Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture A handbook FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS/ THE WORLD BANK Rome, 2017 Cover photograph: Oyster culture in Chanthaburi, Thailand Molluscs feed low on the food chain, which make them a relatively cheap source of protein. Culture plots can be established and managed by individual farmers, a cluster of farmers, or the community. This neat and well-managed stretch of oyster culture units in Chantaburi Province, Thailand, reflects some of the advantages of community-based aquaculture management in terms of an equitable and conflict-free access to the water resource, clean culture environment and improved incomes. Off-bottom culture techniques include polyethylene rafts, longlines, racks and cages. Courtesy of Pornsak / Shutterstock.com Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture A handbook José Aguilar-Manjarrez Aquaculture Officer Aquaculture Branch FAO Fisheries and Aquaculture Department Rome, Italy Doris Soto Senior Scientist Interdisciplinary Center for Aquaculture Research Puerto Montt, Chile and Randall Brummett Senior Aquaculture & Inland Fisheries Specialist Environment and Natural Resources Department World Bank Washington, DC. United States of America FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS THE WORLD BANK Rome, 2017 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), or of the World Bank 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, or the World Bank 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 or policies of FAO, or the World Bank. 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PREPARATION OF THIS DOCUMENT This publication builds on the experiences gained in that expert workshop. This document was validated The Seventh Session of the Sub-Committee on by contributors to this publication and other Aquaculture of the FAO Committee on Fisheries international experts at a workshop in Izmir, Turkey, (COFI) acknowledged the growing importance of on 5–8 July 2015. It was also tested in a few countries spatial planning to promote aquaculture growth, and such as Angola, Kenya and the United Republic of requested the Food and Agriculture Organization of Tanzania before it was finalized. the United Nations (FAO) to develop a step-by-step guide for the implementation of spatial planning The purpose of the publication is to provide practical tools and continue capacity building in developing guidance on spatial planning to managers, policy- countries. Furthermore, environmental, aquatic animal makers, technical staff and farmers. The publication health and socioeconomic issues require an ecosystem reviews spatial planning and management of approach to management of the sector moving aquaculture development within the framework of beyond individual farms to the management of the ecosystem approach to aquaculture development, spatial units such as aquaculture zones or aquaculture and also presents suggestions for a strategy for their management areas. To this end, FAO in partnership implementation using an area management approach with the World Bank have prepared this publication to ensure greater sustainability for future aquaculture on aquaculture zoning, site selection and aquaculture development initiatives by governments. It is based on management areas under the ecosystem approach the FAO Code of Conduct for Responsible Fisheries, to aquaculture. It is aimed primarily at managers and which contains principles and provisions in support of policy-makers, but has relevance to a wide range of sustainable aquaculture development. The publication stakeholders. is global in its reach and is aimed to be of relevance and use in developing countries. An expert workshop on Site Selection and Carrying Capacities for Inland and Coastal Aquaculture The handbook and Annexes 1, 2, 3 and 4 were convened on 6–8 December 2010 at the Institute edited by FAO/World Bank. However, Annexes 5 of Aquaculture, University of Stirling, the United (case studies) and 6 (workshop report) have been Kingdom of Great Britain and Northern Ireland, and reproduced as submitted. proposed the development of a guide for aquaculture site selection and carrying capacity estimation within an ecosystem approach to aquaculture. Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture | iii ABSTRACT Part two of the publication includes six annexes that present key topics, including: (i) binding and non- The ecosystem approach to aquaculture provides legally binding international instruments, which set the the conceptual guideline for spatial planning and context for sustainable national aquaculture; management. This publication describes the major (ii) biosecurity, zoning and compartments, infected steps related to these activities. The rationale for and zones and disease-free zones; (iii) aquaculture objectives of each step, the ways (methodologies) to certification and zonal management; (iv) an overview implement it, and the means (tools) that are available of key tools and models that can be used to facilitate to enable a methodology are described in a stepwise and inform the spatial planning process; (v) case fashion. Recommendations to practitioners and studies from ten countries–Brazil, Chile, China, policy-makers are provided. A separate policy brief Indonesia, Mexico, Oman, the Philippines, Turkey, accompanies this paper. The benefits from spatial Uganda and the United Kingdom of Great Britain and planning and management are numerous and include Northern Ireland; and (vi) a workshop report. higher productivity and returns for investors, and more effective mitigation of environmental, economic and The country case studies illustrate key aspects of the social risks, the details of which are provided in this implementation of spatial planning and management paper. While the costs are not explicit, the publication at the national level, but mostly within local contexts. describes the resources required–some in broad terms, Take-home messages include the ways in which others in more detail –to apply the methodologies and institutional, legal and policy issues are addressed to to acquire and use essential tools. implement the process, or parts of the process. Some of the case studies such as Chile, Turkey and the This publication is organized in two parts. Part one is United Kingdom of Great Britain and Northern Ireland the “Guidance”; it is the main body of the document provide examples of the benefits to the aquaculture and describes the processes and steps for spatial industry from the application of spatial planning and planning, including aquaculture zoning, site selection management. and area management. Aguilar-Manjarrez, J., Soto, D. & Brummett, R. 2017. Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture. A handbook. Report ACS18071. Rome, FAO, and World Bank Group, Washington, DC. 62 pp. Includes a USB card containing the full document (395 pp.). iv | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture CONTENTS 5. Site selection 27 5.1 Assessment of suitability for aquaculture 27 Preparation of this document iii 5.2 Detailed estimation of carrying capacity Abstract iv for sites 29 List of tables vi 5.3 Biosecurity planning and disease control 32 List of figures vii 5.4 Authorization arrangements 34 List of boxes vii 5.4.1 Aquaculture licences or permits 34 Acknowledgements viii 5.4.2 Aquaculture leases 35 Abbreviations and acronyms ix Foreword x 6. Aquaculture management areas 37 6.1 Delineation of management area boundaries with appropriate stakeholder consultation 37 1. Introduction 1 6.2 Establishing an area management entity 1.1 Objectives and target audience 1 involving local communities as appropriate 38 1.2 Why spatial planning of aquaculture? 2 6.2.1 What does the area management 1.3 The ecosystem approach to aquaculture 3 entity do? 41 6.3 Carrying capacity and environmental 2. Implementation of aquaculture spatial monitoring of AMAs 45 planning and management 5 6.3.1 Some key actions to establish ecological 2.1 Process 5 carrying capacity and maximum allowable 2.2 Recommended steps 6 aquaculture production in aquaculture zones and aquaculture management areas 48 3. Scoping 11 6.4 Disease control in AMAs 50 3.1 Review of national and subnational 6.5 Better management practices 51 priorities for aquaculture 11 6.6 Group certification 51 3.2 Identification of relevant stakeholders 6.7 Essential steps in the implementation for consultation 11 and evaluation of a management plan 3.3 Review and possible adaptation of laws, for an AMA 51 policies, regulations and institutional frameworks affecting aquaculture 12 3.4 Identification of general issues and References opportunities 13 (for main text of guidance, annexes have 3.5 Identification of potential for cultured their specific references) 54 species and farming systems 15 4. Zoning 17 Glossary 59 4.1 Identification of areas suitable for aquaculture 18 4.2 Identification of issues and risks in zoning 20 Annexes (available in USB card and online) 63 4.3 Broad carrying capacity estimation 1. Binding and non-legally binding for aquaculture zones 22 international instruments, that govern 4.3.1 Ecological carrying capacity 23 sustainable aquaculture 4.3.2 Social carrying capacity 25 Arron Honniball and Blaise Kuemlangan 63 4.4. Biosecurity and zoning strategies 25 4.5 Legal designation of zones for aquaculture 25 Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture | v 2. Biosecurity, zoning and compartments, LIST OF TABLES infected zones, disease-free zones David Huchzermeyer and Melba G. Bondad- 1. Users of this publication 1 Reantaso 67 2. Problems associated from the lack of 3. Aquaculture certification and zonal spatial planning and opportunities through management aquaculture zoning and area management 3 Anton Immink and Jesper Clausen 87 3. Main characteristics of the process for 4. Tools and models for aquaculture zoning, scoping, zoning, site selection and area site selection and area management management for aquaculture 6 Richard Anthony Corner and 4. Potential framework to guide the José Aguilar-Manjarrez 95 implementation of aquaculture spatial planning and area management 9 5. Case studies 146 5. Policy, institutional and legal aspects Brazilian Aquaculture Parks–Fish Farming involved in sustainable aquaculture planning and Mariculture and management 14 Felipe Matias 148 6. Examples of zoning initiatives in different Chile Case: The Spatial Planning of Marine countries 17 Cage Farming (Salmon) 7. Essential criteria for scoping, zoning, site Adolfo Alvial 170 selection and aquaculture management areas. Zonal Aquaculture Management in China Depending upon the species and systems and Indonesia being considered for aquaculture, Anton Immink, Han Han, Pamudi and other criteria deserve consideration 21 Jack Morales 198 8. Criteria and data requirements to address Spatial Planning of Marine Finfish production, ecological, and social Aquaculture Facilities in Indonesia opportunities and risks 28 Roberto Mayerle, Ketut Sugama, 9. Some examples of regulated site-to-site Karl-Heinz Runte, Nyoman Radiarta and minimum distances 29 Stella Maris Vallejo 222 10. Distances between salmon aquaculture sites Shrimp Farming in Mexico and other areas in British Columbia, Canada 30 Giovanni Fiore Amaral 253 11. Common issues to be addressed Aquaculture Site Selection and Zoning in aquaculture management areas 43 in Oman 12. Examples of indicators for aquaculture Dawood Suleiman Al-Yahyai 271 management areas 52 Mariculture Parks in the Philippines 13. Examples of management plan Patrick White and Nelson A. Lopez 287 objectives and indicators to address Mariculture Parks in Turkey the prioritized issues 53 Güzel Yücel-Gier 314 Aquaculture Parks in Uganda Nelly Isyagi 332 Aquaculture Zoning, Site Selection and Area Management in Scottish Marine Finfish Production Alexander G. Murray and Matthew Gubbins 358 6. Workshop report 374 Pete B. Bueno vi | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture LIST OF FIGURES 6. Monitoring and modelling of bloom events in the Gulf of Ancud and Corcovado, south 1. Potential steps in the spatial planning and of Puerto Montt in Chile 42 management process for coastal, marine 7. Output from a particulate waste distribution and inland aquaculture 7 model (TROPOMOD) developed for fish cage 2. Suitability for small-scale farming and culture, which provides a footprint of organic potential yield (crops/year) of Nile tilapia enrichment beneath clusters of fish farms in Africa 20 (Panabo Mariculture Park, the Philippines) 46 3. Output from a particulate waste distribution 8. Example output from GIS to identify potential model developed for fish culture in Huangdun sites for cage aquaculture within a zone along Bay, China, using GIS, which provides a footprint the Red Sea coast of Saudi Arabia 49 of organic enrichment beneath fish farms 32 4. Changes in productivity for three species of fish (kg harvest per smolt) under LIST OF BOXES overcrowded (pre-2009) and properly spaced (post-2008) farm density 33 1. A guide to stakeholder identification 5a. Conceptual arrangement of aquaculture in aquaculture planning and management 12 farming sites clustered within management 2. Area-based environmental monitoring areas designated within aquaculture zones. systems to address climatic variability Coastal and marine aquaculture 39 and climate change 46 5b. Conceptual arrangement of aquaculture farming sites clustered within management areas designated within aquaculture zones. Inland aquaculture 39 Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture | vii ACKNOWLEDGEMENTS The authors wish to further acknowledge the contributions of David Huchzermeyer and The authors gratefully acknowledge the valuable Melba G. Bondad-Reantaso for their inputs on contributions of the individuals who provided support biosecurity; Blaise Kuemlangan, David VanderZwaag, during the preparation process of this paper. In this Arron Honniball and Jorge Bermudez for their inputs regard, the authors would like to give special thanks on the policy and legal aspects; Anton Immink and to the authors of the ten case studies presented Jesper Hedegaard Clausen for drafting a chapter on in this document, they are: Felipe Matias (Brazilian aquaculture certification and zonal management; and Aquaculture Parks–Fish Farming and Mariculture); Richard Anthony Corner for his inputs on carrying Adolfo Alvial (Chile Case: The Spatial Planning of capacity and for the chapter on tools and models. Marine Cage Farming [Salmon]); Anton Immink, Han Han, Pamudi and Jack Morales (Zonal A separate policy brief that accompanies this paper Aquaculture Management in China and Indonesia); was prepared with inputs of Pete Bueno. The authors Roberto Mayerle, Ketut Sugama, Karl-Heinz Runte, would also like to thank the Institute of Marine Nyoman Radiarta and Stella MarisVallejo (Spatial Sciences and Technology, Dokuz Eylul University, for Planning of Marine Finfish Aquaculture Facilities in hosting the workshop in Turkey in 2015 where this Indonesia); Giovanni Fiore Amaral (Shrimp Farming in publication was presented and improved, and in Mexico); Dawood Suleiman Al-Yahyai (Aquaculture particular Guzel Yucel Gier for her kind assistance in Site Selection and Zoning in Oman); Patrick White the organization and assistance at the workshop. and Nelson A. Lopez (Mariculture Parks in the The authors thank Maria Giannini for proofreading the Philippines); Alexander G. Murray and Matthew document, and the participants at the workshop in Gubbins (Aquaculture Zoning, Site Selection and Area Turkey for their valuable inputs. The document layout Management in Scottish Marine Finfish Production); specialist was Koen Ivens. Güzel Yücel-Gier (Mariculture Parks in Turkey); and Nelly Isyagi (Aquaculture Parks in Uganda). This publication has been realized with the financial support of the World Bank. Special thanks go to Richard Anthony Corner for providing valuable edits during the final review process and to Patrick White for preparing notes for the first draft of this publication. viii | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture ABBREVIATIONS AND ACRONYMS MOM Modelling–Ongrowing fish farms– Monitoring AMA aquaculture management area BMP better management practice COFI AO Committee on Fisheries EQS environmental quality standards DEPOMOD computer particle tracking model FARM Farm Aquaculture Resource DFO Department of Fisheries and Oceans Management Canada FCR feed conversion ratio EAA ecosystem approach to aquaculture HAB harmful algal bloom EIA environmental impact assessment HACCP hazard analysis and critical control point FAO Food and Agriculture Organization of IMTA integrated multi-trophic aquaculture the United Nations ISA infectious salmon anemia GIS geographic information system SSPO Scottish Salmon Producers IUCN International Union for Conservation Organisation of Nature and Natural Resources Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture | ix FOREWORD social and economic outcomes resulting from aquaculture development and at the same time With increasing wealth, health consciousness and protecting the environment, all essential elements global population, coupled with continued reliance of of the “Blue Economy”. It is also a key element in poor coastal communities on fish for protein, demand building resilience to climate change and resolving for seafood is increasing. Current levels of wild capture transboundary issues around trade and biosecurity. fisheries are unsustainable and declining. Aquaculture is a key component of closing the distance between The Food and Agriculture Organization of the United demand and supply. Nations (FAO) Fisheries and Aquaculture Proceedings No. 21 on Site selection and carrying capacities for New investment in the order of US$100 billion is inland and coastal aquaculture, published in 2013, needed to grow aquaculture, but the generally lays out the theoretical underpinnings of an ecosystem small scale and organic growth of the aquaculture approach to aquaculture. This handbook seeks to industry has made it difficult to plan and regulate, describe its implementation and ensure that countries contributing importantly to the high levels of risk and communities can integrate their investments in perceived by potential new investors. In particular, aquaculture within the wider ecosystem, such that poor spatial planning can undermine the viability it promotes sustainable development, equity, and of businesses and the social and economic benefits resilience of interlinked socio-economic systems. derived from aquaculture development. Vulnerability to external shocks, the outbreak and spread of Good spatial planning and management are absolutely disease, environmental impacts, and social conflicts essential if aquaculture is to maximize its potential with other resource users are all symptomatic of to reduce poverty and hunger and meet the demand bad planning. And, of course, the flip side is true: from the growing middle class. The World Bank good spatial planning can attract investment while and FAO together are delighted to have, at last, a ensuring equitable access to ecosystem services by comprehensive handbook to help us do just that. communities, helping countries achieve the desired Malcolm Beveridge Valerie Hickey Acting Head Practice Manager, Strategy and Operations Aquaculture Branch Environment and Natural Resources Management FAO Fisheries and Aquaculture Department The World Bank Rome Washington, DC x | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture 1. INTRODUCTION This publication is presented in two parts. Part 1 “Guidance” is the main body of the document and 1.1 Objectives and target audience describes the processes and steps for spatial planning, including aquaculture zoning, site selection and area Generally, the starting point for national aquaculture management.2 planning comes from a need for fish, jobs and/ or taxable revenues from organized aquaculture Specific processes and steps are placed in their relevant development. Unplanned aquaculture development context to highlight their rationale and how they has led to negative environmental and social impacts can be applied within a spatial planning framework. that can outweigh the benefits of growing more The guidance (Part 1) can be used as a “standalone” fish or other aquatic products. Some countries with section by policy-makers, planners and stakeholders experience in aquaculture have adopted spatial with reference to Part 2 as appropriate. The guidance planning1 based on a balance between environmental is necessarily generic because the approaches will vary carrying capacity, social risks and economic significantly depending on location and application, opportunities to minimize negative impacts while but broadly agreed-upon steps and a common permitting the industry to contribute to the national framework for more sustainable approaches are economy. The main objective of this publication is to described. Possible activities and spatial planning tools provide practical guidance on spatial planning to a are briefly introduced in Part 1 with a few examples of broad range of stakeholders. These stakeholders are their application. the target audience for this publication and include policy-makers, regulators, developers, farm managers, Part 2 includes “six annexes” that present key topics: scientists and providers of extension services, whose (i) binding and non-legally binding international relevance is defined in Table 1. instruments, which set the context for sustainable TABLE 1. Users of this publication Users Relevant processes and activities Policy-makers Guide on policies, requirements and processes for responsible aquaculture planning and management Regulators All the sections and steps are relevant to improve norms, regulations and enforcement, including zoning, site selection, licencing and permitting, fish health management, area management systems, monitoring and feedback Farm developers Relevant guide on farm site selection, carrying capacity and maximum production limits, environmental impact assessments and biosecurity Farm managers Management of the farm and coordination with neighbouring farms within the aquaculture management area for biosecurity, health management and environmental management Scientists Zone and site selection tools, carrying capacity estimation, and environmental and health monitoring surveys Extension services Support zoning processes, aquaculture management area development and servicing, including biosecurity 1 Spatial planning refers to the methods used by the public sector to influence the distribution of people and activities in spaces of various scales. Spatial planning takes place at the local, regional, national and international levels and often results in the creation of a spatial plan. Spatial planning also entails a system that is not only spatial, but one that also engages processes and secures outcomes that are sustainable, integrated and inclusive (FAO, 2013). 