmon) | 197 Zonal Aquaculture Management in China and Indonesia Anton Immink, Han Han, Pamudi and Jack Morales1 Abstract cages to ponds, but these challenges need to be overcome in order to ensure sustainable production in The best examples of zonal management are seen in all senses—for the industry, the environment and the the salmon industry and were developed, particularly, local population. SFP is working with local aquaculture in the pioneering countries of Norway and the United sectors in China, Indonesia, Thailand and Vietnam to Kingdom of Great Britain and Northern Ireland. Detrac- strengthen the scientific advisory to support effective tors would certainly claim the systems are still far from policy for realistic industry development and to ensure ideal, but they have helped protect the environment, the producers themselves use better practices on farms minimise disease impact and support the industry to and are organised to enable them to have a unified flourish in a sustainable manner. Sustainable Fisheries voice in their future. Case studies on progress in China Partnership (SFP) is using the broad zonal management and Indonesia are provided. model developed in Scotland, the United Kingdom of Great Britain and Northern Ireland to apply to tilapia, pangasius and shrimp industries in Asia through what General background to are known as Aquaculture Improvement Projects (AIPs). development of the zonal Zonal management developed in salmon production aquaculture approach is a response to both chronic and acute disease Any major production industry faces challenges when outbreaks, production issues over continuous use of it reaches scale. One solution is to isolate production the same sites and continued external pressure over units from each other and from the environment environmental impacts. The geographic translation to to minimise disease risk and environmental impact, Asia mandates a shift in cultures, species, capacities but this approach has not been widely adopted by and systems. There certainly are challenges interpreting aquaculture to date because of the significant technical lessons from a relatively low farm density region to challenges and associated costs. However, there are areas with almost contiguous production; and from a few good examples of where aquaculture sectors 1 The views expressed in this information product are those of the have taken a lead in tackling the risks through a author(s) and do not necessarily reflect the views or policies of FAO scientifically-based planning, licencing and or the World Bank Group. Immink, A., Pamudi, H. H. & Morales, J. 2017. Zonal aquaculture management in China and Indonesia. In J. Aguilar-Manjarrez, D. Soto & R. Brummett. Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture. Full document, pp. 198–221. Report ACS113536. Rome, FAO, and World Bank Group, Washington, DC. 395 pp. Zonal Aquaculture Management in China and Indonesia | 198 management process that is a partnership between Indonesia, Thailand and Vietnam to strengthen the commercial and regulatory stakeholders. These scientific advisory to support effective policy for systems developed principally as a response to envi- realistic industry development and to ensure the ronmental challenges and disease outbreaks. The hope producers themselves use better practices on farms is that such lessons can be shared with developing and are organised to enable them to have a unified sectors before they face major problems. voice in their future. Sustainable Fisheries Partnership (SFP)2 identifies AIPs are not about stopping aquaculture. Where these approaches as ‘zonal management’, whilst FAO industries are beyond carrying capacity, positive has labelled them as “area management” following solutions may include the enforcement of better farm ‘the ecosystem approach to aquaculture’. The two management; and better knowledge of how disease approaches are very similar, with many identical can spread should inform a better industry structure, components—particularly around the development not necessarily meaning the removal of farms. On or strengthening of aquaculture sector management subsequent pages we share our experiences to date in structures. For practical purposes we are talking of the two aquaculture industries and invite other industries same thing and could use both terms interchangeably, and regulators to the take the lead to ensure the sur- but as the approaches have developed their own vival and sustainable growth of their own aquaculture identities over time, we will continue to refer to zonal sectors—regardless of scale, species or system. The management in the remainder of these case studies. two case studies should be read together because the activities and outcomes contribute to overall learning, The best examples of zonal management are seen in rather than being comparable. the salmon industry and were developed as a response to both chronic and acute disease outbreaks, produc- The Five Pillars of Zonal Management tion issues over continuous use of the same sites In zonal aquaculture improvement projects there are and continued external pressure over environmental five key focus areas: impacts, particularly in the pioneering countries of Norway and the United Kingdom of Great Britain and 1. Effective regulation based on sound science; Northern Ireland. Detractors would certainly claim the 2. Active producer organisations guiding the industry systems are still far from ideal, but they have helped towards sustainability; protect the environment, minimise disease impact 3. Planning, licencing and management of industry and support the industry to flourish in a sustainable development and production based on carrying manner. SFP is using the broad model developed in capacity; Scotland, the United Kingdom of Great Britain and 4. The use of epidemiology and other science to Northern Ireland, to apply to tilapia, pangasius and minimise disease risks during planning operational shrimp industries in Asia through what are known and emergency phases of the industry; and as Aquaculture Improvement Projects (AIPs). This 5. A feed strategy based on reducing impact and risk geographic translation mandates a shift in cultures, to source fisheries providing fishmeal. species, capacities and systems. There certainly are challenges interpreting lessons from a relatively low An overarching consideration is ensuring that all farm density region to areas with almost contiguous documentation relating to the planning, licencing production, and from cages to ponds, but these and management of the sector is readily available in challenges need to be overcome in order to ensure the public domain; such transparency is necessary to sustainable production in all senses—for the industry, ensure appropriate use of public resources—in this the environment and the local population. SFP is case, particularly water. working with local aquaculture sectors in China, The zonal aquaculture improvement projects high- lighted in the case studies included here present the 2 SFP is an international nonprofit organisation working with major work that has been completed over the last two years. seafood buyers to identify and minimise risk in global supply chains. Visit www.sustainablefish.org for more information. These projects are very much ‘works in progress’, Zonal Aquaculture Management in China and Indonesia | 199 able to respond to new opportunities that enable supply chains are engaged in a range of improvement improvements within the broad zonal management activities: Groups of major suppliers with regional framework. The main focus of the projects to date has sourcing needs work together to support producers, been around pillar 2—strengthening local industries to processors, regulators and scientists in countries or engage in sustainable management and development. zones to deliver improvement projects locally. This has taken time, particularly where many producers are small-scale. Some work has started on the core Certification and Traceability technical foci of reducing local environmental impacts Zonal management goes beyond the current industry (pillar 3) and disease risks (pillar 4). However, the focus on farm-level certification to tackle the cumula- overriding approach to facilitate the local industry to tive risks and impacts of aquaculture. SFP is working take the lead in delivering improvements, rather than a with standards to identify how zonal management third party doing that for them, has extended project can be effectively and efficiently certified. However, horizons and means that, whilst components are being farm-level certification provides a reasonable proxy built, there is no overall management plan either for indicator of the engagement of producers and proces- target zones or for industry sustainable development sors in improvement and certainly offers a closer link more broadly. This longer-term view should embed between buyers and producers. If an industry has a a strong understanding of the improvement process high percentage of certified farms you could expect with the local industry and regulators. The process is it to be well run, but there are examples of such participatory in that respect, although the drive for situations with high levels of certification where the improvement usually comes from the supply chain. industry and regulators are failing to tackle the shared disease risks and environmental impacts of the sector. There has been some movement towards strengthen- This is a major risk for the farms, the local economy ing the policy development process (pillar 1), but in and the international supply chain. the two examples given there has been little specific engagement on improvements in feed (pillar 5). Feed is Zonal AIPs all require international supply chain being tackled in other ways in SFP, principally through commitment in order to help move industries forward fishery improvement projects (FIPs) in the fisheries and ensure that changes are maintained by market that supply fishmeal to the aquaculture feed industry. engagement. Within zonal AIPs there is an expectation They are not reported on here, but information on the that farms of all scales will become formally licenced, projects can be found at www.sustainablefish.org. and be active participants in the development of better internal management mechanisms within The two project case studies have faced different industries. Therefore, as AIPs become more wide- challenges working with industries at different stages spread aquaculture production should be more easily of development and therefore the lessons described tracked through the international supply chain. Indeed, below should not be compared, but combined to give traceability should become the norm, rather than a more complete picture and not compared. being largely reserved for certified products. But there is recognition that an increasing percentage of produc- SFP’s Approach to Reducing Risk in the Supply Chain tion is likely to stay in Asia, and SFP is already working with retailers in the region to engage in improvement SFP works with retailers to identify and reduce risks in projects in both aquaculture and fisheries. international seafood supply chains in order to improve sustainability. The main focus is around environmental Defining Zones for Zonal Management—Thinking sustainability, but this in turn feeds into economic Water Is Critical sustainability and increasingly includes the social The concept of zones or zoning is familiar in terms elements of sustainability. Once the supply chains are of identifying where would be best for aquaculture identified an assessment is made of the issues that development to take place, based on criteria such as need addressing and this is published on FishSource access to water, markets, infrastructure and labour. (www.fishsource.com). Key players within these 200 | Zonal Aquaculture Management in China and Indonesia However, there are very few examples where the loca- fish. Whilst individual farms are private enterprises tion of farms or the total amount of production within (like boats in a fishery) they are entirely reliant on the such zones is determined using scientific evidence like goods and services of the common pool resource of carrying capacity or disease risk assessment. OIE (the water (like the fish in a fishery). Rather than assessing world animal health organisation) uses the term zone stocks there is a need to assess disease risks and the to identify discrete areas for disease management and ability of water to process additional nutrients added control. From a planning and management perspective to the water rather than subtracted (in the case of this is a useful reference point as we consider the need fisheries). For the effective development and control of for zonal management, which builds on basic zoning aquaculture national governments and industries need to take into account disease risks and environmental to define aquaculture zones in their countries using the impacts to define the boundaries of individual man- best available science and develop zonal management agement units (zones). Environmentally these zones institutions to ensure future sustainable production, in would have watershed-based boundaries, butwhere the same way that fisheries management exists. watersheds are very large, e.g., the Mekong delta, administrative boundaries would probably represent Hainan Tilapia Aquaculture the limit of control of each zone. Comparisons can Improvement Project be made to fisheries management, from local to highly migratory stocks. This comparison requires Background the recognition that aquaculture management units Hainan variously vies with its neighbour for the posi- (zones) are based on the need to sustainably manage tion of the number one tilapia production and export the shared common resource of water rather than region in China. The tropical island at the southern Figure 1. Location of Hainan province within P.R. China and location of main producing counties within Hainan. Zonal Aquaculture Management in China and Indonesia | 201 Figure 2. Distribution of tilapia farms in the three main producing counties of Hainan. tip of China produces around 340 000 tonnes of Project in Hainan in 2011. Initial engagement with tilapia per year and exports most of this, with around producers and processors around certification and 80 percent going almost equally to the U.S. and broad studies assessing environmental impacts helped Europe. Production is in ponds, dams and cages across build relationships locally, but it is only in the last three counties in the north of the island. Wenchang couple of years that the project has really taken off. has the highest volume and density of production, Key players in the local industry have understood the followed by Qiong Hai and Ding’An. shared risks the industry is facing and the need for the industry to develop a unified voice. A desire to stand SFP’s initial engagement with the tilapia industry in out as a responsible producer of a quality product has China was at the request of a retail partner with a also helped to give the industry the confidence to take focus on farm-level certification. However, it soon a lead. SFP continues to support what is now known became evident that there were bigger issues to tackle as the Hainan Tilapia Sustainability Alliance (HTSA), and no one really tackling them. With the support of driven by a group of leading local companies covering the Packard Foundation and some industry interest, seed, feed, technical support, farming and processing, SFP established a pilot zonal Aquaculture Improvement and increasingly involving more of the local industry. 202 | Zonal Aquaculture Management in China and Indonesia Water Quality Management problems through collaboration with your neighbours The industry has faced the classical challenges of is something that farmers understand, but find disease outbreaks particularly in the warmest months, a challenge in reality. Such goals also put all the but there has been little assessment of environmental emphasis on farmers, when in fact there are many impact. The ownership structure of many of these other players who are critical to the success of the farms and the value placed upon water and nutrients overall industry. In Hainan the main driver to bring the means that many of the farms have very little dis- industry together was a desire to identify themselves charge; however, balancing this desire to retain valu- as different from all the other tilapia being produced able resources with the need to maintain good water in China, indeed in the world. Presenting their output quality, particularly at times of high temperature, has as a quality product is a mechanism to engage all parts led to innovation. Farmers typically discharge less than of the industry and makes use of the natural environ- 10 percent of the total water held on farms each year. mental quality of Hainan. This approach is certainly Losses to evaporation are replenished, but the nutrient- reminiscent of the Scottish salmon industry’s approach rich water is too valuable to flush to the environment to setting itself apart from other producers. But the and so is transferred from one pond to the next during challenge for the tilapia industry in Hainan was how to the harvesting period. Many farms are situated within build the mechanisms (both industry and regulatory) irrigation schemes, where water needs to be paid for. to ensure any claims of being a better product were Discharged water is usually used on agricultural crops backed up with identifiable actions. where the additional nutrients are beneficial, but tilapia farmers are not rewarded for this. Developing zonal management Supporting Farmers Wider Dialogue and Engagement (Taking Zonal Management Pillar 2 to a National Level Farmers receive a range of technical and financial and Feeding into Pillar 1) support, from commercial providers and from govern- As fits with SFP’s model of change, the dialogue to ment extension officers. Commercial support comes date has predominantly been with the local industry, from feed companies, hatcheries and processors, but a and through their engagement the inclusion of large part of the support to some farmers comes from local researchers and government staff as required. the supplying and buying companies that support However, SFP has also maintained a good relationship trade distribution—more classically known as middle- with HAPPMA (Hainan Aquatic Products Processing men. Some of these middlemen are in fact sizeable and Marketing Association) and CAPPMA (the Chinese businesses that have substantial stakes in the success Aquatic Products Processing and Marketing Associa- of the industry. Leading middlemen companies provide tion). The HTSA provides a complementary focus to expert advice in a timely manner, actively supporting these two organisations. HTSA’s efforts lie more with farmers to ensure success. There are examples of such sustainable production in support of the wider market- companies developing technical databases to enable ing aims of HAPPMA or CAPPMA. It is envisaged farmers to refine their farming practices according to that stronger ties will develop between all interested their local needs. This level of detail is helping to build parties as the industry moves forward, and that real management in an industry that is still made up of producers, processors, regulators, scientists and others a large number of small-scale producers. will take part in roundtables to sustainably drive the industry forward. As all actors become more confi- Quality dent, and as markets demand it, more data covering The additional hook for the industry was identifying production, health management and environmental a shared ambition. Environmental sustainability is quality should become available in the public arena. a noble goal and the idea of overcoming disease Zonal Aquaculture Management in China and Indonesia | 203 As the demonstration approach in Hainan is better be able to directly take part in planning and dialogue, understood and documented, it is likely to be but it is important that their voice is represented. In replicated in other areas in China and farther afield. Hainan there are whole production areas where the There is current interest from the other Chinese industry has no shared voice. Some counties do have tilapia production regions, and some of the leading active farmer associations, and these tend to be where participants in the HTSA also have business interests in the native population has taken up tilapia farming other provinces. and a few leading local business people feel that a support network would help strengthen development. Building Trust (Zonal Management Pillar 2) However, in areas with multiple small-scale producers The farm scale of most producers is only a few ponds who are typically not native there are no associations. within a few hectares. There are larger farms that have The AIP has facilitated a few farmer meetings now and the internal management systems in place to enable attended existing meetings in order to share informa- them to attain international certification, but the tion on zonal management and the development of majority of farms are reliant upon the supply chain for a shared goal for the industry at the provincial level. support. SFP typically uses the processors as an entry In the areas where new meetings have taken place, point for fisheries improvement projects. Aquaculture farmers have been inspired to continue informal improvement projects also work with processors, regular meetings and are especially excited about the but they soon realised the opportunity to effectively idea of building the shared reputation of Hainan tilapia engage producers through feed, seed and technical as a quality product. As these groups formalise, their input companies, who often have longer-term relation- representation at the provincial level will increasingly ships with farms. The challenge has been that many of lend weight to the voice of the tilapia industry, which SFP’s retail partners have little direct interaction with faces competition for land and water from many these support industries so building trust and dialogue other sectors, but especially from tourism as Hainan is between different parts of the sector has been a key China’s holiday island. goal. Finding a champion who could bring the industry together has been critical. In Hainan that lead has Farm-Level Training/Engagement (Zonal come from a middleman company. Management Pillar 2, Contributing to 3 and 4) It is not possible to continually engage all farmers on Ensuring regular meetings take place between differ- the promise of a shared utopia. Indeed, improving ent parts of the industry at both local and provincial production practices at the individual farm scale is an levels has also helped to develop trust. This process essential component of zonal management. Training is discussed later in the ‘Industry Voice’ section, but on best practices and information about new tech- these meetings and the establishment of a recognised nologies to be applied on farms are key components representative organisation for the industry have of industry-wide improvement. The key champions in helped to develop belief that improvement projects are the Hainan Tilapia Sustainability Alliance (HTSA www not short-term solutions, but offer positive structural .hntsa.org) and with donor and supply chain support change for aquaculture industries. the tilapia industry is improving: Industry Voice (Zonal Management Pillar 2) • water quality management, Within an AIP there is a need to raise the voice of • feed efficiency, different parts of the sector to take part in effective • disease control, and dialogue with each other. Except in the smallest of • farm data collection and assessment. sectors, it is impossible to expect that all farmers will 204 | Zonal Aquaculture Management in China and Indonesia The cumulative impact of these farm-level improve- Disease and Environmental Management ments, alongside the industry-wide actions being (Pillar 3 and 4) developed to review environmental impacts and Defining zones should be relatively straightforward in strengthen health management planning, is helping to Hainan because there are clear watersheds where the reduce risk to the industry as a whole. bulk of production takes place. As HTSA is strength- ened and the industry becomes more organised and Code of Good Practice (Zonal Management engaged with local researchers and government Pillar 2, Contributing to 3 and 4) officials, there will be increasing use of environmental Members of the HTSA have developed a Code of and health management science as the basis for plan- Good Practice that contains guidance on the applica- ning and managing industry development. Carrying tion of the five pillars of zonal management across the capacity assessments and epidemiology studies will industry and specific guidelines for farms, hatcheries, inform the effective limits of zones and how farms feed plants and processors, covering industry inputs, must engage with each other within those zones in production and post-harvest. The blueprint for the order to minimise risk. development and proposed management of the Code of Good Practice (CoGP) can be seen in what Scotland, Supply Chain and Donor Support (Overall the United Kingdom of Great Britain and Northern Approach, Contributing to Pillar 3 and 4) Ireland, has done across the finfish industries www SFP has facilitated several supply chain and donor visits .thecodeofgoodpractice.co.uk. All members of the to see the progress the industry is making in improve- various Scottish aquaculture producer associations ments. These visits have helped drive active support (salmon, trout, marine finfish) are required to follow for the improvement process, not just financially, the code, which is independently audited and reported but also the closer linkage between producers and against. Again, although not considered perfect, it the end market. Opening up these dialogue chan- is the best in the industry and a suitable model for nels is improving farmer understanding of the final translation by other sectors. consumers demands and educating buyers as to the challenges farmers really face. For example, when the Members of the HTSA are developing sections of the market demands a different size of fillet there are chal- CoGP relevant to their areas of expertise. Each section lenges not so much in the technical production issues, will be reviewed by local peers before being finalised. but in changing producers’ confidence that they will This review process and the engagement of local still receive a good income if they alter the length universities and research institutes to conduct studies of time they raise the fish. The risks and impacts in to support the development of zonal management are terms of environment and disease management also helping to build an effective scientific advisory system need to be taken into account, but effective dialogue to support current and future dialogue and policy and a sense of common purpose helps speed up this development processes. Hainan University has con- process. ducted environmental and disease risk assessments, and the Pearl River Institute is sharing its experience and knowledge from the epidemiology assessment of the carp industry in Guangdong. Zonal Aquaculture Management in China and Indonesia | 205 Summary for Hainan Tilapia Aquaculture Improvement Project. Zonal Criteria/Action Successes Challenges Future Actions Regulatory engagement Dialogue with local Building strong working Initiate roundtable process extension service and relationships between HTSA informal discussion with local and regulators government Industry involvement Champions now leading new Ensuring improvements are Continue to strengthen alliance. County-level groups shared with all producers HTSA to lead the industry. developing or strengthening Encourage replication in other areas in China Environmental impact More efficient production Scaling up best practices to Conduct full carrying at some farms is reducing all farms will be challenging capacity assessments for waste when margins remain each zone minimal Health management Clear understanding in the Translating this developing Support further studies. local industry and scientific industry knowledge into Initiate closer dialogue with advisory for coordinated action and regulation local government action Feed ingredients Good engagement of local Understanding feed Work with local industry feed industry ingredient sources towards sustainable ingredient sourcing Data disclosure Local associations publishing Widening reporting, Support public data platform some production data on particularly around water development the web quality Code of Good Practice Agreement across industry to Confidence required for Deliver code in coming development develop industry to self-define best months practice Scientific advisory Pearl River Institute and Expanding inclusion to other Support further research as Hainan University actively scientists identified by HTSA engaged Stakeholder roundtable/ Provincial level meetings held Broadening active HTSA to lead wider forum participation engagement Conclusion local government, researchers and other stakeholders, whilst strengthening supply chain engagement to The industry has embraced the idea of collaboration, support improved production efficiencies. It is still helping them to move towards a stronger, self- relatively early days in this demonstration of AIPs, but determined future that is sustainable environmentally, there is already strong interest from the industry in socially and economically. Whilst this cooperation was other provinces in China. Challenges remain in build- promoted on the basis of presenting Hainan tilapia ing effective zonal management into the regulatory as a quality product, it has the added value of driving structure both in Hainan and nationally, but the Code improvements in production practices to minimise of Good Practice being developed by the industry risks and impacts across the industry. There are some is providing sound foundations for a constructive strong champions who are keen to drive the HTSA dialogue on the sustainable future of this valuable forward and develop closer partnerships with the industry. 206 | Zonal Aquaculture Management in China and Indonesia East Java Shrimp AIP industry representation across the country and a work- ing relationship between the industry and regulators Figure 3. Location of Muncar, within at both local and national levels. Banyuwangi district, East Java, Indonesia. SFP’s engagement with the industry in Banyuwangi started with a request from a shrimp buyer to review the potential for farms in the area to meet international certification standards. This was followed with some engagement to help the farms to improve, alongside the efforts of other local and international NGOs. In the last two years SFP have scaled up their engagement and recruited a dedicated member of staff to support the industry and regulators to develop zonal manage- ment at both the local and national levels. Developing zonal management National Engagement (Zonal Management Pillar 1) The shrimp AIP in Indonesia has had the most effective engagement of the national industry and regulators of all projects to date. This is in part due to the historical linkages across the industry of the project manager, but is also testament to the interest and engagement of the government officers and industry leaders Background concerned. Key officers in the Ministry of Marine As with many other places in Asia the shrimp industry Affairs and Fisheries (MMAF) are involved in regional in Indonesia has seen a dramatic shift in production and national FAO projects that are highlighting the over the last 20 years from extensive, traditional need for zonal management: the FAO-RAP office in systems to more intensive, high investment systems and Bangkok is developing an aquaculture planning and from a native to an exotic species. These changes have management toolkit; Indonesia has been identified by enabled the industry to scale-up and initially remove FAO as a pilot country for the Blue Growth initiative, so some of the disease risks associated with the farming there is further incentive to actively engage across the of the native black tiger shrimp, but across Asia new fisheries and aquaculture sectors. diseases have caused major impacts—most notably MMAF staff have been particularly keen to maintain and recently early mortality syndrome (EMS)—although Indonesia’s EMS-free status and have worked closely Indonesia apparently remains free of this problem. with SCI touring all shrimp production regions of this One of the areas in which Indonesian shrimp farming expansive country to alert farmers to the risks of EMS first started developing on a larger, more commercial and encouraging them to report any concerns. These scale was in East Java. In the late 1980s Banyuwangi actions demonstrate real commitment from senior and was one of the first areas to develop and still has a field officers to the sustainability of the industry, but wide mix of small and larger-scale farmers, some still are still required to be backed with contingency plans operating the same farms since that time. Many farms developed in partnership with all stakeholders should have closed and there are clear signs of dereliction a new major disease issue arise. and legacy issues of production taking place in former In an effort to improve traceability MMAF is also mangrove areas, but there are signs of revitalisation launching a program called “Aquacard” that should and a growing commitment to ensure that lessons are enable buyers to trace shrimp back to their production learnt and acted upon. Although not perfect, there is Zonal Aquaculture Management in China and Indonesia | 207 at the farm level. This idea is not without its challenges Small-Scale Producer Involvement in the complex supply chains where production from (Zonal Management Pillar 2) numerous small producers is often consolidated. To The local branch of the national Shrimp Club of help this initiative to succeed there will need to be Indonesia (SCI) identified the cluster of smaller-scale dialogue between all stakeholders. producers in Muncar as a good potential model for developing and demonstrating the zonal management ‘Informal Meetings’ (Zonal Management Pillar 1) model. The farms in Muncar are generally of older con- A true innovation of this AIP that needs to be widely struction, and at the time of starting the aquaculture promoted is the development of ‘informal meetings’ improvement project some of them were no longer between MMAF, SCI and the national processor orga- used to produce shrimp, but produced crabs or finfish nisation AP5I. These meetings were initiated to instead. Amongst the producers that remain there is a encourage industry support for the ban on the import strong, informal association under the guidance of one of shrimp from EMS-affected countries. The ban was shrimp trader who lives and still farms in the area. brought in as Decree 32/2013 and is a logical response This local group was encouraged to improve their for Indonesia to retain its EMS-free status, but is only access to the support that was available from the local effective in emergency situations. Given the high value government, as well as making more productive use of of shrimp in the market place of 2013, there was com- their combined power. The first step they chose was mercial pressure from the processors to bring in shrimp to formalise the group structure to demonstrate their for reprocessing, but understandable nervousness from commitment to work collectively and contribute time producers about the risks of importing EMS with such and money to future joint tasks. It was also hoped shipments. The innovation was for the responsible that this formalisation would reinvigorate the sense of MMAF staff to call an informal meeting in which all par- belonging amongst local producers as many ponds have ties could voice their concerns and reasoning freely. This changed owners and operators. As a result of govern- allowed for dialogue and engagement that would not ment support, shared canals have been improved, and have been possible if the meetings were formal round- through their own contributions the group has built a tables. In essence the process mirrors the stakeholder meeting hall and water quality testing laboratory that roundtables at the core of the AIP model, but the fact is slowly being fitted out with equipment. The group that they were initiated as informal meetings removed has received training on improved farm and zonal some of the barriers to dialogue. Government staff in management practices, taking into account the risks the meetings, even at the most senior levels, were asked they pose to each other and how to start overcoming by their colleagues to spend the time listening only, some of these issues. The national government has also allowing the industry to dialogue and develop actions supported the group to replant mangroves as part of towards solutions. Only if no suitable resolution could restoration efforts and as a waste treatment approach. be agreed would the government intervene. The first meetings brought about agreement that shrimp would Muncar provides a small working focus of the wider not be imported from other countries and some contain- aims of the zonal aquaculture improvement project ers were turned away from ports as a result. Indonesia (AIP). Whilst there is still a long way to go to improve remains EMS-free. the zonal management in Muncar, it has enabled both the local and national governments to understand in The meetings continue. Other occasional stakeholders practice what could be started at the zonal level. join, but this will be regularised to include scientific advisory, NGO (social and environmental) and other ‘SCI Cares’ (Contributing to Pillar 2) industry stakeholders in due course. The challenge will be to retain the informal nature of the meetings The local SCI branch is generally made up of larger- as they become a more regular feature in the industry scale, but still family-run shrimp producers. These and government calendar, but this regularity will be farmers have been growing shrimp for many years offset by the familiarity of those attending with both now and believe that their farms are generally well the process and each other. run, although there are clear improvements that they 208 | Zonal Aquaculture Management in China and Indonesia would need to make to meet international certification level, but it could form the basis of a Code of Good requirements. Following many hours of workshops, Practice that also included zonal management elements informal dialogue and attendance at their branch for the entire industry. Within the AIP the industry meetings, these industry leaders came to understand is not currently developing a specific Code of Good that effective zonal management in Banyuwangi Practice, but is working with the government to explore province needed their active engagement too if including zonal management elements in future the shared risks and impacts were to be effectively revisions of the national shrimp farming standards. overcome. Recognising that helping their smaller-scale neighbours to become better farmers was something Challenges (Overall Approach, Supporting Pillar 2) they needed to become engaged in on a regular Long-term relationships with international buyers are basis minimised risks to their own farms too. But less common in the Indonesian shrimp sector than in these busy farmers do not necessarily have the skills other countries. A lot of sourcing has typically taken or the time to deliver these improvements on their place on the spot market, although this is starting to own, so the local SCI branch contacted the regional change as buyers need to source from additional mar- extension agency to understand how they could most kets and as the management of production at both the effectively work together to support all farmers in the national (regulatory) and farm level is improving. The zone to minimise risks. This inspiring piece of initiative SFP model of using supply chain leverage to encourage has strengthened collaboration between the local improvement has been challenged in this AIP, but the government and the shrimp producers not only to engagement of the government and local industry support development—which is something familiar to has generally been strong because of the alternative most local government aquaculture departments—but motivators like the FAO projects mentioned above, the to work in partnership to identify and minimise the long-term relationship the AIP manager has with the risks and impacts of shrimp farming. The initiative has industry and the history of effective results SFP has been badged ‘SCI Cares’ and will hopefully be rolled with fisheries in Indonesia. There is a lot of potential to out nationwide shortly as additional industry support grow production again in Indonesia and certainly a lot becomes available. of apparent appetite from key stakeholders to do that following the zonal management principles. This is an Local Promotion and Data Presentation important crossroads for Indonesian shrimp and serves (Overriding Pillar of Data Disclosure, as an interesting model for other industries in Asia Supporting Pillar 2) where the champion exists readily in the government A simple tool that is helping develop engagement and system, able to steer the industry into the calmer pride in the work taking place locally in Banyuwangi, waters of maturity regardless of market pressure. This and also directly supporting one of the aims of the AIP, is particularly critical as greater demand for product is the development of a website for the local SCI group comes from Asian markets that do not yet have the and the wider shrimp production from Banyuwangi, same sustainability demands as Western markets. But www.sci-banyuwangi.org. The website is primarily in it also highlights an essential role for FAO and other the local language, Bahasa, and used as a vehicle to international organisations to play in building capacity inform farmers and the wider world on the improve- in government systems to effectively control aquacul- ment actions in the AIP as well as a shrimp newsfeed ture development for long-term sustainability rather more generally. This provides control locally over the than short-term, boom and bust, production gains. information that is shared about the industry and provides an opportunity to promote shrimp production Carrying Capacity (Pillar 3) from Banyuwangi more widely. Industry and project engagement with the local government planning department (BAPPEDA) has been Code of Good Practice (Pillar 2) positive since the start. Roundtables bringing industry, Indonesia has its own shrimp farming standard. The regulators and scientists together have identified standard is focused around good practice at the farm opportunities for improvement and specific actions Zonal Aquaculture Management in China and Indonesia | 209 for key parties to take. One such proactive move In Indonesia a major shrimp buyer from the USA has has come from BAPPEDA Banyuwangi to support a collaborated with the Global Aquaculture Alliance to carrying capacity assessment to establish a mechanism develop AIPs around the Best Aquaculture Practices to understand the environmental limits for total shrimp new group certification model. This model requires an production. internal control system that would need to include ele- ments relevant to zonal management. SFP is collabo- At present the development of shrimp farming is rating in the process and sharing our experience from still decided on the basis of suitability of land and supporting the progress made in Banyuwangi and access to key infrastructure. This classical approach wider Indonesia already. It is hoped that other buyers to zoning only provides a guide to the areas where will be able to follow this model as it is bolted onto a production might be most suitable. It does not provide certification process that they readily understand and any guidance on how much production the area can have already often committed to supporting. sustain, most typically in terms of the nutrient loads that could be processed effectively by the environ- Having additional zonal AIPs established locally in dif- ment. In relatively dispersed and open systems like ferent parts of Indonesia contributes to strengthening coastal plains leading into the ocean, these sorts of the industry to come together to take responsibility for calculations can be challenging and expensive. The its future and work effectively with other stakeholders. BAPPEDA-supported study aims to provide information With this approach in mind, and being conscious locally on ecological carrying capacity whilst also of the need to engage farmers in improvements at developing a usable, valid, low-cost approach that the farm level, SFP has obtained support from the could be replicated elsewhere. SFP was able to obtain charitable arm of a major global retailer to support the donor support to bring some international expertise training of small-scale farmers in improved production in to support the University of Brawijaya is who the practices and the initiation of local zonal management local technical lead on this carrying capacity project. groups. The approach is based on understanding water quality at key points where water enters and leaves the zone, Conclusion along with calculating the nutrients added by aqua- culture and other water users within the zone. The The demonstration zonal aquaculture improvement outcome is an indication of total nutrient loads that project site in Banyuwangi serves as a good model of can be used to guide total amounts of production and how knowledgeable neighbours who could potentially how the industry to manage wastewater discharges be impacted by other producers in the zone can come through local dialogue. together to support education and access to resources to minimise risks and maximise potential for all. The industry Replication (Overall Aim, Covering All Pillars) has strengthened linkages with the local government, Since the start of 2014 SFP is also supporting local who in turn have understood the value of science in industries to develop two other shrimp AIPs, one in underpinning planning approaches. The carrying capacity Vietnam and one in Thailand, with a mix of donor and assessments commissioned by BAPPEDA Banyuwangi supply chain support. The overall aims and approaches should provide a workable tool for replication across for these projects are the same as seen in Indonesia Indonesia, indeed across Asian shrimp culture. shrimp and Hainan tilapia. The projects focus on the National ministry staff have demonstrated dedication five pillars of zonal management, but will respond to and maturity in dealing with potentially difficult situa- opportunities on the ground to engage the industry tions to enable not only positive short-term outcomes, locally in the process of improvement. These projects but the establishment of a multi-stakeholder roundtable are in early stages, but in Vietnam in particular are process that is at the core of effective zonal manage- showing signs of great progress, including already the ment. From these foundations it should be possible to development of carrying capacity assessments and build improved production practices and supportive supply chain visits. In Thailand the local industry is still regulation that is focused on sustainable, scientifically determining the scale of initial pilots. 210 | Zonal Aquaculture Management in China and Indonesia Summary for East Java Shrimp Aquaculture Improvement Project. Zonal Criteria/Action Successes Challenges Future Actions Regulatory engagement National ministry and local Ensure the success with Initiate dialogue with government planning current post holders is provincial government department actively carried over to other staff elsewhere in Indonesia supporting zonal management Industry involvement Strong local and national Stronger local buy-in from Replicate actions with SCI associations already involved producers needed to branches in other provinces encourage/support farmers and districts Environmental impact Carrying capacity Developing effective Finalise approach and share/ assessments initiated regulation replicate Health management Biosecurity regulations Emergency disease response Encourage meetings to acted upon through project action planning required develop emergency plans activities Feed ingredients Other projects in place to Encouraging action on Inform producers of future address some feed issues something one step away demands for greater from production without transparency on feed supply chain requests ingredient sources Data disclosure SCI Banyuwangi website Stronger publication of Work with industry and developed national production data regulators to publish production, environment and health management data Code of Good Practice Some dialogue with ministry Agreeing criteria on the basis Work with ministry and about revisions to farm of good practice rather than industry to improve standard achievability standards and include zonal management Scientific advisory Engagement of University of Geography of Indonesia may Build capacity in Brawijaya in carrying capacity mean multiple specialists epidemiology assessment for assessment across the country aquaculture Stakeholder roundtable/ Informal meetings already Formalising without losing Not to interfere too much in forum successful effectiveness successful progress validated growth that does not exceed the environ- colleagues in the development of the zonal aquacul- mental carrying capacity or put the industry itself at risk ture approach. We also wish to show appreciation for of major disease outbreaks. The industry still requires the significant engagement of the international supply effective licencing of producers at all scales. chain that partners with SFP and the local producers, processors, regulators and scientists that have helped In Indonesia the informal influence that the activities deliver and refine elements of the zonal aquaculture of international organisations can have on the success approach. This work would not be possible with of industries is clear. The involvement of engaged commitment from key donors. This is still a work in ministry staff in FAO projects has helped move zonal progress, but we believe these joint efforts represent management a step closer. the strongest delivery of such an approach outside Europe and/or the salmon industry. Acknowledgments The authors wish to acknowledge the guidance and input of other Sustainable Fisheries Partnership (SFP) Zonal Aquaculture Management in China and Indonesia | 211 ANNEX 1. Case study effectiveness matrix—Hainan tilapia AIP Rating (0 not achieved Not Done/ to 5 fully Approximate Investment Phase/Step Well Done/Achieved Not Achieved Associated Activities and Tools achieved) Needed for Each Step (US$) Phase 1 Step 1 Scoping (Scoping involves compiling essential background information required to start an aquaculture project) 1.1  Definition of the Three counties of producers Gov’t/industry AIP public report at www •   4 2,000—as part of preliminary broad ecosystem identified within wider Hainan, need to review .hntsa.org/show_219.html scoping costs, but could be boundary (spatial, some watershed zones defined. boundaries/zones tens of thousands of dollars social and political and develop to do correctly for a whole scales) appropriate data country. collection and management 212 | Zonal Aquaculture Management in China and Indonesia systems. 1.2  Identify overriding Local policy context understood, Need stronger AIP public report at www •   4 3,000—as part of preliminary policy, legislation regulators and scientists engaged. engagement .hntsa.org/show_219.html scoping costs, but needs much (such as land and of regulators in more investment to enforce or sea rights) and the AIP to move develop new zonal policies. regulations (such as forward on ecosystem quality more effective standards, water regulation. quality standards) Setting the broad 1.3  Local staff with good understanding Communication, consultation, •   4 2,000 per annum to cover development of local industry and ability to build participation; meeting costs. objectives and relationships. Supply chain support A ssessment of available •   identifying the main to link to key industry stakeholders. resources, needs and values; issues Roundtable processes developed Roundtable discussions. •   early on to dialogue on main issues. Rating (0 not achieved Not Done/ to 5 fully Approximate Investment Phase/Step Well Done/Achieved Not Achieved Associated Activities and Tools achieved) Needed for Each Step (US$) Phase 1 Step 2 Zoning (Zoning or allocation of space is a mechanism for more integrated planning of aquaculture development, as well as its better regulation. It may be used either in planning to identify potential areas for aquaculture or a regulatory measure to control the development of aquaculture) Zone boundary 1.4  Working with existing industry in Zones still need Mapping and analysis using •   4 Carrying capacity and definition based on zones based on production rather to be effectively GIS and remote sensing data epidemiology assessments relevant criteria than management criteria. defined in almost (e.g., water supply, water would cost 10,000 or more. every country. quality, climate, hydrological characteristics, soil characteristics, topography, sensitive habitats, protected areas, population settlements, etc.); Carrying capacity; •   Epidemiology; •   Gross estimation of 1.5  Existing production areas were Need formal Ideally would use carrying •   5 potential production/ assessed, but no review of potential assessments. capacity and epidemiology area production to date. assessments; Formal allocation 1.6  Zones already identified by the local Aquaculture Zone Not set by the AIP. Working •   5 of the zone for government, although significant Managers should with predefined zones. aquaculture purposes criteria review required. be developed, mirroring fisheries management. Phase 2 Site Selection (Site selection is based on the suitability for development of a given activity, taking into account the physical factors of the environment and the farming system) Location of the farm 2.1  Governed locally through land Need to move Not set by the AIP. Working •   5 sites allocation, but currently does not away from liberal with predefined zones. take into account environmental and development on disease risks. perceived social need to licenced development based on sound science. Zonal Aquaculture Management in China and Indonesia | 213 Rating (0 not achieved Not Done/ to 5 fully Approximate Investment Phase/Step Well Done/Achieved Not Achieved Associated Activities and Tools achieved) Needed for Each Step (US$) Phase 2 Site Selection (Site selection is based on the suitability for development of a given activity, taking into account the physical factors of the environment and the farming system) 2.2  Carrying capacity Environmental quality assessment No formal Environmental quality •   3 10,000 as part of estimation reviewed overall nutrient loads to carrying capacity assessment of farm water and environmental quality shared water bodies. assessment yet shared water bodies. assessment study. carried out. Local expert capacity needs to be developed. Set license 2.3  Not yet To be part of industry- •   1 214 | Zonal Aquaculture Management in China and Indonesia production limits established in developed code of good within zone or Hainan. practice. water body carrying capacity 2.4  Allocation of licenses Licences currently To be developed over time •   1 and permits granted are not through industry dialogue with based on carry government as part of the AIP capacity. process. Phase 3 Area Management (Aquaculture Management Areas (AMAs), can be aquaculture parks, aquaculture clusters or any aquaculture area where farms are sharing a common relevant water body or source and that may benefit from a common management system including minimizing environmental, social and fish health risks) 3.1  Identify management Typically for the pond systems for Industry still Participatory consultations; •   3 Part of regular meeting area boundaries tilapia the AMA is linked to an defining  aps. •  M agenda and other research. irrigation canal. geographical boundaries. Current focus is county-level associations. 3.2  Estimate total Total carrying capacity not defined, 4 10,000—part of carrying capacity if but tilapia ponds have limited environmental research and appropriate based on water exchange and discharge into evidence for planning and the different risks agriculture irrigation canals where management. some additional nutrients are beneficial. Rating (0 not achieved Not Done/ to 5 fully Approximate Investment Phase/Step Well Done/Achieved Not Achieved Associated Activities and Tools achieved) Needed for Each Step (US$) Phase 3 Area Management (Aquaculture Management Areas (AMA), can be aquaculture parks, aquaculture clusters or any aquaculture area where farms are sharing a common relevant water body or source and that may benefit from a common management system including minimizing environmental, social and fish health risks) Organize a formal 3.3  Farmers are well organized and Facilitated participatory tools. •   5 10,000—staff time, plus association of all there is an area management regular meeting costs are farmers in that area structure with identified leaders and met 50/50 by project and supportive technical groups/services. participants. Set the broad 3.4  A Code of Good Practice is being Code of Good Practice. •   3 5,000 for engagement development developed by the industry at of technical experts and objectives and the provincial level and will be researchers. identify the main implemented locally in each zone. issues. Agree on common management,3 monitoring and control measures Monitor relevant 3.5  Monitoring will be done by support Aquaculture Zone Monitoring systems developed •   2 10,000—monitoring could variables and enforce services as part of regulatory Managers should by stakeholders; be farms to save money, or management monitoring as well as on- and be developed, Enforcement discussed and •   government or third party. measures off-farm commercial monitoring to mirroring fisheries endorsed by local communities. reassure international customers. management. Phase 4 Monitoring of the Management Plan and Review. Monitoring and review of performance is a critical step in the adaptive management planning process. It is essential both to ensure adequate performance is being generated against current objectives and to warrant that aquaculture is maintaining relevance with community expectations. Monitoring the implementation of the management plan should include environmental, social and governance indicators. Regular monitoring 4.1  Compliance with the Code of Good Will be reported in AIP public •   3 4,000—annual cost per zone and evaluation Practice will be a requirement of report at www.hntsa.org/ of updating public reports and membership of Hainan Tilapia show_219.html arranging international supply Sustainability Alliance. Compliance chain meetings. will be verified by third party. 3 An agreed management plan for the aquaculture management area covering the most relevant issues in environmental socioeconomic aspects and governance/external forcing factors. Zonal Aquaculture Management in China and Indonesia | 215 Rating (0 not achieved Not Done/ to 5 fully Approximate Investment Phase/Step Well Done/Achieved Not Achieved Associated Activities and Tools achieved) Needed for Each Step (US$) Phase 4 Monitoring of the Management Plan and Review. Monitoring and review of performance is a critical step in the adaptive management planning process. It is essential both to ensure adequate performance is being generated against current objectives and to warrant that aquaculture is maintaining relevance with community expectations. Monitoring the implementation of the management plan should include environmental, social and governance indicators. 4.2  Periodic review and Code of Good Practice will be Will be reported in AIP public •   3 adjustment reviewed regularly by Hainan Tilapia report at www.hntsa.org/ Sustainability Alliance. show_219.html Extent of use of Approximate number of designated aquaculture Approximate production from each zoning and area zones or AMAs aquaculture zone or AMA management development 216 | Zonal Aquaculture Management in China and Indonesia (quantifiable) Experimental Three counties identified, with several zones in each The Aquaculture Improvement Project covers development of zonal expected, but not specifically defined yet. Each county around 100,000 tonnes. management in three has an active producer association. counties of Hainan province Other notes Positive issues Negative issues (especially social Need to identify champions locally to take the process Engaging regulators can be challenging as they issues) forward, and if no local associations exist they need to often believe that the industry should just follow be created. the rules, not necessarily be engaged in making them. ANNEX 1. Case study effectiveness matrix—East Java shrimp AIP Rating (0 not achieved Not Done/ to 5 fully Approximate Investment Phase/Step Well Done/Achieved Not Achieved Associated Activities and Tools achieved) Needed for Each Step (US$) Phase 1 Step 1 Scoping (Scoping involves compiling essential background information required to start an aquaculture project) 1.1  Definition of the Demonstration zone in Muncar Gov’t/industry AIP public report at http:// •   4 2,000—as part of preliminary broad ecosystem identified. need to review sustainablefish.org/ scoping costs, but could be boundary (spatial, boundaries/zones aquaculture-improvement/ tens of thousands of dollars social and political and develop east-java-shrimp-aip to do correctly for a whole scales) appropriate data country. collection and management systems. Identify overriding 1.2  Local policy context understood, Need stronger AIP public report at http:// •   4 3,000—as part of preliminary policy, legislation regulators and scientists engaged. engagement sustainablefish.org/ scoping costs, but needs much (such as land and of regulators in aquaculture-improvement/ more investment to enforce or sea rights) and the AIP to move east-java-shrimp-aip develop new zonal policies. regulations (such as forward on ecosystem quality more effective standards, water regulation. quality standards) Setting the broad 1.3  Local staff with good understanding Communication, consultation, •   4 2,000 per annum to cover development of local industry and ability to build participation; meeting costs. objectives and relationships. Supply chain support A ssessment of available •   identifying the main to link to key industry stakeholders. resources, needs and values; issues Roundtable processes developed Roundtable discussions. •   early on to dialogue on main issues. Zonal Aquaculture Management in China and Indonesia | 217 Rating (0 not achieved Not Done/ to 5 fully Approximate Investment Phase/Step Well Done/Achieved Not Achieved Associated Activities and Tools achieved) Needed for Each Step (US$) Phase 1 Step 2 Zoning (Zoning or allocation of space is a mechanism for more integrated planning of aquaculture development, as well as its better regulation. It may be used either in planning to identify potential areas for aquaculture or a regulatory measure to control the development of aquaculture) Zone boundary 1.4  Working with existing industry in Aquaculture Mapping and analysis using •   4 Carrying capacity and definition based on zones based on production rather Management GIS and remote sensing data epidemiology assessments relevant criteria than management criteria. Zones still need (e.g., water supply, water would cost 10,000 or more. to be effectively quality, climate, hydrological defined in almost characteristics, soil characteristics, every country. topography, sensitive habitats, protected areas, population settlements, etc.); 218 | Zonal Aquaculture Management in China and Indonesia Carrying capacity; •   Epidemiology. •   Gross estimation of 1.5  Existing production areas were Need formal Ideally would use carrying •   5 potential production/ assessed, but no review of potential assessments. capacity and epidemiology area production to date. assessments. 