FAO

TECHNICAL
GUIDELINES FOR
RESPONSIBLE
FISHERIES
5
Suppl. 4
AQUACULTURE DEVELOPMENT
4. Ecosystem approach to aquaculture
ISSN 1020-5292
Cover:
Illustration by Doris Soto.
FAO
TECHNICAL
GUIDELINES FOR
RESPONSIBLE
FISHERIES
5
AQUACULTURE DEVELOPMENT
4. Ecosystem approach to aquaculture
FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS
Rome, 2010
Suppl. 4
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FAO 2010
iii
PREPARATION OF THIS DOCUMENT
These technical guidelines have been prepared by the Fisheries and
Aquaculture Department oI the Food and Agriculture Organization oI the
UnitedNations(FAO)underthecoordinationoIDorisSoto.Theirproduction
hasbeensupportedbytheJapaneseTrustFundProjectTowardsSustainable
Aquaculture: Selected Issues and Guidelines and by the FAO Regular
Programme.
The initial discussions leading to the preparation oI these guidelines took
placeintheFAO/UniversitatdelesIllesBalearsExpertWorkshoponBuilaing
an Ecosystem Approach to Aquaculture convened in Palma de Mallorca,
Spain, Irom 711 May 2007. Another expert group discussed the initial
draIt content oI the guidelines in the FAO Expert Workshop on Guiaelines
for the Implementation of an Ecosystem Approach to Aquaculture (EAA)
that took place in Rome, Italy, Irom 2426 November 2008. The experts
participatingintheseworkshopsandcontributingtothedevelopmentoIthe
guidelines were: JosAguilar-Manjarrez, DrorAngel, Conner Bailey, Uwe
Barg,KennyBlack,MalcolmBeveridge,AlexBrown,ThierryChopin,Barry
CostaPierce,SenadeSilva,SaludDeudero,PeterEdwards,ShirraFreeman,
Nguyen Song Ha, John Hambrey, Nathanael Hishamunda, Nelly Isyagy,
Yannis Karakassis, Duncan Knowler, Alessandro Lovatelli, Nuria Marba,
JavierMartinez-Cordero,SyndhiaMathe,MiaoWeimin,ReinaldoMorales,
Ricardo Norambuena, Bill Silver, Francois Simard, Rohana Subasinghe,
PhutchapolSuvanachai,PaulTett,MaxTroellandAlexandreWainberg.
The initial draIts oI the guidelines were prepared by Patrick White and
Peter Edwards. Additional contributions and comments were provided by
GabriellaBianchiandJamesMuir.CcileBrugere,JosAguilar-Manjarrez
andNathanaelHishamundaprovidedtechnicalinputsthroughouttheprocess.
RichardArthurandFranoiseSchattoprovidededitorialassistance.

iv
FAO.
Aquaculturedevelopment.4.Ecosystemapproachtoaquaculture.
FAO Technical Guiaelines for Responsible Fisheries. No. 5, Suppl. 4.
Rome,FAO.2010.53p.
ABSTRACT
SocialandbiophysicaldimensionsoIecosystemsareinextricablyrelated
suchthatachangeinonedimensionishighlylikelytogenerateachange
in the other. Although change is a natural consequence oI complex
interactions, it must be monitored and even managed iI the rate and
directionoIchangethreatenstounderminesystemresilience.
An ecosystem approach to aquaculture (EAA) is a strategy for
the integration of the activity within the wider ecosystem such
that it promotes sustainable development, equity, and resilience of
interlinkedsocial-ecologicalsystems.
Being a strategy, the ecosystem approach to aquaculture (EAA) is not
whatisdonebutratherhowitisdone.TheparticipationoIstakeholdersis
atthebaseoIthestrategy.
The EAA requires an appropriate policy Iramework under which the
strategy develops through several steps: (i) the scoping and defnition oI
ecosystem boundaries and stakeholder identifcation; (ii) identifcation
oI the main issues; (iii) prioritization oI the issues; (iv) defnition oI
operational objectives; (v) elaboration oI an implementation plan; (vi) the
corresponding implementation process, which includes reinIorcing,
monitoring and evaluation; and (vii) a long-term policy review. All these
arestepsinIormedbythebestavailableknowledge.
Implementing the EAA will require strengthening institutions and
associated management systems so that an integrated approach to
aquaculture development can be implemented and account Iully Ior the
needsandimpactsoIothersectors.Thekeywillbetodevelopinstitutions
capableoIintegration,especiallyintermsoIagreeduponobjectivesand
standards.
ThewidespreadadoptionoIanEAAwillrequireamuchtightercoupling
oIscience,policyandmanagement.Itwillalsorequirethatgovernments
includetheEAAintheiraquaculturedevelopmentpolicies,strategiesand
developmentplans.
v
CONTENTS
Preparation of this document iii
Abstract iv
Abbreviations and acronyms vii
Background ix
1. INTRODUCTION 1
1.1 The ecosystem approach to aquaculture 1
1.2 Aim 5
1.3 Key principles 5
2. THE EAA IN PRACTICE: PREPARATION AND INITIATION 7
&!!%""!"#!
planning process and when should it start? 7
2.2 Scoping 8
2.2.1 Defnition of system boundaries and relevant
stakeholders 8
2.2.2 Spatial scales 9
2.2.3 Temporal scales 11
2.2.4 Political scales 11
!"!&!%
2.3.1 Stakeholder identifcation 11
2.3.2 Identifcation of issues 12
2.3.3 Gathering/preparation of complementary information
on the socio-economic context of aquaculture
development 14
2.3.4 Aquaculture issues ~ effects on the ecosystem and
effects of other ecosystem components and external
drivers on aquaculture 16
2.3.4.1 Ecological and socio-economic well-being issues 17
2.3.4.2 Effects of external components on aquaculture 19
2.4 Prioritization of issues 20
!&#!#!!#
3. IMPLEMENTING THE EAA: THE PLAN 23
3.1 Minimum requirements to support the implementation of
the EAA 24
3.1.1 Create/enhance enabling legal frameworks 24
3.1.2 Strengthen, modify or create new institutional
arrangements 24
vi
3.1.3 Integrate aquaculture with other sectors to deal with
external and internal issues 25
3.1.3.1 Zoning 25
3.1.3.2 Cross-integration 26
3.1.4 Creating and enhancing human capacity 26
3.1.5 Promote appropriate long-term goal-oriented research
and dissemination of knowledge 27
!"!$!#!
social issues 28
3.2.1 Dealing with environmental issues 28
3.2.1.1 Management measures at the farm level 28
3.2.1.2 Management measures at the watershed scale 33
3.2.1.3 Management measures at the global scale 37
3.2.2 Dealing with social issues 38
!#
3.4 Standards for application 40
3.5 Indicators and monitoring impacts 40
3.5.1 Environmental indicators and monitoring 41
3.5.2 Socio-economic indicators and monitoring 41
3.6 Tools in support of the approach 43
3.6.1 Modelling 43
3.6.2 Spatial planning tools 43
4. MONITORING AND EVALUATION 45
5. FUTURE DEVELOPMENTS 45
REFERENCES 47
APPENDIX 51
vii
Abbreviationsandacronyms
APFIC Asia-Pacifc Fishery Commission
ASA AmericanSoybeanAssociation
ASA-IM AmericanSoybeanAssociationInternationalMarketing
(Program)
BMP bettermanagementpractice
CBA capture-basedaquaculture
CCRF CodeoIConductIorResponsibleFisheries(oItheFAO)
COFI CommitteeonFisheries(oItheFAO)
COP codesoIpractice
EA ecosystemapproach
EAA ecosystemapproachtoaquaculture
EAF ecosystem approach to fsheries
EIA environmentalimpactassessment
FAO FoodandAgricultureOrganizationoItheUnitedNations
FCR Feedconversionrate
GDP grossdomesticproduct
GIS GeographicInIormationSystem
ICZM integratedcoastalzonemanagement
ILO InternationalLabourOrganization
IMTA integratedmultitrophicaquaculture
IWSM integratedwatershedmanagement
LME largemarineecosystem
MPA marineprotectedarea
NGO non-governmentalorganization
OIE WorldOrganisationIorAnimalHealth
PAS partitionedaquaculturesystem
PCBs polychlorinatedbiphenyls
SEA strategicenvironmentalassessment
SPS sanitaryandphytosanitary
TBT technicalbarrierstotrade
UNCBD UnitedNationsConventiononBiologicalDiversity
UNCED UnitedNationsConIerenceonEnvironmentand
Development
WHO WorldHealthOrganization
WTO WorldTradeOrganization
ix
BACKGROUND
1. From ancient times, fshing Irom oceans, lakes and rivers has been a
major source oI Iood, a provider oI employment and other economic benefts
Ior humanity. Ocean productivity seemed particularly unlimited. However,
with increased knowledge and the dynamic development oI fsheries and
aquaculture,itwasrealizedthatlivingaquaticresources,althoughrenewable,
are not infnite and need to be properly managed, iI their contribution to the
nutritional,economicandsocialwell-beingoIthegrowingworldspopulation
wastobesustained.
2. However,Iornearlythreedecades,becauseoIthedramaticincreaseoI
pollution, abusive fshing techniques worldwide, and illegal, unreported and
unregulated fshing, catches and landings have been shrinking and fsh stocks
declining,oItenatalarmingrates.
3. Stock depletion has negative implications Ior Iood security and
economic development and reduces social welIare in countries around the
world, especially those relying on fsh as their main source oI animal protein
and income such as subsistence fshers in developing countries. Living aquatic
resources need to be properly managed, iI their benefts to society are to be
sustainable.
4. Sustainability oI societal benefts requires a recovery oI depleted stocks
andmaintenanceoIthestill-healthyones,throughsoundmanagement.Inthis
regard,theadoptionoItheUnitedNationsConventionontheLawoItheSea,
in 1982 was instrumental.The law provides a new Iramework Ior the better
management oI marine resources. The new legal regime oI the oceans gave
coastal States rights and responsibilities Ior the management and use oI fshery
resourceswithintheareasoItheirnationaljurisdiction,whichembracesome90
percent oI the world`s marine fsheries.
5. In recent years, world fsheries have become dynamically developing
sectors oI the Iood industry, and many States have striven to take advantage
oI their new opportunities by investing in modern fshing feets and processing
Iactories in response to growing international demand Ior fsh and fshery
products. It became clear, however, that many fsheries resources could not
sustain an oIten uncontrolled increase oI exploitation. Overexploitation oI
important fsh stocks, modifcations oI ecosystems, signifcant economic losses,
and international conficts on management and fsh trade still threaten the long-
term sustainability oI fsheries and the contribution oI fsheries to Iood supply.
x
6. In light oI this situation, while recognizing that the recovery oI
depletedstocksisstillurgentandavoidingdepletingstill-healthystocksas
important,FAOMemberStateshaveexpressedtheneedtoIurtherdevelop
aquacultureastheonlyimmediatewaytobridgethegapbetweenthedipping
capture fsheries output and the increasing world demand Ior seaIood.
7. Indeed, in the last three decades, aquaculture has recorded a signifcant
andmostrapidgrowthamongtheIood-producingsectorsandhasdeveloped
intoagloballyrobustandvitalindustry.However,aquaculturealsohasbeen
shown at times to carry the potential to cause signifcant environmentally and
sociallyadverseimpacts.
8. Thus, the Nineteenth Session oI the FAO Committee on Fisheries
(COFI), held in March 1991, recommended that new approaches to fsheries
and aquaculture management embracing conservation and environmental, as
wellassocialandeconomic,considerationswereurgentlyneeded.FAOwas
asked to develop the concept oI responsible fsheries and elaborate a Code oI
ConducttoIosteritsapplication.
9. Subsequently,theGovernmentoIMexico,incollaborationwithFAO,
organized an International ConIerence on Responsible Fishing in Cancun
in May 1992. The Declaration oI Cancun, endorsed at that ConIerence, was
broughttotheattentionoItheUnitedNationsConIerenceonEnvironmentand
DevelopmentSummitinRiodeJaneiro,Brazil,inJune1992,whichsupported
the preparation oI a Code oI Conduct Ior Responsible Fisheries. The FAO
TechnicalConsultationonHighSeasFishing,heldinSeptember1992,Iurther
recommended the elaboration oI a code to address the issues regarding high
seas fsheries.
10. The One Hundred and Second Session oI the FAO Council, held in
November 1992, discussed the elaboration oI the Code, recommending that
prioritybegiventohighseasissuesandrequestedthatproposalsIortheCode
bepresentedtothe1993sessionoItheCommitteeonFisheries.
11. TheTwentiethSessionoICOFI,heldinMarch1993,examinedingeneral
theproposedIrameworkandcontentIorsuchaCode,includingtheelaboration
oIguidelines,andendorsedatimeIrameIortheIurtherelaborationoItheCode.
ItalsorequestedFAOtoprepare,onaIasttrackbasis,aspartoItheCode,
proposals to prevent refagging oI fshing vessels which aIIect conservation and
managementmeasuresonthehighseas.ThisresultedintheFAOConIerence,
at its Twenty-seventh Session in November 1993, adopting the Agreement
to Promote Compliance with International Conservation and Management
xi
Measures by Fishing Vessels on the High Seas, which, according to FAO
ConIerenceResolution15/93,IormsanintegralpartoItheCode.Itwasalso
recognized and confrmed that issues oI responsible aquaculture development
andaquaculturesustainabilityshouldbeaddressedintheIormulationprocess
sothatthesebeappropriatelycoveredintheenvisagedCode.
12. This implicit recognition oI the importance oI governance in
aquacultureisunderlinedinArticle9.1.1oItheCode,whichrequiresstates
toestablish,maintainanddevelopanappropriatelegalandadministrative
Iramework to Iacilitate the development oI responsible aquaculture.
In addition, at the beginning oI the new millennium, there is growing
recognition oI the signifcant potential Ior the use oI ocean and coastal waters
Iormaricultureexpansion.Theoutstandingissueinthisareaisthat,unlikein
capture fsheries, the existing applicable principles oI public international law
and treaty provisions provide little guidance on the conduct oI aquaculture
operations in these waters. Yet, experts agree that most oI the Iuture
aquaculture expansion will occur in the seas and oceans, certainly Iurther
oIIshore, perhaps even as Iar as the high seas. The regulatory vacuum Ior
aquacultureinthehighseaswouldhavetobeaddressedshouldaquaculture
operationsexpandthere.