2 A separate policy brief accompanies this paper. See FAO & World Bank. 2015. Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture. Policy brief. Rome, FAO. (also available at www.fao.org/documents/card/en/c/4c777b3a-6afc-4475-bfc2- a51646471b0d/) |1 national aquaculture; (ii) biosecurity, zoning and have farm sites based in locations that are suitable for compartments, infected zones and disease-free zones; sustainable production. All aquaculture species have (iii) aquaculture certification and zonal management; specific biological needs such as oxygen, temperature (iv) an overview of key activities and relevant tools and good water quality that have to be fulfilled to that can be used to facilitate and inform the spatial secure high production and to minimize stress and planning process; (v) case studies from ten countries disease. Location of aquaculture farms require access –Brazil, Chile, China, Indonesia, Mexico, Oman, the to land and water where use must also co-exist Philippines, Turkey, Uganda and the United Kingdom with other human activities. Access to roads and of Great Britain and Northern Ireland; and (vi) a electricity (infrastructure) is also necessary. A poor workshop report. A summary analysis of the ten case location of an aquaculture farm or zone will not only studies is provided to highlight the main gaps and create environmental problems such as localized issues in the processes of zoning, site selection and eutrophication, it may also have a broader impact on design of aquaculture management areas. The ten environmental, social and economic aspects, such as case studies are presented in detail to describe the conflicts with other human activities over the use of processes and steps carried out by each country. inland and coastal zone resources, that can detract from the benefits of a sustainable aquaculture industry. Part 2 should be read in conjunction with Part 1, as the latter provides the context and rationale for the former. Common problems arising from the lack of spatial The most important activities and tools that can be used planning and management of aquaculture can be to facilitate more integrated planning are reviewed. categorized as: (i) fish disease; (ii) environmental Where appropriate, the reader is directed to other more issues; (iii) production issues; (iv) social conflict; comprehensive reviews and other documents. (v) post-harvest and marketing issues; (vi) risk financing; and (vii) lack of resilience to climatic This publication provides practical advice based variability, climate change and other external threats on field experience in planning of aquaculture and disasters. Spatial planning and management using selected case studies from around the world. of aquaculture can be done at several geographical Practitioners are encouraged to select, modify and scales to address problems in aquaculture and provide continuously adapt their approaches and tools to their opportunities to enhance development (Table 2). own specific circumstances. It calls for pragmatic and systematic, but flexible planning and management, When spatial planning is within a Blue Growth or combined with a good dose of participation, patience, Blue Economy Programme, there are additional persistence, adequate funding and good governance opportunities to link to other initiatives such as to create an enabling environment conducive to innovative financing and energy efficiencies which can sustainable aquaculture development. improve social, economic and ecosystem outcomes.3 1.2 Why spatial planning of aquaculture? Spatial planning could also be a means to improve Inappropriate spatial arrangement and site selection negative public perception about potential of aquaculture is a major constraint to sustainable environmental impacts, especially those associated development and expansion of the industry. To create with marine fish farming, and on access to and use a successful aquaculture business, it is necessary to of coastal resources.4,5 3 FAO. 2015. Achieving Blue Growth through implementation of the Code of Conduct for Responsible Fisheries. Policy Brief. Rome, FAO. (also available at www.fao.org/fileadmin/user_upload/newsroom/docs/BlueGrowth_LR.pdf). 4 Bacher (2015) provides a global overview and synthesis of studies on perceptions of aquaculture in both developed and developing countries. The document also includes recommendations for policy-makers, the industry and other stakeholders on improving public understanding of aquaculture and on the roles various actors can play in this process. 5 The FAO workshop “Increasing Public Understanding and Acceptance of Aquaculture – the Role of Truth, Transparency and Transformation” was held in Vigo, Spain, in October 2015. The workshop covered a number of core topics related to the perceptions of aquaculture, including transparency and ethics, communication, collaboration, responsibilities and new approaches to better management of sector performance and perceptions (FAO, 2016a). 2 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture TABLE 2. Problems associated from the lack of spatial planning and opportunities through aquaculture zoning and area management Problems Opportunities Fish disease and lack of effective biosecurity, e.g. when .JOJNJ[FGJTIEJTFBTFSJTLTBOEDPPSEJOBUFESFTQPOTFUP t farms are too close to each other and/or do not respect outbreaks. basic rules of farm-level disease prevention. *NQSPWFBDDFTTUPGJOBODFXIFOPWFSDPNJOHCJPTFDVSJUZ t concerns. Environmental issues such as eutrophication, biodiversity #FUUFSDPPSEJOBUFEBOEJOUFHSBUFEBQQSPBDIFTUPUIFVTF t and ecosystem service losses, e.g. when there are too many and management of natural resources. farms in a given area or waterbody. t*NQSPWFEBOJNBMXFMGBSFBOEHSPXUISBUFT Production issues such as lower growth and biomass of t*NQSPWFEGJMUFSGFFEFSTQSPEVDUJWJUZBOEZJFME filter feeders (e.g. oysters, mussels) due to excessive farming density and overharvesting of common-pool oxygen and microalgae. Social conflicts, equity issues and lack of public confidence *NQSPWFEBDDPVOUBCJMJUZBOEUSBOTQBSFODZUISPVHI t in the sustainability of aquaculture, e.g. when aquaculture relevant stakeholder involvement at all levels and is competing with other users for access to water and space documented environmental management. use. JNQSPWFEQVCMJDQFSDFQUJPOPGBRVBDVMUVSF t Post-harvest and marketing issues, e.g. when individual $MVTUFSTPGGBSNFSTIBWJOHCFUUFSBDDFTTUPDPNNPO t neighbour farmers do not have access to post-harvest post-harvest processes and other services. services. "SFBCBTFENBOBHFNFOUBOEDFSUJGJDBUJPOBTB t governance and risk-sharing model for sustainable aquaculture. Risk financing. National governments and financing /BUJPOBMMFWFMJOGPSNBUJPOPOBSFBTBWBJMBCMFUPJOWFTUPO t institutions do not have a good knowledge of where aquaculture. the prospects for aquaculture development are the most *NQMFNFOUJOHBSFBCBTFENBOBHFNFOUTUSBUFHJFT t promising before committing resources to development. (e.g. clusters of farmers) to facilitate access to finance. Lack of resilience to climatic variability, climate change, t"NPSFSFTJMJFOUTFDUPS CFUUFSBEBQUFEUPTIPDLT and other external threats and disasters, e.g. hurricanes, .PSFFGGFDUJWFNFDIBOJTNTGPSHPWFSONFOUTBOEPUIFS t tsunamis, drought, and industrial pollution of water sources. institutions, including civil society organizations, to deliver services and fulfil their commitments to sustainable aquaculture development. 1.3 The ecosystem approach to aquaculture development should be a planned activity that is One of the major challenges for the sustainable designed in a more responsible manner so as to development of aquaculture is the sharing of water, minimize negative social and environmental impacts land and other resources with alternative uses, such as much as possible. One essential step is appropriate as fisheries, agriculture and tourism. Spatial planning spatial planning at the local, regional and national for aquaculture, including zoning, site selection levels, and accounting for transboundary issues where and the design of aquaculture management areas, these are relevant. Although many of the social and should consider the balance between the social, environmental concerns surrounding impacts derived economic, environmental and governance objectives from aquaculture may be addressed at the individual of local communities and sustainable development. farm level, most impacts are cumulative. Impacts may It is now widely recognized that further aquaculture be insignificant when an individual farm is considered, Introduction | 3 but potentially highly significant when multiple farms The EAA provides a planning and management are located in the same area, or when the entire framework to effectively integrate aquaculture into sector is taken as a whole. The process and steps local planning, and give clear mechanisms for engaging through which aquaculture is spatially planned and with producers and the government for the effective managed, and integrated into the local economy and sustainable management of aquaculture operations by ecological context is termed the ecosystem approach taking into account local and national social, economic, to aquaculture (EAA). Three principles govern the environmental and governance objectives. implementation of the EAA: (i) Aquaculture should be developed in the context The EAA benefits from having a national aquaculture of ecosystem functions and services (including and/or other relevant policy (e.g. food security, coastal biodiversity) with no degradation of these beyond zone management) to guide implementation, and their resilience. depends on legally binding and fair regulation and (ii) Aquaculture should improve human well-being allocation of user rights. Mandated under the EAA with equity for all relevant stakeholders (e.g. access are permanent stakeholder consultations and use rights and fair share of incomes). of best available knowledge to underpin policy and (iii) Aquaculture should be developed in the context of enforcement (FAO, 2010). other sectors, policies and goals, as appropriate. 4 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture 2. IMPLEMENTATION such proximity that disease and water quality are OF AQUACULTURE SPATIAL best managed collectively rather than by individual PLANNING AND MANAGEMENT farms. 2.1 Process An aquaculture zone can be all or part of any hydrological system that is at least partly suitable for A process for aquaculture site selection and carrying aquaculture, whether it be the open ocean (normally capacity estimation within the framework of an within the exclusive economic zone), a bay, part of ecosystem approach to aquaculture was initially a river or estuary, or any inland waterbody (lake or elaborated by Ross et al. (2013). A comprehensive dam). The creation of zones facilitates the integration planning process should begin with the formation of aquaculture activities into areas already being of an appropriate task team to evaluate the pros and exploited by other users. The effectiveness of zoning cons of aquaculture and to create a roadmap for its depends upon its simplicity, clarity and degree of local sustainable development. The task team is usually support. comprised of government policy-makers and technical experts in aquaculture, business development and Site selection is the process by which the biophysical aquatic ecosystem management. attributes of a prospective site are compared with the needs of cultured organisms and the The first activity of the aquaculture task team is proper functioning of aquaculture farms. Poor site to undertake a national scoping exercise aimed at selection is a major cause of failure in aquaculture establishing objectives for aquaculture, reviewing development. This process is normally led by the relevant laws, identifying general areas that might be private sector, local landowners and others seeking suitable for various types of aquaculture, establishing to embark on an aquaculture business venture. national priorities for ecosystem conservation and Governments maintain control through clear conversion, and determining who might be the relevant regulations that define the process and requirements stakeholders to engage in decision-making. Scoping is for site licencing. often done within the context of a national aquaculture strategy or policy exercise and influences each As all farms within a constrained space contribute subsequent step in the spatial management process. to nutrient loading, the spread of diseases and other impacts of aquaculture, some kind of collective Once scoping has identified aquaculture as a priority management is often needed. AMAs are defined at the national level, detailed plans are elaborated for as shared waterbodies, or parts thereof, where all progressively smaller geographical units at the regional the aquaculture operators agree (coordinate and and local levels, as appropriate. The process of spatial cooperate) to certain management practices or planning usually consists of the following three steps: codes of conduct that act to minimize the overall impacts from their collective activities. Estimation and (i) Aquaculture zoning: bringing together the criteria evaluation of the biological carrying capacity of zones, for locating aquaculture and other activities in farm sites and AMAs, and biosecurity considerations order to define broad zones suitable for different are the baseline upon which allowable fish and farm activities or mixes of activities. density are based. (ii) Site selection: identifying the most appropriate locations for individual farm development within Once AMAs have been established with a clear zones. management plan, a system for monitoring (iii) Aquaculture management areas (AMAs): within the plan is needed to allow for review and zones, AMAs contain a number of individual farms iterative adjustment as the need arises. Individual that share a common water supply and/or are in components of the plan such as biosecurity, |5 social and environment measures will need to be new to a country or to a large geographical area, periodically adjusted as technology and the local practicioners might want to start with a broad scoping production and socio-economic context evolve. exercise, followed by zoning, site selection, design of A schematic diagram of the potential steps in aquaculture management areas, and elaboration of the spatial planning and management process is the corresponding management plans. In countries presented in Figure 1. or geographical areas where aquaculture farms/ structures are well established, however, it may not 2.2 Recommended steps be possible to relocate farm/structures (e.g. ponds, tanks, raceways) to meet carrying capacity, biosecurity The order in which the main steps shown in Figure 1 and socially acceptable thresholds. Under these and Table 3 are taken depends upon the local circumstances, there may be an obligation to begin situation. For example, when aquaculture is completely with the definition of AMAs and management plans; TABLE 3. Main characteristics of the process for scoping, zoning, site selection and area management for aquaculture Characteristics Scoping Zoning Site selection Area management Main purpose Plan strategically for Regulate development; Reduce risk; Protect environment; development and minimize conflict; optimize production reduce disease risk; management reduce risks; reduce conflict maximize complementary uses of land and water Spatial scale Global to national Subnational Farm or farm clusters Farm clusters Executing Organizations National and local Commercial Farmer associations; entity operating globally; governments entities regulating agencies national aquaculture with aquaculture departments responsibilities Data needs Basic, relating to Basic environmental, All available data Data for carrying technical and economic social and economic sets capacity and disease risk feasibility, growth and models other uses Required Low Moderate High High resolution Results Broad, indicative Directed, moderately Specific, fully detailed Moderately to fully obtained detailed detailed Source: Kapetsky and Aguilar-Manjarrez (2013). 6 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture FIGURE 1. Potential steps in the spatial planning and management process for coastal, marine and inland aquaculture a. Coastal and marine aquaculture b. Inland aquaculture Identification of aquaculture zones Identification of aquaculture zones Village Land Marine Land environment River Mangroves Aquaculture Village zone Coral reef Land area Land Roads Village Main river Selection of farm sites within zones Selection of farm sites within zones F Land Land F Village F Marine F F F F environment F F F River Mangroves F F F F F F F F F F F F F F F Aquaculture F F Village F zone F F F Coral reef F F Land F F area F F F F Roads F Land Main river Village Grouping of farms into management areas Grouping of farms into management areas F Land Land F Village F F F F AMA 1 AMA 2 F Marine F F F River Mangroves environment F F AMA 2 AMA 1 F F F F F F F F F AMA 3 F F AMA 3 F Aquaculture F F Village F zone F F F Coral reef F F F area Land F F F AMA 4 F F AMA 4 Land Roads F Village Main river Note: Note: • Schematic figure of a designated aquaculture zone (hatched area in • Schematic figure of an existing aquaculture zone (the whole depicted blue colour) representing an estuary and the adjacent coastal marine area) representing individual land-based farms (F), e.g. catfish area. Individual farms/sites (F), owned by different farmers, are ponds and/or other species, that may be owned by different farmers presented in different colours and can incorporate different species (presented in different colours). and farming systems. • The designation of AMAs depends upon mutual and exclusive use of incoming and outgoing water supplies by a given set of farmers. The order in which the main steps are taken above depends upon the local situation. Implementation of Aquaculture Spatial Planning and Management | 7 this has been the case in countries where disease The inclusion of all these components in any planning outbreaks have forced governments and producers to initiative may be a formidable task. However, if the develop collective response protocols. In some cases, larger goal of long-term sustainable development is an entire zone might share a common water supply to be realized, most of these components will need or be configured in such a way that it functions as to be considered. The outcomes of the process will an AMA. There is no fixed pathway; the steps are also be more durable if the principles of stakeholder flexible and should be adapted to local/national participation and use of best available knowledge are circumstances and capacities as necessary. There applied at all stages of the process. are a range of different zoning, site selection and AMA schemes that have been developed worldwide Many of the processes and components in Table 3 to address different constraints to aquaculture are repeated in each main step defined in Table sustainability and local conditions. Selected examples 4 (e.g. identification of issues) because each are described in the case studies in Annex 5. component should serve to inform the scope and focus of others steps, and because some countries The main steps for spatial planning and area may want to focus more on specific aspects without management can be broken down into a more having to follow all the steps in sequence. It is detailed set of processes, each drawing on a range recommended that countries in which aquaculture of activities and tools (Table 4). The components, is a new activity would need to follow all the steps, and the associated activities and tools, are briefly broadly in sequence. described in the sections below. Some of the main tools and their application to aquaculture development and management are reviewed in Annex 4. 8 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture TABLE 4. Potential framework to guide the implementation of aquaculture spatial planning and area management Steps Process Activities and tools National/ t3FWJFXOBUJPOBMTVCOBUJPOBMQSJPSJUJFT t3FWJFXSFMFWBOUQPMJDZBOEMFHBMGSBNFXPSLT subnational for aquaculture t*OTUJUVUJPOBMNBQQJOHBOEBOBMZTJT scoping t*EFOUJGJDBUJPOPGSFMFWBOUTUBLFIPMEFST t4UBLFIPMEFSNBQQJOHBOEBOBMZTJT for consultation t"RVBDVMUVSFTQFDJFTTZTUFNTSFWJFX t3FWJFXBOEQPTTJCMFBEBQUBUJPOPGMBXT  t*TTVFUSFFT policies, regulations and institutional (FPHSBQIJDJOGPSNBUJPOTZTUFN (*4 SFNPUFTFOTJOHBOENBQQJOH t frameworks affecting aquaculture t(PPHMF&BSUINBSLJOHPGBRVBDVMUVSFBSFBT t*EFOUJGJDBUJPOPGHFOFSBMJTTVFTBOE opportunities *EFOUJGJDBUJPOPGQPUFOUJBMGPSDVMUVSFE t species and farming systems Zoning t*EFOUJGJDBUJPOPGBSFBTTVJUBCMFGPS t*EFOUJGJDBUJPOPGIJHIMFWFMPCKFDUJWFT aquaculture t%FTDSJQUJPOBOENBQQJOH (*4SFMBUFEUPPMT t*EFOUJGJDBUJPOPGJTTVFTBOESJTLTJO t;POFTFMFDUJPOBOENPEFMMJOH zoning t*TTVFUSFFT #SPBEDBSSZJOHDBQBDJUZFTUJNBUJPOGPS t 4USBUFHJDFOWJSPONFOUBMBTTFTTNFOUBOEPUIFSSFMBUFEBQQSPBDIFT t aquaculture zones 5PPMTQSPYJFTUPFTUJNBUFDBSSZJOHDBQBDJUZGPSMBSHFBSFBT t t#JPTFDVSJUZBOE[POJOHTUSBUFHJFT t-BOEVTFQMBOOJOHNBQT t-FHBMEFTJHOBUJPOPG[POFTGPS t.BSJOFTQBUJBMQMBOOJOH aquaculture t.BTTCBMBODFFRVBUJPONPEFMT t%ZOBNJDNPEFMT t3JTLNBQQJOHBOEBOBMZTJT 4UBLFIPMEFSDPOTVMUBUJPOUPJEFOUJGZJTTVFTBOEQPUFOUJBMDPOGMJDUT t t&OWJSPONFOUBMJOEJDBUPSTTVDIBTUIF53*9JOEFY Site t"TTFTTNFOUPGTVJUBCJMJUZGPS %FTDSJQUJPOBOENBQQJOH (*4SFMBUFEUPPMT t selection aquaculture t4JUFTFMFDUJPONPEFMMJOH %FUBJMFEFTUJNBUJPOPGDBSSZJOHDBQBDJUZ t t*TTVFUSFFT for sites &OWJSPONFOUBMJNQBDUBTTFTTNFOU MJDFODFT QFSNJUT t t#JPTFDVSJUZQMBOOJOHBOEEJTFBTFDPOUSPM t&OWJSPONFOUBMNBOBHFNFOUQMBO t"VUIPSJ[BUJPOBSSBOHFNFOUT t%FTDSJQUJPOBOENBQQJOH t/VUSJFOUNBTTCBMBODFFRVBUJPONPEFMT %ZOBNJDNPEFMTGPSFOWJSPONFOUBMJNQBDU t t-BOETDBQFBOETFBTDBQFBOBMZTJT $IPJDFPGFOWJSPONFOUBMJOEJDBUPST FHCFOUIJDEJWFSTJUZ XBUFSRVBMJUZ t Aquaculture %FMJOFBUJPOPGNBOBHFNFOUBSFB t "HSFFNFOUPOUIFBENJOJTUSBUJPOBOEMFBEFSTIJQPGUIF"." t management boundaries with appropriate t%FTDSJQUJPOBOENBQQJOH (*4SFMBUFEUPPMT areas (AMAs) stakeholder consultation t4UBLFIPMEFSJEFOUJGJDBUJPO &TUBCMJTIJOHBOBSFBNBOBHFNFOU t t1BSUJDJQBUPSZ GBDJMJUBUJPOUPPMT entity involving local communities as t*TTVFUSFFT appropriate t.BTTCBMBODFFRVBUJPONPEFMT $BSSZJOHDBQBDJUZBOEFOWJSPONFOUBM t t%ZOBNJDNPEFMTGPSFOWJSPONFOUBMJNQBDU monitoring of AMAs t#JPTFDVSJUZUPPMT t%JTFBTFDPOUSPMJO"."T t7BMVFDIBJOUPPMT t#FUUFSNBOBHFNFOUQSBDUJDFT t'BSNFSPSHBOJ[BUJPOJODMVTJPOBOESFTQPOTJCJMJUJFT t(SPVQDFSUJGJDBUJPO "HSFFENBOBHFNFOUQMBOBOENBOBHFNFOUNFBTVSFT t &TTFOUJBMTUFQTJOUIFJNQMFNFOUBUJPO  t t&OWJSPONFOUBMNBOBHFNFOUUPPMT monitoring and evaluation of a t$POGMJDUSFTPMVUJPOBOEDPNNVOJDBUJPOUPPMT management plan for an AMA t&OGPSDFNFOUNFBTVSFT t#FUUFSNBOBHFNFOUQSBDUJDFT t4UBOEBSEPQFSBUJOHQSPDFEVSFT t5SBDFBCJMJUZ t)"$$1BOEGPPETBGFUZHVJEFMJOFT t&OWJSPONFOUBMNPOJUPSJOHTVSWFZT Notes: O 4 ǃ ǃƛ ƛ ǃƛǃǃ ǃǃĵ5 O 4 ƥƛ ǃǃǃ ƪ ƥƛǃǃƥ ƛƛƥǃǃƛǃƛ5 Oǃƛ ǃǃ<ijĻĻĺ=ǃ ǃƛǃ ƛƛ ƛƥ<+4%=ƛĿƛ    ǃ ƛƛƮƪƥƛƛ ƛƥǃ ƛƛƛǃ ƛ   of human activities in marine areas to achieve ecological, economic, and social objectives that are usually specified through a political process”. Meaden et al.