1.6  Formal allocation Zones already identified by the local Aquaculture Zone Not set by the AIP. Working •   5 of the zone for government, although significant Managers should with predefined zones. aquaculture purposes criteria review required. be developed, mirroring fisheries management. Phase 2 Site Selection (Site selection is based on the suitability for development of a given activity, taking into account the physical factors of the environment and the farming system) Location of the farm 2.1  Governed locally through land Need to move Not set by the AIP. Working •   5 sites allocation, but currently does not away from liberal with predefined zones. take into account environmental and development on disease risks. perceived social need to licenced development based on sound science. Rating (0 not achieved Not Done/ to 5 fully Approximate Investment Phase/Step Well Done/Achieved Not Achieved Associated Activities and Tools achieved) Needed for Each Step (US$) Phase 2 Site Selection (Site selection is based on the suitability for development of a given activity, taking into account the physical factors of the environment and the farming system) Carrying capacity 2.2  University of Brawijaya carrying out Water quality on farms and in •   4 10,000 as part of estimation carrying capacity estimation. shared waters, current flows. environmental quality assessment study. 2.3  Set license Banyuwangi BAPPEDA (planning) Carrying capacity assessment. Awaiting scientific •   3 production limits office reviewing licensing procedure evidence. within zone or to take into account carrying water body carrying capacity. capacity 2.4  Allocation of licenses Process under development by local Licences currently •   Dialogue between local 2 and permits planning office. granted are not industry, science and regulatory based on carry stakeholders. capacity. Phase 3 Area Management (Aquaculture Management Areas (AMAs), can be aquaculture parks, aquaculture clusters or any aquaculture area where farms are sharing a common relevant water body or source and that may benefit from a common management system including minimizing environmental, social and fish health risks) Identify management 3.1  Aquaculture Management Zones Participatory consultations; •   5 Part of regular meeting area boundaries of producers clearly identified in Maps. •   agenda and other research. Banyuwangi. Estimate total 3.2  Total environmental carrying Disease risks need Maps, current charts, water •   4 10,000—part of carrying capacity if capacity study underway. to be considered. quality. environmental research and appropriate based on evidence for planning and the different risks management. Organize a formal 3.3  Farmers are well organized and Facilitated participatory tools. •   5 10,000—staff time, plus association of all there is an area management regular meeting costs are farmers in that area structure with identified leaders and met 50/50 by project and supportive technical groups/services participants. through local shrimp club. Zonal Aquaculture Management in China and Indonesia | 219 Rating (0 not achieved Not Done/ to 5 fully Approximate Investment Phase/Step Well Done/Achieved Not Achieved Associated Activities and Tools achieved) Needed for Each Step (US$) Phase 3 Area Management (Aquaculture Management Areas (AMAs), can be aquaculture parks, aquaculture clusters or any aquaculture area where farms are sharing a common relevant water body or source and that may benefit from a common management system including minimizing environmental, social and fish health risks) Set the broad 3.4  Improving farm management Still all relatively Regular meetings of the farmer •   3 5,000 for engagement development processes, replanting mangroves in early stages, group; of technical experts and objectives and shared waste water canals, moving particularly Support of technical experts. •   researchers. identify the main towards local certification, sharing emergency issues. Agree disease outbreak information, disease response on common sampling shared water bodies, planning. management,4 emergency disease response. monitoring and 220 | Zonal Aquaculture Management in China and Indonesia control measures Monitor relevant 3.5  Monitoring will be done by support Aquaculture Zone Monitoring systems developed •   2 10,000—monitoring could variables and enforce services as part of regulatory Managers should by stakeholders; be farms to save money, or management monitoring as well as on- and be developed, Enforcement discussed and •   government or third party. measures off-farm commercial monitoring to mirroring fisheries endorsed by local communities. reassure international customers. management. Phase 4 Monitoring of the Management Plan and Review. Monitoring and review of performance is a critical step in the adaptive management planning process. It is essential both to ensure adequate performance is being generated against current objectives and to warrant that aquaculture is maintaining relevance with community expectations. Monitoring the implementation of the management plan should include environmental, social and governance indicators. Regular monitoring 4.1  Zones of producers in an AIP public report at http:// •   3 4,000—annual cost per zone and evaluation aquaculture improvement project sustainablefish.org/ of updating public reports and required to report regularly on aquaculture-improvement/ arranging international supply progress. east-java-shrimp-aip chain meetings. 4.2  Periodic review and National level multi-stakeholders AIP public report at http:// •   3 adjustment groups being established to review sustainablefish.org/ progress. aquaculture-improvement/ east-java-shrimp-aip 4 An agreed management plan for the aquaculture management area covering the most relevant issues in environmental socioeconomic aspects and governance/external forcing factors. Rating (0 not achieved Not Done/ to 5 fully Approximate Investment Phase/Step Well Done/Achieved Not Achieved Associated Activities and Tools achieved) Needed for Each Step (US$) Extent of use of Approximate number of designated Approximate production from each aquaculture zoning and area aquaculture zones or AMAs zone or AMA management development (quantifiable) Demonstration zones in One main demonstration zone in Muncar The Aquaculture Improvement Project covers around Banyuwangi province developed, but engagement of producers 3,000 tonnes. of East Java as model to from neighbouring zones to learn and support rest of country improvements. Other notes Positive issues Negative issues (especially social Need to identify champions locally to take the Engaging regulators can be challenging as they often issues) process forward, and if no local associations believe that the industry should just follow the rules, not exist they need to be created. necessarily be engaged in making them. Zonal Aquaculture Management in China and Indonesia | 221 Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia Roberto Mayerle,* Ketut Sugama** Karl-Heinz Runte,* Nyoman Radiarta** and Stella Maris Vallejo*1 Abstract ample. In addition to good environmental characteris- tics and conflicts with other activities, the selection of This paper presents results of application of processes new sites should emphasize an access to markets and and steps for improving spatial planning of marine infrastructure. Siting and carrying capacities should finfish aquaculture facilities in Indonesia. Emphasis be linked to licensing procedures at feasibility stages is given to species cultured in floating net cages for of developments. It is necessary to adapt the existing export. The investigations were done at several sites regulations for licensing and impact assessments to in Indonesia. The effectiveness of the spatial planning the technological advancements in the field. Basic tools adopted here is demonstrated for a grow-out biosecurity rules such as stricter control of seeds and facility in the northwest of Bali. Methods for site cost-effective early warning systems for monitoring selection and estimation of carrying capacities based water quality parameters should be employed to ensure primarily on results of simulation models proved to be fish survival. Lack of qualified personnel remains a quite effective for sites with scarce data. Results of the major constraint for enforcing technical and managerial assessment of the facility in Bali led to the identification procedures. Hence for the success of the industry, of farms located outside suitable areas and exceeding capacity building for strengthening individuals and ecological carrying capacity of fish farm production. institutions should be at the top of the agenda. Yet it was found that with proper siting and controlled increases in fish farm production, the overall aquacul- ture production in the bay could be increased without 1. Background and objectives harming the environment. As the bulk of marine finfish The tremendous development of aquaculture world- aquaculture uses traditional technologies, the potential wide over the years has led to projections that in the for expansion of the activity in the existing sites is next few decades aquaculture is bound to overtake open fisheries as the major source of fish protein. 1 The views expressed in this information product are those of the author(s) and do not necessarily reflect the views or policies of FAO This is particularly true in Indonesia as the archipelago or the World Bank Group. of the country offers excellent natural conditions for *Research and Technology Centre Westcoast, University of Kiel, Germany. **Centre for Aquaculture Research and Development, Ministry of Marine Affairs and Fisheries, Indonesia. Mayerle, R., Sugama, K., Runte, K-H., Radiarta, N. & Maris Vallejo, S. 2017. Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia. In J. Aguilar-Manjarrez, D. Soto & R. Brummett. Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture. Full docu- ment, pp. 222–252. Report ACS113536. Rome, FAO, and World Bank Group, Washington, DC. 395 pp. Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia | 222 aquaculture activity. With over 14 million tonnes, planning applied within and integrated, ecosystem-based Indonesia is currently the second largest aquaculture approach to sustainable marine finfish aquaculture are producer in the world after China. Approximately introduced. The effectiveness of the methods adopted 90 percent of country fish production is consumed and technological advancements in this field are demon- domestically. To meet food security and job creation strated for an aquaculture facility in the northwest of Bali. targets, the Government of Indonesia (GOI) plans Emphasis is given to the assessment of the existing fish increasing overall national aquaculture production by farming operations with respect to farm location, ECC an additional 2.5 million tonnes and 750,000 jobs in and biosecurity. A management plan with proper siting the next years. This will require significant expansion of farms, limits of fish farm production and an enhanced of the cultivated area. However, the adopted spatial biosecurity framework is proposed for the site in Bali. planning and siting of aquaculture facilities currently in Existing regulations are reviewed and recommendations place is inappropriate. Hence the adoption of environ- are made for boosting the industry in Indonesia. mentally sustainable practices and managerial schemes in accordance with the guidelines of the ecosystem 2. Aquaculture in Indonesia approach to aquaculture (EAA) is essential for enhanc- ing sustainable development and expansion of the 2.1 The Aquaculture Framework industry (FAO, 2010b); and it is also a pre-requisite As the world’s largest archipelagic nation with more to assure compliance with the existing regulatory than 17,000 small islands and a coastline of about framework (Soto et al. 2008). This paper focuses on 95,000 km, Indonesia has an enormous potential for procedures and steps for improving spatial planning of aquaculture development. The aquaculture industry marine finfish aquaculture facilities in a feasibility stage plays a central role in Indonesia as it enhances economic of developments. Emphasis is given to techniques growth. Aquaculture is also an important contributor particularly suited for sites with scarce data typical of to the four national pillars of development recognized the sites in South-East Asia. by the Indonesian government, as economic growth, the creation of job opportunities, reduction of poverty The most essential initial steps of an EAA are proper and environmental recovery and mitigation (KKP, 2010). selection of sites for fish farms and estimation of carrying The strength of Indonesia aquaculture is the availability capacities (Ross et al., 2013). Site selection of marine of space, high biodiversity, favourable geography, finfish farms is relatively straightforward but requires a climate and human resources (FAO, 2010a). Against its sizable number of field data with good spatial coverage extraordinary geographical settings and long history to assess their function. Estimation of ecological carrying of the sector, Indonesia’s aquaculture revolves around capacity (ECC) still presents some constraints mainly due another scenario involving complex policy and economic to the absence of in-situ data, complexity of the pro- pressures, at both the national and international levels. cesses involved and uncertainties concerning the adopted Nationally, the main strengths are the rapid expansion sustainability criteria. To deliver proper spatial planning of of aquaculture vis/a/vis the slower growth of captures marine finfish aquaculture operations, methods for site fisheries. This is coupled with a recent decentralized selection and estimation of ECC tailored to conditions administrative process that has given the local adminis- in South-East Asia have been developed and applied trative levels new and wider responsibilities (Nurhidayah, (Mayerle et al., 2006, Windupranata 2007, Wulp et al., 2010). Internationally, the economic pressures are 2010 and Niederndorfer, 2017). Investigations were done for gaining stronger markets, particularly in the USA at sites in Bali, Batam and Pulau Seribu in the framework and Europe, both of them demanding more stringent of a project commissioned jointly by the Indonesian regulations for input from Indonesia. Ministry of Marine Affairs and Fisheries (MMAF) and the German Ministry of Education and Research (BMBF). 2.2 Governmental Structure and Organization for Aquaculture in Indonesia In this paper, experiences from the assessments of several marine finfish aquaculture facilities in Indonesia The institutional and legislative framework for are summarized. Processes and steps of the spatial aquaculture in Indonesia is huge and complex albeit Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia | 223 somewhat uncoordinated, particularly at the local EIA of aquaculture activity applies only to large-scale level. A number of ministerial authorities deal with intensive farming in seawater extending over 5 ha aquaculture activities within all administrative levels, or having more than 1,000 cages. Besides, only new from central to provincial to local government. MMAF fish farms require an EIA whereas old or those farms is the principal agency responsible for planning, expanding in size are exempt from it (Sugama, 2007 management and administration of marine and and Phillips et al., 2009). Full EIA is not applicable fisheries sectors in Indonesia. The Directorate General as nowadays most farms cover small areas and have of Aquaculture (DGA) is the government policy- less than 1000 cages. EIA is issued according to the making agency in charge of aquaculture development, Ministry of Environment’s Decree No. 17/2001 and whereas at the local level it is in the hands of the closely linked to licensing procedures. Environmental local fisheries services of the provinces and districts/ monitoring is specified within the EIA but then again municipalities. The Agency for Marine Affairs and only required for larger farms. Fisheries Research and Development (AMAFRAD) National water quality standards have been established supervises research and development activities related for aquaculture, but effectiveness and technical appro- to marine issues and fisheries on the national level. priateness is still lacking in Indonesia. Farm licences are CARD, which coordinates the bilateral project on the issued by the local authority but are required only for Indonesian side, is one of the research centres under large-scale intensive farming. Small-scale fish breed- AMAFRAD. The municipal or regency level is the ers and local farms are exempt from licences. As a granted authority for 4 nautical miles (nm) seaward result, EIA is not applicable to the bulk of aquaculture from shoreline. The provincial level has authority to production in Indonesia. The allocation of licences is manage the near coastal stripes between 4 and 12 nm done taking into consideration farm location and size, seaward from the shoreline, while the central govern- fish species and carrying capacity. However, scarce ment is in charge of aquaculture operations 12 nm data and inappropriate methods applied for siting offshore (Nurhidayah, 2010). Emphasis has been given aquaculture operations and estimating carrying capac- to the institutional development of groups of farmers ity of fish farming at the feasibility level remains a to raise their role through extended activities, business major constraint. Site selection and estimations of local counselling/guidance and training (Nurdjana, 2006). and cumulative carrying capacities should be done There are also several professional and commercial in the early stages of the developments. This would bodies working in close cooperation with the govern- enhance decision making concerning the allocation of ment and entrepreneurs. Despite these efforts, public/ licences and enforcement of regulations, thus boosting stakeholder participation in decision making is not investments. yet fully established. Although the administrative and legislative/regulatory tools for an expanding aquacul- 2.4  Expansion of Marine Finfish Aquaculture ture development are in place, some critical tools for in Indonesia zoning and the application of EIA procedures, etc., are still to be fully implemented. Overall aquaculture production of marine finfish for export in Indonesia amounts currently to about 2.3  Regulatory Framework of Marine Finfish 25,000 t/year. The cultured commodities are mainly Aquaculture in Indonesia based on good economic sense, i.e., price and widely accepted markets. Grouper and Asia sea bass are Policies dealing with environmental issues in the species most farmed. The exporting markets for aquaculture are based on FAO Code of Conduct for live grouper are China, Hong Kong, Malaysia and Responsible Fisheries Guidelines Nr. 4 on Aquaculture Singapore. Sea bass is exported mainly as fillets to Development (FAO, 1997). FAO encourages admin- Australia, USA, Thailand and Hong Kong. Most of the istrative States to establish, maintain, and develop production is cultivated in the centers of investment, appropriate legal and regulatory framework for Lampung, Batam and Bali, all of them close and/or facilitating the development of responsible aquacul- with good access to target markets and production ture. According to the current regulations in Indonesia, 224 | Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia infrastructure. Farms use traditional technologies con- model domain in Figure 4). The site is characterized sisting mainly of floating net cages made of wooden by a shallow inner coral reef platform in the centre, rafts (see Figure 1), but there is a trend towards farms which partly falls dry at low tide. Two main channels with several large circular cages (see Figure 2). In the flank the coral reef system (Figure 3). The flow in the centres of investment fish farms are predominantly bay is tide dominated with a maximum tidal range medium-scale (farms with 20 to 100 cages) and large- of 1.8 m. Current velocities are up to about 0.15 m/s scale (farms with over 100 cages). As most of these and 0.4 m/s respectively during neap and spring tides. farms employ traditional technology there is ample The channel to the west is shallower and current scope for expansion of the activity in the existing velocities are smaller. The channel in the centre of sites. In addition the potential for expansion of the the bay reaches water depths of about 25 m and activity into new centres of investment is tremendous current velocities are higher as the channel is open as according to estimates only about 1 percent of the to both ends of the bay (see Figure 3). Wind speeds suitable area for development of the industry is in use up to 12 m/s are observed in the northwest of Bali. so far (Nurdjana, 2006). Several centers for expansion The annual water temperature and salinity ranges have been identified including Lombok, Sumbawa, from 27 to 31°C and 28 to 35 PSU respectively. From Manado and Morotai. These coastal areas offer July till September during winter months in Australia, excellent conditions for marine finfish aquaculture but water temperature in the bay may drop to around much of the areas are ecologically sensitive coral reefs 26°C. Prevailing sediments are medium and coarser and mangrove. Besides, the industry is likely to conflict coral sands, and coral detritus. An outer reef belt with the tourism sector and global conservation initi- protects part of the bay from the waves in the open ates. Hence the use of state-of-the-art spatial planning sea. Outside the bay water depths rapidly increase to tools is essential. In addition to good environmental several hundred meters. characteristics capable of absorbing the waste from fish farm operations, aquaculture sites should be 3.2 Cultured Species and Fish Farm Production located dowsntream from important ecosystems and of Pegametan in Bali biosecurity assets. Much attention shall also be given The northwest of Bali is one of the main producing to conflicts with other activities and access to markets centers of marine finfish aquaculture in Indonesia. and production infrastructure. Total fish production nowadays ranges between about 900 and 1,100 t/year. Currently there are two main sites in operation, namely Pegametan Bay and Patas, Marine finfish aquaculture 3.  producing respectively ca. 55–70 tonnes/month and facility in Indonesia selected 20–25 tonnes/month. Marine finfish aquaculture has for application been practised in Pegametan Bay since 2001 and has The effectiveness of the processes and steps for grown to a total of 30 farms in 2015. Species cultured improving spatial planning is demonstrated for a are mainly Asian Sea Bass (Lates calcarifer), Humpback marine finfish aquaculture operation in Pegametan Bay Grouper (Epinephelus altivelis) and some species of in the northwest of Bali, Indonesia. The environmental ornamental fish. Figure 6 shows the location of the characteristics of the site in question and information farms in Pegametan Bay. There are 10 medium-scale on cultured commodities are introduced. An overview farms (20 to 100 cages) and 16 large-scale farms of the high-resolution measurements and simulation (more than 100 cages). The floating net cages of most models is provided. farms consist of wooden rafts, kept afloat by plastic drums (Figure 2). Each cage typically measures 3 m 3 3.1 Environmental Characteristics 3 m 3 3 m. Cages are connected together forming a of Pegametan Bay in Bali floating raft in order to reduce the effects of waves The area of interest covers about 35 km2 along the and currents. The two largest farms in the bay (see coastal stretch of around 10 km (see Figure 3 and farms numbered 21 and 30 in Figure 6), comprise Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia | 225 Figure 1. Traditional fish farm in Pegametan Bay. Figure 2. Fish farm in Pegametan Bay using several circular cages. 226 | Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia Figure 3. Pegametan Bay. Figure 4. Grids of Pegametan Bay model. of 7–8 circular floating units made of high-density Data from existing databases and large-scale global polyethylene for nursery and on-growing (see also models was supplemented with remote sensing Figure 2). The cages are 20 m diameter each with a information of farm locations, bathymetry and tidal cubic capacity of about 2,000 m3 per cage. constituents. Gaps of information were identified and several measuring campaigns carried out. Emphasis The overall standing stock of the 30 farms in Pegam- was given to the data required for the development of etan Bay was about 345 t during the assessment simulation models and for gathering chemical data for in 2015. Table 5 lists for each farm the number of site selection. Measuring campaigns were carried out cages, farm volume and estimated standing stock of in January 2008 during the rainy season, September farms. On the western channel there are 18 farms 2011 towards the end of the dry season. Bathymetry in with less than 400 cages each (see farms numbered the bay was measured with a vessel mounted echo- 1 to 18 in Figure 6). The total farm area is ca. 2.2 ha. sounder. A tidal gauge was installed within the bay for The standing stock of the farms varies from a few continuous measurement of water levels for calibration hundred kilos to 20 t. The overall standing stock in the and validation of the flow model. Vessel mounted western channel is about 130 t. On the central channel CTDs were deployed in conjunction with Niskin bottles there are 10 typical fish farms with up to 320 cages throughout the entire bay for water quality. To obtain and two larger farms with 7–8 circular cages (farms high-resolution information on the spatial variability of numbered 21 and 30 in Figure 6, see also Figure 2). nutrients about 50 surficial water samples were taken The total standing stock in the central channel is ca. in Pegametan Bay. Maps are shown on the left hand 210 t and the area covered by the cages is ca. 1.8 ha. side of Figure 5. Seabed sediment samples were taken Fish production in the two largest farms is in the order underneath several farms and away from fish farms of 45–55 t/month corresponding to over 3/4 of the for reference in December 2015 and January 2016. total production in the site. Sediment samples were analyzed for RedOx potential, In addition to grow-out activities, there are several grain size distribution, and particulate C and N. backyard hatcheries along the coastline to the east 3.4 High-Resolution Simulation Models of the bay. About 90 percent of the seeds sold in of the Pegametan Bay in Bali Indonesia stem from these hatcheries. There are also small amounts of algae, pearl oyster and shrimp being A three-dimensional coupled flow and wave model cultivated in and along the bay. In the vicinity of the was developed for the site under investigation. inner coral reef platform dividing the two channels, Model development was based on the Delft3d model small amounts of seaweeds (Euchema and Glacilaria) suite (Roelwink and van Banning, 1994). The model are cultivated. To the east of the bay, there are two big covers parts of the southern Bali Sea and the Bali cages growing pearl oyster (Pinctada sp) and on the Strait as shown in Figure 4. In the outer parts, model southeast a few pearl rafts are placed. At present there development relied on data from global databases and are approximately 800,000 shells for inoculating core large-scale models. The bathymetry was developed of pearl. Along the coastline there are a few shrimp using data from the General Bathymetric Chart of the farms stocked with Pacific White Shrimp (Litopenaeus Oceans (GEBCO) and the Indonesian National Survey vannamei and Penaeus vannamei ). The location of the agency (Badan Informasi Geospatial). Within the bay, shrimp ponds, covering an area of about 130 ha, is data recorded from their own echo-soundings was shown in Figure 3. Shrimp production per pond varies used in the model. Sub-domain decomposition using between 8 and 15 t/cycle. three computational grids with increasing grid resolu- tion towards the coast was adopted (see Figure 4). 3.3 High-Resolution Measurements The grid resolution ranges from about 800 m in the at Pegametan Bay in Bali Bali Sea to 25 m within the bay. Over the vertical An array of high-resolution surveys and mapping 5 sigma-layers, each covering 20 percent of the water technologies was used to assess the interactions depth, were used. Astronomical tidal constituents between the environmental conditions and fish farms. from satellite altimetry were imposed at the open sea 228 | Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia Figure 5. Mapped layers adopted for site selection of marine finfish farming facilities in Pegametan Bay. Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia | 229 boundaries of the model. The model is forced with Singaraja Regency (MFS) is granted authority to man- space and time varying winds and pressure fields from age aquaculture. Further stakeholders in the region are the NCEP/NCAR reanalysis database. Predicted water the Farmers’ Association and RDIM. AMAFRAD and levels coincided with measured values with an average RDIM assist the Farmer’s Association with technical error of about 6 cm. Waves are simulated with the issues related to mariculture development and provide fully spectral model SWAN, developed at the Technical support on seed techniques and other matters. Cur- University Delft in the Netherlands (Booij et al., 1999). rently fish farms in the bay have less than 1000 cages SWAN accounts for wave propagation, refraction, and thus exempt of EIA but subject to other licensing/ and shoaling, wind-induced wave generation, wave permitting requirements such as voluntary measures dissipation and non-linear wave-wave interactions. and/or good aquaculture practice. Regarding water quality, the aquatic environment is 4. Spatial Planning Processes in good condition. The analysis was based on water and Steps applied to the site sampling throughout the whole bay. Maps of nutrient at Pegametan Bay in Bali distribution are shown in Figures 5C to 5E. Farm emissions were found to have only minor effects on Results of the application of steps and procedures the concentrations of nutrients within the bay. On within an integrated ecosystem-based approach for the other hand small rivers and the outlets from the enhancing spatial planning in Pegametan Bay are shrimp farms to the west of the bay showed locally presented hereafter. The steps comprise of scoping, slightly higher levels of DIN. Particularly the drainage zoning, site selection and carrying capacity. Emphasis of ponds under east-west longshore currents can have has also been given to biosecurity in particular to the a significant impact on the levels of water quality in measures being adopted to minimize fish diseases. the bay. In general, the observed DIN values and levels of phosphorus remained below critical values that can 4.1 Scoping impact on coral reefs (FAO, 1989 and Lapointe, 1997). Scoping comprises the establishment of the manage- Only in the near vicinity of the two larger farms (see ment objectives, boundaries and institutional as well farms 21 and 30 in Figure 6) a certain decrease of DO as legal frameworks. Marine finfish aquaculture and is observed in the layers closer to the seabed. Assess- tourism are the main activities with economic rel- ments of sediment quality indicate that there are evance in the region. In the beginning of 2008, there clear signs of sediment degradation underneath the were about 17 relatively small fish farms within the bay two larger farms (see farms numbered 21 and 30 in the majority of which containing less than 150 cages. Figure 6). Underneath most farms and also at refer- The standing stock in 2008 was estimated as about ence locations, sediments remain in good conditions. 90 t. Groupers was the main farmed species and trash fish/low value feed the main feeding source at that 4.2 Zoning time. Since then the number of farms duplicated and There are currently three legislated zoning schemes the sizes of farms increased significantly leading to a and procedures dealing with aquaculture develop- standing stock of about 345 t in 2015. Pegametan Bay ment under the umbrella of MMAF. There is an is a typical example that aquaculture can help improve inter-sectorial zoning scheme accounting for the the livelihood of fish-farmers and fisherman living majority of coastal uses, the Minapolitan zoning for along the coast. In addition to the fish farms, there are centres engaging mainly on aquaculture activities and also several backyard hatcheries along the coastline another scheme focusing exclusively on aquaculture providing social and economic benefits to the local issues. Table 1 summarizes the aims, legal instruments population. and agencies in charge of each scheme. The schemes Assessments of the coastal uses and ownership were have different objectives, though each and all of them also done. As fish farms are located within 4 nm together, serve a common purpose from different from shore, the Marine and Fisheries Services of the perspectives. 230 | Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia Figure 6. Suitable areas for marine finfish farming and location of farms in Pegametan Bay in 2015. Table 1. Overview of zoning schemes for aquaculture in Indonesia. Zoning Agency of Scheme Legal Instrument MMAF Objective Scale Inter-sectorial ICM Act of 2007 DG Coastal Hierarchical (national/subnational), sequential and National (Law No. 01/2014 Zones and linked, four-tier planning process for coastal and Subnational on Coastal Zone Small Islands marine management. The goal is to develop plans and Small Island having a multi-stakeholder approach. It determines Management) which development activities are allowed, permitted with license, and/or prohibited in the region. Broad zoning categories and technical aspects concerning mapping are established. Minapolitan Decree No.35/ DGA Under the conceptual framework of region-based National KEPMEN-KP/2013 marine and fisheries development using cluster Regional and spatial management systems, the Minapolitan objectives for aquaculture are to develop potential aquaculture areas as production centers by implementing extensive and/or intensive systems. Aquaculture Decree No.35/ AMAFRAD Selection of areas suited for aquaculture National KEPMEN-KP/2013 through development. The framework comprises the Regional CARD collection of data (primer and secondary) and data processing and analysis leading to zoning maps. Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia | 231 Table 2. Criteria for coastal planning (Wiryawan and Tahir, 2013). Seaweed Capture Residential Mariculture Grouper Culture Fisheries Tourism and Industries Position, waves, Security, tide, Depth, bottom Type of beach, coastal vegetation Slope, road currents, depth, currents, depth, topography, cover, visibility, temperature, reef infrastructures, bottom waters, dissolved oxygen, visibility, crest type, roughness, coral cover, freshwater salinity, temperature, salinity, weather, weather, number of live form types, number availability, altitude, pH, visibility, the power source, conditions of of reef fish species, number of drainage, soil productivity, sources of feed, coral reefs, seagrass species, number of suitability, depth availability of seeds, availability of seeds, abundance mangrove species, aesthetics, infrastructure, availability of labour, of target fish, accessibility, safety, weather, pollution, security pollution pollution availability of transportation, freshwater, infrastructure. The inter-sectorial zoning scheme is under the respon- fish aquaculture (Radiarta et al., 2014a). Score factors sibility of the Directorate General of Coastal Zones and are defined according to the level of importance to Small Islands. It was established to minimize conflicts specific fish species. Suitability scores are ranked and among different coastal uses and stakeholders. It classified in accordance with the procedure proposed defines guidelines and activities that are allowed, by FAO (1977). permitted with license, and/or prohibited in the region. The resulting inter-sectorial zoning plan for the Table 2 lists the criteria considered for marine finfish northwest coast of Bali is shown in Figure 5. aquaculture and other activities. Pegametan Bay has been designated for mariculture The Minapolitan zoning (mina from Sanscript for activities whereas the adjacent coastal areas mainly fish and politan from Greek for city) was tailored for for tourism and natural conservation. Results of the sites with on-going aquaculture activity. The scheme present investigation have shown that Pegametan Bay was established by the DGA and it is part of the is well suited for marine finfish aquaculture activity in Minapolitan Program (MP). MP aims at promoting the accordance to the aquaculture zoning. An assessment designation of zones with multiple functions such as of the physico-chemical properties presented hereafter centre of production, processing and marketing of shows that the bay meets all the requirements and fisheries commodities, services, and/or other support- threshold values for marine finfish aquaculture sites ing activities. The selection of so-called “fish cities” listed in Table 4. takes into consideration the ongoing aquaculture and/or fishery activities, social infrastructure, and 4.3 Site Selection market conditions. The environmental characteristics Site selection refers to the identification of areas are not accounted for in this scheme. within a coastal environment, which are suitable for the installation of floating net fish cages. Based on The aquaculture zoning is the responsibility of literature review and present scientific knowledge, AMAFRAD through CARD. Sites preselected for environmental suitability criteria and threshold values marine finfish aquaculture activity on the basis of one applicable for potential aquaculture sites have been above zoning schemes have to undergo this zoning identified. Table 4 lists the criteria and threshold values scheme. Several factors and constraints relevant to usually adopted for target finfish species in South-East aquaculture activities are accounted for. They include Asia. Criteria taking into account physical character- bathymetry, land quality, water quality, climate, sedi- istics, water quality standards and coastal uses and ment, and oceanographic aspects. Table 3 presents risks are considered (FAO 1989, Chou and Lee 1997, the criteria and threshold values adopted for marine 232 | Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia Table 3. Requirements for marine fish cage culture (Radiarta et al., 2014a). Suitability Scores Parameter Unit Most Suitable Suitable Moderately Suitable Not Suitable Bathymetry m 10–20 20–25 25–30 <10 and >30 Current cm/s 5–15 15–25 25–35 <5 and >35 Transparency m >3 2–3 1–2 <1 Temperature C 28–32 25–28 20–25 <25 and >32 Salinity ppt 31–35 28–31 25–28 <25 and >35 pH mg/l >7 6–7 4–6 <4 Total suspended solids mg/l <10 10–15 15–25 >25 Dissolved oxygen mg/l >5 3–5 1–3 <1 Amonnia mg/l <0.01 0.05–0.01 0.10–0.05 >0.1 Distance to settlement m <3000 3000–4000 4000–5000 >5000 Distance to river m >1000 750–1000 500–750 <500 Distance to harbour m >1500 1000–1500 750–1000 <750 Table 4. Criteria and suitability thresholds for site selection applied to South-East Asia. Indicator Parameter (unit) Unit Allowable Optimum Source Physical Minimum water depth m > 10 Halide et al., 2008 Maximum water depth m < 30 Halide et al., 2008 Minimum (mean) current m/s > 0.01 > 0.05 Halide et al., 2008 Maximum (mean) currents m/s < 0.5 < 0.2 Halide et al., 2008 Exposure to maximum waves m <1 < 0.5 Halide et al., 2008 Water quality Water temperature °C 27–31 FAO, 1989 Salinity PSU 10–33 15 FAO, 1989 Dissolved oxygen mg/l >4 >5 FAO, 1989 pH log H+ 7–8.5 7–8.5 FAO, 1989 Secchi depth m 1–5 1–5 Halide et al., 2008 NH4-Ammonium mg N/l < 0.5 < 0.5 FAO, 1989 NO3-Nitrate mg N/l < 200 < 200 FAO, 1989 PO4-Phosphate mg P/l < 70 < 70 FAO, 1989 Suspended sediment mg/l < 10 <5 Chou & Lee, 1997 Coastal use Distance to harbours km > 0.5, < 8 Pérez et al., 2005 and risk Distance to navigation lines km > 0.5 Scottish Executive, 1999 Distance to touristic areas km > 0.3 > 2.5 Perez et al., 2003 Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia | 233 Scottish Executive 1999, Perez et al. 2003, Pérez et al. located outside of suitable areas in Pegametan Bay. 2005, Halide et al. 2008). Particularly, farms numbered 10, 11 and 12 on the western channel are outside suitable areas and too Figure 5 shows the thematic maps used for character- close to the coastline. Results of an assessment of fish ization of the site. Figures 5A to 5E display respectively health revealed that these farms are generally subject the spatial variation of water temperature, salinity to higher risks of fish disease and that fish growth was and several nutrients namely ammonia, nitrate and generally lower than in farms located within suitable phosphate. Maps were obtained from the analysis of areas. Therefore relocation of these farms to suitable over 50 surficial water samples throughout the entire areas can be regarded as one of the main priorities to bay. Figures 5F, G and H show the spatial variation of enhance environmental sustainability in Pegametan the main physical properties relevant for fish farming. Bay. It should be noticed that farms 5, 6 and 7 are It includes the depth of flow, current velocities and also misplaced but fish production is sporadic and very waves. Results of flow model simulations covering a low there (see Table 5). Hence it is recommended to full neap-spring tidal cycle are used for determining monitor conditions in these farms before deciding for the spatial and temporal variation of water depths relocation. and current velocities. Waves are obtained from wave model simulations for storm events with different Spatial planning of aquaculture is also essential to intensities. Simulations were done for different establish and maintain healthy animal stock through recurrence intervals of storms. In the figure modeled effective separation of farms and individual production waves for a 10-year recurrence period are displayed units within the farms. Farm spacing in Pegametan Bay (Figure 5H). Coastal uses derived from own assess- was assessed on the basis of transport distances of fish ments and obtained from the inter-sectorial zoning farm waste following Gillibrand et al. (2002). Current plan are shown respectively in Figures 5I and 5J. For velocities at farm locations and a range of settling each thematic map, templates are built using GIS velocities of fish farm waste based on fish species and tools embedded within the decision support system type of feeding (ws ) were considered. On the western SYSMAR according to the threshold values listed in channel transport distances barely reach 50 m. Hence Table 4. The overlay of all the templates generates no interactions among the farms is anticipated for the suitability map for the marine finfish aquaculture the current farm layout and additional farms could facility in Pegametan Bay (see Figure 6). In the figure be placed there. On the central channel, transport green colored areas indicate those areas suitable for distances are up to 150 m. Despite the fact that there finfish aquaculture. Water temperature, salinity and is sufficient distance among farms and much space the main water quality properties resulted within the left for placing new farms, attention should be given ranges found adequate for finfish cage aquaculture to farms 21 and 30. As fish production is very high, operations. Water depths, current velocities, waves separation of individual production units for nursery and the regional navigation lane to the east of the bay and grow-out is essential for keeping the total amount turned out to be the main controlling factors for farm of fish within carrying capacity of the environment, siting in the bay. helping safeguard adverse effects. A total area of ca. 145 ha turned out to be suitable for 4.4 Ecological Carrying Capacity (ECC) finfish aquaculture within Pegametan Bay. More spe- ECC of marine finfish aquaculture is defined here as cifically 64 ha on the western channel and 81 ha on the magnitude of aquaculture production that can be the central channel were identified as suitable areas. sustained without significant changes to ecological The total area of cages of the 30 fish farms currently in processes, species, populations, or communities in operation is approximately 4 ha corresponding to less the environment (Byron and Costa-Pierce, 2013). than 3 percent of the suitable area. Figure 6 shows Environmental impacts associated with marine finfish the location of the operational farms in conjunction aquaculture stem mainly from nutrient inputs from with the identified suitable areas. It can be seen that uneaten fish feed and fish wastes. High percentage despite the availability of space, several farms are 234 | Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia Table 5. Assessment of the marine finfish aquaculture facility in Pegametan Bay (Nov. 2015). Estimated Farm Channel Number Cage Standing Reynolds Predicted Number (AMA) of Cages Volume (m3) Stock (t) Number (Re) Farm ECC (t) 1 16 192 0.4 97,700 16.5–21.0 2 250 9,375 18.8 61,400 16.5–19.5 3 60 1,620 3.2 39,400 16.5–18.0 4 63 1,701 3.4 68,800 16.5–19.5 5 8 216 0.4 39,900 16.5–18.0 6 6 162 0.3 39,400 16.5–18.0 7 40 1,080 2.2 78,900 16.5–21.0 8 Western 32 864 1.7 76,600 16.5–19.5 9 Channel 120 3,240 6.5 76,900 16.5–19.5 10 (AMA1) 166 4,482 9.0 121,600 16.5–22.5 11 380 10,260 20.5 132,400 16.5–22.5 12 290 7,830 15.7 130,800 16.5–22.5 13 166 4,482 9.0 123,100 16.5–22.5 14 90 2,430 4.9 76,200 16.5–19.5 15 320 8,640 17.3 139,700 16.5–22.5 16 100 2,700 5.4 171,500 18.0–24.0 17 84 2,328 4.7 66,400 16.5–19.5 18 168 4,536 9.1 99,400 16.5–21.0 19 84 2,268 4.5 308,200 32.5–47.5 20 319 8,013 16.0 333,000 32.5–47.5 21 7 cir. cages 14,707 58.8 280,600 32.5–45.0 22 50 1,350 2.7 117,500 27.5–37.5 23 212 5,724 11.4 145,100 27.5–37.5 Central 24 Channel 212 5,724 11.4 95,900 27.5–35.0 25 (AMA2) 30 810 1.6 82,000 27.5–35.0 26 15 405 0.8 107,700 27.5–35.0 27 182 4,914 9.8 243,200 30.0–45.0 28 321 8,667 17.3 586,800 37.5–57.5 29 60 1,620 3.2 172,400 27.5–40.0 30 8 cir. cages 18,850 75.4 328,600 32.5–47.5 Overall values in Pegametan Bay 345 — 660–800 Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia | 235 of phosphorus, carbon and nitrogen inputs are lost and user-defined threshold loads in terms of carbon to the environment. These nutrient inputs may lead deposition in the seabed (Niederndorfer, 2017). Re is to localised water quality degradation and sediment defined as the product of mean water depth and the accumulation underneath farms. In severe cases, in mean depth-averaged velocity for a neap-spring tidal which standing stock exceeds ECC, environmental cycle divided by the kinematic viscosity of water. ws is sustainability is undermined. Although the localized a function of fish species farmed and feeding method impact of smaller farms in South-East Asia is usually adopted in the site. Regarding the limits in terms of relatively small, the impact of the incoming larger carbon loading underneath farms, field investigations farms and the cumulative impact of many farms on the of the impact of fish farms showed that adverse environment can be significant. That is why this study changes in the benthic community are observed for has sought to adopt methods both for estimating ECC rates exceeding about 1 to 5 gC/m2d (Angel et al., at the farm level and accounting for the cumulative 1995, Krost 2007, Hargrave 2010). effect of all the farms in the environment. Figure 7 shows the spatial variation of the modeled Farm ECC is based on sediment accumulation Re for a neap-spring tidal cycle in Pegametan Bay. underneath farms. ECC are estimated based mainly Values up to about 170,000 and 585,000 resulted on hydrodynamics from measurements and/or model respectively on the western and central channels. simulations. The method implemented in SYSMAR The higher Re in the central channel are due to the estimates the maximum fish production for the given higher current velocities there. Based on Re and in-situ Reynolds number (Re) at the fish farm location, ws observation, farms sizes on the western and central Figure 7. Modelled averaged Reynolds numbers for a mean neap-spring tidal cycle in Pegametan Bay. 236 | Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia channels were limited respectively to 300 and 500 taken underneath 11 farms and at 10 reference cages. Threshold values in terms of carbon deposition locations were used. Benthic conditions were assessed underneath farms of 5 gC/m2d are assumed here. To using video recordings and analysis of physic-chemical provide a good coverage of the farm waste of the site, properties of surficial sediments. Figure 8 shows ws values ranging between 0.03 m/s and 0.10 m/s measured organic matter against concentration of were considered in the estimation of farm ECC. particulate organic N of all sediment samples. The organic matter was determined through loss of Table 5 lists for each fish farm the number of cages ignition of sediment samples at 550°C. The effect of and volume, Re at farm location, current standing organic waste on the sea floor due to fish farming is stock and ECC. The ranges of predicted farm ECC evident underneath farms where deposition rate of values reflect the adopted range of ws. Predicted farm organic waste exceeds the bacterial decomposition of ECC values are compared to the current standing the waste. In particular the sediments under farms 21 stocks of fish farms (Table 5). The results showed that and 30 show high organic content, which is in good so far farm ECC are exceeded only at the two larger agreement with model predictions. According to the farms (see farms numbered 21 and 30 in Figure 6). In predictions the standing stock of these farms 21 and the remaining farms, standing stocks are usually lower 30 is much higher than the predicted ECC values (see or comparable to the predicted ECC values. Hence Table 5). Underneath farms where fish production is according to the predictions, the standing stock of lower than predicted ECC values, impacts of organic all the farms in Pegametan Bay could be up to about waste are low or insignificant. Sediment samples 660–800 t as compared to the current standing stock are light grey and concentrations of N are just above of about 345 t. natural conditions and/or comparable to the samples Model predictions were validated on the basis of the taken at reference locations (see Figure 8). Fish farm analysis of in-situ seabed sediments. Sediment samples impact is also reflected on the levels of DO. At most Figure 8. Assessment of sediment quality underneath fish farms in Pegametan Bay. Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia | 237 farms, DO profiles resemble natural conditions. certification. Farmers must request SPF certification and However, near farms 21 and 30 there is a decrease of follow standard size before buying fish seeds, and only DO in the bottom layers. certified seeds can be sold. Currently real-time PCR is being adopted in the site to ensure that seeds are SPF Cumulative ECC is based on water quality degradation. (Mrotzek et al., 2010). The establishment of quarantine ECC is dictated by the rate at which nutrients can be offices for monitoring fish diseases and environmental added without triggering eutrophication. It is assumed conditions in aquaculture sites is another measure that the emitted load of dissolved inorganic nitrogen being demanded by the GOI to enhance biosecurity. (DIN) from all farms within the site should not exceed By monitoring fish diseases at local hatcheries the 1 percent of the total amount of DIN load entering the quarantine office helps control fish diseases in the area. water body (Weston, 1986). The rate of DIN entering Pegametan Bay is obtained from flow model simula- Fish health and welfare in Pegametan Bay are also tions covering a full neap-spring tidal cycle in conjunc- directly related to environmental conditions. It was tion with measured concentrations of DIN measured found that disease outbreaks are associated to sudden just outside the bay. The limit of nitrogen emission is drops in water temperature (Radiarta et al., 2014b). In subsequently converted into the maximum allowable particular, changes in water temperature at the begin- standing stock. According to the results, cumulative ning of rainy seasons in Indonesia, from mid September ECC of all the farms in Pegamentan Bay should not to the end of October, and occasionally during exceed ca. 500 t to 900 t of Grouper respectively winter months in Australia, from July till September, for the lowest and highest observed nitrogen fluxes exacerbate fish diseases. Such temperature drops in (van der Wulp et al., 2010). conjunction with runoffs and wastewater from adja- cent shrimp ponds, cause stress to the farmed fish and In summary, results of the assessment indicate that increase their susceptibility to diseases. To reduce risks, there are several farms currently out of suitable areas an operational system for real-time monitoring of water and that the two largest farms exceed ecological temperature was set up. Real-time data from three carrying capacity of fish farm production. Yet with stations in the bay is transmitted to RDIM in Gondol proper siting of farms and controlled increases in farm and CARD in Jakarta. Early warnings are delivered production, the current whole aquaculture production to farmers by SMS, once sudden changes in water in the bay, currently about 345 t, could be increased temperature occur. To increase immunity and reduce without harming the environment. As only a small stress of fish during such conditions, fish are usually fed percentage of the suitable areas is currently being used an artificial diet enriched by 1 percent of Vitamin C. and most farms employ traditional technologies there is The system proved to be quite effective in the mini- plenty of room for expansion. However, in view of the mization of fish diseases. Extensions of the system for unknown ecosystem threshold and uncertainties in the monitoring additional water quality quantities such as predictions it is recommended to adopt a cautionary salinity and turbidity have been proposed. This would and adaptive approach based on regular monitoring to enable detecting, for example, runoffs during the rainy guarantee environmental sustainability. season and waste water from the nearby shrimp farms. 4.5 Biosecurity Framework The main reason of fish mortality in Pegamentan Bay 5. Proposed management plan is infection of seeds by Nervous Necrosis (VNN) and for the site in Bali Irrido viruses. This is because fish seeds are not yet 5.1 Priority Issues being thoroughly tested. To maintain healthy animal Relocation of farms to suitable areas is at the top of the stocks, the GOI recently passed a regulation requiring agenda to enhance environmental sustainability of fish that fish seeds, both from public and private hatcheries, farming activities in Pegamentan Bay. Besides, as there must be Specific Pathogen Free (SPF) certified and have are clear signs of sediment deterioration underneath standard sizes for given ages. At the site in question, farms numbered 21 and 30 (see Figure 6), fish IMRAD Laboratory at RDIM has been responsible for 238 | Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia production should be reduced there. Emphasis should environmental settings in the bay (Figure 9). AMA1 also be given to the biosecurity framework, particularly and AMA2 encompass respectively the western and concerning the effectiveness of the proposed measures central tidal channels where marine finfish farming to minimize fish mortality. Further measures include the takes place. As the current velocities in AMA2 are adoption of improved feeding methods and establish- much higher than in AMA1, larger farms should ment of a regular environmental monitoring program. be placed there. Both AMA1 and AMA2 are well This should be supplemented with regular assessments protected by the outer reef belt so that agitation is of fish mortality for the identification of sources of fish reduced. AMA3 covers the adjacent area to the east diseases. To facilitate the enforcement of regulations of the bay. This area is more exposed to the open sea the current regulatory framework should be improved. and currently dedicated exclusively for pearl culture. In particular the requirements for EIA and associated The impacts of the regional navigation channel and environmental monitoring and licensing should be backyard hatcheries on the levels of water quality modified. Due to the relatively small size most farms should be investigated. are exempt of EIA. However the cumulative effect of farms in the site and the expanding size of farms could 5.3 Management Plan lead to significant environmental impacts. Therefore Recommendations for improving operations of marine a precautionary approach concerning the increase finfish farms in Pegametan Bay were made separately in farm production based on regular environmental for the three AMAs. In AMA1 emphasis shall be placed monitoring is recommended. on the relocation of farms to suitable areas. Farms numbered 10, 11 and 12 shall be moved to suitable 5.2 Aquaculture Management Areas (AMAs) areas and minimum distances among farms of about Three AMAs were designated for the Pegametan Bay. 100 m should be kept. Moreover buffer zones between AMAs were defined mainly on the basis of the distinct the edge of the farms and the shoreline shall be Figure 9. Aquaculture management areas for the Pegametan Bay. Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia | 239 maintained. Attention should also be given to periods the farms. On the basis of the results of monitoring, of strong runoffs, and shrimp ponds should not be adjustments to the farm locations, to limits of fish farm drained under east-west longshore currents due to production and to the biosecurity framework shall be the risks of pollution. Excess of fish farm production at proposed. Based on the results, further assessments of farms 21 and 30 is the most relevant issue to account the management plan will be made. for in AMA2. Significant deterioration of sediment quality was observed underneath these farms. There- 6. Capacity building fore reduction of fish farming production is at the top of the agenda. As farms 21 and 30 comprise of several Throughout the life of the project, particular attention units for nursery and on-growing, the units should be has been given to the dissemination of techniques separated to keep the total production within carrying and associated results of the project as well as to a capacity of the location in question. There is currently solid capacity building (CB) component benefitting the a concentration of farms on the western part of AMA2 end users. The CB component delivered a number of (see Figure 9). It is recommended to spread farms CB interventions at different stages of the project. So throughout the entire suitable area. To avoid interac- far the CB component has been centred mainly with tions, minimum distances among farms should be technical personnel of RDIM and CARD. Emphasis about 200 m. AMA3 is currently being used primarily has been given to data collection and environmental for cultivation of pearl oysters. As the area is exposed monitoring, procedures for site selection and estima- to waves, the suitability of the area for cultivating tion of carrying capacity. From now on, the need for pearls should be checked. Besides, the relevance of the strengthening individuals and institutions to assume impacts of the releases from backyard hatcheries and expanded responsibilities in the field of marine finfish the regional navigation channel should be investigated. aquaculture points out: a) the creation of a tailor-made CB model designed for Indonesia’s aquaculture priori- 5.4 Environmental Monitoring and Precautionary ties; and b) strengthening the capacity of aquaculture Approach operators and other stakeholders particularly at the Continuous environmental monitoring is currently in local level. place. Sediment monitoring is done every six months underneath farms in which, according to predictions, 7. Conclusions current standing stocks are close or exceed estimated ECC (see Table 5). The levels of DO along depth • In this paper results of the application of the pro- profiles, in the vicinity of the farms, are monitored cesses and steps for improving spatial planning and every other month. Rates of fish mortality are being sustainable management of marine finfish aquacul- monitored regularly at several farms. ture facilities in South-East Asia are presented. The effectiveness of the stepwise application with regard 5.5 Evaluation System to scoping, zoning, site selection and carrying capac- The most relevant issues to improve fish farm opera- ity is demonstrated for a site in the northwest of tion in the bay and the proposed management plan Bali, Indonesia; have been discussed with the Farmer’s Association. • Methods adopted for site selection and estimation of The plan is currently being evaluated by MSF of ECC based primarily on hydrodynamics from simu- the Regency in Singaraja. It is envisaged to start lation models enable assessments at the feasibility implementing the proposed measures in 2016. An level in sites with scarce data. Methods proved to be assessment of the effectiveness of the adopted effective to support and regulate the development of measures should be done about a year later. RDIM/ marine finfish aquaculture in sites where the activ- CARD will be responsible for monitoring and evaluat- ity is already well established as shown in the paper. ing the implementation progress and outcomes. From In addition they provide guidance in the planning now on, it is recommended to adopt a cautionary and identification of potential areas for expansion approach regarding the increases in standing stocks of of the activity. Validation using in-situ observations 240 | Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia confirmed the adequacy of the methods for estima- create a cadre of personnel equipped with the tion of farm carrying capacities in sites in Indonesia; necessary knowledge and skills in selected technical, • Marine finfish aquaculture is currently a small-scale scientific and management aspects of aquaculture. industry in Indonesia, but as the majority of farms use Capacity building should be based on a thorough traditional technology the potential for expansion in identification of top priorities and the application of the existing sites is ample. As shown here with proper a mix of training and non-training approaches, plus rearrangement and spreading of farms in conjunction practice and application of learning to a demonstra- with controlled raises in farm production using the tion case. proposed spatial planning tools, fish production could be increased without harm to the environment; 8. Acknowledgments • Coastal areas in Indonesia offer excellent conditions for expansion of the activity. However, care should The Research and Technology Centre Westcoast of be taken in the selection of sites, as most of these the University of Kiel (FTZ) coordinates the project on areas are ecologically sensitive. Hence in addition to the German side. On the Indonesian side the Center good environmental characteristics, sites should be for Aquaculture Research and Development (CARD) in located downstream from important ecosystems. Site Indonesia is in charge of the project. The authors wish selection should also account for conflicts with other to thank BMBF for funding the project from 2003 to activities and emphasis should be given on access to 2011 (funding numbers 03F0393A and 03F0469A). target markets and production infrastructure; Since 2012 FTZ and CARD have jointly funded the • The trend towards larger farms using several units project. Support from RDIM and CARD in Indonesia with circular cages is demanding the adoption of and FTZ in Germany for conducting the on-going new techniques for estimation of carrying capaci- monitoring and assessments is highly appreciated. ties in the early stage of projects. Carrying capacities should be estimated at farm level and accounting 9. References for cumulative effects of all the farms in the environ- ment. The allocation of licences and specification of Angel, D. L., Krost, P. & Silvert, W. 1995. Benthic EIA should be based on these assessments. 