Understanding and applying risk analysis in aquaculture - FAO.org

324 Pages·2008·4.31 MB·English

FISHERIES AFANOD ISSN 2
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519 AQUTAECCUHLNTIUCAREL 70-70
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PAPER 0
519

Understanding and applying
risk analysis in aquaculture

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Risk analysis is an objective, systematic, standardized and defensible method of assessing
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the likelihood of negative consequences occurring due to a proposed action or activity r
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and the likely magnitude of those consequences, or, simply put, it is “science-based a
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decision-making”. Risk analysis has mainly been applied in assessing risks to society and the d
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environment posed by hazards created by or associated with aquaculture development, g
e.g. risks of environmental degradation; introduction and spread of pathogens, pests and an
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invasive species; genetic impacts; unsafe foods; and negative social and economic impacts. a
Risk analysis provides insights and assists in making decisions that will help avoid such p
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negative impacts and allows aquaculture development to proceed in a more socially and ly
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environmentally responsible manner. An integrated approach to risk analysis will assist the g
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aquaculture sector in reducing risks to successful operations from both internal and external is
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hazards and can similarly contribute to protect the environment, society and other resource a
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users from adverse and often unpredicted impacts. This could lead to improved profitability a
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and sustainability of the sector, while at the same time improving the public’s perception of s
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aquaculture as a responsible, sustainable and environmentally-friendly activity. in
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ISBN 978-92-5-106152-7 ISSN 2070-7010
9 789251 061527
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TC/M/I0490E/1/11.08/2000 A
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Cover photos:
Left column, top to bottom: Fish farmers administering antibiotic treatment
to a suspected viral infection of fish, courtesy of M.B. Reantaso.
Middle column, top: Suminoe oyster (Crassostrea ariakensis), courtesy of E. Hallerman;
bottom: Mortalities of common carp in Indonesia due to koi herpes virus, courtesy of A. Sunarto.
Right column: Women sorting shrimp post-larvae at an Indian shrimp nursery, courtesy of M.J. Phillips.
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Understanding and applying FAO
FISHERIES AND
AQUACULTURE
risk analysis in aquaculture TECHNICAL
PAPER
519

Edited by
Melba G. Bondad-Reantaso
Fishery Resources Officer (Aquaculture)
Aquaculture Management and Conservation Service
FAO Fisheries and Aquaculture Department
Rome, Italy
James Richard Arthur
FAO Consultant
Barriere
British Columbia, Canada
and
Rohana P. Subasinghe
Senior Fishery Resources Officer (Aquaculture)
Aquaculture Management and Conservation Service
FAO Fisheries and Aquaculture Department
Rome, Italy
FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS
Rome, 2008
The designations employed and the presentation of material in this information
product do not imply the expression of any opinion whatsoever on the part
of the Food and Agriculture Organization of the United Nations (FAO) concerning the
legal or development status of any country, territory, city or area or of its authorities,
or concerning the delimitation of its frontiers or boundaries. The mention of specific
companies or products of manufacturers, whether or not these have been patented, does
not imply that these have been endorsed or recommended by FAO in preference to
others of a similar nature that are not mentioned.
The views expressed in this information product are those of the authors and
do not necessarily reflect the views of FAO.
ISBN 978-92-5-106152-7
All rights reserved. Reproduction and dissemination of material in this information
product for educational or other non-commercial purposes are authorized without
any prior written permission from the copyright holders provided the source is fully
acknowledged. Reproduction of material in this information product for resale or other
commercial purposes is prohibited without written permission of the copyright holders.
Applications for such permission should be addressed to:
Chief
Electronic Publishing Policy and Support Branch
Communication Division
FAO
Viale delle Terme di Caracalla, 00153 Rome, Italy
or by e-mail to:
[email protected]
© FAO 2008
Understanding and applying FAO
FISHERIES AND
AQUACULTURE
risk analysis in aquaculture TECHNICAL

PAPER
519
Edited by
Melba G. Bondad-Reantaso
Fishery Resources Officer (Aquaculture)
Aquaculture Management and Conservation Service
FAO Fisheries and Aquaculture Department
Rome, Italy