<ijĻIJķ=  ǃƛ  ǃǃǃƥ ƛ ƛ ƛ ƛ +4%6ƥ ǃǃƛ ǃǃǃ+4%ƛ ǃǃƛ ǃ under varied local conditions at highly variable geographic scales. Implementation of Aquaculture Spatial Planning and Management | 9 Fish ponds for culture of Nile tilapia, African catfish and African bonytongue, Cameroon There is considerable potential to expand inland aquaculture in Africa to improve food security. The first step in aquaculture planning is identifying areas that have potential for aquaculture. In this scoping process, it is important to review any existing coastal zone management plan to establish whether it facilitates aquaculture development. Legal and regulatory frameworks should establish clear mechanisms for aquaculture zoning and site selection in waterbodies considered “common property” and the granting of tenure rights, including aquaculture licences. Courtesy of José Aguilar-Manjarrez 3. SCOPING base, local jobs, some other expected benefit, or a combination with differing priorities. The answers The first step in spatial planning is scoping, which to these issues will determine the amount of land, includes as the main tasks: collection of baseline water, institutional resources, types of systems, information, definition of priorities for aquaculture, and aquaculture species that will be targeted identifying stakeholders, and setting broad for government support and development. For objectives. It is important in this step to define the example, government revenues may be higher with boundaries of both the management unit and the a focus on high-value species for export grown in ecosystem, which are often different. Availability seawater cages by large corporations with relatively of baseline data (through a baseline report) is few employees, meaning that aquaculture sector essential. Not only does a proper baseline report planning should focus on coastal areas and on enable a project to measure impact, it also ensures developing strong relationships with the private that everyone is clear regarding the challenges, sector. Pond aquaculture of cheaper species by small- opportunities and issues for sustainable aquaculture and medium-scale farms employing relatively large development. numbers of local people could supply more fish to local markets at reasonable prices for consumers, Led by the aquaculture task team, scoping is the but will require land and freshwater that may or may largely subjective weighing of national and regional not be locally available. Acceptable levels of risk to development and conservation objectives. important biodiversity or natural areas are other key It influences decision-making at all subsequent levels considerations to be weighed. Reviewing priorities, of aquaculture spatial planning and management. therefore, influences the decisions made in relation to The main processes undertaken in scoping include: the type of aquaculture development that could be undertaken. Consultation with stakeholders is critical t SFWJFXPGOBUJPOBMBOETVCOBUJPOBMQSJPSJUJFTGPS in clarifying national priorities. aquaculture; t JEFOUJmDBUJPOPGSFMFWBOUTUBLFIPMEFSTGPSDPOTVMUBUJPO 3.2 Identification of relevant stakeholders for t SFWJFXBOEQPTTJCMFBEBQUBUJPOPGMBXT QPMJDJFT  consultation regulations and institutional frameworks affecting aquaculture; The identification of relevant stakeholders for t JEFOUJmDBUJPOPGHFOFSBMJTTVFTBOEPQQPSUVOJUJFT consultation is central to the success and durability and of aquaculture spatial planning. Box 1 provides t JEFOUJmDBUJPOPGQPUFOUJBMGPSDVMUVSFETQFDJFTBOE guidance for identifying and selecting stakeholders, farming systems. some of which may be more or less relevant depending upon the step in the process: scoping, 3.1 Review of national and subnational priorities zoning, site selection or area management. It may for aquaculture not be necessary or possible to involve all stakeholder groups throughout the whole process, so careful The first step is to understand the priorities that consideration must be given as to who needs to be the government attaches to the aquaculture sector encouraged and supported to participate, and at relative to other national or subnational priorities what stage of the planning process. To make best use for economic development and natural resource of identified stakeholders, refer to the participatory conservation. There is a need to understand whether tools for facilitation of group decision-making aquaculture is to be undertaken for food and/or described by FAO (2010). food security, income generation, expanding the tax | 11 BOX 1 A guide to stakeholder identification in aquaculture planning and management Criteria for selection of stakeholders: O ǃ ƛǃǁǃ ƛ  ƛ ǁƛǃ  ƛ Ʈ ƛǃǃ 8 O ǃ ƛǃǃƥƛƛƥƛǃǃ ǃǃ ǃƛ   ƛǃ 8 O ǃ   ǃ ǃ<   ǃƮƥ=ǃǃƛƮ  ǃǃƛ  ƛǃ 8 O ǃ ƛƮ  ǃǁǃƮ ƥƛƪǃ  ǃƛǃǃƛǃƛ ƛƮ6 ƛƮǃǃƛǃ8ƛ  ǃ  ǃǃƛƮ ƛ 5.ǃƛƥǃ ǃǃƛƮƮ ǃ  ƛ ƛ ǃ ǃ  ƛ6ƛ - O ǃǃ ǃǃƛ ǃ ǃƛƛ ƛƛƛǃǃ  ƛǃƮǃ5#ƥ ƛǃ ƛƮ have access to such information may be essential. According to the criteria above, stakeholders could include: Oƶƛǃ8 Oƛ ǃƶǃ8 O ƛ ǃƛ9  ǃǃǃƛ ƛ ƛǃƛƶǃǃƛǃƛ8 Oƛ ǃ< ƛ6ǃƥ ƛ6ƛ ƛ6 ǃ=7ƛ ƛǃ6ƶǃǃ6ǃ ǃ6ƛƛǃƛǃ5 O 8 Oǃ ǃƛ8 Oǃƛ ǃǃƛǃ ǃ8 O ǃ ǃ8 Oǃǃƛ ƛǃ8 Oǃǃ ǃǃƮƥǃƛǃ Ʈ ǃǃ<ƛƛ6 6 ƥ6ƛ=8ƛ Oǃǃ ǃǃƮƥǃ ƛ ƛǃ Ʈ< ƛ ƛ ǃ ƛǃ6 ǃ6ǃ5=5 Source: FAO (2010). 3.3 Review and possible adaptation of laws, management of aquaculture, including, for example, policies, regulations and institutional frameworks access use rights and duties; and affecting aquaculture FODPVSBHFNFOUBOEFNQPXFSNFOUPGUIF t aquaculture sector to self-regulate where The collection of relevant information and the appropriate. review of policy and legal frameworks will need to be undertaken. The need for different levels of The policy and legal frameworks for sustainable planning in order to identify aquaculture zones or aquaculture must be based on the law of the sea, as sites, to designate aquaculture management areas, reflected in the United Nations Convention on the and to manage or overcome social conflicts such Law of the Sea of 10 December 1982 (UNCLOS) and as competition for space and conflicts of interest international environmental law as well as various and environmental considerations necessitate the soft law instruments (Table 5 and Annex 1). There is following: also a need for a review of different areas of national law and administration frameworks that may relate t BDMFBSBOEFGmDJFOUJOTUJUVUJPOBMGSBNFXPSLXJUI to or have an impact on aquaculture activity. For clearly defined competencies; example, spatial and area management requirements t DMFBSQPMJDZBOEMFHBMGSBNFXPSLTBOESVMFT may exist in legislation relating to the authorization and regulations that govern development and and conduct of commercial or development activities, 12 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture public works, zoning and planning, public health and 3.4 Identification of general issues and environmental legislation. A review of these legal opportunities frameworks in the scoping phase will help determine whether they need to be strengthened to include It is advisable to identify social, economic, aquaculture development. In countries where there is environmental, and governance issues and no legal framework for aquaculture, which sets out opportunities. In most cases, environmental, social the main requirements for aquaculture management and economic issues have a root cause that needs to including spatial planning and management in one be overcome, such as governance and institutional legislation, appropriate legislation may need to be factors, lack of adequate knowledge, lack of training, developed. inappropriate legislation, lack of enforcement, problems with user rights, and so on. It is important There has been an increase in effort in the that these root causes are investigated, and mitigation development of enhanced national policy, legal or remedial actions proposed. These are not factors and institutional frameworks for aquaculture that can always be overcome instantaneously and may administration in the last decades with the require investment of time and financial resources. expansion of the sector. A corresponding growth in External forcing factors should also be considered environmental consciousness is also being noted in to include, for example, catastrophic events, climate the increased number and breadth of environmental change impacts, sudden changes in international considerations in policy, regulations and management. markets, and the effects of other users of aquatic The FAO fisheries National Aquaculture Legislation ecosystems on aquaculture such as agriculture and Overview (NALO) Web page (www.fao.org/fishery/ urban pollution of aquatic environments that may nalo/search/en) includes legal fact sheets for negatively affect aquaculture. 61 countries. A list of legal issues for sustainable aquaculture planning and management, adapted from A large number of issues can be identified, but their the NALO fact sheets are presented in Table 5. importance varies greatly. Consequently, it is necessary to have some way of prioritizing them so that those Institutional analysis should cover both formal and that require immediate management decisions receive informal institutions (FAO, 2010). Formal institutions more attention within a plan of action. Examples and are those such as government departments or more details of issue identification and priorization can agencies that typically have a legally defined role be found in FAO (2010), FAO (2003) and APFIC (2009). and structure. Informal institutions are those such as business, social or family networks or associations. The identification of issues also represents an The latter in this group also have structure and sets opportunity for the implementation of a spatial of procedures, although they may have no legal planning process under an ecosystem approach to or written basis. In essence, institutional analysis aquaculture, which ensures coordinated, orderly requires that a specific set of questions be addressed, development and promotes sustainability. As an including: What are the rules? Who decides, and example, if one of the issues is fish disease and the how is this done (process and decision criteria)? Who lack of effective biosecurity (e.g. when farms are too implements what rules, and how? How and when close to each other leading to quick infection and is progress assessed? and What are the relationships reinfection), there is an opportunity to minimize fish between different institutions (both formal and disease risks and better respond to outbreaks through informal)? good spatial planning. Scoping | 13 TABLE 5. Policy, institutional and legal aspects involved in sustainable aquaculture planning and management Policy, institutional and legal aspects Instruments, institutions, requirements International binding and non-binding t Binding instruments include, for example, the Ramsar Convention on instruments* Wetlands of International Importance (Ramsar, 1971)1 and the United Nations Convention on the Law of the Sea (Montego Bay, 1982)2 t Non-binding instruments include the Kyoto Declaration on Aquaculture, Agenda 21, Rio Declaration, and the Code of Conduct for Responsible Fisheries (FAO, 1995)3, among others Basic national legislation t Fisheries and/or aquaculture law t Planning law t Water law t Sanitary law t Tax law t User rights law Institutions t Fisheries and aquaculture authorities t Health and sanitary authority t Environmental authority t Forestry and water resources authority t Culture and tourism authority t Indigenous peoples authority t Commerce authority t Local authorities t Trade/farmer associations Site allocation t Site allocation criteria and user rights t Required distance between farm sites t Required distance between farm sites and other activities t Interaction with other activities t Indigenous/artisanal fishing community rights Authorization system t Leasing or permitting system t Operation licence (duration, renovation, revocation) t New site, change of use, or change of capacity Environmental impact t Emission standards t Water quality t Sedimentation models t Waste management Control mechanisms t Environmental assessments t Self-monitoring t$JUJ[FOTQBSUJDJQBUJPO t Enforcement and penalties t Conflict resolution procedures Production system t Production volume t Species mix t Animal Welfare 14 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture Policy, institutional and legal aspects Instruments, institutions, requirements Fish movement t Notification and information t Transport of species t Accidental release of farmed species Disease control t Quarantine t Outbreak management t Therapeutants Feed t Feed quality t Effect of feed residues on environment Product safety and traceability t Certification systems Education, research and development t Extension and training t Research and development t Public information and awareness Aqualculture management areas (AMAs) t Organization and management of AMAs >  ǃǃƛ  ƥƛ M ƥƛƥǃǃǃ6ǃǃǃIJ5 1 -ǃ,ƛ 5IJĺĸķ5 Convention on Wetlands of International Importance especially as Waterfowl Habitat.-ǃ,ƛ .ǃƛƮ4ǃǃ6/ 5ĺĺķ6#M#M IJĶĹĴ5ǃǃ  ǃijIJǃǃ ǃIJĺĸĶ5<ƛ ƛƛƛ ǃƛ   799ǃƛǃ55 ƥ9 9% ƛ 9-,.49/ ǃŬijĻĺĺķ9 ǃMĺĺķM#MIJĵĶĹĴMƥ5 =5 2  -ǃ,ƛ 5IJĺĺĵ5 United Nations Convention on the Law of the Sea. 10 December 1982, Montego Bay, Jamaica. United Nations Treaty Series, Vol. IJĹĴĴ6IJMĴIJĴķĴ5ǃǃ  ǃIJķ, ǃ ǃIJĺĺĵ5<ƛ ƛƛƛ ǃƛ   799ǃƛǃ55 ƥ9 9% ƛ 9-,.49/ ǃŬijĻIJĹĴĴ9 ǃMIJĹĴĴMMĴIJĴķĴMƥ5 =5 3  )5IJĺĺĶ5Code of Conduct for Responsible Fisheries.' ǃ6 )5ĵIJ 5<ƛ ƛƛƛ ǃƛ5ƛ 5 ƥ9 ǃ 9ĻĻĶ9ĺĹĸĹǃ9ĺĹĸĹǃĻĻ5=5 Note: Brugère et al.(2010) provide practical guidance on policy formulation and processes. It starts by reviewing governance concepts and international Ʈ ƛƥǃƛ ǃǃƛ   ƛ ƛǃ ǃǃ ǃ ƛ  ǃǃ Ʈ ǃƥ Ŀ ƮŁ6 ĿƛǃƥƮŁ ƛ Ŀ ƛŁ ǃ ǃ ƛƥ    ƛƥ ǃ  ƥƮ54ǃǃƥ€ǃ656'ǃ6,56"ƛƮ 6!56+ƛƛƮǃ6!5ł"ƛƛ6,5ijĻIJĻ5 ƛǃ ƛƥ7 Ʈ ƛ ƛ ǃǃƛ  for sustainable development. FAO Fisheries and Aquaculture Technical Paper. No. 542. Rome, FAO. 70 pp. (also available at www.fao.org/docrep/012/ i1601e/i1601e00.pdf). 3.5 Identification of potential for cultured species Also essential is a broad assessment of areas where it and farming systems is technologically feasible to place appropriate culture installations. For example, sea cages for fish grow-out Species should be mainly those with proven and longlines for mussel grow-out are the prevalent culture technologies and with established national culture structures in current offshore mariculture or international markets. Some environmental practice. Both sea cages and longlines are tethered concerns can be overcome by selecting native to the sea floor, and thus the key assumption is that species depending on the region of interest, the both sea cages and longlines will, for the time being species already cultured, or those undergoing trials. and until technology develops, be located close to The identification of potential areas for aquaculture coastlines because of the technical and cost limits should be based on criteria that would be favourable related to the depth of tethering. For land-based for grow-out of these species. For instance, it is well systems, especially ponds for the growth of relatively known that temperature affects the feeding, growth cheaper species, costs become an issue, so ready and metabolism of fish and shellfish; thus, water access to a suitable freshwater source is needed on temperature is a common area selection criterion for relatively flat land whose soil structure means ponds all species. do not need to be lined. Scoping | 15 Shrimp aquaculture ponds in Sinaloa, Mexico The Mexican National programme for Aquaculture Management was created to: (i) enable an orderly and competitive aquaculture sector that is sustainable; and (ii) regulate and administrate the sector using processes and tools such as the delimitation of aquaculture zones. In this programme, shrimp farming in Sinaloa State is used as one example to illustrate how aquaculture is managed through aquaculture production units or aquaculture zones. Courtesy of Giovanni Fiore Amaral 4. ZONING t prevent and control environmental deterioration at the farm and watershed scale; t implement biosecurity measures and disaster risk Zoning implies bringing together the criteria for locating management; aquaculture and other activities in order to define t reduce adverse social and environmental broad zones suitable for different activities or mixes of interactions; and activities. Zoning is a process that countries can use to t serve as a focus for estimates of environmental sustainably and responsibly identify and allocate areas capacity. that are biophysically and socio-economically suitable for aquaculture. In broad terms, zoning can be used to Additionally, zoning can also be used to: identify potential areas for growth where aquaculture is t increase production and social development; new, and help regulate the development of aquaculture t serve as a platform for dialogue to reduce conflict where it is already established (Table 6). Definition of among potential resource users; the legal boundaries of zones demands a consultative t help potential developers identify prospective farm process that aligns policy, law, local interests and sites where long-term investments are possible (user ecological carrying capacity (more details on carrying rights); capacity are found in Annex 4). More specifically, t establish clear norms/regulations for commercial zoning according to GESAMP (2001) can be used to: behaviour within zones; and t define the area over which planners and regulators set and monitor objectives. TABLE 6. ƛ ǃ zoning initiatives in different countries Country Zoning initiatives Source Australia The responsible minister may identify within state waters: South Australia t "RVBDVMUVSF[POFT JOXIJDITQFDJGJFEDMBTTFTPGBRVBDVMUVSFXJMMCFQFSNJUUFE Aquaculture Act t 1SPTQFDUJWFBRVBDVMUVSF[POFT XIJDIBSFJOFGGFDUGPSBTQFDJGJFEQFSJPEOPU (2001, as amended exceeding three years during which investigations are to be completed to in 2003, 2005 and determine whether the zone should become an aquaculture zone. 2015)1 "RVBDVMUVSFFYDMVTJPO[POFT JOXIJDIOPBRVBDVMUVSFXJMMCFQFSNJUUFE t "RVBDVMUVSFFNFSHFODZ[POFTGPSTIPSUUFSNSFMPDBUJPOPGBRVBDVMUVSFPQFSBUJPOT t Chile Twelve regions have been identified so far as authorized areas for the establishment Fisheries and of aquaculture activities (A.A.A.: Areas autorizadas para el ejercicio de la Aquaculture Law2 acuicultura); defined as: “geographical areas classified as such by the Sub-Secretariat of Fisheries to be adequate for the establishment of an aquaculture facility”. Only areas so classified are eligible for aquaculture investments. New Zealand The Resource Management Act establishes that aquaculture activities are restricted Resource to designated coastal marine areas. Management Act The regional council develops regional plans and policy statements in order to 1991 as amended manage coastal resources, including aquaculture, in 20163 and the plans are approved by the Department of Conservation. 1 South Australia Aquaculture Act. 2001. Consolidated version of Act No. 66 of 2001, as amended 1 July 2015, Australia (South Australia).  )&1, 5&1M )ĻĵĵĻĹĸ5<ƛ ƛƛƛ ǃƛ 799ƛ ǃ5ƛ 5 ƥ9 9 9ƛĵĵĻĹĸ5 =5 2 !ǃǃƛ&ƛ  ǃǃƛ ƛǃ<, 5IJĹ5Ĺĺij=5&ǃƮ!ǃǃƛǃ%ǃƛƮƛ<&ǃƮ, 5IJĹ5ĹĺijǃIJĺĹĺ=5.