13. TheCodewasIormulatedsoastobeinterpretedandappliedinconIormity
with the relevant rules oI international law, as refected in the 10 December 1982
UnitedNationsConventionontheLawoItheSea.TheCodeisalsoinlinewith
theAgreementIortheImplementationoItheProvisionsoIthisLaw,namely
the1995ConservationandManagementoIStraddlingFishStocksandHighly
MigratoryFishStocks.Itisequallyinlinewith,interalia,the1992Declaration
oICancunandthe1992RioDeclarationonEnvironmentandDevelopment,in
particularChapter17oIAgenda21.
14. ThedevelopmentoItheCodewascarriedoutbyFAOinconsultation
andcollaborationwithrelevantUnitedNationsagenciesandotherinternational
organizations,includingnon-governmentalorganizations.
15. The Code oI Conduct consists oI fve introductory articles: Nature
and scope; Objectives; Relationship with other international instruments;
Implementation, monitoring and updating; and Special requirements oI
developing countries. These introductory articles are Iollowed by an article
on General principles, which precedes the six thematic articles on Fisheries
management, Fishing operations, Aquaculture development, Integration oI
fsheries into coastal area management, Post-harvest practices and trade,
and Fisheries research. As already mentioned, the Agreement to Promote
xii
Compliance with International Conservation and Management Measures by
FishingVesselsontheHighSeasIormsanintegralpartoItheCode.
16. TheCodeisvoluntary.However,certainpartsoIitarebasedonrelevant
rules oI international law, as refected in the United Nations Convention on the
Law oI the Sea oI 10 December 1982. In capture fsheries, the Code also contains
provisionsthatmaybeorhavealreadybeengivenbindingeIIectbymeansoI
otherobligatorylegalinstrumentsamongtheParties,suchastheAgreementto
PromoteCompliancewithConservationandManagementMeasuresbyFishing
Vessels on the High Seas, 1993. In aquaculture, the provisions oI the Code
implicitly encourage participatory governance oI the sector, which extends
Irom industry selI-regulation, to co-management oI the sector by industry
representatives and government regulators and to community partnerships.
ComplianceisselIorenIorcedbypeerpressure,withindustryorganizations
havingtheabilitytoexcludethosewhodonotcomplyandgovernmentsonly
checkingperiodically.
17. The Twenty-eighth Session oI the ConIerence in Resolution 4/95
adoptedtheCodeoIConductIorResponsibleFisherieson31October1995.The
sameResolutionrequestedFAO,interalia,toelaborateappropriatetechnical
guidelinesinsupportoItheimplementationoItheCodeincollaborationwith
membersandinterestedrelevantorganizations.
18. The expanding role and increasing contribution oI aquaculture
to economic growth, social welIare as well as global Iood security was
recognized and reiterated at international levels such as the 1995 FAO/
JapanConIerenceontheContributionoIFisheriesandAquaculturetoFood
Security, the 1996 World Food Summit, the 1999 Ministerial Meeting on
Fisheries, the 2000 FAO/NACA (Network oIAquaculture Centres inAsia
and the Pacifc) ConIerence on Aquaculture in the Third Millennium and
its Bangkok Declaration and Strategy, and most recently, the 2009 World
SummitonFoodSecurity.
19. The application oI the ecosystem approach to fsheries and aquaculture
asstrategiesIorthedevelopmentoIthesectorcontributestotheimplementation
oI the provisions oI the Code, thereby enIorcing the technical, ecological,
economicandsocialsustainabilityoItheindustry.
1
1. INTRODUCTION
Thesetechnicalguidelinesontheecosystemapproachtoaquaculture(EEA)
are developed to support mainly Articles 9 and 10 oI the FAO Code oI
ConductIorResponsibleFisheries(CCRF).
ThemainobjectiveoItheguidelinesistoassistcountries,institutionsand
policy-makersinthedevelopmentandimplementationoIastrategytoensure
the sustainability oI the aquaculture sector, integration oI aquaculture with
othersectorsanditscontributiontosocialandeconomicdevelopment.
1.1 Theecosystemapproachtoaquaculture
Aquaculturegrowthworldwideinvariablyinvolves(withdiIIerencesamong
regionsandeconomies)theexpansionoIcultivatedareas,largeraquaculture
Iarms, higher density oI Iarmed individuals and the use oI Ieed resources
oIten produced outside oI the immediate area. Worldwide, aquaculture has
increasing social and economic impact through the production oI Iood,
contributiontolivelihoodsandgenerationoIincome.OtherpositiveeIIects
ontheecosysteminclude,Iorexample,theprovisionoIseedsIorrestocking
oI endangered or overexploited aquatic populations. However, when badly
managed, aquaculture can aIIect ecosystems Iunctions and services, with
negative environmental, social and economic consequences. Aquaculture
usuallyalsoIacesrisksIromotherhumanactivitiessuchascontaminationoI
waterwaysbyagricultureandindustrialactivities.
There have been important advances regarding the Iormulation oI
instrumentsandcodestoIacilitatesustainabledevelopmentoItheaquaculture
sector. These include the provisions inArticles 9 and 10 in the CCRF, the
development oI technical guidelines expanding on the scope and meaning
oI these articles (e.g. FAO, 1997) and other numerous guiding documents.
Countries worldwide are also attempting to implement a diverse array oI
aquacultureregulationstocontrolinadequatedevelopmentoIthesector.
Yetsomerelevantconstraintspersist,oItenincluding:
lack oI awareness and understanding oI ecosystem processes;
lack oI appropriate connection between ecological and social processes;
lack oI local institutions to agree upon appropriate standards and
mechanisms to uphold them Ior aquatic systems or Iarm groups;
lack oI institutions capable oI implementing more strategic
approaches;
the priority aIIorded to short-term interests by many business enterprises
and by the poor;
lack oI consideration oI relevant boundaries and a multiple-scales
approach, when appropriate; and
lack oI integrated multisectoral planning and management.
2
To address these issues, the FAO workshop Builaing an Ecosystem
ApproachtoAquaculture(Soto,Aguilar-ManjarrezandHishamunda,2008)
1

laid the Ioundations Ior the development oI the present guidelines and
proposed the Iollowing defnition:
An ecosystem approach to aquaculture (EAA) is a strategy for the
integration of the activity within the wider ecosystem such that it
promotessustainabledevelopment,equityandresilienceofinterlinked
social-ecologicalsystems.
Beingastrategy,theEAAisnotwhatwedobuthow we do it; and the
participation oI relevant stakeholders is at the base oI the Iormulation and
implementation oI the strategy. Figure 1 and Box 1 depict the changing
approach Irom the conventional to an ecosystem approach to aquaculture
emphasizingthewaywedothings.
The premise oI the ecosystem approach (EA) is in the Convention on
Biological Diversity (UNCBD, 1993), which defnes EA as a strategy Ior
theintegratedmanagementoIland,waterandlivingresourcesthatpromotes
conservationandsustainableuseinanequitableway.
Indeed, most oI the principles and practical steps oI EAA are not new.
TheEAAbuildsontheconceptualworkcarriedouttodeveloptheecosystem
approach to fsheries (EAF) (FAO, 2003, 2005), including the guidelines on
human dimensions oI the ecosystem approach to fsheries (FAO, 2008a), as
well as initiatives related to integrated natural resource management such
as integrated coastal zone management (ICZM) and integrated watershed
management (IWSM) and the planning and management Ior sustainable
coastalaquaculturedevelopment(e.g.GESAMP,2001).
TherequirementsandcriteriapresentedbelowontheimplementationoI
anEAAaretobebasedon,andinterpretedinaccordancewith,thecurrent
suiteoIagreedinternationalinstrumentsthatpertaintoaquaculture(Box2).
TheEAAalsoechoesthedevelopmentprinciplesstatedintheIormulation
oI the EAF. Both the EAA and EAF have three main objectives within a
hierarchicaltreeIramework:
1. ensuring human well-being;
2. ensuring ecological well-being; and
3. Iacilitating the achievement oI both, i.e. eIIective governance oI the
sector/areaswhereaquacultureoccursandhaspotentialIordevelopment.
The EAA is based on the principles oI sustainable development, where
sustainable is not restricted to ecological considerations, but includes
economic and social considerations and their interaction with ecological
1
This publication contains extensive background material and case studies related to EAA
(available at www.fao.org/docrep/011/i0339e/i0339e00.htm).
3
ones.BoththesocialandbiophysicalorecologicaldimensionsoIecosystems
aretightlylinked,sothatdisruptioninoneislikelytocauseadisruptionor
changeintheother.
The present EAA guidelines provide a common, coherent and practical
Iramework Ior policy-making and promote a process oI enhanced sectoral
management at diIIerent scales, taking Iull account oI environmental
limits and the interests oI other resource users and stakeholders.Although
the guidelines have a sectoral perspective, which is needed Ior practical
purposesrelatedtotheimplementationoItheapproach,theyarecongruent
with more general guidelines Ior integrated natural resources management,
Box1
Thecoreideasunderlyingtheecosystemapproach
Theecosystemapproach(EA)recognizesthat
humans are an integral part oI important ecosystems, and people
shouldbeatthecenteroIbiodiversitymanagement.Thisimpliesthe
need Ior integrated, participatory approaches in the identifcation oI
issuesandIurtherintoecosystemmanagement.
ecosystems provide services that underpin most human activity, and
thatweneedtoensurethatwedonotthreatenthesustaineddelivery
oItheseservicesthroughdamagetoecosystemIunctions.
given our ignorance oI the Iunctioning oI these highly complex
systems,thereisaneedIoraprecautionaryandadaptiveapproach.
some activities threaten or reduce the quality oI ecosystem services
availabletosocietyatlargeandthereIorerepresentacostthatshould
beaccountedorinternalized.
waste products Irom one activity or sector may serve as inputs to
another, thus enhancing productivity and reducing pressure on
ecosystemIunctionsandservices.
ecosystems Iunction at a range oI scales Irom highly local to global,
andwethereIoreneedanestedapproachwithdiIIerentapproaches
tomanagementaccordingtoscale.
there is a need Ior analysis and understanding oI the broader social,
economicandenvironmentalimplicationsoImeetingtargetsandIor
transparency oI decision-making in relation to trade-oIIs between
social,economicandenvironmentalobjectives.
Modifed Irom Hambrey, Edwards and Belton (2008).
4
Box2
Principles,instruments,globalandnationalagreements,
regulationsandcodesofpracticerelatedtothesustainable
developmentoftheaquaculturesector
Aquacultureshould:
RecognizethesovereignrightsoIStatesandcomplywithall
relevantlocal,nationalandinternationallawsandregulations.
Beconsistentwithrelevantinternationalagreementsand
conventions,inparticular:
The United Nations Convention on the Law oI the Sea
(UNCLOS,1982)
2
The Convention on Biological Diversity (UNCBD, 1993)
The FAO Code oI Conduct Ior Responsible Fisheries (CCRF),
especiallyArticles9and10(FAO,1995)
The rules oI the World Trade Organization (WTO), notably the
AgreementontheApplicationoISanitaryandPhytosanitary
(SPS)
3
MeasuresandtheAgreementonTechnicalBarriersto
Trade(TBT)
The FAO/World Health Organization (WHO) Coaex
Alimentarius(FAO/WHO)
4
World Organisation Ior Animal Health (OIE) Aquatic Animal
HealthCode12
th
edition(OIE,2009)
The labour standards oI the International Labour Organization
(ILO)
The Convention on Wetlands oI International Importance
especiallyasWaterIowlHabitat(RamsarConvention)
Agenda 21 (Rio Earth Summit, 1992)
BeconsistentwiththeIollowingdocuments
Aquaculture development; FAO Technical Guidelines Ior
ResponsibleFisheries.No.5(FAO,1997)
Aquaculture Development Beyond 2000: The Bangkok
DeclarationandStrategy(NACA/FAO,2000)
The International Principles Ior Responsible Shrimp Farming
(FAO/NACA/UNEP/WB/WWF,2006)
Expert consultation on improving planning and policy
developmentinaquaculture(FAO,2008b)
2
See www.un.org/Depts/los/convention_agreements/texts/unclos/closindx.htm
3
See www.wto.org/english/tratop_e/sps_e/spsagr_e.htm
4
Available at ftp://ftp.fao.org/codex/Publications/understanding/Understanding_EN.pdf
5
integratedwatershedandriverbasinmanagement,andintegratedcoastalzone
management.Practitionersareencouragedtoselect,modiIyandcontinuously
adapt their own approaches and tools to specifc circumstances.
1.2 Aim
The prime goal oI EAA is to overcome the sectoral and intergovernmental
IragmentationoIresourcesmanagementeIIortsandtodevelopinstitutional
mechanisms Ior eIIective coordination among various sectors active in the
ecosystemsinwhichaquacultureoperatesandbetweenthevariouslevelsoI
government.
ThetwooutcomesoIthisshouldbe:
(i) atrulysustainableaquaculturesector(environmentally,
economically, socially); and
(ii) changeinthepublics(understoodasbroadlyaspossible)attitude
andperceptionoIaquaculture.
1.3 Keyprinciples
Asthestrategytoensureaquaculturecontributespositivelytosustainable
development, the EAA should be guided by three main interlinked
principles:
Principle1
Aquaculture aevelopment ana management shoula take account of the
full range of ecosystem functions ana services, ana shoula not threaten
thesustaineaaeliveryofthesetosociety.
Developing aquaculture in the context oI ecosystem Iunctions and
services is a challenge that involves defning ecosystem boundaries
(at least operationally), estimating some assimilative and production
carryingcapacities,andadaptingIarmingpracticesaccordingly.Themix
oI ecosystem services will depend on wider management practices and
the trade-oII among diIIerent services must be acknowledged. This is
especiallyimportantinthecaseoIecosystemIunctionsthatareunique,
essentialorthreatenedtoensuretheirpreservation.
Principle2
Aquacultureshoulaimprovehumanwell-beinganaequityforallrelevant
stakeholaers.
This principle seeks to ensure that aquaculture provides equitable
opportunities Ior development and equitable sharing oI its benefts. This
includes ensuring that it does not result in any undue detriment Ior any
groupswithinsociety,especiallythemostvulnerable.BothIoodsecurity
andsaIetyaretobepromotedaskeycomponentsoIwell-being.
6
Principle3
Aquacultureshoulabeaevelopeainthecontextofothersectors,policies
anagoals.
This principle recognizes the interactions between aquaculture and the
larger system, in particular, the infuence oI the surrounding natural and
socialenvironmentsonaquaculturepracticesandresults.Thisprinciple
alsoacknowledgestheopportunityoIcouplingaquacultureactivitieswith
other production sectors to promote materials and energy recycling and
betteruseoIresourcesingeneral.
Principle 3 is a call Ior the development oI multisectoral or integrated
planningandmanagementsystems.However,weshouldmakeclearthatthis
principle mostly applies to those aspects that are within the ability oI the
aquaculturesectortochangeormodiIy.