James Richard Arthur
FAO Consultant
Barriere
British Columbia, Canada
and
Rohana P. Subasinghe
Senior Fishery Resources Officer (Aquaculture)
Aquaculture Management and Conservation Service
FAO Fisheries and Aquaculture Department
Rome, Italy
FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS
Rome, 2008
The designations employed and the presentation of material in this information
product do not imply the expression of any opinion whatsoever on the part of the
Food and Agriculture Organization of the United Nations (FAO) concerning the
legal or development status of any country, territory, city or area or of its authorities,
or concerning the delimitation of its frontiers or boundaries. The mention of specific
companies or products of manufacturers, whether or not these have been patented, does
not imply that these have been endorsed or recommended by FAO in preference to others
of a similar nature that are not mentioned.
The views expressed in this information product are those of the author(s) and do not
necessarily reflect the views of FAO.
ISBN 978-92-5-10...........
All rights reserved. Reproduction and dissemination of material in this information
product for educational or other non-commercial purposes are authorized without
any prior written permission from the copyright holders provided the source is fully
acknowledged. Reproduction of material in this information product for resale or other
commercial purposes is prohibited without written permission of the copyright holders.
Applications for such permission should be addressed to:
Chief
Electronic Publishing Policy and Support Branch
Communication Division
FAO
Viale delle Terme di Caracalla, 00153 Rome, Italy
or by e-mail to:
[email protected]
© FAO 2008
iii
Preparation of this document
A project “Application of risk analysis to aquaculture production” was undertaken in
2007 through a desk study and an expert workshop held in Rayong, Thailand, from
7 to 11 June 2007. The project culminated in the publication of this document, which is
presented in two parts.
Part 1 contains 12 technical papers presented during the expert workshop, contributed
by 23 specialists and peer-reviewed by nine experts. These include seven commissioned
sectoral review papers addressing the seven identified major risk sectors of aquaculture
production: pathogen risks, food safety and public health risks, genetic risks, ecological
risk assessment and management of exotic organisms, environmental risks, financial
risks and social risks, as well as an additional five contributed papers addressing the
following topics: general principles of risk analysis, introduced marine species risk
assessment, guidelines for ecological risk assessment of marine fish aquaculture, the
aquaculture insurance industry risk analysis process and risk analysis experiences from
small-scale shrimp farmers in India. Part 2 of this document contains the highlights of
the FAO/NACA Expert Workshop on Understanding and Applying Risk Analysis in
Aquaculture, with 42 experts participating.
The commissioned review papers and expert workshop were technically supervised
by Dr Melba B. Reantaso, Fishery Resources Officer and Dr Rohana P. Subasinghe,
Senior Fishery Resources Officer of the Aquaculture Management and Conservation
Service, Fisheries and Aquaculture Management Division of the FAO Fisheries and
Aquaculture Department.
The study, workshop and publication were made possible with financial assistance
through the Programme Cooperation Agreement of Norway under B.1 and D.1
objectives administered through the FishCode Programme of the FAO Fisheries and
Aquaculture Department and the Nutrition and Consumer Protection Division of the
FAO Agriculture and Consumer Protection Department, respectively.
iv
Abstract
As a food-producing sector, aquaculture has surpassed both capture fisheries and the
terrestrial farmed meat production systems in terms of average annual growth rate.
However, it has a number of biosecurity concerns that pose risks and hazards to both its
development and management, and to the aquatic environment and society. Aquaculture
faces risks similar to those of the agriculture sector. However, as aquaculture is very
diverse (in terms of species, environments, systems and practices), the range of hazards
and the perceived risks are complex. Multiple objectives are driving the application of
risk analysis to aquaculture. Foremost is for resource protection (human, animal and
plant health; aquaculture; wild fisheries and the general environment) as embodied in
international agreements and responsibilities. The other drivers of risk analysis are: (i)
food security, (ii) trade, (iii) consumer preference for high quality and safe products, (iv)
production profitability and (v) other investment and development objectives.
The expert workshop, using a series of seven review papers commissioned by the