ǃ ǃ 6 ƛ Ʈǃƛƪƛ ƛ ƛ  ǃǃǃ , 5ĵĴĻ5ǃ5 )&1, 5&1M )ĻĻIJijijĸ5<ƛ ƛƛƛ ǃƛ  799ƛ ǃ5ƛ 5 ƥ9 9 9IJijijĸ5 =5 3 'ǃ ǃ+ƛƛƥǃǃ5IJĺĺIJ5, 5ķĺ IJĺĺIJ5'ǃ ƛƛIJĹ) ǃijĻIJķ6,ǃ3ǃƛƛ5<ƛ ƛƛƛ ǃƛ 5ǃƥƛ 5ƥ 5ƪ9ƛ9  9IJĺĺIJ9ĻĻķĺ9ƛǃ9&+ijĴĻijķĶ5). | 17 The zoning process is normally led by the government 4.1 Identification of areas suitable for aquaculture at the relevant geographical scale through a consultative interaction with national and local Zone boundaries are initially based on hydrographical stakeholders, especially those who may invest or set or hydrological parameters at a scale from a few to up fish farms, and those who may be affected by hundreds of kilometres, and are usually all or part aquaculture development (Hambrey et al., 2000). of a contiguous waterbody or basin such as a fjord, Defining and agreeing on broad development tributary of a river or whole river system, a whole objectives for an aquaculture zone is the focus for lake, a coastal bay, or an estuary or a semi-enclosed public involvement and participation. A range of rapid sea. rural appraisal communication techniques are available and can be adapted to local circumstances to facilitate Geographies with the potential to become an quality dialogue (see tools in Annex 4). aquaculture zone generally are those that have relatively few existing users, abundant water of a At the zoning stage, it is important to include policy- quality adequate for farmed species, have basic makers and government planners; scientists (fishery, production infrastructure (e.g. electricity, roads) environment, rural sociology, economics) and farmer and access to input and output markets (including leaders; private industry representatives (supply inputs, labour), and are not located near ecologically traders, processors, exporters); and local authorities sensitive sites. (agriculture, forestry, industry, tourism) where local development objectives and priorities are reviewed. At the subnational, national or regional scales, it In some cases, the inclusion of non-governmental may only be possible to define in very general terms organizations (NGOs) and/or consumer groups might where aquaculture would most likely prosper. Remote also be useful. sensing and geographic information systems (GIS) are excellent for this kind of work, and are useful When the process of actual boundary definition, zone tools to support stakeholder perceptions and insight. allocation and identification of possible impacts and Satellite images can show where human settlement mitigation strategies are discussed, it will be important and other important land uses could be expected to to have representatives of local government; the conflict with aquaculture development; for example, fishery management agency; other local regulatory GIS-based flood-zone mapping is commonly used bodies (agriculture, forestry, industry, tourism); farmer by insurance companies to identify areas prone to groups; and relevant local communities, including inundation and can also provide useful information indigenous groups. Depending upon the nature of on such risks. the zone, valuable inputs from representatives of private industry, consumer groups and agribusiness At the zoning stage, some detail is needed to define associations might also be useful. good places for aquaculture. In this context, local knowledge, organized data collection, property The key steps in the zoning process are: maps and site visits should be used to focus stakeholder discussion on defining where boundaries (i) identification of areas suitable for aquaculture; for aquaculture zones should be located within (ii) identification of issues and risks in zoning; the broader regions identified during the scoping (iii) broad carrying capacity estimation for aquaculture exercise. zones; (iv) biosecurity and zoning strategies; and The fundamental factors that determine the viability (v) legal designation of zones for aquaculture. of a zone for aquaculture are basic topography/ bathymetry (i.e. available flat land or open water), temperature, current velocity, and water quantity 18 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture and water quality (e.g. salinity, hardness). These slowly or not at all. Social thresholds are likely to determine the species that can be cultured efficiently me more flexible, as these can change over time. In in a particular area, and give a broad indication of such cases, it is advisable to operate within optimal the production system that is best suited. The larger ranges where possible to ensure efficiency and cost the population, the greater the potential market effectiveness. for aquatic products and the availability of labour Knowledgeable technicians using the tools listed and services. Urban market centres are potential in Table 4 can identify zones with potential for locations for on-processing and marketing of the aquaculture and provide advice on the most fish. However, there are risks associated with urban suitable species. There is also a myriad of published centres, including theft and pollution. literature available on criteria for spatial planning Pre-existing aquaculture also has an influence on and management of aquaculture, many examples of where new aquaculture should be placed. The which can be found at: presence of successful aquaculture sites is indicative of more general suitability, but should not be t The GISFish Global Gateway to Geographic automatically assumed. The presence of critical Information Systems, Remote Sensing and Mapping infrastructure, such as roads, power facilities, feed for Fisheries and Aquaculture mills, processing facilities and so on, also argue for (www.fao.org/fishery/gisfish). clustering of aquaculture within zones. This must be t GIS and spatial analysis. GIS and remote sensing balanced with the need to provide sufficient space so journal articles from the Institute of Aquaculture, that effluents and disease from one farm cannot flow University of Stirling, the United Kingdom of Great onto another and the carrying capacity of the local Britain and Northern Ireland (www.aqua.stir.ac.uk/ environment. GISAP/gis-group/journal-papers). Table 7 outlines the main suitability criteria that apply A good example of the use of GIS to identify to most aquaculture farming systems. The various potential aquaculture zones is an FAO study by criteria listed in Table 7 will each have their own Aguilar-Manjarrez and Nath (1998), who estimated degree of importance, and it is essential that these inland fish farming potential at a continental scale. By can be ranked or measured for specific locations, overlaying the temperature regime, water availability, even if this can only be done crudely. It is also suitability of topography and soil texture, availability important to determine “thresholds” that pertain to of agricultural by-products, local markets and road a desired level of suitability for each criterion. The density on a map of Africa (Figure 2), they were able selection of the thresholds involves interpretation of to identify in broad terms which areas on the African the data selected, and such interpretation should be continent would be suitable for aquaculture. guided with literature research and opinions from experts and farmers. Thresholds will vary according While at this scale, it is not possible to identify exact to location, scale, environment, species and culture locations for aquaculture zones, at the scoping systems, and some of the thresholds may change stage this kind of information is useful to identify over time. For example, species generally have an parks, deserts, flooded areas, cities and other optimal range within which they will grow well, major geographical features that would rule out suboptimal ranges when stress is induced, and lethal aquaculture a priori. levels above and below this, but will change only Zoning | 19 FIGURE 2. Suitability for small-scale farming and potential yield (crops/year) of Nile tilapia in Africa Source: ƥƛM+ƛƛǃƛ,ƛ<IJĺĺĹ=5 4.2 Identification of issues and risks in zoning within one country, but flows through another and then used for aquaculture development. The converse There are a broad range of issues and risks for zoning, is also true when water, potentially impacted by and it is advisable to identify, inter alia, those related nutrients from aquaculture, flows across borders into to environment, biosecurity, climate-related risks, another country or region. social conflicts and governance. A good approach to identify issues is to focus on the different steps in the In most cases, issues such as climate change impacts aquaculture production process, including upstream and urban pollution of aquatic environments have (e.g. feed supply) and downstream (e.g. post-harvest) damaging effects on aquaculture. Aquaculture is aspects, and understand the impacts on such vulnerable to a number of potentially catastrophic processes and the likelihood of occurrence. By doing climatic and other disturbances. In addition to wildlife this, it should be possible to determine whether the (especially bird) predation, disease and theft, which risk and likelihood of occurrence means a specific affect all aquaculture systems, there are likely to be zone is unsuitable to become an aquaculture zone. risks that apply only to specific production systems and Aquaculture as a production process may require zone location, such as: land/sea area as well as water and specific inputs, including labour, to produce expected outputs Risks specific for pond/raceway aquaculture: such as food and income together with unwanted t floods outputs such as nutrients or chemicals. Issues need t droughts to be identified within a specific scale and ecosystem t severe winters boundary, so risks can be defined as local only, or t earthquakes regional, or national. Tranboundary issues should also t volcanic eruptions be addressed where, for example (rivers), water starts t tidal surges/storm surges/tsunamis 20 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture TABLE 7. ǃƛǃƛ  ƥ6ƪ ƥ6ǃǃǃ ƛƛ ƛǃƛƛƥǃǃƛǃƛ5ǃ ǃƥ ǃ ǃǃƛ systems being considered for aquaculture, other criteria deserve consideration Criteria Scoping Zoning Site selection Aquaculture management areas Biophysical Water quantity (overall water resources Water quantity (amount of surface and Water quantity and quality; Farms are reasonably close; (requirements available); groundwater available); Soil chemistry and structure (if ponds); Common waterbody; for farmed Water quality (distance from potential Water quality (especially salinity and Suitable topography for construction Common water source; species and pollution sources); pollution); pond dykes and farm infrastructure; Common species; systems) Suitable water temperature ranges; Optimal water temperatures; Land use; Common access/roads; Areas with suitable soil types and slopes Areas with suitable soil texture and slope Suitable depth for culture structures; Landing sites for ponds; for pond construction; Hydrodynamics (e.g. current velocity); Suitable depth ranges for culture Suitable depth ranges for floating Shelter suitable for culture structures; structures; structures (e.g. cages, racks); Access/roads landing Exposure to climate disturbances; Hydrodynamics (e.g. current velocity); Land use Infrastructure (roads, access, landing sites, etc.) Environmental Avoid protected areas, critical habitats Buffer distances to mitigate impacts Water depth; Water turnover; and very exposed areas from sensitive habitats, protected areas, Turbidity and suspended solids; Nearness of farms; natural biodiversity Chlorophyll and dissolved nutrients; Level of eutrophication; condition; Hydrodynamics (e.g. current velocity); Benthic diversity; Distance from other aquaculture zones; Sensitive habitats and species; Bottom anoxia; Suitable wave heights; Water quality and condition of the Feed conversion rate; Distance from pollution sources benthos; Presence of predators; Presence of predators; Environmental impact data in general Distance from other farms Social Avoid socially sensitive areas Mitigate/reduce visual impact of farm No visual impact of farm; Farmers are organized locally; (minimize JOEJHFOPVTQFPQMFTUSBEJUJPOBMTJUFT FUD clusters; Local labour available; There is good potential for cooperation; conflict) Potential to integrate with adjacent land Potential participation of local/indigenous Potential interest and involvement of local and water uses; communities, women; communities Population density (availability of inputs, Minimal theft, vandalism risks labour, markets, etc.); Access to capital, social services; Potential integration with traditional fisheries Economic Distance to urban areas Distance from other aquaculture zones/ Access to electricity; Access to common market; (access, availability of main markets, fish farms (for sharing resources); Access to markets in close proximity Common access to inputs and services; inputs, etc.) Access to local markets; to site; Common infrastructure/roads, Access to roads Availability of inputs; landing sites Reliable access to roads and ports; Access to services Governance Legal and regulatory frameworks Multisector regulatory frameworks; Aquaculture permitting rules and Extension for the adoption of best available; Sea and coastal access rights regulations management practices available; National strategy and development Available aquaculture certification systems; plans Compliance with management measures; Available regulations/norms, to address cumulative impacts of resource use Aquatic Legal aspects; Distance from other aquaculture zones; Pathogen dissemination pathways; Level of disease outbreak; animal health Existing biosecurity frameworks Environmental conditions and other Water flows and hydrodynamics; Water quality; forcing factors that minimize disease risks Water quality Need for implementation of biosecurity Zoning | 21 Risks specific to cage aquaculture include: warning of potentially harmful algal blooms in Chile so that their impacts can be minimized by the t oil spills/chemical spills/chemical runoff aquaculture industry (Stockwell et al., 2006). t pollution t superchill/ice It is also important to assess the environmental and t storms socio-economic risks that aquaculture can pose t harmful algal blooms and jellyfish to other sectors and on itself. These may include t hypoxia biodiversity losses due to organic and chemical pollution, diseases generated by fish farms, and In addition to these biophysical risks, conflicts with impacts from escaped fish. These risks are evaluated other natural resource users are common. Chief and mitigated through a solid understanding and among these are the direct competition for water management of a zone, or AMA location, and carrying and space with agriculture and real estate developers; capacity. For large industrial farms (e.g. salmon cages), access to traditional sites of indigenous people; and there are models to estimate the spatial distribution of disagreements over visual impact with the tourism organic matter and related risks and the consequences sector. Conflict with fishers is also common, given that in terms of water quality and overall carrying capacity sea space or lake space can become off limits when (see section 4.3 and Annex 4). structures such as cages are added, which reduces the ability of fishers to exploit such areas. 4.3 Broad carrying capacity estimation for aquaculture zones Risk analysis involves answering the following questions (Bondad-Reantaso, Arthur and Subasinghe, For purposes of aquaculture zoning, carrying capacity 2008): (i) What can go wrong? How likely is it to go sets an upper limit for the number of farms and their wrong and what are the consequence of its going intensity of production that retains environmental and wrong? and (ii) What can be done to reduce either the social impacts at manageable and/or acceptable levels, likelihood or the consequences of its going wrong? which then implies overall sustainability. At the zone level, carrying capacity will typically be expressed as Risk mapping can help to identify the most important a level of production (in tonnes) produced through threats. Examples of risk maps for aquaculture zoning a number of farms located in geographic space, or include: production in tonnes per hectare or km2. Within aquaculture zones, carrying capacity has two primary t Fish cage farming and tourism. Use of GIS-based dimensions: models for integrating and developing marine fish cages within the tourism industry in Tenerife, Canary t ecological carrying capacity: the maximum Islands (Pérez, Telfer and Ross, 2003a). production that does not cause unacceptable t Islands and wave strength. Climate-related wave impacts on the environment; and risk maps for offshore cage culture site selection t social carrying capacity: the social licence for in Tenerife, Canary Islands (Pérez, Telfer and Ross, the level of farm development that does not 2003b) disenfranchise people or result in net economic t Floods and aquaculture. Modelling the flood cycle, losses to local communities. aquaculture development potential and risk using MODIS data: a case study for the floodplain of the At a large zone level, preliminary limits to the number Rio Paraná, Argentina (Handisyde et al., 2014). of farms and intensity of production are set based on t Monitoring algal bloom development. a large-scale understanding of the area or waterbody Environmental information system using remote proposed to be or already allocated to aquaculture. sensing data and modelling to provide advanced This contrasts with setting more detailed carrying 22 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture capacity estimates for AMAs and for individual It may also be important to take into account sites in which more specific assessment is made of background wastes entering a shared waterbody, local conditions. There are circumstances where an coming from other sources such as sewage discharges aquaculture zone could become an aquaculture and diffuse inputs from agriculture, domestic management area if a suitable management plan waste and forestry. The basic reasoning is that the is developed and implemented. Typically, however, collective consequences of all aquaculture farms aquaculture zones are broader scale areas that may and background inputs can be compared with the contain one or more AMAs and numerous sites. ecological capacity of the ecosystem, which can then determine how much aquaculture can sustainably 4.3.1 Ecological carrying capacity be conducted within a certain physical space. In reality, diffuse inputs (as opposed to point sources) To estimate carrying capacity in the context of fish are difficult to assess and measure, which makes aquaculture, models are usually used to estimate a estimating the existing consequences of these maximum allowable production, limited primarily background wastes difficult. It may also be that by modelling changes to environmental conditions. activities such as forestry or agriculture have occurred Nutrient input or extraction and oxygen changes for millennia already, and therefore current water (depending on the species to be cultivated) can be quality and conditions may already reflect the impacts assessed, for example, on a specific catchment area of such activity. or waterbody for a given number of aquaculture units. For extractive production, such as shellfish, food The negative impacts of exceeding ecological depletion is the major consideration along with effects carrying capacity include eutrophication, increases on wild species and food availability for them. in primary productivity and potential phytoplankton blooms fueled by nutrients discharged from farms, The assessment of ecological carrying capacity is accumulation of noxious sediments in the form of based on the capacity of the ecosystem to continue fish faeces and feed wastes, and loss of biodiversity to function through the application of environmental due to declining habitat quality. The consequences for quality standards that cannot be exceeded when aquaculture farmers can be dramatic, including loss of aquaculture is included into the system. It is sometimes fish stocks on the farms because of blooms, oxygen referred to as assimilative capacity, implying the system stress and disease; and exceeding ecological carrying is able to assimilate a certain level of nutrients or capacity often aggravates fish health problems and oxygen uptake without causing detrimental effects social conflicts. Environmental impacts of aquaculture such as eutrophication. Aquaculture produces or vary with location, the production system and species uses dissolved and particulate matter that enter being grown. Fish cage culture is an open system that the environment, uses oxygen and other resources, extracts oxygen from water, and discharges faecal and and adds residues from diseases or parasites and feed and other wastes into the surrounding water other treatment chemicals. It is the consequences of and sediments. Pond culture is a closed system, and these on the ecosystem that are used in estimating releases nutrient-rich water and effluents during ecological carrying capacity. The capacity of a water exchange and/or pond draining during harvest. particular area also depends on water depth, flushing Bivalves depend upon natural productivity for their rates/current velocity, temperature and biological food, but compete with other organisms for food activity in the water column and bottom sediments, (organic matter, microalgae, etc.) and dissolved oxygen and attempting to define the level of ecological in the water column, and seaweed production can resilience. The multifactor nature of ecological capacity reduce light penetration affecting environmental is one of the reasons why models are often applied, as conditions and species below. The fact that there is no models can attempt to integrate the multiplicative and “consequence free” aquaculture means that there is a cumulative nature of these factors. basic need to determine ecological carrying capacity. Zoning | 23 One of the earliest applications of mass-balance (Nunes et al., 2011). Availability of models to assess modelling in aquaculture was the use of Dillon and freshwater systems is more limited. 