..
Ecosystem
approach
Multiple objectives
Interaction with other sectors
Multiple (nested) scales
Adaptive
Extended knowledge
Incentives
Public/Transparent
Participatory Top-down
One objective: production
Sectoral
Farm scale (most common)
Predictive
Scientific knowledge
Prescriptions
Corporate
Sectoral
Predictive
Prescriptions
Corporate
Conventional
approach
Figure1
Thetransitionfromaconventionalapproachtoanecosystems
approachtoaquaculture
Modifed Irom FAO (2005).
7
2. THEEAAINPRACTICE:PREPARATIONANDINITIATION
2.1 Where does EAA t in a typical aquaculture development planning
processandwhenshoulditstart?
Theecosystemapproachtoaquacultureasastrategyshouldbethemeans
to achieve or Iulfll a higher policy level (see Box 3) that refects relevant
national,regionalandinternationaldevelopmentgoalsandagreements.
TheagreedpolicycouldstatesomethinglikeAquacultureshouldpromote
sustainabledevelopment,equityandresilienceoIinterlinkedsocial-ecological
systems(asdescribedinSection1.1).Achievingsocialandeconomicwell-
being through aquaculture may have environmental costs (as does any other
Ioodproductionsystem),anditisnecessarytoconsidersuchtrade-oIIs.
The policy also defnes the roles oI the government, the private sector and
oIproducersorganizationsinachievingthesegoals.
AstrategyisusuallybuiltaroundpracticalobjectiveaxesoIdevelopment,
chosenbyrelevantauthoritiesandstakeholders.Theseaxesusuallyconsist
oI 'technical objectives (e.g. related to specifc Iorms oI aquaculture) and
cross-cutting objectives (e.g. related to institutional strengthening, capacity
building,researchenhancement,etc.)asdeemedappropriatetoachievethe
policygoals.
Box3
Planningandpolicyconcepts
The expert consultation on planning and policy development Ior
aquacultureproposedthat:
An aquaculture policy consists oI a broad vision Ior the sector,
refecting its directions, priorities and development goals at various
levelsincludingprovincial,national,regionalandinternational.
AstrategyrepresentsaroadmapIortheimplementationoIapolicy
and contains specifc objectives, targets and instruments to address
issueswhichmightstimulateorimpedethecomparativeadvantage
oI the sector and obstruct its development. The EAA fts here.
ImplementinganEAAcanbeanobjectiveunderacountrysstrategy
to achieve a desired (higher level) policy goal (e.g. to develop
environmentallysustainablecoastalaquaculture).
An action plan represents a road map Ior the implementation oI a
strategy, that is, to achieve its objectives and implement strategy
instruments. It is time-bound, contains specifc programmes and
activities,anddetailstheresourcesrequiredtoachievethem.
Source:FAO,2008b.
8
To implement the strategy successIully, it is necessary to translate the
relevantpolicygoalsintooperationalobjectivesandactions.Twoelementsare
Iundamentalthroughouttheprocess:(i)tocollectandusethebestavailable
inIormation; and (ii) to have broad stakeholder participation. The process,
stepsandpotentialstartingpointIorEAAaredescribedinFigures2and3.
2.2 Scoping
2.2.1 Depnition of system boundaries and relevant stakeholders
There is a need to defne the ecosystem boundaries in space and time when
attemptingtoimplementtheEAA.Thisisanecessaryexercise,includingthe
decisiononwhetherplanningandimplementationoIthestrategywillcover
the whole aquaculture sector oI a country/region, or (more typically) will
address an aquaculture system or aquaculture area in a country/subregion.
ThereIore,thereshouldalsobeageneralobjectiveorpurposetobeaddressed
at the defned scale.
Theecosystemboundariesaredelineatedongeological,physico-chemical,
biologicalandecologicalgrounds,whilesocio-economicandadministrative
C
o
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s
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l
t
a
t
i
o
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i
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s
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o
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o
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i
t
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s
t
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s
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a
v
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a
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k
n
o
w
l
e
d
g
e
Scoping and definition of the
ecosystem boundary
(spatial, time and political scales
)
High-level policy goals
Identify key issues
Prioritize key issues
Develop an implementation
plan
1 -5 year ? 1 to 5 years
Implement and enforce
Monitoring and evaluation
Long-term policy review
Define operational objectives
Figure2
EAAplanningandimplementationprocess
Source:APFIC,2009.
9
boundaries outline the management area. The closer the correspondence
between the ecosystem limits and management areas, the more likely it is
that there will be a high level oI harmonization across planning structures.
However,theseboundariesdonotusuallycoincide.Forthisreason,aclear
mapping oI areas oI correspondence and gaps is needed. The defnition oI
theecosystemboundariesisalsoneededtoidentiIytherelevantstakeholders
and to address the diIIerent issues (Aguilar-Manjarrez, Kapetsky and Soto,
2010).
2.2.2 Spatialscales
Farmscale
TheindividualIarmiseasytolocateandidentiIy,andlocaleIIectsareoIten
easytoassess,althoughincageaquaculture,especiallyinopenecosystems
suchasopenseas,itmaybechallengingtoestablishtheboundaryoIpotential
eIIects. Most management practices are developed Ior this scale and most
top-downregulationmeasures,suchastheenvironmentalimpactassessment
(EIA), worldwide apply at this scale. Also better management practices
(BMPs)areimplementedandcanbeassessedatthislevel.
EAA context
EAA context
Policy
EAA
Action Plan
EAA
Implementation
EAA
Monitoring
and evaluation
Potential
starting point
Potential
starting point
Potential
starting point
Potential
starting point
Figure3
WhenshouldEAAstart?Thiscanhappen...atanypoint
10
Escapees and diseases originating Irom aquaculture operations can be
prevented/controlledattheIarmscale,althoughtheireIIectsusuallyoccurat
thenextspatialscale,thewatershed.
TheIarmlevelisalsotheIocalpointIorecosystemimpactsonaquaculture.
Culturedspeciesaresensitivetowaterqualityandarevulnerabletodamage
inficted by other users oI the waterbody. Thus, issues such as pollution Irom
urban areas, agricultural runoII and industry; predation; and damage Irom
boats, capture fshing and other waterborne gear are highly relevant at the
Iarm level, and protective measures, including pollution regulation, spatial
planningandinsurance,areimportant.
Stakeholders at this scale are usually Iarm owners, workers, Iamily
membersandlocalinhabitants.
Thewatershea/aquaculture:oneanageographicregion
ThisgeographicalscaleincludesaclusteroIIarmsmoreorlessaggregated
(an aquaculture zone) that share a common waterbody and that need a
coordinatedmanagement.
While the environmental and social impacts oI a single Iarm might be
marginal, more attention needs to be paid to the potentially cumulative
ecosystem eIIects oI collectives or clusters oI Iarms and their aggregates
at watershed/zone scale, Ior example, eutrophication as a consequence oI
excessivenutrientoutputs.
EscapeoIalienspeciesoraliengenotypestakesplaceattheIarmlevel.
However, relevant impacts on biodiversity oIten occur throughout entire
watersheds. Similarly, disease outbreaks take place frst at the Iarm level,
but oIten need control, management and mitigation at the watershed scale.
Similarly,iIthedirectionoIpathogentransIerisIromthewatershedtothe
Iarm,detectionandmanagementmustincludethewatershedscale.
Stakeholders and relevant institutions include clusters oI Iarms/Iarmers;
watershed management bodies; fshers; commercial fshing representatives;
agriculture associations; agriculture, industry and other interacting sectors;
aquaculturists; local communities; local authorities; servicing entities
(transport, local dealers etc); research and training institutions; etc. The scale
atwhichtheseentitiesoperatewilldependonthenatureoItheissues.
Whenthewatershedboundariesgobeyondpoliticalboundaries,diIIerent
authorities (or, in some cases, even diIIerent countries) will need to be
involved.TheFAORegionalFisheryBodies
5
canplayanimportantrolein
thisrespect,astheycanprovidethepoliticalplatIormIortheimplementation
oI the EAA. Examples oI large common waterbodies/ecosystems where
5
%$")(/%)$%+$*---%%(3)(/()($
11
aquaculture is expanding are the Mediterranean Sea, the Mekong Delta in
Asia,theVoltaBasininAIricaandtheAmazonBasininSouthAmerica.
Largemarineecosystems(LMEs)andmarineprotectedareas(MPAs)are
alsorelevantecosystemscales.
Globalscale
TheglobalscalereIerstotheglobalindustryIorcertaincommodityproducts
(e.g. salmon, shrimp, catfsh) and also to global issues such as production, trade
oI fshmeal and fsh oil Ior Ieeds, trade oI aquaculture products, certifcation,
technological advances, research and education oI global relevance, etc. OI
particular importance is the supply oI fshmeal and fsh oil in some areas oI the
world that are Ieed ingredients Ior fsh and shrimp production in other areas.
ThismeansthatresourcesandenergyaremovingbetweendiIIerentregionsoI
theworldwithunexpectedconsequences.ThesustainabilityoItheseresources
isparticularlyimportantIorthelong-termsustainabilityoIaquaculture.
GlobalissuescanbebettertackledbyorganizationssuchasFAO,theWorld
Organisation Ior Animal Health (OIE) and the World Trade Organization
(WTO)viaseekingactionandcoordinationbetweengovernments.
Consumersworldwidearethemainstakeholdersatthisscale.
ThemostcommonspatialscalesaredescibedinFigure4.
2.2.3 1emporalscales
AquacultureisaIIectedbyexternalIorcingIactorsordriverssuchaspopulation
growthanddevelopment,globaltradeandclimatechange,andtheseaIIectthe
interactionsoIaquacultureandtheecosystematallthescalesandwithatemporal
dimensionaddingtouncertainty.ItisthereIorenecessarytoapplyaprecautionary
approachduetounknownecosystemthresholdorresilience,includingthehuman
components.ThereIore,timescalesarerelevantinstrategyandplanning.
2.2.4 Politicalscales
An aquaculture zone or aquaculture regional level is a scale that may go
beyond national boundaries and require transboundary political will to
implement the EAA.The concepts oI coastal zone, oIIshore and open-seas
aquaculture, and watershed management may require creative approaches
and political willingness oI diIIerent administrative entities where water-
bodies are shared and the physical boundaries do not coincide with the
administrativeboundarieswithinacountryorregion.
2.3 Stakeholder and issue identication analysis
2.3.1 Stakeholder identipcation
Once the system boundary has been defned, it is possible to start identiIying
all the relevant stakeholders. There are basic guidelines Ior the identifcation
12
oIstakeholders.
6
Forexample,stakeholdersrelatedtoaquacultureincoastal
mangroveareasmayinclude:localaquacultureIarmersandtheircommunities,
local fshers, fsheries and aquaculture authorities, environmental non-
governmental organizations (NGOs), environmental institutions, tourism
agencies and institutions, organizations associated with the use oI coastal
inIrastructure,researchinstitutions,etc.(seeBox4Iorasimpleguide).
2.3.2 Identipcation of issues
Proper identifcation oI issues requires:
(a)involving the relevant stakeholders Ior the selected system, within the
geographical scale and boundaries defned in the scoping process;
(b)having adequate background inIormation available to all these relevant
stakeholders; and
(c)establishing a Iacilitation process that includes a neutral Iacilitator or
Iacilitationsystem.
6
See www.canari.org/docs/guidelines5.pdf
The farm
The waterbody and its
watershed/aquaculture zone
The regional/global
market-trade scale
Figure4
RelevantgeographicalscalesforanEAA
13
Box 5 provides a set oI questions that can be used in the identifcation oI
issueswithstakeholders.
Box4
A guide to stakeholder identication in aquaculture activities
Criteriaforselectionofstakeholders:
those who have suIfcient political clout to draw in oIfcials with the
public authority to make the decision;
thosewhohavelegalstandingandthereIorethepotentialtoblocka
decision;
those who control resources (or property rights) necessary Ior
implementation oI a decision;
those who may not be suIfciently organized to pose a relevant threat
today, but who may in the near Iuture; and
thosewhoholdnecessaryinIormation.TherangeoInecessarytypes
oIinIormationcanbequitebroadandcomplexissuesoItendealwith
phenomenaaboutwhichdataarelimitedorprivatelyheld.Including
partieswhomayhaveaccesstosuchinIormationmaybeessentialto
developingwiseandstabledecisions.
Accordingtotheabovecriteria,stakeholderscouldinclude:
fsh Iarmers and aquaculturists in general;
capture fshers;
local communities and/or businesses reliant on processing,
marketing, transport and other activities associated with fsheries and
aquaculture;
authorities (local, regional, national, other);
tourism (may need to treat local and international as distinct);
environmentalists;
scientists;
homeowners;
recreational users;
other enterprises directly using the river, lake or reservoir, coast or
marine body (e.g. marinas, ports, shipping, wind Iarms);
otherenterprisesindirectlyusingthecoastormarinebody(urbanand
industrial consumers oI waters, polluters, etc.); and
Ioodandhealthauthorities.
Modifed Irom Shmueli (2009).
14

2.3.3 Cathering/preparationofcomplementaryinformationonthesocio-
economiccontextofaquaculturedevelopment
GatheringrelevantinIormationbothIromthestakeholdersanalysisandIrom
relevant documents (Iormal publications, institutional documents, etc.) is
essential to ensure that issues are clearly identifed.
The socio-economic dimensions oI aquaculture can be classifed as:
(a) those accruing directly to the enterprise;
(b) those accruing to the wider economy; and
(c)thosethatincludearangeoIenvironmentalandsocialeIIects.
Box5
Identication of issues with relevant stakeholders
AstakeholderanalysistoidentiIyissuesinthecontextoItheEAAwill
aimatansweringquestionssuchas:
WhatarethecurrentandIutureinterestsoIthevariousstakeholders
intheuseandmanagementoItheresource(coastalarea,Ireshwater
use,etc.)?
Whataretheirneedsandexpectations?
How do they use the resource and what benefts do they derive Irom
it?
What are their past and current power, rights and responsibilities
(bothIormalandinIormal)?
WhatarethenetworksandinstitutionsoIwhichtheyarepart?
What are the social and environmental impacts, both positive and
negative,oItheirpastandcurrentusesoIandrelationshipswiththe
resource?
How is this relationship changing or being modifed due to the
aquaculturepractices?
Howreadyandwillingaretheytoparticipateinandcontributetoan
integratedmanagementapproach?
What are the potential areas oI agreement and shared interest upon
whichconsensusandcollaborationcanbedeveloped?
What are the human, technical and fnancial resources that they are
preparedtocontributetoanintegratedmanagementprocess?