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T. lines for management of salmon net-pen culture and Wada, M. 2014b. Frequent monitoring of in Pudget Sound,” Washington Department of water temperature in Pegametan Bay, Bali: A Ecology. preliminary assessment towards management Windupranata, W. 2007. Development of a Decision of marine aquaculture development, Indonesian Support System for Suitability Assessment of Aquaculture Journal 9 (2). Mariculture Site Selection. PhD Thesis Research Roelwink, J. A. and van Banning, G. K. F. M. 1994. and Technology Centre of the University of Kiel, Design and Development of DELFT3D and Appli- 125 pp., Kiel Germany. cation to Coastal Morphodynamics, Hydroinfor- Wiryawan, B. and Tahir, A. 2013. Experiences in matics ’94, Verwey, Minns, Babovic & Maksimovic Zonation Planning for Management of Marine Pro- [eds], Balkema, Rotterdam, pp. 451–455, 1994. tected Area: the Indonesian Case. Galaxea, Journal Ross, L. G., Telfer, T. C., Falconer, L., Soto, D. & of Coral Reef Studies (Special Issue): 285–294. Aguilar-Manjarrez, J. (eds.). 2013. Site selection Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia | 243 ANNEX 1. Case study effectiveness matrix for coastal cage aquaculture in Indonesia Well Done/Achieved (examples are provided Associated Activities and Tools below on well done steps Not Done/ (examples provided Approximate Investment Phase/Step and main achievements) Not Achieved as bullet points) Rating for Each Step (US$) Phase 1 Step 1 Scoping (Scoping involves compiling essential background information required to start an aquaculture project) 1.1  Definition of the The Ministry of Marine Affairs and •   Done Administrational documents; •   4 broad ecosystem Fisheries (MMAF) is the principal Participatory meetings; •   boundary (spatial, agency responsible for the planning, General bathymetric chart of the •   social and political management and administration oceans. scales) of marine fisheries and aquaculture sectors in Indonesia. Managing authority: Central •   Government is responsible for the 12 nm offshore; Provincial level in charge of the near coastal stripes between 4 nm and 12nm seaward 244 | Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia from the shoreline; Municipal/ Regency level: 4 nm seaward from shoreline. 1.2  Identify overriding The Directorate General of •   Done Review of relevant policy and legal •   4 policy, legislation Aquaculture (DGA) is the government framework; (such as land and policy-making agency in charge of Institutional analysis; •   sea rights) and aquaculture development, whereas Stakeholder analysis; •   regulations (such as at the local level it is in the hands Consultations with relevant •   ecosystem quality of the local fisheries services of the institutions. standards, water provinces and districts/municipalities. quality standards) The administrative and legislative/ •   regulatory tools for an expanding aquaculture development exist. Some critical tools, such as zoning and EIA, are still to be fully implemented. Spatial planning tools currently being adopted are inappropriate. Well Done/Achieved (examples are provided Associated Activities and Tools below on well done steps Not Done/ (examples provided Approximate Investment Phase/Step and main achievements) Not Achieved as bullet points) Rating for Each Step (US$) Phase 1 Step 1 Scoping (Scoping involves compiling essential background information required to start an aquaculture project) 1.3  Setting the broad The Government of Indonesia (GOI) •   Done Communication, consultation, •   4 development plans increasing overall national participation; objectives and aquaculture production by an A ssessment of available resources, •   identifying the main additional 2.5 million tonnes and needs and values. issues 750,000 jobs in the next years. •   Main issues have been widely Done to some identified through the Blue Economy extent as part initiative. Consultations or reviews of the Blue to identify and prioritize problems/ Economy issues per se have not been initiative conducted. Main issues are good environmental •   characteristics, conflicts with other activities, access to markets and production infrastructure. Public/stakeholder participation in •   the decision-making process is not fully rooted as of yet. Phase 1 Step 2 Zoning (Zoning or allocation of space is a mechanism for more integrated planning of aquaculture development, as well as its better regulation. It may be used either in planning to identify potential areas for aquaculture or a regulatory measure to control the development of aquaculture) 1.4  Zone boundary There are three legislated zoning •   Done Development of plans having a •   4 definition based on schemes and procedures dealing multi-stakeholder approach. It relevant criteria with aquaculture development under determines which activities are the umbrella of MMAF: a) Inter- allowed, permitted with license, sectorial zoning scheme accounting and/or prohibited in the region. for the majority of coastal uses, Broad zoning categories and the b) Minapolitan zoning for centres technical aspects concerning engaging mainly in aquaculture mapping are established. activities and c) aquaculture zoning Minapolitan aims to develop •   focusing exclusively on aquaculture potential aquaculture areas issues. as production centers by implementing extensive and/or Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia | 245 intensive systems. Well Done/Achieved (examples are provided Associated Activities and Tools below on well done steps Not Done/ (examples provided Approximate Investment Phase/Step and main achievements) Not Achieved as bullet points) Rating for Each Step (US$) Phase 1 Step 2 Zoning (Zoning or allocation of space is a mechanism for more integrated planning of aquaculture development, as well as its better regulation. It may be used either in planning to identify potential areas for aquaculture or a regulatory measure to control the development of aquaculture) •   The schemes have different Selection of areas suited for •   objectives, though each and all of aquaculture development. them together serve a common The framework comprises the purpose from different perspectives. collection of data (primarily and Sites pre-selected on the basis •   secondary) and data processing of the inter-sectorial zoning and analysis leading to zoning and/or Minapolitan zoning have to maps. undergo the aquaculture zoning to assess the adequacy of the site for aquaculture activity. 1.5  Gross estimation of •   The potential for expansion of Done Evaluation of production statistics; •   4 potential production/ the activity into new centres Experience based on existing •   246 | Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia area of investment is ample as only centres of activity in Lampung, about 1% of the suitable area for Batam and Bali; development of industry is in use Communication with fish farms •   (Nurdjana, 2006). owners; •   In addition to the expansion of Satellite information. •   production in the existing sites (Lampung, Batam and Bali), several centers for expansion of marine finfish aquaculture have been identified. Potential sites include Lombok, Sumbawa, Manado and Morotai. All sites offer excellent conditions for •   marine finfish aquaculture but much of them are ecologically sensitive coral reefs and mangrove. Well Done/Achieved (examples are provided Associated Activities and Tools below on well done steps Not Done/ (examples provided Approximate Investment Phase/Step and main achievements) Not Achieved as bullet points) Rating for Each Step (US$) Phase 1 Step 2 Zoning (Zoning or allocation of space is a mechanism for more integrated planning of aquaculture development, as well as its better regulation. It may be used either in planning to identify potential areas for aquaculture or a regulatory measure to control the development of aquaculture) 1.6  Formal allocation •   Adoption of state-of-the-art spatial Done Participatory allocation process; •   4 of the zone for planning techniques is essential. Communication and dissemination •   As the aquaculture industry is likely aquaculture purposes •   of allocated zones; to conflict with the tourism sector Preparation of Atlases and/or •   and global conservation initiates Web sites describing allocated much attention shall also be given to zones along with maps, tables and conflicts with other activities. charts. Access to markets and production •   infrastructure should play a major role in the selection of sites. Phase 2 Site Selection (Site selection is based on the suitability for development of a given activity, taking into account the physical factors of the environment and the farming system) 2.1  Location of the farm •   Land tenure/use applications Done A ssessment of land tenure; •   4 sites consulted. Participatory meetings; •   •   Suitability thresholds for species and Literature review and Internet •   culture systems for the site defined searches; and consulted. Field data collection and •   •   Criteria and suitability threshold measurements; values for finfish culture practices in Model developments; •   Southeast Asia adopted. Mapping and analysis; •   Recommendations regarding •   Mapping and analysis using GIS •   legislative aspects and coastal and remote sensing data. management taken into account. 2.2  Carrying capacity ECC estimated both at farm level and •   Done Participatory processes; •   4 estimation accounting to cumulative effect of all Environmental Impact Assessment •   the farms in a given environment. (EIA); Adopted methods are based mainly •   Risk assessment tools; •   on hydrodynamics from simulation Methods for estimation of ECC •   models. ECC estimated using suitable to sites with scarce data. knowledge on currents, depth, benthic oxygen condition, and considering the disease risks and Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia | 247 minimum distance between the individual farms. Well Done/Achieved (examples are provided Associated Activities and Tools below on well done steps Not Done/ (examples provided Approximate Investment Phase/Step and main achievements) Not Achieved as bullet points) Rating for Each Step (US$) Phase 2 Site Selection (Site selection is based on the suitability for development of a given activity, taking into account the physical factors of the environment and the farming system) Site selection and maximum •   allowable production done for various stocking densities. Proposed methods applicable to new •   fish farm sites and for estimation and assessment of the potential environmental impacts of existing cluster farms. 2.3  Set licence Maximum production per AMA •   Done EIA •   5 production limits defined according to the estimated Risk assessment •   within zone or farm ECC. water body carrying Proposed maximum production for •   248 | Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia capacity the whole site and for each AMA. Allocation of licences 2.4  •   Licences required only for companies Not a participatory process; Done/Available •   3 and permits willing to establish medium-scale or Legislative/regulatory framework •   large-scale farms. for aquaculture is complex; •   Small-scale fish breeders and local There is a need to create a “single- •   farmers are exempt of licences. window” for the processing of •   Allocation of licences should take aquaculture licence. into account suitable areas and estimated ECC. Minimum distance between farms should also be accounted for. Well Done/Achieved (examples are provided Associated Activities and Tools below on well done steps Not Done/ (examples provided Approximate Investment Phase/Step and main achievements) Not Achieved as bullet points) Rating for Each Step (US$) Phase 3 Area Management (Aquaculture Management Areas (AMA), can be aquaculture parks, aquaculture clusters or any aquaculture area where farms are sharing a common relevant water body or source and that may benefit of a common management system including minimizing environmental, social and fish health risks) 3.1  Identify management •   Based on measured and modelled Done Participatory consultations; •   3 area boundaries flow, waves and water quality Hydrodynamic + water quality •   conditions. models; •   Risks on environmental threats Depth and current maps; •   assessed. GIS and remote sensing data •   •   AMAs designated on the basis of and tools; suitable sites and ECC (local and Risk maps; •   cumulative effects). Decisions made through •   •   Buffer zones between farms, participatory and well informed coastline and the coral reefs set. processes. 3.2  Estimate total •   Maximum production set for the site Underway Risk assessment, maps and •   3 carrying capacity if in Bali according to agreements on relocations underway for the site appropriate based on acceptable risks. in question. the different risks •   ECC for each individual farm, Sites have been preselected •   separately for each AMA and taking in the majority of “Fisheries cumulative effects into account. Management Areas.” The A ssessments of ECC and fish farm •   location of the fish ports under production should be done at planning should be taken into preselected potential sites to support consideration. GOI in the expansion of aquaculture production. Organize a formal 3.3  Farmers already organized in an •   Done/Existing Facilitated participatory tools •   4 association of all Association under RDIM and the farmers in that area local Marine and Fisheries Service in Singaraja. Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia | 249 Well Done/Achieved (examples are provided Associated Activities and Tools below on well done steps Not Done/ (examples provided Approximate Investment Phase/Step and main achievements) Not Achieved as bullet points) Rating for Each Step (US$) Phase 3 Area Management (Aquaculture Management Areas (AMA), can be aquaculture parks, aquaculture clusters or any aquaculture area where farms are sharing a common relevant water body or source and that may benefit of a common management system including minimizing environmental, social and fish health risks) Area management structure with •   identified leaders and supporting technical groups/services exists. Leaders chosen by the farmers. AMAFRAD and RDIM assist •   Association with technical issues related to mariculture development. Management plan proposed for the •   Pegametan Bay. 3.4  Setting the broad •   DGA developed a plan for best Done/Existing Proposed management plan •   3 development management practice (BMP) on discussed with Farmers Association objectives and aquaculture. and Marine and Fisheries Service 250 | Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia identifying the •   BMP based on agreed measures (e.g., in Singaraja. main issues agree biosecurity scheme for the area), Management plan under revision •   on common targets, indicators and resources by the authority in charge. management,2 (human and economic). monitoring and control measures 3.5  Monitoring of •   Monitoring of water and sediment Underway A ssessment of levels of water •   4 relevant variables and quality at the site in Bali carried out quality and sediment quality at enforce management regularly since 2008. farms in which ECC has been measures •   Early warning operational monitoring exceeded. of water temperature for biosecurity Extensions of the operational •   done continuously at three stations monitoring system of the site in within the site in Bali. Bali to account for other water •   Monitoring of environmental and fish quality properties such as salinity, health conditions done at individual turbidity, DO under planning. farms not yet to assess the overall condition of the area as a whole. 2 An agreed management plan for the aquaculture management area covering the most relevant issues in environmental socioeconomic aspects and governance/external forcing factors. Well Done/Achieved (examples are provided Associated Activities and Tools below on well done steps Not Done/ (examples provided Approximate Investment Phase/Step and main achievements) Not Achieved as bullet points) Rating for Each Step (US$) Phase 4 Monitoring of the Management Plan and Review. Monitoring and review of performance is a critical step in the adaptive management planning process. It is essential both to ensure adequate performance is being generated against current objectives and to warrant that aquaculture is maintaining relevance with community expectations. Monitoring the implementation of the management plan should include environmental, social and governance indicators. 4.1  Regular monitoring •   Proposed management plan currently Underway 3 and evaluation under revision by the responsible local authorities. Emphasis given to the relocation •   of farms, distances between farms, limiting production, buffer zones, regular monitoring program and continuous monitoring for early warning. 4.2  Periodic review and Inter-sectorial zoning still under way. Underway •   3 adjustment 145 sites preselected in the •   framework of the Minapolitan Program for aquaculture development. Aquaculture zoning so far carried •   out for only 35 of the selected 145 sites. Zoning should be extended to cover all preselected sites within the program. Site selection, estimation of ECC and •   designation of AMAs should be done at the feasibility level of projects. Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia | 251 Well Done/Achieved (examples are provided Associated Activities and Tools below on well done steps Not Done/ (examples provided Approximate Investment Phase/Step and main achievements) Not Achieved as bullet points) Rating for Each Step (US$) Phase 4 Monitoring of the Management Plan and Review. Monitoring and review of performance is a critical step in the adaptive management planning process. It is essential both to ensure adequate performance is being generated against current objectives and to warrant that aquaculture is maintaining relevance with community expectations. Monitoring the implementation of the management plan should include environmental, social and governance indicators. 4.3  Review of existing Requirements for conducting EIA •   Proposed 2 regulations should be reviewed. Currently small- scale farms (less than 1000 cages) or old farms expanding in size are exempt of EIA. In this way EIA can be avoided in many ways. Requirements for conducting gross •   estimations of ECC in the early stages of fish farm development and to set limits of production in designated AMAs should be included. 252 | Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia There is a need to enforce regulations •   more effectively and to create ways to intensify communication between public institutions and users at the local level. Other notes Positive issues Negative issues Especially social issues •   Enhancement for aquaculture technology for local Occasional vandalism on marine aquaculture •   farmers around the Blue Economy areas. facilities. •   Establishment of a formal fisheries association called: Social conflicts between aquaculture •   “Klinik IPTEK Mina Bisnis“ (KIMBis) that facilitates development and fishery activities. communication with local farmers on relevant issues Recently, enhanced movement from aquaculture •   about aquaculture and the implementation models. to lobster collection due to high price of lobster Backyard hatcheries along the coastline promote •   seed. poverty alleviation and improvement of livelihood of fish farmers and fishermen. Integrated multi-trophic aquaculture (IMTA) in the •   Blue Economy area under development. Enhanced dissimination of aquaculture science and •   technology derived from research activities. Shrimp Farming in Mexico Giovanni Fiore Amaral1 Abstract in order to meet rising food demands. To this end, and in recent years, CONAPESCA has allocated public The Mexican shrimp farming industry began in the resources to improve the fisheries and aquaculture 1970s in the northwest states (Sonora, Sinaloa and sector through specific strategies; one of these Nayarit) using rustic ponds with low densities. Current strategies is “The National Program for Aquaculture estimates indicate that the surface area of shrimp Management” which was created to (i) enable an ponds in Mexico is around 70,000 hectares, however orderly and competitive aquaculture sector that is the technology has not changed considerably; modern- sustainable, and (ii) regulate and administrate the sec- ization and regulation have been limited. Nevertheless, tor, using processes and tools such as the delimitation shrimp farming represents one of the most profitable of aquaculture zones. Shrimp farming in Nayarit State aquaculture sectors in Mexico. Through the General is used as one example to illustrate how aquaculture is Fishing and Aquaculture Law, the National Commis- managed through Aquaculture Production Units (UPAs) sion of Aquaculture and Fisheries (CONAPESCA) is or aquaculture zones. responsible for the efficient regulation of aquaculture in water bodies of federal jurisdiction. On the other hand, This case study describes the methodology that is used the Secretariat of Environment and Natural Resources in Mexico to demarcate and manage aquaculture zones (SEMARNAT) is Mexico’s environment ministry. One based on the scoping of the aquaculture activity and of SEMARNAT’s core functions is to regulate the the zone, carried by the Aquaculture Health Committee development of inland aquaculture (private property of Nayarit State with federal funds of CONAPESCA. and federal marine-inland zone) by requesting environ- Zoning results are presented in a spatial database (avail- mental impact assessments for screening. Clearly, the able on the Internet) to facilitate the regularization of development and regulation of shrimp farming has to UPAs through legal mechanisms between CONAPESCA be coordinated between these federal offices with their and SEMARNAT. respective laws. The Federal Government of México, through 1. INTRODUCTION CONAPESCA, recognizes the importance and need for Aquaculture in Mexico was started towards the end of the aquaculture and fisheries sector to sustainably grow the 19th century, as a complementary activity for social support in rural communities (Juárez-Palacios, 1987). It started with the importation of rainbow trout eggs 1 The views expressed in this information product are those of the author(s) and do not necessarily reflect the views or policies of FAO from the United States (Arredondo, 1996). Although or the World Bank Group. this activity initially evolved towards other freshwater Fiore-Amaral, G. 2017. Shrimp Farming in Mexico. In J. Aguilar-Manjarrez, D. Soto & R. Brummett. Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture. Full document, pp. 253–270. Report ACS113536. Rome, FAO, and World Bank Group, Washington, DC. 395 pp. Shrimp Farming in Mexico | 253 Figure 1. Comparison of shrimp production (shrimp aquaculture vs national aquaculture) in México. 300,000 50.00 45.00 250,000 40.00 200,000 35.00 30.00 Tonne % 150,000 25.00 20.00 100,000 15.00 50,000 10.00 5.00 0 0.00 2005 2006 2007 2008 2009 2010 2011 2012 2013 Years National shrimp aquaculture production (tonne) National aquaculture production (tonne) Shrimp aquaculture vs national aquaculture (%) species, during the 1980s, mariculture was started Since 2008 the Secretariat of Agriculture, Livestock, at an experimental level with species such as spotted Rural Development, Fisheries and Food (SAGARPA— sand bass, snapper, snook, red snapper, seabass, Spanish acronym) through CONAPESCA, has pompano, totoaba, and sole (Avilés, 2000). implemented the National Aquaculture Management Program (PNOA—Spanish acronym) to develop and Shrimp aquaculture was initiated during the 1970s in conduct the National Policy for Sustainable Fisheries the northwestern Mexican states of Sonora, Sinaloa and Aquaculture. The objectives of this Program are: and Nayarit, in earthen ponds at low densities. This (i) to achieve an orderly and competitive, sustainable continues to be the most widely practiced culture aquaculture sector industry; and (ii) to provide public method, covering around 70,000 hectares generally policy instruments able of regulating and managing under nonregulated Aquaculture Production Units the activity. (UPAs—Spanish acronym). Nevertheless the cultivation of this species is one of the most productive and However, within the Mexican legal framework, profitable aquaculture activities as shown by the CONAPESCA only has administrative powers such as national fisheries statistics (Figure 1). issuing permits and concessions for aquaculture proj- ects to be undertaken in federal waters (seas, dams, The Mexican federal authorities have developed a rivers, etc.). On the other hand, the Secretariat of the series of effective strategies to recover and improve Environment and Natural Resources (SEMARNAT— shrimp aquaculture production due to the continued Spanish acronym) is responsible for regulating inland decrease of shrimp production since 2009 caused aquaculture undertaken on land (private property, by different factors such as diseases, environmental federal maritime-terrestrial zones, protected natural degradation, climate change and irregularities in UPAs, areas, etc.), as well as aquaculture of protected among others. The federal government, through the species. National Commission of Aquaculture and Fisheries (CONAPESCA—Spanish acronym), head of the This case study was carried out by the State Com- productive sector, recognizes that the development of mittee on Aquatic Health of the State of Nayarit national aquaculture is key to national food security, (CESANAY—Spanish acronym) sponsored by federal and thus has vested public resources with the purpose resources in the study area called Pericos-Pimientillo of improving this primary activity through specific (P-P) in Nayarit. The following activities were strategies. 254 | Shrimp Farming in Mexico undertaken: (i) comprehensive literature search • To create databases for aquaculture production units to develop the characterization of the area; and (WCU) facing regulation needs regarding permits (ii) surveys in each aquaculture production unit, and and concessions. a participatory workshop involving all stakeholders • To determine suitable areas for aquaculture activities of the aquaculture sector in order to obtain reliable enabling the development of shrimp aquaculture information for a comprehensive diagnosis. With this within the study area. information, and using Geographical Information • To generate a proposal to be presented to the rel- Systems, the suitability of sites for shrimp aquaculture evant authorities in order to undertake the regular- was determined, as well as estimating the potential ization of the productive units. surface areas to undertake new aquaculture projects. The target population was the shrimp aquaculture 3. METHODOLOGY communities in need of regularization and administra- The National Aquaculture Management Program tive strengthening models. Regarding the study area, (PNOA—Spanish acronym) is carried out through the seven farming communities were identified where implementation of aquaculture projects at state levels, activities are developed by producers from 9 different pointing out the need to include educational institu- towns: 163 shrimp aquaculture production units tions such as universities and research centers or private (WCU) operated by 488 producers, which generate consultancies with expertise in aquaculture matters, a production estimated at around 1,600 tonnes. which would provide the appropriate tools in order to Shrimp aquaculture activities in the study area created facilitate decision-making. CESANAY was responsible a total of 583 permanent and 1,237 temporary jobs; for the execution of the present case study. 481 people were direct beneficiaries and 2,290 indirect beneficiaries. The proposed aquaculture management program for shrimp farming in the area of the P-P Nayarit study Aquaculture suitability for shrimp farming was deter- initially consists of two stages: (i) characterization of mined in the study area. 5,368.00 hectares showed the study area, and (ii) comprehensive assessment of high aptitude, 3,661.00 hectares showed medium the aquaculture sector of the study area. These stages aptitude and 2,817.00 hectares present low aptitude are governed by four components and 30 variables for shrimp aquaculture. Regarding growth potential (Table 1) which must be determined by bibliographical of aquaculture in the P-P study area, high aptitude research, application of polygons and images, attribute was determined in 3,741.59 hectares (31.33 percent of tables, surveys and participatory workshops. total surface area), under current regulations. Enough information resulting from close coordination among CONAPESCA and SEMARNAT was obtained 2. OBJECTIVES based on the characterization and diagnosis stages; it 2.1 General Objective was used to prepare a proposal for the regularization To prepare the project titled “Aquaculture Planning of shrimp aquaculture UPAs, as well as to obtain the in the State of Nayarit: Regularization of Aquaculture following documents: Production Units” which would provide elements to 1. CONAPESCA: (i) National Registry of Fisheries and design public policy instruments aimed at regulating Aquaculture (RNPyA—Spanish acronym). and administering aquaculture. 2. SEMARNAT: (i) Use of surface waters, (ii) Surface water disposal, (iii) Resolution regarding environ- 2.2 Specific Objectives mental assessment, (iv) Concession over federal • To create a characterization and integral diagnosis maritime terrestrial zone* and (v) Permit for land of aquaculture in the study area P-P, showing the use change*. prevailing conditions of its productive environment *If applicable as well as the main problems this sector faces. Shrimp Farming in Mexico | 255 Table 1. Terms of Reference for an Aquaculture Management Project. Stage Component Variable Physical characterization Study area Hidrology Soil types Climate Geomorphology Topography and slopes General socioeconomic issues affecting Localities and population aquaculture Economically active population in aquaculture CHARACTERIZATION OF THE Productive activities STUDY AREA Social marginalization Housing characteristics Education Roads Electricity General biological aspects Vegetation Fauna Protected species Protected Natural Areas Census of Aquaculture Production Units (UPA) Database and their location Status of aquaculture in a comprehensive Environmental context Technology Regularization Socioeconomic INTEGRAL DIAGNOSIS Commercial OF AQUACULTURE SECTOR Sanitary OF THE STUDY AREA Participatory workshop Attributes Conflicts SWOT Analysis Issues Spatial analysis Aquaculture suitability UPAs Georeferencing 3.1 Characterization of Study Area P-P, Nayarit defined taking into account the water body (marsh), its 3.1.1 Physical Characterization proximity to towns, highways and rural roads, as well as the distribution of operating UPAs, using ArcGIS 10 Study Area: Located on the coastal plain of the (Figure 2). northern part of the state of Nayarit, the total surface of the study area P-P is 11,845 hectares. The extreme Hydrology: The study area is located in the basins of coordinates are: 22º 09’ 11” north, 21° 57’ 06” south, the Acaponeta River and the San Pedro River, draining 105° 21’ 01” east and 105° 26’ 30” west. It was fresh water. These rivers have a markedly seasonal 256 | Shrimp Farming in Mexico Figure 2. Boundaries of the study area in the State of Nayarit, Mexico. behavior and are found within the Teacapan-Agua medium humidity. Maximum temperature is 33.9°C Brava lagoon system, which records seasonal salinity and minimum is 17.9°C. variability, showing big contrasts between drought and Geomorphology: The study area is mainly coastal rainfall seasons; greater variation happens in rainfall brackish lagoons and delta plains. (Sánchez, 1994). Salinity drops sharply to 8 percent in autumn during the rains, and reduces to 0 percent Topography and land slope: The study area has flat in the lagoon and its tributaries (Alvarez et al., 1986). soils with average slopes below 2 percent and it is thus Low temperature values (23°C) were recorded during suitable for aquaculture. winter, while higher values were recorded (32°C) during spring. General Socioeconomic Issues Affecting 3.1.2  Aquaculture Soil types: Eutric Cambisol, Solonchak, gleyic and Solonchak, orthic. Localities and population: The total population of the study area is 8,105 inhabitants (INEGI, 2010), living Climate: Warm weather prevails in the coastal area in 7 localities that support shrimp aquaculture in the with a highest annual average temperature of 25°C, region. classified as humid warm with summer rains of Shrimp Farming in Mexico | 257 Economically active population in aquaculture: Protected Natural Areas (ANP): The study area 3,203 people, 86.73 percent male and 13.27 percent adjoins the protected natural area known as the female. Nayarit National Marshes Biosphere Reserve, which comprises the municipalities of Acaponeta, Rosamo- Productive activities: Productive activities are mostly rada, Santiago Ixcuintla, Tecuala and Tuxpan in the agricultural. Agriculture is the activity that demands state of Nayarit. the most jobs; it is followed by livestock and fisheries. 3.2  Integral Diagnosis of Aquaculture Social exclusion (marginalization): According to in the Study Area P-P, Nayarit social standards (based on insufficient access to social rights, material deprivation, limited social participa- With information derived from the participatory tion and a lack of normative integration), the study workshop as well as bibliographical research on the area is considered as “medium” in social exclusion. P-P, Nayarit, the following conclusions were reached: Housing conditions: Within the study area, 3.2.1 Census of Aquaculture Production Units (UPA) 2,267 houses are inhabited, none of which have dirt and Location floors; 2,306 have electricity connection, 2,226 have 163 shrimp production farm units were identified; sewage and 2,250 have piped water. production was estimated at around 1,600 tonne. Shrimp aquaculture farms generate 583 permanent Education: Within the study area there are educational and 1,237 temporary jobs. There are 481 direct preschool, primary, secondary and high school facilities. beneficiaries from the project, who are members of Roads: Good paved roads lead to the localities, but the UPAs and 2,290 indirect beneficiaries, both perma- access to UPAs is by dirt roads in bad conditions, nent and temporary workers. The total area involved which worsen during the rainy season. in shrimp aquaculture farms within the study area is 2,263.26 ha while the productive area is 1,964.20 ha. Electricity: The localities are connected to power lines; however, there is a lack of lines in the area 3.2.2 Conditions of Aquaculture in a Comprehensive where the UPAs are located. Context Environmental conditions: The study area is an 3.1.3 General Biological Issues important conservation region due to the high concen- Vegetation: The main vegetation is low thorny tration of aquatic fowl as well as migratory or semi- deciduous forest and mangrove. aquatic residents, vertebrates and endemic insects. It has a large extension of well-preserved mangroves. It Fauna: In the study area, wildlife is virtually nonexis- is limited by the mangrove areas and the water bodies. tent due to the proximity of human settlements and The following environmental problems have been economic activities, mainly fisheries and aquaculture. identified, caused by anthropogenic activities: However, in the National Wetlands in Nayarit, which adjoins the study area, 240 species of vertebrates • Destruction of mangroves and wetlands. have been reported, 60 of which are under protected • Unplanned development for shrimp farming on a status. The presence of two native aquatic species large scale. (white shrimp and mangrove oyster) and one exotic • Salinization of agricultural land. species (Tilapia) within the area is noteworthy; their • Silting of estuaries and pumping channels. cultivation is feasible. Technological conditions: Producers lack the Protected species: The Mexican norm NOM- necessary resources to technologically upgrade and 059-SEMARNAT-2010 aims to identify species or develop their production units. Since 100 percent wildlife populations at risk in Mexico; 14 species within of the UPAs is legally irregular, they cannot access this norm have been identified in the study area. financial support from federal programs handled 258 | Shrimp Farming in Mexico by SAGARPA-CONAPESCA. Only the semi-intensive Health conditions: The Nayarit State Aquatic Health system is employed, having moderate stocking densi- Committee (CESANAY—Spanish acronym) is respon- ties of 8–15 org/m2. The UPA’s operative infrastructure sible for monitoring the sanitary conditions of UPAs in includes 311 earthen ponds with dikes irregularly the study area. Visits are made to the various shrimp shaped. Ponds are fed surface waters from adjacent aquaculture production units, with the aim of monitor- estuaries and coastal lagoons. 67 percent of the UPAs ing the organisms’ health through various laboratory is productive only once a year during the summer- tests. UPAs utilize bactericides such as Onmicron and winter season, while 33 percent of the units carry out Timsen. When a sanitation problem arises, a sanitary two production cycles per year (winter-spring and protocol is implemented for stocking, on-growing, summer-autumn). The UPAs undertake a range of harvesting and post-harvest of shrimp. There is an activities for production: official agreement in place for a sanitary dryout in the UPAs lasting from December 1st to the last day of • Pond preparation. February, aimed at reducing mortalities caused by the • Pond water filling. white spot disease. • Acclimatization and stocking. • Feeding. The following diseases have occurred in the study area: • Water quality and biometrics monitoring. White spot viral disease, the Taura virus, and IHHNV • Harvesting. virus. Since 2013, atypical mortalities have been reported related to acute hepatopancreatic necrosis Regularization status: Due to technical and policy syndrome at the initial stages of shrimp cultivation. ignorance, UPAs have been created with no order or legal compliance, resulting in disorderly growth of 3.2.3 Participative Workshop/Meeting aquaculture in this region. Within the study area, none A participative workshop was held on December 16th, of the UPAs comply with legal regulations due to: 2013, starting at 10:00 am, at the facilities of the Ejido • Ignorance of the legal framework and current Commissary of Pimentillo. It was organized by the regulations. project executor (CESANAY) in order to assess key • The scarcity of resources only allows stakeholders to environmental attributes, conflicts with other sectors, build their aquaculture facilities. a SWOT analysis of aquaculture in the study area, and • Few extension technicians provide technical assis- the issues presented by the aquaculture sector on tance to support those interested in initiating an the site. 43 people attended the workshop, including aquaculture project within the legal framework. 33 farmers from the study area and 10 aquaculture • High cost of assessment studies required for the technicians responsible for the UPAs surveyed. application procedures for some permits. Environmental attributes: The shrimp farmers • Difficulty and time to obtain the required permits operating in the study area identified five essential and licences for shrimp farming. environmental attributes2 (Table 2) for shrimp aquacul- Socioeconomic conditions: There are 473 shrimp ture; water availability being the most important. aquaculture stakeholders in the study area. 419 are Conflicts: Shrimp aquaculture in the study area faces male (89 percent), and 54 are female (11 percent). Cur- four conflicts with the following sectors: (i) agriculture, rently there are 575 permanent and 1,213 temporary jobs. Commercial conditions: Marketing is usually done 2 Only environmental attributes were considered at this stage of by producers, whole, fresh at the UPA farm gate; the analysis, having been prioritized and included in the spatial nonetheless, the State of Nayarit has processing plants analysis. Social and economic factors were included in the conflicts, in the SWOT analysis, and under issues. Governance was evaluated that add value to shrimp production (frozen with head, in the UPAs survey (legal and document status) but this information in blocks with head, dried with head). was only included in the diagnosis report. Shrimp Farming in Mexico | 259 Table 2. Environmental attributes for shrimp aquaculture in Nayarit State, Mexico. Attribute Producers Priority Notes Water availability 1. The main attribute is water availability. Salinity 2. Have access to salt and fresh water to regulate salinity. Temperature 3. Temperature in the study area is beneficial; ideal conditions prevail for significant production. Land use 4. Land use. Roads 5. Every farm has road accessibility; most of them are in bad condition. (ii) fishing, (iii) conservation-forest, and (iv) human Issues: Five main problems affecting shrimp aquacul- settlements. The greatest conflict is with agriculture, ture development in this region were emphasized by and particularly in relation to shrimp aquaculture, due shrimp producers: to the use of agrochemical fertilizers and pesticides 1. Lack of links with research centers. which drain to water bodies as well as unlimited use of 2. Insufficient capacity of the cold chain. water by farmers. Another important conflict is with 3. High cost of feed and of high quality larvae. the fishing sector striving for the use of environmental 4. Dissemination of viral diseases. resources since both activities are developed in the 5. Silting of the estuaries and of water channels. same area. SWOT Analysis: The SWOT analysis enabled the 3.2.4 Spatial Analysis identification of five main strengths, weaknesses, One of the main objectives of Geographical Informa- opportunities, and threats faced by shrimp aquaculture tion Systems is to facilitate the decision making. The in the study area. systems incorporate algorithms to assess simple, Table 3. SWOT matrix designed at the participative workshop/meeting. Strengths Opportunities 1.  Environmental attributes to undertake aquaculture. Possibility of diversification with other aquatic species. 1.  2. High market demand for shrimp. 2. Extractive fishing stability or decline. 3. Experience in shrimp farming. 3. Job creation within the state of Nayarit. 4. Willingness to regularize the UPAs. 4. Access to technology. 5. Job creation within the state of Nayarit. 5. Access to new international markets. Weaknesses Threats 1. Severity of viral diseases. 1. Unfair market competition. 2. High operating costs. 2. Insecurity due to organized crime. 3.  Lack of financial resources from banking institutions for 3. High operating costs. operation of UPAs. 4. The siltation of water channels and estuaries. 4. Lack of entrepreneural culture. 5. Shrimp imports. 5. Control and carrying capacity. 260 | Shrimp Farming in Mexico multiple, and multi-criteria objectives interacting with Both UPAs and the study area P-P, Nayarit, were geo- the criteria and knowledge of the group of experts referenced using information generated by the project involved in the project of aquaculture management executor (CESANAY) from the survey Census of Aqua- (CONAPESCA—CESANAY). culture Production Units (UPAs) and their conditions. Moreover, for determining the aquaculture aptitude The spatial analysis in this case study aims to deter- areas, environmental information from the National mine the portion or portions of the total surface area Institute of Statistics and Geography (INEGI) was that meet a set of weighed criteria. Heuristics is used used for the following variables: soil types, hydrology, to solve conflicts with massive sets of data. geomorphology, topography and slope, localities and Each criterion to be met is addressed through the clas- population, roads, electricity, and Natural Protected sification of thematic information layers to create abstract Areas. Later, thresholds were determined to state the territorial models; these layers were obtained through a aptitude for shrimp aquaculture and the priority of bibliographical survey at the diagnosis stage. Each layer each variable through a multi-criteria analysis based on is assessed and reclassified at different points of the consultation with experts, bibliography, and the results methodology stated for each aptitude model, verifying of the participatory workshop/meeting (environmental for possible conflicts, and looking for the best solution attributes). The other variables (Table 1) were used for using a minimum distance rule with weighed values. the integral diagnosis report. When building each model, criteria for definition of 3.2.4.1 UPAs Geo-referencing of UPAs aptitude for shrimp aquaculture were established The Census of Aquaculture Production Units (UPAs), as factors and restrictions. Later, they were spatially and their conditions, were established based on the represented by subject matters according to each information generated from the diagnosis stage; then factor or restriction. the 163 UPAs identified were delimited along with Multi-criteria evaluation (Eastman et al., 1993; their table of attributes (Figure 3). Aguilar-Manjarrez, 1996; Malczewski, 1999) allowed 3.2.4.2 Aquaculture Aptitude (Shrimp) the interaction of all factors simultaneously, without having to perform several overlay map operations, nor Geographic Information Systems were used for the modifying attribute values by a constant value, nor a determination of shrimp aquaculture aptitude in the final reclassification of the end map resulting from a study area based on the results of the spatial analysis combination of all layers of the information process. (Figure 4) and the coverage area was determined for The maps resulting from the multi-criteria evaluation each aptitude (Table 4). showed the importance that the factors with the Once the suitability of shrimp aquaculture in the study highest assigned weights had, which exerted the area was determined, it became clear that new UPAs greatest influence in determining the areas with the may be developed in a surface of 3,741.59 hectares. greatest potential. However, this growth must comply with current ArcGIS 10 software was used for this case study. The sets legislation for an orderly growth of aquaculture. of data were expressed in a vectorial format which may be integrated into any commercial or free geographic PROPOSAL FOR THE COMPLIANCE 4.  information software. The output data sets were: OF UPAs WITHIN THE P-P NAYARIT • Georeferencing of UPAs. STUDY AREA • Aptitude for aquaculture by species (shrimp). For optimal performance in the P-P Nayarit study area, it is essential that UPAs fully comply with all current Shrimp Farming in Mexico | 261 Figure 3. Limits of the 163 UPAs in the study area. regulations regarding aquaculture. As mentioned The following actions were identified for the compli- above, the sprawl of shrimp aquaculture in the study ance of UPAs based on the findings of the diagnosis of area has been irregular, and, according to the diagno- the current project as well as upon the recommenda- sis, most UPAs operate under inappropriate conditions. tions of the aquaculture sector: It is necessary that every UPA undertakes actions to • Register in the National Registry of Fisheries and comply with all technical specifications established in Aquaculture under CONAPESCA. aquaculture regulations, such as being duly registered • Host an inspection visit by each aquaculture produc- in the National Registry of Fisheries and Aquaculture tion unit by federal inspectors of the Federal Attor- under CONAPESCA, complying with regulation terms ney for Environmental Protection. for use and discharge of surface water, and obtaining • Environmental impact resolution granted by an environmental impact assessment resolution and PROFEPA. the federal maritime land lease from SEMARNAT. 262 | Shrimp Farming in Mexico Figure 4. Limits of shrimp aquaculture aptitude areas and of the UPAs. Table 4. Surface area and percentage for • Submission of the Environmental Impact Assessment— shrimp aquaculture aptitude in the study area. Regional Modality to SEMARNAT. • Environmental Impact Assessment Resolution Aptitude Surface Areas granted by SEMARNAT. Aptitude Hectares Percentage • All other permits, as needed for each UPA (federal High 5,368.00 45% maritime land lease by SEMARNAT, changes in land Medium 3,661.00 31% use, etc.). Low 2,817.00 24% Total 11,845.00 100% Social and economic benefits will result from the compliance process, such as: • Permit granted by the National Water Commission • Legal certainty for UPAs located in the P-P, Nayarit (CONAGUA) for use of surface water and wastewa- study area. ter disposal. • Access to financial resources granted by federal, • Preparation of the Environmental Impact Assessment— state and municipal authorities to support aquacul- Regional Modality—of the P-P Nayarit study area, ture activities. including impact mitigation measures during both • Increased productivity and competitiveness of shrimp the operation stage and the site abandonment. aquaculture farms. Shrimp Farming in Mexico | 263 • Increase of direct and indirect jobs. Low competitiveness of UPAs is due to high input • Aquaculture activity consolidation in this region. costs for the operation of aquaculture farms, especially the costs of balanced feeds, which represent 50 per- cent of total production costs. 5. RESULTS ASSESSMENT BY CONAPESCA Sanitary conditions are part of the main problems that shrimp aquaculture faces, since the site has been CONAPESCA specialists performed a detailed analysis affected by diseases such as White Spot Viral Disease, and evaluation of the expressed results, in compliance Taura virus, and IHHNV virus, and more recently, with the Terms of Reference set for the three stages atypical mortalities have been reported related to of the proposed aquaculture management project: acute hepatopancreatic necrosis syndrome. (i) characterization of the study area, (ii) comprehen- sive assessment of the aquaculture sector in the study The P-P, Nayarit study area offers a significant potential area, and (iii) proposal for the compliance of UPAs. for the growth of aquaculture, having a surface area CESANAY was the executor of the case study. of 3,741.59 ha (31.33 percent) of high aptitude if shrimp farming projects are developed in compliance Once the results were validated, a deed settlement with the current legal framework. was issued stating that the use of public resources for the present aquaculture management project was properly applied. Thereafter, the spatial analysis was 7. REFERENCES published in the website “Acuasesor” (http://acuasesor Aguilar-Manjarrez, J. 1996. Development and .conapesca.gob.mx/) containing: (i) Geo-referencing of evaluation of GIS-based models for planning UPAs, and (ii) shrimp aquaculture aptitude. 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Fundamentos levels due to their limited financial resources and the en Acuicultura. México. pp. 1–23. scarce support received by the producers. Avilés, A. 2000. Cultivo de Peces Marinos. Cap. Most production units face water availability problems XV. En: Álvarez-Torres, M. Ramírez-Flores, L. M. for their aquaculture operation, largely due to siltation Torres-Rodríguez y A. Díaz de León-Corral (Eds). of estuaries and channels used for the supply of water. Estado de Salud de la Acuacultura, 2000. INP. 70 percent of the UPAs performs only one productive Eastman, J. R., Kyem, P. A. K., Toledano, J., & Jin, W. cycle per year while 30 percent perform 2 cycles per 1993. GIS and decision making. In: Explorations year. in geographic information systems technology, 100 percent of the production units in the study Vol. 4. Geneva: United Nations Institute for area do not comply with the current applicable legal Training and Research. 112 pp. (3discos). framework for shrimp farming. 264 | Shrimp Farming in Mexico INEGI (Instituto Nacional de Estadística, Geo- Sanchez, M., A. J. 1994. El sistema lagunar Teacapán- grafía e Informática). 2010. Censo de Población Agua Brava. En: De la Lanza E. G., J. J. Salaya A. y Vivienda, 2010, México, www.inegi.org y E. Varis (eds.). Manejo y aprovechamiento .mx/est/contenidos/proyectos/ccpv/cpv2010/ acuícola de lagunas costeras en América Latina y el Caribe. Programa Cooperativo Gubernamental. Juárez-Palacios, R. R. 1987. La acuicultura en FAO-ITALIA. GCP/RLA/102/ITA. Proyecto AQUILA México, importancia social y económica. En: II. Doc. de Campo 10 (4): 107–118. Desarrollo pesquero mexicano 1986–1987. Secretaría de Pesca. México. Lll:219–232. Malczewski, J. 1999. GIS and multicriteria decision analysis. Nueva York, J. Wiley, 392 pp. Shrimp Farming in Mexico | 265 ANNEX 1. Case study effectiveness matrix Rating (0 not Well Done/Achieved achieved (briefly describe main Not Done/ Associated to 5 fully Approximate Investment Needed Phase/Step activities/steps) Not Achieved Activities and Tools achieved) for Each Step (US$) Phase 1 Step 1 Scoping (Scoping involves compiling essential background information required to start an aquaculture project) 266 | Shrimp Farming in Mexico Definition of the 1.1  The boundaries were Background • 5 6,000 broad ecosystem defined after expert and documents; boundary (spatial, stakeholders consultation, Participatory • social and political location of shrimp meeting; scales) farms, geographical Specialist meeting; • and hydrographical Topographic maps. • boundaries (maritime zones, mangrove, human settlements, roads, etc.). Identify overriding 1.2  Compilation of relevant Review of national • 5 6,000 policy, legislation federal legislations, inter- legal framework for (such as land and secretarial cooperation aquaculture; sea rights) and and agreements were Institutional • regulations (such as consulted. analysis; ecosystem quality Consultations with • standards, water federal institutions; quality standards) Consultation • with aquaculture specialists. Setting the broad 1.3  Regularization of shrimp Consultation; • 5 40,000 development farms operating in the Census; • objectives and zone of the case study. Workshops; • identifying the main Identifying the aptitude Topographic maps; • issues areas for shrimp farming. Background • documents; Specialist meeting. • Rating (0 not Well Done/Achieved achieved (briefly describe main Not Done/ Associated to 5 fully Approximate Investment Needed Phase/Step activities/steps) Not Achieved Activities and Tools achieved) for Each Step (US$) Phase 1 Step 2 Zoning (Zoning or allocation of space is a mechanism for more integrated planning of aquaculture development, as well as its better regulation. It may be used either in planning to identify potential areas for aquaculture or a regulatory measure to control the development of aquaculture) Zone boundary 1.4  Environmental and Mapping and • 5 4,000 definition based on governance criteria were analysis using GIS relevant criteria identified for the zone of and remote sensing the case study. data; Multicriterial • analysis. Gross estimation of 1.5  Based in the national • Institutional data 5 4,000 potential production/ aquaculture production consulting; area data base, average Census. • density of shrimp culture developed in the zone and the environmental variables. Formal allocation 1.6  Based in the environmental Mapping and • 5 5,000 of the zone for criteria to indicate the analysis using GIS aquaculture purposes shrimp farming aptitude and remote sensing zones. data; Preparation of • federal Web site “Acuasesor”(maps, tables and charts). Phase 2 Site Selection (Site selection is based on the suitability for development of a given activity, taking into account the physical factors of the environment and the farming system) Location of the farm 2.1  Location of farm sites were Mapping and • 5 10,000 sites estimated by shrimp farming analysis using GIS aptitude zones (based in and remote sensing environmental criteria). data. Carrying capacity 2.2  Not calculated at this first Not done 0 25,000 estimation phase. Shrimp Farming in Mexico | 267 Rating (0 not Well Done/Achieved achieved (briefly describe main Not Done/ Associated to 5 fully Approximate Investment Needed Phase/Step activities/steps) Not Achieved Activities and Tools achieved) for Each Step (US$) Phase 2 Site Selection (Site selection is based on the suitability for development of a given activity, taking into account the physical factors of the environment and the farming system) 2.3  Set license The results of the study Not done 0 10,000 268 | Shrimp Farming in Mexico production limits are aimed to establish within zone or production limits and base water body carrying line to carrying capacity in capacity future projects. Allocation of licenses 2.4  The results of the study Not achieved 0 20,000 and permits are aimed to establish an inter-institutional effort to regularize all the shrimp farms of the zone through licences and permits. Phase 3 Area Management (Aquaculture Management Areas (AMA), can be aquaculture parks, aquaculture clusters or any aquaculture area where farms are sharing a common relevant waterbody or source and that may benefit of a common management system including minimizing environmental, social and fish health risks) 3.1  Identify management The common water body Participatory • 5 10,000 area boundaries identified is an estuary and consultations; in the other hand are the Current maps; • rural roads to access the GIS and remote • shrimp farms. sensing data and tools. Estimate total 3.2  Not calculated at this first Not done 0 25,000 carrying capacity if phase. appropriate based on the different risks Organize a formal 3.3  Most of the local farmers Periodical • 5 — association of all are voluntarily registered in meetings; farmers in that area a local Aquaculture Health Laboratory analysis • Committee funded by of organisms in federal government and case of massive farmers to minimize the mortality to prevent propagation of diseases in propagation of aquaculture species. diseases. Rating (0 not Well Done/Achieved achieved (briefly describe main Not Done/ Associated to 5 fully Approximate Investment Needed Phase/Step activities/steps) Not Achieved Activities and Tools achieved) for Each Step (US$) Phase 3 Area Management (Aquaculture Management Areas (AMA), can be aquaculture parks, aquaculture clusters or any aquaculture area where farms are sharing a common relevant waterbody or source and that may benefit of a common management system including minimizing environmental, social and fish health risks) Setting the broad 3.4  Not calculated at this first Not Done 0 25,000 development phase. objectives and identifying the main issues and agree on common management,3 monitoring and control measures 3.5  Monitoring of The local Aquaculture Monitoring by • 4 ­— relevant variables and Health Committee in stakeholders; enforce management association with the Enforcement • measures local farmers monitored discussed and periodically environmental endorsed by local and cultured species health communities. conditions. Phase 4 Monitoring of the Management Plan and Review. Monitoring and review of performance is a critical step in the adaptive management planning process. It is essential both to ensure adequate performance is being generated against current objectives and to warrant that aquaculture is maintaining relevance with community expectations. Monitoring the implementation of the management plan should include environmental, social and governance indicators. Regular monitoring 4.1  Not calculated at this first Not Done 0 30,000 and evaluation phase. Periodic review and 4.2  Not calculated at this first Not Done 0 30,000 adjustment phase. Shrimp Farming in Mexico | 269 3 An agreed management plan for the aquaculture management area covering the most relevant issues in environmental socioeconomic aspects and governance/external forcing factors. Rating (0 not Well Done/Achieved achieved (briefly describe main Not Done/ Associated to 5 fully Approximate Investment Needed Phase/Step activities/steps) Not Achieved Activities and Tools achieved) for Each Step (US$) Extent of use of Approximate number of Approximate production from each zoning and area designated aquaculture zones aquaculture zone or AMA management or AMAs 270 | Shrimp Farming in Mexico development (quantifiable) Number of zones and 1 740 tonne of shrimp range of implementation Other notes Positive issues Negative issues (especially social The local farmers with the support The lack of funding blocked local farmers issues) of the local Aquaculture Health to access new culture technology (water Committee want to regularize their treatment, water recirculation systems, shrimp farms; however none of the aeration, biofloc, etc.). farms are operating with any legal The lack of interest on reporting the total authorization. aquaculture production, to the federal Once they regularize their farms authorities. they can access to federal funds to improve their facilities. The farmers have the support of the local Aquaculture Health Committee to manage aquaculture species diseases. Aquaculture Site Selection and Zoning in Oman Dawood Suleiman Al-Yahyai1 Abstract project was started by the Ministry of Agriculture & Fisheries to select suitable sites for marine cages in The vision of the Ministry of Agriculture and Fisheries Musandam Governorate using GIS and remote sensing (MAFW) is to develop aquaculture in sustainable, tools which determines the carrying capacity for each competitive and environment-friendly basis in Oman site. The main objective of this project is to build up which meets the needs of customers for high quality a model for sustainable aquaculture development aqua products. Several features making Oman attractive applicable to other regions of the Sultanate of Oman. to local and foreign investors include long coastlines with their diversified natural marine resources, world- class infrastructure, close proximity and easy access 1. General overview to key export markets, attractive financial incentives, The aquaculture development in Oman started in support commitment from government authorities and 1992 with the research activities as trials for different well organized institutional and legislation frameworks. local species. Ministry of Agriculture & Fisheries aims Determination of suitable sites for aquaculture is very from these researches to test local species under local important for the success of the commercial aquaculture conditions. These researches include local Indian white projects. Therefore, Ministry of Agriculture & Fisheries shrimp (Penaeus indicus) culture (Gindy et al., 2000a,b), conducted a detailed survey of the Omani coast at the cage culture of European sea bream, Saprus aurata beginning of the last decade. An atlas for suitable sites (Al-Qasmi et al., 1998), local abalone culture (Haliotis along the coast was prepared which include general mariae), hatchery techniques for local silvery black sea oceanographic and environmental description about bream ( Acanthopagrus cuveiri ), biology and hatchery the coast of Oman. It also contains general information techniques for local sea cucumber (MAF, 2011). For about the suitable methods for aquaculture and major aquaculture site selection, two surveys were conducted constraints. In Oman, the sites for aquaculture projects (Gindy, 1999 and Al-Yahyai, et al., 2004). The aim of were allocated in cooperation with the concerned these two surveys was to define and select the suitable authority in Oman such as Ministry of Housing and sites for aquaculture. The second survey, which was Ministry of Environment & Climate Affairs. A recent conducted in 2004, was more comprehensive and includes the whole coast of Oman. 1 The views expressed in this information product are those of the author(s) and do not necessarily reflect the views or policies of FAO After the success of these researches and their proven or the World Bank Group. applicability of different aquaculture projects in Oman Al-Yahyai Dawood, S. 2017. Aquaculture Site Selection and Zoning in Oman. In J. Aguilar-Manjarrez, D. Soto & R. Brummett. Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture. Full document, pp. 271–286. Report ACS18071. Rome, FAO, and World Bank Group, Washington, DC. 395 pp. Aquaculture Site Selection and Zoning in Oman | 271 Figure 1. Total aquaculture production in Oman, 2003–2014. 600 516 Production (tonne) 500 400 352 353 300 270 200 168 158 127 114 120 118 100 100 85 0 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 Year with local species, the private sector started to invest 3. Establishment of aquaculture centre for researches in aquaculture with marine cage culture of European and directorate of aquaculture development for sea bream; the first project started in 2002. This project investment opportunities and monitoring; was in the Bandar Khyran area in Musact Governorate. 4. Issuing aquaculture by-laws; and The first commercial production in Oman was in 2003 5. Preparation of investment guidelines. which reached 253 tonne. This production was from the In 2011, the Ministry of Agriculture & Fisheries (MAF) marine cage project. The majority of this production was developed the strategy for aquaculture development European sea bream. Figure 1 shows the aquaculture 2011–2030. This strategy was based on several studies production since 2003 until 2013. The highest production conducted by the MAF in cooperation with FAO, such was in 2004 which was 516. From 2007, all the produc- as an aquaculture master plan conducted in 2007 tion consists of shrimp produced from shrimp farms in (FAO, 2007), food safety and environment in aqua- the Mahout region in the middle of Oman. Freshwater culture (FAO, 2008) and consultation with different integrated aquaculture in Oman is very limited currently, experts. The main objectives of this strategy include: but it represents good opportunities for development. In 2013, the production of tilapia was 3 tonne only which 1. Developing aquaculture in a sustainable manner increased to reach 20 tonne by the year 2015. using modern technology such as GIS and ecosys- tem based management; The Ministry of Agriculture & Fisheries realizes the importance of sustainable development of aquaculture 2. Developing the local communities and increasing and to put a clear plan to achieve this sustainability. their participation in the projects; Therefore, and in coordination with FAO, it prepared 3. Encouraging the small and medium enterprise; the master plan for aquaculture development in 2007 4. Increasing the fisheries production through the which was considered as the main turning point in the increase of aquaculture production. Annual aquaculture development process in Oman. Based on this growth 20 percent; plan, the Ministry of Agriculture & Fisheries takes several 5. Attracting and encouraging the foreign invest- initiatives which include but is not limited to the following: ment through incentives. 1. Atlas for suitable sites for aquaculture; 2. Establishment of aquaculture committee; 272 | Aquaculture Site Selection and Zoning in Oman Through the implementation of this strategy, the Muscat, South Al-Sharqiuah, Al-Wusta and Dhofar. Ministry of Agriculture & Fisheries expects to achieve Each of these regions has its special morphological the following: characteristics. 1. Increase the aquaculture production to reach The total area of Oman is about 309,500 km2 that 20,000 by year 2040; contains the mainland and some islands such as 2. Increase the contribution of aquaculture to GDP Masirah and Al-Halaniyat islands. Oman has about and diversification of the economy; 11 topographical areas such as (Anonymous, 1990): 3. Provide job opportunities for Omanis; 1. Mountain. 4. Enhance the supporting sector such as feed mills, 2. Mountain and plateaus affected by monsoons. processing, etc.; and 3. Dissected rocky plateau. 5. Preparation of BAP booklets. 4. Accumulation plain. 5. Accumulation/denudation plains. 2. Aquaculture Zoning 6. Coastal alluvial plain. 7. Sabkha and dunes. According to aquaculture by-laws, a site should not 8. Nearly level pediplains. be installed near any sensitive environmental areas or 9. Gently undulating pediplain. in sites that contradict with fishermen activities or a 10. Umm As-Samim sabkha. navigational route in the sea (MAF, 2012). However, 11. Sand dune areas. there is no detailed specification in the by-laws regarding the site selection, size or criteria of the site There are two coastal alluvial plains in Oman, one in required for each type of aquaculture. The land will be the Al-Batinah region and the other in Salalah. These rented for the company and renewed annually. plains were formed from the deposition of wadis, mainly fine sand and granules. Sabkha areas appear 2.1 Site Selection Project dominantly in the Al-Wusta region and Eastern coastal Determination of suitable sites for aquaculture is plain in the Sharquiah region. very important for the success of the commercial aquaculture projects. This selection is based on Each coastal governorate was visited twice to collect many criteria and factors that should be considered the necessary information. This information included before selecting the site. Therefore, the Ministry of location, water quality, soil type, topography, acces- Agriculture & Fisheries conducted a detailed survey of sibility, soil and infrastructure, etc. Maps, description the Omani coast at the beginning of the last decade and photographs for each area were produced. On (Al-Yahyai et al., 2004). This survey was concentrated the basis of this information, site identification and mainly on the land to select the suitable sites for land evaluation were made. In addition to the field data, aquaculture. Oman is located in the southeast corner available information from different governmental of the Arabian Peninsula. It has more than 3165 km of authorities was also collected. coast from Musandam in the north to Salalah in the Each region in Oman has its special features that south which faces three seas: Arabian Gulf, Gulf of allow some types of aquaculture and not the others. Oman and Arabian Sea (Figure 2). Oman has 11 Gov- Musandam Governorate in the North of Oman is more ernorates with 8 coastal ones. These coastal regions suitable for cage culture projects or other marine include Musandam, North and South Al-Batinah, aquaculture projects such as shellfish or seaweed Aquaculture Site Selection and Zoning in Oman | 273 Figure 2. General map of Oman. 274 | Aquaculture Site Selection and Zoning in Oman Figure 3. One of the protected lagoons (fjord-like) in Musandam suitable for marine cage aquaculture. culture (Figure 3). This is due to the availability of the Oman, especially for shrimp culture. These two regions deeper khawrs (fjord-like). On the other hand, this include many large sites with suitable soil types that area is not suitable for land-based aquaculture due are not suitable for any other commercial projects to the lack of the suitable large site along the coast. (Figure 4). Cage culture may not be suitable due to Al-Batinah Governorate is a heavily dense population the very rough sea during the summer. In the south area along the coast. For this reason and also due of Oman (Dhofar region), there are many suitable sites to the major infrastructure projects along this coast for abalone indoor culture. Cage culture in this region such as water desalination plants, harbors and the is difficult due to the monsoon effects and very high major coastal road, there are no available sites for land seas during the summer. aquaculture. For marine projects, there are possibilities Marine sites in other regions rather than Musandam for cage culture, but they should be located more were not included in this survey as time and resources inside the sea due to the low depth of the coastal were limited. area which extends for a big distance inside the sea, and also for the major fishermen activities. This area is 2.2  Atlas for Suitable Site for Aquaculture more suitable also for integrated tilapia aquaculture as and Zoning Process it is one of the best agriculture lands in Oman. This atlas is considered as a most comprehensive Muscat Governorate is the capital of the country publication for suitable sites in Oman for aquaculture in which most of the development is concentrated. (MAF, 2010). Preparation of this atlas was based on Therefore, availability of the free land for land the result of a previous survey and also more studies aquaculture is very low or absent compared to other from the consultant company which prepared the regions. There are few places suitable for cage culture atlas. The consultant company used satellite images, in Muscat and one site was already utilized before for physical data and environmental data (soil and water European sea bream cage culture. Al-Sharqiuah and parameters) for preparations of this atlas. The atlas Al-Wusta Governorates which face the Arabian Sea contains general oceanographic and environmental are among the best places for land aquaculture in descriptions about the coast of Oman. It also contains Aquaculture Site Selection and Zoning in Oman | 275 Figure 4. Large subkha area suitable for shrimp aquaculture. general information about the suitable methods for facilities available in these ports that can be used for aquaculture and major constraints. The main part of aquaculture. In each region, there is also a description the atlas discusses the physical and environmental about the aquaculture potential and the suitable type characteristics of different regions in Oman. The atlas of aquaculture that can be conducted in the region. divides the coast into 7 regions, region I: Rakhyut to Finally, there is also a cartographic illustration for each Sawqrah; region II: Sawqrah to Madrakah; region III: region. Gulf of Masirah; region IV: Masirah to Ras Al Hadd; Despite the wide information about the whole coast of region V: Ras Al Hadd to Muscat; region VI: Muscat to Oman and suitability of each region for different types Shinas and region VII: Musandam. of aquaculture, there is no detailed information about For each region, there is a detailed description about suitable sites for aquaculture such as size, cultured oceanographic characteristics such as weather, species and carrying capacity for the site for both land wind conditions, bathymetry, regional circulation of and sea areas. In general, this atlas is a good initial currents (Figure 5), tides, sea surface temperature, step in aquaculture zoning in Oman and it can be the phytoplankton, sea surface salinity, and waves. It base for more detailed study about each region. also includes descriptions about environment of the region and environmental constraints that may affect 2.3 Site Allocation Process for Aquaculture the aquaculture projects such as seagrass and algae, As a result of the survey and the atlas study, suitable mangrove, marine turtle, coastal birds, and coastal sites for aquaculture were determined by the Ministry protected areas. Samples of seawater were also taken of Agriculture & Fisheries and sent to the Ministry of from determined sites in each region and a description Housing to allocate the sites for aquaculture. Ministry of the results was included in the atlas. Soil samples of Housing is the competent authority in Oman for were also taken from some of the sites and analysis sites allocations for all purposes. The information was presented with advice for suitability for shrimp about the sites including name, coordinates and size pond culture or not. General information about ports required is sent to the Ministry of Housing which available in the regions was also presented with the reviews the information, and if the site is not allocated 276 | Aquaculture Site Selection and Zoning in Oman Figure 5. General circulation in the Sea of Oman (MAF, 2010). for any other purpose, the subject will be forwarded 2.4 Selecting Suitable Site for Marine Cage to the local administration branch of the Ministry of Aquaculture in Musandam Governorate– Housing where the site is located. The reason behind GIS-Based Approach this is to review the issue with the local people to The importance of GIS in aquaculture is increasing eliminate any contradictions in the interests of local and it is used widely in several countries in the process people. After that, the approval is given for the site. of aquaculture management and development Then, the issue is sent to the Ministry of Environ- (Aguilar-Manjarrez et al., 2010). Spatial planning is an ment & Climate affairs for the environmental approval important element in the process of applying eco- for the site. This is to assure that the site is not in system based management in aquaculture. In Oman, any natural protected areas or there are no natural most of the use of remote sensing and mapping was sensitive areas such as coral reefs, seagrass, mangrove, in fisheries. These tools have been used to monitor etc. If the environmental approval is given, the site is the movement of commercial fishing vessels as these allocated for the Ministry of Agriculture & Fisheries for vessels have predefined areas in which to catch. A aquaculture purposes. For sea sites, the same process survey for fish stocks assessment in the Arabian sea is also applied. The Ministry of Transport & Commu- coasts of Oman used also these tools to provide spatial nication is also involved in sea sites as it is responsible information that can be used in the management of for navigation routes. Local people are consulted for the important commercial marine species in these the sea sites through a local committee which includes areas. In aquaculture, the previously mentioned book representatives of fishermen. This committee ensures “Atlas of Suitable Sites for Aquaculture Projects in the that the cage structures or any other types of marine Sultanate of Oman” used maps and spatial data for aquaculture don’t affect their fishing activities. mapping of aquaculture sites and to select of suitable site for aquaculture. The site will be opened for investors through a public advertisement. All the applications are evaluated Using GIS models is being recognized as a tool for technically and financially by an aquaculture technical aquaculture, but this use was faced by many obstacles committee. The recommendations of this committee such as lack of appreciation of the benefits of GIS, are raised to the main aquaculture committee for a inadequate administrative support, limited understand- final decision. ing of GIS principles and associated methodologies Aquaculture Site Selection and Zoning in Oman | 277 (Nath et al., 2000). Realizing the importance of GIS consideration all the environmental, socioeconomical and spatial tools in aquaculture management, the and biological factors. The main expected outcomes Aquaculture Development Directorate initiated in from this project are: September 2014 a project entitled “Sustainable • To advance the knowledge and understanding of Development of Fisheries & Aquaculture in Musandam key biophysical and socioeconomic factors affecting Governorate—A GIS-Based Approached” with the the development of the aquaculture industry. financial support from Agriculture & Fisheries Develop- • To define effective strategies through resource ment Fund (AFDF). The main aim of this project which assessment and management for efficient decision will be for 2.5 years was to evaluate all the factors that making on suitable site selection for development. affected the selection of suitable sites for aquaculture • To identify suitable species and technologies for and also to determine the carrying capacity of each culture according to the conditions defined. site using GIS tools. The study area which is located at • To develop an integrative methodology for site selec- the North of Oman is considered as the main area in tion of aquaculture opportunities within the Musan- Oman for cage culture due to the availability of large dam Governorate that combines spatial factors and deep protected lagoons (fjord-like). This project will criteria (water quality, currents, depth, sediment also take into consideration some fisheries aspects quality and ecological quality) to identify suitable such as fish landing places and fisheries activities in the areas using GIS tools, and explores production, study area. The objectives of this project include: socioeconomic outputs and environmental impacts 1. Identify suitable generic areas for aquaculture by applying farm-scale carrying capacity modelling development in Musandam Governorate. specie-specific. 2. Identify and assess the key biophysical and socio- • To define the suitable fish landing sites and beach economical industry related factors affecting the purse seining places. development of commercial aquaculture in the • To make management recommendations, in order to Governorate. exemplify the use of this approach to assist the deci- 3. Identify suitable species for culture according to sion making process and reduce socioeconomic and local conditions and requirements. environmental problems associated with aquaculture 4. Define carrying capacities of khawrs (fjords) expansion. according to local conditions. This study includes three stages of works. The first 5. Determine efficient strategies through resource stage is for a literature review which includes collecting assessment and management for suitable site all the available information about the study area and selection decision making. also about using GIS in aquaculture and spatial plan- 6. Identify all fishing landing sites and beach purse ning. In this stage also, biophysical and socioeconomic seining sites in addition to the sites of supporting criteria to be considered in the model will be also activities such as fish drying and fish processing determined. The second stage, which is the important plants using GIS models. stage in this project, will be for primary data gathering 7. Build up a model for sustainable aquaculture on required criteria and also for generation of basic development applicable to other regions of the mapping. It will be for two years. The mapping will Sultanate of Oman. include: In general, we expect a better understanding of the • Biophysical parameters of the Governorate and dynamic of marine environment in the study area and subregions. information that helps decision makers to better deter- • Active agro-industry operations and infrastructure mine and allocate sites for aquaculture, taking into available of the region. 278 | Aquaculture Site Selection and Zoning in Oman • Land ownership, usage and future planning of the region. This determination was general determination region. of an area with no specific site size or carrying capacity • Local, Governorate and export markets for seafood of this site. products. • Suitable areas for aquaculture development. 3. Institutional and regulatory This stage will also include: frameworks 3.1 Institutional Framework • Verification (ground-truthing) of data sources by field sampling prior to the modelling stage. Availability of one governmental organization • Quality control and testing of inferred or modelled responsible for management and development of data sets. aquaculture is one of the important keys in the • Development of integrative methodologies and successfulness of the aquaculture sector. In Oman, models for site selection for aquaculture develop- the Ministry of Agriculture & Fisheries is the main ment within the Musandam Governorate and governmental authority responsible for aquaculture subregions that combines spatial factors and criteria development. The Directorate of Aquaculture Develop- established (carrying capacity). ment in the Ministry is the main department respon- • Assessment of the general applicability of the final sible for aquaculture development and management. models. This Directorate is also responsible for authorization, licensing and monitoring of aquaculture projects. The Satellite imagery, digital maps of the study area aquaculture centre conducts scientific and experi- and aerial photos will be collected and used in the mental researches and disease control of aquaculture GIS models. The third stage will be for finalizing projects. The Fish Quality Control Centre is responsible the reports and recommendations and setting the for issuing quality permits for aquaculture products strategies and options for aquaculture development in and residue planning. The Directorate of Aquaculture Musandam Goveronrate. Development coordinates the works regarding the aquaculture between the different departments. Supreme Council for Planning, which is the highest authority in Oman for land planning, conducted a Aquaculture License Procedures project to develop Comprehensive Economic Develop- ment Strategy & Spatial Master Plan for Musandam All the applications for aquaculture projects are Governorate. This is the same area for the previous submitted to the Directorate of Aquaculture Develop- project. This broader project encompasses all activities, ment which compiles all the necessary documents not only fisheries, and its aim was to put the master for the application. The applications are evaluated plan for development of Musandam Governorate for by the technical committee which is headed by the next 25 years (2040). The final results and reports the Director General of Fisheries Development and are not yet finalized as these results will be discussed contains members from the Directorate of Aquaculture among different authorities and stakeholders. GIS Development, Aquaculture Center, Water Resources tools were used in this project for availability of land Management Centre and Legal Department. The that can be used for urban functions. In this project, recommendations from the technical committee will maps that illustrate all possible uses for different areas be raised to the main aquaculture committee for final in the Governorate were developed including uses approval. This committee is headed by the Minister for fisheries purposes. Specific areas for aquaculture of Agriculture & Fisheries. It contains members from purposes were also defined in different parts of the different ministries at the levels of Undersecretaries Aquaculture Site Selection and Zoning in Oman | 279 Figure 6. Application process for aquaculture projects in Oman. Opening period for application Evaluation of applications PAL (Provisional Aquaculture License) for one year to submit Reject the application an EIA and feasibility study Withdraw consent OAL (Operational if studies Aquaculture License) not submitted and Director Generals. These ministries are Ministry of its product (MAF, 2012). This by-law was first issued of Agriculture & Fisheries, Ministry of Environment & in 2004 and amended in 2012. It contains about Climate Affairs, Ministry of Trade & Commerce, 80 articles in different aspects such as licensing and Ministry of Transport & Telecommunication, Ministry its requirements, quarantine procedures and quality of Housing, and Ministry of Finance. issues. According to this regulation, a company can’t start any aquaculture project without permission from If the company gets the approval from the Committee, the competent authority (Ministry of Agriculture & it will be given a Provisional Aquaculture License (PAL) Fisheries). The regulation also states the require- for one year to complete the feasibility study and EIA ments for quarantine and prevents the culture of study. These studies are reviewed by the Ministry of exotic species without permission from a competent Agriculture & Fisheries with EIA and are also reviewed authority. The rules state the works of the aquaculture by the Ministry of Environment & Climate Affairs for committee and the flow of the applications from the environmental approval. If the studies are approved, private sector. For licensing issue, the laws describe the company will sign a contract with the Ministry of the requirements for the license and the information Housing for usufruct right of the land. After that, the needed by the Ministry to process this license, such company will be given an Operational Aquaculture as regular information about the company, site for License (OAL) from the Ministry of Agriculture & the project, and species to be cultured. Table 1 shows Fisheries. The contract is for 20 years with annual some of the main laws and regulations that control renewal. Figure 6 illustrates the procedures and routes aquaculture activities in Oman. of the applications for aquaculture projects. 3.2 Legal Framework In Oman, there is a special regulation for aquaculture which is the by-law of aquaculture and quality control 280 | Aquaculture Site Selection and Zoning in Oman Table 1. Main laws and legislations related to Aquaculture in Oman. Law Purpose Law of Sea Fishing and the Protection of Marine Biological All fisheries activities in Oman including aquaculture are Wealth issued in 1982 and amended in 1993 regulated by this law Law for the conservation of the environment and prevention of This law is the main frame for the environment pollution (RD 114/2001 superseding RD 10/82) protection in Oman and it controls all the activities that affect the environment Regulation By-law of aquaculture and related Quality Control Regulations. Regulate the aquaculture activities and operations (MD 177/ 2012) By-law of discharging liquid waste in the marine environment Controls the discharge of any liquid substances in marine (MD 159/2005) environment. It applies also to aquaculture currently By-law for organizing the Issuance of Environmental Approvals Regulates and controls the process of issuance of and the Final Environmental Permit (MD 68/2004) environmental approval and EIA process. It applies also to aquaculture currently Environmental Impact 4.  Each category has its own environmental conditions Assessment (EIA) according to the level of environmental impact arising from its construction and operation. Aquaculture Protecting the environment is one of the main projects are classified in the third category, which priorities in Oman. Therefore, the Ministry of Environ- requires more detailed study of EIA. ment & Climate Affairs was established as the main governmental authority responsible for the protection The owner of the any establishment (including of the environment in Oman. There are many laws for an aquaculture establishment) shall apply to the environment protections in Oman of which the law on Ministry of Environment & Climate Affairs (MECA) for Conservation of Environment and Prevention of Pollu- Environmental approval. An Environmental Impact tion is the main one. This law was issued in 1982 and Assessment (EIA) study should be submitted with the amended in 2001 (MECA, 2001a). According to this application and the ministry official shall inspect the law, no establishment of any source or area of work proposed site to determine the environmental condi- shall be started before obtaining an environmental tions that must be fulfilled. The preliminary approval is permit confirming its environmental soundness. This given to the establishment to commence the construc- also includes the aquaculture projects. tion process. The approval shall include specifications about environmental conditions to be fulfilled prior There are many executive by-laws from the main to starting operations and shall be valid for one year, environmental law. One of them is specialized for renewable for a similar period. The final environmental organizing the Issuance of Environmental Approvals permit is given to the establishment after fulfillment of and the Final Environmental Permit (MECA, 2001b). the conditions stated in the preliminary environmental This regulation covers all the industrial projects includ- approval and shall be valid for two years and renew- ing the aquaculture projects. It detailed the necessary able for a same period or other specified period. requirements and the approval system for an Environmental Impact Study (EIA). According to these A guideline for the EIA study for aquaculture projects regulations, the industrial establishments have been is detailed in the investment guideline for aquaculture classified into three categories according to the materi- in Oman (MAF, 2015). The study should include a full als used in production, production capacity and the baseline survey for the site and areas that may be degree of their impact on the adjacent environment. impacted by the project’s operation. Impacts of the Aquaculture Site Selection and Zoning in Oman | 281 projects will be detailed in the study with the correc- the fish during the cultivation and quality of the final tive measures. A complete monitoring plan, which product and residue plans. Therefore, efforts have can be undertaken internally and be monitored by an been made to harmonize and coordinate the work external agency, should be detailed also in the study. of these departments. One team was established for A complete list of all chemicals, pharmaceuticals, and monitoring which included members from the three other substances for use on the project will be submit- departments with the lead of the Directorate of Aqua- ted with details of risks of use. The investor will also culture Development as the focal point for aquaculture submit a risk assessment analysis for the operation of monitoring. The team will have the competences for the project with a “what if” scenario developed for a all the steps of an aquaculture project development: worst case position. • farm construction, There are fees against the issuance of the environ- • preharvesting production process, mental approval and the final environmental permit. • best aquaculture practices, Depending on its nature of activities, as evaluated • environmental follow-up, by the Competent Authority, the establishment shall • disease control, be bound to conduct an Environmental Audit (EA) • postharvesting production process, by specialized companies approved by the Sultanate • consumers health. according to the requirement of the ISO 14000 series Guidelines for aquaculture monitoring have been for the environmental management system, every two prepared by the three departments. This guideline years from the date of receiving their final environ- contains the detailed mechanisms for the work of a mental permits. monitoring team before, during and after any inspec- For aquaculture projects, there is an agreement tion visit. It contains also the necessary tests required between the Ministry of Agriculture & Fisheries and during the inspection visit. The guideline also specifies the Ministry of Environment & Climate Affairs (MECA) the type of monitoring, such as full inspection for that the EIA study submits first to the Directorate of renewal of the license, inspection for first approval, Aquaculture Development which will evaluate the inspection during construction (new farm or farm study and after that, the applicant gives the study modification), periodic programmed inspections and to MECA. random spot checks. Different inspection forms have also been prepared in this guideline depending on the type of aquaculture facilities such as hatchery, shrimp 5. Aquaculture Monitoring farms, fish farms—tanks onshore, fish farms—cages Monitoring is defined in the EU Regulation 882/2004 offshore, abalone farms—RAS, shellfish farms, and as conducting “a planned sequence of observations or seaweed farms. There are also forms for feed mills and measurements with a view to obtaining an overview fish processing plants if they exist on the farm. of the state of compliance with feed or food law, animal health and animal welfare rules.” 6. Conclusion Aquaculture monitoring in Oman is at the initial development stage, as only one commercial project Despite that the aquaculture industry is at an early exists in Oman. Three departments in the Ministry of stage in Oman, the Government takes all efforts Agriculture & Fisheries are responsible for aquaculture for development and management of the sector in monitoring—the Directorate of Aquaculture Develop- a sustainable manner. Among these efforts are the ment, Aquaculture Centre and Fish Quality Centre. selection of suitable sites for aquaculture projects, as The involvement of each department depends on the selection is one of the main criteria for the success type of monitoring. The Directorate of Aquaculture and sustainability of any aquaculture project. Different Development monitors the production process and projects were conducted for site selections but these environment, the Aquaculture Centre monitors the fish projects were generally in terms of selection and no health and the Fish Quality Centre monitors quality of carrying capacity was determined or size of the site. 282 | Aquaculture Site Selection and Zoning in Oman A recent initiative was conducted by the Ministry of in Sultanate of Oman: Final report: Part 2: Shellfish Agriculture and Fisheries to use GIS tools for site selec- culture. Ministry of Agriculture & Fisheries. tion for marine cage aquaculture, which will enhance FAO. 2007. National Strategic Plan for Sustainable and develop the process of selection and produce Aquaculture Development in the Sultanate of more detailed data and criteria for the site including Oman. the carrying capacity and environmental standards. FAO. 2008. Review of current situation of Aquaculture in the Sultanate of Oman with particular refer- 7. REFERENCES ences to Food Safety and Environment. Aguilar-Manjarrez, J., Kapetsky, J. M., and Soto, D. MAF. 2015. Investment Guidelines for Aquaculture 2010. The potential of spatial planning tools to Development in the Sultanate of Oman. Ministry support the ecosystem approach to aquaculture. of Agriculture & Fisheries. FAO/Rome. Expert Workshop. 19–21 November 2008, Rome, Italy. FAO Fisheries and Aquaculture MAF. 2012. Aquaculture and related Quality Control Proceedings., No. 17. FAO, Rome. 176 pp. Regulations. Ministerial Decision No (177/2012). Ministry of Agriculture & Fisheries. Al-Qasmi, A., Al-Farsi, I., Gindy. A., Al-Busaidi, Y. and Al-Mazroai, A. 1998. Finfish cage culture MAF. 2011. Aquaculture Researches and development demonstration project: Final report. Ministry of in the Sultanate of Oman. Ministry of Agriculture & Agriculture & Fisheries. Fisheries. Al-Yahyai, D. S., Mevel, J. Y., Al-Farsi, I., AL-Farsi, E., MAF. 2010. Atlas of Suitable Sites for Aquaculture and Al-Ruqishi, Y. 2004. General Introduction to Projects in the Sultanate of Oman. Ministry of suitable sites for aquaculture in Oman. Agriculture Agriculture & Fisheries. and Fisheries Research Bulletin 1(5): 5–10. MECA. 2001a. Law on Conservation of the Environ- Anonymous. 1990. General Soil Map. Ministry of ment and Prevention of Pollution issued by Royal Agriculture & Fisheries. Decree No. 114/2001. Ministry of Environment & Climate Affairs. Gindy, A. 1999. Planning for future mariculture development in the Sultanate of Oman. Ministry MECA. 2001b. Ministerial decision No. 187/2001 for of Agriculture & Fisheries. organizing the Issuance of Environmental Approv- als and the Final Environmental Permit. Ministry of Gindy, A., Al-Busaidi, Y., Rajakumar. T., Kagoo, I., Environment & Climate Affairs. Al-Farsi, E., Al-Ruquishi, Y. and Al-Kindy, F. 2000a. Experimental Shrimp and Shellfish Culture Nath, Sh. S., J. P. Bolte, L. G. Ross and J. Aguilar- in Sultanate of Oman: Final report: Part 1: Shrimp Manjarrez. 2000. Applications of geographical culture. Ministry of Agriculture & Fisheries. information systems (GIS) for spatial decision support in aquaculture, Aquaculture Engineering Gindy. A., Al-Busaidi, Y., Rajakumar, T., Kagoo, I., 23 (2000) 233–278. Al-Farsi, E., Al-Ruquishi, Y. and Al-Kindy, F. 2000b. Experimental Shrimp and Shellfish Culture Aquaculture Site Selection and Zoning in Oman | 283 Annex 1. Case study effectiveness matrix Rating (0 not Well Done/Achieved achieved Approximate Investment (briefly describe main Not Done/ to 5 fully Needed for Each Step Phase/Step activities/steps) Not Achieved Associated Activities and Tools achieved) (US$) Phase 1 Step 1 Scoping (Scoping involves compiling essential background information required to start an aquaculture project) 1.1  Definition of the broad Scoping is done with spatial, Physical Regulations for aquaculture and •   4 US$500 000 (only for one ecosystem boundary political and social aspects. parameters quality control of its product (MD area in Oman). (spatial, social and for site not 177/2012). political scales) defined yet. 1.2  Identify overriding Land and sea rights are defined Ecosystem Regulations for aquaculture and •   3 Included in the previous 284 | Aquaculture Site Selection and Zoning in Oman policy, legislation (such by law. quality quality control of its product (MD cost and only for one area. as land and sea rights) standards not 177/2012). and regulations (such defined. as ecosystem quality standards, water quality standards) Setting the broad 1.3  Done Aquaculture master development •   5 development objectives plan. and identifying the main issues Phase 1 Step 2 Zoning (Zoning or allocation of space is a mechanism for more integrated planning of aquaculture development, as well as its better regulation. It may be used either in planning to identify potential areas for aquaculture or a regulatory measure to control the development of aquaculture) Zone boundary 1.4  Selection based on general criteria Preselection Regulations for aquaculture and •   2.5 million US$. Estimation definition based on without predefined criteria. standards not quality control of its product (MD for the other 5 coastal relevant criteria defined. 177/2012). areas in Oman. Gross estimation of 1.5  In the atlas for suitable site, general Not done MAF, 2010. Atlas of suitable Sites •   2 Included in the previous potential production/ production was estimated but not specifically per for Aquaculture Projects in the cost and only for one area. area per site. It was per general area. each site. Sultanate of Oman. Formal allocation of the 1.6  Aquaculture committee take the Regulations for aquaculture and Standard criteria •   3 Included in the previous zone for aquaculture responsibility for site allocation. for selection and quality control of its product (MD cost and only for one area. purposes carrying capacity 177/2012). for each site not done. Rating (0 not Well Done/Achieved achieved Approximate Investment (briefly describe main Not Done/ to 5 fully Needed for Each Step Phase/Step activities/steps) Not Achieved Associated Activities and Tools achieved) (US$) Phase 2 Site Selection (Site selection is based on the suitability for development of a given activity, taking into account the physical factors of the environment and the farming system) 2.1  Location of the farm Determination of land based For sea sites Regulations for aquaculture and •   3 sites site depends on the size of the no standard quality control of its product (MD available site and many criteria. done or 177/2012); This process between Ministry of carrying Consultation with local people. •   Agriculture & Fisheries and other capacity. ministries. Carrying capacity 2.2  Not done 0 Included in 1.4. estimation Set license production 2.3  Not done Included in 1.4. limits within zone or water body carrying capacity Allocation of licenses 2.4  Done through Aquaculture Meetings of aquaculture committee, •   4 and permits Committee. Consultation with local people. •   Phase 3 Area Management (Aquaculture Management Areas (AMA), can be aquaculture parks, aquaculture clusters or any aquaculture area where farms are sharing a common relevant waterbody or source and that may benefit of a common management system including minimizing environmental, social and fish health risks) Identify management 3.1  Not done No aquaculture park or cluster •   0 area boundaries currently in Oman. Estimate total carrying 3.2  Not done 0 capacity if appropriate based on the different risks Organize a formal 3.3  Not done (only 0 association of all one farm in farmers in that area Oman). Aquaculture Site Selection and Zoning in Oman | 285 Rating (0 not Well Done/Achieved achieved Approximate Investment (briefly describe main Not Done/ to 5 fully Needed for Each Step Phase/Step activities/steps) Not Achieved Associated Activities and Tools achieved) (US$) Phase 3 Area Management (Aquaculture Management Areas (AMA), can be aquaculture parks, aquaculture clusters or any aquaculture area where farms are sharing a common relevant waterbody or source and that may benefit of a common management system including minimizing environmental, social and fish health risks) Setting the broad 3.4  Not done development objectives and identifying the main issues agree on common management,1 monitoring and control measures 286 | Aquaculture Site Selection and Zoning in Oman Monitoring of relevant 3.5  Not done variables and enforce management measures Phase 4 Monitoring of the Management Plan and Review. Monitoring and review of performance is a critical step in the adaptive management planning process. It is essential both to ensure adequate performance is being generated against current objectives and to warrant that aquaculture is maintaining relevance with community expectations. Monitoring the implementation of the management plan should include environmental, social and governance indicators. 4.1  Regular monitoring and Monitoring plan done recently and •   Regulations for aquaculture and 4 evaluation start to implement, but only one farm quality control of its product (MD exists. 177/2012). Periodic review and 4.2  To be done after implementation. adjustment Extent of use of zoning Approximate number of Approximate production from each aquaculture zone or AMA and area management designated aquaculture zones development or AMAs (quantifiable) Number of zones and range NA of implementation Other notes (especially Positive issues Negative issues social issues) 1 An agreed management plan for the aquaculture management area covering the most relevant issues in environmental socioeconomic aspects and governance/external forcing factors. Mariculture Parks in the Philippines Patrick White and Nelson A. Lopez1 Abstract for small, medium and large scale investor. Controlled maximum production. Environmental monitoring. The Government of the Philippines through the Bureau of Fisheries & Aquatic Resources has promoted the development of mariculture zones and parks as a way 1. Introduction of responsible and sustainable development of coastal The Mariculture Park (MP) in the Philippines is an cage aquaculture to provide livelihood to local com- integrated business approach in aquaculture which munities and contribute to food security. At the present has been adopted as an integral program of the time there are over 60 mariculture parks in operation Comprehensive National Fisheries Industry Develop- throughout the Philippines. The concept of the Mari- ment Plan (CNFIDP) and promoted by the Bureau of culture Park (MP) is patterned upon the development Fisheries and Aquatic Resources (BFAR) in partnership of an industrial estate in a selected zone designated with the private and public sectors. The major goals are for aquaculture within municipal waters, wherein to ensure food security and create livelihood oppor- aquaculture plots are leased to small to medium sized tunities for coastal communities. The concept of the aquaculture farms, and infrastructure (mooring systems, mariculture park is patterned upon the development navigation lanes and docking areas), utilities (support of an industrial estate in the sea, wherein aquaculture facilities) and technical services are provided by the plots are leased to investors/aquaculture farmers and government. The development process for setting up infrastructure (mooring systems, navigation lanes and and operating a mariculture park follows a well-defined docking areas), utilities (support facilities) and technical set of steps. The main features of the mariculture park services are provided by the government. development include: (i) Shared infrastructure— multiproduct onshore warehouse, cold storage and ice The idea of the mariculture park evolved as a solution plants facility, service as well as ferry boats, communal to address some of the pressing problems besetting mooring system; (ii) Shared services—availability of the aquaculture industry in the Philippines, such as fish seeds and feeds supplier, cage fabricator and manpower kills caused by environmental degradation in densely services; (iii) Shared security—internal and external farmed areas, unregulated utilization of the coastal security; and (iv) Sustainability—well-selected sites waters for aquaculture, low productivity, inaccessibility to suppliers and markets, slow adoption of technolo- gies and limited capital for investments. 1 The views expressed in this information product are those of the author(s) and do not necessarily reflect the views or policies of FAO Mariculture park development follows an ecosystem- or the World Bank Group. based management approach and is also a valuable White, P. & Lopez, N. A. 2017. Mariculture Parks in the Philippines. In J. Aguilar-Manjarrez, D. Soto & R. Brummett. Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture. Full document, pp. 287–313. Report ACS113536. Rome, FAO, and World Bank Group, Washing- ton, DC. 395 pp. Mariculture Parks in the Philippines | 287 Figure 1. Mariculture park development in cumulative number of hectares. 70,000 60,000 50,000 40,000 30,000 20,000 10,000 0 01 02 03 04 05 06 07 08 09 10 11 12 13 14 20 20 20 20 20 20 20 20 20 20 20 20 20 20 1/ 1/ 1/ 1/ 1/ 1/ 1/ 1/ 1/ 1/ 1/ 1/ 1/ 1/ 8/ 8/ 8/ 8/ 8/ 8/ 8/ 8/ 8/ 8/ 8/ 8/ 8/ 8/ tool for coastal resources management. In the prevailing almost annually resulting in big losses in the mariculture park, the government manages the sea farming industry, particularly on the milkfish cage activities sustainably by regulating the number and operations in the Province of Pangasinan known as an sizes of cages and other structures. The management established milkfish producing province in the country. of mariculture parks takes into consideration the Hence, with the proper planning of establishing ecological, social, economic and institutional aspects mariculture parks, the perennial incidence was abated. of development. Like any development strategy that The first mariculture park was established at the Island involves utilization of natural resources, mariculture has Garden City of Samal, Davao in 2001. From 2003 both positive and negative impacts. The development onwards, BFAR expanded the program in other regions of mariculture, as experienced in commercial scale of the country which have replicated the project. In MPs, has evidently brought about economic benefits July 2012, there were 66 mariculture parks nationwide such as increased production, job opportunities and to at different stages of development and 5 MPs to be a certain extent reduced illegal fishing activities. rehabilitated. As of June 2014 there were 67 MPs Over a decade, ever since the mariculture parks and established throughout the country with 3 more sites zones program was implemented by BFAR, there were scheduled for launching in Mindanao. The total area observed less reported fish kills and disease occurrence covered by mariculture parks was 53,469.33 ha. The virtually in almost all areas established. This compares 67 mariculture parks have approximately 73 percent of to the early stage before the implementation of the fish cages, growing milkfish, while the remaining mariculture parks and zones along municipal waters, 27 percent are growing groupers, siganids (rabbitfish) where records of mass mortalities due to fish kills were and seaweeds. An average mariculture park covers Figure 2. Mariculture park development in cumulative number of cages. 3,000 2,500 2,000 1,500 1,000 500 0 01 02 03 04 05 06 07 08 09 10 11 12 13 14 20 20 20 20 20 20 20 20 20 20 20 20 20 20 1/ 1/ 1/ 1/ 1/ 1/ 1/ 1/ 1/ 1/ 1/ 1/ 1/ 1/ 8/ 8/ 8/ 8/ 8/ 8/ 8/ 8/ 8/ 8/ 8/ 8/ 8/ 8/ 288 | Mariculture Parks in the Philippines 810 hectares (range 60–27,000 ha) and has 45 cages • 1 MP/Mariculture Zone for Assessment (range 1–500). Figures 1 and 2 illustrate the cumulative • MPs for Intensive Promotion and Development number of hectares and cages for the period • Priority for 2013–2014 2001–2014. In 2013, however, there was a noted a. Balingasag Mariculture Park—Misamis Oriental decreased in the farming operations, particularly in b. Panabo Mariculture Park—Davao del Norte the East Visayan region of Leyte and Samar provinces c. Pantukan Mariculture Park—Compostella Valley as more than a thousand cages were wiped out by • Other Potential Areas Typhoon Haian. Rehabilitation of the zoned areas and d. Padre Burgos MP—Quezon reinstallations of cages are currently ongoing to date. e. San Jose MP—Northern Samar f. Surigao City MP—Surigao del Norte These mariculture parks are strategically located in g. Lopez Jaena MP—Misamis Occidental various points along the East Seaboard and West Seaboard and are designed to connect the Philippine The objectives of the Mariculture Park Development Mariculture Industry to the international market Program in the Philippines include: through a live fish trade network. • Employment generation and poverty alleviation in A summary of the mariculture parks operational status the countryside is given below: • Promotion of marine fish culture as an alternative source of livelihood for marginalized and sustenance • 67 Established mariculture parks fishers • 66 MPs/mariculture Zones Assessed Figure 3. Location of mariculture parks in the Philippines (as of June 2014). Mariculture Parks in the Philippines | 289 • Development of an area with appropriate equipment The development process for setting up a mariculture and infrastructure that will allow fishers, fish farmers park occurs in the following sequence: and investors to operate cost-effectively and securely • Site selection and prioritization • Development of skilled and technically capable fish- • Pre-assessment of site suitability ers to support the mariculture industry • Public hearing/consultations • Promotion of the use of environmentally friendly • Municipal resolution inputs and farm management practices • Municipal ordinance • Promotion of Good Aquaculture Practices (GAqP) to • Development plan address environmental resilience and protection of • Environmental Impact Assessment (EIA) sensitive habitats. • Organization of Executive Management Council (EMC) The main features of a mariculture park are as follows: • Detailed survey/Environmental Compliance Certifi- cate (ECC) • Multiproduct onshore warehouse, cold storage and • Subdivision plan ice plants facility, service as well as ferry boats • Installation layout (mooring/cages) • Sufficient navigational lanes and communal mooring • Training system • Lease/permit issuance • Internal and external security • Operation and management • Well-defined sites for investment category for small, • Regular monitoring (physico-chemical). medium and large scale investor • Ready available mooring support services for small- scale operators 2. Zoning process • Availability of seeds and feeds supplier, cage fabrica- The development of the mariculture park concept in tor and manpower services. the Philippines started with the creation of the BFAR The advantages of being a producer in a mariculture National Mariculture Parks Development and Manage- park include: ment Committee to provide leadership and direction in the implementation. The committee was composed • Minimal rental cost of a site of BFAR National and Regional Staff. The committee • Protection and security provided by Local Govern- was under the Office of the Assistant Director for ment Unit (LGU), BFAR and military assistance from Technical Services with its technical staff providing for Philippines National Police (PNP) the Secretariat. • Technical assistance from BFAR and LGU • Financial assistance from private and government The committee was composed of two committee core lending institutions, rural and commercial banks groups, based at the BFAR central office that provided • Marketing assistance from BFAR, LGU and private technical expertise, assistance and coordinating func- marketing experts tions to BFAR Regional Offices focal persons/regional • Availability of feeds, fingerlings, fish cages, man- management committees and Executive Management power pool and other ancillary services. Councils (EMC). The legal basis for the establishment of the mariculture The Environmental and Scientific Studies Core Group park are: functions were: • City/Municipal Ordinance • Update mariculture parks environmental profiles • Memorandum of Agreement LGU-BFAR • Conduct technical surveys for the establishment of • Section 22 of Republic Act 8550 (R.A. 8550) new mariculture parks • National Rules and Regulations • Conduct environmental monitoring in compliance • Local Lease Agreements with ECC and other established protocols • Environmental Compliance Certificate (ECC). • Conduct carrying capacity studies for MPs 290 | Mariculture Parks in the Philippines • Conduct socioeconomic impact evaluation of MPs The following criteria are considered in the selection of • Conduct training on environmental monitoring for mariculture parks: regional staff and LGUs • Accessibility • Conduct environmental R & D related programs and • Peace and order projects. • Availability of inputs The Development, Management and Technological • Availability of technical guidance and assistance Services Core Group functions were: • Availability of other ancillary industries • Availability of transport and roads • Updating management strategies of mariculture • Availability of ice plant and cold storage parks • Proximity to markets. • Strengthening of mariculture parks governance • Manpower Pool Development Prospective mariculture areas are first subjected to a • Development of appropriate technologies (seed pro- baseline environmental assessment which includes duction, grow-out and post-harvest) in cooperation study of the area’s current patterns and physical with other government institutions, state universities configuration, the chemical characteristics of the water and colleges, nongovernment organizations and column and a socioeconomic study. the private sector through demonstrations projects/ Travaglia et al. (2004) demonstrated the use of satellite pilot projects/production trials imaging radar for mapping existing coastal aqua- • Development of business models (seed production, culture and fisheries structures in the Lingayen Gulf. grow-out and post-harvest) This method, as well as the interpretation of satellite • Coordination, facilitation and assistance on credit images, can be used to identify existing activities in and marketing the proposed area. • Facilitation for the support services of ancillary industries A rapid assessment of the existing habitats is also • Mariculture Parks Enterprise Development included in the study to map out location of critical • Conduction of capability building projects habitats and so that appropriate buffer zones are • Locators and fisherfolks organizing provided for protection for these valuable habitats. • Information and Education Campaign (IEC). The baseline data generated from the study becomes the basis for zoning and development planning Operational funds were sourced out from BFAR funds to ensure sustainable mariculture activities. Only appropriated for mariculture parks development and recently has GIS been used by BFAR to support the management programs. Specific operational funds zone selection process with the use of a particle downloaded to regional offices for specific activities tracking model (TROPOMOD) and on the bases of were disbursed in accordance with existing accounting the existing Department of Environment and Natural and auditing rules and regulations. Resources (DENR) Environmental Impact Assessment- The establishment of a mariculture park is based on Environmental Compliance Certificate (EIA-ECC) environmental, socioeconomic and governance (e.g., requirements. legal) considerations, therefore following an Ecosystem Approach to Aquaculture (EAA).2 The development Once the proposed area is found suitable for maricul- ture, it is recommended that a Municipal Ordinance of mariculture parks is consistent with the national be enacted by the proponent Sangguniang Bayan/ fisheries policies of the Philippines, i.e., Fisheries Code Panglungsod (Municipal/City Council) to declare the of 1998 and other relevant promulgations such as the area as a mariculture park. Should the LGU and BFAR Agriculture and Fisheries Modernization Act of 1997 agree on the establishment of the project, a Memo- and the Local Government Code of 1991. randum of Agreement is forged between the LGU and the BFAR to develop and co-manage the maricul- 2 EAA guidelines reference. ture park. Mariculture Parks in the Philippines | 291 This process follows a number of well-defined steps: 4. Zonation. The zoning of the mariculture area is defined as: 1. Rapid Area Assessment. The process for prepa- • Preparation of Mariculture Park Spatial Develop- ration and undertaking of the Rapid Area Assess- ment Plan (maps and work plans) ment is as follows: • Establishment of navigational lanes • Organize Rapid Area Assessment Team • Establishment of general boundaries of the • Preparation of maps for mariculture development proposed area based on the rapid assessment • Tentative demarcation of proposed area conducted with the TROPOMOD application • Preparation of location profile predicting potential impact to the environment • Retrieval of secondary data (such existing maps consistent with the environmental impact assess- of mangrove, seagrass areas, etc.) ment studies of the DENR • Habitat assessment such as mangroves, coral • Zoning of the mariculture parks to different reef and sea grasses reports projects • Water quality assessments reports (temperature, • Establishment of markers for farm plots pH, salinity, DO, turbidity, transparency, coliform • Conduction of Local Government Unit orienta- levels, nitrogen, nitrites, phosphorous, phos- tion for public awareness and as reference for phates, total suspended solid, heavy metals, etc.) legislation. This orientation covers: • Previous socioeconomic studies and community • Mariculture Parks/Zone (MP/Z) concept consultation activities in the area. • MP/Z overview 2. Area Assessment. If the zone is found to be • Survey results potentially suitable then a more detailed area • MP/Z development plan. assessment is undertaken. This comprises of: Establishment of boundaries for mariculture parks and • Consultation with stakeholders; i.e., informa- the zonation plan is presented in Figures 4 and 5. tion and educational campaign to fishers, LGUs, NGOs, academes and local fisheries institutions 5. Public Consultation. Public consultation is on the formation of cooperatives/association, undertaken in two phases, Pre-public hearings and LGUs on governance and resource management Public hearings: and project operations • Pre-public hearings. Initially there are pre- • Conduction of environmental habitat and water public hearings conducted with the attendance quality assessment of the Mayor, Vice Mayor, Sangguniang Pan- • Participatory resource assessment whereby lungsod (SB) Members, Non-Governmental stakeholders are jointly encouraged to engage in Organisations (NGOs), and Chairmen of Coastal the site assessment process. Barangays. Then a second pre-public hearing is conducted with the attendance of farmers and 3. Hydrographic Study. A hydrographic investiga- fishers, fishpond operators, hatchery operators, tion is undertaken starting with the orientation/ and input suppliers. Topics that are presented briefing of LGU and Survey Team. The team then include: undertakes the following: • Overview of mariculture zone proposed develop- • Conduction of Bathymetric Survey (tide levels, ment plan current patterns, depth, elevation, slope, shape, • Business livelihood bottom topography) • Opportunities to fishers • Preparation of Bathymetric Maps of the area • Fishers/farmers obligations and benefits. based on the data collected during the survey. 