3JHMFST  NPEJmDBUJPOPGBNPEFMPSJHJOBMMZ proposed by Vollenweider (1968), which used Until more precise modelling can be undertaken at the phosphorus (P) concentration to estimate the zonal level, it is possible to apply simplistic approaches ecological carrying capacity of freshwater lakes, to limit production to acceptable levels. Examples assuming that P limits phytoplankton growth and include the Philippines where a maximum of 5 percent therefore eutrophication (Beveridge, 1984). Inputs of an aquatic body can be used for aquaculture, to the environment from fish culture are evaluated although this does not estimate carrying capacity per to determine likely changes in overall water quality. se. In Norway from 1996 to 2005, feed purchases were This model has been used widely to estimate carrying used to monitor aquaculture development. capacity of lakes to support fish farming, as in Chile. This worked initially as a quota that limited the amount Further modifications of this model have also been used of feed that could be delivered to farms. assuming nitrogen as the limiting factor (Soto, Salazar As well as serving as an indicator of production (rather and Alfaro, 2007). than capacity), this system had the benefit of rapidly reducing feed conversion ratio (FCR), as farmers tried Ecological carrying capacity models integrate to optimize the use of the feed allocated to them hydrodynamic, biogeochemical and ecological processes while maximizing production, which in turn reduced in the environment with oxygen consumption, sources, environmental consequences. This was combined with and sinks of organic matter and nutrients derived from a limit on the cage volume of 12 000 m3 per licence farm activity linked to the ecosystem state. There are together with a maximum fish density in cages. This currently few models that assess carrying capacity fully at number of licences with volume limit, along with rules the zonal scale; EcoWin (Ferreira, 1995) is one example for biomass and feed quota, was the framework used that combines hydrodynamic models with changes to UPDPOUSPMQSPEVDUJPOEFWFMPQNFOU/PSXBZTBQQSPBDI water biogeochemistry to look at large-scale, multi- has since been updated to now assess carrying capacity year changes under non-aquaculture and aquaculture directly at site and/or small area scales. conditions (Ferreira, 2008a; Sequeira et al., 2008). Indices have also been used to assign the status On a slightly smaller zonal scale, models such as the of waterbodies into discrete categories that define Loch Ecosystem State Vector model (Tett et al., 2011) typically a specific water status with regards to resolve seasonal variations in oxygen and chlorophyll aquaculture development, or whether or not in defined sea areas; and the Modelling—Ongrowing aquaculture is liable to have an effect (e.g. in the latter fish farms—Monitoring (MOM) model used for farm DBTF PGFVUSPQIJDBUJPOQPUFOUJBMVTJOHUIF53*9JOEFY level assessment also contains a module for wider scale in Turkey, see Annex 5); or to define areas considered evaluation of water quality and oxygen concentration to be the most environmentally sensitive to further (Stigebrandt, 2011). fish farming development due to the high predicted levels of nutrient enhancement and/or benthic impact In Chesapeake Bay and the Puget Sound, United States (Gillibrand et al., 2002). Gillibrand et al. (2002) scaled of America, the EcoWin model has been combined with model outputs from 0 to 5, and the two scaled values a farm-level model (FARM) and with other tools into a (nutrients and benthic impact) were added together to production, ecological, and social capacity assessment provide a single combined index. On the basis of this that builds together ecological carrying capacity combined index, areas were designated as Category 1 modelling with a stakeholder engagement process that (sensitive to more production, and therefore no more seeks to reduce social conflicts (see Bricker et al., 2013; production allowed); Category 2 (production potential, Saurel et al., 2014). Other similar projects have with caution); or Category 3 (least sensitive, and occurred in Portugal (Ferreira et al., 2014) and Ireland opportunities to increase production). 24 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture Overall, the larger the area or zone being evaluated, recognized by countries and industries as essential the more complex and more difficult it is to make to sustainable growth in aquaculture (Håstein et al., reliable estimations of carrying capacity owing to the 2008; Hine et al., 2012). The World Organisation multiple interacting dynamic factors that affect it and for Animal Health defines a zone as a portion of a acceptable limits in environmental change. contiguous water system with a distinct health status with respect to certain diseases; the recognition of 4.3.2 Social carrying capacity zones is thus based on geographical boundaries. A zone may comprise one or more water catchments Social carrying capacity is less tangible than other from the source of a river to an estuary or lake, or only carrying capacities, but is the amount of aquaculture that part of a water catchment from the source of a river can be developed without adverse social impacts (Angel to a barrier that effectively prevents introduction of and Freeman, 2009; Byron and Costa-Pierce, 2013). specific infectious agents. Coastal areas and estuaries Social licence for aquaculture is affected by cultural with precise geographic delineation may also comprise norms, and can be affected by social mobility and wealth a zone. For more detail on zoning and spatial planning of people and by the species grown and aquaculture from the biosecurity perspective, see Annex 2. practices undertaken, seen as either polluting (e.g. fed fish) or non-polluting (e.g. non-fed fish or extractive 4.5 Legal designation of zones for aquaculture species) whether or not this is explicitly correct. Social capacity for aquaculture is also affected by perceived The allocation of aquaculture zones is the final step in or actual ecological degradation, the extent to which zoning and is the legal and normative process that creates aquaculture impacts other livelihoods, exclusion of an area(s) dedicated to aquaculture activities, whereby any legitimate stakeholders from decision-making, and future development thereof must respect this zone. incompatibility of aquaculture with alternative uses, which are all key sources of social conflict. Aquaculture zones should be established within the remit of local or national aquaculture plans and Social conflicts can be minimized through good legislative frameworks with the aim of ensuring the engagement in the development and management of sustainability of aquaculture development and of aquaculture zones, adverse impacts on the ecosystem promoting equity and resilience of interlinked social and use of space. Fair business practices and the and ecological systems. Regulations and/or restrictions creation of opportunities for local communities along should be assigned to each zone in accordance with the aquaculture value chain from manufacture and their degree of suitability for aquaculture activities supply of inputs through to processing, transport and carrying capacity limit. Zones to be allocated to and marketing will build alliances among the local aquaculture activities can be classified, inter alia, as population. Proper stakeholder engagement, sharing “areas suitable for aquaculture activities”, “areas of information and timely communication in the unsuitable for aquaculture activities”, and “areas planning process can help investors avoid social for aquaculture activities with particular regulation conflicts. and/or restriction”. To this end, guidelines should be developed by governments according to the specific 4.4 Biosecurity and zoning strategies location. Disease is probably the main threat and cause of Zoning plans guide the granting or denial of individual disaster to aquaculture everywhere and requires permits for the use of space. This process includes planning at all scales, from individual farms to additional elements of implementation, enforcement, aquaculture zones and aquaculture management monitoring, evaluation, research, public participation areas. The development and implementation of and financing, all of which must be present to carry biosecurity and zoning strategies is increasingly out effective management over time. Zoning | 25 Salmon farming in a remote fjord in southern Chile The location of a salmon farm must consider the environmental carrying capacity of the recipient waterbody and the local social context in order to be environmentally, socially and economically sustainable. Courtesy of Doris Soto 5. SITE SELECTION local meteorological agency or other sources), and some prediction of impacts from aquaculture activity Site selection ensures that farms are located in a and measures to be undertaken to minimize impacts specific location, which has attributes that enable the (i.e. mitigation). Before finalizing a site suitability necessary production with the least possible adverse assessment, a historical review of external risks impact on the environment and society. Site selection should be done, which can include storm, flood and is a process that defines what is proposed (species, drought frequency, and intensity data from the zoning infrastructure, and so on), estimates the likely outputs exercise (section 4.2), that should be made available to and impacts from that proposal, and assesses the individuals or groups seeking permits for aquaculture. biological and social carrying capacities of the site so that the intensity and density of aquaculture do Spacing between the proposed site and other farms not exceed these capacities and cause environmental and between the proposed fish farm and other degradation or social conflicts. It also provides an economic, cultural or ecological assets is of critical assessment for locating farms so that they are not concern in determining where a farm is likely to exposed to adverse impacts from other economic succeed and how much product a farm can generate sectors and vice versa. (Table 9). This is particularly true in the case of disease transfer, which has proved costly to the aquaculture Site selection for individual farms within designated community. If farms are too close together, diseases zones is normally led by private-sector stakeholders can easily spread from one farm to another, and with direct interest in a specific aquaculture diseases can recirculate leading to persistent problems. investment. The government assists by defining clear This is what happened in the Chilean salmon farming site licencing, environmental impact assessment industry prior to zoning and carrying capacity based procedures, and what is acceptable within the zones management, with too many farms crowded into too where the sites will be located. The key steps in the small a space. When one farm had a disease outbreak, site selection process are: it rapidly spread from one farm to another, resulting in near collapse of the entire industry (see Chile case (i) assessment of suitability for aquaculture; study in Annex 5). In the Mekong Delta of Viet Nam, (ii) detailed estimation of carrying capacity for sites; farm overcrowding has been identified as a key factor (iii) biosecurity planning and disease control; and in the inability to manage disease outbreaks (World (iv) authorization arrangements. Bank, 2014). 5.1 Assessment of suitability for aquaculture The choice of an aquaculture site should also take into consideration the location and distance of sensitive Table 8 lists the most important criteria to be habitats, tourist facilities, sites of cultural importance considered in the selection of individual farm and other service infrastructure, with a consideration sites within aquaculture zones. Because of the of the potential to impact these activities or be multidisciplinary nature of the criteria and the impacted by these activities. Table 10 provides an assessment that needs to be undertaken, it is example of distances from aquaculture facilities to normal practice to employ professional aquaculture other areas or activity in British Columbia, Canada. technicians and/or consultants. It is always wise to use conservative estimates (i.e. precautionary principle) in Being potential sources of pollution or introduction production system planning. of disease, human habitation has the potential to be a threat to the viability of a farm and should, where The assessment should thus include a review of local possible, be kept at a safe distance. Potentially, tourism conditions (e.g. temperature, water quantity), historic can also be negatively affected, both from a visual conditions (such as historical climate data from the perspective (e.g. visual impacts from tourists visiting | 27 TABLE 8. Criteria and data requirements to address production, ecological, and social opportunities and risks Farming system Production Ecological Social Coastal marine Temperature Feed regime Sea and coastal access rights cages Wind, waves, currents Critical habitats Access to capital Storm and tsunami exposure Biodiversity Beneficiaries Depth Eutrophication indicators Workforce Salinity Bottom anoxia indicators Etc. Oxygen Environmental impact assessment (EIA) Diet type data in general Feed regime Visual impact Infrastructure Etc. Investment costs Nearness to other farms Nearness to human settlements Markets Etc. Ponds (inland/ Water source Feed regime Landownership coastal) Water quantity and quality Critical habitats Water and riparian rights Soils, slopes Biodiversity Access to capital Rainfall, evaporation Eutrophication indicators Workforce Drought and flood potential Visual impact Beneficiaries Nearness to other farms EIA data in general Etc. Temperature Etc. Diet type Feed regime Infrastructure Investment costs Markets Etc. Freshwater cages Temperature Feed regime Landownership and pens Wind, waves, currents Critical habitats Water and riparian rights Depth Biodiversity Access to capital Storm exposure Eutrophication indicators Beneficiaries Oxygen Bottom anoxia indicators Etc. Diet type Visual impact Feed regime EIA data in general Infrastructure Etc. Investment, costs Nearness to other farms Nearness to human settlements Markets Etc. Hatcheries Water source Critical habitats Local needs Water quantity and quality Biodiversity Landownership Temperature Eutrophication indicators Water rights Diets Visual impact Workforce Infrastructure EIA data in general Skills availability Investment, costs Etc. Visual impact Markets Etc. Etc. Bivalve culture Temperature Critical habitats Sea and coastal access rights on the bottom, Wind, waves, currents Biodiversity Access to capital in plastic trays, Depth Bottom anoxia indicators Workforce in mesh bags, Storm exposure Visual impact Beneficiaries on rafts or on Salinity EIA data in general Etc. longlines, either pH Etc. in shallow water or Chlorophyll and productivity in the intertidal zone Investment, costs Nearness to other farms Nearness to human settlements Markets Etc. Seaweed culture Temperature Critical habitats Sea and coastal access rights on the bottom, Wind, waves, currents Biodiversity Access to capital or off bottom Storm exposure Visual impact Workforce on rafts or longlines Depth EIA data in general Beneficiaries Salinity Etc. Etc. Nutrients availability Investment, costs Markets Etc. Modified from Ross et al. (2013). Notes: Includes social, economic, environmental and governance considerations. Takes into account considerations of carrying capacity for ǃǃǃ  ǃǃƛƥƮǃ5.ǃ ǃƛƛǃƛǃƛǃƛǃ5 28 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture TABLE 9. 4 ǃǃƛ ǃof regulated site-to-site minimum distances Country Site-to-site distances in national regulations Source Chile Extensive production systems must maintain a minimum distance of 200 Art. 11º- 15 metres between them and 400 metres to intensive production systems. Aquaculture Excluded from this requirement are cultures of macroalgae crops fixed to environmental a substrate. Suspended cultures of macroalgae must maintain a minimum regulation, 20011 distance of 50 metres between them and to other centres. Norway The act establishes a licencing system for aquaculture and provides The Aquaculture that the Norwegian Ministry of Trade, Industry and Fisheries may, Act (2005)2 through regulations, prescribe limitations on the number of licences for aquaculture that are allocated. Accordingly, the Norwegian Ministry of Trade, Industry and Fisheries may prescribe: tUIFOVNCFSPGMJDFODFTUPCFBMMPDBUFE tHFPHSBQIJDEJTUSJCVUJPOPGMJDFODFT tQSJPSJUJ[BUJPODSJUFSJB TFMFDUJPOPGRVBMJGJFEBQQMJDBUJPOTJOBDDPSEBODFXJUIQSJPSJUJ[BUJPO t criteria; and tMJDFODFGFFT Turkey Distance between cage farms is determined by the Central Aquaculture Aquaculture Department, according to criteria such as projected annual production Regulation capacity, water depth and current speed. Distance between tuna cage No. 25507³ farms and tuna and other fish farms may not be less than 2 kilometres, and less than 1 kilometre between other fish farms. 1  ǃƛ'ǃƥƛ   ƛǃ5ijĻĻIJ5'ǃƥƛǃ ƛ ǃƛ ƛƛƛƛƛ<ǃǃ , 5ĴijĻ=6IJĵǃǃ ǃǃijĻĻIJ6ǃ5 )&1, 5&1M )ĻĶĻĴijĴ5<ƛ ƛƛƛ ǃƛ 799ƛ ǃ5ƛ 5 ƥ9 9 9ĶĻĴijĴ5 =5 2  IJĸ$ǃijĻĻĶ6, 5ĸĺ6ǃƛƥ ƛ ƛǃ< ƛǃ=5&  ƛ<ƛ ǃ=6#ijĻĻĶǃǃĹ6, ƛƮ5 )&1 , 5&1M )ĻķĵĹĵĻ5<ƥƛƛ  Ʈ, ǃƥƛǃ ƛǃ  ǃǃ ijĵ ijĻĻķ<ƛ ƛƛƛ ǃƛ 7995ǃƥǃƥǃ5 9 globalassets/upload/kilde/fkd/reg/2005/0001/ddd/pdfv/255327-l-0525_akvakulturloveneng.pdf). 3 Aquaculture Regulation No. 25507. Su Ürünleri Yetiútiricili÷i Yönetmeli÷J 5$3FTNÔ(B[FUF/P+VOF 5VSLFZ'"0-&9/P-&9 FAOC044968. (also available at http://faolex.fao.org/docs/texts/tur44968.doc). picturesque places that also contain aquaculture) and 5.2 Detailed estimation of carrying capacity from an environmental perspective, whereby negative for sites JNQBDUTPOXBUFSRVBMJUZNBZJNQBDUBUPVSJTUT enjoyment of a local area. It is generally desired Assessment of carrying capacity at the site level that fish farming operations be located away from is much more developed than the assessment at tourist areas. Conversely, biological assets, such as the zonal or area scales, especially for the marine coral reefs, mangroves, seagrass beds, shellfish beds, environment, but nonetheless still contends with fish spawning grounds and other biodiversity assets, many of the complexities outlined above when should be protected by locating aquaculture sites at a considering production impacts on water quality safe distance, preferably downstream where effluents and sediments, and resolving what an acceptable cannot cause problems. Sites sacred to indigenous level of production is. In the majority of cases, site- peoples and sites of historical significance should be level carrying capacity models estimate nutrient inputs respected and only developed through consultation to the environment and assess impacts on sediments, with stakeholders and with explicit permission. on the water column, or both. More often than not, models assess these impacts against minimum environmental quality standards, often defined Site Selection | 29 TABLE 10. Distances between salmon aquaculture sites and other areas in British Columbia, Canada Distance To At least 1 km in all directions from a First Nations reserve (unless consent is received from the First Nations). At least 1 km from the mouth of a salmonid bearing stream determined as significant in consultation with the Department of Fisheries and Oceans Canada (DFO) and the province. At least 1 km from herring spawning areas designated as having “vital”, “major” or “high” importance. At least 300 m from intertidal shellfish beds that are exposed to water flow from a salmon farm and which have regular or traditional use by First Nations, recreational or commercial fisheries. At least 125 m from all other wild shellfish beds and commercial shellfish-growing operations. An appropriate distance from areas of “sensitive fish habitat”, as determined by DFO and the province. An appropriate distance from the areas used extensively by marine mammals, as determined by DFO and the province. At least 30 m from the edge of the approach channel to a small craft harbour, federal wharf or dock. from ecological reserves smaller than 1.000 ha, or approved proposals for ecological reserves At least 1 km smaller than 1 000 ha. of sight from existing federal, provincial or regional parks, or marine protected areas (or ap- Not within a 1 km line proved proposals for these). infringe on the riparian rights of an upland owner, without consent, for the term of the tenu- In order to not re licence. that would pre-empt important aboriginal, commercial or recreational fisheries, as determined Not in areas by the province in consultation with First Nations and DFO. of cultural or heritage significance, as determined in the Heritage Conservation Act. Not in areas Consistent with approved local government by laws for land use planning and zoning. from any existing finfish aquaculture site, or in accordance with a local area plan or Coastal At least 3 km Zone Management Plan. Source: Dow (2004). nationally through scientific endeavour and (in some nitrogen and phosphorus concentrations into and cases) set specifically by regulators, which then set from aquaculture systems. There is a determination a maximum production level, often derived through of how much of a specific nutrient enters or is an iterative process. Some models take this further removed from a local (site) system and analysis of by assessing profitability to ensure the ecological the consequences of that input/removal for the limits defined are profitable for the farmer as well. waterbody. Site carrying capacity models can range from A relatively simple example of a nutrient-based simple mathematical calculations to more complex carrying capacity model was developed by integrated processes that require specialized Halide, Brinkman and McKinnon (2008) and is software. In perhaps the simplest form, model available online at http://epubs.aims.gov.au/ equations produce a mass balance for many handle/11068/7831; it is in part based on the different parameters, the most widely used being MOM model (see below). 30 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture Other models are significantly more complex, and shellfish growth and human interaction and has been a few only are summarized here to indicate what field tested in a number of locations, notably in Ireland is possible. The MOM model (Ervik et al., 1997; (Ferreira, Hawkins and Bricker, 2007) and China Stigebrandt, 2011) defines, among other things, (Ferreira et al., 2008b). changes to sediment oxygen concentration from the deposition of particulate matter for a certain level An efficient production plan for aquaculture of production, which is compared with a minimum needs to consider carrying capacity and site environmental quality standard. Additionally, the Farm characteristics to determine how much production Aquaculture Resource Management (FARM) model can be accommodated in a particular location and, assesses species growth and the likely impacts of that consequently, the amount of money that could be growth on environmental conditions (Ferreira, Hawkins generated in order to achieve sustainability. Crowded and Bricker, 2007; Cubillo et al., 2016). production units mean that the stock can suffer from crowding stress, which lowers productivity (Figure 4), Another approach to carrying capacity estimation in addition to the disease transfer risks outlined at the farm scale uses depositional models (Cromey, previously. Figure 4 shows the evolution of Nickell and Black, 2002; Corner et al., 2006; Ferreira, productivity for three fish species in Chile over Hawkins and Bricker, 2007; Ferreira et al., 2008a, time, with dips in productivity associated with 2008b; Cubillo et al., 2016), which predict the overcrowding, particularly of Atlantic salmon accumulation of particulate outputs from fish cage (Salmo salar). The decrease was critical in 2008 and aquaculture in the sediments below fish cages (Figure 3) 2009, and at this time saw the introduction of new or other aquaculture systems, and can be used in regulations that established area management and local-scale assessment of the effects of fish cages on coordinated fallowing periods, which resulted in sensitive demersal flora and fauna. The DEPOMOD improved productivity for all three species.Achieving model (Cromey, Nickell and Black, 2002) is a particle production within the carrying capacity of the local tracking model for predicting flux and resuspension of system means managing for maximum productivity particulate waste material and assesses the associated rather than maximum standing stock (e.g. the benthic community, the outcome of which can number of fish in the water at any one time), which be a definition of an allowable zone of effect; see will reduce pollution and costs while ensuring the Cromey (2008). The ORGANIX model (Cubillo et al., welfare and maximizing the growth rate of the 2016) can be used to evaluate settlement of wastes, stock. and combined with the FARM model can assess the local impacts of multiple species, individually, Carrying capacity estimation for individual farm sites and in combination in an integrated multi-trophic is usually undertaken as part of the environmental aquaculture (IMTA) system. impact assessment (EIA) and the licencing procedure (FAO, 2009). A fair and equitable licencing procedure, To estimate carrying capacity of shellfish and an EIA and an assessment of carrying capacity enable seaweeds, which do not pollute through nutrient the setting of limits on farm size, including permits to outfall, but do compete with wild organisms for food, discharge nutrients or other wastes to a waterbody, to nutrients and oxygen, models should calculate the ensure that there is no deterioration of water quality. amount of shellfish that can be grown in a particular This is particularly important for fed culture systems site without starving either the cultured or wild that generate wastes, but also for extractive species animals in the area. Ferreira (1995), Nobre et al. (2005, where wild stocks also need to be maintained. 