Modifed Irom the Caribbean Natural Resources Institute (2004).
15
Geographicalscale
At the enterprise and Iarm level, the main contributions to human well-
being include the fnancial returns to the aquaculture Iarmer or investor,
employment benefts to the Iarming household or to those working on the
Iarm, and benefts related to Iood supply and saIety Ior direct consumers oI
theIarmsproducts.AquaculturecontributestowardsthenutritionalneedsoI
awidecross-sectionoIhumanpopulations.
However,ingeneral,themajorcontributionsoIaquaculturetowardsthe
improvementoIhumanwell-beingareIoundinthewidereconomyandthe
sector as a whole. Here, job creation and investment opportunities involve
frms/entities that supply the fsh Iarms and that are involved in processing,
marketing,salesandtransport.
Fooasecurity
ReliabilityoIsupplyandproductqualitygainimpetusattheaquaculturezone
scale because the magnitude oI operations needed to sustain the upstream
anddownstreamsectorsisbeyondthecapacityoIasingleIarm.Theextent
to which the benefts Irom the Iarm, sector or multiple sectors beneft local
people(includingpoorandvulnerablecommunities)dependsontheextent
towhichlocalinterestsareinvolved.Ingeneral,wheninvestorsarenotlocal,
many benefts are exported.
Diversihcation of livelihooas
One oI the most important benefts oI aquaculture development lies in its
potential to diversiIy economic activities at the household, community,
nationalandregionallevels.Thisincludeson-IarmactivitiesaswellasoII-
Iarmemployment,e.g.labouronaquacultureIarmsandnon-Iarmemployment
ininputsupplyandmarketingchains,processingIacilitiesandmanagement.
SuchinIormationmustbeincluded.
Small-scale aquaculture involves Iamily labour, allowing Ior Iuller
utilizationoIavailablehumanresourceswithinthehousehold.Theimpacton
socialresiliencewithinacommunitywilldependonwhetherhiredworkers
arelocalresidentsoroutsiders.
Interactionswithothersectorsanaopportunitycosts
Interaction oI aquaculture with stakeholders Irom other sectors can be
synergistic, neutral or confictual. For example, poorly managed aquaculture
thatpollutesawaterbodyimposescostsintermsoIhumanhealth,restoration
or fnding an alternative source oI clean water. Similarly, iI aquaculture and
other sectors are in confict, there will be trade-oIIs, the nature oI which will
dependonexistinglocalprioritiesandgovernancestructures.
16
The EAA requires that all the social costs and benefts be assessed as
comprehensively as possible, taking into consideration the costs and benefts
oIotheralternativeactivities.AnEAAimplieslookingattheeconomicsoI
aquacultureproductionIromabroadersocialandenvironmentalperspective
in order to identiIy production situations that bring a positive net beneft to
society.
2.3.4 Aquaculture issues effects on the ecosystem and effects of other
ecosystemcomponentsandexternaldriversonaquaculture
It is advisable to distinguish ecological, socio-economic and ability to
achieve type oI issues (Figure 5). An ecological assessment can provide
inIormation on ecological issues related to the aquaculture process,
considering inputs, resource use and outputs (Figure 6). OIten these issues
havearelatedsocialproblem.Thiscouldbeacauseoraconsequence,and
most oI the time aIIects local communities, although it could also have
national consequences; thereIore, a parallel assessment oI the socio-economic
well-beingisadvisable.
Also in most cases, ecological and socio-economic issues have a root
causeintheabilitytoachieve,whichincludesgovernanceandinstitutional
Iactors.TypicalabilitytoachieveorrootcausesincludelackoIadequate
knowledge, lack oI training, insuIfcient legislation Irameworks, lack oI
enIorcement, problems with user rights, etc. Examples oI detailed tree-
issues,asshowninFigure5,canbeIoundIorEAFinFAO(2003)andIor
EAF/EAAinAPFIC(2009).
Aquaculture
Ecological
assessment
Socio-economic well-being
assessment
Ability to achieve
assessment
Inputs and
resource use
Outputs
Local
communities
National
Governance
Impact of
the external
environment
Figure5
Assessingecological,socio-economicandabilitytoachieve
issues
17
2.3.4.1 Ecologicalanasocio-economicwell-beingissues
ExternalIorcingIactorsshouldalsobeconsideredunderabilitytoachieve,
Ior example, catastrophic events, climate change impacts, sudden changes
ininternationalmarkets,etc.WithintheexternalIorcingIactors,weinclude
theeIIectsoIotherusersoIaquaticecosystemsonaquaculture,Iorexample,
agriculture and urban pollution oI aquatic environments with damaging
eIIectsonaquaculture.
AgoodapproachtoidentiIyaquacultureissuesistoIocusonthediIIerent
steps in the production process, including upstream and downstream (such
as post-harvest) aspects, and attempt to fnd the root causes as explained
above.Aquacultureasaproductionprocessmayrequireland/seaareaaswell
as water and specifc inputs, including labour, to produce expected outputs
suchasIoodandincome,togetherwithunwantedoutputssuchasnutrients
orchemicals.IssuesaIIectingecologicalandsocio-economicwell-beingcan
be associated with the main parts oI the process as shown in Figure 6.As
explained earlier, issues are identifed within a specifc scale and ecosystem
boundary.
Ecological and
socio-economic well-being
Inputs Resource use Outputs
Seeds
Feeds
Energy
Water
Land, sea
space
Food
Seeds
Organic matter
Genes
Parasites
Chemicals
Coastal
habitats
Infrastructure
Labour
Income
Escapees
Figure6
Schematictreetoidentifyissuesoftheecologicaland
socio-economicnaturerelatedtodifferentpartsofthe
aquacultureproductionprocess
18
Negativeeffectsofaquaculture
AssummarizedinFigure5,thenegativeeIIectsoIaquacultureoIteninclude
(frst-order impacts):
increasing demands on fsheries Ior fsh meal/oil, major constituents oI
carnivorous/omnivorous species Ieeds;
unsustainable demand Ior wild seed or juveniles Ior Iattening (e.g.
shrimp and tuna respectively);
alterationoIinlandandcoastalhabitatsIortheconstructionoIponds
and aquaculture systems (e.g. shrimp Iarming in mangrove areas);
nutrientandorganicenrichmentoIrecipientwatersresultinginbuild-
up oI anoxic sediments and modiIying benthic communities;
eutrophication oI waterways, lakes and coastal zones;
release oI chemicals used to control water conditions and diseases;
competition Ior and, in some cases, depletion oI resources (e.g. water);
negativeeIIectsIromescapedIarmedorganisms(oItenmorerelevant
when exotics are involved);
restructuring oI biological and/or social environments; and
unIairdistributionoIincometosmallIarmersand/ortolabourers.
Second-order impacts should also be considered, especially as they can
negatively alter the livelihoods oI downstream stakeholders, Ior example,
whentheconstructionoIshrimppondsalterhabitats,therebymodiIyingthe
ecosystem and with it the local fsheries it supports and the livelihoods oI
local fshers.
Usually direct impacts are oI greater concern; nevertheless, indirect
impacts can also be relevant and could also have opposing eIIects. For
example,lookingattheinputsandattheFeedsboxinFigure6,acommon
issue in some regions is the use oI trash fsh and/or small pelagics to Ieed
Ireshwater and marine carnivorous species, which could have a negative
impactonthesmallpelagicstocks(Figure7a),anecologicalissue.However,
many small-scale artisanal fshermen live on these fsheries and beneft Irom
thepricepaidIorthisIeed,andsothereisapositivelivelihoodeIIectwhen
they do not have other choices (Figure 7b). On the other hand, an indirect
negative eIIect oI such an aquaculture-driven fshery could be impacts on
wild predator species that live on these pelagic fsh. ThereIore, the EAA must
considersucheventswithinagreedtimescales,particularlyatthewatershed
scale.
Positiveeffectsofaquaculture
Themostimportantsocio-economicpositiveeIIectsoIaquacultureIallinto
the categories oI Iood, income and livelihood diversifcation. An ecosystem
approach to the sector should ensure that such positive eIIects are not
overriddenbynegativeimpactsintheshort,mediumandlongterm.
19
Figures8and9describethemostcommonaquacultureissuesasimpacts
related to the production process and aIIecting environmental and social
well-being; positive and negative eIIects are included. The appendix contains
alistoIthemostcommonaquacultureissuesrelatedtoinputs,resourceuse
andoutputsattheIarm,thewaterbodyandtheglobalscales.
2.3.4.2Effectsofexternalcomponentsonaquaculture
As explained above, root causes and ability to achieve issues can be
outsidethesector.
Pollution
Aquaculture relies on the productivity oI a given waterbody as well as on
artifcial rearing Iacilities with adequate and suIfcient Iertilization and/or
Ieeding,soyieldsareultimatelydeterminedbyenvironmentalconditionsas
wellasculturetechniques.IncreasinglevelsoIpollutionoIaquaticresources
have a negative eIIect on aquaculture productivity, product saIety and
proftability. Pollution can be in the Iorm oI increased nutrient output (e.g.
domesticsewage,agriculturalandlivestockrunoII)leadingtoeutrophication
and possibly to algal blooms or red tides, heavy metals, polychlorinated
biphenyls(PCBs),etc.
Climatechange
Climate change can aIIect aquaculture production through changes in
seasonalityoIweatherpatterns,increasingsealevel,warmingandincreased
extreme events leading to unpredictable production. Most aquaculture is
undertakeneitherinIreshwaterorinthemarinecoastalIringe,bothoIwhich
aresusceptibletoclimatechange.
Seed
Feeds for
carnivorous fish
(small pelagics
and/or trash fish)
Energy
impacts
on pelagic
wild stocks
-
impacts
on pelagics
predators
-
Seed
Feeds for
Carnivorous fish
(small pelagics
and/or trash fish)
Energy
impacts
on artisanal
fishermen
+
impacts
on fisheries of
predatory species
-
Seeds
Energy
-
-
Seeds
Feeds for
carnivorous fish
(small pelagics
and/or trash fish)
Energy
impacts
on artisanal
fishermen
+
-
Figure7
ExpansionoftheboxFeedsinFigure6toexplain(a)ecological
and(b)socialissues
(a) (b)
Note:Negative(-)andpositive()eIIects.
20
Unlike most terrestrial animals, all cultured aquatic species are
poikilothermic, meaning their body temperatures vary with the ambient
temperature. ThereIore, climate change-induced temperature variations
will have a much stronger impact on aquaculture activities and on their
productivityandyieldsthanonlivestock.
Climate change could also alter wild fsheries upon which aquaculture is
particularly dependent Ior production oI fshmeal and fsh oil and Ior capture-
basedaquaculture.
Thus climate change must be considered as a potentially relevant
externalelementaIIectingaquaculturesectorperIormanceanddevelopment
(Cochraneetal., 2009); thereIore, preparedness and adaptive measures must
beinplace.
2.4 Prioritizationofissues
A large number oI issues can be identifed Ior aquaculture but their importance
variesgreatly.Consequently,itisnecessarytohavesomewayoIprioritizing
themsothatthosethatrequireimminentmanagementreceivemoreimmediate
attentionwithinaplanoIaction.
Water
Land and
coastal
habitats
Seeds Feeds
Excessive water
use in ponds
Land salinization
Habitat
degradation
(e.g. mangroves
Biodiversity
losses
Diminished
water flows
Biodiversity
losses
Productivity
declines
Impacts on
local communities
and other users
Protection
services lost
Impacts on
local communities
and other users
Overfishing of
wild seeds
Bycatch of other
organisms
Biodiversity
losses
Productivity
declines
Impacts on
local communities
and other users
Overfishing of
wild feeds
(e.g. trashfish)
Overfishing of
wild pelagics
for fishmeal
Productivity
declines
Impacts on
local and global
fisheries, local
and global
stakeholders
-
-
-
-
Fishery of
seeds and
feeds
+
Alternative
livelihoods
Impacts on
local
communities
and other users
-
+
Productivity
declines
Most common impacts of aquaculture inputs and
resource use
Figure8
Examplesofcommonissuesandimpactsrelatedtoaquaculture
inputsandresourceuse
Note:Positive()andnegativeimpacts(-).
21
To determine the priority oI issues and thereIore the appropriate level
oImanagementresponse,theprocessshouldusesomekindoIriskanalysis
method.
Dehning ha:aras ana estimating risks
It is important to defne the concept oI hazard in aquaculture. This would
be a physical agent or event having the potential to cause harm or to
impair the ability to achieve a higher level objective. These oIten include:
a biological pathogen (pathogen risk); an escaped aquatic Iarmed organism
(genetic risk, ecological risk, invasive alien species risk); a chemical, heavy
metal or biological contaminant (Iood saIety risk); excess organic matter
(environmental or ecological risk); the loss oI a captive market (fnancial or
socialrisk).
All risk assessment methods work by assessing the probability oI not
meetingthedevelopmentalobjectives(seeSection2.5below).
Most common impacts of aquaculture Outputs
Food
+
seeds
Alternative to
fishing
+
Excessive
nutrients
Organic matter
Escape of
farmed
organisms
(and parasites)
Restocking
May enhance
fisheries
productivity
Chemicals
Eutrophication
Deterioration
of benthic habitats
Biodiversity
losses
Predation and
competition
with wild fish
and genes
Biodiversity
losses
Productivity
decline
Transmission
of diseases
Food
Security
Impacts on
local
communities
Productivity
decline
Impacts on
local fisheries and
communities
Biodiversity
losses
Productivity
decline
Impacts on
local fisheries
and communities
_ _ _
Income
Livelihoods
development
Impacts on
local fisheries
and communities
+
May enhance
biodiversity
productivity
Impacts on
local
communities
Figure9
Examplesofcommonissuesandimpactsrelatedtoaquaculture
outputsandresourceuse
Note:Positive()andnegativeimpacts(-).
22
AriskanalysistypicallyseeksanswerstoIourquestions:
Whatcangowrong?
Howlikelyisittogowrong?
WhatwouldbetheconsequencesoIitsgoingwrong?
Whatcanbedonetoreduceeitherthelikelihoodortheconsequences
oIitsgoingwrong?
Whicheverriskassessmentmethodisused,itmustincludeappropriately
detailed justifcations as to the levels oI risk chosen (high, medium, low, etc.).
OIten,whenthereisnotenoughinIormationorexpertiseonriskassessment,
stakeholdersqualitativelocalknowledge-basedassessmentscanbeused.