292 | Mariculture Parks in the Philippines Figure 4. Initial mariculture plan and boundaries. Following the pre-public meeting, the municipal secured from the Environmental Management ordinance or resolution is drafted, which reserves Bureau (EMB) of the Department of Environment the identified area for the mariculture park. and Natural Resources (DENR) is likewise required • Full public hearing. This is followed by consul- before the area is developed on a commercial tation comprising of a full public hearing. scale. The TROPOMOD model is a tool that can support the Environmental Impact Assessment 6. Mariculture Park Operations Manual. Follow- prior to ECC issuance ing the public hearing the Mariculture Park Opera- tions Manual is prepared and adopted followed The process for fulfilling the environmental by drafting and approving a resolution authorizing requirements is as follows: the mayor to sign a Memorandum of Agreement • Survey and data gathering for the preparation of (MoA). This MOA is between BFAR and LGU and the EIA states the function and obligations of BFAR as well • Compliance of ECC requirements as the function and obligations of LGU. • Filing of ECC. 7. Environmental Compliance Certificate. An environmental compliance certificate (ECC) Mariculture Parks in the Philippines | 293 Figure 5. Panabo Mariculture Park with depth profile and spatial distribution of fish cages. Note: Depth profiles are in shades of blue with indicated depth in meters at low tide, June 2011, and spatial distribution of 320 fish cages (yellow boxes), as of September 2010. Also indicated are 3 zones (delineated by dotted lines) used as reference divisions for the survey. Red dots indicate stations for water/substrate quality monitoring. Individual farm plot boundaries are distinguished by poles with coloured coded flags in all areas. The conduction of an Environmental Impact Philippines for production purposes strictly follows the Assessment (EIA) determines which area of the environmental regulations imposed by the Department coastal municipality is to be declared as MP zones. of Environment and Natural Resources and existing White (2009) described the process for EIA and rules of the Bureau of Fisheries and Aquatic Resources. environmental monitoring of clusters of small- Typically physicochemical parameters are also included scale farms in Bolinao. in the carrying capacity analysis. During the Norwe- gian Agency for Development Cooperation (NORAD) funded project entitled “Planning and management 3. Carrying capacity analysis of aquaculture parks for sustainable development of Establishment of any aquaculture structures and devel- cage farms in the Philippines” (AquaPark, 2006), the opment of any coastal areas or municipal waters in the project adapted the modelling environmental impact 294 | Mariculture Parks in the Philippines Figure 6. Output from TROPOMOD for Panabo Mariculture Park. of cages (TROPOMOD) model to assess sustainable Output from TROPOMOD modelling indicating the carrying capacity for mariculture parks. TROPOMOD optimal size and position of the recommended second- is a particle tracking model which simulates the ary IMTA production areas for Panabo Mariculture dispersion of waste feed and waste faecal particles Park together with predicted benthic impact from the from fish cages. Using depth and current velocity cage culture are shown in Figure 6 above. data from environmental surveys and husbandry data such as cage layouts and feed ration from production 4. Siting and licensing surveys, TROPOMOD predicts flux of waste solids to the seabed (grams waste feed and faeces m2 seabed Authorizations to engage in and set up an aquaculture per day). This waste flux is related to a level of impact facility are granted by Local Government Units (LGUs) on the sediment benthos. that have jurisdiction over the location and licensing of the aquaculture operation in municipal waters defined TROPOMOD was also used to predict flux and nutrient as to include streams, lakes, inland bodies of water plume from the fish culture to various Integrated Multi- and tidal waters within the municipality (and which Trophic Aquaculture (IMTA) units. These predictions are not included within protected areas) as well as the were used to locate IMTA units in optimum locations marine waters as delineated in the Fisheries code of relative to the finfish culture and some estimations of 1998 (basically limited to the territorial waters 15 km IMTA production were made. from its baseline). Mariculture Parks in the Philippines | 295 Mariculture operations require a lease approved by the b. Second Priority: Entrepreneurs engaged in the LGU, specifically to address the following: agricultural sector c. Third Priority: All other small entrepreneurs who • Extent (area) of mariculture site would like to engage in mariculture. • Type of operation to be carried out (species to be cultured, technology and system to be used) For the marginalized sector that is eligible to operate • Time frame of the permit or lease within the fully developed area, the prioritization shall • Performance be as follows: • Fees a. First Priority: Fishers displaced from their usual • Termination. fishing practice due to restrictions on type of fish- Grant of mariculture zone areas is based on mooring ing gear allowable within municipal waters spaces to ensure that usage of area-space for sea b. Second Priority: All other municipal fishers oper- cage farming is solely based on the granted space as ating within the area where the mariculture zone provided. Granted mooring spaces not developed/ is located who may want to shift to mariculture. installed with cages within 6 months will be lost and Duly registered fisher folk organizations/cooperatives awarded to other applicants. The BFAR prescribes the have preference in the grant of fishery rights by the guidelines for the installation of sea cages. LGUs. The SEAFDEC, through its Aquaculture Depart- The Fisheries Code of 1998 requires all LGUs to enact ment and BFAR can provide technical assistance for regulations on aquaculture licensing and permits. The the establishment, training and marketing support to Code spells out the need to control stocking density local government units, coastal fishers, cooperatives/ and feeding rates in such aquaculture facilities. associations, and nongovernment organizations with respect to the establishment. Granting of culture areas shall be prioritized as follows: The applicant for the mariculture zone locator need to a. First Priority: Local fishers/residents and Filipino submit the following documents: companies operating within the municipality where the mariculture zone is located a. Operational Plan (to be provided by the maricul- b. Second Priority: Residents or Filipino companies ture zone if necessary) operating within the province or region where the b. List of machinery and equipment to be used by mariculture zone is located the applicant with the statement of their capacity, c. Third Priority: All other Filipinos or Filipino compa- ownership and/or mode of payment. nies in the Philippines Additional documents required include: d. Fourth Priority: Foreign nationals or companies allowed to engage in natural resource develop- c. Copies of articles of incorporation and bylaws ment following existing legal framework. d. Resolution of applicant’s board of directors autho- rizing the filing of application; list of each director, For larger investors: principal officers and major stockholders including a. First Priority: Enterprises engaged in fishing their bio-data b. Second Priority: Enterprises engaged in food e. Company brochures and/or photographs of production product c. Third Priority: All other small enterprises that f. Other supporting documents, papers, clearances would like to venture into mariculture. as may be required by the EMC depending upon the nature of the business and the type of busi- For small investors: ness organization of the applicant. a. First Priority: Entrepreneurs engaged in the fisher- ies industry 296 | Mariculture Parks in the Philippines A certificate of lease is issued only upon the execution • Harvesters Trainings of the lease agreement by the EMC and when the • Livelihood Training (seaweeds, oysters, mussels, applicant has: grouper) • Trainings on CRM, environmental monitoring a. Complied with all the pre-registration requirements • Entrepreneurial Trainings/business opportunities for b. Submitted within 20 calendar days from the fishers receipt of the notice of approval of the applica- • Training on Post-harvest/processing (value-added tion, a formal acceptance of the proposed terms products development). and conditions of registration for good cause shown; said period maybe extended if the request A one-stop shop is established for investors for fast therefore is filed before the expiration of the approval of applications using standardized application period sought to be extended forms for the issuance of lease/permits. c. Paid the registration fee—however, in appropri- The organisational structure of the mariculture park ate cases as may be determined by the board, the and their functions are as follows: mariculture zone management or the duly autho- rized officers of the EMC shall be empowered to • Department of Agriculture as the Executing Agency issue business permits and licenses to mariculture • BFAR-Southeast Asian Fisheries Development Center zone locators in lieu of the certificate of registra- (SEAFDEC)-LGU Signatories of the MOA tion after the proper evaluation of their applica- • EMC—Executive Management Committee takes tion in accordance with the set of criteria duly charge for the over-all administration of the Marine approved by the board and upon payment of the Park Project corresponding fees. • BFAR-Regional Director (BFAR-RD) coordinates with the EMC on day-to-day operations The Land Bank of the Philippines (LBP) can provide • BFAR-RD as Project Manager of Mariculture Park financial or loan assistance to registered fisher Management Unit (MPMU). organizations/cooperatives for the construction of the fish cage and to finance the initial stocks and feeds. The management of the mariculture park is under- taken by an Executive Management Council, compris- 5. Operation and Management ing of public, private and NGO members. The operation of a mariculture park is basically a public- The Executive Management Council is chaired by the private sector partnership, and since a large percentage Local Government Executive or the Municipal Mayor of the investments come from the private sector, its and co-chaired by the BFAR Regional Director. It is success is dependent on private sector investments and composed of: the efficient governance by the public sector. a. Municipal Agricultural Officer The mariculture park is established with the fabrication b. SB Chairman—Committee on Agriculture of concrete blocks for permanent mooring systems c. Barangay—Chairmen of Concerned Barangays ready for investors in designated areas based on the d. Representative from Department of Environment development plan. A two (2) hectares progressive and Natural Resources Office (DENRO), e) Repre- technology demonstration area is allocated as a sentative from Municipal Fisheries and Aquatic showcase to interested prospective locators and for Resources Management Council (MFARMC) training purposes. e. BFAR Staff f. Representative from the Locators Association (LA). Training is undertaken for mariculture investors: The Secretariat is from BFAR or LGU. • Caretakers Trainings The responsibilities of the EMC are to provide the General • Maintenance Crew Trainings Direction, set appropriate policies and standard operating Mariculture Parks in the Philippines | 297 Figure 7. Organisational structure and functions for a mariculture park. DA SEAFDEC BFAR CO LGU BFAR RD EMC EMC Secretariat MP PMU Admin & finance Maintenance Technical services Security services services services LOCATORS procedure, assumes the general functions of planning, stipulated in the standard Municipal Ordinance and directing/implementing, evaluation and monitoring and Memorandum of Agreement where, specifically BFAR approval of action for execution of the Mariculture Park shall provide for the technical assistance and financial Management Unit (MPMU). The Chairman presides over support in the development of the MP. all meetings, signs approval of resolutions, all official BFAR Director/Regional Director is the cochairman communications of the EMC, approved plans, budget and of the EMC, which is the governing council of the other permits associated with the conduction of maricul- MP and the Project Management Unite which imple- ture and other ancillary industries of the mariculture park ments the daily operational activities of the MP, it is and approves disbursements of funds generated from the composed of the BFAR-LGU staff, assigned or detailed operation of the mariculture zone. to the Project Management Unit. The Mariculture Park Management Unit (MPMU) The initial cost of the development is shouldered by implements the day-to-day operations of the MP ideally BFAR with cost sharing from the LGUs such as, technical composed of the technical, maintenance, security and study of the MP site, orientations and consultation administrative services personnel. An MP Operations activities, provision for demarcation of boundaries, Manual containing all critical policies and regulations (based on resource assessment conducted, TROPOMOD consistent to the principles of Good Aquaculture applications and EIA requirements), provision of the one Practices (GAqP) standards is the main document that (1) hectare mooring systems, launching expenditures, serves as the guide for all activities within the parks. provision for two (2) units with at least three (3) clusters BFAR plays a major role in the management of MPs of cages as demonstration facilities including inputs, under a comanagement scheme with the LGUs as preparation in the application for ECC, conduction of 298 | Mariculture Parks in the Philippines Figure 8. Suggested organisational structure of the Project Management Unit. RD/ARD Project Manager PED Project Executive Director Technical Coordinator SECRETARIAT BFAR-MAO Maintenance & Tech. Services Admin & Finance Operation Security BFAR ADMIN— FECTD-BFAR- General Services PNP Mun. Treasurer’s LGU TECH.-HIRED BFAR-PMU Staff BFAR-PMU Staff Office investment forum and production of IEC materials. training for the necessary skills of caretakers and other Demonstration cages are maintained by BFAR for new maintenance staff, assists post-harvest activities, and investors and to encourage other locators outside the assists investors access to financing and marketing of locality to invest. Demonstration facilities (demo-cages the product. have no specified time period to serve as show-case/ BFAR also in the early stage provides for a multi- show-window to prospective investors/locators as they purpose motorboat, mobile technical and security come. The same facilities are also used for practical staff, provides for a floating office which serves as the hands-on training for new investors. BFAR-LGU research and development headquarters BFAR provide sustained assistance in the establishment and makes available the Regional Fish Health Labora- of one-stop shopping to serve the investors, provide tory to support the MPs. assistance in planning, project implementation, Figure 9. Support from BFAR and local feed suppliers. Monitoring boat provided by BFAR Associated feed shops Source: BFAR-RFTC Panabo City, 2010. Mariculture Parks in the Philippines | 299 Figure 10. Communal facilities for fish landing and marketing. Community fish landing jetty Communal fish marketing area Source: BFAR-RFTC Panabo City, 2010. BFAR in coordination with the Municipal Agriculture The mariculture park provides communal facilities for Office (MAO), provides extension services such as all members including landing jetty, fish marketing technical assistance and technical training and is area, and ice supply. channelled through the municipal LGU. It is the duty The stocking of fry and harvesting of fish is coordi- of the duly formed municipal Bantay Dagat Task force nated so that there is a continuous supply of fish to (seawatch) in coordination with the MAO and the the market. Batches of harvested produce are labelled municipal-based PNP to do the regular fisheries law as to source, date of harvest, and other details follow- enforcement activities. ing the GAqP guidelines for traceability requirements. Figure 11. Coordination of the harvesting of fish from the different mariculture park producers and feed traceability. Source: BFAR-RFTC Panabo City, 2010. 300 | Mariculture Parks in the Philippines 6. Environmental Monitoring gas bubbles from the sediments rise to the cages at the Mariculture Park Zone above and cause stress to the fish. It is important to scale monitor the biological and chemical condition of the seabed using sediment grabs or sediment cores to An output of the EU funded project PHILMINAQ take samples for biological and chemical analysis. “Mitigating impact from aquaculture in the Philip- • Oxygen levels in the water column. Oxygen pines,” was the development of 3 categories of levels in the water column (surface, mid-level environmental survey: column and bottom levels of the cage structure) are important as very low levels result in fish kills. 1. Simple survey for clusters of small farmers or Also, low levels of oxygen stress the fish and cause medium sized farmers poor growth. Oxygen levels in the water column are 2. Intermediate survey for large farms for aquacul- affected by many things, including water tempera- ture zones ture, concentration of phytoplankton (algae), current 3. Detailed survey for research purposes. and condition of the seabed as described above. Regular Category 1 surveys are sufficient for monitor- • Turbidity of the water column. Water turbidity is ing physical and chemical parameters for mariculture measured and monitored in two ways either using parks (see below). a secchi disk or depth transparency light emis- sion instrument. The turbidity of the water column Category 1. Simple cheap, cost-effective survey relates to how much algae and suspended solid aimed at LGU monitoring mariculture parks and material is in the water column. High turbidity may medium sized farmer. be linked to high levels of nutrients which cause excess algal growth or seasonal effects such as high This survey measures the following parameters: suspended material from runoff caused by rain. • Cage layout and sizes. Cage layouts and dimen- This is important as high concentrations of algae sions give crucial information for interpretation of and suspended material (high turbidity) can lead to survey results and also for modelling of the area. reduced oxygen in the water column if this material • Hydrographic. Depth recordings provide informa- starts to decay. tion to assist the sampling of the water column and seabed during the survey. Accurate depth measure- 7. Performance Monitoring ments are also important for management of the and review site so that mooring ropes and nets can be set at the correct depth. Water depth below the net should The development of the mariculture parks is regularly be at least double the net cage net. Also, com- monitored and the data recorded and made publically puter modelling of cages requires accurate depth available on the BFAR web portal http://mariculture measurements on the basis of the TROPOMOD .bfar.da.gov.ph/ supported with the physiochemical parameters and The data that is monitored and recorded includes: bathymetric data taken from the site assessment study. • State of MP development—planning, launching, • Condition of the seabed sediments. The condi- operational tion of the seabed sediments is important as too • Launch date much organic input to the seabed causes oxygen • Mariculture park surface area to be absent resulting in no fauna living there. If • LGU resolution number no fauna are living in the sediment, waste from the • Date enacted cages above is not eaten and it builds up on the • ECC no. and date seabed. This results in chemical reactions where Mariculture Parks in the Philippines | 301 • Infrastructure in place 8. Cost-Benefit Summary • Cages • Moorings Economic/Financial Analyses of Mariculture Park Operations • Boundary markers • Floating guard house Presented below is an economic evaluation of the • Wharf mariculture park in Panabo City, Davao (PCMP) with • Boats (service boats, patrol boats, supply boats, an aggregate area of 1,075 hectares, 153 units of bancas) cages built in 2006 (marginalized groups, 17 cages • Security lighting and private investor group, 136 cages). The average • Production data (annually for each species cultured) number of cages operated by the marginalized group • Stocking density was 2 to 3 units; while the private investor group • Stocking size averages 34 cages per unit. Financial analyses are • Culture period shown in Table 1. • Annual production Based on the above, the PCMP operations are eco- • Average price/kg (farm gate, retail) nomically viable. The cost structures differ as well but • Value of production the proportion of the costs are much lower in PCMP. • Product destination Operations with 1–3 cages are the most affected. • Number of fish traders Operating with more than 20 cages, this time, is very • Ancillary support service monitoring name, number, profitable in PCMP. Total expenses stand at 49 percent type of sales leaving a very comfortable net profit margin • Hatchery and fingerling suppliers of 51 percent, valued at Philippine Peso (PHP) 287,776 • Feed suppliers per cage, corresponding to an ROI of 112 percent per • Cage fabricators cycle. On an annual basis, an operator in PCMP can • Aquaculture supplier dealers expect a return of 224 percent per annum. • Harvesters The best results, however, is still operating between Mariculture parks that are not operating optimally are 10–20 cages or an average of 15 cages. Total expenses evaluated and those found with significant problems stand at 57 percent of sales resulting to an average net enter a program for rehabilitation. profit return of 46 percent of sales after depreciation • Boats has been adjusted. The corresponding average net • Engines profit per cage stands at PHP 230,507 but the return • Moorings on investment stands at 117 percent, 5 percent higher • Cages Table 1. Results of financial analysis in PCMP for milkfish culture. Criteria Less than 10 Cages 10–20 Cages More than 20 Cages Average fixed expenses (% of sales) 24% 17% 17% Average variable expenses (% of sales) 50% 26% 29% Average other operating expenses (% sales) 6% 14% 5% Recovery from depreciation (4%) (3%) (2%) Average net profit (% of sales) 24% 46% 51% Average net profit per cage (PHP) 185,741 230,507 287,776 Average return on investment 72% 117% 112% 302 | Mariculture Parks in the Philippines Table 2. Results of financial analysis of grouper It is estimated that current total job employment culture in PCMP. derived from MPs, either part-time or full-time, had already reached over 500 people. Over 235 came Less than from fishers/local residences and portions of their Criteria 10 Cages income resulted in having additional local revenues Average fixed expenses (% of sales) 16% generated by LGUs of Panabo City and the revenues Average variable expenses (% of sales) 35% generated by other neighbouring municipalities of Average other operating expenses (% sales) 17% the province due partly to increasing purchases of Recovery from depreciation (5%) market goods and trading activities. Support services Average net profit (% of sales) 37% and activities for mariculture parks are created Average net profit per cage (PHP) 286,363 both upstream (for example fish fry producers, Average return on investment 47% nursery operators, feed suppliers/agents) and for downstream (for example processors of fish and than investments in more than 20 cages. On an annual other aquatic products, ice sellers and fish traders). basis, the ROI for an investor stands at 234 percent. Additional beneficiaries come from within the com- munities’ periphery who engaged themselves into In the case of grouper, two cases were noted in small–medium businesses. Survey results show that PCMP using 1 cage per operation. Compared to the most of them have economic and social gains from other mariculture projects, returns in grouper culture MPs continuing operations in the area. In Barangay are favorable considering the cost structure given in Cagangohan alone with a population of 13,162 Table 2 above. (NSO, 2010), the beneficiaries of the MP reached to a total of 209 local people. The increased share of other operating expenses is noticeable, particularly with the additional floaters and nets, as well as transportation costs, but the selling 10. Discussion and Conclusions price at PHP 350 per kilo more than compensates for The mariculture parks are intended to answer the the increased costs. Overall, average net profit per needs of job generation, food security and environ- cage is PHP 286,363 (37 percent) with an average mental resiliency. Priority is given to the marginalized return on investment of 47 percent. On an annual sector, but it is open to all other interested investors basis this corresponds to 94 percent per annum. big and small. The program initiative allows con- trolled development of aquaculture within designated 9. Social Challenges zones, with limits on production within the local and Benefits carrying capacity rather than unplanned aquaculture development which is more difficult to manage and The mariculture park in Panabo City (PCMP) Davao, control. has provided a significant increase in employment and has thus benefitted a number of stakeholders. Table 3. Barangay Cagangohan direct beneficiaries of marine park. Position/Activity Number Age Range Remarks Fish cage caretaker 150 25–40 Milkfish cages—PHP 3,000–5,000/month Fish cage frame maker 12 28–50 Contract PHP 500/day Fish net maker/repairer 12 32–48 Agreed package cost at PHP 4,000/net done 3–4 days Fish harvester 15 16–30 PHP 200–250/day Group of women and mothers involved in milkfish deboning; sardines Fish processor 20 30–55 making (PHP 200/day or 46,000/cropping) Total 209 Mariculture Parks in the Philippines | 303 Unbalanced resource use and limited capital for invest- The criteria to assess the overall performance of the ing in cages among small fishers are pressing issues in mariculture parks in terms of their operational status, mariculture park development. While some small-scale production and socioeconomic impact are given fishers are employed in the mariculture parks, some below: have not been hired, while others lack the capital to • Legal Framework invest. To address this concern, the government (BFAR) • Memorandum of Agreement has recently launched the “rent-to-own” cage project • Municipal Ordinance as initial livelihood assistance for displaced sustenance • Environmental Compliance Certificate fishers in the areas where mariculture parks are • Status of MP established. • Management and Operation There are problems, however, with trying to bring exist- • No. of Production Units installed ing farms inside of the newly established mariculture • No. of Investors/Locators park as existing producers are resistant to being forced • Ancillary Services available. to cooperate with other competing producers and “Risk mapping” is part of the area assessment study. having to conform with the strict management mea- However, the unpredictable climatic changes that sures and standards of good aquaculture practices. The have a direct impact to the mariculture parks has number of existing farms outside of the established been found to be caused by storm surges, typhoons, mariculture parks varies according to localities since flooding and water siltation resulting in destruction of they were established/operational before the maricul- facilities, fish escapes and depletion of the resources ture parks boundaries were allocated by the LGU. causing a big loss to investments. Of the 67 mariculture parks that have been The mariculture parks if properly managed create an established, few can be considered to be presently enabling environment wherein aquaculture farmers operating on a commercial scale; for example, only can operate their farms securely, cost-effectively and 10 mariculture parks have more than 50 cages. The sustainably with the integration of support systems other mariculture parks are at various levels of devel- vital to the success of investments, such as: technically opment; some are newly established while others have skilled workforce and service providers; accessible to be rehabilitated. The establishment and operation and available sources of inputs, markets, financing, of the mariculture parks require significant technical facilities and infrastructure (hatcheries, ice plant and and management input from the Local Government cold storage, pier, laboratories, transport facilities); and Unit, and BFAR. responsive governance. The industry support system Constraints on the success and failures of operations, extends throughout the whole supply value chain. maintenance, and overall administration of mariculture parks were traced on the following factors: 11. References • Governance and lack of support on the part of AquaPark. 2006. Planning and management of the LGU aquaculture parks for sustainable development of • Changes in the LGU administration cage farms in the Philippines. Final report. www • Lack of financial assistance and manpower support .academia.edu/7666623/Planning_and_ on the part of the government management_of_aquaculture_parks_for_ • No interested cooperators/investors in the locality sustainable_development_of_cage_farms_in_the_ • Product marketability affecting price of the Philippines commodity. 304 | Mariculture Parks in the Philippines NSO (National Statistics Office). 2010. Census White, P. G. 2009. EIA and monitoring for clusters of of population and housing. https://psa.gov.ph/sites/ small-scale cage farms in Bolinao Bay: a case study. In default/files/attachments/hsd/pressrelease/Davao.pdf FAO. Environmental impact assessment and monitor- ing of aquaculture. FAO Fisheries and Aquaculture Travaglia, C., Profeti, G., Aguilar-Manjarrez, J. & Technical Paper. No. 527. Rome, FAO. pp. 537–552. Lopez, N. A. 2004. Mapping coastal aquaculture (also available at www.fao.org/docrep/012/i0970e/ and fisheries structures by satellite imaging radar. i0970e00.htm). Case study of the Lingayen Gulf, the Philippines. FAO Fisheries Technical Paper. No. 459. Rome, FAO. 45 pp. (also available at www.fao.org/docrep/007/y5319e/ y5319e00.HTM). Mariculture Parks in the Philippines | 305 ANNEX 1. Case study effectiveness matrix—Philippines Mariculture Parks Rating Approximate Investment Needed Well Done/Achieved (0 not for Each Step (US$) (examples are provided Associated Activities and Tools achieved $ = > US$1,000 below on well done steps Not Done/Not (examples provided to 5 fully $$ = 1,000 to 10,000 Phase/Step and main achievements) Achieved as bullet points) achieved) $$$ = 10,000 to 100,000 Phase 1 Step 1 Scoping (Scoping involves compiling essential background information required to start an aquaculture project) Definition of the 1.1  The request to set up Scoping is Hydrographic study participatory •   4 $$ per Park broad ecosystem the mariculture park undertaken meetings; 306 | Mariculture Parks in the Philippines boundary (spatial, is by the Municipality. less for social Topographic maps and nautical •   social and political The aquaculture zone aspects. charts; scales) boundaries are identified by Maps of mangrove and sensitive •   BFAR based on Aquaculture habitats. suitability selection criteria within the Municipal waters. All areas for mariculture zones are selected based on technical, social, economic viability and sustainability. Environmental preservation is the management’s paramount concern. Identify overriding 1.2  Policy and regulations are Policy and The Fisheries Code of 1998 •   4 $$ undertaken once policy, legislation well defined at the central regulations requires that aquaculture areas be (such as land and Government level for the are less easily designated by local governments sea rights) and development of mariculture implemented within municipal waters; regulations (such as parks as a framework for at the local Fisheries Office Order No. 317, •   ecosystem quality sustainable development of government 2006 contains all the implementing standards, water new areas for aquaculture. level. guidelines and procedures for the quality standards) Water quality standards exist establishment and management of for different categories of mariculture parks. water bodies. Rating Approximate Investment Needed Well Done/Achieved (0 not for Each Step (US$) (examples are provided Associated Activities and Tools achieved $ = > US$1,000 below on well done steps Not Done/Not (examples provided to 5 fully $$ = 1,000 to 10,000 Phase/Step and main achievements) Achieved as bullet points) achieved) $$$ = 10,000 to 100,000 Phase 1 Step 1 Scoping (Scoping involves compiling essential background information required to start an aquaculture project) Setting the broad 1.3  The development context Undertaken generically within •   4 $$ undertaken once development favours employment Fisheries Office Order No. 317, objectives and generation, poverty s. 2006. identifying the main alleviation and alternative issues livelihoods for marginalised and sustenance fishers. Identifying and prioritizing Not undertaken the main issues undertaken systematically. generically. Phase 1 Step 2 Zoning (Zoning or allocation of space is a mechanism for more integrated planning of aquaculture development, as well as its better regulation. It may be used either in planning to identify potential areas for aquaculture or a regulatory measure to control the development of aquaculture) Zone boundary 1.4  •   Mariculture park zone Mariculture Rapid suitability survey for zone •   3 $$ per Park definition based on selection is based on park zone selection and establishing buffers relevant criteria defined zone selection selection can be from sources of pollution, river criteria including physical influenced by outlets, etc. configuration, the GIS now being used in zone politics resulting •   chemical characteristics in parks located selection (various software). of the water column and in less suitable a socioeconomic study. It areas. is undertaken with public consultation. Suitability thresholds •   for species and culture systems for the zone defined and consulted. Use of buffers away •   from mangroves, coral reefs, river mouth and navigational channels. Mariculture Parks in the Philippines | 307 Rating Approximate Investment Needed Well Done/Achieved (0 not for Each Step (US$) (examples are provided Associated Activities and Tools achieved $ = > US$1,000 below on well done steps Not Done/Not (examples provided to 5 fully $$ = 1,000 to 10,000 Phase/Step and main achievements) Achieved as bullet points) achieved) $$$ = 10,000 to 100,000 Phase 1 Step 2 Zoning (Zoning or allocation of space is a mechanism for more integrated planning of aquaculture development, as well as its better regulation. It may be used either in planning to identify potential areas for aquaculture or a regulatory measure to control the development of aquaculture) Gross estimation of 1.5  Gross estimation of potential TROPOMOD Simple productivity per ha •   3 $ per Park potential production/ aquaculture production is modelling not benchmark. area estimated using benchmarks always used. Sometimes sophisticated particle •   308 | Mariculture Parks in the Philippines or TROPOMOD. tracking model TROPOMODs. Formal allocation 1.6  Allocated by the Local Participatory allocation process. •   5 $$ per Park of the zone for Government Unit for Prepublic hearing. Public hearings. aquaculture purposes aquaculture as per Fisheries Mariculture Park Operations •   Office Order No. 317. Manual. Municipal/City Ordinance Environmental Compliance •   reserving the identified Certificate. marine area as mariculture zone and enacted by the Sangguniang Bayan/ Panglungsod. Phase 2 Site Selection (Site selection is based on the suitability for development of a given activity, taking into account the physical factors of the environment and the farming system) 2.1  Location of the farm Individual farm site •   Field data collection and field •   5 $ per Park sites selection is undertaken measurements (i.e., bathymetry). with moorings installed to Simple mapping. •   define the exact position for the cages. Cages locations allocated •   in rows with set space between rows. Farm sites are positioned •   in a grid format to allow easy navigation and not to impede currents. Rating Approximate Investment Needed Well Done/Achieved (0 not for Each Step (US$) (examples are provided Associated Activities and Tools achieved $ = > US$1,000 below on well done steps Not Done/Not (examples provided to 5 fully $$ = 1,000 to 10,000 Phase/Step and main achievements) Achieved as bullet points) achieved) $$$ = 10,000 to 100,000 Phase 2 Site Selection (Site selection is based on the suitability for development of a given activity, taking into account the physical factors of the environment and the farming system) Carrying capacity 2.2  Carrying capacity estimation TROPOMOD The carrying capacity of cages •   4 $ per Park estimation undertaken by modelling modelling not in the lake is based on the (TROPOMOD). always used. physicochemical and biological productivity measured in terms of biomass (g/m3). and nutrient uptake (gm/C/m3). Set license 2.3  Production limits are set Environmental Compliance •   4 $ per Park production limits by limiting the number Certificate (ECC) secured from within zone or of licenses for cages and the Environmental Management water body carrying limiting the stoking density Bureau (EMB) of the Department capacity of fish in cages to within the of Environment and Natural estimated overall sustainable Resources (DENR). carrying capacity. 2.4  Allocation of licenses Allocation of licences is Issuing of LGU license issuing procedures. •   4 $ per Park and permits undertaken by the LGU. licences to The Fisheries Code of 1998. •   Allocation of sites favouring potential There is one-stop shop center •   small-scale fishers or fisher farmers can established in the mariculture organisations. be subject zone to facilitate the registration, Granted sites not to political licensing and issuance of permits developed/installed with influence. to mariculture zone locators. cage within 6 months will be forfeited and awarded to other applicants. Mariculture Parks in the Philippines | 309 Rating Approximate Investment Needed Well Done/Achieved (0 not for Each Step (US$) (examples are provided Associated Activities and Tools achieved $ = > US$1,000 below on well done steps Not Done/Not (examples provided to 5 fully $$ = 1,000 to 10,000 Phase/Step and main achievements) Achieved as bullet points) achieved) $$$ = 10,000 to 100,000 Phase 3 Area Management (Aquaculture Management Areas (AMA), can be aquaculture parks, aquaculture clusters or any aquaculture area where farms are sharing a common relevant waterbody or source and that may benefit of a common management system including minimizing environmental, social and fish health risks) 3.1  Identify management There is good boundary There can be Participatory consultations; •   5 $$ per Park area boundaries identification. problems in Hydrodynamic models; •   Area management is arranging area Depth and current maps; •   310 | Mariculture Parks in the Philippines undertaken within the management GIS and remote sensing data and •   whole defined mariculture where farmers tools; zone. are already Risk maps (e.g., for algal blooms, •   Allocation of zones within established surge, etc.). park for fish sanctuaries. in an area, compared to establishing area management in new aquaculture areas. Estimate total 3.2  Carrying capacity estimated The carrying capacity of the Park is •   3 $$ per Park carrying capacity if mainly on environmental risk determined through the conduct appropriate based on and some social. of physicochemical and biological the different risks studies to determine plankton/ algae density, nutrients and transparency and fish biomass and composition; Carrying capacity estimation using •   the TROPOMOD model. Rating Approximate Investment Needed Well Done/Achieved (0 not for Each Step (US$) (examples are provided Associated Activities and Tools achieved $ = > US$1,000 below on well done steps Not Done/Not (examples provided to 5 fully $$ = 1,000 to 10,000 Phase/Step and main achievements) Achieved as bullet points) achieved) $$$ = 10,000 to 100,000 Phase 3 Area Management (Aquaculture Management Areas (AMA), can be aquaculture parks, aquaculture clusters or any aquaculture area where farms are sharing a common relevant waterbody or source and that may benefit of a common management system including minimizing environmental, social and fish health risks) 3.3  Organize a formal Strong area management Organisation of Procedures detailed in Fisheries •   5 $$ per Park association of all of all the farmers by the the EMC can be Office Order No. 317, s. 2006. farmers in that area Executive Management overly complex. Council and strong technical assistance for stocking and harvesting management by BFAR. Setting the broad 3.4  Common management There is Fisheries Office Order No. 317, •   4 $ per Park development measures are agreed and less area s. 2006 contains guidelines on objectives and written into a mariculture management management of mariculture parks. identifying the park operation manual for biosecurity main issues agree which follows Code of Good measures. on common Aquaculture Practices. management,3 monitoring and control measures Monitoring of 3.5  There is good enforcement Depends on the BFAR undertake regular •   4 $ per Park per year relevant variables and of management measures effectiveness of environmental monitoring and enforce management by the EMC and MPMU the Executive assist with the collection of measures supported by BFAR. Management production data. Council. Mariculture Parks in the Philippines | 311 3 An agreed management plan for the aquaculture management area covering the most relevant issues in environmental socioeconomic aspects and governance/external forcing factors. Rating Approximate Investment Needed Well Done/Achieved (0 not for Each Step (US$) (examples are provided Associated Activities and Tools achieved $ = > US$1,000 below on well done steps Not Done/Not (examples provided to 5 fully $$ = 1,000 to 10,000 Phase/Step and main achievements) Achieved as bullet points) achieved) $$$ = 10,000 to 100,000 Phase 4 Monitoring of the Management Plan and Review. Monitoring and review of performance is a critical step in the adaptive management planning process. It is essential both to ensure adequate performance is being generated against current objectives and to warrant that aquaculture is maintaining relevance with community expectations. Monitoring the implementation of the management plan should include environmental, social and governance indicators. Regular monitoring 4.1  The EMC, thru its Regular Category 1 Environmental •   3 $ per Park per year and evaluation representatives, conduct environmental monitoring survey. 312 | Mariculture Parks in the Philippines specific periodic inspection monitoring of sea cages, building, could be facility or structure within strengthened. the mariculture zone to check on the state of environment, aquaculture practices, health, medical, occupational and safety standards of the building structure and the general condition and maintenance of the plant. Periodic review and 4.2  The mariculture zone Solutions not A ssessment of management •   5 $$ per Park adjustment locator should correct any always found. plan according to new threats or deficiency or violations of emergencies. pertinent regulations noted EAA tool box. •   in the regular inspection within a reasonable period of time to be determined by the EMC. Remedial measures are implemented where parks are less successful. Rating Approximate Investment Needed Well Done/Achieved (0 not for Each Step (US$) (examples are provided Associated Activities and Tools achieved $ = > US$1,000 below on well done steps Not Done/Not (examples provided to 5 fully $$ = 1,000 to 10,000 Phase/Step and main achievements) Achieved as bullet points) achieved) $$$ = 10,000 to 100,000 Extent of use of Approximate number of designated Approximate production from each aquaculture zone or AMA zoning and area aquaculture zones or AMAs management development (quantifiable) Number of zones and 66 mariculture parks Average park has 45 cages (range 1 to 500) range of implementation 61 operational Estimated total production from all mariculture parks 5 to be rehabilitated 1997—321 MT 2007—62,097 MT 2012—90,425 MT 2014 (1st half)—91,797.379 MT Other notes (especially Positive issues Negative issues social issues) •   A ssistance is given for the development Not all Aquaculture parks are productive, successful or profitable for the farmers. •   of secondary associated businesses (net There is still some local environmental impact due to overproduction. •   making, net mending, cage making, etc.). It is difficult to create mariculture parks in areas with existing aquaculture production. •   Strong coordination of seed stocking and •   harvesting to provide continuous fish production. Acts as a SME business incubator. •   A ssistance to Public Private Developments •   such as feed and seed supplies. Integrated Multi-trophic Aquaculture (IMTA) •   is starting to be included in mariculture park design and operation. Mariculture Parks in the Philippines | 313 Mariculture Parks in Turkey Güzel Yücel-Gier1 Abstract potential area and harmonisation with the monitoring and management system to be used. Turkish marine aquaculture has seen rapid growth along the Aegean coastline since 2000. This case study focuses on Mariculture Parks in Gulluk Bay where 55 percent of 1. Background total marine aquaculture production occurs. Conflict with Inland aquaculture started in Turkey in the 1970s. But other coastal zone stakeholders prompted new regulation aquaculture expanded rapidly with the contribution of from the Ministry of Environment and Urbanization (MEU). marine fish farms in the 1980s. It was dominated by In 2007 new regulations for Gulluk Bay lead to the defini- cage farming of sea bass (Dicentrarchus labrax), sea tion of two mariculture zones. These cover 20.8 percent bream (Sparus aurata), and trout (Oncorhyncus mykiss). and 0.45 percent of the area licensed for the cages of the In the Turkish marine finfish sector sea bass and sea Bay. This was done by a Turkish Inter-Ministerial Consor- bream are dominant. Turkish marine aquaculture tium, in conjunction with the Mugla Fish Farmers Associa- production has increased from 35,000 tonnes in 2000 tion. Site selection and zoning addressed basic issues to around 109,000 tonnes in 2013 (TUIK, 2013). It has through a participatory process involving stakeholders, been going through a period of unprecedented growth scientists and central government. This has subsequently over the past 13 years (Figure 1). proved to be a weak point in the whole process. The two mariculture zones were evaluated separately in Gulluk Bay. It is the rapid growth of the aquaculture sector which Two total zoning EIA reports were separately produced for makes it remarkable. the Bodrum zone and for the Milas zone. Monitoring is Development opportunities for aquaculture in the done by government officers. Aquaculture zoning, spatial coastal zone of Turkey are limited because of the difficul- planning, aquaculture management, and risk mapping ties in obtaining access to suitable sites. Its expansion are among the most important issues for the success of in coastal waters has not only added more pressure to aquaculture. They need to be carried out in accordance marine and coastal ecosystems, but has also created with sustainability and best practice guidelines. Turkey conflicts among existing users of coastal resources. has recently focused on such issues and is trying to set Consequently, there was a need for expansion space and guidelines which will enable true sustainability to take this growth has led to the drafting and implementation place. When we look at the whole EIA process it needs of new planning and management policies by the Turk- the estimation of carrying capacity for a new aquaculture ish government. Coastal planning was realized by the inter-ministry committee in 2007. However there was no broad-based “Integrated Coastal Management Board” 1 The views expressed in this information product are those of the author(s) and do not necessarily reflect the views or policies of FAO with minimal inputs by the mayor, nongovernmental or the World Bank Group. organizations and so on. It was a process that increased Yücel-Gier, G. 2017. Mariculture Parks in Turkey. In J. Aguilar-Manjarrez, D. Soto & R. Brummett. Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture. Full document, pp. 314–331. Report ACS113536. Rome, FAO, and World Bank Group, Washington, DC. 395 pp. Mariculture Parks in Turkey | 314 Figure 1. Overall aquaculture production and marine finfish production in Turkey. 250,000 Total aquaculture 200,000 Marine finfish Tonnes 150,000 100,000 50,000 0 2000 2002 2004 2006 2008 2010 2012 2013 Year the pressure on fish farming in the coastal zone. Priority The Ministry of the Environment amended existing and legitimacy over the maritime space was supported environmental legislation. It was then obligatory for the by the legal framework and given to the aquaculture farms to be moved from the shallow shoreline waters industry through the establishment of a mariculture to the deeper areas, particularly in gulfs and bays. Two zone. This was a basic move to avoid conflicts and mariculture zones were defined in Gulluk Bay, Mugla to assure the sustainable development of the sector. (Figure 2), which has a surface area of about 670 km2 Figure 2. Shows the position of licensed farming facilities before and after relocation according to the provisions of the Environmental Law (MEF, 2007). Mariculture Parks in Turkey | 315 and a coastline of around 262 km. Accordingly in 2007 2. Aquaculture Zoning new parameters and criteria (Table 1 and Table 2), were established in Gulluk Bay comprising two large maricul- Definition of Ecosystem Boundaries 2.1  (Spatial, Social and Political Scales) ture zones. There was a Milas Zone and a Bodrum Zone as defined by a Turkish Inter-Ministerial Consortium, Mariculture zoning was carried out in terms of a 2006 together with Mugla Fish Farmers Association. The Environmental Law. In this mariculture zone aquacul- mariculture zone covers 20.8 percent (139.8 km2), of the ture has precedence over other uses. It is recognized Bay. Licensing for the cage areas was only taken up for by physical and spatial planning authorities that a 0.45 percent (3.03 km2), of this area (Yucel-Gier, et al., system aimed at integrating aquaculture activities into 2013). Gulluk Bay contributes about 70 percent of the coastal zone areas should avoid conflicts with other total Turkish marine aquaculture production of sea bass users. According to this law “Marine aquaculture facili- and sea bream. Major uses of the Bay were defined ties should not be constructed in sensitive areas such as aquaculture, trawling, natural areas and marine as enclosed bays and gulfs or in natural and archeo- transport. The movement of farms to these mariculture logically protected areas.” In connection with this law, zones took place in 2009. Before relocation, 127 fish a Notification which describes criteria for aquaculture farms had been working close in-shore. These had a site selection (Table 1 and Table 2), in enclosed bays reported 52,000 tonnes production capacity in 2007. and gulfs was published in 2007 (MEF, 2007). Accord- As an economic consequence the small-scale fish farm ing to a further amendment of this law, farms unable has now disappeared. After relocation a total number to fulfil these new criteria were compelled to relocate of 81 new, larger, fish farms began to operate in Gulluk in the years between 2008–2009 (Figure 2). Fish farms Bay and planned production capacity was increased to found to be in contravention of this notice were under 88,000 tonnes. Forty-eight of these fish farms have a threat of closure. Since this Turkish legislation was capacity of between 500 and 1,000 tonnes (EIA, 2008). enacted, the majority of fish cages have been moved The production capacity in 2013 was estimated at further from the near-shore coast as required. The law 60,000 tonnes (www.muglakulturbalikcilari.com). There further indicates that monitoring is necessary in fish is still 28,000 tonnes available capacity. farms, which already exist in enclosed bays and gulfs, if these sensitive areas have an eutrophication risk. Ecological boundaries based on Posidonia oceanica (Table 1) and eutrophication (Table 2) are outlined in Table 1. Physical parameters and criteria for the tables. sensitive areas where cage fish farms can be set up (MEF, 2007). An accurate definition of social boundaries is considered a key issue to ensure the sustainable Parameters Criteria development of aquaculture in Turkey. Pressures of Water depth ≥30 m coastline occupancy and use are increasing. The image Distance from the coast ≥0.6 mile of aquaculture has often had a negative reputation Current speed ≥ 0.1 m sec–1 regarding the quality of product and impact of this activity on the environment. This boundary needs to Table 2. Scale for risk of eutrophication be identified, analysed and integrated in the selection (MEF, 2007). and management of aquaculture sites. TRIX Index Characteristics 2.2 Consultation with Stakeholders TRIX < 4 No eutrophication risk Coastal aquaculture along the Eastern Aegean coast has 4 ≤ TRIX ≤ 6 High eutrophication risk been going through a period of unprecedented growth 6 < TRIX Eutrophic over the past 15 years, especially along the Izmir and Note: Trophic Status Index. Mugla coasts. The rapid growth of fish farming and 316 | Mariculture Parks in Turkey tourism has been paralleled by the very rapid urbaniza- Legal, Regulatory and Institutional Frameworks tion of the coastal zone. Coastal planning was realized Finfish farmers must obtain permits from the Ministry by the inter-ministry committee. This activity is vital for of Food, Agriculture and Livestock (MFAL*). Finfish both aquaculture facilities and other stakeholders. The farming activities are controlled by a number of development of Turkish Marine Aquaculture site selec- specific laws and regulations administered mainly tion and zoning should address all the issues through a through the MFAL and the Ministry of Environment participatory process involving stakeholders, scientists and Urbanization (MEU**). and government. It is necessary to find acceptable solu- tions for site selection and zoning. Agreements must Table 3 shows Turkish laws and regulations about be negotiated on the most cost-effective and socially aquaculture. acceptable mechanism for mariculture development. This is a frequently a weak point in the whole process. *MARA changed to MFAL in 2011. **MEF changed to MEU in 2001. Table 3. Legal, regulatory and institutional frameworks. Law Content Fishery Law (Fishery Law No. 1380, 1971) and All fisheries and aquaculture activities are regulated by the Fishery its amendment (Fishery Law No. 3288, 1986; Law. With the last revision (2003) important legislative principles and Fishery Law No. 4950, 2003). standards were provided for the establishment and management of aquaculture facilities. Environmental Law (Environmental Law Its associated regulations laid the general legal basis and framework for No. 2872, 1983) and its amendment environmental protection similar to many other European countries. The (Environmental Law No. 5491 in 2006). last Turkish Environmental Law (2006) forced marine aquaculture facilities to move offshore within one year. Regulation Content Regulation on Aquaculture (No. 25507) in 2004 It addressed major issues related to aquaculture like license renewal and (MARA, 2004), as amended in 2005 (MARA, development in terms of management, technology and related matters. 2005 and 2006). A minimum capacity of 250 tonnes/year and water quality criteria were fundamental considerations in these proposed licensing requirements for marine aquaculture. In 1993, detailed EIA regulations were enacted; A major component of this regulation regarding aquaculture activities is these regulations were again extended and the need for the Environmental Impact Assessment (EIA). This is a process revised in 1997, 2002, 2003, 2008 and finally to define the environmental alterations that any developmental projects in 2013. They accommodated adaptations may have and, subsequently, to determine whether a project can be in accordance with the European Union EIA approved, or needs to be amended before approval, or rejection. EIA only Directives 85 ⁄337⁄EC and 97⁄11⁄EC. applies to 1,000 tonne/year capacity farms. Regulation for Water Pollution Control (MEF, Also, according to the Regulation for Water Pollution Control, Article 15 2004) were revised in 2008 (MEF, 2008) gives the general criteria of quality required for marine environments. In 2007 a regulation (MEF, 2007) was made to Fish farms already established in enclosed bays and sensitive areas were identify the criteria for closed bays and gulfs to be reevaluated in accordance with physical and chemical criteria. qualifying as sensitive areas where fish farms are not allowed. Monitoring regulations for fish farms were This includes sampling techniques and frequencies for sediment and introduced (MEF, 2009). water quality. Mariculture Parks in Turkey | 317 Licensing Requirements for Cage Farms the Ministry of Health, the Ministry of the Environment and EIA Procedures and Urbanization, and Undersecretariat of Maritime MFAL is the main authority responsible for licensing sea Affairs which takes the responsibility of contacting the cage farms with a minimum capacity of 250 t per year Ministry of Culture and Tourism. This procedure is only (MARA, 2006). Figure 3 shows stages and durations covering sea level, whereas land logistic activities are associated with the steps of the licensing procedure. more challenging. Currently in Gulluk Bay, Mugla Fish Besides MFAL, a number of other public authorities Farmer’s Association is negotiating communal land are also involved in the licensing process. These include access, facilities and piers. Figure 3. Site licensing and leasing procedures for marine fish farms. Entrepreneur Aquaculture Department (GDAPD) or Provincial Directorate of MFAL Technical studies (15 days) Provincial Directorate of MFAL (pre-study report) Permission from 8 months Undersecretariat of Maritime Affairs Pre-licensing Main project preparation phase Ministry of Health 12 months Ministry of Environment and Urbanization (EIA) evaluation Provincial Directorate of MFAL Ministry of Culture & Tourism gives final project approval Specially Protected Area Authority Provincial authority/governor grants leasing of the sea area Establishment and operation precedes licensing by MFAL 318 | Mariculture Parks in Turkey According to the Aquaculture Regulation (MARA, Table 4. The special format used in an 2004) the following requirements for marine cage fish application for an EIA report in connection with farms should be given: the establishment of an aquaculture project (MEF, 2008). 1. Space⁄area available on a license should be large Chapter I: Detailed description of the project, including enough to allow for site rotation and should be its feasibility. no less than twice the actual area occupied by the Chapter II: Detailed description of the environmental cages. characteristics of the area in which the farm will be 2. Distance between cage farms is determined by the located. Given that the project will have an impact on central Aquaculture Department according to cri- both the immediate area and its surroundings, such a teria such as projected annual production capacity, report is required of applicants. water depth and current speed. Chapter III: Identification of impacts of the project on the environment and the necessary precautions to be taken to In Environmental Law No.5491, 2006 amendments, mitigate any effects. finfish farming in sensitive areas such as enclosed bays and natural or archaeological sites were prohibited. Details of this ban were substantiated by a notification together with the Mugla Fish Farmers Association. We in 2007. Fish farms already established in enclosed had Regional Environmental Impact Assessment studies bays and sensitive areas were to be reevaluated in for these two zones from the Ministry of Environment. accordance with the physical and chemical criteria The following points are specified in the EIA in order indicated in the Tables 1 and 2. to assist the management process: EIA Procedures • The cage-net can only occupy a maximum of 1⁄3 of A major component of this law (Table 3) regarding the water column. aquaculture activities is the need to execute an • Eighty-one fish farms are to be established in Environmental Impact Assessment (EIA), which is 50 parcels with a capacity between 300 tonnes to a process to define the environmental alterations 3,000 tonnes. In each parcel there can be 2 to 4 fish that any developmental projects may have and, farms. subsequently, to determine whether a project can • Distance between the parcels should be a minimum be approved, or needs amending before approval, or of 400 m to a maximum 5.6 km. must be rejected. MEU issues a special format for the • The area of parcels should be between 8,400 m2 to EIA of a marine aquaculture farm, which defines the 92,500 m2. A maximum of four farms can share the scope of the necessary investigations; a summary of same parcel. this is given in Table 4. • Fish farms in the same parcel will share the common responsibility of business agreements, according In the context of the EIA regulations, it has also to which they have to take necessary precautions been pointed out that the international conventions to avoid pollution. If pollution is detected and the for environmental protection ratified by the Turkish source is not defined, all fish farms in the parcel will government should also be respected and considered be held responsible. within the EIA procedure. Those farms producing over • The fish farms within the common area (each parcel), 1,000 tonnes yearly have to prepare a full EIA report should operate in harmony and within the assigned and those smaller than 1,000 tonnes per year are area. Thus the cages cannot be moved or expanded eligible for a preliminary EIA investigation. in an area without the permission of the ministries. • The mooring systems to be established, together Zone Management of Gulluk Bay with their maintenance and checks, within the com- Two mariculture zones were defined in Gulluk Bay, mon area should be done in collaboration. Mugla. There was a Milas Zone and a Bodrum Zone • Warning signalization to limit and identify the as defined by a Turkish Inter-Ministerial Consortium, positioning of cages must be constructed. This is for Mariculture Parks in Turkey | 319 Figure 4. A barge near a fish farm in Gulluk Bay, Mugla. labelling and providing a guard for safety of life and surface level, in the water column and in the benthic property. Marine traffic operators should be involved zone including sediment for analysis. But there is no in this. holistic thinking on environmental management at the • Within this EIA there was no allowance for land Bay level. Our project called “Project for the Establish- logistics. All activities including social needs of ment and Development of Environmentally Sustainable personnel, food storages and automatic feeding Eco-Friendly Fish Farming Systems in the Aegean Sea machines should be constructed on barges (Figure 4). 2014–2015” is piloting this process. But it needs to be upgraded and formalized. These points are important for the management of the zone. But, unfortunately, the boundaries of each Health monitoring is done by the MFAL for each farm. parcel within the zone and farms within each parcel But the requirements at parcel and zoning levels need are not properly defined for the purposes of manage- more precise definition. Whereas some big companies ment. Therefore the cumulative effect of individual use a very effective monitoring system along the lines elements cannot be identified and rectified. of certificates like GLOBAL GAP, BRC, ISO 22000, ISO 14001, ISO 9001, HACCP, and IFS, unfortunately small The Monitoring farmers often fail to do this. Some farmers follow Mugla Fish Farmers Association uses accredited certification schemes but there is currently no gener- laboratories to analyse the TRIX index twice a year, for ally used compulsory Code of Practice. all fish farms in the two allocated zones. All data is The two mariculture zones were evaluated separately sent to the Ministry of Food, Agriculture and Livestock in Gulluk Bay (Figure 2). An appropriate Environmental and to the Ministry of the Environment. According to Impact Assessment (EIA) was performed at the time of monitoring regulations, labs must sample the water at the establishment of these aquaculture zones (EIA, 2008). 