2011), and Ferreira et al. (2008a) describe a carrying capacity model applicable for such systems. EcoWin is For project planners at all levels, estimating carrying based on hydrodynamics, suspended matter transport, capacity is crucial to ensure overall sustainability of nitrogen cycle, phytoplankton and detrital dynamics, farms, and a number of modelling tools are available Site Selection | 31 FIGURE 3. Output from a particulate waste distribution model developed for fish culture in Huangdun Bay, China, using GIS, which provides a footprint of organic enrichment beneath fish farms Grid Units Meters North 100.00 Grid 0.00 0.06 North 100.00 0.13 Ļ5IJĺ 0.25 0.32 0 0.38 3 5 0.45 8 0.51 11 0.57 13 0.64 16 0.70 21 0.76 24 0.83 26 Ļ5Ĺĺ ijĺ 32 Ļ5ĺĶ 34 1.02 37 Ĵĺ Kg C/ m2 / 15-days 42 Water ǃ  (m) Source: Corner et al. (2006). to be able to better understand what the limits are disease outbreak not only requires the pathogen (see Annex 4). Models are generally the domain of to be present, but stocks will also need to be in a knowledgeable specialists, and it is recommended vulnerable state, typically induced by some kind of that a suitable consultant conversant with appropriate stress. Common stressors in aquaculture include rough models be engaged to develop systems relevant to handling, low dissolved oxygen, inadequate feeding, specific circumstances. and temperatures being either too high or too low or fluctuating. The combination of stressed fish and 5.3 Biosecurity planning and disease control pathogen presence can lead to a disease outbreak. Diseases cause up to 40 percent of all losses in The World Organisation for Animal Health is aquaculture systems, so biosecurity is an essential the leading international authority on disease component of proper farm management at the site management, including fish and shellfish. It proposes level. Diseases can spread to and from wild animals guidelines, published as the Aquatic Animal Health in the water surrounding a farm and through the Code (available at www.oie.int/international-standard- water to other farms, and thus they are of concern setting/aquatic-code/access-online). Additionally, to all stakeholders locally and within an aquaculture the fundamentals of aquaculture animal disease zone. Individual farms must maintain strict measures management have been reviewed by Scarfe et al. to prevent diseases coming into the farm (e.g. using (2009). The basic components of a farm- or site-level certified disease-free stock), and maintain healthy and biosecurity plan are: unstressed stocks and implement good hygiene practices so that diseases cannot gain a foothold and spread. t Screening and quarantine—all animals coming onto the farm should be certified disease free and tested Most diseases affecting aquaculture organisms are for disease on arrival, and be maintained in separate more or less ubiquitous, present in low numbers holding facilities for a period of time to ensure that in wild populations or in the environment. In most they are not infected. populations, some individuals will be resistant to a t Isolation—nets, tanks and other equipment should disease, but could still be a carrier. The onset of a be routinely disinfected, and farm workers should 32 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture FIGURE 4. Changes in productivity for three species of fish (kg harvest per smolt) under overcrowded < ǃMijĻĻĺ=ƛ  ǃƮ ƛǃ< MijĻĻĹ=ƛǃƮ Productivity (Kg harvested smolt/transferred) 5.00 4.50 4.00 3.50 3.00 2.50 2.00 1.50 1.00 0.50 0.00 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 Coho Salar Trucha Source:ƛƛ ƛ<ijĻIJIJ=5 maintain good hygiene, including handwashing during routine feeding to ensure that the fish are and foot or boot washing. The amount of vehicular eating well and are healthy. Suspect animals should traffic (cars, boats) between the farm and the be removed immediately. surrounding area should be kept to a minimum and t Veterinary services—a licenced veterinarian should disinfected upon return when possible. sample the farmed stock at regular intervals to t Proper handling—to avoid stress, fish should be ensure that any latent problem is detected as early kept in well-oxygenated water at an optimum as possible. If a government veterinarian is not temperature during holding and transport, and available, farmers should call on a local specialist. handled as little as possible during transport and when on site. A more detailed analysis of the biosecurity implications t Proper stocking density—in addition to causing for spatial planning and management can be found stress, high-density conditions increase the in Annex 2. Overall, a well-managed site, with frequency of contact among individual fish, leading maintained and healthy, well-fed stock along with to increased rates of disease transmission and appropriate and implemented hygiene procedures, infection. reduces the likelihood of a disease outbreak and t Regular monitoring—one of the first signs of disease transmission between sites. is loss of appetite. Fish should be monitored closely Site Selection | 33 5.4 Authorization arrangements farm to avoid locating it near habitats of special interest (recreation, wildlife, fishing zones) or near The aquaculture leasing, licencing or permitting industries and sewage outfall. In many cases, site system is normally established through legislation or selection decisions are made in response to singular aquaculture-specific regulations. Implementation of applications. these legislative or regulatory instruments and any t Change of use—proposals that involve a change protocols that define the procedures to be followed in the species that will be farmed on site, new leads to the issuance of authorization to conduct or modified production practices, or requests aquaculture, usually containing specific terms and to increase production. A new EIA and carrying conditions that bind the lease, licence or permit capacity estimation could be needed to make an holder. appropriate decision. The leasing, licencing or permitting system provides All leasing, licencing and permitting systems should the authorities with the means to verify the legality include consideration of distances among aquaculture of an aquaculture operation at a proposed site, and sites existing and planned, and between aquaculture can be used as a basis for controlling and monitoring and other, potentially conflicting, uses. Safe minimum the potential environmental and social impacts of site distance depends on many factors, including, but the operation. These authorizations/licences/permits not necessarily limited to, wind direction and speed, typically outline what the holder is permitted to do water currents and direction, visibility of installations, by establishing the permitted physical dimensions of wildlife corridors and nature reserves, the site, the species that can be grown, acceptable and transportation routes. operating conditions in relation to production and nutrient load limits, and the period over which 5.4.1 Aquaculture licences or permits permission to operate is valid. Each separate company or legal entity operating A proper leasing, licencing or permitting system within an aquaculture zone should be required to have provides a legally secure right to conduct an aquaculture licence or permit that defines: aquaculture operations in a specific location for a t species to be cultured; specified period of time. It provides exclusivity and t maximum permitted annual production or peak ownership over the farmed organisms to the holder biomass; of the authorization, and protects investors from t culture method; interference and from political vagaries in order to t site marking for navigation safety; and provide investor confidence. The authorization also t any special conditions such as regular environmental allows the holder of such authorization to enforce surveys and other monitoring. the right accorded under the authorization against third parties, if the right is frustrated or denied or There should be penalties or measures taken for cancelled without good or legal reason for such contravening a condition of an aquaculture licence. cancellation. In addition, a licence should also contain a provision giving the licensor the right to cancel, suspend Regulations governing the issuance of leases, licences or not renew a licence where the holder fails to and permits should consider the different stages of adhere to the required standards, or where new aquaculture development in a particular locale: information means the site is no longer acceptable t New site—a proposal for a new previously or sustainable. undeveloped site for aquaculture. Most countries have specific rules for the location of a new 34 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture 5.4.2 Aquaculture leases For both licences and permits, there should be regular surveys to monitor social and environmental impacts Each separate company or legal entity operating to ensure that they remain within acceptable levels. within the zone should be granted legal tenure by In cases where problems are occurring, flexibility in the way of an aquaculture lease issued by the competent licencing, permitting and/or lease terms should provide authority. The aquaculture lease would include terms the farmer/owner with sufficient time to enable and conditions that specify: mitigation measures to be put in place and changes to t the terms or duration of the lease and its renewal be made before more drastic action is taken (such as options; removal of the licence). t perimeter location (latitude and longitude); t lease fees; and t other specific criteria such as what happens if there is no operation of the site within a specified time, or penalties for non-payment of fees or abandonment. Site Selection | 35 Tilapia cage culture in Beihai, China When there are several farms in an enclosed or well contained waterbody, it is essential to develop and implement an area management plan to minimize risks of disease and environmental risks. Tilapia is cultured in many types of production systems. This flexibility makes the fish attractive to farmers in many parts of the world for subsistence and commercial production. Tilapia is also a favourite for many consumers. Fish from this farm in China is destined for the American market, although consumption is increasing locally. This strong demand is supporting increased production around the world in ponds and cages, in fresh and brackish water. However, as the industry grows, the risks also grow. Farmers must do their part to reduce environmental and disease risks on each farm as part of a larger resource management system that will protect the quality of water resources and the livelihoods for producers. Standardizing production practices and coordinating disease risks through area management strategies are key aspects for ensuring sustainable growth of the industry. Courtesy of Jack Morales 6. AQUACULTURE MANAGEMENT by overlapping, result in one geographical area with AREAS an identifiable physical/ecosystem base. For ease of regulation, AMAs should ideally be within one The designation and operation of an aquaculture governance administrative unit (e.g. municipal, management area (AMA) lies at the heart of the state, district, region). The AMA should be large ecosystem approach to aquaculture. It is at this level enough to make a real difference in the ability of the of organization that collective farm and environmental components to increase their operating efficiency, but management decisions are made that can more small enough to be functional and easily managed. broadly protect the environment, reduce risk for Without specific governmental interference, farms and aquaculture investors, and minimize conflict with farmers will often self-organize around areas that are other natural resource users. good for aquaculture. Their designation as aquaculture management areas simply allows for more formal and There are activities that are amenable to area better overall management. management that often fail to be effective when implemented at the individual farm level. Examples The most common means to delineate an AMA include the coordination of cropping cycles for sales is related to disease, in particular disease transfer, and marketing purposes; synchronicity of treatments which is spread through a common water in disease management; environmental monitoring source. Since diseases move through water and that ensures the cumulative effects of multiple farms environmental loading is a function of the outflow are not unduly harming the environment; waste of nutrients and wastes from all farms within a treatment and management; collective negotiation of given area, it would be typical for the AMA to be input (e.g. feed supply) and service (e.g. monitoring) delineated by the water surface/supply that is shared contracts; collective certification and marketing of by all farms within it. Ensuring that all users of a products; the ability to implement a comprehensive common water source are in the same AMA creates biosecurity and veterinary plan; and provision of incentives for cooperation in maintaining good water collective representation to the government and with quality and in coordinated disease management. other stakeholders. The key steps in the definition and In cases where it is not obvious how water flow management of AMAs are: and diseases move from farm to farm, it may be necessary to develop a hydrological (freshwater) (i) delineation of management area boundaries with or hydrodynamic (marine water) map of the area. appropriate stakeholder consultation; Such a map would identify major water sources, or (ii) establishing an area management entity involving tides and currents, that effect water movement or local communities as appropriate; flows, and will assist in determining where the AMA (iii) carrying capacity and environmental monitoring of boundaries should be located. AMAs; (iv) disease control in AMAs; It is important that all farms within a designated AMA (v) better management practices; cooperate. Failure by one or a few farms to participate (vi) group certification; and fully and to find solutions to problems when they (vii) essential steps in the implementation, monitoring occur may result in farmers who do participate and evaluation of a management plan for an becoming discouraged with a resultant loss of interest AMA. in cooperating. This is potentially wasteful in terms of time and energy on the part of the government 6.1 Delineation of management area boundaries seeking to sustainably develop aquaculture. with appropriate stakeholder consultation Within a defined aquaculture zone, AMA boundaries It is not always the case that farms in close physical can be based on biophysical, environmental, proximity necessarily share a common water supply. socioeconomic and/or governance based criteria that, In these circumstances, due to their close proximity, | 37 it may increase the likelihood of a disease transfer to educate about the local context, raise issues through other means (e.g. sharing workers, predation and concerns, ask questions, and potentially make of diseased stock by birds that are then dropped suggestions for the delineation of the management into the neighbouring farm), and these farms should area. Therefore, a planned participatory process with be extra vigilant in managing how they interact to consultation with all relevant stakeholders needs to minimize the overall risks. be in place, commencing with clear objectives about what is to be achieved. Broadly, designating physical boundaries for cage aquaculture in a lake or embayment is relatively 6.2 Establishing an area management entity straightforward (Figure 5a). Pond aquaculture systems involving local communities as appropriate are more complex, as it is often difficult to spatially arrange ponds in any meaningful way; for example, In any specific farm, it is imperative that the farmer in a river delta where the catchment (and therefore operates to the highest standards in managing the the water source) may be significantly larger and site. It may not, however, be possible to influence more dispersed than the aquaculture activity using everything that happens in the wider area, especially that water. Nonetheless, attempts should be made when other farms are in operation. Added to this, to delineate AMAs for freshwater pond systems the impacts of disease and environmental loading to (e.g. Figure 5b), and then to undertake periodic a waterbody or watershed are the result of all farms assessments to ensure they function correctly. It is operating in that waterbody or watershed; and control much easier to organize AMAs before aquaculture cannot be managed by any single farm working becomes well established, and therefore difficult alone, and collective activity becomes important in to move, rather than later when farms are already these circumstances. Where possible, all operating operating and unable to relocate. Nonetheless, the farms within an AMA should be members of a rewards from better management, perhaps increased GBSNFSTPSQSPEVDFSTBTTPDJBUJPOBTBNFBOTUPBMMPX production, better coordination of shared resources representation in an area management entity, and and reduction of risk, mean that even where farms are which can set and enforce among members the norms long established the development of an AMA system of responsible behaviour, including, for example, the is worth the time and effort. development of codes of conduct. There is more than one way to develop an entity for an It is not necessary that an AMA is specific to a single kind AMA, given that the legal, regulatory and institutional of aquaculture system or to a single species. For example, framework will vary at the national, regional and local IMTA provides the by-products, including waste, from levels. While the main impetus for the establishment one aquatic species as inputs (fertilizers, food) to another. PGBGBSNFSTPSQSPEVDFSTBTTPDJBUJPONVTUDPNF Farmers combine fed aquaculture monitoring from the farmers themselves, there is nonetheless a (e.g. fish, shrimp) with inorganic extractive (e.g. seaweed) significant role for the government as a convening and organic extractive (e.g. shellfish) aquaculture to body and, ultimately, the government has specific create balanced systems for environment remediation responsibility as the regulator and can place a high (biomitigation), economic stability (improved output, degree of impetus on the farmers to coordinate. lower cost, product diversification and risk reduction), The government could help by providing basic services and social acceptability (better management practices). (e.g. veterinary, environmental impact monitoring, IMTA is most appropriate at the landscape level, and DPOnJDUSFTPMVUJPO UISPVHIUIFGBSNFSTBTTPDJBUJPO  it is thus very relevant for an AMA. The delineation which will encourage cooperation by all farmers. of management area boundaries should be done in consultation with all relevant stakeholders. Importantly, the government may also need to create A consultation process is an opportunity for a formal structure through which it engages with the stakeholders to obtain information as well as give GBSNFSTBTTPDJBUJPOTUIBUEFWFMPQ feedback. Stakeholders can use the opportunity 38 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture FIGURE 5a and 5b. Conceptual arrangement of aquaculture farming sites clustered within management areas designated within aquaculture zones a. Coastal and marine aquaculture F F F Village Marine F AMA 1 River environment F Mangroves AMA 2 F F F F F AMA 3 F F Aquaculture Village Coral reef zone F area F F F Land F F AMA 4 F F Roads Village Note: Schematic figure of a designated aquaculture zone (hatched area in blue colour) representing an estuary and the adjacent coastal marine area. Individual farms/sites (F), owned by different farmers, are presented in different colours and can incorporate different species and farming systems. ǃ ƛƛǃǃƛ ǃ +6ƥ  ǃƛ ƥ ƛǃ ǃƛƛǃƛ ǃƛƛƛ   tides and water movement. b. Inland aquaculture Land Land F F AMA 2 F F F AMA 1 F F F AMA 3 F F F F F F F F F AMA 4 F F F Land Main river Note:  4ǃƛƶƥǃ ƛǃƥƛ ƛǃ ǃ<ǃ ǃǃ ǃƛǃƛ=ǃ ǃǃƥƛƛM ƛǃƛ< =6ǃ5ƥ5ƛƶ ƛ9  ǃ ǃǃ6ƛƛƮ ǃ ǃ Ʈƴǃǃƛǃ< ǃǃǃƴǃǃ  =5#ǃƛ ǃ6ǃǃƛǃ +5.