ThisallowsotherpartieswhowerenotpartoItheprocesstobeableto
see the logic and assumptions behind the decisions that were made. It also
helpswhenreviewingtheissuesometimeintheIutureunlessweknowwhy
wechosethelevels,itwillbehardtoknowiIanythinghaschangedthatmay
requireashiItintherisklevelsandthereIoremanagementactions.Thisalso
assistsinunderstandingtheknowledgegapanalyses/uncertainties.Bondad-
Reantaso, Arthur and Subasinghe (2008) and Arthur et al. (2009) provide
extensive inIormation on risk analysis in aquaculture. GESAMP (2008)
also provides good guidance on environmental risk and communication in
aquaculture.
TheprecautionaryprincipleshouldbeusedwheneverinIormationisnot
availabletomakeaIullyinIormeddecision.
2.5 Establish/dene overall objectives and operational objectives
On the basis oI the defned objectives, a plan to achieve them can be established
(thisenablestheimplementationoItheEAA).
Theoverallobfective(goal)oItheEAAistomaketheaquaculturesector
more sustainable. The EAA should promote ecologically and socially
responsible planning and management oI aquaculture as an integral part oI
a community and a region. It should allow integration oI aquaculture (and
reduce confict) with other sectors and users sharing the same resources. The
meanstoachievethisshouldinvolveaparticipatoryprocessIorplanningand
managementwithlocalcommunitiesandotherstakeholders.
Operational obfectives will depend on the chosen priorities and will be
context and situation specifc. However, the targets to be achieved should
be consistent with the overall objective and should stem Irom a thorough
understanding oI the developmental context and developmental options,
and an exchange oI inIormed opinion between all stakeholders. However,
reaching a consensus may prove diIfcult and may require resorting to 'hard
choices(Brugereetal.,2010).
23
It is essential that objectives are achievable, and that progress toward
themismeasurable.Thisimplies,Ioreachobjective:
agreed criteria (e.g. nutrient concentration, eutrophication level, new
livelihood opportunities) Ior measuring progress or assessing impact;
and
specifc targets or standards (social, economic, environmental) to aim
Ior over a specifed time Irame.
ThesetargetsandstandardswillserveastheagreedbasisIor:
rationalandconsistentsocial,economicandenvironmentalassessment
oI alternative activities to aquaculture;
appraisal and design oI possible planning interventions; and
monitoring and perIormance evaluation, and specifcally State oI the
EnvironmentReporting.
Targets would normally include economic indicators (e.g. per capita
gross domestic product |GDP|, disposable income, trade surplus); social
targets (e.g. related to health |liIe expectancy|, education, equality); and
environmental targets (such as a specifc level oI water quality; presence
oI an indicator species; an area oI coral reeI or mangrove Iorest to be
conserved,etc.).
3. IMPLEMENTINGTHEEAA:THEPLAN
ThekeystepsoItheEAAimplementationareadaptedIromthoseIortheEAF
(FAO, 2007; APFIC, 2009).
Once there has been a clear and participatory identifcation oI issues and
agreement on the operational objectives, implementation oI the EAA can
begin.
Developing a plan Ior implementation is the frst step. This process
should be transparent and participatory, with all stakeholders and local
communitiesconsultedduringtheIormulationoItheplanoIactivitiesandthe
implementationoImanagementmeasures,etc.,thatwillallowachievementoI
theobjectivesundertheumbrellaoIcurrentaquaculturepolicy.Developing
clear and realistic timelines and estimates oI human resources and budgets
requiredIorthediIIerentactivitiesisessential.
The objectives oI the EAA should be in line with the contents oI the
nationalaquaculturedevelopmentpolicy(andstrategy)oIthecountrywhere
theEAAistobeimplemented.TheimplementationoItheEAAmaybean
opportunity to revisit or revise an out-oI-date aquaculture policy or to
IormulateoneiIitdoesnotexist.
24
3.1 Minimum requirements to support the implementation of the
EAA
Legal, policy and institutional analysis is an essential part oI any new
planning and management initiative, especially where a greater degree oI
integrationissought.ThelegislationandregulationsIoraquacultureandthe
environmentorthenatureandIunctioningoIinstitutionsandtheirmodeoI
decision-makingwillhavemajorimplicationsIortheimplementationoIan
EAA.DevelopinghumancapacitytobebetterequippedIortherequirements
oInewapproachessuchastheEAAisalsooIcrucialimportance.Allthese
requirementsarealsodescribedindetailinBrugereet.al.(2010).
3.1.1 Create/enhanceenablinglegalframeworks
Policy development and implementation should be supported by an
appropriatelegalIramework.Itmaybenecessarytoconductperiodicreviews
oI legislation to assess relevance, eIIectiveness and conficts oI aquaculture
andotherrelevantlegislationrelativetopolicygoals.
TheprinciplesoIEAAcouldberepresentedtoacertainextentingeneral
policiesandlegislationthatsupportsustainabledevelopmentasenvironmental
consciousness,socio-economicequityandinteractionoIsectors.Onecentral
question thereIore is to analyze the extent to which EAA-relevant issues
are considered in general policies and legislation Ior industrial activity
(e.g. animal health standards, zoning) or whether they should be handled
specifcally Ior aquaculture.
Comprehensive national aquaculture legislation must cover a variety oI
issues,suchassiting,EIA,productioncontrol,wastemanagement,product
saIety and traceability, and diseases and parasites. Thus, many aspects are
covered by diIIerent areas oI law, such as environmental protection, public
health,trade,property,landuse,planningandanimalhealth.Countrieswith
signifcant aquaculture production have more sophisticated legislation on
aquaculturethancountrieswhereaquacultureislessdeveloped.
3.1.2 Strengthen,modifyorcreatenewinstitutionalarrangements
ThenatureoItheexistinginstitutionsshouldbeassessed,andnewinstitutions
orIrameworksIorinstitutionalcollaborationandjointdecision-makingshould
beproposedand,iIneeded,reIormedorestablished.However,itshouldbe
recognizedthatthisisnoteasy(seeSection3.1.3),especiallyiIitinvolves
interdisciplinarity and diIIerent sectors. Institutional analysis covers both
Iormal (e.g. a government agency) and inIormal institutions (e.g. socially
transmittedconventionsandcodesoIbehaviour).
Sectoral agencies responsible Ior managing activities impacting aquatic
ecosystems (e.g. capture fsheries, coastal zone development, watershed
management organizations, agriculture, Iorestry, industrial developments)
25
must develop new ways (i.e. institutional arrangements) oI interacting to
regularlycommunicate,cooperateandcollaborate.TheneedIorinnovative
governancetoimplementanecosystem-basedapproachtoaquaculturecanbe
seenasanobstacle,butitalsorepresentsanopportunitytoincreasethesocial
benefts that are likely to arise through synergies among Iood production and
othersectors.
Thekeyistostrengthenexistinginstitutions(or,intheirabsence,develop
new ones) capable oI integration, especially in terms oI shared objectives
and standards. One should, however, be aware that institutional quick
fxes in reaction to evolving contexts may not be as eIIective as institutional
arrangements modifed or created in anticipation oI new requirements placed
oninstitutionsbynewsituations.
3.1.3 Integrate aquaculture with other sectors to deal with external and
internalissues
3.1.3.1 Zoning
ZoningorallocationoIspaceisamechanismIormoreintegratedplanning
oIaquaculturedevelopment,aswellasitsbetterregulation(Box6).Itmay
be used either in planning to identiIy potential areas Ior aquaculture or a
regulatorymeasuretocontrolthedevelopmentoIaquaculture.
The strength oI zoning lies in its simplicity, clarity and potential to
streamlineprocedures(Aguilar-Manjarrez,KapetskyandSoto,2010).Once
a zone has been established and its objectives defned, then developments that
meettheobjectivesandgeneralconditionsIorthezonemayneednoIurther
assessment,aswhatisallowedandwhatisnotallowedshouldbeclearand
developerscanplanaccordingly.
Box6
Variousfunctionsofzoningoflandandwaterforaquaculture
development
help to prevent and control environmental deterioration at the Iarm
and watershed scale;
help to implement biosecurity measures and disaster risk
management;
reduce adverse social and environmental interactions;
serve as a Iocus Ior estimates oI environmental capacity; and
serve as a Iramework Ior the provision or improvement oI water
supply/drainageinIrastructuretosmall-scaleIarmers
Modifed Irom GESAMP (2001).
26
3.1.3.2 Cross-integration
Asaquacultureismostlyrelativelynewandexpandingrapidly,itcanresult
in conficts with other more mature sectors. Principle 3 (Section 1.3) is
essentially a call Ior more integrated planning and management systems,
as has been advocated Ior many years through integrated coastal zone
management(ICZM)andintegratedwatershedmanagement(IWSM).
AquaculturedevelopmentaIIectsandisaIIectedbyotherhumanactivities
such as fsheries, agriculture, irrigation and industry, as well as increasing
urbanization, so their relative contribution to environmental degradation
needstobeassessedandcontrolled.
Thus,thereisaneedIorsectoralintegrationoIvarioustypes(seeBox7).
Awareness-raising is needed within the aquaculture sector and among
other sectors at the watershed/zone scale. Integration between diIIerent
sectorsshouldbeIacilitatedwiththeecosystemperspective,especiallywhere
mutual benefts are likely to arise, Ior example, rice and fsh Iarming in areas
wheretheIreshwaterresourceisscarce.
3.1.4 Creatingandenhancinghumancapacity
The development oI human and institutional capacity should refect sectoral
needs (e.g. producer, research, management, trade development, regulatory
Box7
Varioustypesofsectoralintegration
Policy (institutional) integration minimizing intersectoral
confict; coordinating policy and management measures to ensure
consistency and a level playing feld.
Operational (or enterprise level) integration ensuring that the
variousactivitiespursuedbyaparticularenterprisearecoordinated
andmutuallyreinIorcing.ThismayincluderecyclingoIwastes.
WaterbodyintegrationpromotingabalancebetweendiIIerent
activitiesorsectorswithinanaquaticsysteminordertomaximize
the reuse oI nutrients or other materials, thereby increasing
eIfciency and reducing pressure on the environment.
ProvisionoIgreeninIrastructuremaximizingthedeliveryoI
ecosystem services, including waste assimilation, by ensuring
thatareasorcorridorsoIarangeoIhabitattypesareconservedor
re-createdandmanagedappropriately.
Modifed Irom Hambrey, Edwards and Belton (2008).
27
and associated societal levels). ThereIore, it may be necessary to conduct
a capacity needs analysis against allocated roles and objectives in the
implementationprocess.
It will be also necessary to ensure that capacity development targets
individual, organizational and societal levels; identifes and addresses short-
term capacity constraints and long-term capacity issues; and ensures that
institutionsundergoperiodicassessmentinordertoremainrobust,relevant
andeIIectiveinrelationtotheobjectivesoItheEAA.
3.1.5 Promote appropriate long-term goal-oriented research and
disseminationofknowledge
Relevant research and knowledge are essential Ior the development oI a
sustainable aquaculture sector. Appropriate research must be guided by
participatory processes and Iocused on ecosystem Iunctioning/services and
humancomponentsoIecosystems.
While it is important to use science and knowledge developed at the
global level, it is oIten advisable to also consider local knowledge as
well as the need to conduct long-term national research and knowledge
building.OItenimportedknowledgecannotbereadilyappliedtolocal
conditions.
It is also relevant to promote knowledge sharing and networking Ior a
more eIfcient dissemination oI reliable inIormation.
Box8
Examplesofcross-sectorintegration
Converting rice felds to aquaculture in areas that are marginal in
termsoIsuitabilityIorricecultivation.
Banning the Iarming oI shrimp in traditional rice-producing areas to
avoidsalinizationandobstructionoIirrigationcanals,toconserve
atraditionalresource/sectorintheIaceoIalucrativebutriskyand
possiblyshort-termactivity.
Banning the use oI small fsh to Ieed carnivorous fsh when small
fsh are a major human dietary item locally.
Implementing water Iramework directives Ior a more integrated
approachtoriverbasinplanningandmanagement.
Facilitating access to fsheries in aquaculture areas to enhance
nutrient fow through the harvest oI wild fsh resources.
Promoting aquaculture water use Ior agriculture irrigation (and
viceversa).
28
Where there is a lack oI suIfcient scientifc knowledge or inIormation to
permitasounddecisionorwherethethreatoIseriousorirreversibledamage
toecosystemsexists,theprecautionaryapproachshouldbewidelyapplied.
However, a lack oI Iull scientifc certainty should not be used as a reason
Ior postponing cost-eIIective measures to prevent environmental or social
degradation.
3.2 Management measures to deal with environmental and social
issues
SalientaspectsoIsomepracticalmeasuresIacilitatingtheimplementationoI
theEAAandleadingtoachievingsustainableaquaculture(environmentally,
economicallyandsocially)atallspatialscalesaredetailedbelow(Sotoetal.,
2008).
3.2.1 Dealingwithenvironmentalissues
There are many specifc mechanisms that serve to eliminate or reduce negative
eIIectsonecosystemIunctionsandservices.SomeoItheserequirevoluntary
actionbyassociationsoIIarmersthrough,Iorexample,bettermanagement
practices (BMPs); others require better planning, management and regulation
bythegovernment.
3.2.1.1 Managementmeasuresatthefarmlevel
Environmentalimpactassessment(EIA)
EIA is a useIul tool at the Iarm level and should be undertaken Ior large
aquaculture projects that have the potential to cause signifcant impacts on
the environment or ecosystem, have signifcant negative socio-economic
impact or lead to signifcant negative socio-economic impact or signifcant
conficts with other sectors or users oI the aquatic resource.
Small-scaleIarmsorIarmswithlowpotentialimpactontheenvironment
orecosystemshouldbeexempt,althoughthecumulativeimpactsoIclusters
oIsmallIarmsshouldbeassessedcollectivelybyaprogrammaticEIA.
EIAmaybeusedas:
a decision point Ior determining iI a project should go ahead or not;
anassessmentoItheimpactsontheenvironmentintermsoIextentand
severity;
anassessmentoIthesocio-economicimpactsoIaquacultureonlocal
communities and other stakeholders;
ameansoIdevelopinganenvironmentalmanagementplanthatshould
be implemented Ior mitigation oI impacts; and/or
ameansoIdevelopinganenvironmentalmonitoringplanthatshould
beundertakenregularly.
29
Mostimportantly,theEIAshouldbebasedonecosystemqualityobjectives
(including environmental and socio-economic aspects) agreed upon by
the relevant stakeholders and supported by sound scientifc inIormation,
whenever possible. The EIA must be Iollowed up by regular monitoring
surveys on water quality, sediment quality, key habitats and aquaculture-
sensitive species and sensitive local communities, when appropriate, as
identifed in the environmental management plan. The environmental survey
shouldbeundertakenbyindependentspecialists.