320 | Mariculture Parks in Turkey 2.3 Zoning Process representatives of ministries and fish farmers visits the 2.3.1 Choosing the Tools for Spatial Planning identified potential zones. They meet several times to discuss and achieve a consensus to determine the final The general ICZM (Integrated Coastal Zone Manage- potential zones for aquaculture. They also prepare a ment) rules propose that all required monitoring and report on the decisions taken. The Undersecretaries of analysis procedures must be implemented to identify MFAL, the Ministry of Environment and other related the natural and human-induced stresses on the marine ministries then sign a Protocol on the agreed zones. environment, and to resolve potential conflicts of inter- After the field visits, MFAL sends a final version of est. In order to realize this goal, before executing any potential zones to the Ministries to have their final action, suitable, practical and reliable indicators should say. The Official Gazette then publishes these zones be determined. In terms of environmental analysis and as “Allocated Zones for Aquaculture” and distributes evaluation, Geographic Information Systems (GIS) is a this information. For example for Gulluk Bay this very useful tool, not only for capturing, storing, orga- process took six months. The Ministry then requires nizing, displaying and reporting of information but also that the AZA for Gulluk Bay makes an EIA study. Other for analyzing and modeling of spatial data (Kapetsky stakeholders are to be involved in this process. For and Aguilar-Manjarrez, 2007). Some difficulties in data example the Karaburun peninsula (Izmir) was originally sharing among the related disciplines or institutions to selected (Figure 5). As long as area A is inside Izmir Bay develop the full potential of GIS have been challeng- it is identified based on criteria listed in Tables 1 and 2, ing. The spatial analysis of the mariculture zone Gulluk and as areas B and C are outside the bay, there are no Bay has been completed (Yucel-Gier et al., 2013) and conflicts in the administrative level. In time the studies sent to the corresponding ministries. about monk seal existence were brought to daylight, so A and B were canceled. However new criteria and 2.3.2 Estimation of Aquaculture Potential formulations for carrying capacity are now being There have been several studies of the selection of researched IMST-216, 2013. areas for suitable fish farming in Turkey. Legislation has put a stop to fish farming activities in the gulfs and bays of Izmir and Mugla. Potential area studies for fish 3. Monitoring farm location were conducted at the administrative 3.1 Regulatory and Legal Aspects level and in coordination with other ministries in The Ministry of Food, Agriculture and Livestock (MFAL) 2008. First, a subdepartment of the Ministry of Food, and the Ministry of the Environment and Urbanization Agriculture and Livestock (MFAL), the Aquaculture (MEU) are authorized to control the water quality, Department of the Directorate General for Fisher- sediment in the aquaculture area, and the food health ies and Aquaculture, identifies drafts of potential and quality standard on the farms (Figure 6). aquaculture zones. It uses its own experts and researchers, paying attention to concerns of all other The criteria of water pollution (Table 5) has been coastal sectors and users. It is the main authority for updated especially for aquaculture. According to stan- all aquaculture activities. dard monitoring programs, the owners of fish farms were asked to monitor the area in the proximity of the The Ministry has to map all identified zones and send fish farm twice a year in the water column (Table 6). the results to all related ministries and institutions, in This notification also included the limits for a relevant order to obtain their opinions. These ministries reply parameter, defined as the TRIX index. The TRIX index to MFAL giving their opinions. MFAL then organizes was originally proposed by Vollenweider, et al. (1998). some field trips and invites the related ministries to In the notification it is defined as: TRIX index = [log participate. A commission of experts and administra- (Chl-a 3 %O2 3 TIN 3 TP) 1 1:5] 3 0:833. tors representing all ministries and including local Mariculture Parks in Turkey | 321 Figure 5. An investigative example of the potential field of marine aquaculture on Karaburun Peninsula in Izmir Province (MEF, 2008). Each of the four components represents a trophic locations (one station is at the centre of the fish cages state variable: and others at 20 m distance, at all sites cages) in 3 different depths (the surface, mid-water and bottom Chl-a 5 chlorophyll-a concentration, as µg L–1; of the water column) (Table 6). Reference stations %O2 5 Dissolve Oxygen Deficit percentage; change in the dominant current direction between 500–1,000 meters (Figure 7). TIN 5 Total dissolved inorganic nitrogen (N–NO3 1 N–NO2 1 N–NH4), as µg L–1)1; The sample analyses are made at private or public laboratories authorized by the MEU. The monitoring TP 5 total phosphorus, as µg L–1. programme is to be done for each parcel in the Mari- culture zone in Gulluk Bay. The correct coordinates Each year in May and August the results of this and monitoring of safety signals of the farm area in monitoring programme must be submitted to the relation to marine traffic is controlled and supervised MEU. Regarding the benthic sampling one time by the Coast Guard and by the Undersecretary of every 3 years is sufficient. Sampling is done at five Maritime Affairs. 322 | Mariculture Parks in Turkey Figure 6. Monitoring procedures. Government lab. Monitoring Fish Farm Water health record Min. agriculture Government accredited laboratory Min. environment Water Sediment Table 5. Water pollution control regulation (MEF, 2004). Parameter Criteria pH 6.0–9.0 Total suspended solids (mg L ) –1 30 Dissolved oxygen (mg L ) –1 More than 90% of saturated oxygen Biochemical oxygen demand, BO· I5, mg/l Crude oil and derivatives 0.003 Chl-a, μg/l Original chl-a levels will be used Phenol (mg L–1) 0.001 Copper, mg/l 0.001 Cadmiyum, mg/l 0.01 Crom, mg/l 0.1 Lead, mg/l 0.1 Nickel, mg/l 0.1 Zinc, mg/l 0.1 Mercury, mg/l 0.004 Arsenic, mg/l 0.01 Total ammonia, mg/l 0.02 3.2 Evaluation thematic map based on the trophic index data is com- Several papers have been released about the trophic monly used to assess eutrophication status. Figure 6 status index (TRIX) and its relation to water quality shows that high TRIX values appear, to a great extent, concern eutrophication in the coastal waters of the in shallow waters and in the vicinity of fish cages. Turkish Mediterranean. They originate from a variety The TRIX values that were taken in 2007 were at the of interested parties (IU, 2006; MEDPOL, 2009). A bottom only and before any fish farms were moved to Mariculture Parks in Turkey | 323 Table 6. Monitoring regulations for fish farms (MEF, 2009). Parameters Water Sampling Number/Times Sediment Temperature x 5 sampling stations 5 sampling Sechhi disc x 1 1 reference stations pH x 3 depth levels 1 1 reference Once/year point Salinity x DO x TN x TP x Ammonium x Chl-a x TOC x Beggiatobacteria x Bentic flora and fauna species x Figure 7. Monitoring regulations for fish farms (MEF, 2009). Cage Cage Cage Cage Cage Cage Cage Cage Cage Cage Cage Cage Dominant current direction Reference station Reference station 500–1,000 m 500–1,000 m the new mariculture zone. Water quality monitoring TRIX currently is only applied to an aquaculture area parameters, as TRIX values, ranged from 3 to 5. They that is placed in a bay such as Gulluk Bay, which were obtained from 8 stations which were represented is now the preserve of holiday homes. Water is no as G1 to G8. Current pollution originates from rem- longer tested. Continued monitoring is necessary so as nants of previous fish farming activity, inadequately to show whether or not an improved environmental treated sewage, run-off from agricultural facilities quality has resulted from the moved fish farms. Gulluk or uncontrolled coastal development. From the TRIX Bay provides a case study with a combination of data points, GIS software was used to interpolate parameters that have to be carefully identified and TRIX values to create a map (Figure 8). On the basis precisely monitored. To this end legislation to compel of this map it is to be hoped that other maps will be all stakeholders to undertake TRIX examination of their constructed over time in order to monitor every sector facilities are recommended (Yucel-Gier et al., 2011). of economic development along the coastline. 324 | Mariculture Parks in Turkey Figure 8. TRIX values interpolated from modeled outputs and old fish farming areas in Gulluk Bay (Yucel-Gier, et al., 2013). 4. Carrying Capacity programme is based on parcels. In addition to that the big companies are required to use certification According to EIA 2008, the effect of impact on the systems, for example ISO 9000 and ISO 14000, not environment by fish farms is calculated in consideration because of legislation but as a matter of marketing of the amount of food and amount of fish. FCR is 2 for procedures. Some prestigious certifications are sea bass and 2.2 for sea bream. Food not consumed by mentioned in Table 7. automatic feeding is calculated as 0.1 percent. For other feeding processes 12 percent is estimated. The amount of nitrogen (N) and phosphorous (P) are calculated Table 7. Certificates for fish farm cages. according to these numbers. In the TUBITAK’s (2010) GLOBAL G.A.P. (Good Agricultural Practices) report, a project in which the MERAMOD software was ISO 9000—Quality management used, a map of the distribution of the organic matter ISO 14000—Environmental management from the fish farm was made. Within the IMST-216 OHSAS 18001 Health and safety management certification 2013 project, some modules of this software are in the ASC (Aquaculture Stewardship Council)—The ASC uses pipeline, hopefully to be operated on. market forces to transform monitoring compliance with standards at the farm level. 5. Management The management is done according to the follow- ing points specified in EIA, 2008. The monitoring Mariculture Parks in Turkey | 325 6. Costs no specific study, it seems that more people used to work on farms in this bay before relocation. During the The overall expense of relocation of the fish farms in relocation process the coordinates of fish farms were Gulluk Bay has been calculated by average production. not marked on the navigation map. This has caused Taking a farm of 1,000 tonnes and calculated (Table 8) marine transport accidents. Another disadvantage is across 81 fish farms in Euros we reach an average in the case of a disease. It is more difficult to control relocation cost of €82,619,514. No support was given infections when fish farms are located all together. during the relocation process. For this reason many fish farmers, especially small farmers, were obliged to Weakness sell their licence to big farm owners. Social Challenges and Benefits  Monitoring cost is €1,071 per farm. This is done twice As fishery production declines, aquaculture production a year and paid by the farmer. (Source: Mugla Fish increases in importance for public consumption. Farmers Association.) Moreover, the fishing close season lasts about 4.5 months. With mariculture there is access to fish at all seasons. Moreover, it provides job opportunities in the local area so it is also an economic support. Table 8. The fixed investment for a 1,000 tonnes sea bass and sea bream facility (EIA, 2008). However negative publicity about aquaculture prod- ucts still goes on. Therefore, the result of monitoring Project Study €2,777 must be shared with both the local authority and the Construction €888,790 consumers in order to increase transparency. Equipment €108,433 Unforeseen costs €19,992 8. Conclusion Total €1,019,994 Aquaculture zoning, site selection and aquaculture management are among the most important issues for the success of aquaculture and need to be carried 7. Discussion out in accordance with sustainability and best practice Advantages guidelines. Turkey has also focused recently on such issues and tried to set guidelines which will enable Water quality and depth improved after relocation. true sustainability to take place. When we look at the This has benefited production. Fish farms have whole EIA process it needs the estimation of carrying increased their capacities. Regarding the social capacity and harmonisation with monitoring and a aspects, the improved quality of the inshore water has management system to be used. lead to a decrease of conflicts. Monitoring was able to be done in a more organized way. Disadvantages Due to the financial overload many small fish farms have gone out of business. Although there has been 326 | Mariculture Parks in Turkey References MEF. 2004. Water Pollution Control Regulation Turkish Official Gazette. No. 25687. In Turkish. EIA. 2008. Mugla-Milas Fish Farming Environmental MEF. 2007. Notification to identify the closed bays and Impact Assessment Report. Mug ˘ la, Turkey, 126 pp. gulfs qualified as sensitive areas where fish farms (in Turkish). are not allowed. Turkish Official Gazette. 26413 in IMST-216. 2013. Environmentally Sustainable Eco- Turkish. Friendly Fish Farms Creating the Project. Dokuz MEF. 2008. Ministry of Environment and Forestry Eylul University Institute Marine Sciences and archives. Technology. MEF. 2009. Monitoring Regulations for Fish Farms. IU. 2006. Project to determine possible parameters No. 27257. In Turkish. ˘ la and of pollution for Sensitive Areas of Mug Province in relation to proposed new Aquaculture TUBITAK. 2010. The effects of fish farms on marine Areas, 94 pp. (in Turkish). ecosystems Determination No. 105G038. Kapetsky, J. M. & Aguilar-Manjarrez, J. 2007. Geo- TUIK. 2013. Turkish Statistical Institute www.turkstat graphic information systems, remote sensing and .gov.tr/. mapping for the development and management Vollenweider, R. A., Giovanardi, F., Montanari, G., of marine aquaculture. FAO Fisheries Technical Rinaldi, A. 1998. Characterization of the trophic Paper. No. 458. Rome. FAO. 125 pp. (www.fao conditions of marine coastal waters with special .org/docrep/009/a0906e/a0906e00.HTM). reference to the NW Adriatic Sea: proposal for MARA. 2004. Aquaculture Regulations Turkish Official a trophic scale, turbidity and generalized water Gazette No. 25507. In Turkish. quality index. Environmetrics 9(3), 329–357. MARA. 2005. Regulation about the changes in the Yucel-Gier, G., Pazi, I., Kucuksezgin, F. 2013. Aquaculture Regulation No. 25967. In Turkish. Spatial Analysis of Fish Farming in the Gulluk Bay (Eastern Aegean). Turkish Journal of Fisheries and MARA. 2006. Circular Based on the Regulation of Aquatic Sciences 13: 737–744. Aquaculture 2005 announced in Official Gazette. No 25967. In Turkish. Yucel-Gier, G., Pazi, I., Kucuksezgin, F. and Kocak, F. 2011. The composite trophic status MEDPOL. 2009. MED POL PHASE IV Long-term index (TRIX) as a potential tool for the regulation biomonitoring, trend and compliance monitoring of Turkish marine aquaculture as applied to the program in coastal areas from Aegean Northeast- eastern Aegean coast (Izmir Bay) J. Appl. Ichthyol, ern Mediterranean and Eutrophication monitoring 27: 39. in Mersin Bay Final Report, 396 pp. Mariculture Parks in Turkey | 327 ANNEX 1. Case study effectiveness matrix Rating (0 not Well Done/Achieved achieved Approximate (briefly describe main Not Done/Not to 5 fully Investment Needed Phase/Step activities/steps) Achieved Associated Activities and Tools achieved) for Each Step (US$) Phase 1 Step 1 Scoping (Scoping involves compiling essential background information required to start an aquaculture project) 1.1  Definition of the broad Inter-Ministerial Consortium with GIS map of whole Background documents; •   4 ecosystem boundary Mug ˘ la Fish Farmer Association bays not made by Participatory meetings; •   328 | Mariculture Parks in Turkey (spatial, social and defined the area. the Ministry. Participatory map at Google level/ •   political scales) sketch maps; Nautical charts. •   Identify overriding 1.2  Aquaculture rights defined very Land logistics is not Review of relevant policy and legal •   3 policy, legislation (such well by law. Ecosystem—water defined. All logistics framework of 5 Mediterranean as land and sea rights) quality is defined very well. projected to take countries; and regulations (such place on the barges. Consultations with relevant institutions. •   as ecosystem quality In the map, shipping standards, water lanes had not been quality standards) marked. Poor benthic model. Setting the broad 1.3  Ministry with AZA gave Only main objective Communication, consultation •   3 development objectives aquaculture economic parity with assets. No details for participation. and identifying the other stakeholders. socioeconomic study. main issues Phase 1 Step 2 Zoning (Zoning or allocation of space is a mechanism for more integrated planning of aquaculture development, as well as its better regulation. It may be used either in planning to identify potential areas for aquaculture or a regulatory measure to control the development of aquaculture) 1.4  Zone boundary Mariculture zone selection is Essential Participatory meetings; •   3 definition based on based on defined zone selection environmental Literature review and Internet searches; •   relevant criteria criteria. socioeconomic and Identify and prioritize data needs and •   Creation of buffers to protect governance criteria data sources according to species and Posidonia beds, TRIX levels. were identified for culture systems; zone, as well as Mapping and analysis using GIS and •   risk (e.g., climate remote sensing data (e.g., water supply, change). water quality, climate, hydrological characteristics, soil characteristics, topography, sensitive habitats, protected areas, population settlements, etc.). Use of TRIX index, etc; •   Depth 30 meters. •   Rating (0 not Well Done/Achieved achieved Approximate (briefly describe main Not Done/Not to 5 fully Investment Needed Phase/Step activities/steps) Achieved Associated Activities and Tools achieved) for Each Step (US$) Phase 1 Step 2 Zoning (Zoning or allocation of space is a mechanism for more integrated planning of aquaculture development, as well as its better regulation. It may be used either in planning to identify potential areas for aquaculture or a regulatory measure to control the development of aquaculture) Gross estimation of 1.5  Consumed and unconsumed It was not united Modelling not extensively used. •   3 potential production/ food was calculated according and related with area to the planned capacity of fish other parameters (for production. N and P ratios that example: current). were released are defined. Formal allocation 1.6  Zones were allocated at national No local level Official Gazette published and EIA •   3 of the zone for level (by ministry) giving participation. process starts and stakeholders are aquaculture purposes aquaculture priority use of AZA. informed. Phase 2 Site Selection (Site selection is based on the suitability for development of a given activity, taking into account the physical factors of the environment and the farming system) Location of the farm 2.1  Suitability thresholds for species A very wide ranging project is under •   4 sites and culture systems for the site way at IMST to be published in 2015.* defined and consulted. Carrying capacity 2.2  TRIX index is basic to Turkish Extensive GIS Use of TRIX index. •   3 estimation aquaculture legislation. work done by Gier MERAMOD toolbox was used in previously was not this project.* built on.** Set license production 2.3  Consumed and unconsumed The importance of EIA •   3 limits within zone or food was calculated according benchmarks was not water body carrying to the planned capacity of fish exploited. capacity production. N and P ratios that Risk assessment were released are defined. studies need developing. Allocation of licenses 2.4  Allocation of licences was done Licensing practise Ministries of Environment and •   3 and permits through equal user access rights, needs “one window” Agriculture need to negotiate single under adequate regulation and consolidation. window license agreement. minimum distance between sites. Regular meetings of stakeholders need Mariculture Parks in Turkey | 329 establishing. Rating (0 not Well Done/Achieved achieved Approximate (briefly describe main Not Done/Not to 5 fully Investment Needed Phase/Step activities/steps) Achieved Associated Activities and Tools achieved) for Each Step (US$) Phase 3 Area Management (Aquaculture Management Areas (AMA), can be aquaculture parks, aquaculture clusters or any aquaculture area where farms are sharing a common relevant water body or source and that may benefit of a common management system including minimizing environmental, social and fish health risks) Identify management 3.1  Big companies management is Boundaries and Participatory consultations; •   3 330 | Mariculture Parks in Turkey area boundaries good. They use self certification hydrodynamic features Hydrodynamic models; •   system. within the AZA need Depth and current maps; •   better definition to GIS and remote sensing data and tools; •   improve management Risk maps (e.g., for algal blooms, surge, etc.); •   potential of small Use of all these tools needs to be •   farms. improved. 3.2  Estimate total carrying Generally a full economic and Risk assessment for health, financial •   2 capacity if appropriate environmental risk analyses and climate change. based on the different programme is needed. risks Organize a formal 3.3  There is an area management Farm association •   Facilitated participatory tools; 3 association of all structure with identified leaders  o investigated future global problems; needs to be stronger. •  T farmers in that area and supporting technical groups/ Guidelines for management on which •   services.** all fish farmers agree. Setting the broad 3.4  A rudimentary framework exists. EAA toolbox not EAA toolbox. •   3 development objectives used. and identifying the main issues. Agree on common management,1 monitoring and control measures 3.5  Monitoring of relevant There is an integrated monitoring Management is Monitoring systems developed by •   3 variables and enforcing system of the environmental and done by farmers stakeholders; management fish health conditions (only for themselves and Enforcement discussed and endorsed •   measures individual farms). there is an area by local communities; certification scheme. EAA toolbox. •   1 An agreed management plan for the aquaculture management area covering the most relevant issues in environmental socioeconomic aspects and governance/external forcing factors. Rating (0 not Well Done/Achieved achieved Approximate (briefly describe main Not Done/Not to 5 fully Investment Needed Phase/Step activities/steps) Achieved Associated Activities and Tools achieved) for Each Step (US$) Phase 4 Monitoring of the Management Plan and Review. Monitoring and review of performance is a critical step in the adaptive management planning process. It is essential both to ensure adequate performance is being generated against current objectives and to warrant that aquaculture is maintaining relevance with community expectations. Monitoring the implementation of the management plan should include environmental, social and governance indicators. Regular monitoring 4.1  There is a regular monitoring Analyses of A ssessment of management plan; •   3 and evaluation programme. parameters could Consultation with relevant institutions •   be sharpened. The and with the local communities; absence of detailed EAA toolbox. •   GIS mapping does not provide clear distribution patterns. 4.2  Periodic review and IMST project called “Project The Ministry must Modifications to the management plan •   3 adjustment for the Establishment and make this a regular are considered every two years. New Development of Environmentally process. threats or emergencies are tackled as Sustainable Eco-Friendly Fish appropriate; Farming Systems in the Aegean EAA toolbox. •   Sea 2014–2015” facilities this. Extent of use of zoning Approximate number of designated Approximate production from each aquaculture zone or AMA and area management aquaculture zones or AMAs development (quantifiable) Number of zones and 2 zones 88 farms/total production; 60,000 tonnes in 2013. range of implementation Other notes Positive issues Negative issues (especially social issues) Mug ˘ la Fish Farmers Association signed Monitoring results are not accessible to the public. People still have negative image. an agreement with EIA level for some management points. *Project for the Establishment and Development of Environmentally Sustainable Eco-Friendly Fish Farming Systems in the Aegean Sea. 2014–2015. **Yucel-Gier, G., I. Pazi, F. Kucuksezgin, 2013. Spatial Analysis of Fish Farming the Gulluk Bay (Eastern Aegean) Turkish Journal of Fisheries and Aquatic Sciences 13: 737–744. Mariculture Parks in Turkey | 331 Aquaculture Parks in Uganda Nelly Isyagi1 Abstract Considering the level of investment and production objectives of Aquaculture Parks, for success and Fisheries are Uganda’s third most important source of sustainability, it is critical that they be established foreign exchange contributing to the livelihoods of about within appropriate zones. Environmental, social and 5.3 million people. To sustain economic growth arising economic characteristics will determine the location, from the sector, an additional 300,000 tonnes/year of number, size and appropriate operating systems of the fish is required. However, Uganda’s natural waters have parks. This approach will increase likelihood of success reached their maximum sustainable yield. Large scale and sustainability. commercial aquaculture offers the only feasible option through which the additional production needs can be achieved within the medium term. Currently, aquaculture 1. Background production is from isolated small farms that make it Fish is among Uganda’s third most important sources difficult to establish production and marketing value of foreign exchange (UBoS, 2013).The fisheries sector chains. Increasing the number of such units shall pose employs about 1,000,000–1,500,000 people directly challenges for environmental management. and indirectly through fishing, processing and market- ing. Overall, it contributes to the livelihood of about The Government of Uganda decided to investigate the 5.3 million people (MAAIF, 2012). facilitation of small/medium scale aquaculture develop- ment through the development of “Aquaculture parks” The sustainability of the fisheries sector has become (or clusters of farms) located within designated high vulnerable because sustainable fishing yields cannot aquaculture potential areas. This case study describes meet the country’s ever increasing demand for fish. the government of Uganda steps to identify potential Catches have averaged 350,000 tonnes/year over the aquaculture areas/zones, and undertake feasibility last ten years while the country’s population growth and economic studies for land based and lake based rate is about 3.6 percent per annum (UBoS, 2013). It is aquaculture parks. It is an example how a country that also estimated that 75 percent of the major commercial has a relatively low level of aquaculture production can species of export grade2 caught from Lake Victoria identify potential zones and plan area management are exported, and only 25 percent is left available of those aquaculture zones as a way forward towards for the local market (Kabahenda and Husken, 2009). responsible and sustainable aquaculture development. National annual per capita fish consumption rates have 1 The views expressed in this information product are those of the 2 Export grade refers to fish caught within the legal size limits author(s) and do not necessarily reflect the views or policies of FAO and handled as recommended where major emphasis is placed on or the World Bank Group. hygiene and cold storage. Isyagi, N. 2017. Aquaculture Parks in Uganda. In J. Aguilar-Manjarrez, D. Soto & R. Brummett. Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture. Full document, pp. 332–357. Report ACS113536. Rome, FAO, and World Bank Group, Washington, DC. 395 pp. Aquaculture Parks in Uganda | 332 consequently fallen from about 14 kg before 1990 to the Aquaculture Parks will be concentrated areas of between 4 kg to 8 kg after 1990 (Ssegane, Tollner and production that shall function as commercial industrial Veverica, 2012). parks of fish production (Wathum and Rutaisire, 2008 and MAAIF, 2012). Levels of fish supply have raised socioeconomic and food security concerns. To sustain the benefits from This case study describes the governments steps the fisheries sector, it is estimated that an additional to identify potential aquaculture areas/zones, and 300,000 tonnes of fish should be produced from undertake feasibility and economic studies for land aquaculture (MAAIF, 2012). The likelihood of this being based and lake based aquaculture parks. achieved under the current aquaculture setting is low. The current aquaculture setup is characterized by 2. Scoping isolated and widely dispersed smallholder operations. 2.1 Setting Broad Development There are about 10,000 ponds averaging 200 m across and Management Objectives Uganda (FAO, 2005). Despite high levels of public Broad Development Objectives investment to uplift the sector, aquaculture has failed The broad development and management objectives to register a significant contribution to the national for Aquaculture Parks are stipulated in the Aquaculture catch. Among the major bottlenecks that have Park Investment Policy (MAAIF, 2012). According to continued to affect production are high investment this policy, Aquaculture Parks shall be avenues through costs, feed, seed, appropriate production systems and which commercial producers are clustered within a markets. Levels of pond production are consequently specified area out of which viable levels of production often low. The fact that fish farms are small, isolated that attract desired market segments and stimulate the and widely dispersed has further hampered the development of ‘Aquaculture Park value chains’ can be establishment of appropriate value chains. achieved. This concept is illustrated in Figure 1. Consequently, the Government of Uganda has shifted The specific development objectives for Aquaculture its development focus and it is now geared towards Parks in Uganda are (Mugabira et al., 2013): producing large volumes of fish from designated zones. The purpose of this approach is to stimulate 1. To increase the value of aquaculture production sectoral development rather than just farm develop- from the present average of US $180 million ment. The establishment of appropriate commercial annually to at least US $600 million. production and marketing chains will help address the 2. To increase the volume of aquaculture production major bottlenecks currently affecting the expansion of from 90,000 tonnes to 300,000 tonnes annually. aquaculture in the country. These are supplies of com- 3. To identify, assess and support the development mercial feed and seed, development of appropriate of infrastructure and utility services for potential production systems, marketing channels and access to sites on land and water, each promoting at least technical services. 5,000 tonnes annually. 4. To identify and attract potential investors for aqua- The government of Uganda is investigating the pos- culture production and associated inputs. sibility of promoting small/medium scale aquaculture 5. To organise rural smallholder fish farmers into pro- clustered in “Aquaculture parks” that shall be located ducer groups that can compete for the operation within designated high aquaculture potential areas. and management of aquaculture parks. The location of these zones within areas of high 6. To promote sustainable management and opera- aquaculture potential is to prevent haphazard develop- tional systems through associations of Aquacul- ment with a high likelihood of negative environmental ture Parks. consequences and subsequent failure. Essentially, Aquaculture Parks in Uganda | 333 Figure 1. Aquaculture Parks value chain process map. Public Management Agencies Input support Industry International Fish Trade Aquaculture Aquaculture Park Marketing Regional Export Producers Technical Service Providers Local Fish Trade Financing and Management Agencies Source: MAAIF (2012). 7. To promote coordination among the respective Management Objectives public and private agencies in the development It is proposed that the Aquaculture Parks be run as and management of Aquaculture Parks. independent self-sustaining Public-Private-Partnership 8. To build capacity in the private sector and at cen- enterprises that can within the legislated framework tral and local government levels. sustainably produce and market up to 5,000 tonnes of 9. To support, regulate and guide the development fish per annum (MAAIF, 2012, Mugabira et al., 2013). of Aquaculture Parks. This PPP may be in association with a large-scale private 10. To develop and adopt environmentally friendly sector partner that directly invests in the park or pays a aquaculture technologies and practices. fee to the government to produce within the park (the nucleus estate model). The APs are to be managed based The development of aquaculture parks in Uganda upon sound scientific principles. Thus research and train- should consider environmental, social, economic ing institutions shall play a key role in ensuring appropri- and governance aspects. The use of appropriate ate technology is developed and effectively adopted by aquaculture production systems that match the appropriately trained personnel, farmers inclusive. available resources is advocated for. In addition, so is the participation of both the public and private sector Figure 2 illustrates the Aquaculture Parks conceptual in a positive manner whereby both parties contribute business management model and the roles of the equitably depending on their comparative advantage. private and public sectors in securing capital and in 334 | Aquaculture Parks in Uganda Figure 2. Proposed Aquaculture Park company structure (MAAIF/EU, 2013). Government Capital: of Uganda Divestment External Plan Investment Farmers (all scales) Management: Aquapark Service Company External TA Board of Directors (co-op, MAAIF, additional expertise) Management Committee Direct Farmer Involvement (farmer reps/co-op & AP service company) Aquaculture Parks management. It is proposed that the Ministry of Agriculture Animal Industry and the Aquaculture Parks be managed by an independent Fisheries plays the leading role in implementing these service company overseen by a Board of Directors. policies with the help of Local Government. Other key Farmers would in this case participate in the manage- lead agencies playing a key role in Aquaculture Parks ment through representatives or their cooperative. development are the Directorate of Water Resources Initially the Government finances would be used to in the Ministry of Water and Environment, Ministry establish the Aquaculture Parks. A share offer (open of Lands and Urban Development and Ministry of to prospective farmers initially) would help recoup a Tourism, Trade and Industry. The key statutory bodies proportion of the capital costs and provide working involved are the National Environment Management capital for the farm (purchase of equipment, feed, Authority, Uganda Investment Authority and Uganda labour, etc., ahead of revenue from production). The Wildlife Authority. Aquaculture Parks would then become self-supporting. The principle policies that guide the development and 2.2  Legal, Regulatory and Institutional management of Aquaculture Parks are the National Frameworks Fisheries Policy and the National Aquaculture Parks Investment Policy. A summary of these and other key Aquaculture Park policy activities are coordinated policies is described in Table 1. by the National Planning Authority of the Ministry of Finance, Planning and Economic Development. The primary regulations governing aquaculture are However, the Fisheries Resources Department under summarized in Table 2. Aquaculture Parks in Uganda | 335 Table 1. Policies directing Aquaculture Park development in Uganda. Policy Overall Goals The National Fisheries Policy, 2004 To ensure increased and sustainable fish production and utilisation by properly managing capture fisheries, promoting aquaculture and reducing post-harvest losses. The National Aquaculture Parks To create a competitive, market-oriented and environmentally responsible Investment Policy, 2012 aquaculture industry. The National Water Policy, 1999 To attain an integrated and sound water resources management regime that balances economic, ecological and health priorities. This includes water for agricultural production, under which water for aquaculture use falls. The National Policy for Water for The provision of water for increased agricultural production and productivity Agricultural Production, 2011 (draft) through coordinated interventions targeting water for crops, livestock and aquaculture. The need for this policy was realized based on the fact that the quantity and quality of water resources available to boost and sustain agriculture were receding due to an array of factors that included poor watershed management, inadequate water, harnessing capacity and rational use of water resources. The National Agricultural Policy, 2013 To promote food, nutrition security and household incomes through coordinated interventions that focus on enhancing productivity and value addition, providing employment opportunities, and promoting domestic and international trade. The National Environment Management This provides the overall policy framework to ensure sustainable social and Policy, 1994 economic development in the country that maintains or enhances environmental quality and resource productivity without compromising ability of present and future generations to meet their needs. The National Policy for the To ensure the protection and sustainable use of wetland resources so as to Conservation and Management maintain their ecosystem function to include long-term interests of future Wetland Resources, 1995 generations. The National Trade Policy, 2007 To develop and nurture private sector competitiveness, to support the productive sectors of the economy to trade at both domestic and international levels, with the ultimate objective of creating wealth, employment, enhancing social welfare and transforming Uganda from a poor peasant society into a modern and prosperous society. The Uganda National Land Policy, 2013 To ensure efficient, equitable and optimal use as well as management of land resources for poverty reduction, wealth creation and overall socioeconomic development. The sustainable exploitation of land resources while safeguarding environmental sustainability is stressed. Science and Technology Policy, 2009 To strengthen national capability to generate, transfer and apply scientific knowledge, skills and technologies that ensure sustainable utilization of natural resources for the realization of Uganda’s development objectives. The Uganda Food and Nutrition Policy, To ensure food security and adequate nutrition for all the people in Uganda. 2003 The Public-Private Partnership To enable the public and private sectors to work together to improve public Framework Policy, 2010 service delivery through private sector access to public infrastructure and related services. 336 | Aquaculture Parks in Uganda Table 2. Legal and regulatory framework. Law Content The Constitution of Uganda, 1995 The main legislative body of the country offers every Ugandan the right to and responsibility for creating a clean and healthy environment. The Fisheries Act, 1970 Provides the framework for the management and sustainable use of fishery resources so that sustainable benefits are realized for the people of Uganda. It covers fisheries, access to lakes for fishing and aquaculture. The Water Act, 1997 Provides the framework for the management of water resources in the country, its use and quality control. The National Environmental Act, 1995 Relates to the protection and preservation of the environment. It provides for various strategies and tools for environment management that include Environmental Impact Assessments. The Land Act, 2010 Provides the framework with which land, ground water, natural streams, wetlands are held, managed and utilized for the common good of the people of Uganda. The Local Government Act, 1997 Provides for the decentralization and devolution of Government functions, powers and services from the central to local governments and sets the political and administrative functions of local governments. The local governments therefore are responsible for the protection of the environment at local levels. Uganda Wildlife Act, 2000 Protects the wildlife resources of the country (wild plant and animal species native to Uganda or that migrate through Uganda). It provides the framework for the sustainable management of these resources. Regulation Content The Fish (Aquaculture) Rules, 2003 Stipulates the guidelines for the farming, breeding and marketing of fish and other aquaculture products. Permits and licensing procedures for aquaculture are provided for in these rules. Uganda Statute on BMUs, 2003 Guides community involvement in fisheries management. Enables fishing communities to have rights of access and decision-making in the use of fishery resources within the framework of the National Fisheries Policy. The Water Resources Regulations, 1998 The water resources regulations provide for the control of the extraction, discharge and pollution. The Environmental Impact Assessment Regulate in consultation with the Lead Agencies the use of the country’s natural Regulations, 1998 resources to ensure compliance with the National Environment Act. It provides criteria and guidelines under which EIAs should be undertaken, evaluated and monitored. 2.3 Consultation with Stakeholders development and management, environmental The development and adoption of the Aquaculture management, local governance, community develop- Park Concept has involved an almost ten-year par- ment as well as research and training were consulted. ticipatory consultative process (Table 3). Stakeholder Within the private sector, producers, traders, consultations between the public and private sector fishermen, farmers, manufacturers, input suppliers, were done through all stages of concept develop- extension service providers and local communities ment. These included public awareness programs. were consulted. Development agencies were also Within the public sector, the different key agencies consulted. Studies were done to advise the process notably fish/agricultural production, fish trade, water (USAID, 2009, EU/MAAIF, 2013, EU/MAAIF, 2011). Aquaculture Parks in Uganda | 337 Table 3. Documents in which zoning for commercial Aquaculture Development and/or Aquaculture Parks have been discussed. Author Title MegaPesca, 2006 ‘Aquaculture in Uganda: A review of the sub-sector and a strategy for its development’ suggests Aquaculture Parks as a possible option for expanding Uganda’s aquaculture. Wathum and Rutaisire, 2008 ‘Uganda National Aquaculture Development Strategy’ mentions the establishment of aquaculture zones to ensure the development of commercial aquaculture is forwarded. NORAD, 2009 Identification of Potential Aquaculture and Fish Processing Investment Projects and Partners in Selected Countries in Africa. EU/MAAIF, 2011 Study on Promoting Commercial Aquaculture in Uganda. Recommends support for zoning exercise to identify priority areas for aquaculture development. MAAIF, 2012 National Investment Policy for Aquaculture Parks in Uganda. MAAIF, 2013 Feasibility Study for Development of Infrastructure for Water for Production in Uganda. MAAIF/EU, 2013 Feasibility Study to design, cost and operationalize model commercial Aquaculture Parks in Uganda. As a result of this process, the Aquaculture Working participatory rapid site appraisals. Broadly, zones had to Group that comprises representative stakeholders be based on criteria defined by MAAIF (2013) such as: from both the private and public sectors was set up. i. Political Boundary. Sites for both land and water- The role of this working group is to continuously based aquaculture had to be within the jurisdic- advice and give feedback on policy and the status of tion of Uganda. commercial aquaculture development in the country ii. Water Management Zone. Areas with adequate (MAAIF, 2012). year round water supply of suitable quality. Hence The outcome of this process has been the Concept of internal zonal boundaries cut across political dis- Aquaculture Parks. The feasibility of undertaking this trict boundaries. approach has been found to be potentially among the most viable options for promoting sustainable aqua- 3.2 Assessment for Aquaculture Potential culture development in the country, in a manner that 3.2.1 Identification of Areas Suitable accommodates smallholder producers and stimulates for Fish Pond Culture rural development. None of the above studies under- Uganda has the potential to support commercial took spatial analysis. aquaculture. A continental assessment on fish farming potential in Africa by Aguilar-Manjarrez and Nath (1998) 3. Zoning indicates Uganda has favorable conditions for aqua- culture. This was largely attributed to Uganda’s water 3.1 Definition of Boundaries resources and climate. Eighteen percent of Uganda is Boundaries to define boundaries for aquaculture covered by water and its average precipitation is about zoning in Uganda have not yet been defined so far. 1,000 million per annum. Ambient temperatures range The identification of areas with high potential for between 16–30oC. In addition, because Uganda lies aquaculture has so far been based on information that along the equator, air temperature and day-length could easily be obtained from secondary literature and fluctuations are low permitting year round fish growth. 338 | Aquaculture Parks in Uganda Uganda’s freshwater resources are suitable for cage, of raw fish is in place. Increased fish production from pond and tank based aquaculture systems. Its agricul- aquaculture would benefit from the already present tural and fisheries sector produce all the raw materials fish processing infrastructure. required to make commercial fish feeds, except for Information from previous assessments (MAAIF, some of the micro ingredients such as mineral and 2013) and Ssegane, Tollner and Veverica (2012) were vitamin premixes. The country already makes com- used to evaluate the potential for pond aquaculture. mercial extruded fish feed. The species of choice for Ssegane, Tollner and Veverica (2012) provides a commercial aquaculture, the Nile tilapia (Oreochromis comprehensive spatial assessment for the potential nilotics) and African catfish (Clarias gariepinus) are of pond-based aquaculture in Uganda. Seven criteria indigenous to the country. They are fast growing and (water requirement, water temperature, soil texture, have been proven under local commercial production terrain slope, potential farm gate sales, availability of settings (EU/MAAIF, 2011). farm inputs, and access to local and regional markets) Uganda’s local and external market potential for fish is were analyzed by Ssegane, Tollner and Veverica (2012) also good. Uganda is traditionally a fish eating country. to determine site suitability for tilapia and clarias The country also has established marketing channels farming in Uganda. Figure 3 depicts the seven criteria for fish that it cannot satisfy within the region and used to assess site suitability for fish farming. For each internationally. A well-developed fish processing criterion, the corresponding data requirements were sector that is underutilized due to inadequate supply defined as basic map themes. Figure 3. Criteria used in geospatial modelling of sites suitable for pond fish farming in Uganda. TOP LEVEL INTERMEDIATE LEVEL BOTTOM LEVEL (Objective) (Criteria) (Basic themes) Rainfall (mm) Water requirement Evapotranspiration (mm) Seepage (mm) Water temperature Air temperature (°C) Soil texture Percent clay (%) Slope Digital elevation model Overall suitability map Farm gate sales Population density Time to Kampala (hrs) Access to markets Time to populated places (hrs) Time to regional markets (hrs) Total number of poultry Farm inputs Distance to feed agents (km) Source: Ssegane, Tollner and Veverica (2012). Aquaculture Parks in Uganda | 339 Based on suitability thresholds, each criteria was being most suitable for pond aquaculture (Figure 4). classified into four suitability groups across the seven The least suitable areas for pond production were criteria (Table 4). The groups Include Very Suitable the northeast and southwestern parts of the country (VS), Suitable (S), Moderate Suitability (MS), and not due to prolonged dry spells and low temperatures Suitable or Unsuitable (NS). respectively. The study by Ssegane, Tollner and Veverica (2012) Additional maps representing soil texture; percent revealed the areas around Lakes Victoria and Kyoga as slope, farm gate sales; access to markets; and access Table 4. Summary of values for each suitability group across the seven criteria. Criterion Thresholds Moderately Criterion Very Suitable Suitable Suitable Not Suitable Water Requirement 1.  <5 5–20 20–100 >100 (ha—required drainage area) 2. Water Temperature (oC). 28–32 24–28 20–24 <20 or >32 3. Soil Texture (% clay) 15–30 10–15 or 30–40 5–10 or 40–50 <5 or >50 4. Slope (%) <2 2–5 5–15 >15 5. Farm Gate Sales (people/km ) 2 200–1,000 30–200 5–30 <5 or >1,000 Access to Local and Regional 6.  <1 1–3 3–6 >6 Markets (travel hours) 7. Farm Inputs • Total number of poultry >100,000 40,000–100,000 15,000–40,000 <15,000 • Distance to feed agents (km) <30 30–50 50–100 >100 Source: Ssegane, Tollner and Veverica (2012) Figure 4. Fish pond farming suitability maps based on water availability and water temperature. Source: Ssegane, Tollner and Veverica (2012). 340 | Aquaculture Parks in Uganda to farm inputs were analyzed by Ssegane, Tollner and tandem with local constraints. The process has helped Veverica (2012). The final results after combining all create more positive public attitudes towards the criteria showed that 0.09 percent (16,322 hectares) Aquaculture Parks concept, particularly for the water- of the land area in Uganda was very suitable. More based parks where public skepticism was initially high. than 98 percent of the area was classified as suitable or moderately suitable; however, the distributions of 4. Site selection for Aquaculture the suitability values on each map varied. The very Parks suitable locations are areas near Lake Victoria, while the unsuitable locations are areas in the northeast The information above in addition to site specific and southwest of the country. The northeast areas measurements of water quality was used to select are characterized by dry periods, while the southwest potential sites for aquaculture parks. Two sites, one areas experience low temperatures. for ponds by the River Nile downstream of Lake Kyoga and the other for cages in Lake Victoria close to 3.2.2 Identification of Areas Suitable Bugala Island were thus identified. for Aquaculture Parks Assessments by the National Fisheries Research 4.1 Aquaculture Parks for Fish Ponds Institute (NaFIRRI) to identify potential zones for Table 5 summarizes the criteria selected to identify Aquaculture Parks within areas identified as having pilot sites for aquaculture parks for fish ponds in Apac high potential for aquaculture by Ssegane, Tollner and district along the Kyoga Nile. The site is within the Veverica (2012) were mainly qualitative comprising of Kyoga Water Management Zone and is part of the rapid site appraisals, stakeholder consultations and Olwenyi Catchment. It has access to the Great North analysis of secondary information. Inter-disciplinary Road from this site and is also possible from Masindi teams comprising personnel from the fisheries port. Potential areas for aquaculture parks for fish department, other arms of MAAIF, Directorate of ponds are presented in Figure 5. Water Development, local government departments, and the private sector formed the sited evaluation 4.2 Aquaculture Parks for Lake Fish Cages teams. Consultations were undertaken between and The following were key suitability considerations within line departments, local communities, district measured to determine the site locations of aquacul- administrators, and community based organizations ture parks for fish cages: (notably Beach Management Units, farmer groups) as well as ordinary people living within the communities • Sufficient water column depth, to allow wastes from all sectors of life and security agencies. The and leftover food to settle and decompose at safe above processes additionally served to verify secondary distance without causing competition for oxygen information and assess public opinion. Consultations between the cultured fish and the decomposition with local communities revealed a lot of important bacteria. A cage depth to water column depth ratio information about the ecosystems that had not been of 1:3 is ideal. documented. For example, seasonality of water • A water current flow rate that will effectively wash sources, migration routes of wild animals including fish wastes and un-eaten food through and out of aquatic animals, incidences and cycles of fish kills in the cage at a rate such as to constantly maintain the certain areas of lakes, wave characteristics and so on. optimum water quality balance for best production results. A water current flow rate of 1 to 6 meters Specific studies were also commissioned in which local per minute is usually effective in delivering optimum aquaculture production, environmental and market production results. data were obtained with the objective of validating • A consistent supply of naturally occurring dissolved assumptions proposed in the “Aquaculture Parks” oxygen at such concentration levels as to support concept. This enabled the planners and stakeholders the high fish densities that are characteristic of cage to re-adjust production targets more realistically in culture. 5mg of dissolved oxygen per litre of water Aquaculture Parks in Uganda | 341 Table 5. Summary of scoping site appraisals for fish ponds for Aquaculture Park sites in Uganda. Factors Considered Parameters Political Boundary Region of the country. Two regions were taken into account—Western Uganda (Kabarole District) and Eastern Region (Kamuli, Namutaba, Budaka, Kibuku, Dokolo and Lira districts). Water Catchments Kyoga Water Management Zone (Olwenyi Catchmentin Lira and Dokolo Districts and Mplogoma Catchment in Kamuli, Namutaba, Budaka and Kibuku districts), Albert Water Management Zone (Rivers Mpanga, Mahoma, Nsonja and Rwimiin Kabarole District). Lake Victoria for water based aquaculture parks. Water Sources Seasonal availability of ground water and surface water based on historical observations of communities, fisheries officers and where available secondary information. Basic Water Quality Data taken at time of visits, so not conclusive. Measured temperature, Ph, conductivity. for Production Physical Characteristics Visual assessment of terrain, flow of water and soils. Land Use and Ownership Description of current use of land and establishment of land tenure/ownership of sites (i.e., public land, communal or individual ownership). Fish Species Fish species in water bodies and under aquaculture. Adpated from MAAIF (2013). Figure 5. Potential areas for Aquaculture Parks for fish ponds in Apac. Source: MAAIF/EU (2013). 342 | Aquaculture Parks in Uganda and above, at water temperatures between 28–30oC infrastructures such as an ice machine, a cold room is ideal. and live fish handling facility; • Turbidity levels, secchi disc readings of between • Access to industry support infrastructure, mainly 80–200 cm, to ensure a biomass balance in favour electricity and good transport network; of the cage farming activities and at the same time • Community perceptions and activities. keeping environmental impact in check. Based on the initial identification of potential sites • Water alkalinity and hardness above 20 mg/l in order for aquaculture undertaken by NAFIRRI, the best lake to ensure water pH within safe range for fish life based site and the best river based sites were chosen sustainability. for further analysis. The site survey team visited these In addition to the general requirements for water areas and further undertook basic site suitability survey based aquaculture establishment, the following were including topography, bathymetry, water current speed taken into account in view of the fact that an Aquacul- and direction, water temperature, transparency. At the ture Park would be a large commercial entity: same time the land ownership issues were ascertained. As a result of this process, three potential sites within Close proximity to land for the establishment of: Apac district by the Nile River were identified and the • Fish landing facilities; best site chosen for a pond based Aquaculture Park. • Construction of support facilities such as a hatchery The potential sites on Bugala Island were surveyed and and/or nursery, feed store, net making and mending the best site identified at Mweena, Kalangala District workshop among others; for cage culture (EU/MAAIF, 2013). • Proximity to marketing outlet complete with one A summary of key parameters for tilapia cage culture is or more quality maintenance and preservation presented in Table 6. Table 6. Tilapia cage culture options at proposed Mweena Aquaculture Parks site within Lake Victoria. Input Levels Key Parameters Small-Holder Medium Scale Large Scale Size of Cage (m ) 3 2.5 × 2.5 × 2.5 m deep 4 × 2 × 3 m deep 12 m-D × 10 m deep System LVHD1 LVHD HVLD2 Stocking Density 150–200 kg/m3 150–200 kg/m3 12.5 kg/m3 Water Quality Water depth + 6m Water depth + 8 m Water depth + 25 m Management Net depth 2.5 m Net depth 3 m Net depth 10 m Current 1–10 m/min Current + 5 m/min Current + 5 m/min (Optimum 5 m/min) Water transparency + 1 m Water depth + 1.5 m Water transparency + 2 m Feed High quality extruded, High quality extruded, High quality extruded, min 30% CP, 5 kg/ha min 30% CP, 5 kg/ha min 30% CP, 5–7 Kg/ha Yield 800–1000 kg/per cage 3,600 kg/per cage 12 to 15 tonnes/cage Note: LVHD1—Low Volume High Density; HVLD2—High Volume Low Density. Source: EU/ MAAIF (2013). Aquaculture Parks in Uganda | 343 Authorization arrangements 5.  Table 9 below lists the groups recommended mitiga- for Aquaculture Parks tion measures arising from the proposed marine cage park at Mweena. 5.1 Licensing Requirements Table 7 lists the specific regulatory requirements An environmental permit would need to be obtained for aquaculture parks. The primary permits focus at for all sites that address environmental, socio- monitoring aquaculture establishments, water use and economic and governance issues. The initial step in environmental management (details in Annex 1). the environmental assessment is scoping out where an environmental brief that identifies potential benefits 5.2 Regulations and risks is produced. The contents of an Environmen- tal Brief are set out by law (Table 10). The outcome Currently there are no specific regulations governing would be a project brief that shall be reviewed to Aquaculture Parks. The Aquaculture Parks are consid- ascertain whether or not an Environmental Impact ered as aquaculture establishments with additional Assessment should be undertaken and what should regulations applying as appropriate (see Tables 2 and be considered within it. Environmental Brief’s are 6). Upon their establishment, appropriate regulations reviewed by the various key agencies and stakeholders can be developed depending on what management who provide their feedback to NEMA for a final and environmental issues arise. decision. 5.3 Environmental Impact Assessments Given that Aquaculture Parks are large scale opera- The following are potential environmental issues likely tions, a full EIA will be required. This will entail that the to arise from pond aquaculture parks (Table 8). status of the environment prior to the implementation Table 7. Specific regulatory requirements for Aquaculture Parks. Mweena (Fish Cages) Apac (Fish Ponds) Fish Farming • Aquaculture Establishment Permit Aquaculture Establishment Permit; • (Site to be designated by GPS Seed Production Permit; • readings); Fish Transfer Permit. • Seed Production Permit; • Fish Transfer Permit. • Land • Land based structure are on Family owned land. Local inhabitants will have to • government land. Since it is a be compensated if they are made to move to pave government facility designated for way for the construction of the aquaculture park; fisheries marketing, there are no And title for the aquaculture park; • encumbrances; Planning and building permits from permission • • Building permits for the construction from local government. of additional structures from the local government. Water No obstruction of water ways; • Drilling permits; • Water abstraction permit; • Water abstraction permit; • Effluent discharge permit. • Effluent discharge permit. • Environment Certificate of Approval of Environment Certificate of Approval of Environment Impact Impact Assessment. Assessment. Trade Trading license. Trading license. 344 | Aquaculture Parks in Uganda Table 8. Environmental issues arising from pond Aquaculture Parks. Major Concerns Issues Ecosystem Health Changes in biodiversity, aquatic and terrestrial habitats; • Changes in water volume, quality and catchment hydrology; • Pollution arising from use of chemicals and by-products of production; • Bio-security, particularly spread of diseases from farmed to wild fish populations. • Socioeconomic Land conflicts arising from changes in ownership, competition for specific sites, changes in • land use patterns; Strain on municipal resources and services due to increase in local population; • Security concerns; • • Profitability of individual enterprises and park as a whole; Effectiveness and transparency of Aquaculture Parks management; • Access routes as well as access to utilities; • Appropriateness of technology; • Competence levels of personnel including farmers; • Technical and socioeconomic performance of systems. • Table 9. Issues arising from cage Aquaculture Parks. Major Concerns Issues Ecosystem Health Changes in biodiversity, aquatic and terrestrial habitats; • Biodiversity Pollution arising from use of chemicals and by-products of production; • Bio-security, particularly spread of diseases from farmed to wild fish populations. • Socioeconomic Continued accessibility for other users, notably navigation routes, fishing grounds and • Access to lake by other users recreation centres; Collective responsibility in management of shared resource. Cage Aquaculture Parks • should be part of and cooperate with local Beach Management Units; Establishment and respect of Aquaculture Parks boundaries; • Local employment; • Reduced markets and prices for fishermen’s catch; • Increased demand on public services; • Increase in local population, hence more conflicts; • • Security; Profitability of individual enterprises and park as a whole; • Effectiveness and transparency of Aquaculture Parks management; • Access routes as well as access to utilities; • Appropriateness of technology; • Competence levels of personnel including farmers; • Technical and socioeconomic performance of systems; • Adequate supply of inputs (especially seed, feed, cage netting) of right quality. • Aquaculture Parks in Uganda | 345 Table 10. Outline of the environmental brief. Chapter Content 1. Background of the project Description of the basis of the project. 2. Overall purpose of the project Description of project objectives, goals and targets. 3. Nature of the project Description of the ownership, e.g., social project, private enterprise, etc. 4. Site analysis Comprehensive description of the site based upon physical characteristics, environmental status, land use and other socio- economic activities in the area. 5. Project activities Description of what is likely to be entailed in the setup and operations of the project in order that the goals be accomplished. (i) Design of the project Describe how the project has been set up and will run. (ii) Technical operations Description of the technical operations indicating technical viability using the given resources. (iii) Socioeconomic Description of what benefits are likely to accrue from the project directly, e.g., economically viable. 6. Potential environmental impacts Description of likely environmental impacts, assessment of their likelihood, likely impacts and what mitigation measures need be put in place. This includes impact on natural resources as well as social and economic impacts. 