ǃ  ƛƮǃ AMA is the water sources and water flow (arrows) as the priority criteria (e.g. addressing fish health and environmental risks) used to set boundaries of the AMAs. Aquaculture Management Areas | 39 The number of individual farmers to be included in To be effective, it is important that all or nearly all of the an AMA should be carefully planned and discussed farmers are part of the management plan, so as to to make the AMA operational. Some good examples avoid cheating on best practices that can lead to of farmer associations include those in Chile, Hainan disaster for all. The SSPO in Scotland, the United Island (China), India and the United Kingdom of Great Kingdom of Great Britain and Northern Ireland, and Britain and Northern Ireland. Salmon Chile in Chile represent ~90 percent of production in their respective management areas, and In Chile, there are approximately 17 corporate entities in have been successful in coordinating and expanding UIFNBJOQSPEVDFSTBTTPDJBUJPO 4BMNPO$IJMF BOEXIFO production. a significant disease outbreak occurred, aquaculture area management was used to overcome and manage Where there is already a well-established aquaculture the outbreak, with Salmon Chile developing and industry, it may be practically difficult to reorganize implementing some of the response measures. farms into defined aquaculture areas, in which case it may be necessary to adopt a strategic approach that The Scottish Salmon Producers Organisation (SSPO) establishes a working area management entity around incorporates 10 commercial decision-making a core of interested farmers, and gradually expanding entities, all of whom adhere to common principles of to incorporate as many other farmers in the watershed behaviour, adopt best practices, and share important as possible. If a serious problem occurs, such as a disease and market information for the benefit of disease outbreak or pollution problems that affect an all members. In Scotland, the United Kingdom of aquaculture area, and a sizeable number of farmers Great Britain and Northern Ireland, AMAs were refuse to cooperate with the area management entity, also developed out of a need to contain a disease it may be necessary for the government to impose outbreak, infectious salmon anemia (ISA), and which regulations that require participation in an AMA as part included control measures to eliminate transfer of of the permitting/leasing process to force the process. stock between AMAs. The different scales of farmer groups will have a The Sustainable Fisheries Partnership (SFP) organizes different internal governance and management GBSNFSTBTTPDJBUJPOTJOUPHSPVQTPGBQQSPYJNBUFMZ system. Any system developed must formally identify on Hainan Island (China) and continues to support how decisions will be made, have clear leadership the Hainan Tilapia Sustainability Alliance. It is driven and hierarchy within the group, and determine by a group of leading local companies who support how the costs and any profits will be managed. In the associations with seed, feed, technical support, small farmer groups, it is easy for all members to farming and processing, and increasingly involving be involved in day-to-day decision-making, but as more of the local industry. farmer groups become larger, representatives are usually chosen to manage the group on behalf of Cluster management, used to implement appropriate members. In some cases, group members may not better management practices in Andhra Pradesh, have sufficient business and management skills and India, can be an effective tool for improving experience to manage the AMA effectively and could aquaculture governance and management in the employ professional managers from outside the small-scale farming sector, enabling farmers to work group to manage their organization until sufficient together, improve production, develop sufficient experience is gained. Management of larger, more economies of scale and knowledge to participate complex AMAs can be a time-consuming task, in modern market chains, increase their ability to leaving little time for people to focus on their own join certification schemes, improve their reliability of individual farm management and production, and is production, and reduce risks such as disease (Kassam, another reason why a professional manager may be Subasinghe and Phillips, 2011). useful. 40 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture The structure of the AMA entity will vary depending a thorough risk assessment should be considered to on whether parties are the same size. AMA entities prioritize the most important risks that should be should be inclusive, as appropriate, for identification addressed, and identify actions to be implemented to of issues, and stakeholder participation is essential. overcome or otherwise mitigate the risks. Under these circumstances, undue dominance by one or more larger commercial entities within an The majority of relevant threats “from and to” AMA can lead to disagreement on a course of aquaculture have a spatial dimension and can be action (e.g. affordable by some but not all), which mapped. Risk mapping of AMAs should include those might place a burden on the larger companies in risks associated with the clustering of a number of providing the needed financial and other support to farms within the same water resource, as well as smaller farmers within the AMA. Conversely, there external impacts that can affect the farm cluster, for are instances where larger companies that support example: small farmers facilitate overall development and support to small farmers who have less capacity to t eutrophication or low dissolved oxygen levels; take action. Some AMAs will make more sense for t impact on sensitive habitats; large-scale commercial aquaculture, while other t impact on sensitive flora (e.g. posidonia beds) or AMAs could include a mix of producer sizes and fauna; types or could be designed just for small-scale t predators (e.g. diving birds, otters, seals); farmers. t epizootics/fish disease outbreaks (e.g. ISA); t social impact and conflict with local communities 6.2.1 What does the area management entity and other users of the resource, including, for do? example, theft; t storms and storm surge; The purpose of the area management entity is the t flooding; and setting and implementation of general management t algal blooms. goals and objectives for the AMA, developing common practices that ensure commonality in A variety of data and tools exist to support risk operations to the best and highest standards mapping analysis. Some GIS-capable systems are possible, and focusing on the activity that cannot be specifically targeted at risk mapping, and many achieved by each farmer alone. In doing so, the entity general-use GIS systems have sufficient capability to is able to develop a management plan for the AMA. be incorporated into risk management strategies. Remote sensing is a useful tool for the capture of A range of issues that could be best addressed at the data subsequently to be incorporated into a GIS, MFWFMPGUIFGBSNFSTBTTPDJBUJPOBSFMJTUFEJO5BCMF and for real-time monitoring of environmental 11. What is important is that the activity is of direct conditions for operational management of relevance and benefit to farmers, and that it leads aquaculture facilities. Satellite imagery has an to effective management of the AMA. The entity is important role to play in the early detection of not there specifically to resolve individual disputes harmful algal blooms (HABs). For example, in between farmers, although the management entity Chile, an early warning service based on Earth can of course play a conciliation role where this does observation data delivers forecasts of potential occur. HABs to aquaculture companies via a customized Internet portal (Figure 6). This Chilean case was led A major justification for collective action on the by Hatfield Consultants Ltd (Hatfield, UK), using part of fish farmers is the reduction of risk to the funding from the European Space Agency-funded farming system and to natural and social systems. Chilean Aquaculture Project. To guide the creation of an area management plan, Aquaculture Management Areas | 41 FIGURE 6. Monitoring and modelling of bloom events in the Gulf of Ancud and Corcovado, south of Puerto Montt in Chile Chl Secchi (mg/m3) depth (m) 30 30 27 20 24 10 21 5 18 3 15 2 12 1 ĺ 0.5 6 0.3 3 0 ACRI ACRI processing processing Coastwatch Coastwatch product product Chlorophyll-a pigment concentration Secchi disk transparency .ǃ ǃ 7ijĻĻĶMĻijMijĴ ijĻĻĶMĻĴMĻij Precision of ± 2m. .ǃ ǃ 7ijĻĻĶMĻijMIJķ ijĻĻĶMĻĴMĻij Temperature (g/m3) (deg. °C) 2 20 IJĺ 1 18 17 0.5 16 0.3 15 14 0.2 13 0.1 12 11 ACRI ACRI processing processing Coastwatch Coastwatch product product Sea surface temperature Suspended particulate matter Precision of ± 0.5°C. .ǃ ǃ 7ijĻĻĶMĻĴMĻij .ǃ ǃ 7ijĻĻĶMĻijMijĴ ijĻĻĶMĻĴMĻij Notes: O ƛƛǃƛǃ + ǃƛǃ'ǃ  #ƛƥƥ4 ǃ ƛ ǃǃ< +)#4=6 ǃǃǃƛ  ǃƛƥǃ ƥƛƛ ǃƛ ǃ    IJĶƛƮ5ƛƛ ǃƛƮ ǃǃǃ5 O +)#4ƛǃƮǃƛ ƛǃ.ǃƛƛ ƛƛǃǃ5.ǃƛ+)#4ƛ ƛ+)#4ƛǃǃƥǃǃǃƛŀƛǃǃǃƮ 1 to 2 days. These data improve our understanding of global dynamics and processes occurring on the land, in the oceans, and in the lower atmosphere. Source: Stockwell et al. (2006). 42 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture Another example of early warning for aquaculture is in Improving aquatic animal health management Europe: the project Applied Simulations and Integrated and biosecurity Modelling for the Understanding of Toxic and Harmful t Develop a common aquatic animal health and Algal Blooms (ASIMUTH) funded by the European biosecurity plan for the area. Defines the approach Union (www.asimuth.eu) used a collection of satellite to mitigate against disease risks for the area. and modelling data to construct a HAB forecasting t Implementation of single year classes of stock tool. They incorporated ocean, geophysical, biological (e.g. fish) where juvenile inputs are coordinated and toxicity data to build a near-real-time warning and managed in order to ensure there is no disease system, which took the form of a Web portal, an SMS transfer through mixing stocks and to allow for a alert system for farmers, and a smartphone app. The fallow period to break disease cycles. Web portal is curated and maintained by scientists t Disease control through regular disease surveillance in each country participating in ASIMUTH (France, and synchronized disease and parasite treatments. Ireland, Portugal, Spain and the United Kingdom of Treatment with the same medication is useful, and Great Britain and Northern Ireland). use of only authorized medication is expected. Over and above the issues listed in Table 11 are the t Vaccination of stock for specific diseases, where key management measures that have been taken to vaccines are available, with vaccination of all address the key issues listed above where collective juveniles prior to stocking. action is better than singular action, namely: TABLE 11. Common issues to be addressed in aquaculture management areas Social Economic Environmental Governance User rights conflicts Production losses due to fish Eutrophication Weak management body diseases and fish kills of the common area Resource use conflicts Production losses due to Poor discard of solid Non-compliance (e.g. water use, space, etc.) thievery and general security wastes (feed sacs, by farmers dead fish, etc.) Lack of training Poor access to markets/low Disease and parasite Inadequate monitoring selling prices, etc. transfer to wild stocks and control Lack of adequate services Limited access to inputs Escapes impacting Poor or slow conflict (seed, feed, capital, etc.) biodiversity resolution Lack of employment and Lack of post-harvest facilities Use of chemicals Lack of institutional poor labour conditions impacting biodiversity capacity Lack of opportunities Use of fish as feed Lack of political will for women with negative impacts towards aquaculture on local fisheries Food safety problems Poor management Absence of biosecurity of water use frameworks Habitat disturbance Damage to the farms (on mangroves, caused by climatic variability, coral reefs, seagrasses, climate change or other etc.) external forcing factors Aquaculture Management Areas | 43 t Coordination for fallowing and restocking dates. FCR so that excess nutrient wastes are also reduced. Synchronized fallowing, leaving the whole area May involve re-siting farming structures (e.g. in the empty of cultured fish for a specified time, and case of cages) where a new layout for the AMA subsequent coordinated restocking supports could improve nutrient flows. This is also related to biosecurity. Dates should be agreed upon between the first bullet point above. all parties and should be obligatory. t Environmental monitoring and implementation t Monitor the health status of newly stocked juveniles. of regular environmental monitoring surveys and There should be agreement on the quality of reporting and sharing of results. the juveniles to be stocked into a management t Fallowing of aquaculture areas. Synchronized area, which may include: physiological status of fallowing of aquaculture areas, which leaves juveniles; use of vaccines; sourcing juveniles from the whole area empty of cultured fish for a specific pathogen free sources; and tests for specific specified time. This is a biosecurity as well as an pathogens on arrival. environmental management measure. It helps to t $POUSPMPGNPWFNFOUPGHBNFUFTFHHTTUPDL break the disease and parasite cycle and allows between the farms within the AMA and into the the sediments and water quality to partially AMA from external sources. recover. t Disinfection of equipment, well boats, and so on at farms, and following any movements between Improved economic performance of member different farms by defining the expected disinfection farms protocols. t Regular monitoring and reporting of aquatic animal t Negotiation of supply and service contracts, whereby health status, regular monitoring of disease criteria, effective economies of scale and better terms can and other management measures within the AMA. be achieved by negotiating contracts for common This should include measures to be taken against services (such as environmental monitoring), as non-conforming or non-complying farmers. well as for technology, fertilizer and feed supplies, t Reconsidering the AMA boundaries to control a among others. disease; for example, following the definition of t Marketing. Sharing post-harvest facilities (ice epidemiological units in order to limit spread and machines, packing facilities, refrigeration facilities, impact of disease outbreaks within the common etc.). Establishing a common marketing platform. area. t Sharing of infrastructure, such as jetties, boat ramps, feed storage facilities, sorting, grading and For more information on biosecurity, see Annex 2. marketing areas, and ice production plants. t Sharing of services, such as net-making, net-washing Control of environmental impact, particularly and net-repair facilities. cumulative impact t Data collection, reporting, analysis and information exchange. Information exchange may include: t Establishing the carrying capacity for the area to veterinary reports; mortality rates; timing and types receive nutrients. In most cases, this is one of the of medicines used; and mutual inspections for first measures needed to adjust production and plan assurance purposes, both within the AMA entity for the future of the AMA. and with external stakeholders, such as government t Protecting natural genetic resources. Preparation departments. of containment and contingency plans to minimize t Coordinated harvesting and marketing that escapes and to control the input of alien (non- allows farms within the AMA to have a larger and native) species introduction. continuous sales and marketing platform from t Improving water quality by reducing contribution to which to sell products. eutrophication. This will involve an improvement in 44 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture Social management measures and minimizing t definition of the area and the farms included; conflict with other resource users t agreement on the management measures; t a management structure must have a mechanism t Facilitating and strengthening clusters and farmer to engage with public agencies and organizations, associations. representatives from stakeholders, NGOs and other t Identifying relevant social issues generated by sectors that use the aquatic resource; aquaculture in the coastal communities. t responsibilities for implementation of the t Social impact monitoring by agreeing on and setting management plan must be clearly allocated to indicators of impacts and regular monitoring of the particular institutions and individuals; impacts on local communities and other users of the t all farmers within the AMA must agree to conform water and other resources. to the management plan; t .BOBHFNFOUPGMBCPVSCZNPOJUPSJOHXPSLFST t the management structure must be able, willing, and health and that of their families, implementing allowed to implement or administer the incentives safety standards, providing appropriate wages and and disincentives to farmers who do not conform to benefits, and identifying additional employment the management plan; opportunities along the value chain. This will also t an agreed upon timetable; include developing and implementing training t the roles and responsibilities and desired activities to upgrade the skills of workers. competencies for the key persons participating in t Implement conflict resolution and measures to avoid key management positions within the zone; and conflict. If conflict does occur between farmers and t financial arrangements supporting the management between the management area and local interests plan and area management entity. (with fishers, for example), then resolution procedures should be fair, uncomplicated and inexpensive. 6.3 Carrying capacity and environmental monitoring of AMAs Once key issues are identified and agreed upon Estimates of environmental carrying capacity of the by the group, the management entity should area should be made and regular surveys conducted develop management measures to address the key to reassess the area. Carrying capacity at the AMA issues. These will then be incorporated into an area scale could be undertaken, for example, using management agreement or plan that can guide depositional models (particle tracking) that predict future action for implementation.6 The measures the particulate outputs from fish cage aquaculture should be the most cost-effective set of management and that can be used in local-scale assessment of the arrangements designed to generate acceptable effects of fish cages on the organic footprint impact performance in pursuit of the objectives. on the sediment and sensitive demersal flora and fauna. Particulate tracking models use the output Without a clear set of objectives and time frame for from a spatially explicit hydrodynamic-dependent their achievement, the area management entity can particle tracking model to predict (organic) flux turn into a “talk shop” and lose credibility among from culture sites to the bottom. At the local scale, farmers, reducing its effectiveness and influence. screening models may be used to look at aquaculture Some elements of an area management agreement or yields,local impacts of fish farming and water quality. plan that should be considered are as follows: Figure 7 shows the modelled sediment impact below a cluster of fish farms in Panabo Mariculture Park, t agreement on the participants; the Philippines, based on the existing situation (2012) t clear statements on the objectives and expected and proposed rearrangement of the layout to increase outcomes; production while trying to minimize impact.   ǃ ƛ  ƛƛƥǃǃ ƛ6ǃǃ )<ijĻIJĻ=8 )<ijĻIJij=8!Ʈ64  ƛ+ ƛǃ<ijĻIJĵ=8ƛ )<ijĻIJķ =5 6 Aquaculture Management Areas | 45 FIGURE 7. )  ƛ ƛƛǃƛǃ   ǃ<.')%)+)= developed for fish cage culture, which provides a footprint of organic enrichment beneath clusters of fish farms (Panabo Mariculture Park, the Philippines) <ƥ-2d-1) Seaweed Benthic Community Oysters Severe impact Sea cucumbers (no animals) 75 High impact 15 Moderate impact 1 Scale (m) 0 200 400 600 800 Source:& ǃƛ0ǃ5ƛǃƮ ǃ% ǃ8ǃĶ   ƛ 5 Regular environmental monitoring surveys of the regulation of Turkish marine finfish aquaculture individual farms for local impact and aquaculture area to protect coastal waters, especially those of enclosed monitoring for clusters of farms are needed. In Turkey, bays and gulfs from pollution by fish farming. BRVBDVMUVSF[POFTBSFNPOJUPSFEVTJOHUIF53*9JOEFY  Environmental monitoring systems are essential to which is a measure of eutrophication, and is a tool for address climatic variability and climate change (Box 2). BOX 2 Area-based environmental monitoring systems to address climatic variability and climate change ǃ ƥǃƛƛǃƛƮ ǃ ǃ ƛ ƛƛƮƛǃƛǃ ǃǃ   ƥƛ ǃƛ6 ǃǃƛƮ  ǃǃ ƥ ǃƛƮƛƥ  ƛǃǃǃǃǃ54 ǃ ƛ  ǃǃƛƛǃ  ƛ ǃƛǃ ƛ<ǃ5ƥ5ƛǃǃ ǃƛǃ6 Ʈƥǃ6ƛ ƛǃƮ6ƛǃǃǃ6ƶ ǃƛ 6ƛƮ=ƛ ǃ ƥƮǃǃƛ ǃ Mƛƥ6ǃ ǃƛƮǃƛƥǃƛ  ǃƛƛ ǃ ǃǃ5 ǃƛ ǃ6 ǃ ǃƛǃƛ ǃ  ǃ ƛǃƛƥǃƛƥƥǃǃƛǃ6 ƛ ƥƛ ƛǃ ǃƛǃ ƥƥǃ ƛƥƛ  ƛƶ5.ǃ  ƥ ǃ ǃƛƛƛ ǃƛ Ʈƥǃƛƛǃƛ ƛǃƮƛ ƛ ƛǃǃǃǃǃ   ƛ6ǃ5.ǃƛƥ   ƥ ƛ   ƛǃƛ combined with early warning systems can assist rapid response to diseases and other threats such as algal blooms ƛƛ  5#ƥǃǃƛ6ǃ ǃƛ  ƥƮǃ   ƛM ƛǃƛ  ƛƛǃ ƥƪǃ that increased risk requires increased monitoring efforts. The involvement and value of locally collected information should be seen as very relevant to farmers to better understand the biophysical processes and become part of the solution, e.g. rapid adaptation measures and early warning, long-term behavioural and investment changes. Key activities include training of local stakeholders on the value of the information, monitoring, and use of the feedback for decision-making. It is also advisable to provide/implement some simple network/platform to receive and analyse the information, to coordinate and connect with broader forecasts and monitoring systems, and to provide timely feedback that is useful to local stakeholders. In such cases, well organized AMAs can generate information and facilitate feedback for faster responses. A recent consultation on developing an environmental monitoring system to strengthen fisheries and aquaculture resilience and improve early warning in the Lower Mekong Basin took place in Bangkok, Thailand, in 2015 (FAO, 2017). 