OneoIthemainoutputsoItheEIAisanenvironmentalmanagementand
monitoring plan that the Iarm or the cluster oI Iarms should Iollow during
and aIter operation and that would lead to corrective actions and decisions
(an extensive global review, analysis and recommendations on EIA Ior
aquaculturecanbeIoundinFAO/FIMA,2009).
Bettermanagementpractices
BMPs and codes oI practice (COP) are the most technically practical and
economically Ieasible methods currently available to reduce the adverse
environmental impacts oI aquaculture at the Iarm level and also at a larger
scale. The BMP solutions are considered soIt law instruments and most
oIten are voluntary in nature; however, they usually require action both
Irom governments in the Iorm oI better policy, regulation, planning and
managementproceduresandIromtheIarmersandtheaquacultureindustry
throughbetterpractices.
BMPs can involve: site selection, pond construction, pond renovation,
overfow eIfuents, pond draining eIfuents, water conservation, Iertilization,
Ieeds and Ieeding, fsh escape, predator control, aquatic plant control,
disease and aquatic animal health management, mortality removal and
disposal,Iacilityoperationandmaintenance,processing,transport,consumer
inIormation and marketing. Better practices Ior aquaculture in cages, pens
andraItsinvolvemostoItheseaspectsaswell.
A good example oI better practices Ior shrimp Iarming can be Iound in
FAO/NACA/UNEP/WB/WWF (2006) and a Iull review oI environmental
BMPsinTuckerandHargreaves(2008).
A summary oI relevant environmental and aquatic animal health good
practicesattheIarmlevelisincludedbelow.
Optimi:ingfeeasanafeeaingstrategy
TheIeedingprocessshouldtrytooptimizeIeedconversionrates(FCRs)to
increase profts and to decrease nutrient and organic matter losses. The latter
also applies to flter Ieeders (e.g. molluscs).
30
Diseasesanaresponsibleuseofveterinaryarugsanachemicals
Biosecurity Irameworks should be in place to prevent and control diseases
and potential health risks to the culture species or to the environment.All
veterinary drugs and chemicals used in aquaculture should comply with
nationalregulationsandinternationalguidelinessuchasthoserecommended
bytheWorldOrganisationIorAnimalHealth(OIE,2009).
Preventionanacontrolofescapeesfromthefarmanasafemovementofliving
aquaticorganisms
Farm Iacilities must ensure secure containment and physical saIety nets
at all times, including during the normal activities oI changing nets, water
fushing, etc., to avoid escape oI Iarmed individuals. Large Iarms should have
emergencysystemstocontrolormitigatemassiveescapes.Duenoticeshould
begiventoproperauthoritiesinthecaseoImassiveescapes,alsotakinginto
considerationexistingbiosecurityIrameworks.
The movement oI live aquatic animals should comply with all relevant
healthmanagementmeasures(FAO,2007)andproceduressuchasquarantine
(Arthur, Bondad-Reantaso and Subasinghe, 2008) to avoid health-related
riskstoIarmedindividualsandtowildpopulationsandtheenvironmentin
general.
Efuent management ana excess nutrient reutili:ation
EIfuent discharge to channels, rivers, lakes or coastal waters may cause
eutrophication, an undesirable ecosystem change; however, in other cases,
depending on dilution rates, eIfuents may be a benefcial addition oI nutrients
thatboostsnaturaloragriculturalproductivity.
Where excessive nutrients are a problem, it may be Ieasible to use the
Iollowing:
local recycling and integration;
on-Iarm or higher level inIrastructure Ior wastewater and sediment
treatment,coupledwithrecyclingoInutrient-richresiduesatwhatever
scale is cost eIIective;
more eIfcient use oI input resources (e.g. higher quality Ieed and better
Ieed management practices resulting in decreased FCRs);
limits to entry based on estimated environmental capacity;
increased environmental capacity through development/enhancement
oI natural treatment systems or 'green inIrastructure; and/or
siterotationandIallowing(e.g.incageculture)toreducelocalbenthic
impactsbyallowingtimeIorrecovery.
Great care is required in promoting any specifc mechanisms to implement
the ecosystem approach, as optimal solutions depend on context. Guidance
31
must be fexible and adaptable. The principles are Iar more important than any
specifc mechanisms, and the latter are a matter Ior local ingenuity and choice.
Modern recirculation systems that incorporate waste treatment may be
employed. However, some oI the principles oI traditional aquaculture can
beusedtoreducetheadverseenvironmentalimpactoIintensiveaquaculture
eIfuents. Examples include the use oI biofoc
7
technology, aquaponics,
linking intensive and semi-intensive systems, pellet-Ied caged fsh Iertilizing
a surrounding pond, the 80:20 Chinese fsh stocking system (Box 9), and
Box9
Examplesofpolycultureandpartitionedaquaculturesystems
A Ieed-based system that combines intensive production oI high-value
fsh with traditional Chinese polyculture has been developed by the
AmericanSoybeanAssociation(ASA).Thesystemiscalled80:20pond
fsh culture because about 80 percent oI the harvest weight comes Irom
onehigh-valuespeciessuchasgrasscarp,CruciancarportilapiaIedwith
pelletedIeed,andtheother20percentcomesIromaservicespecies
such as the flter-Ieeding silver carp, which helps to clean the water, and
the carnivorous mandarin fsh (Sinipercachuatsi),whichcontrolswild
fsh and other competitors. Feeding the major high-value species with a
nutritionallycompleteandhighphysicalqualityextrudedIeedresultsin
betterIeedconversion,Iastergrowth,muchhigherproductionandhigher
profts than in traditional polyculture technology, while having much
lessimpactontheenvironment.Basedon17yearsexperiencethrough
trialsanddemonstrationsinChinaoItheAmericanSoybeanAssociation
International Marketing (ASA-IM) Program in conjunction with the
ChineseExtensionService,theASA-IMhasrecentlyexpandeditseIIort
to promote the 80:20 system in countries such as India, Indonesia, the
PhilippinesandVietNam.
A partitioned aquaculture system (PAS) has been researched that
adopts high-rate microalgal culture to fsh culture. Low-speed paddle
wheels move large volumes oI water at low velocities uniIormly
throughout the pond, with flter-Ieeding tilapia reducing algal biomass
in water produced by Iertilization Irom pellet-Ied channel catfsh raised
inadjacentraceways.
Source:Hambrey,EdwardsandBelton(2008).
7
%4% ) *(") )/)*# " *% (%,( $+*($*) $ %($ -)* -*$ $
'++"*+("*/-$+)*%((*$(*"03"(%&)(%"4%)$
")%*!$+&/3)%()(#&$)(,))%+(
32
partitioned aquaculture systems. Many examples and case studies can be
IoundinHambrey,EdwardsandBelton(2008).
Integrated aquaculture can be considered a mitigation approach against
the excess nutrients/organic matter generated by intensive aquaculture
activities (Box 10) and may be relevant in some circumstances. In this
context, integrated multitrophic aquaculture (IMTA) reIers to the explicit
incorporationoIspeciesIromdiIIerenttrophicpositionsornutritionallevels
inthesamesystem(ChopinandRobinson,2004).
TheFAOFisheriesGlossary(2009
8
)describesintegratedIarmingsystems
as: an output from one subsystem in an integratea farming system, which
otherwise may have been wastea, becomes an input to another subsystem
resulting in a greater efhciency of output of aesirea proaucts from the lana/
waterareaunaerafarmerscontrol.
In aquaculture, integration could be within a sector or across sectors.
Multiple examples and details on Ireshwater integrated aquaculture can
be Iound in Little and Edwards (2003) and Halwart and Gupta (2004). A
globalreviewonintegratedmariculturecanbeIoundinSoto(2009).Rice-
8
)()"%))(/---%%(3"%))(/+"*)&
Box10
Integratedmultitrophicaquaculturesystems
In recent years, the idea oI integrated aquaculture has been oIten
considered a mitigation approach against the excess nutrients/organic
mattergeneratedbyintensiveaquacultureactivities.AprojectinCanada
has been working on an integrated system involving Atlantic salmon
raisedincagesnearbykelpsandbluemusselculturesince2001withthe
integrated multitrophic aquaculture (IMTA) concept. There is about a
50percentincreaseinthegrowthrateoIseaweedsandmusselscultured
inproximitytocageIarmscomparedwiththegrowthatadistance,due
to the increased Iood and nutrient availability Irom caged fsh wastes,
withoutuptakeoIthetherapeutantsusedinsalmonaquaculture.However,
toincreasetheincentivesIorIarmerstopracticeIMTA,itmayrequire
changesingovernmentpolicytointernalizethecostoIwastedisposaloI
salmoncageIarmingtoaccountIortheenvironmentalservicesprovided
bytheextractivespeciesinwastetreatment,perhapsthroughpolluter
pays taxes Ior salmon Iarmers and/or 'biofltration credits Ior seaweed
andmusselIarming.
Source:ChopinandRobinson(2004).
33
fsh Iarming is probably one oI the oldest Iorms oI integrated agriculture-
aquaculture. Rice felds provide the environment and habitat Ior fsh and other
aquatic animals, while the fsh contribute to nutrient cycling in the process
oIIeedingoninvertebratesandorganicparticlesthatareproducedinthese
inundated felds. This type oI integrated aquaculture also oIIers a possibility
Ior a balanced and healthy diet, including protein Irom fsh where otherwise
there would be mostly rice. Indirect integration involving the transport oI
localagriculturalby-productssuchasbrans,oilcakesandIeedlotlivestock
manure to the Iarm may lead to signifcant fsh production.
Integrated aquaculture can also be considered as an opportunity in
oligotrophic systems, such as the Mediterranean Sea, while integrated
aquacultureincoastaltropicalregionscanincludemanyIormsoIintegration,
such as aqua-silviculture using mangroves as bioflters (Soto, 2009).
RemediationoIaquacultureimpactsthroughintegratedaquacultureisa
core beneft, but increased production, diversifcation oI products, a more
diverse and secure business and larger profts should not be underestimated
asadditionaladvantages.

3.2.1.2 Managementmeasuresatthewatersheascale
AmaindiIIerencewiththemanagementmeasuresattheIarmlevelwherethe
IarmerisamainplayeristhatatthisscalethereisaneedIoraninstitution,
arepresentativebody,anorganization,etc.,thattakesresponsibilityIorthe
waterbody,watershedorcoastalzone.OItenthiswatershedinstitutionhas
totakeandenIorcetheactionsandmeasuresdescribedbelowinBox11.
Box11
Someexamplesofaquacultureareaorzonemanagement
InbothIrelandandtheUnitedKingdomoIGreatBritainandNorthern
Ireland,aquaculturemanagementIrameworkssuchasAreaManagement
Agreements(intheUnitedKingdom)andSingleBayManagementand
Co-ordinatedLocalAquacultureManagementSystems(inIreland)have
beeninitiated.TheseallowthecoordinatedmanagementoIaquaculture
(particularly in enclosed bays) Ior harvesting, Iallowing and disease
treatments.This can be particularly eIIective in combating inIestations
oIsealiceinsalmonIarming.
The clustering oI many small-scale aquaculture producers into
mariculture parks has been encouraged in the Philippines by the
Government to promote Iurther livelihood development in aquaculture
andtobeabletotargetsupportservices(jetty,supplyoIice,etc.).
34
Strategicenvironmentalassessment(SEA)
TheobjectiveoIastrategicenvironmentalassessment(SEA)istomainstream
environmentalandsocialconsiderationsintoprogrammes,plansandpolicies,
mitigate negative impacts and maximize potential positive synergies at the
sectorwatershed/waterbodyscaleand/orsectorscale.
SEA Iocuses mainly on impact assessment, and its goal is predicting
environmental impacts to establish prevention, mitigation and control
measurestoprotecttheenvironmentinthewaterbodyoIinterest.
Dehning limits to change
EAA guiding Principle 1 (Section 1.3) implies that we can defne the point
at which environmental change threatens sustained delivery oI ecosystem
services. In practice, this is extremely diIfcult, especially with respect to
changes in biodiversity. The defnition oI 'acceptable will depend on local
socialandeconomicconditionsandperspectives.
Defning or agreeing upon acceptable limits is oIten diIfcult as, in general,
thereisnoobviousthresholdintermsoIthecharacteristicsoIthesystemorin
termsoIservicedelivery.TheremaybeverydiIIerentperspectivesastowhat
constitutesasuitableacceptablelimitoranadequateleveloIprecaution.
ThesciencemaybeinadequatetoinIormthesediscussions.Thewatershed
institution mentioned above requires agreeing on absolute or precautionary
limits, and this process should be well inIormed and participatory to the
extentpossible.
In some cases, however, defning limits to change is relatively
straightIorward. For example, a certain concentration oI nutrients in water
may trigger undesirable or toxic algal blooms. This point may be termed
a threshold characterized by signifcant diIIerences in terms oI service
provision.
Maintaininganagreeabioaiversity
Biodiversity is oIten associated with ecological resilience.A reduction in
biodiversity may reduce available pathways Ior natural processes and by
implication, ecosystem resilience. A precautionary approach would seek
to conserve as much biodiversity as possible; iI local losses are accepted
(e.g. under a fsh cage), then recovery in the vicinity must be ensured. In
setting limits to change, it is essential that some resilience is retained in
terms oI service provision. This implies two things: (i) acceptable limits
include a saIety margin; and (ii) Iactors that strengthen system resilience
suchasbiodiversityandlivelihooddiversityshouldbepromotedasmuch
aspossible.
35
Proviainganaenhancinggreeninfrastructure
9
Mostcountrieshavepoliciestodesignatenaturereservesorprotectedareas
to saIeguard ecosystem services in the wider environment. Increasingly,
however, the Iocus on ecosystem services is encouraging a more holistic
approach to biodiversity conservation. Ecosystems and their associated
biodiversity are part oI the green inIrastructure that sustains ecosystem
servicedelivery.
Thenature,amountandpatternordistributionoIthisgreeninIrastructure
should be a matter oI national policy, inIormed by science and local needs
andperspectives.Thedecisionontheareatobeassignedwillbemoreorless
precautionarydependinguponthecommercialvalueoIlandandwater,the
wealthoIthegovernmentand/orthepeopleusingthatresource,andthelevel
oI experience and awareness oI problems associated with environmental
degradation.
Stayingwithincarryingcapacity
Understanding and measuring environmental capacity
10
allows Ior the
determination oI the scale oI activity (using a specifed technology) that can be
accommodatedwithoutthreattoanenvironmentalstandard.Environmental
capacity measures the resilience oI the natural environment in the Iace oI
impactIromhumanactivitiesandmustbemeasuredagainstsomeestablished
standardoIenvironmentalquality.Insettinglimitstochange,itisessential
thatsomeresilienceisretainedintermsoIserviceprovision.