desk study, focused on the importance and application of risk analysis to seven major
risk sectors of aquaculture production: pathogen risks, food safety and public health
risks, ecological (pests) risks, genetic risks, environmental risks, financial risks and social
risks. Part 1 of the document consists of 12 peer-reviewed technical papers relative to the
application of risk analysis to aquaculture that were prepared by 23 specialists papers
on: general principles of risk analysis, food safety and public health risks associated with
products of aquaculture, pathogen risk analysis, application of risk analysis to genetic
issues in aquaculture ecological risk assessment and management of exotic organisms,
introduced marine species risk assessment, guidelines for ecological risk assessment of
marine fish aquaculture, the aquaculture insurance industry risk analysis process and
risk analysis experiences from small-scale shrimp farmers in India. Part 2 contains the
detailed outcomes of the deliberations of 42 experts who developed the contents of a
Manual on the Application of Risk Analysis to Aquaculture, discussed in great length
the seven risk sectors and reached general conclusions and specific recommendations to
enhance the application of the risk analysis process to aquaculture production.
Risk analysis methods as applied to the seven risk sectors have many commonalities
but also many differences. An overriding feature is a firm foundation in drawing
upon the results of scientific studies, the use of logic or deductive reasoning and the
application of common sense in assessing risk and applying risk management measures.
General principles that apply to risk analysis for aquaculture include application of the
precautionary approach when dealing with uncertainty, transparency of the process,
consistency in methodolody, use of stakeholder consultation, application of high level of
stringency, use of minimal risk management interventions needed to achieve an acceptable
level of risk, the concept of unacceptable risk and recognition that some "risky" actions
cannot be managed and therefore should not be permitted under any circumstance, and
the concept of equivalence where alternative risk management measures achieving the
required level of protection are equally acceptable.
Bondad-Reantaso, M.G.; Arthur, J.R.; Subasinghe, R.P. (eds).
Understanding and applying risk analysis in aquaculture.
FAO Fisheries and Aquaculture Technical Paper. No. 519. Rome, FAO. 2008. 304p.
v
Contents
Preparation of this document iii
Abstract iv
Acknowledgements vii
Contributors viii
Reviewers x
Acronyms and abbreviations xi
PART 1 – CONTRIBUTED PAPERS ON UNDERSTANDING AND APPLYING
RISK ANALYSIS IN AQUACULTURE 1
General principles of the risk analysis process and its application to
aquaculture 3
J. Richard Arthur
Food safety and public health risks associated with products of aquaculture 9
Iddya Karunasagar
Pathogen risk analysis for aquaculture production 27
Melba G. Bondad-Reantaso and J. Richard Arthur
Application of risk analysis to genetic issues in aquaculture 47
Eric Hallerman
Ecological risk assessment and management of exotic organisms
associated with aquaculture activities 67
Kenneth M.Y. Leung and David Dudgeon
Application of risk analysis to environmental issues in aquaculture 101
Michael J. Phillips and Rohana P. Subasinghe
Introduced marine species risk assessment – aquaculture 121
Marnie L. Campbell and Chad L. Hewitt
Guidelines for ecological risk assessment of marine fish aquaculture 135
Colin E. Nash, Peter R. Burbridge and John K. Volkman
Financial risk analysis in aquaculture 153
Lotus E. Kam and Pingsun Leung
Social risks in aquaculture 209
Pedro B. Bueno
Aquaculture insurance industry risk analysis processes 229
Philip A.D. Secretan
Risk analysis in aquaculture – experiences from small-scale shrimp
farmers of India 247
N.R. Umesh, C.V. Mohan, M.J. Phillips, B.V. Bhat, G. Ravi Babu,
A.B. Chandra Mohan and P.A. Padiyar
PART 2 – PROCEEDINGS OF THE FAO/NACA EXPERT WORKSHOP ON
UNDERSTANDING AND APPLYING RISK ANALYSIS IN AQUACULTURE,
RAYONG, THAILAND, 7–11 JUNE 2007 255
BACKGROUND 257
FAO initiatives in risk analysis for aquaculture and aquatic species 257
The current project: “Application of risk analysis in aquaculture production” 258
vi
TECHNICAL WORKSHOP 259
Purpose 259
Participation 259
Process 260
WORKING GROUP FINDINGS 265
Working Group 1: Development of the contents of the Manual on
Understanding and Applying Risk Analysis in Aquaculture 265
Working Group 2: Identification and grouping of hazard categories
and assessment methodologies 265
Working Group 3: Hazards identification with emphasis on social,
financial/economic and cultural aspects 279
CONCLUSIONS AND RECOmmENDATIONS 281
ANNEXES 287
1 Experts and expert profiles 287
2 Expert workshop programme 301
3 Expert workshop group photo 304