7. Anticipated benefits of the project Positive benefits likely to accrue from the project on the socio- economic status of the community and environment. Among the positive benefits likely to accrue from Aquaculture Parks is the managed harnessing and use of water. Table 11. Template for compliance and monitoring plan. Parameters to Be Baseline Type of Monitoring Monitoring Issue VECS Drivers Monitored Conditions Monitoring Location Frequency Institution of the project is ascertained, necessitating an based upon the issues raised form the Aquaculture environmental baseline survey. Out of this, the main Parks feasibility study (EU/MAAIF, 2013). drivers likely to cause environmental changes during the construction, operation and maintenance phases 5.3.1 Ecological Carrying Capacity of the Aquaculture Parks shall be identified. A compli- The ecological limits for carrying capacity within the ance and monitoring plan is consequently developed selected Aquaculture Parks pilot sites were calculated (Table 11). Upon the approval of this, the EIA permit based on results from the previous USAID FISH project shall be granted. (Auburn University, 2009). Table 12 gives a summary of what parameters are likely to be required for in the Aquaculture Parks EIA 346 | Aquaculture Parks in Uganda Table 12. Issues to be monitored. Area of Concern Issues to Be Monitored Ecosystem Health Changes in physico-chemical characteristics of water • Changes in aquatic and terrestrial ecology • Changes in hydro-geology for land-based Aquaculture Parks • Changes in lake sediment profiles • Differences in water nutrient levels between inflowing and outflowing waters • Socioeconomic Changes in socio-cultural environment • Changes in community uses of natural resources • Changes in demography and household characteristics • • Changes in local livelihoods Nature of arising conflicts and conflict resolution • Markets • Changes in land ownership, education, urbanization, power and other utilities, etc. • Benefits arising from Aquaculture Parks to communities • Development and adoption of Best Management Practices • Enterprise performance, compliance to legal and statutory requirements • Technical Predator control strategies • Handling of effluent • Training of personnel, farmers and communities • Number, location of cages and their production levels • Pond Culture production results from a commercial cage LVHD farm The carrying capacity for tilapia ponds averaging 1-m in Lake Victoria (Source of the Nile) revealed that an deep under static green water and fed nutritionally annual production of 175 tonnes per hectare of lake completely floating diets was found to average was the sustainable carrying capacity. 10 tonnes per hectare. The carrying capacity of catfish A definitive assessment of what zonal carrying ponds averaging 1-m deep under static water (without capacities are likely to be can only be obtained after fertilization) fed nutritionally completely extruded the EIA analysis. Aquaculture Park operations and floating diets was found to average 20 tonnes per management should accordingly be flexible to ensure hectare. adaptability to EIA requirements for sustainability. Cage Culture For tilapia raised in LVHD cages 150–200 kg/m3, data Cost-benefit analysis 6.  on cage performance was obtained from cages set for Aquaculture Parks within open water bodies (Lake Victoria) and farm Based upon the findings from the ‘Feasibility Study dams. The carrying capacity was taken as the point to Feasibility study to design, cost and operationalize from which total increase in cage biomass ceased to model commercial Aquaculture Parks in Uganda’ APs increase and key water quality parameters started to can be viable operations supporting both small and consistently become limiting factors for fish perfor- large scale producers (EU/MAAIF, 2013). Table 13 mance, notably dissolved oxygen and ammonia. This shows the comparative cost-benefit findings from this together with an analysis of the long-term sustainable study between cage and pond Aquaculture Parks. Aquaculture Parks in Uganda | 347 Table 13. Comparison of this production and economic potential of two selected potential sites. Analysis Mwena Cage Based Aquaculture Park Apac Pond Based Aquaculture Park Planned annual production 3,000t 2,380t Estimated cost to build 8.2bn USh 9.6bn USh (using MAAIF pond (existing Mwena site reduces this cost to construction, not commercial rates) 5.6bn USh) AP Generating revenue from a 79% 51% variety of sources (seed and feed sales, marketing fee and a service charge) at full capacity The break-even point 600t (20% of capacity). 1,120t (47% of capacity) Time taken for construction 1 year 2 years Direct jobs created 280 400 Profitability with production 7% for small scale 19% for small scale assumptions based on improved 28% for medium scale 31% for medium scale culture practice at different scales 40% for large scale 38% for large scale of farmer With the reduced borrowing for Small-scale investors achieve a positive Unlikely to be open to small-scale farmers. capital investment NPV indicating it is worth investing in the Groups of farmers, potentially under a park. co-operative structure are more likely investors. Profitability for the medium-scale Comparatively low investment costs and Positive NPV with good returns. investor. good profits. Profitability for the large scale Substantial capital costs in shares and Production investment is at a lower level investor cages (positive cumulative cash flow in than the cage-based model (positive year 6); the park represents a long-term cumulative cash flow in year 4). 53% IRR investment. 68% IRR after 10 years. after 10 years. Aquaculture Parks Returns on Achieved after 10 years at Mwena While investment in the Aquaculture Parks investment (based on 50% of (13 years in the model case). company should provide returns in the company profits being distributed long term, the IRR after 10 years is –6%. to shareholders) Notes A more positive outcome would be It should therefore be considered as achieved with quicker phasing of providing access to the benefits of production. operation within the Aquaculture Parks. 348 | Aquaculture Parks in Uganda Societal benefits likely to be derived from the develop- the policy intention and the obvious physical potential, ment of Aquaculture Parks include: there are few examples of profitable aquaculture busi- nesses in Uganda. The technical and financial feasibility i. Increase in fish supply study for establishing Aquaculture Parks in Uganda ii. Diversify and increase in rural employment indicates that Aquaculture Parks can result into iii. Stimulate development and/or expansion of rural sustainable economic and social benefits. Indications towns and local services available are that the cage culture based Aquaculture Parks iv. Increase in local earnings would have higher profitability, faster establishment v. Improvement in the viability of commercial small- time and a faster payback period for infrastructure holder operations than pond based Aquaculture Parks. Consequently, On the other hand, societal challenges likely to be the government of Uganda is considering establishing faced as a result are: pilots. i. Limited human capacity. New system of produc- The use of baseline information will be important to tion and aquaculture has not yet become an art guide and monitor these developments. Undertaking for most of Uganda. Strategic Environmental Assessments of potential ii. Increase in conflicts arising from access to zones that include selected sites for this at this stage resources, e.g., land, fishing grounds, etc. would be beneficial as they would ideally provide iii. Ensure benefits accrue not just to those directly the information to guide development based upon involved in the Aquaculture Parks. ecosystem constraints. Table 14 gives a summary of the status of zoning in Uganda. In this regard, the strengths and weaknesses for the development 7. Discussion and conclusions of Aquaculture Parks in Uganda are summarized in Uganda has significant potential for development of Table 15. a commercial aquaculture industry. However, despite Aquaculture Parks in Uganda | 349 Table 14. Summary Uganda case study. Rating (0 not achieved to Phase/Step Well Done/Achieved Not Done/Achieved Associated Activities and Tools 5 fully achieved) Phase 1 Step 1 Scoping Definition of the ecosystem Broadly done based upon water Specific guidelines for defining 2 boundary (spatial, social and catchments and climatic conditions ecosystem boundaries (spatial, political scales) and general socioeconomic factors social and political scales) not yet 350 | Aquaculture Parks in Uganda notably current land use. defined. Identify over-riding policy, Aquaculture parks policy has been Over-riding policies and legislation Need for zonal aquaculture 2 legislation (such as land and sea developed. Aquaculture parks such as rights of use within production and planned rights) and regulations (such as water supply needs included public water-bodies have yet to development has been realized. ecosystem quality standards, water in NDPs Water for Agricultural be streamlined to aquaculture Stakeholder consultations. quality standards) Production. parks settings. Likewise, specific regulations guiding the implementation of aquaculture parks. Phase 1 Step 2 Zoning Zone selection based on selection Locally developed guidelines for Criteria for selecting land and Scientific information. Feasibility 2 criteria selection of bays for LVHD cage water-based sites as well as studies have been undertaken of culture. identification and application two pilot potential sites. of spatial techniques based on ecosystem quality objectives (environmental and socio- economic) need be identified and agreed upon by relevant stakeholders. Gross estimation of potential areas Estimation of two pilot potential Gross estimation of all identified Collection of data from individual 1 and production sites has been done based upon potential sites not yet done. farms. carrying capacity information Estimation protocols used have not from local pond and cage systems yet factor N and P discharges from within Lake Victoria. current commercial systems. Allocation of the zone for Not yet Stakeholder consultation and 0 aquaculture purposes sourcing of development finance to legally secure and develop identified pilot sites for aquaculture yet to be done. Table 14. Continued Rating (0 not achieved to Phase/Step Well Done/Achieved Not Done/Achieved Associated Activities and Tools 5 fully achieved) Phase 2 Site Selection Carrying capacity estimation To be conducted for identified pilot Coarse estimates of carrying 1 sites. capacity for pilot sites were based mainly on production and water quality in production units. Baseline environmental data still needs to be obtained and appropriate tools identified for analysis and development of ecosystems management programs. Set license production limits within Not yet Zones yet to be established. 0 zone or water body carrying Likewise appropriate tools yet capacity to be developed/identified to establish these limits locally. Allocation of licenses and permits Done Aquaculture Rules, EIA regulations 3 and Water Act. Phase 3 Area Management Identify management area Partially Delineation for the management 1 boundaries area boundaries of aquaculture parks have been proposed. Estimate total carrying capacity if Not yet 0 appropriate based on the risks Organize formal association of all Not yet 0 farmers in that area Aquaculture Parks in Uganda | 351 Table 14. Continued Rating (0 not achieved to Phase/Step Well Done/Achieved Not Done/Achieved Associated Activities and Tools 5 fully achieved) Phase 3 Area Management Agree on common management Partially Concept for the management 2 monitoring and control measures of aquaculture parks have been proposed. 352 | Aquaculture Parks in Uganda Monitor and enforce management Not yet 0 measures Phase 4 Monitoring and Review Regular monitoring and evaluation Not yet Guidelines for monitoring of water 0 quality in water bodies around aquaculture establishments and this task is to be undertaken jointly by NaFIRRI and DWD with DWD being the Lead Agency. Periodic review and adjustment Not yet 0 Extent of use of zoning and area management Approximate number of designated aquaculture zones or Approximate production from each aquaculture zone or development (quantifiable) AMAs AMA Number of zones and range of About 10 potential land-based sites have been identified. One Pilot sites planned based on production of 5,000 tonnes/ implementation pilot site has been designated in Lake Victoria. None of these annum. sites are in operation yet. Other notes (especially social Positive Issues Negative Issues issues) Generally, a positive public attitude towards the establishment Aquaculture parks not yet established. of aquaculture parks. Stakeholder consultation has been very wide and is ongoing at different levels. For cage culture, pilot cage farms and the approach to their establishment that followed EIA guidelines has helped establish positive attitude by stakeholders. Table 15. The strengths and weaknesses for the development of Aquaculture Parks in Uganda. Advantages Disadvantages Large scale operations likely to have significant demand Concentrated area of production within high potential areas. •  • • Make it easier to support development of and monitor on environmental resources particularly for land-based appropriate production systems matched zonal constraints. Aquaculture Parks. Improve access to inputs, technical services and markets • for producers. Strengths Weaknesses Wide private and public stakeholder consultations, hence • Inadequate baseline data to ascertain ecological limits of • positive public attitudes and support. sites and guide management. Lack of finance to implement project and conduct • appropriate preliminary studies. Low levels of human capacity. • 8. References HIV/AIDS in Africa: Investing in Sustainable Solutions. The World Fish Center. Project Report 1974. Assimwe, Rashid, Veverica, Karen, and Isyagi, Nelly. MAAIF. 2012. National Investment Policy for Aqua- 2012. High Density Culture of Fish in Low-Volume culture Parks in Uganda. Ministry of Agriculture, Cages in Uganda. Department of Fisheries and Animal Industry and Fisheries. Allied Aquaculture. Auburn University, Alabama. MAAIF. 2013. Feasibility study for development of Aguilar-Manjarrez, J. & Nath, S. S. 1998. A infrastructure for water for production In Uganda. strategic reassessment of fish farming potential in Ministry of Agriculture, Animal Industry and Africa. CIFA Technical Paper No. 32. Rome, FAO. Fisheries. 170 pp. (also available at www.fao.org/docrep/ w8522e/w8522e00.htm). MAAIF. 2013. The National Agricultural Policy, 2013. Ministry of Agriculture Animal Industry and Auburn University. 2009. Fisheries Investment for Fisheries. Government of Uganda. Sustainable Harvest. Final Report June 2009. Cooperative Agreement: 617-A-00-05-00003-00 MAAIF/EU. 2013. Feasibility study to design, cost 16 May 2005–16 November 2008. Department and operationalize model commercial aquaculture of Fisheries and Allied Aquacultures. Auburn parks in Uganda. Delegation of the European University, Alabama. Union to Uganda and Ministry of Agriculture Animal Industry and Fisheries. EU/MAAIF. 2011. Study on Promoting Commercial Aquaculture in Uganda. MegaPesca. 2006. Aquaculture in Uganda: a review of the subsector and a strategy for its develop- FAO. 2005. National Aquaculture Sector Overview. ment. Ministry of Agriculture, Animal Industry and Uganda. National Aquaculture Sector Overview Fisheries Plan for the Modernisation of Agriculture Fact Sheets. Text by Mwanja, W. W. In: FAO Secretariat. MegaPesca Lda. Portugal, June 200. Fisheries and Aquaculture Department [online]. Rome. Updated 19 July 2005. [Cited 25 October MegaPesca. 2012. Feasibility study to design, cost 2016]. www.fao.org/fishery/countrysector/ and operationalize model commercial aquaculture naso_uganda/en parks in Uganda. Delegation of the European Union in Uganda. Beneficiary Framework Contract Kabahenda, M. K. & Husken, S. M. C. 2009. A Review EA/127054/C/SER/multi Lot 1: Rural Development of Low-Value Fish Products Marketed in the Lake Victoria Region. Regional Program Fisheries and Aquaculture Parks in Uganda | 353 Requrest No. 2012/298807. MegaPesca Lda. Ssegane, H., Tollner, E. W. & Veverica, K. 2012. Portugal, June 2012. Geospatial Modeling of Site Suitability for Pond- Based Tilapia and Clarias Farming in Uganda. Mugabira, M. P., Borel, W., Mwanja, J., Rutaisire, J., Journal of Applied Aquaculture 24: 147–169. Balirwa, J., Wadanya, A., Aliyo, A. & Kivunike, G. 2013. National Investment Policy for Aquaculture UBoS. 2013. Statistical Abstract. Uganda Bureau of Parks in Uganda. TrustAfrica. IDRC. September, 2013. Statistics. NORAD. 2009. Identification of Potential Aquaculture Wathum, P. & Rutaisire, J. 2008. Uganda National and Fish Processing Investment Projects and Aquaculture Development Strategy. A Guide to Partners in Selected Countries in Africa. Country the Development of the Aquaculture Sub-Sector Reviews. Volume IV. Nordenfjeldske Development in Uganda. Ministry of Agriculture Animal Industry Services/Econ Poyry. Study commissioned and and Fisheries. Government of Uganda. financed by NORAD (Norwegian Development Assistance Agency). April 2009. 354 | Aquaculture Parks in Uganda Annex 1. Guidelines for Assessing Suitability of Bays for LVHD Cage Culture The following outlines guidelines developed based on The characteristics of the bay determine what scale data collected during the trials to enable one assess a of operation is feasible and what feeding levels are potential site for cage culture: most appropriate. This is to ensure the operation runs within the limits of the sites carrying capacity and water Distance to nearest to obvious source of pollution: (1)  quality remains optimal for production. Therefore, that Criteria Score analysis of the above scoring system gives the following >1,000 m 3 results: 500 to 1,000 m 2 A. Overall site rating.—Sum the points given <500 m 1 secchi disk visibility to the site to provide a score, and assign the >200 cm 3 overall site rating as follows: 100 to 200 cm 2 Score Overall Site Rating <100 cm 1 1 to <7 Unacceptable (2) Dissolved oxygen profile measured before 7 to 10 Poor 0800 hours is: 11 to 17 Fair Criteria Score 18 to 21 Good >6 mg/L surface to mid depth and >5 mg/L 3 B. Determination of allowable daily feed input.— at bottom Determine the area of the bay. Estimate the >5 mg/L surface to mid depth and >4 mg/L 2 maximum allowable, daily feed input as at bottom follows: >5 mg/L surface to mid depth and >3 mg/L 1 at bottom Max Allowable Daily Feed Input (kg/ha) 2.5 (3) Water depth at proposed position for cages is: 5.0 Criteria Score 7.5 >8 m 3 C. Determination of maximum, allowable 4 to 8 m 2 standing crop in cages.—The maximum <4 m 1 allowable standing crop could be used for open (4) The connection of the bay to open water of water sites, for this approach also limits the the lake is: maximum, allowable daily feed input Criteria Score Site Rating Max. Standing Crop >1,000 m 3 Poor <250 500 to 1,000 m 2 Fair 250 to 500 <500 m 1 Good >500 (5) The long axis of the bay is: Criteria Score Parallel to prevailing wind 3 Oblique to prevailing wind 2 Perpendicular to prevailing wind 1 • Not obstructed by islands, peninsulas, 3 or aquatic weed infestations • <50% obstructed 2 • >50% obstructed 1 Aquaculture Parks in Uganda | 355 Annex 2. Details of Licensing Requirements for Various Commercial Aquaculture Operations 1. Permits Required for Commercial Fish Farming in Uganda Activity Permits/Certificates Required Conditions Semi-Intensive or Intensive Aquaculture establishment EIA of project proposal Grow-Out Operations certificate Annual aquaculture farm data (due at end of each fiscal year) Fish Seed Production Aquaculture establishment EIA of project proposal certificate Annual aquaculture farm data (due at end of Fish seed production certificate each fiscal year) Fish Breeding Aquaculture establishment EIA of project proposal certificate Annual aquaculture farm data (due at end of Fish seed production certificate each fiscal year) Commercial Bait Production i) Aquaculture establishment EIA of project proposal certificate Annual aquaculture farm data (due at end of each fiscal year) Ornamental Fish Farming i) Aquaculture establishment EIA of project proposal certificate Annual aquaculture farm data (due at end of each fiscal year) Marketing of Farmed Fish i) Fish transfer permit (transfer within Uganda) Export of Farmed Fish i) Fish import/export permit Genetic Material for Aquaculture UNCST certificate National Bio-safety guidelines followed 2. Water Use Do I Intend to: Permits/Certificates Required Conditions Drill a borehole on my land to Drilling permit Register works and use of water with the supply water to my fish farm Construction permit Directorate of Water Development (DWD) Renewal of permit after the stipulated number of years Use a motorised pump to pump Ground water permit Register works and use of water with the the water from the borehole either Directorate of Water Development (DWD) temporarily or permanently Renewal of permit after the stipulated number of years Impound a waterway to extract 270 i) Surface water permit Register works and use of water with the litres of water per minute or more ii) Construction permit Directorate of Water Development (DWD) in a 24 hour period Renewal of permit after the stipulated number of years Use a motorised pump to pump i) Surface water permit Register works and use of water with the water either temporarily or Directorate of Water Development (DWD) permanently from a waterway Renewal of permit after the stipulated number of years Discharge large amounts of Waste discharge permit Register works and use of water with the effluent from the farm Directorate of Water Development (DWD) Undertake cage culture Surface water abstraction Apply to NEMA—submit EIA permit Apply for permit from DWD 356 | Aquaculture Parks in Uganda 3. Environmental Issues Do I Intend to: Permits/Certificates Required Conditions 1. Establish a large-scale Certificate of Approval of i)  Project brief (10 copies submitted to NEMA) commercial aquaculture Environment Impact Assessment Environment impact study iii) Environment impact statement References The Environment Impact Assessment Regula- The Fish (Aquaculture) Rules. 2003. Statutory tions. 1998. Statutory Instruments Supplement Instruments Supplement No. 81. to The Uganda No. 8 to The Uganda Gazette No. 28 Volume XCI, Gazette No. 52 Volume XCVI, 22nd October, 8th May, 1998. 2003. EU/MAAIF. 2013. Feasibility study to design, cost and Water Resources Regulations. 1998. Statutory operationalize model commercial Aquaculture Instruments Supplement No. 20 to The Uganda Parks in Uganda. Final Report. Beneficiary Frame- Gazette No. 52 Volume XCI, 21st August, 1998. work Contract EA/127054/C/SER/multi Lot 1: Rural Development. January 2013. Aquaculture Parks in Uganda | 357 Aquaculture Zoning, Site Selection and Area Management in Scottish Marine Finfish Production Alexander G. Murray and Matthew Gubbins1 Abstract scale large areas are reserved with no aquaculture, including the North and East coasts of Scotland, Scottish aquaculture is dominated by Atlantic salmon, the United Kingdom of Great Britain and Northern for which it is the world’s third largest producer. Ireland where the most significant wild salmonid Salmon farming has developed since the 1970s and populations in Scotland are found. New farms are spatial management has become increasingly important given development consent under Town and Country to ensure sustainability, particularly for fish health and Planning by Local Authorities, taking into account views environmental protection. Area management involves of consultees, stakeholders and in accordance with collaboration between government and industry established policies in Scotland’s National Marine Plan and both parties operate area management systems. and any local plans. Standards are enforced through Disease Management Areas (DMAs) are used by gov- official inspectors working for the Fish Health Inspec- ernment to control notifiable disease, particularly ISA. torate and the Scottish Environment Protection Agency They are defined using a simple model and government and by industry codes of practice. policy is against new sites that would join DMAs. Farm Management Areas (FMAs) are industry defined areas in which farms collaborate on management issues, Introduction including sea lice treatments. Sea lochs (small fjords) are Scottish marine aquaculture is dominated by salmon, assessed for carrying capacity and maximum biomass which at 179,000 tonnes2 production (Figure 1) is the consent is limited to prevent environmental impacts world’s third largest and is Scotland’s largest single arising from cumulative discharges. At a larger spatial food export. Salmon producers share marine waters 1 The views expressed in this information product are those of the author(s) and do not necessarily reflect the views or policies of FAO or the World Bank Group. 2 www.gov.scot/Publications/2015/09/6580 Murray, A. G. & Gubbins, M. 2017. Aquaculture Zoning, Site Selection and Area Management in Scottish Marine Finfish Production. In J. Aguilar-Manjarrez, D. Soto & R. Brummett. Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture. Full document, pp. 358–373. Report ACS113536. Rome, FAO, and World Bank Group, Washington, DC. 395 pp. Aquaculture Zoning, Site Selection and Area Management in Scottish Marine Finfish Production | 358 Figure 1. Annual Scottish salmon production 1990–2014. 200,000 180,000 160,000 140,000 Production, tonnes 120,000 100,000 80,000 60,000 40,000 20,000 0 1994 1999 2004 2009 2014 Year with a smaller production of marine farmed trout management areas were developed by industry and and other fish species such as halibut, together with are enshrined in a Code of Good Practice for Finfish shellfish production which is mostly of mussels and Aquaculture. This code is maintained and developed oysters. by a management group that consists of representa- tives from a range of major aquaculture producers Scottish aquaculture is strategically managed using and producers organisations (including government area management principles in order to protect both observers). In parallel, government and industry production and the environment. Area management developed a system of official Disease Management is used to control the spread of diseases and to ensure Areas in the wake of a devastating outbreak of the aquaculture production is in unpolluted waters, while notifiable disease, Infectious Salmon Anaemia (ISA). at the same time ensuring waste products such as In addition since the late 1990s, inshore water bodies excess nutrients and organic wastes do not pollute the with restricted tidal exchange (sea lochs, sounds, environment, keeping production levels within carrying coastal embayments) have been used to manage capacity of the relevant water body. Landscape and nutrient and organic discharges and so limit allowable conservation issues can also influence the siting of biomass at a water body level to stay within capacity aquaculture out of sensitive zones. to assimilate such wastes. The basic legal framework developed with the 1937 Scottish aquaculture’s area management is under- Disease of Fish Act (UK legislation) which established pinned by considerable investment in Science, both concepts of notifiable diseases and official movement directly through Marine Scotland Science and Scottish controls to prevent the spread of infection in aquatic Universities, which include specialist centres such as environments. With the establishment of marine the Scottish Association for Marine Science (University salmon aquaculture in the 1970s the interactions of of the Highlands and Islands) and The Institute of local groups of farms (Figure 2) with hydrodynamic Aquaculture (Stirling University). Research also occurs movement required the development of local co- with collaboration at the UK, EU and global levels, for operation in the management of furunculosis and example the recently funded AQUASPACE project. sea lice. From these local informal agreements, farm Aquaculture Zoning, Site Selection and Area Management in Scottish Marine Finfish Production | 359 Figure 2. Example of a farm with 4 neighbours from southeast Shetland’s DMA 3a (Photo Sonia Duguid). During an ISA outbreak 4 of the 5 farms were infected, but infection did not spread outside the DMA. Owing to the evolutionary process of establishing Aquaculture zones area management, Scotland has a range of differently defined, but in practice often very similar, areas over Aquaculture is absent from large zones of the Scottish which aquaculture is managed. These have proved coastal environment. There is a policy presumption essential for managing epidemic Infectious Salmon against further marine finfish farm development on Anaemia (Scotland is currently the only country to have the north and east coasts Thus a very large proportion successfully eradicated this disease) and in day-to-day of the Scottish coast remains undeveloped. This area management of fish health (particularly management includes the mouths of most of the rivers with larger of sea lice) while reducing conflict with other users of populations of wild salmon, such as the Tweed, the the coastal marine environment as a component part Dee and the Spey. of Scotland’s National Marine Plan.3 Aquaculture is excluded from other zones for purposes such as shipping, naval activity, offshore energy 3 www.gov.scot/Publications/2015/03/6517 production and conservation purposes. 360 | Aquaculture Zoning, Site Selection and Area Management in Scottish Marine Finfish Production Figure 3. 3a. Example of Farm Management Areas (FMAs) and 3b. Disease Management Areas (DMAs) maps in the area of the Isle of Skye, west coast of Scotland. FMAs and DMAs are generally similar, but differ in detail (e.g., FMAs M-19, M-20 and M-21 are all in DMA 14a). Within the areas where aquaculture is practiced (the basis, sometimes for many years, before the passing of west coast, the Western Isles, Orkney and Shetland) the Act. There are currently 89 FMAs in Scotland. farms are grouped into areas of interaction. There Disease Management Areas (DMAs) are used for the are three such areas designed for different purposes. control of notifiable diseases (Figure 3b),5 particularly These are Farm Management Areas, Disease Manage- Infectious Salmon Anaemia (ISA). These DMAs were ment Areas and ’Categorised’ inshore water bodies developed during a severe ISA outbreak in 1998/9 and (mostly sea lochs) in the ‘Locational Guidelines for were used to contain and eventually eradicate this. The Marine Fish Farming’ (Figure 3, Figure 4). boundaries are defined using an epidemiologically sig- Farm management areas (FMAs) are groups of farms nificant distance, (3.629 km in Shetland and 7.258 km whose interaction requires collaboration (Figure 3a). elsewhere in Scotland), around each farm. Where The FMA boundaries are defined by industry on these circles overlap, farms are included within the the basis of local knowledge and practicalities, same DMA, which stretches until a separation of twice although Scottish Ministers reserve the power to the circle radius is encountered. These boundaries are revise these boundaries. Boundaries do change with thus easily and explicitly defined and establishment of experience, for example FMAs in southeast Shetland new farms in areas that would join existing DMAs is were amalgamated after ISA spread across the FMA contrary to Scottish government policy. There currently boundaries. The boundaries are shown in the Code are 52 DMAs in Scotland. of Good Practice4 and farms within such areas require Sea lochs are defined geographically. These are small a Farm Management Agreement (FMAg) or a Farm fjordic inlets along the Scottish coast that have been Management Statement (FMS) that specifies their systematically catalogued and described by oceanogra- activities under the Aquaculture and Fisheries Act phers since the 1970s. Information on the volume and (Scotland) 2013; many FMAs existed on a voluntary 5 www.scotland.gov.uk/Topics/marine/Fish-Shellfish/FHI/ 4 http://thecodeofgoodpractice.co.uk/ managementagreement Aquaculture Zoning, Site Selection and Area Management in Scottish Marine Finfish Production | 361 Figure 4. Spatial planning policy for aquaculture as laid out in the National Marine Plan. Finfish aquaculture is excluded on the North and East coasts. Inshore water bodies on the West coasts and islands are categorised according to their capacity potential to accommodate more finfish aquaculture. 362 | Aquaculture Zoning, Site Selection and Area Management in Scottish Marine Finfish Production turnover time of the waters in these lochs, together Siting, Planning and Licensing with biological models of fish metabolism, are used to categorise sea lochs into categories 1, 2 or 3, depen- Finfish aquaculture developments need several dent on how much environmental stress the sea loch is permissions in order to produce fish in Scottish marine subjected to. This status informs these areas’ suitability waters. These include planning consent, a Marine for further aquaculture development. Licence for placing equipment and point source discharge and business authorisation. The statutory authorities issuing these permissions must do so in Setting Carrying Capacity limits light of various strategic planning guidance, such as Site specific capacity thresholds are determined the objectives in the National Marine Plan, Scottish through the licensing process, where benthic impact Planning Policy, Locational Guidelines, and any current modelling (AutoDEPOMOD) is used to set peak Local Development Framework Plans containing spatial biomass thresholds on the basis of predicted impacts guidance on the siting of new farms. on seabed infaunal diversity. The development consent process (planning consent administered by Planning Consent Local Authority also considers a number of other Since April 2007 Scottish Local Authorities have had environmental impacts through Environmental Impact responsibility for issuing planning consent for fish and Assessment) may limit site specific biomass on the shellfish farms under The Town and Country Planning basis of expected environmental impacts or the ability (Scotland) Act 1997. Planning permission is usually of a site to use (discharge) medicines to treat pathogen permanent (although temporary planning permis- infections. sion is possible) and, for most finfish applications, the approvals process is subject to Environmental At a water body level (sea lochs), simple models are Impact Assessment (EIA) to comply with the EIA employed to predict a precautionary threshold for Directive (2011/92/EU) transposed into UK law by The assimilative capacity based on the predicted nutrient Environmental Impact Assessment (Fish Farming in enhancement and benthic impacts arising from Marine Waters) Regulations 1999 (Statutory Instru- cumulative discharges from multiple developments in ment 367). Intensive fish farming is listed in Schedule 2 the water body. The models used and the framework to the Town and Country Planning (Environmental in which the outputs are used are explained in the Impact Assessment) (Scotland) Regulations 2011 (and, referenced report.6 These are simple precautionary before that, the 1999 Regulations). An environmental models able to be used across all 100+ sea lochs that impact assessment is not mandatory in all cases but support aquaculture in Scottish waters (Figure 4). ‘Schedule 2’ development will require an EIA if it is Efforts to produce more sophisticated estimates of likely to have a significant effect on the environment, assimilative carrying capacity have been made and by virtue of factors such as its size, nature or location. complex multilayer coupled physical biological models Where an application meets the relevant criteria it will have been developed to improve estimates of assimila- undergo EIA Screening and Scoping and produce an tive capacity at a water body level, but application of Environmental Statement if required, covering all the these in a robust way across multiple water bodies potentially significant environmental impacts likely to requires extensive forcing data and significant effort result from the development. Shellfish and macroalgae and expense. It is hoped future efforts will improve farms are not currently required to produce EIAs estimates, but for the time being, monitoring data but, if appropriate the consenting authority can seek suggest the current regime is sufficiently precautionary additional environmental information to inform their to prevent eutrophication effects arising from cumula- decision. tive discharges from marine finfish aquaculture. Aquaculture Zoning, Site Selection and Area Management in Scottish Marine Finfish Production | 363 Where an authority concludes that a development licence by the Scottish Environment Protection Agency proposal is likely to have a significant effect on a (SEPA). The licence sets out conditions to control all site designated under the Habitats Directive (The aspects of effluent discharges from the farm and limit Conservation (Natural Habitats, &c.) Regulations 1994), potential environmental damage. Specifically it controls it must also undertake an Appropriate Assessment maximum onsite biomass of fish and the range and (AA) of the implications for the conservation interests quantity of chemicals released to the environment for which the area has been designated. from site operations as well as a range of other operational matters. This includes chemotherapeutant The Crown Estates own the seabed in Scotland and treatments for sea lice infestations, but pathogens aquaculture facilities granted planning permission (including sea lice) are not considered to be discharged by Local Authorities require a seabed lease from The and are not controlled via the CAR licence. Crown Estates in order to operate. Crown Estate responsibilities in Scotland is in the process of being In regulating the fish farming industry SEPA endeav- devolved to Scotland following a recommendation of ours to base its licensing regime on sound scientific the Smith Commission on constitutional settlement. principals using the best available knowledge and Prior to the extension of planning controls to Local techniques to control and monitor the impacts of Authorities in 2007, the seabed lease (or a works the industry. Hydrographic modelling techniques are licence in Orkney and Shetland) was the primary employed to predict the quantities of chemicals and development consent required for aquaculture biomass of fish that can be used onsite without result- development in marine waters and was subject to EIA ing in exceedence of a range of Environmental Quality and AA where required. Where sites were established Standards (EQS). These modelling results are used to prior to 2007, operators were able to apply to Scottish set conditions of the CAR licence, which includes a Ministers for planning permission. requirement for operators to monitor environmental conditions onsite to ensure both compliance with EQS Strategic planning of aquaculture sites in marine and as a check on modelled outputs. In instances waters is achieved through Locational Guidelines6 that where monitoring suggests failure of EQS consistent address water body carrying capacity issues as well with either noncompliance or inappropriate consent as some regional-level Local Authority Development conditions, SEPA may alter consent conditions to Framework Plans which identify acceptable sites for reduce consented fish biomass or chemical quantities finfish and shellfish cultivation. Following the adoption or in serious cases withdraw consent. Such sanctions of the National Marine Plan and in the future, Regional can be undertaken in discussion and with the co- Marine Planning Partnerships, such strategic planning operation of the farm operator or if required on SEPA’s guidance will be improved upon and expanded. own initiative. Operational Consents A two-tier approach is taken to ensuring protection All finfish aquaculture sites require a point source of the marine environment from discharges at finfish discharge authorisation issued under The Water farms. The concept of an “Allowable Zone of Effects” Environment (Controlled Activities) (Scotland) Regula- is applied for solid wastes, where within a given area tions 2011 (as amended), referred to as a CAR licence. around a farm (calculated by hydrographic modelling) Operators are required to make an application for higher EQS are applied. Thus, far-field effects on a CAR licence and the successful conclusion of the the wider environment are limited by ensuring EQS application determination leads to the issue of a CAR compliance, but under and close to the cages higher environmental concentrations of certain contaminants and a greater level of effect on benthic infaunal com- 6 www.scotland.gov.uk/Topics/marine/science/Publications/ munities from organic matter deposition are permitted publicationslatest/farmedfish/locationalfishfarms and accepted. Similarly for soluble wastes the concept 364 | Aquaculture Zoning, Site Selection and Area Management in Scottish Marine Finfish Production of an initial mixing zone is applied and EQS compli- for their authorisation to be amended prior to operat- ance is ensured at a specific time after initial dilution ing any proposed new site. (e.g., 6 hours). This approach accepts that risk of The Aquaculture and Fisheries (Scotland) Act 2013 effects from discharges may be higher (within limits) (and prior legislation, the Aquaculture and Fisheries locally either immediately after discharge or within (Scotland) Act 2007) provides powers relating to con- the vicinity of fish cages, but ensures EQS compliance tainment and parasite (sea lice) control. These require within the wider marine environment. This approach is operators to adopt satisfactory measures to ensure similar to that taken for more conventional discharges the prevention, control and reduction of parasites (sea from outfall pipes where EQS compliance is required lice), containment and the prevention and recovery of outwith a zone where initial mixing occurs. escapes. It also requires operators to maintain records All aquaculture sites also require a Marine Licence to be made available for inspection. The legislation under the Marine (Scotland) Act 2010, administered by also provides powers of inspection and entry for Fish marine Scotland’s Licensing Operations Team. This is Health Inspectors and ultimately provides provisions required in all instances for assessment of navigational for enforcement action should such be required. safety associated with aquaculture sites and where aquaculture chemotherapeutants for treating fish for Operation and Management sea lice infestations are discharged from wellboats. of Areas This is an emerging husbandry practice in Scotland and is regulated under Marine Licence using the same Aquaculture production in areas is coordinated principles and conditions as under CAR above. through a number of different routes. Farms in a FMA have stocking and treatment plans that are Business Authorisations coordinated through a FMAg, if this is in place, or In Scotland, The Aquatic Animal Health (Scotland) less formally if farms have individual FMS. Areas have Regulations 2009 (2009 Regulations) implement the moved towards synchronised fallowing, which is now Council Directive 2006/88/EC on animal health require- widespread and recommended under the Code of ments for aquaculture animals and products thereof, Good Practice.3 All farms within an area should wait and on the prevention and control of certain diseases until the last farm in that area is empty before restock- in aquatic animals. The 2009 Regulations require the ing. This is an important tool for disease control and in authorisation of all Aquaculture Production Businesses the management of sea lice. In the event of notifiable (APBs) a definition which includes all fish and shellfish disease, synchronised fallowing may be legally farming companies. The authorisation procedure is enforced across the affected area of the DMA. undertaken on behalf of the Scottish Ministers by Treatment for sea lice is often coordinated, as Marine Scotland’s Fish Health Inspectorate (FHI). untreated farms can act as refuges for lice that allow Authorisations are conditioned to require that APBs: infection levels to re-increase rapidly. However, provide details of their business; make movement and treatment presents logistical challenges and so may mortality records available; participate in risk-based be applied to neighbouring sites over a short period disease surveillance; implement good hygiene practice rather than be strictly synchronised. including biosecurity measures; notify Scottish A trend that has improved coordination within areas Ministers in the event of a breach in containment; has been a movement towards single operator FMAs, and facilitate access by inspectors for inspection with companies strategically exchanging sites so that and sampling as required. Authorisations may be one company owns all the sites in a particular FMA. suspended or revoked (subject to appeal) in the event This allows coordination to be achieved more easily. of breach of these conditions. All APBs planning to Some FMA boundaries have also extended closer to operate new fish or shellfish sites are required to apply Aquaculture Zoning, Site Selection and Area Management in Scottish Marine Finfish Production | 365 DMA boundaries, for example the merger of several include inspections by fish health inspectors from Marine FMAs in southeast Shetland after ISA spread across Scotland and environmental inspectors from SEPA. the FMA boundaries. The new FMA in this case now Fish health inspectors (FHI) visit farms according to a matches the local DMA boundaries. If FMA and DMA risk-based surveillance schedule (annually for high risk, activities occur within the same boundaries this makes every 2 years for medium risk and every third year for for easier management. In some areas, DMAs have low risk). In the event of the inspector suspecting any been split and separated by the strategic closure of health problems, a diagnostic sample will be taken and sites to form smaller areas that can be managed more screened for notifiable pathogens. FHI also visit sites easily. when notified of suspicion of the presence of a notifi- Movements of fish, equipment and personnel may able disease. Recently the Scottish Salmon Producers be prevented both in and out of areas with notifiable Organisation (SSPO) agreed its members should report disease (except movements to authorised biosecure marine mortality events in excess of 1 percent per week processing plants). Sites that are not themselves or totalling 4 percent over 5 weeks (1.5 percent and infected may be covered by these movement restric- 6 percent when fish <750 g) and this too may provide tions. This area approach reduces the risk of spread information to target inspections. FHI also inspect and can be effective in containing infection to a records maintained on sites, including for sea lice, and limited area. Local processing plants, with locally collect the movement records for that site. This FHI operating vessels, may also reduce risk of long- activity, and industry reporting, is vital for detection of distance spread of infection. notifiable disease required for the timely establishment of controls in DMAs. Locational Guidelines Categorisation of sea lochs into 1 (no increase in biomass permitted), 2 (limited SEPA inspectors visit sites regularly to test for residues potential for expansion of the sector) and 3 (greatest of medicines and to confirm records on the disposal of expansion potential) are applied at both the develop- mortalities are correctly recorded. This is essential to ment consenting and licensing processes to restrict ensure treatment is according to approved schedules any increases in maximum permitted biomass of and SEPA will prosecute if unauthorised substances are farmed finfish in areas which are thought to be close detected. to capacity. Estimates of the nutrient enhancement SEPA and FHI inspectors will notify each other of and impacts of benthic enrichment of the seabed are suspicions that lie in the other’s competency and updated quarterly on the basis of changes to biomass may also inform other authorities, such as the official consent under CAR, and water body categories in the APHA (Animal and Plant Health Agency) vets if welfare guidelines are updated as required. breaches are observed, the APHA vets may decide to Sea lice chemotherapeutant discharges (bath treat- prosecute in this case. ments) are also logged by the various regulators (SEPA As well as official regulators, the industry itself collects for treatments in cages, Marine Scotland Licensing data and ensures compliance with the Code of Good for treatments from well boats) and in the event of Practice. Although compliance is voluntary, the SSPO multiple planned discharges in the same water body can decide to suspend its members following any predicted to exceed Environmental Quality Standards breach of the Code. The CoGP is independently (EQS), either regulator may restrict use of the com- audited and the majority of the industry are signed pound in that water body. up to following the Code. Documented production Monitoring and Enforcement standards can be important in supermarket purchasing decisions. The SSPO also maintains a database for Controls on aquaculture at a site or area level require monitoring sea lice and other health issues (such as gill monitoring and enforcement to be effective. These 366 | Aquaculture Zoning, Site Selection and Area Management in Scottish Marine Finfish Production pathologies) which is useful for cooperation between Conclusions farms in an area. Published summary data identifies area performance (although at a slightly larger Fish farming is a mature industry in Scotland with scale than FMAs) which is an incentive to improve a long history of regulation to ensure production is performance. sustainable from an environmental and fish health perspective. As such it operates a fairly complex, but The Royal Society for the Prevention of Cruelty to Ani- effective system of planning and licensing including mals (RSPCA) also ensures welfare standards through spatial management and zoning for multiple purposes, their Freedom Foods standard, which 70 percent of rather than a single zoning and permitting system. Scottish salmon industry, by biomass, is signed up to. With the advent of Regional Marine Planning in The World Wide Fund for Nature, through the Salmon Scotland over the next few years we may see much Aquaculture Dialogue has developed standards for of these spatial management policies and zones sustainable salmon that are maintained by the Aqua- integrated into Regional Marine Plans. culture Stewardship Council. Both standards include requirements for cooperative management with other farms in the same area, especially for sea lice control. Aquaculture Zoning, Site Selection and Area Management in Scottish Marine Finfish Production | 367 ANNEX 1. Effectiveness matrix for scoping, zoning, site selection, area management and monitoring of Scottish finfish aquaculture Rating (0 not Well Done/Achieved achieved Approximate Investment (briefly describe main Not Done/ to 5 fully Needed for Each Step Phase/Step activities/steps) Not Achieved Associated Activities and Tools achieved) (US$) Phase 1 Step 1 Scoping (Scoping involves compiling essential background information required to start an aquaculture project) 1.1  Definition of the Different boundaries are assigned National Marine Plan for Scotland, • 5 broad ecosystem for different purposes by the derived with public consultation boundary (spatial, various regulators. Inshore water exercise; social and political bodies defined by typography Code of Good Practice for Finfish • scales) for carrying capacity. Regional Aquaculture derived by industry with planning boundaries set according government overview; to biogeography and jurisdictional Marine Scotland Disease Management • boundaries. Areas for disease Areas from modelling; management set according to Marine Scotland Locational Guidelines • hydrography and topography. for Fish Farms from modelling. 1.2  Identify overriding These policies are laid out in the • Aquaculture and Fisheries Acts 5 policy, legislation National Marine Plan and the (Scotland) 2007, 2013; (such as land and policy documentation of the Town and Country Planning (Marine • sea rights) and various regulatory bodies (Scottish Fish Farming) (Scotland) Order 2007; regulations (such as Environment Protection Agency The Environmental Impact Assessment • ecosystem quality (SEPA); Local Authority; Marine (Fish Farming in Marine Waters) 368 | Aquaculture Zoning, Site Selection and Area Management in Scottish Marine Finfish Production standards, water Scotland, Crown Estates). Seabed Regulations 1999; quality standards) out to 12 nautical miles from coast The Conservation (Natural Habitats, &c.) • is owned by the Crown Estate Regulations 1994; who charge a levy for lease and The Water Environment (Controlled • aquaculture activities must be Activities) (Scotland) Regulations 2011. licenced by SEPA. Rating (0 not Well Done/Achieved achieved Approximate Investment (briefly describe main Not Done/ to 5 fully Needed for Each Step Phase/Step activities/steps) Not Achieved Associated Activities and Tools achieved) (US$) Phase 1 Step 1 Scoping (Scoping involves compiling essential background information required to start an aquaculture project) 1.3  Setting the broad Development objectives left to the • National Marine Plan for Scotland; 3 development developer. Main issues dealt with Developer prepares Environmental • objectives and on a site specific basis through Impact Assessment for consideration. identifying the main formal “screening and scoping” issues stage prior to preparation of an EIA. Environmental targets set in regulation and assessed at the regional and site level. National level targets for the sector identified in the National Marine Plan. Phase 1 Step 2 Zoning (Zoning or allocation of space is a mechanism for more integrated planning of aquaculture development, as well as its better regulation. It may be used either in planning to identify potential areas for aquaculture or a regulatory measure to control the development of aquaculture) Zone boundary 1.4  Some zoning is defined through Final report of the Joint Government- • 5 definition based on ICZM plans and Local Development Industry working group on Infectious relevant criteria Framework Plans. Other zones are Salmon Anaemia 2000; created based on environmental • Code of Good Practice for Finfish ‘risk’ from nearing capacity limits. Aquaculture (with legal backing from Others for disease management Aquaculture and Fisheries Act 2013) purposes. Local Development lists farm management areas; Framework Plans and future Regional Scottish Natural Heritage lists Marine • Planning may adopt a more formal Special Areas of Conservation. Areas zoning type approach in some cases. based on EU Habitats Directive. Examples of considerations are: • Areas of conservation importance • Use by other sectors • Landscape impacts • Navigational importance • Carrying capacity • Disease management based on simple spatial models of pathogen Aquaculture Zoning, Site Selection and Area Management in Scottish Marine Finfish Production | 369 risk, etc. Rating (0 not Well Done/Achieved achieved Approximate Investment (briefly describe main Not Done/ to 5 fully Needed for Each Step Phase/Step activities/steps) Not Achieved Associated Activities and Tools achieved) (US$) Phase 1 Step 2 Zoning (Zoning or allocation of space is a mechanism for more integrated planning of aquaculture development, as well as its better regulation. It may be used either in planning to identify potential areas for aquaculture or a regulatory measure to control the development of aquaculture) Gross estimation of 1.5  Left to the industry to determine Not done Sea loch carrying capacities estimated • 2 potential production/ their own production targets using mass balance models under area at a site/regional basis. Upper Marine Scotland Locational Guidelines. thresholds for standing stock set for environmental purposes by Locational Guidelines. 1.6  Formal allocation Applied only to water bodies National Marine Plan for Scotland. Geographically •  3 of the zone for subject to Development Framework variable in aquaculture purposes Plans, ICZMs, Marine Spatial Plans, application. i.e., not designated in all areas. Elsewhere there is a presumption in favour of development if there are no excluding regulatory factors and subject to site specific EIA and licence application, taking into account cumulative impacts. Phase 2 Site Selection (Site selection is based on the suitability for development of a given activity, taking into account the physical factors of the environment and the farming system) 370 | Aquaculture Zoning, Site Selection and Area Management in Scottish Marine Finfish Production Location of the farm 2.1  Multiple options considered as a Field data collected and environmental • 5 sites requirement of EIA. study carried out for site by developer; Technical suitability assessed by the Farm business presents application to • developer. local authority for consideration; Must consider (as part of the planning Local planning meetings; • application) environmental sensitivity, local authorities must consult with • presence of sensitive species and statutory consultees: Marine Scotland, habitats, use of space by other sectors Scottish Natural Heritage, SEPA. eg shipping/fishing, fish health and welfare risks, biosecurity, etc. Rating (0 not Well Done/Achieved achieved Approximate Investment (briefly describe main Not Done/ to 5 fully Needed for Each Step Phase/Step activities/steps) Not Achieved Associated Activities and Tools achieved) (US$) Phase 2 Site Selection (Site selection is based on the suitability for development of a given activity, taking into account the physical factors of the environment and the farming system) 2.2  Carrying capacity Calculated for water bodies on the Marine Scotland Fish Farm Location • 5 estimation basis of precautionary assessment Guidelines assessed using model. of risks arising from discharges by regulators/government. Assessed on a site specific basis through modelling done by the applicant and assessed by the environmental regulator. Set licence 2.3  Done by the environmental CAR licence under The Water • 5 production limits regulator in accordance with limits Environment (Controlled Activities) within zone or defined above. Done on the basis (Scotland) Regulations 2011. water body carrying of standing biomass rather than capacity production. Allocation of licenses 2.4  Full and permanent planning Crown estate lease granted; • 5 and permits permission. Rent approximately 1% of turnover; • Discharge consent licence. Planning permission granted by local • Seabed lease. authority planning committee; Business authorisation. Marine Licence granted for • Marine Licence (navigational issues/ constructions under Marine Scotland well boat discharges). Act (2010); Aquaculture Production Business • must be authorised by MS. APBs must provide data on fish movements, participate in risk-based surveillance and have a biosecurity measures plan. Aquaculture Zoning, Site Selection and Area Management in Scottish Marine Finfish Production | 371 Rating (0 not Well Done/Achieved achieved Approximate Investment (briefly describe main Not Done/ to 5 fully Needed for Each Step Phase/Step activities/steps) Not Achieved Associated Activities and Tools achieved) (US$) Phase 3 Area Management (Aquaculture Management Areas (AMA), can be aquaculture parks, aquaculture clusters or any aquaculture area where farms are sharing a common relevant water body or source and that may benefit of a common management system including minimizing environmental, social and fish health risks) Identify management 3.1  For fish health management, based Marine Scotland Disease Management • 5 area boundaries on either hydrographic/topographic Areas from simple model; factors (Disease management areas) Code of Good Practice for Finfish • or based on an epidemiological Aquaculture; assessment of likely connectivity Edwards and Sharples 1987 Scottish • between clustering sites (Farm sea lochs catalogue, in updated Management Areas). version, defines coastal water bodies used in Locational Guidelines. 3.2  Estimate total Done for inshore water bodies (sea Marine Scotland Locational Guidelines • 4 carrying capacity if lochs through Locational Guidelines) for finfish aquaculture. appropriate based on based on risks to water quality. Not the different risks done routinely for offshore waters. 3.3  Organize a formal Done in most areas for fish health Aquaculture and Fisheries Act 2013; • 4 association of all and welfare coordination under farmers in that area AMA/FMA. Setting the broad 3.4  Signed Area Management Farms can use •  Aquaculture and Fisheries Act 2013; 3 development objectives Agreements. Done for fish health  ode of Good practice for finfish individual Farm • C and identifying objectives. Management aquaculture; the main issues Farmers in a locality share Statements •Information sharing through SSPO’s 372 | Aquaculture Zoning, Site Selection and Area Management in Scottish Marine Finfish Production agree on common information through a database run instead of database. management,7 by the Scottish Salmon Producers’ AMA. monitoring and control Organisation. This particularly applies measures to sea lice and other health issues. Monitoring of 3.5  Monitoring of fish health and Risk-based inspection regime of sites • 5 ­ relevant variables and environmental parameters for fish health by Marine Scotland Fish enforce management are a requirement of Business Health Inspectors; measures Authorisation and Discharge Inspection by SEPA. • consents. Results are reviewed by the various regulators. This is done at all sites and not on an area basis only. 7 An agreed management plan for the aquaculture management area covering the most relevant issues in environmental socioeconomic aspects and governance/external forcing factors. Rating (0 not Well Done/Achieved achieved Approximate Investment (briefly describe main Not Done/ to 5 fully Needed for Each Step Phase/Step activities/steps) Not Achieved Associated Activities and Tools achieved) (US$) Phase 4 Monitoring of the Management Plan and Review. Monitoring and review of performance is a critical step in the adaptive management planning process. It is essential both to ensure adequate performance is being generated against current objectives and to warrant that aquaculture is maintaining relevance with community expectations. Monitoring the implementation of the management plan should include environmental, social and governance indicators. 4.1  Regular monitoring AMAs reviewed and updated • Farm Management Agreements 3 and evaluation periodically. and farm Management Statements inspected by MSS FHI; DMA boundaries update whenever • new farm opens or old one closes. Periodic review and 4.2  Depending on outcome of above. 4 adjustment Extent of use of zoning and area management development Approximate number of designated Approximate production from each aquaculture zone or (quantifiable) aquaculture zones or AMAs AMA Number of zones and There are 54 Disease Management Areas The 2013 163,000 tonnes production averages DMA 3022, range of implementation defined using overlapping separation FMA 1834 tonnes. Largest single area had 27 sites (not all distances and used to manage notifiable active) and a 2013 harvest of 15,978 tonnes (DMA and FMA disease. There are 89 Farm Management coincide); this was a synchronous harvest of 18 months Areas which are groups of farms within a local production period and corresponds to about 10,600 tonnes area that work together for management, per year, smallest areas often contain a single farm. particularly of lice and non-notifiable diseases. FMA are legally required to have shared management plan. FMA boundaries defined by industry, but government has powers to object. All farms are in a DMA and an FMA. Other notes (especially Positive issues Negative issues social issues) Structures designed for specific purposes. Different structures for management, although boundaries Relatively simple to assess if a new farm would often very similar. join two DMAs, and any new farms that did Aquaculture Zoning, Site Selection and Area Management in Scottish Marine Finfish Production | 373 this will be objected to by Marine Scotland. Workshop Report Patrick White and Pedro B. Bueno Izmir, Turkey, 5–8 July 2015 Contents 1. Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 376 2. Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 376 3. Participation and Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 376 4. Workshop Presentations and Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 377 4.1 Zoning, Siting and Area Management under the EAA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 377 4.2 Thematic Issue Presentations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 380 4.3 Case Study Presentations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 382 5. Conclusions and Recommendations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 385 5.1 Governance Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 386 5.2 Private Sector Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 387 6. Potential Role of FAO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 387 Annex 1. Workshop Agenda . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 389 Annex 2. Workshop Organisers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 391 Annex 3. Workshop Participants and Contributors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 392 Aquaculture Zoning, Site Selection and Area Management | 375 1. Background The specific objectives of the workshops were to: Around the globe the availability of and access 1. discuss the generic process and steps for identifi- to aquaculture zones and sites with favourable cation of potential areas for aquaculture: zoning, characteristics, including those areas that minimize site selection and the design and management of interactions and conflicts with other activities, are aquaculture management areas (AMAs) consider- constraints to the expansion of the sector. Meeting the ing the environmental, socioeconomic and gover- future demand for food from aquaculture will, along nance objectives; with intensification, largely depend on the avail- 2. present and discuss key findings from the country ability of space. Site selection and carrying capacity case studies; considerations, which includes assessment of risks and 3. conduct group discussions to validate and improve opportunities, are among the most important initial the generic processes and steps required for spa- steps towards the establishment and development of tial planning; and a sustainable aquaculture. They should be carried out 4. derive recommendations for spatial planning and in accordance with sustainability objectives, the Code management of aquaculture under the EAA. of Conduct for Responsible Fisheries (CCRF), and the ecosystem approach to aquaculture (EAA). 3. Participation and Activities The FAO in partnership with the World Bank are The workshop took place in Izmir in Turkey on 6–8 preparing a guide on aquaculture spatial planning and July 2015. It was organized by FAO and the World management to improve biosecurity, minimize environ- Bank and hosted by Dokuz Eylul University’s Institute mental impacts, maximize income and social benefits of Marine Sciences and Technology. and improve interactions with other users of common resources. It will provide practical guidance to a broad Participants included the authors who prepared the range of stakeholders including farmers on the pro- case studies. Experts hailed from Brazil, Chile, China, cesses and steps for aquaculture zoning, site selection Indonesia, Oman, Mexico, Philippines, Turkey and the and area management. Planning and management of United Kingdom. The workshop included additional aquaculture development within the framework of the experts from other countries to ensure wider repre- EAA are reviewed and recommendations to facilitate sentation. Participants also included authors who have implementation using a zonal approach are provided. contributed to the drafting of the thematic chapters The guide recommends steps and processes as well as as well as staff members from the Fisheries and policy recommendations. Ways to implement them in Aquaculture Department and a few key experts from different national and local contexts are illustrated by other Departments at FAO. case studies from different countries. On the first day of the workshop, the participants visited sea bream (Sparus aurata) and sea bass 2. Objectives (Dicentrarchus labrax) floating cage farms in Izmir. The system consisted of circular cages measuring 12 to The main objective of the workshop was to find 50 m in diameter. A site with large 50–75 m diameter ways to support the goal of sustainable aquaculture cages used for Atlantic bluefin tuna (Thunnus thynnus) development based on consideration of governance, fattening was also visited. The visits revealed that the economic, environmental and social factors follow- development opportunities for coastal aquaculture ing the Code of Conduct for Responsible Fisheries. in Turkey are limited because of the many constraints Specifically, it sought to improve the FAO-World Bank and hurdles to obtaining access to suitable sites. Its Handbook on aquaculture zoning, site selection and expansion in coastal waters has added pressure to area management and to plan for its further adoption marine and coastal ecosystems and created conflicts in, especially, developing countries. 376 | Aquaculture Zoning, Site Selection and Area Management among users of the coastal resource. Recently, Workshop presentations 4.  marine farms have been ordered to relocate to more and conclusions exposed areas or secondary bays. This prompted some changes on types and sizes of the cage systems used. Zoning, Siting and Area Management 4.1  under the EAA Consequently, there was a need for more space to accommodate the industry’s growth, which has led An ecosystem approach to aquaculture (EAA)1 is a to the issuance of new planning and management “strategy for the integration of the activity within the policies by the Turkish government. wider ecosystem such that it promotes sustainable development, equity and resilience of interlinked At the opening session, Thomas MothPoulsen, Senior social-ecological systems.” The EAA provides a Fisheries and Aquaculture Officer (FAOSEC) informed planning and management framework by which parts attendees that through the FAO-Turkey Partnership of the aquaculture sector can be effectively integrated Programme, the countries in Central Asia have benefit- into local planning and affords clear mechanisms for ted from intensive capacity building on aquaculture engaging with producers, government and other through joint workshops and projects. users of coastal resources. This leads to the effective management of aquaculture operations by taking This was followed by FAO and the World Bank into account the environmental, socioeconomic and representatives describing the processes and steps of governance aspects and explicitly including concepts spatial planning for aquaculture growth according to of carrying capacity and risk. the EAA and how these can be implemented. FAO staff and consultants gave presentations on the tools The EAA normally starts with a scoping and definition that can be used to support the process. Consultants of the boundaries of the system to be managed, presented the thematic aspects of zoning, siting and followed by the identification of issues and some area management (i.e., biosecurity, social, certification risk assessment to prioritize those that require more and legal aspects). The case study authors presented immediate management. Operational objectives are their studies. then agreed upon and management plans developed to address the more relevant issues. A monitoring and Group sessions discussed the processes and steps on evaluation system is embedded to periodically assess spatial planning for aquaculture and drafted recom- the level of implementation and the ability to address mendations. The participants evaluated the current the selected issues. The Figure illustrates the process of status, processes and practices for aquaculture zoning, EAA and steps in the process. site selection and area management for each of the ten case studies together with one presentation from EAA can be implemented at any scale to address the each working group to share the lessons learned. The development or to address aquaculture issues at local workshop participants were divided in two groups: level, be it a cluster of farms, a cooperative of farmers. one group discussed the recommended contents for a “policy brief” for policy makers and regulators, the 1 FAO. 2010. Aquaculture development. 4. Ecosystem approach other group focused on the contents for a document to aquaculture. FAO Technical Guidelines for Responsible Fisheries. for the private sector. Results of these discussions were No. 5, Suppl. 4. Rome, FAO. 53 pp. (also available at www.fao.org/ presented in plenary. docrep/013/i1750e/i1750e00.htm). Aquaculture Zoning, Site Selection and Area Management | 377 1. Initiation and Planning • Basic information about the aquaculture area/system (existing or to be developed) • Scoping (defining the boundaries of the aquaculture area/system to be • Stakeholder identification and analysis managed • Institutional analysis • Baseline data • Agreement of general objectives by relevant • Set broad objectives stakeholders 2. Identify and Prioritize Issues • Issues and problems identified, prioritized and (environmental, socioeconomic, governance) agreed upon by stakeholders • Component trees (issues/assets) • Prioritization by risk assessment 3. Develop Management System • For each priority problem operational objectives and indicators are identified • Set operational objectives • Management options are identified (cost benefits • Select indicators analysis), discussed and agreed upon by • Evaluation/selection of management stakeholders options 4. Implement and Monitor • Finalizing management plan • Formalize management plan DEVELOP A MANAGEMENT PLAN • Review performance • Report and communicate It can be applied to a water body such as a small The EAA is best implemented under a national aquaculture watershed, a lake, a coastal area, a prov- aquaculture policy or other relevant policies (e.g., food ince, or at the national level. Implementation can be security). It requires adequate and fair regulations best achieved in designed Aquaculture Management which permit the growth of a healthy aquaculture Areas (AMAs) or local management units. These can sector capable of competing in the local, national or be aquaculture parks, aquaculture clusters or any world markets at the same time protecting the sector aquaculture area where farms share a common water from threats such as disease, chemical contamination, body or source that allows a common management overcapacity, displacement by other sectors and system. The spatial planning of aquaculture is an environmental harm. Often EAA implementation essential tool in the implementation of EAA and in requires reviewing and improving current norms and the design of AMAs (FAO, 20132; Ross et al., 2013).2,3 3 Ross LG, Telfer TC, Falconer L, Soto D, Aguilar-Manjarrez J, eds. 2013. Site selection and carrying capacities for inland and coastal 2 FAO. 2013. Applying spatial planning for promoting future aquaculture. FAO/Institute of Aquaculture, University of Stirling, aquaculture growth. Seventh Session of the Sub-Committee on Expert Workshop, 6–8 December 2010. Stirling, the United Aquaculture of the FAO Committee on Fisheries. St Petersburg, Kingdom of Great Britain and Northern Ireland. FAO Fisheries and Russian Federation, 7–11 October 2013. Discussion document: Aquaculture Proceedings No. 21. Rome, FAO. 46 pp. Includes a COFI:AQ/VII/2013/6. (also available at www.fao.org/cofi/43696051f CD-ROM containing the full document (282 pp.). (also available at ac6d003870636160688ecc69a6120.pdf). www.fao.org/docrep/017/i3099e/i3099e00.htm). 378 | Aquaculture Zoning, Site Selection and Area Management regulations. The implementation of EAA manage- this can also be considered as identification of sites or ment plans in the mentioned AMAs can significantly potential aquaculture zones from which a subsequent improve local adoption and implementation of more specific site selection can be made for actual national strategies. Such management plans use development. different approaches and tools such as strategic Site selection is highly dependent on the type of environmental assessment (SEIA) and risk assessment aquaculture system, the location and interactions (RA). The plans require the application of better between the systems, and the surrounding environ- management practices and biosecurity protocols. ment. However, decisions on site selection are usually made on an individual basis in response to applications Aquaculture Zoning: Why This Is Needed and How to Go About It for tenure; therefore this mechanism ignores the fact that many of the major concerns involve regional or Aquaculture zoning can be used to identify potential cumulative impacts. areas for aquaculture growth where aquaculture is new, and to help regulate the development of aqua- This process is normally led by private sector, local land culture where aquaculture is already well established. owners, or villagers. Government assists with clear In some countries, aquaculture farms have been regulations for the process and requirements for site organized into small management groups such as licensing. “clusters,” “aquaculture parks,” “regions” or “zones.” These can increase social and economic benefits to Aquaculture Management Areas AMAs, Why They Are small-scale producers by promoting collective action. Needed and How to Approach This However, any clustering initiative requires prudent Aquaculture Management Areas (AMA), can be observation in order not to exacerbate biosecurity aquaculture parks, aquaculture clusters or any (disease) and environmental capacity issues through aquaculture area where farms are sharing a common over concentrated development. water body or source and may benefit from a common management system including minimizing environ- Zoning can help address a number of issues such as mental, social and fish health risks. AMAs can also be integrated management, risk assessment, coastal quite beneficial when clustering small farmers that can aquaculture development, expansion of mariculture benefit from joint access to feed, seed technical sup- further offshore, aquatic animal health (biosecurity), better management practices, watersheds manage- port and access to markets and postharvest services. ment, and aquaculture in the context of competing, The designation of an AMA relies on some form of conflicting and complementary uses of land and water. spatial risk assessment where the understanding of Finding optimal solutions to these issues depends in physical factors such as water flow, currents and the part on finding a suitable zoning strategy supported system’s capacity to assimilate organic matter is at by zoning policies. The zoning process is normally led the core of biosecurity and environmental health. by national and/or local governments with important Considerations of socioeconomic carrying capacity are stakeholder participation, equipped with relevant also needed for example regarding provision of services information and supported by relevant regulations. to the farmers, access to markets and, very important, conflict resolution with other users of the common Individual Site Selection resources and to enhance the potential for integration Site selection (or physical carrying capacity) is based with other sectors (e.g., with fisheries, agriculture, etc.). on the suitability for development of a given activity, taking into account the physical factors of the environ- In most countries where aquaculture is practiced, ment and the farming system. In its simplest form, it EIA is the most commonly applied environmental determines the development potential of any location, regulation but it applies mostly to large-scale intensive but is not normally designed to evaluate that against farming (cage farming, shrimp). Full EIA is not applied regulations or limitations of any kind. In this context, to the bulk of global aquaculture production because Aquaculture Zoning, Site Selection and Area Management | 379 most production is small scale, and in many cases a food safety. This is how both the legal mandatory traditional activity. However, it is important to recog- certification requirements for food safety and aquatic nize that many small-scale aquaculture activities could animal health developed, as well as the voluntary have significant impacts on the recipient water body certification systems concerning environmental and and therefore some form of strategic environmental social issues. management is needed. In areas or zones that are favorable for aquaculture The need to develop management plans and there is often a concentration of aquaculture biosecurity frameworks is even more obvious at the operations that could create management issues and level of AMAs where the farms are closely sited and/or challenges for the surrounding environment and for connected by the water flow; addressing disease risks certified farms in these areas. This case study explores needs to be done in a concerted way for the relevant how spatial planning and certification can together spatial unit. help aquaculture towards better management and sustainable intensification with a focus on the four AMAs require a structure and management system areas identified in “FAO’s Technical Guidelines for that may include setting some limits to the maximum Aquaculture Certification,” namely, food safety, production per area, distance among farms, and environmental impacts, social impacts, and animal stocking density. It includes monitoring (of environ- welfare. Regulation of density of farms within a zone, mental, fish health, socioeconomic aspects, etc.) and better carrying capacity tools, quarantining, and better evaluation. EAA provides the steps and describes the control of movement of live aquatic animals between process to develop management plans for AMAs that zones are suggested as means that should be imple- go beyond individual farms. mented and addressed in any certification program The establishment of AMAs could be a significant step addressing zones and not individual farms. towards the sustainable intensification of aquaculture, especially in regions such as Asia where the farms are Biosecurity (David Huchzermeyer) already there (especially ponds) and therefore a step The capacity to contain, control and eradicate forward in environmental management and assurance contagious diseases and the ability to move and trade of biosecurity. aquatic animals and their products free of specific pathogens depend on the implementation of national, 4.2 Thematic Issue Presentations regional and zone level biosecurity programmes. FAO consultants presented the thematic aspects of Planning based on epidemiological principles and zoning, siting and area management (i.e., biosecurity, a science-based approach provides the means of social, certification and legal aspects). implementing disease control and risk management at multiple levels. The aim of biosecurity is to protect Aquaculture Certification (Jesper Hedegaard Clausen) public health, the environment, and biological diver- sity. It is applied from a farm to national level based The development and intensification of aquaculture on effective separation of populations with different has been outstanding over the last couple of decades health status, zones demarcated by geographical with annual growth rates of around 8–10 percent, boundaries, and compartments defined by manage- outpacing other animal protein production systems. ment and biosecurity practices, and may be classed Products from aquaculture are widely traded on as infected or disease-free, and provides an important the international market, and are at the same time means for disease control and eradication. Surveillance providing an important source of animal protein for and diagnostic activities provide information on the national consumers. There have been concerns among occurrence of important aquatic animal diseases. academia, consumers and NGOs that certain forms of For maintaining international trade opportunities, aquaculture, mainly high value species for export, are control measures are the direct responsibility of environmentally unsustainable, socially inequitable, a competent authority; the standards, guidelines raising issues of animal welfare and having issues with 380 | Aquaculture Zoning, Site Selection and Area Management and recommendations are provided by the World development activity and assessing and understanding Organization for Animal Health (OIE). Emergency its potential impacts. response is a critical element of risk management and requires relevant policy, procedures and regulations as Legal Aspects (David L. VanderZwaag) well as adequate human, infrastructural and financial Suggestions were made for strengthening the inter- resources. Surveillance data on occurrence and national law and policy discussions. These included prevalence of regulated and emerging aquatic animal thoughts for enhancing the national law and policy diseases need to be reported on national, regional and components. The main focus was on the international international reporting systems. A number of regional law and policy dimensions by describing the relevance organizations, and various codes and conventions of the international binding agreements with special contribute to standardization of international protocols emphasis on these key agreements: and responsibilities. • UN Law of the Sea Convention (LOSC). The LOSC Social Aspects (Pedro B. Bueno) provides the overall governance framework for aquaculture developments by establishing both Any development activity impacts a community— State rights and responsibilities; directly or indirectly, in whole or in part, for better • Convention on Biological Diversity (CBD) (1992). or for worse. An impact either enhances or reduces Although the CBD does not specifically mention welfare. Impacts include fiscal, environmental, social aquaculture, the Convention is relevant to aquacul- and economic, and health. Fiscal consists of the public ture activities in four ways: costs and revenues associated with the development. • Through general obligations for Parties under the Environmental—almost always negative—includes Convention, alteration of land and water resources, loss of open • Through guidelines, e.g., Guidelines on Imple- space, change in groundwater and surface water menting the Ecosystem Approach (2004) through quantity and quality, air quality, alteration of wildlife Decision VII/11, habitat and changes in landscape aesthetics. Social • EIA guidelines, and economic impacts are those that a development • Through Biodiversity decisions; intervention would have on the lives and circum- • Convention on Wetlands of International Impor- stances of people and their communities. tance Especially as Waterfowl Habitat (1971); The positive impacts include employment, higher • Convention on the Conservation of Migratory Spe- wages, increased supply of goods for the com- cies of Wild Animals (1979); munity, and multiplier effects on the economy and • UN resolutions and processes relevant to aquacul- appreciation of property values. Impacts on health, ture, e.g.: often associated with environmental impacts, are • FAO Code of Conduct for Responsible Fisheries lumped with social impact. But health impacts can be • Technical Guidelines for Aquaculture Development quantified in terms of additional cost of health care, (1997), cost of mitigating health hazards, and implications • Technical Guidelines on Ecosystem Approach to on insurance premiums. It then becomes part of Aquaculture (2010). economic impact assessment. Conflicts are the most The presentation identified two ways to enhance obvious negative social impact of a development national law and policy components: intervention, arising from a number of causes, usually perceived or real unfairness in allocation or sharing of 1. Setting out a spectrum of national approaches to benefits and access to opportunities offered by the marine and coastal planning, e.g.: activity, competition for resources, and opportunistic a. Policy-based call for marine spatial planning behavior. Impacts have varying consequences on (USA) different stakeholders. This underlines the importance b. Bare-bones legislative framework for integrated of a multi-stakeholder participation in planning a marine planning (Canada) Aquaculture Zoning, Site Selection and Area Management | 381 c. Sectoral aquaculture legislation requiring aqua- Chile Case: The Spatial Planning of Marine Cage culture zoning (Chile) Farming (Salmon) (Adolfo Alvial) d. Detailed legislative guidance on marine spatial The Chilean salmon farming has shown impressive planning (Scotland, the United Kingdom of growth. In 25 years the country became the leader in Great Britain and Northern Ireland) farmed trout production and second in farmed salmon 2. Recognizing the special challenges of integrated production. In general, regulations moved the industry aquaculture management in federated states. growth back, generating several gaps that did not help prevent environmental and fish health problems. In 4.3 Case Study Presentations fact, in 2007 the ISA (infectious salmon anemia) crisis The case study authors presented their case studies. caused serious social and economic impacts on the industry and the country. This has prompted significant Brazilian Aquaculture Parks—Fish Farming changes in regulations triggering the spatial manage- and Mariculture (Felipe Matias) ment that complements the initial Appropriated In Brazil, the waters are either owned by the federal Areas for Aquaculture (AAA) and Licenses. Groups of government (Union) or by the states. Union waters licenses (AMAs or neighborhoods) were established as hold a great potential for Brazilian aquaculture. More well as macro zones. than 200 reservoirs (to generate electricity) are available An integrated spatial management system is now in for aquaculture with a carrying capacity of almost 2.5 place which, despite some weaknesses, has contributed million tonnes of fish per year. For over 20 years we to coordinating the efforts to control diseases, improve attempted to achieve the use of these reservoirs for efficacy of measures to address sanitary risk and create fish production, but the existing legal framework at better conditions for environmental/sanitary recovery of that time did not make it possible. In 2003, Decree the macro zone. Improvements still have to be done to 4895/2003 enabled the legal certainty necessary for the move closer to an ecosystem approach to aquaculture, implementation of aquaculture areas and aquaculture principally emphasizing carrying capacity studies and parks; the first concessions were awarded in 2009. tools, interaction with communities and other sectors, There are now fish farms in more than 10 reservoirs. increasing participation and developing incentives. The Demarcation of the areas and parks requires expensive most significant contribution of the AMA system has and lengthy studies, which measure technical, geo- been the increase in social capital in the industry and a graphical, social, economic and environmental param- higher level of public-private interaction. eters. After the studies, the parks are demarcated and public hearings held to discuss the implementation Zonal Aquaculture Management in China and their occupation. There are two crucial issues sur- and Indonesia (Anton Immink) rounding this program: i) environmental monitoring, The best examples of zonal management are seen which should allow a simple and faster environmental in the salmon industry and were developed, in the licensing process and ii) the management of parks, pioneering countries of Norway and the United which should enable an orderly settlement. Kingdom of Great Britain and Northern Ireland. The systems are far from ideal but they have helped The exchange of experiences with other countries protect the environment, minimise disease impacts working on aquaculture parks and the support of and support the industry to flourish in a sustainable institutions such as FAO and the World Bank will be manner. Sustainable Fisheries Partnership (SFP) is using very useful for Brazil to move forward with this public the zonal management model developed in Scotland, policy. It could make Brazil one of the largest aquacul- the United Kingdom of Great Britain and Northern ture producers in the world with sustainability. Ireland, to apply in tilapia, pangasius and shrimp industries in Asia through Aquaculture Improve- ment Projects (AIPs). Zonal management in salmon 382 | Aquaculture Zoning, Site Selection and Area Management production was a response to both chronic and acute potential in coastal cage aquaculture. Recommenda- disease outbreaks, production issues over continuous tions to improve existing aquaculture regulations use of the same sites and continued external pressure were made. The need for intensifying communica- over environmental impacts. tions between public institutions and stakeholders to facilitate the enforcement of the results was The geographic translation to Asia mandates a shift pointed out. in cultures, species, capacities and systems. There are challenges interpreting lessons from a relatively low Shrimp Farming in Mexico (Giovanni Fiore Amaral) farm density region to areas with almost contiguous Mexico’s shrimp farming industry began in the 1970s production and from cages to ponds, but these in the northwest states of Sonora, Sinaloa and Nayarit. challenges need to be overcome in order to ensure Farming was in ponds with low stocking rates. Current sustainable production for the industry, the environ- estimates indicate that the national surface area of ment and the local population. SFP is working with shrimp ponds is around 70,000 hectares, however the local aquaculture sectors in China, Indonesia, Thailand technology has changed little. Nevertheless, shrimp and Vietnam to strengthen the scientific advisory to farming represents one of the most profitable aqua- support effective policy for realistic industry develop- culture sectors in Mexico. The legal regulation and ment and to ensure the producers themselves use development of shrimp farming has to be coordinated better practices on farm and are organised to enable between two federal agencies, the National Com- them to have a unified voice in their future. Case mission of Aquaculture and Fisheries (CONAPESCA), studies in China and Indonesia are provided. which is responsible for the regulation of aquaculture in water bodies of federal jurisdiction and the Spatial Planning of Marine Finfish Aquaculture Facilities in Indonesia (Roberto Mayerle Secretariat of Environment and Natural Resources and Ketut Sugama) (SEMARNAT), which regulates the development of inland aquaculture by requesting environmental This paper presents results of the application of a impact assessments. procedure for supporting decision makers in the sustainable management of finfish coastal cage The Federal Government through CONAPESCA aquaculture in Indonesia. The investigations were recognizes the need for the aquaculture sector to carried out under a project commissioned by the Ger- sustainably grow and has allocated public resources to man and Indonesian governments. The aim was the improve this sector through specific strategies, such as development and application of a stepwise procedure the National Program for Aquaculture Management according to zoning, site selection, carrying capacities to: (i) enable an orderly, sustainable and competitive and biosecurity for the estimation of the sustainable aquaculture sector, and (ii) regulate and administer the fish farm production in coastal areas. These have been sector, using processes and tools for the delimitation carried out in several coastal sites in Indonesia. The of aquaculture zones. Shrimp farming in Nayarit State case study presents results from a site in the northwest illustrates the methodology used to demarcate and of Bali. manage aquaculture zones based on the scoping of the aquaculture activity and the zone. It was carried Aquaculture management areas were designated out by the Aquaculture Health Committee of Nayarit and recommendations on the suitable locations of State with federal funds. Zoning results are uploaded cages and carrying capacities to ensure environmen- in a web spatial database to facilitate the regulariza- tal sustainability proposed. The recommendations tion of farms through legal mechanisms. are being implemented in cooperation with the local authorities. The methodology adopted, which is Aquaculture Site Selection and Zoning in Oman integrating field measurements and high-resolution (Dawood Suleiman Al-Yahyai) numerical models within a decision support system, proved to be effective for Indonesian conditions The vision of the Ministry of Agriculture and Fisheries and well suited to the estimation of the country’s (MAFW) is to develop aquaculture in a sustainable, Aquaculture Zoning, Site Selection and Area Management | 383 competitive and environment-friendly basis that meets The main features of a Mariculture Park are: (i) Shared the needs of customers of high quality aquaculture infrastructure—multiproduct onshore warehouse, products. Several features make Oman attractive to cold storage and ice plants facility, service as well as local and foreigner investors. These include long coast- ferry boats, communal mooring system; (ii) Shared lines with diverse natural marine resources, world-class services—availability of seeds and feeds supplier, infrastructure, close proximity and easy access to cage fabricator and manpower services; (iii) Shared export markets, attractive financial incentives, commit- security—internal and external security; and ment of support from government authorities and well (iv) Sustainability—well-selected sites for small-, organized institutional and legislative frameworks. medium- and large-scale investors. Other features are controlled maximum production and environmental The Ministry of Agriculture & Fisheries carried out a monitoring. detailed survey of the Omani coast at the beginning of the last decade. An atlas for suitable sites along the Mariculture Parks in Turkey (Güzel Yücel Gier) coast was prepared which includes oceanographic and Turkish marine aquaculture has seen rapid growth along environmental descriptions of the coast of Oman and the Aegean coast since 2000. This case study focuses information on suitable methods for aquaculture as on mariculture parks in Gulluk Bay where 55 percent well as the major constraints. of total marine aquaculture production occurs. Conflict The sites for aquaculture projects were allocated in with other coastal zone stakeholders had spurred the cooperation with the Ministry of Housing and the Ministry of Environment and Urbanization (MEU) to Ministry of Environment & Climate Affairs. A recent issue new regulations. In 2008 new regulations for Gul- project was started by the Ministry of Agriculture & luk Bay led to the definition of two mariculture zones. Fisheries to select suitable sites for marine cages in These cover 20.8 percent and 0.45 percent of the area Musandam Governorate using GIS and remote sensing licensed for the cages on the Bay. This was done by tools. This also allows the assessment of the carrying a Turkish Inter-Ministerial Consortium, in cooperation capacity of each site. The project will also develop with the Mugla Fish Farmers Association. Site selection a model for sustainable aquaculture development and zoning addressed basic issues and were carried out applicable to the other regions of Oman. through a participatory process among stakeholders, scientists and central government. This has subsequently Mariculture Parks in the Philippines (Nelson Lopez proved to be a weak point in the whole process. The and Patrick White) two mariculture zones were evaluated separately in Gul- The Government through the Bureau of Fisheries & luk Bay. Two total zoning EIA reports were separately Aquatic Resources promotes the development of mari- produced for the Bodrum zone and for the Milas zone. culture zones and parks as a responsible and sustain- Monitoring is done by government officers. able development option in coastal cage aquaculture. Aquaculture zoning, spatial planning, aquaculture The social objectives are to provide livelihood to local management and risk mapping are among the most communities and contribute to food security. There important issues for the success of aquaculture. They are now more than 60 mariculture parks throughout need to be carried out in accordance with sustain- the Philippines. The concept of the Mariculture Park ability and best practice guidelines. Turkey has recently (MP) is akin to an industrial estate. In a designated focused on such issues and is trying to set guidelines zone within municipal waters, aquaculture plots are which would enable true sustainability to take place. leased to small- to medium-sized aquaculture farms. The whole EIA process needs the estimation of carry- Infrastructure (mooring systems, navigation lanes ing capacity of a new aquaculture potential area and and docking areas), utilities, and technical services harmonisation with the monitoring and management are provided by the government. The development system to be used. process for setting up and operating a Mariculture Park follows a well-defined set of steps. 384 | Aquaculture Zoning, Site Selection and Area Management Aquaculture Parks in Uganda (Nelly Isyagi, (DMAs) are used by government to control notifiable unable to attend) disease, particularly ISA. They are defined using a Fisheries are Uganda’s third source of foreign exchange simple model and current government policy is against and contribute to the livelihoods of about 5.3 million new sites that would join DMAs. people. To sustain economic growth arising from the sec- Farm Management Areas (FMAs) are industry defined tor an additional 300,000 tonnes/year of fish is required. areas in which farms collaborate on management However, Uganda’s natural waters have reached their issues, including sea lice treatments. Sea lochs (small maximum sustainable yield. Large-scale commercial fjords) are assessed for carrying capacity and maximum aquaculture is the only feasible option for achieving the biomass consent is limited to prevent environmental additional production needed in the medium term. impacts arising from cumulative discharges. At a larger Aquaculture production is from isolated small farms. spatial scale large areas are reserved with no aquacul- This makes it difficult to establish efficient production ture, including the North and East coasts of Scotland, and marketing value chains. Increasing the number of the United Kingdom of Great Britain and Northern such units would pose challenges for environmental Ireland, where the most significant wild salmonid management. The strategy is to produce large volumes populations in Scotland are found. New farms are of fish and related services from “Aquaculture Parks” given development consent under Town and Country located within designated high aquaculture potential Planning by local authorities, taking into account views areas using an ecosystems approach. The Government of all primary stakeholders and in accordance with of Uganda has conducted broad studies to identify established policies in Scotland’s National Marine Plan such potential areas. Findings suggest good potential and any local plan. Standards are enforced by official in most parts of the country as well as for operating inspectors working for the Fish Health Inspectorate aquaculture parks. and the Scottish Environment Protection Agency and through industry codes of practice. Considering the level of investment and production objectives of Aquaculture Parks, for success and sustainability, it is crucial that they be established Conclusions and 5.  within appropriate frameworks. Actual spatial scoping, recommendations demarcation of ecosystem boundaries, selection of The workshop enabled a better understating and specific zones and sites based on natural resource streamlining of the process and steps for aquaculture capacity, and development of targeted management zoning, site selection and area management. It policies and plans for the aquaculture zones have yet highlighted lessons learned from case studies and to be done. Ecosystem characteristics will determine identified gaps for improvements. the location, number, size and appropriate operating systems of the parks. The ecosystem approach to aquaculture provides an opportunity for countries to develop aquaculture in a Aquaculture Zoning, Site Selection and Area responsible and sustainable manner. EAA should have Management in Scottish Marine Finfish Production a central position in the planning and management (Matthew Gubbins) of aquaculture development in any country. Through Scottish aquaculture production is dominated by a participatory process, EAA should facilitate the Atlantic salmon of which it is the world’s third largest appropriate balance between the socioeconomic, producer. Salmon farming has developed since the environmental and governance objectives and the 1970s, and spatial management has become increas- associated measures. ingly important to ensure sustainability, particularly The country case studies provided examples of the for fish health and environmental protection. Area broad range of situations in which spatial planning has management involves collaboration between govern- been fully implemented and where spatial planning for ment and industry and both parties operate area aquaculture is only just beginning. It was very clear on management systems. Disease Management Areas Aquaculture Zoning, Site Selection and Area Management | 385 the other hand that Aquaculture Area Management delineation of AMAs and setting up the governance is either absent or poorly implemented although it is frameworks and mechanisms for a zone, a site and extremely needed to address fish health issues and an AMA. However, this depends on the existing level biosecurity, environmental issues and socioeconomic of government control for planning and management issues. It was agreed that AMAs could provide a way (whether control is centralised or devolved). forward to sustainably intensify aquaculture, particu- • National government is typically involved with larly in Asia. the identification of the aquaculture zones at the While countries are advancing with their spatial plans, national level and estimating potential production some of the major gaps appear to be: (i) limited or within those zones. total absence of coordinated environmental monitor- • Provincial or local government is typically involved ing at the relevant ecosystem scale; (ii) insufficient with the setting up of AMAS. capacity to implement regulations; (iii) no methodolo- • Local governments are typically involved with siting gies for or limited estimates of carrying capacity; and and licensing of individual farms. (iv) lack of assessment of risks to aquaculture posed by The introduction of zoning, siting and area manage- climatic variability, climate change and other external ment can be made in a number of ways. It can be threats such as industrial pollution of water sources. introduced through: 5.1 Governance Issues • National aquaculture policy, strategy, medium- and The working group on Governance issues identified long-term plans; the importance and benefits of the aquaculture • Aquaculture legislation, regulation or guidelines; zoning, siting and area management. These include: • National Good Aquaculture Practice guidelines or Codes of Conduct; and • Ensuring aquaculture development in a sustainable • Licensing by including the requirement for farms to and responsible manner; cooperate with neighbors within an area agreement. • Minimizing disease outbreaks and other risks; • Avoiding social conflicts and conflicts with other Zoning, siting and area management can be intro- sectors; and duced in a step-wise approach or all at once. Area • Avoiding boom-bust cycles of development in the management can start with cooperation on disease absence of good planning and management. control and biosecurity and then developed further over time to include environmental, socioeconomic These aquaculture zoning and area management management, marketing cooperation and use of guidelines offer flexible and adaptable advice, for shared infrastructure. example: The introduction of zones, siting and area manage- • Countries differ in aquaculture development. Coun- ment requires significant resources including staff tries with well-developed aquaculture can use the with knowledge of the process and trained in the guidelines to help set up Aquaculture Management methodologies and use of tools, This capacity can Areas and encourage farmers to cooperate in bio- be developed within the Government staff through security, environmental and socioeconomic manage- training, or some aspects can be outsourced to ment of their shared water resource. research units, universities or service providers with the • Countries new to aquaculture can use the guidelines technical competence. to help identify suitable potential zones for aquacul- ture development and identify farm sites and levels Zoning for aquaculture can be exclusive or integrated. of production within the carrying capacity of the Zones can be designated exclusively for aquaculture zones. use (e.g., Turkish case study) or aquaculture can be integrated with other sectors and uses within a zone Different levels of Government may be involved with (e.g., Scotland case study). the different steps from zoning to site selection to 386 | Aquaculture Zoning, Site Selection and Area Management 5.2 Private Sector Issues • Focus on specific activities to be undertaken by the The private sector working group tried to identify the committee—AMA level within top-down mandate aspects of the process that could appeal to entrepre- of zones, and EAA strategy; neurs and farmers and how the private sector can be • Draft general aquaculture management plan and better involved in the establishment and management review and adapt the process as it is a living, evolv- of AMAs. The working group agreed that aquaculture ing concept; tends to get into trouble if left to develop organically • Develop a flowchart for the implementation; and that problems occur when there is unregulated • Establish a basic mechanism of linking farmers to growth with new entrants not following good man- each other and with government by: agement practices. It noted that the AMA scheme, • Communication of significant mortalities to the based on the case studies, works. network, • Access to veterinary services—mechanism for deliv- The process can address most of the private sector ery at AMA level—examples from case studies, concerns including: • Collective biosecurity plan, • Access BAP/efficient technology—linked to • Disease prevention—by improving ecosystem health research; and and fish welfare leading to improved disease • Establish and monitor agreed indicators of carry- management; ing capacity limits—progress towards an agreed • Long-term improvement of fish stock performance standard and definitions of limit. Initially in tonnes while addressing genetic quality and feed availability; of production/year, evolving to include other indica- • Risk mitigation and coping by increasing access to tors such as mortality, sediment, turbidity and DO insurance at the AMA level; variability. • Encouraging responsible investment thus increasing finance availability; There is also a need to; • Making space for aquaculture—protecting the rights of fish farmers in a common property context; • Clarify if it applies to either or both existing sites or protecting the rights of locals and smallholders; new zones; equitable access; • Find ways to: • Encouraging stable production resulting in fewer • Improve profitability while maintaining stable pro- crashes and fish kills; duction and increasing efficiency, • Integrating aquaculture with multiple uses—to • Reduce feed costs, reduce conflict, which can be expensive to resolve • Reduce disease occurrence and impacts; and when it flares up; • Assess how it affects product quality—monitoring to • Potential for common action to address externalities ensure food safety and improve market access. (e.g., pollution, encroachment of other sectors); 6. Potential role of FAO • Improving access to markets and certification; • Improving the perceptions for aquaculture products The results of this workshop created baseline informa- by the market; tion to enable FAO/World Bank to complete the FAO/ • Demonstrating the economic benefits of EAA—that World Bank publication and to make plans for its wider investment in EAA is cost-effective; and adoption. The main outputs from the workshop are: • Encouraging the sustainable use of common water bodies and working with others interested in using 1. a policy brief for policy makers and regulators; the commons for community benefit. 2. a concise document for the private sector, man- agers, scientists, farm developers, and extension In order to implement the process, there is need to: service personnel. • Establish a zone/AMA management committee that To further validate and strengthen the Guide, the steps will lead the process—includes government, other and processes are currently being used in a question- sectors, academia, NGOs and the private sector; naire survey as part of a new Horizon2020 EU funded Aquaculture Zoning, Site Selection and Area Management | 387 project (AquaSpace). This allows a first assessment of aquaculture management areas under the EAA.” This the current status, processes and practices for aqua- is a potential area of global interest in which FAO and culture zoning, site selection and area management countries as well as other partners could make good in marine and freshwater environments in Europe use of the documents being produced from this initia- plus non-EU Mediterranean and Black Sea countries tive by FAO and the World Bank. At a national level, (covering the General Fisheries Commission for the activities could include (i) the generation of baseline Mediterranean area of competence), plus Canada and information, and (ii) the implementation of pilot the United States of America as part of the Galway projects. At a global level, efforts could be on capacity Statement on Atlantic cooperation. The results of building for policy makers and managers and training this survey were used to prepare a review of current for technical personnel covering such topics such as approaches to spatial planning. The details of this area-based planning and management for policy and review were finalized at a workshop that was held in regulatory frameworks, biosecurity, environmental Venice in February 2016. impacts, and certification. FIRA will need to seek funds to assist developing countries in implementing “aquaculture zoning and 388 | Aquaculture Zoning, Site Selection and Area Management Annex 1. Workshop Agenda Day 1 Sunday 5 July Activities Presenter/Facilitator 09:00 Departure from hotel All 10:00 Arrive at Pınar-Deniz hatchery All 10:00–12:00 Visit Hatchery All 12:00–13:00 Lunch on the farm courtesy of Pınar-Deniz All 13:00–16:00 Boat visit to Seabass, Seabream and Tuna cage (Çamlı and Sagun All companies) Brief discussion on lessons learned from field visit 16:00 Depart from Pınar Deniz All 17:00 Arrival at hotel All Day 2 Monday 6 July Activities Presenter/Facilitator 08:30–09:00 Registration All 09:00–12:00 Opening remarks FAO/Turkey representative Self-introduction of workshop participants All Background, objectives and contents of the workshop Brummett/Soto Group photo and coffee break All Presentation of the draft publication Soto/Aguilar INTRODUCTION TO COUNTRY CASE STUDIES. Do current White spatial planning and management follow suggested steps? Zoning and site selection Mariculture Parks in Turkey Yucel-Gier Mariculture Parks in the Philippines White/Lopez Spatial planning of marine sea cage farming (salmon) in Chile Alvial Fish cages in reservoirs in Brazil Matias Coastal cage aquaculture in Indonesia Mayerle/Sugama Lunch 13:30–17:00 Fish cage culture in Oman Dawood Aquaculture parks in Uganda Isyagi Shrimp ponds in Mexico Fiore Amaral Discussion Area management Zonal aquaculture management in China and Indonesia Immink and Morales Zoning and area management of Scottish aquaculture Gubbins Discussion Coffee break Summary of case studies Analysis of case study scoring Selected participant Discussions on lessons learned from case studies All Presentation of the scores Selected participant Case study wrap-up All Aquaculture Zoning, Site Selection and Area Management | 389 Day 3 Tuesday 7 July Activities Presenter/Facilitator 09:00–12:00 THEMATIC PRESENTATIONS Biosecurity Huchzermeyer/FAO Certification Hedegaard Clausen Discussion Coffee break STEPS AND PROCESSES FOR ZONING, SITE SELECTION AND AREA MANAGEMENT Processes and steps Review of the processes and steps FAO Discussion All Lunch 13:30–17:00 WORKING GROUP DISCUSSIONS Presentation on the steps for scoping Aguilar Plenary discussion on scoping All Consensus on scoping All Three working groups for discussion: (i) zoning, (ii) site World Bank selection and (iii) aquaculture management areas Presentation on the steps for zoning Appointed rapporteur Working group discussion Working group presentations at plenary Consensus on zoning Coffee break Presentation on the steps for site selection Appointed rapporteur Working group discussion Working group presentations at plenary Consensus on site selection Presentation on the steps for area management Appointed rapporteur Working group discussion Working group presentations at plenary Consensus on area management 18:30 RECEPTION DINNER All 390 | Aquaculture Zoning, Site Selection and Area Management Day 4 Wednesday 8 July Activities Presenter/Facilitator 09:00–12:00 Three working groups for discussion: case study evaluation FAO and lessons learned Evaluation of Case studies and review 3 Appointed rapporteurs Scoping for zones Broad risks and opportunities Coffee break Effective tools 3 Appointed rapporteur Working group discussion Working group presentations at plenary Lunch 13:30–15:00 Presentation on Governance issues and Private Sector issues White/Brummett/FAO staff Working group discussion Working group presentations at plenary Consensus on the key Governance and Private Sector issues CONCLUSIONS World Bank Consensus on the ideal processes and steps Soto/Aguilar Plenary discussion on way forward to implement aquaculture FAO/World Bank zoning, site selection and area management Recommendations for FAO publication FAO/World Bank Wrap up closing session Turkey representative Annex 2. Workshop Organisers Güzel Yücel Gier Dokuz Eylül University FAO/World Bank Secretariat: Institute of Marine Sciences and Technology, Haydar Doris Soto (FAO)   Aliyev Bld. No: 100 Post Code: 35340 José Aguilar-Manjarrez (FAO) Inciralti-Izmir/Turkey Randall Brummett (World Bank) Phone: +90 232 278 65 15-278 65 25/140 Patrick White (FAO consultant) Fax: +90 232 278 5082 E-mail: yucel.gier@deu.edu.tr Aquaculture Branch Fisheries and Aquaculture  Department Hotel and Workshop Venue: Food and Agriculture Organization of the United Kaya Iizmir Thermal & Convention Ilıca Mah.   Nations (FAO) Zeytin Sk. No:112 Izmir Viale delle Terme di Caracalla, Rome 00153, Italy T/ (232) 238 51 51 E/ izmirsales@kayatourism.com.tr E-mail: doris.soto@fao.org and jose.aguilarmanjarrez@  fao.org Date and hosts: The workshop was held in Izmir, Turkey from 5–8 July 2015. The workshop was hosted by Dokuz Eylul University, Institute of Marine Sciences and Technology. Aquaculture Zoning, Site Selection and Area Management | 391 Annex 3.Workshop participants FRANCE and contributors Patrick White Case study: Philippines BRAZIL Senior Aquaculture Consultant, João Felipe Nogueira Matias Akvaplan-niva AS. Case study: Brazil BP 411, Crest 26402, France Residencial Alphaville Fortaleza Tel.: +33 4 75768014 Av. Litorânea, 2040 - Quadra J-3, Lote 06 E-mail: Patrick.white@wanadoo.fr Bairro: Cararu—Eusébio-Ceará-Brazil Tel.: 61760-905 GERMANY E-mail: jfn.matias@gmail.com Roberto Mayerle CANADA Case study: Indonesia Director of Research and Technology Centre David Van der Zwaag University of Kiel, Otto Hahn Platz 3 Marine & Environmental Law Institute D-24098 Kiel, Germany Schulich School of Law Tel.: 0049 431 8803641 Dalhousie University Mob.: 0049 431 802497 6061 University Avenue  E-mail: rmayerle@corelab.uni-kiel.de PO Box 15000, Canada Halifax, Nova Scotia, Canada B3H 4R2 INDONESIA Tel.: 902-494-1045 Ketut Sugama E-mail: David.VanderZwaag@Dal.Ca Case study: Indonesia CHILE Research Coordinator Center for Research and Development of Adolfo Alvial Aquaculture. Ragunan St. No 20. Jatipadang Case study: Chile Pasarminggu. Jakarta 12540 Indonesia Regional Director of The National Agency for Tel.: +62 21 7805052 Economic Development (CORFO)—Los Lagos Mob.: +628129516895 Region E-mail: ketut_sugama@yahoo.com Mail Box 1003, Puerto Varas, Chile, Parcela 13, Condominio Santa Elena, Puerto varas, KENYA Chile Nelly Isyagi Tel.: +56-65-2563952 Case study: Uganda E-mail: adolfo.alvial@corfo.cl AU-IBAR, Nairobi, Kenya. CHINA Tel.: +254 (20) 3674 000 Mob.: +254 704 864 088 Changbo Zhu E-mail: nelly.isyagi@au-ibar.org South China Sea Fisheries Research Institute, CAFS 231 Xin Gang Xi Road, MEXICO Guangzhou 510300, China Giovanni Fiore Amaral Tel.: +86 20 84451432 Case study: Mexico Fax: +86 20 84451442 Av. Camarón Sábalo S/N, E-mail: changbo@scsfri.ac.cn Fracc. Sábalo Country Club, Zip Code: 82100 Mazatlán, Sinaloa, México Tel.: +526699156900 E-mail: giovanni.fiore@conapesca.gob.mx 392 | Aquaculture Zoning, Site Selection and Area Management OMAN THAILAND Dawood Suleiman Al-Yahyai Jesper Hedegaard Clausen Case study: Oman Aquaculture Certification Director of Aquaculture Development MJC Consulting Ministry of Agriculture & Fisheries Bangkok, Thailand P.O. Box 427 PC: 100 Muscat Tel.: +66891510118 Tel.: +968-24953130 E-mail: Jesper.clausen@gmail.com Fax: +968-24693246 E-mail: dawoodalyahyai@gmail.com TURKEY Guzel Yucel Gier PHILIPPINES Case study: Turkey Nelson Alquino Lopez Dokuz Eylül University Case study: Philippines Institute of Marine Sciences and Technology Bureau of Fisheries and Aquatic Resources Haydar Aliyev Bld. Inland Fisheries and Aquaculture Division No: 100 35340 Inciralti-Izmir, Turkey 2/F PCA Bldg., Elliptical Rd., Diliman Tel.: +90 232 278 65 15-278 65 25/140 Quezon City, Metro Manila 1101 Fax: +90 232 278 5082 Philippines E-mail: yucel.gier@deu.edu.tr Tel.: +63920-9799918 Hayri Deniz Fax: +63-2 929-3439 Projeler ve Yatırımlar Müdürü E-mail: nlopez_8550@yahoo.com Manager of Projects and Investments SOUTH AFRICA Kılıç Deniz Ürünleri A.S ¸./Kılıç Seafood Co. Milas-Bodrum Karayolu 18. Km, Kemikler Köyü David Huchzermeyer Mevkii Biosecurity 48200, Milas, Mug ˘ la/Turkey Aquatic Veterinary Specialist Tel.: + 90 252 559 02 83 /1016 Sterkspruit Veterinary Clinic Mobil: + 90 533 727 15 35 P.O. Box 951, Lydenburg, 1120 Fax: + 90 252 559 01 01 Tel.: 27 13 2354132 E-mail: hayrideniz@kilicdeniz.com.tr Fax: 27 13 2353260 www.kilicdeniz.com.tr E-mail: huchzermeyer@telkomsa.net www.kilicholding.com.tr SWITZERLAND UGANDA François Simard Maurice Ssebisubi Deputy Director, Senior Advisor for Fisheries Senior Program Officer Global Marine and Polar Programme Icelandic International Development Agency IUCN (International Union for Conservation of (ICEIDA) Nature) P.O. Box 7592, Kampala Uganda 28 rue Mauverney, CH-1196 Gland, Switzerland Plot 18B, Akii-Bua Road-Nakasero Tel.: +41 22 999 0298 Tel.: +256 414 230984 E-mail: francois.simard@iucn.org E-mail: mauriceisnot@gmail.com Aquaculture Zoning, Site Selection and Area Management | 393 UNITED KINGDOM FOOD AND AGRICULTURE ORGANIZATION Vito Romito OF THE UNITED NATIONS RS Standards Ltd, Consultant. José Aguilar-Manjarrez 3 Ard Na Greine, Lis Na Dara, Dundalk. Co. Louth. Aquaculture Officer Ireland Fisheries and Aquaculture Department Tel.: 00353857664893 Food and Agriculture Organization of the E-mail: vitocccrmt@yahoo.co.uk United Nations Viale delle Terme di Caracalla Alexander G. Murray 00153 Rome, Italy Case study: Scotland Tel.: +39 06 570 55452 Epidemiology Group, Aquaculture and Fish Health Fax: +39 06 570 53020 Programme E-mail: jose.aguilarmanjarrez@fao.org Marine Scotland Science, Marine Laboratory 375 Victoria Road, Aberdeen, AB11 9DB, UK Doris Soto Tel.: 44(0)1224 425532 Senior Aquaculture Officer E-mail: Sandy.Murray@scotland.gsi.gov.uk Fisheries and Aquaculture Department Food and Agriculture Organization of the Rui Gomes Ferreira United Nations Chief Executive Officer Viale delle Terme di Caracalla Longline Environment 00153 Rome, Italy 88 Wood Street Tel.: +39 06 570 56159 London, EC2V 7RS, United Kingdom Fax: +39 06 570 53020 Tel.: +44 (0) 20 719 36121 E-mail: doris.soto@fao.org E-mail: rui@longline.co.uk Kathrin Bacher Jack Morales FAO Consultant Case study: China and Indonesia Food and Agriculture Organization of the Aquaculture Program Director, Sustainable United Nations Fisheries Partnership Viale delle Terme di Caracalla B1 L3A makopa St. Verdant Acres Subd. 00153 Rome, Italy Pamplona, Las Pinas Tel.: +39 06 570 55960 Philippines 1746 E-mail: Kathrin.Bacher@fao.org Tel.: +63-9175024177 E-mail: jack.morales@sustainablefish.org Jackson Kang’ethe Kihara Knowledge Management Specialist UNITED STATES OF AMERICA P.O. Box 30470, 00100, Nairobi, Kenya. Randall Brummett Tel.: (+254) 736 700 101 Senior Aquaculture & Inland Fisheries Specialist E-mail: Jackson.Kangethe@fao.org Environment and Natural Resources Department Jean-Baptiste Luce World Bank FAO Intern 1818 H Street NW Fisheries and Aquaculture Department Washington, DC 20433, USA Food and Agriculture Organization of the United Tel.: + 1 (202) 473-2853 Nations E-mail: rbrummett@worldbank.org Vialle delle Terme di Caracalla 00153 Rome, Italy Tel.: +39 38 068 15719 E-mail: jeanbaptiste.luce@fao.org 394 | Aquaculture Zoning, Site Selection and Area Management CONTRIBUTORS (AquaSpace) Pouladuff Road, Togher, Richard Corner Cork, Ireland Senior Business Consultant Tel.: +353 21 4250015 Longline Environment E-mail: am.ohagan@ucc.ie 88 Wood Street Pedro B. Bueno London, EC2V 7RS, United Kingdom Consultant Tel.: +44 (0) 7796 176120 Rome, Italy E-mail: richard@longline.co.uk E-mail: pete.bueno@gmail.com Anne Marie O’Hagan Charles Parsons Research Fellow, MaREI, Environmental Research Institute, University College Cork, Aquaculture Zoning, Site Selection and Area Management | 395 The ecosystem approach to aquaculture provides the conceptual guideline for spatial planning and management. This publication describes the major steps related to these activities. The rationale for and objectives of each step, the ways (methodologies) to implement it, and the means (tools) that are available to enable a methodology are described in a stepwise fashion. Recommendations to practitioners and policy-makers are provided. A separate policy brief accompanies this paper. The benefits from spatial planning and management are numerous and include higher productivity and returns for investors, and more effective mitigation of environmental, economic and social risks, the details of which are provided in this paper. This publication is organized in two parts. Part one is the “Guidance”; it is the main body of the document and describes the processes and steps for spatial planning, including aquaculture zoning, site selection and area management. Part two of the publication includes six annexes that present key topics, including: (i) binding and non-legally binding international instruments, which set the context for sustainable national aquaculture; (ii) biosecurity zoning; (iii) aquaculture certification and zonal management; (iv) an overview of key tools and models that can be used to facilitate and inform the spatial planning process; (v) case studies from ten countries – Brazil, Chile, China, Indonesia, Mexico, Oman, the Philippines, Turkey, Uganda and the United Kingdom of Great Britain and Northern Ireland; and (vi) a workshop report. The country case studies illustrate key aspects of the implementation of spatial planning and management at the national level, but mostly within local contexts. Take-home messages include the ways in which institutional, legal and policy issues are addressed to implement the process, or parts of the process. ISBN 978-92-5-109699-4 9 7 8 9 2 5 1 0 9 6 9 9 4 I6992EN/1/03.17