Environmentalcarryingcapacity
Environmental carrying capacity
11
in the context oI aquaculture reIers to a
specifc area or waterbody, such as a bay, estuary, lake or river and usually
concerns:
the rate at which nutrients can be added without triggering
eutrophication;
the rate oI organic fux to the benthos without major disruption to
natural benthic processes; or
the rate oI dissolved oxygen depletion that can be accommodated
withoutcausingmortalityoItheindigenousbiota(GESAMP,1996)
9
(%,$1($$()*(+*+(2)*)*(*""%*%$%)$3$*&*)%()-*)%
undeveloped land or waterbodies of different types which will increase biodiversity, underpin
many other ecosystem services, and increase the resilience of the whole system.
10
Environmental capacity is a general term for a property of the environment and its ability
to accommodate a particular activity or rate of an activity...without unacceptable impact

11
%-,(*()")%*%$&*%&(%+*%$&*/%(.*(*,)&))+)3"*(
feeders (e.g. bivalves) in relation to the maximum biomass to be produced given the current
plankton productivity available for their feeding.
36
Aquaculturedevelopmentshouldalwaysbewithinthecarryingcapacity
oItheecosystem.AnecosystemapproachwouldexaminemorecareIullythe
desirabilityoIdiIIerentnutrientlevelsindiIIerentpartsoIanagro-ecosystem
Irom the perspectives oI the various users and in terms oI the stability oI
the system as a whole. Thus, there needs to be a fexible and participatory
approachtosettingwaterqualitystandards.
Acceptablewaterqualitystanaaras
ThewaterusedIoraquacultureshouldbesuitableIortheproductionoIIood
thatissaIeIorhumanconsumption.Farmsshouldnotbesitedwherethereis
ariskoIcontaminationoIthewaterinwhichanimalsarerearedbychemical
and biological hazards. II wastewater is used, World Health Organization
(WHO) guidelines Ior the use oI wastewater in aquaculture should be
Iollowed (WHO, 2006). Farms should maintain water quality within the
relevantnationalwaterqualitystandards.
Thestandardsusedbygovernmentusuallyrelate,veryloosely,tonutrient
levelsthatmaycausealgalbloomsanddeoxygenationorcompromisedrinking
water quality. These issues, however, need to be examined in relation to a
waterbodyorsystemandtheneedsandaspirationsoIthepeoplewhodepend
onit.
Encouraging culture-basea hsheries ana stock enhancement when
appropriate
Stocking oI fsh in enclosed waterbodies and areas amenable to Iencing,
especially artifcial lakes and reservoirs, may result in yields signifcantly
greater than those Irom wild fsheries. Such aquaculture-fsheries integration
oIIersagreatpotentialIorpovertyalleviationandIoodsecuritywithminimal
inputs(onlytheseed)andminimalornoenvironmentalimpacts,sincethere
isneithercontainmentnorexternalIeeding.
Institutionalarrangementsmustbesecuredtoensureequalaccesstothis
resource to all relevant stakeholders. There is always the danger oI those
with greatest capital eIIectively making the greatest investment and taking
thegreatestshare.
ThemaincautioninthispracticeisthecareIulmanagementandselection
oItheseedsinordertoavoidnegativegeneticimpactsonnaturalpopulations.
Also,thestockingwithexoticspeciesshouldbedonewithdueprecautionto
avoidecosystemimpactsIromtheestablishmentoIalienspeciesthatwould
damage wild populations. Some Iorm oI risk assessment is recommended
as a necessary step beIore any stocking. For more inIormation on the
precautionaryapproachtospeciesintroductionsandaboutgeneticresource
management in culture-based fsheries, see Bartley et al. (2005) and FAO
(2008d),respectively.
37
Discouragingunsustainableuseofwilaseea,fuvenilesanabrooastock
All Iorms oI capture-based aquaculture (CBA) need to be evaluated in light
oIeconomicviability,thewiseuseoInaturalresourcesandtheenvironmental
impactasawhole.AppropriatemanagementoIwildstockshouldbeinplace
accordingtoEAF(FAO,2005).GreatereIIortsmustbemadetoproduceseeds
inhatcheries,intermsoIresearch,investmentandcapacitybuilding.However,
the positive livelihood side oI wild seed and broodstock fshery must be taken
in consideration when attempting to regulate or close such fsheries.
3.2.1.3 Managementmeasuresattheglobalscale
AssessmentoIprogresstowardsanEAAatthegloballevelentailsevaluation
oI issues such as availability oI agriculture and fsheries stocks Ior aquaculture
Ieeds, economic and social impacts oI aquaculture on agricultural and fsheries
resources, and impacts on the broader Ireshwater and marine ecosystems
and societies inIrastructure. At the global scale, knowledge enhancement
and dissemination oI risk assessment tools, risk communication, liIe cycle
analysis
12
and other similar practices to deal with the management oI
uncertaintiesmaybepromoted.DevelopingglobalagreementsonBMPsand
IacilitatingdisseminationoIappropriateinIormationtoconsumersallowing
themtodiIIerentiateproductsaccordingtosuchpracticesarealsorelevant.
Wilahsh stocks ana provision of sustainable hsh feea
Aquaculture must reduce its reliance on global fsheries Ior fshmeal and fsh
oil iI it is to supply a substantial proportion oI fsh Ior human consumption in
asustainableway.
Impressive gains have been achieved in reducing FCRs Ior some
carnivorous fsh and in substituting non-fsh ingredients into Iormulated Ieeds.
The volume oI omnivorous species production has also raised (e.g. tilapia,
carps and catfsh). Nonetheless, serious challenges remain Ior lowering the
aggregate level oI fshmeal and fsh oil inputs in Ieeds and alleviating pressure
on reduction fsheries over time.
Global eIIorts must be made to fnd alternative, more sustainable Ieed
ingredients Ior carnivorous fsh and Ior all Ied-aquaculture species in general.
ThecultureoIomnivorousandherbivorousspeciesshouldbeenhanced,
as well as the culture oI flter-Ieeder and extractive species.
Traae
The aquaculture sector has emerged to increase fsh supplies and to meet
the demands oI the market and must do so through Iair trade, considering
12
Life cycle analysis is a methodological framework used to quantify a wide range of
environmental impacts that occur over the entire life cycle of a product or process.
38
all EAA guiding principles. Adequate certifcation systems can Iacilitate and
enhanceaquacultureproductionwithanecosystemperspective,takinginto
considerationalltheabove.
3.2.2 Dealingwithsocialissues
The EAA requires that all the social costs and benefts are assessed and choices
made Ior the beneft oI society as a whole (Box 12). The key question is net
beneft and perhaps, more importantly, the distribution oI costs and benefts.
Thereisaneedtoimprovethewell-beingoIallrelevantstakeholders.
Aquaculture development has the potential to reduce the resilience oI
human communities. Construction oI shrimp ponds in some countries has
decreased social resilience by reducing the availability oI mangroves that
provide a wide array oI resources to people living in coastal communities
and causing social unrest, although it has led to considerable economic
developmentandemploymentalongtheIoodchain.
NeworreIormedinstitutions(seeSection3.1.2)shouldencompassin-
built confict resolution mechanisms (either internally or through a mediator)
to deal with conficts as they arise. Minimization oI conficts should be one oI
thekeyoutcomesoItheimplementationoIanEAA.

3.3 Incentives
Incentives, where appropriate, should be used throughout the sector to
enshrine in the legal Iramework economic and other incentives Ior good
practicestoensurecontinuityintheIaceoIpoliticalchange.
Box12
Socio-economicissuestobeconsideredatallstagesofaquaculture
development to optimize benets and avoid or minimize negative
economicconsequences
Ruralcommunities,producerorganizationsandIarmersaresupported
bywhomandbywhat,andareprovidedadecentlivingwage.
Risks to small-scale producers are minimized through training,
extension and appropriate technical and fnancial support.
Equitable sharing oI benefts and Iair wages.
EmploymentandalternativelivelihoodopportunitiesarecreatedIor
localcommunitymembers.
NonegativeimpactsonthelivelihoodsoIlocalcommunities.
Source:FAO,2008c.
39
Incentives can infuence the nature and location oI development and the
management oI operations. Incentives do not suIIer Irom the problems oI
evasionandnon-complianceasdoregulatoryapproachesandinsomecases
canbeusedtostimulateinnovationleadingtomoreenvironmentallyIriendly
technologies.
AccordingtotheEAFpracticalmanual(FAO,2005),incentivesprovide
signals refecting public objectives while leaving some room Ior individual
andcollectivedecision-makingtorespondtothem(Box13).
Incentives work indirectly through aIIecting those Iactors that lead to
particular individual or collective choices. Market or social Iorces can be
eIfcient means to Iorce the global outcome oI individual actions towards
collectivelysetobjectives.Theymayalsobenecessarytocreatemechanisms
tointernalizeexternalitiesthroughadvice,developmentsupportandtraining.
OIten an important incentive is to allow Ior gradual implementation
andcomplianceoInorms,regulationsandagreements,includingaspectsoI
economicassistance,Iorexampletobearwithinitialcosts.Thisneedstogo
along with a simplifcation oI mechanisms, Ior example, Ior certifcation or
compliance.
The use oI economic instruments to infuence both siting and operation
oIaquacultureIarmsholdsconsiderablepromise.LossoIbiodiversitycanbe
addressedthroughon-IarmincentivestominimizetheuseoIchemicalsand
throughoII-IarmdevelopmentoIgreeninIrastructure(seeSection3.2.1.2).
Although some positive incentives may be costly, it should be possible to
pay Ior them with negative incentives (e.g. taxes on undesirable locations,
activities,technologies).However,regulationmaynonethelessbenecessary
andabalancedapproachisrequired.
Box13
Differentkindsofincentivesthatcanbedevelopedinisolationor
incombination
improved institutional Irameworks (defnition oI rights and
participatory processes);
developed collective values (education, inIormation and training);
economic incentives (e.g. tax mechanisms and subsidies) such as
specialadvantageouslicences(Iorexample,Iorintegratedaquaculture,
Ior polyculture, Ior implemented better management, etc.); and
market incentives (aquaculture certifcation and tradable property
andaccessrights,e.g.aquacultureconcessions).
Modifed Irom FAO (2005).
40
Financialincentivesanaaeterrents
These may also be considered as legal instruments: non-compliance
is punished either ex ante (by requiring a payment returnable upon
compliance)orexpost (by charging a fne when non-compliance occurs). A
variationoIthisisliabilityinsurance,wherepollutersaremadelegallyliable
Ior damage (Ior example, to fsh nursery grounds). This will encourage the
establishment oI insurance schemes, the premium oI which will be related
to the risks oI environmental damage caused by the operator, oIIering an
incentiveIorimproveddesign,technologyandmanagement.
3.4 Standardsforapplication
An EAA should consider the use oI certifcation and ecolabels, going
beyond meeting the regulations to include not only production but
also environmental and social criteria Ior product diIIerentiation. These
certifcation schemes should allow Ior and encourage Iair trade and should
notcreateunnecessaryobstaclestotradenorbemoretraderestrictivethan
necessary to Iulfl the legitimate objective oI the standards. EIIorts must be
madetoassistsmallproducersoperatingsustainableproductionsystems,and
one way is to encourage certifcation or ecolabels at the aquaculture zone or
waterbodyscalewhereIarmersareactinginacoordinatedway.Theyshould
address social issues, environmental issues, Iood saIety and quality, and
animalhealthandwelIare.
3.5 Indicatorsandmonitoringimpacts
TheuseoIindicatorsisincludedaspartoImonitoringprogrammes,where
the indicator is directly measured and is used as a measure oI severity and
extentoIsocialandecosystemimpacts.Indicatorthresholdssuchasinwater
qualitystandardsorcriteriamaybesetbyenvironmentalauthoritiesbutcan
alsobedeterminedbystakeholdersthemselves(e.g.tolerancelevels).They
mayalsobesetusingaparticipatoryprocessIorawatershedorwaterbody
whereaquacultureandotheractivitiestakeplace.
TheimpactmonitoringsurveytypeandIrequencyshouldbeproportional
both to the predicted and actual impact. Monitoring programmes and the
use oI indicators can be conducted at diIIerent levels. Farmers/authorities
can perIorm simple and inexpensive surveys when impacts are expected
tobeminor,whereasmoredetailedsurveyscanbeperIormedbyspecialist
companiesorauthoritiesatshortintervalswhenimpactsareexpectedtobe
greater(thisisespeciallyrelevantatthewatershedorwaterbodyscale).The
outputsoIthesurveysshouldbeanimpactmitigationplantotakecorrective
actionswhensomeimpactsareIoundtobebeyondlimits.
41
3.5.1 Environmentalindicatorsandmonitoring
ThedescriptionoIthemonitoringprogrammeisoItenanoutputoItheEIA
orEIAstatement.ThemonitoringprotocolproposeswhattypeoIindicators
should be used to monitor the impact oI the Iarm during the operation and
theacceptablelevelsoIimpact.ItusessamplingtoquantiIytheextentand
severitytowhichaquaculturemanagementaIIectstheecosystemovertime,
by comparing current data collected at various locations in time during
operation with data obtained in the EIA, baseline environmental survey or
beIoredevelopment(seerecommendationsinFAO,2009).
Itisessentialtoconsidermonitoringtheaquaculturezone,watershedor
waterbody. OIten this is more important than monitoring individual Iarms,
especially when these are individually small, although their cumulative
impactcanbelarge.
Typically,monitoringshouldinclude:(i)impactsonwaterandsediment
quality, including physico-chemical and biological indicators; (ii) eutrophication
conditionandimpactsonsensitivehabitatssuchasmangroves,seagrassbeds,
etc.; and (iii) other impact on Iauna and fora. Monitoring should always take
placeinthepotentiallyimpactedsite,aswellasinareIerencesiteinorderto
accountIorimpactsoIotherIactorsbeyondaquaculture.
MonitoringoIindicatorsshouldprovideinIormationrelevanttoecosystem
resilienceorresistancetotheeIIectsoIhuman-inducedorotherIactors.
In general, ecosystems recover readily Irom small disturbances, which are,
indeed, part oI the natural state oI things. The resistance oI an ecosystem
indicatestheamountoIdisturbancethatitcanacceptwithoutdamagetoits
prospectsIorrapidandIullrecovery,Iorexample,theabilityoIthebenthic
Iauna to recover its original condition aIter the removal oI a fsh cage.
3.5.2 Socio-economicindicatorsandmonitoring
There should be identifcation oI social indicators and monitoring to promote
integration with local communities and to prevent conficts with them.
It should examine the impacts oI production on the creation oI new direct
and indirect employment and its relation to local employment. Its impacts
on other waterbody users should also be identifed especially those linked
to the utilization oI coastal and aquatic resources such as fsheries, tourism,
transport and diving. Impacts on the local economy, such as income, taxes
andexports,arealsoakeyelement.
The socio-economic impacts oI well-managed aquaculture are usually
positive, although some conficts may arise. As a mitigation measure, various
initiativescanbeproposed,suchasconsultationwiththelocalcommunities
andothersectorsduringtheplanningprocessand,ingeneral,encouraginga
positiveimpactonthelocaleconomy(throughemployment,income,taxes,
exports,andtransportandharbourinIrastructure,Box14).
42
Box14
Mostcommonlyusedsocio-economicindicators
Indicators Examples
Educational
indicators
Illiteracy rates (with respect to age and gender)
Years oI study (with respect to age and gender)
Employment
indicators
Unemployment rates (with respect to sector, age
andgender)
Type oI employment and salary distribution
(withrespecttosector,ageandgender)
Familyandhome
Iacilityindicators
Household income, house ownership and
housingIacilitysituation,suchassanitary
Iacilities,watersupplyIacilities,energysupply
Iacilities,etc.
Economicindicators Gross income per hectare
Proft
Return to labour (dollars per man per year)
Employment per hectare
Return to labour per hectare
Employment per tonne oI product
Capital investment per job created
Shareholderand
investorindicators
Financial returns
Creation oI shareholder value
Overall sustainability oI the business
Future outlook and challenges
Community
indicators
Sustainability oI local fsh stocks
Health oI the harbour and its suitability Ior
recreational activities (including fshing) and
employmentrates
Employeeindicators Competitive rates oI pay, working conditions
andwork/liIebalance
Employee equity and benefts such as
superannuation
Customerindicators Quality oI the product
Competitive pricing
Steady supply
Environmental standards
Supplierindicators Environmental Iootprint (in particular, waste
managementandpackaging)
Customer satisIaction as well as logistics and
Iuel eIfciency
AdaptedIromFAO(2008a).
43
3.6 Toolsinsupportoftheapproach
3..1 Modelling
Modelling plays an important, perhaps essential, role in determining
acceptable limits oI aquaculture or any other anthropogenic impacts, since
withoutpredictivemodelswecannotassesswhethertheimpactsareacceptable
untiltheyhaveoccurredandbeenobserved,whichisalmostalwaystoolate
(SilvertandCromey,2001).
Sustainablecarryingcapacitymodels
Aquaculture production Iacilities should adjust their production to the
carryingcapacityoIthelocalenvironmentorthelocalsocialcontext.Each
ecosystemhasadiIIerentcapacitytoabsorbandassimilateexcessloading
oIorganiccompoundsandnutrients.Thisisparticularlyimportantinareas
withlowwaterexchangesuchasshallow,inshoreandshelteredareas.The
social context in any ecosystem also has some limited capacity to resist
impacts.
AbreakdownoIdiIIerentsustainablecarryingcapacities,includingsocial
capacityIorbivalveaquaculture,wasdescribedbyMcKindseyetal.(2006)
andisadaptedinBox15.
Ecologicalmodelsshouldbeusedtoevaluatequantitativeandqualitative
relationshipsbetweenproductionandhabitatattributes(e.g.pollutiongradient,
organicparticlesinsediments)andsensitivehabitatsorspecies.Thisisbased
on the expected production level, the species to be Iarmed and their Iaecal
particlepropertiesandassimilation,andthecurrentpatterns,inIormationon
whichisobtainedIromtheliteratureandhydrodynamicmodels.
3..2 Spatialplanningtools
Essential elements Ior the implementation oI the EAA are spatial planning
tools,includingGeographicInIormationSystems(GIS),remotesensingand
mappingIordatamanagement,analysis,modellinganddecision-making.
There are a number oI key issues in the planning and implementation
cycleoItheecosystemapproachthatrequireexplicitconsiderationoIspatial
inIormation about ecosystem components and properties. These include:
(i) development oI aquaculture (i.e. identifcation oI suitable sites, zoning or
allocation oI space, EAA planning Ior development); (ii) aquaculture practice
and management (i.e. aquaculture impacts at diIIerent scales, aquaculture
inventory); and (iii) multisectoral development and management that includes
aquaculture(i.e.transboundaryissues,integrationissues).
Some oI the uses oI spatial planning tools Ior the development and the
implementationoItheEAAare:
Description and mapping oI issues, especially with regard to resource
useandallocation.
44
Specifc planning interventions related to site selection criteria and in
somecases,tozoning.Recentadvancesinremotesensinghavegreatly
enhanced our ability to describe and understand natural resources,
Iacilitate planning oI aquaculture development, and support EIA and
monitoring, and the use oI GIS has greatly enhanced our ability to
store,analyzeandcommunicatethisinIormation.
For local or enhanced sectoral planning initiatives, the use oI existing
maps, feld visits and 'rapid appraisal could be more cost eIIective in
theshortterm.AlsotheimageryIromtheearthbrowserssuchasGoogle
EarthhasprovidedaIreeandreadilyavailable,valuabletoolIoruse
indevelopingcountrydistricts,townsandvillages.Hereplannerswho
areallocatingwaterandlandspaceIoraquaculturecanaccessaspatial
Box15
Differentsustainablecarryingcapacitiesforbivalves
Physical carrying capacity: the total area oI Iarms that can be
accommodated in the available physical space without undue confict
withotherusersoIwatersurIacearea.
Production carrying capacity: the stocking density oI production
at which harvests are maximized without undue impact on the
environment.
Ecologicalcarryingcapacity:thestockingorIarmdensityabovewhich
thereareunacceptableecologicalimpacts.
Socialcarryingcapacity:thelevel(intensity,scale,productivesystem,
etc.) oI Iarm development above which there are unacceptable social
impacts.
ClariIying the relationships between aquaculture nutrient eIfuents, the
measurement variables and the environmental consequences depends
on an understanding oI physical, chemical and ecological processes
including:
the dispersal oI nutrients or other substances in receiving water;
the dilution oI these substances in the receiving water;
the degradation or breakdown oI these substances in the water
column or sediments;
the adsorption oI these substances by sediments;
the assimilation oI these materials by plants or animals; and
the eIIects oI these materials on diIIerent components oI the
ecosystem.
AdaptedIromMcKindseyetal.(2006).
45
planningtoolIoraquacultureinalow-costandeIIectiveway.Remote
sensingandsophisticatedGISareusuallymoresuitableashigherlevel
planningandmanagementtools,i.e.wheretheircostcanbeeIIectively
spreadacrosssectorsandwherethemechanismsIortheirmaintenance
canbemoreeasilyimplemented.
GIS can Iacilitate the task oI bringing together the criteria Ior locating
aquaculture and other activities or to defne zones suitable Ior diIIerent
activities or mixes oI activities, including aquaculture. Aguilar-
Manjarrez,KapetskyandSoto(2010)provideanextensiveoverview
on the potential oI spatial planning tools to support the ecosystem
approachtoaquaculture.
4. MONITORINGANDEVALUATION
An EAA requires monitoring and evaluation and a system Ior review and
adaptationtobebuiltintotheprocess.Thereviewprocessmustaddressthe
achievement oI overall objectives and operational objectives (Section 2.5)
according to the agreed specifc targets and standards, which can be translated
in simple indicators. OIten there is also the need to review the long term
policy (Figure 2). The timing and evaluation system will be specifc Ior each
particular situation and local conditions; however this must be done at regular
intervalstosystematicallycomparethecurrentsituationandwhathasbeen
achieved to date with reIerence points defned Ior each indicator. An EAA
wouldtypicallyincludebothcontinuousmonitoringandshort-termandlong-
termreviewandevaluationcycles.
5. FUTUREDEVELOPMENTS
Aquaculturecontinuestogrowrapidlyandprovidesanincreasingproportion
oI fshery products Ior human consumption. An ecosystem approach to
aquaculture (EAA) can identiIy Iactors contributing to resilience oI both
social and biophysical systems and provide a way to plan and manage
aquaculturedevelopmentinintegrationwithothersectorsdevelopmentand
with increased beneft to local communities.
AmainchallengeIorEAAwillcontinuetobetheovercomingoIsectoral
andintergovernmentalIragmentationoIresourcemanagementeIIortsandthe
development oI institutional mechanisms Ior eIIective coordination among
thevarioussectorsactiveintheecosystemswhereaquacultureoperatesand
amongthevariouslevelsoIgovernmentguidingandregulatingaquaculture
development. However, there is an increasing awareness about the need
Ior an ecosystem-based management across sectors and, thereIore, such
coordinationisexpectedtobeeasierinthenearIuture.
46
ThewidespreadadoptionoIanEAAwillrequireamuchtightercoupling
oIscience,policyandmanagement.Itwillrequiregovernmentstoincludethe
EAAintheiraquaculturedevelopmentpolicies,strategiesanddevelopment
plans.
The present EAA guidelines provide a general Iramework Ior
implementation and Ior the promotion oI a process oI enhanced sectoral
management at diIIerent scales, taking Iull account oI environmental and
sociallimitsandtheinterestsoIresourceusersandstakeholdersoutsidethe
aquaculturesector.However,thereisaneedIorIurtherpracticalguidance
on diIIerent implementation aspects, and FAOs Fisheries andAquaculture
DepartmentismakingeIIortstodevelopsuchpracticalimplementationaids
and toolboxes. Hence, these guidelines should be considered as a work in
progress, with potential Ior expansion, alteration and development in the
Iuture.
47
REFERENCES
Aguilar-Manjarrez,1.,Kapetsky,1.M.&Soto,D.2010.Thepotentialof
spatialplanningtoolstosupporttheecosystemapproachtoaquaculture.
Expert Workshop, 1921 November 2008, Rome, Italy. FAO Fisheries
andAquacultureProceedingsNo.17.Rome,FAO.176p.
APFIC. 2009. APFIC/FAO Regional consultative workshop Practical
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51
APPENDIX
Main potential effects and/or issues related to aquaculture inputs,
resourceuseandoutputsatdifferentspatialscales.
Issuesat
differentscales
Farm Watershed Global
IAPU1S
CollectionoIseed
Iromthewild
eIIectsonlocal
communitiesthatrely
on this fshery
eIIectsonwildstocks -
ProductionoIseed culture-based
fsheries
restockingthreatened
species
CollectionoIIeed
(e.g. trashfsh)
eIIectsonlocal
communitiesthatlive
on this fshery
- eIIectsonwildstocks
usedasIeed(e.g.
trashfsh)
ProductionoIIeed
(e.g.pellets)
livelihoodsin
countriesthat
provide fshmeal
and fsh oil
- eIIectsonpelagic
stocksusedto
produce fshmeal/
oil
ProductionoI
localIeeds
diminishing
productioncosts
increasedintegration
toothersectors
increasedlivelihood
opportunitiesand
diversifcation
Labour livelihoods
andjob
opportunities
- unIairwages
livelihoodsandjob
opportunities
- lackoIsocialsecurity
- lackoInatural
calamityinsurance
52
Issuesat
differentscales
Farm Watershed Global
InIrastructure - impactsoIlarge
constructionin
largeIarms
roadsand
communications
developmentby
privatesector
- competitionwith
fsheries Ior jetty,
portinIrastructure
RESOURCEUSE
Water - useoIwater
surIacearea
- reduceswild
fshery area
- hampers
navigation
- competingwithother
sectorsIoruseoI
Ireshwater
Land/coastal
habitats
- conversion
oIsensitive
habitatsIor
aquacultureuse
inlargeIarms
(mangroves,
wetlands)
- conversionoI
sensitivehabitats
Ioraquaculture
use(mangroves,
wetlands)
- competitionIor
coastalresources
- conversionoIrice
felds and other
agriculturallandto
fsh ponds
Energy - useoIenergy
Iorpumping
waterand
aerators
- useoIIuelsIor
transportoIproduct
tolocalmarket
- useoIIuelsIorcold
chainandtransport
oIproducttolocal
market
OU1PU1S
Biomass biomass
production
Iorhunger
alleviationand
Ioodsecurity
biomassproduction
Iorhungeralleviation
andIoodsecurity
biomassproduction
IorIoodsecurity
- negativeimpacton
fsheries through
competitionIor
commonmarkets
53
Issuesat
differentscales
Farm Watershed Global
Income provisionoI
alternative
livelihoodsand
jobs
opportunitiesIor
Iamilylabour
- unIair
distributionoI
incomes
provisionoI
alternative
livelihoodsandjob
opportunities(direct
andindirect)
opportunitiesIor
womenandother
minorities
- unIairdistributionoI
incomes and benefts
Seed supplytoother
on-growing
Iarms
restockingoI
waterbodies(culture-
based fsheries)
Nutrients extractive
speciessuchas
molluscsand
seaweedreduce
nutrientloading
- anoxic
sediments
belowcagesand
inponds
- addtonutrient
loadingclose
toIarm(Ied
species)
providesadditional
nutrientsIor
increasedprimary
productivity
- impactonsensitive
habitats(corals,
seagrasses,etc.)
- addtoeutrophication
pressures
Escapees - economicloss
totheIarm
potentialIor
additionalwild
fsheries
- potentialcarriersoI
disease
- potentialtochange
geneticsoIlocal
strains
- spreadoIexotic
species
Diseases - economicloss
totheIarm
- escapeespotential
carriersoIdiseaseIor
wild fsh
- spreadoIexotic
diseases
Chemicals - potentialto
impactlocal
Iauna and fora
The main objective of the guidelines is to assist countries, institutions and policy-makers
in the development and implementation of a strategy to ensure the sustainability of the
aquaculture sector, integration of aquaculture with other sectors and its contribution to
social and economic development.
An ecosystem approach to aquaculture is a strategy for the integration of the activity
within the wider ecosystem such that it promotes sustainable development, equity
and resilience of interlinked social-ecological systems. Being a strategy, the
ecosystem approach to aquaculture (EAA) is not what is done, but rather how it is done.
The participation of stakeholders is at the base of the strategy.
The EAA requires an appropriate policy framework under which the strategy develops
through several steps: (i) the scoping and denition of ecosystem boundaries and
stakeholder identication; (ii) identication of the main issues; (iii) prioritization of the
issues; (iv) denition of operational objectives; (v) elaboration of an implementation plan;
(vi) the corresponding implementation process, which includes reinforcing, monitoring and
evaluation; and (vii) a long-term policy review. All these are steps informed by the best
available knowledge.
I1750E/1/09.10
ISBN 978-92-5-106650-8 ISSN 1020-5292
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