46 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture Capacity building The FAO-INPESCA workshop on estimating carrying capacity for shrimp farming in Estero Real, Gulf of Fonseca, Nicaragua, targeted 25 stakeholder representatives, including national and local government aquaculture technical personnel, shrimp farmer companies, shrimp farming cooperatives, local communities, and representatives of fishers from Estero Real. The workshop focused on the process and steps to assess carrying capacity for shrimp farming in a Ramsar area and review current aquaculture zoning and management measures to ensure a sustainable shrimp farming sector. Courtesy of Doris Soto 6.3.1 Some key actions to establish ecological sustainability in the long term, so that there carrying capacity and maximum allowable remain areas without aquaculture, with buffers aquaculture production in aquaculture zones and and where no other human interventions are aquaculture management areas permitted. Environmental standards tend to be related to biological and chemical parameters such as maximum chlorophyll (eutrophication). 1. Define the boundaries of the aquaculture Ecological standards could include the presence zone or aquaculture management area, and abundance of indicator species such as a fish, considering it as an ecosystem unit. In crab, marine grass, or maximum water abstraction. freshwater systems boundaries are generally Social limits might involve ensuring fishing rights/ physical boundaries such as a river basin, a water areas are maintained, or minimising visibility from catchment, a lake or oxbow lake. Boundaries urban or tourism areas. in marine systems for enclosed bays or Fjordic systems can be defined as the point at which 4. Estimate the maximum ecological carrying they connect with the open sea, and are easier to capacity of the ecosystem unit to include the define than an open coastal zone or offshore area. maximum aquaculture production permitted; The latter marine cases may require operational estimated using the best available models (see boundaries such as a current border or a sharp Annex 4) and application of the standards change in hydrography, oceanographic conditions and thresholds agreed. There are some classical or benthic morphometry. models for assessing lakes and contained water bodies (e.g. modifications of Vollenweider, 1968; 2. Establish baseline conditions for the Beveridge, 1984) to estimate likely changes in aquaculture zone or AMA. This requires data phosphorus and nitrogen according to the known collection (either remotely or directly) to establish inputs from aquaculture and certain thresholds the pre-existing conditions. Here, satellite remote for chlorophyll concentration, as an indicator of sensing is useful to define physio-chemical ecosystem response (i.e. eutrophication effects). properties such as temperature in marine systems, Establishing carrying capacity in coastal ecosystems and land use in freshwater systems. Direct data or open water systems is much more challenging collection can include samples for water quality and due to complex oceanographic and biological benthic conditions. conditions and the lack of clear boundaries. Some models can estimate likely changes over large 3. Agree a set of standards or thresholds that areas, others assess impact of individual fish farms determine environmental, ecological and or mussel farms that could be extrapolated to social limits of change to the zone/area larger areas. The application of GIS is also useful in through stakeholder consultations, scientific determining physical limits on location through the research and local knowledge. All aquaculture application of basic criteria such as water depth has “impact”, whether this is change to conditions and buffers from existing activities. This could also in the immediate vicinity of fishpond outlets or include minimum distances between aquaculture further down river systems, under or surrounding sites and other areas (see distance ranges in Tables fish cages and mussel rafts, or changes to water 9 and 10 in Chapter 5 on site selection) along flows, where there may be temporary deterioration with sufficient distance from each other, adequate of some environmental conditions. Standards water depth, and circulation. Figure 8 provides account for the baseline conditions and determine an example of the application of GIS to estimate acceptable changes in those conditions, leading possible locations of farms and broad evaluation of to definitions of maximum acceptable criteria. overall capacity in Saudi Arabia based on physical What is important is to ensure resilience in the limits. overall area or ecosystem unit to ensure sufficient 48 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture 5. Invest in appropriate research to address 7. Establish an integrated environmental carrying capacity estimation of complex systems or monitoring system at the farm scale and/or open systems for aquaculture development. at the system scale. Integrated monitoring is required since monitoring individual farms is not 6. Permit production to commence through a sufficient on its own to establish multiplicative set application and licencing system. Increase effects of many farms in a zone/area. The production slowly at first, applying a conservative monitoring of reference areas, away from farms approach, and increase production when it is but in key positions in the AMA or aquaculture clear the current production is not having undue zone, can provide the reference conditions to environmental and social impacts. It is better to be evaluate and compare ecosystem change. Also, able to increase production slowly as ecosystem permanent monitoring of other similar habitats, indicators show that there is no or minimal harm such as aquatic reserves, marine reserves and to the ecosystem and/or the farming system, protected areas, can be useful to compare with instead of starting big and being forced to reduce areas being used by aquaculture. production due to serious environmental and/or fish health damage. FIGURE 8.ƛ ǃ   !#4 ǃƮ ǃƛǃ ƛƥǃƛ ƛǃƛ ǃƛ ƥ the Red Sea coast of Saudi Arabia Note:  ƛǃƛƛ ǃǃƛ ǃ ǃƛ ǃ ƛ <5ǃ5ƛƛǃ  ƛ6ƛǃǃ 6  ǃǃ ǃǃƛƛǃƛ6ƛ ƛ criteria for distance between sites. This does not define ecological capacity, which requires investigation of ecosystem quality and use of models to assess actual capacity. Source: Saunders et al. (2016). Aquaculture Management Areas | 49 6.4 Disease control in AMAs designed to mitigate the impact of aquatic animal diseases may include containment, eradication, Disease outbreaks pose one of the most significant disinfection and fallowing. Control measures should risks to the sustainability of aquaculture. There are be based on the ability to define epidemiological units. many examples of how the introduction of a disease Depending on the infection pathway of an aquatic or diseases has brought large aquaculture industries to animal disease, the epidemiological unit may need the verge of collapse with serious economic and socio- to encompass the entire AMA, or a subpopulation economic consequences. Biosecurity can be broadly within the AMA, for instance, one of a group of farm described as a strategic and integrated approach that sites within an AMA. Well-defined subpopulations of encompasses both policy and regulatory frameworks aquatic animals can then be managed according to aimed at analysing and managing risks relevant to realistic outcomes. The identification and prioritization human, animal and plant life, and health, as well as of hazards represents the first step justifying associated environmental risks (FAO, 2007a; 2007b). implementation of a biosecurity scheme. This is As such, it has direct relevance to the sustainability followed by assessment of the risk posed by these of aquaculture, protection of public health, the hazards and the evaluation of critical control points environment, and biodiversity. whereby the risk can be remediated. Establishment of appropriate measures against a defined hazard or In the context of aquatic animal health, the term disease, including appropriate contingency planning, biosecurity is used to describe the measures used allows the risk to be mitigated. A programme of to prevent the introduction of unwanted biological disease surveillance is instituted for the AMA to agents, particularly infectious pathogens, and monitor occurrence or absence of a disease. Where a to manage the adverse effects associated with hazard or disease is detected or has been introduced, contagious agents. It encompasses both farmed and eradication and disinfection provides a method of wild aquatic animals; exotic, endemic and emerging managing the impact of disease with the possibility diseases; and is applied from the farm to the of reinstating a disease-free status. One of the ecosystem, and at the national and international levels outcomes of a biosecurity scheme is audited third- (Scarfe et al., 2009). Farmers should be encouraged party certification. In order for a third party to provide or possibly mandated to follow sound biosecurity disease status assurances, transparent and credible practices that provide the framework for disease written records must demonstrate the effectiveness of management on the farm and that are implemented the biosecurity scheme in preventing, controlling and through documented standard operating procedures. eradicating disease within an AMA. At the farm level, the owner or operator is responsible for ensuring implementation of biosecurity. Auditing The devastation of the Chilean salmon farming industry and certification of the efficacy of a biosecurity by the ISA disease in 2007 provides an example of programme is provided by the attending veterinarian how AMAs have been implemented in this country to and competent government officer. help rehabilitate the farming of salmon and to create an environment conducive to the sustainable growth Biosecurity planning, applied from the farm to of the industry (Ibieta et al., 2011). Establishment of the national level, provides an effective means of AMAs appropriate for aquaculture has been legislated implementing disease control at multiple levels and in Chile through the so-called “neighbourhood for preventing catastrophic disease events. At the system”. These areas represent suitable zones for zone, compartment or AMA level, the biosecurity aquaculture activities according to appropriate plan provides an auditable process of management epidemiological, oceanographic, operational procedures that can be evaluated by hazard analysis or geographic characteristics, and incorporate and critical control point (HACCP) methodologies complementary environmental, sanitary and licencing (Zepeda, Jones and Zagmutt, 2008). Control measures regulations. Epidemiological, operational and logistical 50 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture characteristics of the AMAs are aimed to address the is an evolving document that is regularly reviewed ISA virus infection and control. These site regulations to incorporate essential changes in legislation and include movement of all aquaculture concessions to emerging priorities in environmental management and AMAs, limiting the life span of a concession to 25 years the sustainable development of the industry. It brings (renewable), and banning the movement of fish from the standard of practice of every participating farmer and between sea sites. This limits the movement of up to a specified acceptable level, and is based on broodstock from sea sites to freshwater facilities, as TDJFODFBOEFYQFSJFODF SFnFDUJOHUIFJOEVTUSZTEFTJSF well as the temporary use of estuarine sites. Fish inputs, to remain at the forefront of good practice. disease prophylaxis, therapeutic interventions, sanitary issues, harvesting and fallowing are coordinated 6.6 Group certification among the farms within the AMAs (neighbourhoods). The distance between neighbourhoods has been The ability to provide third-party auditing and established at a minimum of 3 nautical miles (about certification through an effective and justifiable 5.6 km), and aquaculture sites must be spaced out by biosecurity plan, when applied at the farm or at least 1.5 nautical miles (about 2.8 km) from each compartment level, can allow farmers to access other and from marine protected areas (natural parks markets that require disease-status assurances that and reserves) (Ibieta et al., 2011). may not be available on a national level. This allows trade from a suitably certified AMA, even where a 6.5 Better management practices region or country is not certified free from a disease and cannot provide relevant disease-status guarantees. Better management practices (BMPs) are a set of guidelines that promote improved farming practices If the environmental or social indicator threshold to increase production through responsible and was breached, there would be need for measures to sustainable aquaculture. There is a significant level of reduce the impact. For instance, these could include variation in BMPs for different commodities, culture improved feeding strategies to reduce FCR, longer systems and locations. In India, BMPs implemented by fallowing periods, synchronization of grow-out farmer clusters have resulted in improved yields, fewer calendars to minimize excessive biomass at any one disease occurrences and higher profitability, as well as time, and other measures. If these fail to reduce the other private and public benefits. impact to the acceptable level, a drastic step may be needed, including reductions in the total production or In the Philippines, each mariculture park has an maximum standing biomass levels within the AMA. operations manual containing production guidelines and management measures following the principles of 6.7 Essential steps in the implementation, good aquaculture practices, and serves as the guideline monitoring and evaluation of a management for all activities within the parks. The guideline covers plan for an AMA zone and farm location, layout and design, biosecurity sanitation and hygiene, waste storage and removal, The implementation of the management plan should good farm management measures, including feeds and be time bound. Two aspects are important relative to a feeding, farm effluent treatment, worker health and time frame. The first is to decide on a base year for safety, disease diagnosis, treatment and chemical use, the management system. This will represent a year harvesting, post-harvest, traceability and food safety. (or period) against which progress can be measured. The second time aspect relates to target years or In Scotland, the United Kingdom of Great Britain periods by which various aspects of the work plan can and Northern Ireland, area management agreements be achieved, or by which any quantitative programme follow the Code of Good Practice for Scottish output should be attained. Overall, it is likely that the Finfish Aquaculture. The code, developed in 2006, management system should be envisaged as spanning Aquaculture Management Areas | 51 TABLE 12. ƛ ǃ ƛ  ƛ ƛǃƛƛƥǃǃƛǃƛ Social Economic Environmental Governance t Quality of labour t Average farm profitability t Average food conversion t Adoption of Code conditions t Level of disease outbreak rate of Conduct or good t Socio-economic benefit to t % of losses during t Level of eutrophication aquaculture practices the local community production period FH53*9JOEFY t AMA certification t Positive perception by t Market demand t Benthic diversity at edge t Compliance of farmers to local community t Product quality and of area (cages) management measures t % of local people safety t Water quality at outfall t Level of transparency employed t % certified (ponds) t % of local women employed a 5- to 10-year time frame, but during this period the Performance indicators must be set to inform system will need periodic reviews over shorter time scales. whether set targets are being achieved, while efficiency indicators would show if there has The management plan must address all the relevant been any improvement. The indicators that are issues, have very clear and achievable operational selected should cover sustainability dimensions– objectives for each issue, and a clear timeline for social, economic, environmental, and overarching completion with targets and indicators (Table 12). governance–at the aquaculture area scale. For each objective, an indicator and its associated The management plan must have responsible performance measures should be selected so that people/institutions/entities and requires adequate the performance of each objective can be measured funding for each management approach and also and verified (Table 12 and Table 13). The choice must have resources to implement the measures of indicators to be measured should reflect the as appropriate. Since it will generally be the cumulative impacts within the management area. central government that will be implementing the work, financing will mainly come from general A monitoring programme to keep track of tax revenues, though other sources of funding implementation must be put in place. In the context include stakeholder contributions, funding from of an AMA, monitoring keeps track of the progress external donors, international and multinational of the management plan based on indicators. Just organizations, grant funding, foundations and the as important, it provides an indication of compliance private sector. Since many of the activities that by AMA members with the agreed plan. Monitoring stand to gain from a management system will be in involves: (i) continuous or ongoing collection and the private sector, it would not be unreasonable to analysis of information about implementation to expect that a range of business associations might review progress; and (ii) compares actual progress be willing to help with financing. For example, an with what had been planned so that adjustments alternative source of funding tried in China is that can be made in implementation. all users of the sea must pay a “marine user fee” if they intend to carry out production and other Corrective measures can be implemented, an economic activities. important part of which are sanctions to non- It is almost certain that the eventual financial conforming members. The result of monitoring gives support will be delivered from more than one a factual, objective basis for a sanction. Should source. Clearly, funding will need careful planning non-compliers persist, a defined conflict-resolution ahead of the systems implementation. mechanism has to be agreed on and firmly applied. 52 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture TABLE 13. ƛ ǃ management plan objectives and indicators to address the prioritized issues Issues Operational Indicators Target Management measures objectives (e.g. in 1 year) Social Limited access to inputs Increase access to seeds Average seed (biomass, 10% increase first year Build a hatchery for the AMA (seed, feed, capital, etc.) by 20% (all farmers in the numbers, etc.) being area) in two years bought by farmer per growing cycle Economic Production losses due to Diminish losses by 30% in Mortality index 20% reduction by second Establish a biosecuirity fish diseases two years year; continual reduction framework in the area thereafter with all relevant procedures Environmental Eutrophication of the Diminish eutrophication Oxygen, fish kills, Diminish eutrophication Establish the carrying common area by 40% in three years chlorophyll-a (Chl-a) by 20% in the first year capacity for nutrients in the area; Reduce total production until meeting maximum allowable according to carrying capacity Use of chemicals impacting Use only authorized Use of (extent, percentage, Zero use of banned Designation of a common biodiversity medication; biomass, etc.) banned chemicals and medication veterinarian; All medication used under chemicals and medication by year 2 All medication given under guidance of health supervision and coordinated specialist Governance Inadequate monitoring Regular monitoring of Number of performance Thorough annual monito- Regular monitoring survey and control performance indicators and indicators and related th- ring of indicators and full with standard analysis and compliance of farmers; resholds being recorded report after year 2 regular reporting and eva- All farmers in the area luation management complying to management plan Lack of institutional Designated management Number of key posts All area management Training and standard capacity committee members are filled posts filled in first year operating procedures knowledgeable, efficient on key management and well trained measures Aquaculture Management Areas | 53 That said, the use of incentives for compliance can Beveridge, M.C.M. 1984. Cage and pen fish farming. be a more effective measure than a sanction. Carrying capacity models and environmental impact. FAO Fisheries Technical Paper No. 255. The regular monitoring of management performance Rome, FAO. 131 pp. (also available at www.fao. may show that the area management plan needs to org/DOCREP/005/AD021E/AD021E00.htm). be adjusted. If current management measures do not Bondad-Reantaso, M.G., Arthur, J.R. & seem to be working or are deemed inappropriate, Subasinghe, R.P., eds. 2008. Understanding and alternative measures need to be introduced. In some applying risk analysis in aquaculture. FAO Fisheries cases, some measures may be rendered unnecessary and Aquaculture Technical Paper No. 519. Rome, if the issue has been solved. In other cases, changes FAO. 304 pp. (also available at in issues or priorities could end the relevance of a www.fao.org/docrep/011/i0490e/i0490e00.htm). measure. 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FAO and Saudi Ministry Environmental information system for harmful algal of Agriculture, Saudi Arabia. 104 pp. (also available bloom monitoring in Chile, using earth observation, at www.fao.org/documents/card/en/c/c486bfa2- hydrodynamic model and in situ monitoring data. 8b80-4b26-9906-37377d110968/). (also available at www.esa.int/esaEO/SEMUS5AATME_economy_0. html). 58 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture Tett, P., Portilla, E., Gillibrand, P.A. & Inall, M.E. in accordance with agreed strategies, 2011. Carrying and assimilative capacities: the management practices and codes of ACExR-LESV model for sea-loch aquaculture. conduct, and manage production in Aquaculture Research, 42: 51–67. doi:10.1111/ order to reduce and manage risks j.1365-2109.2010.02729.x. posed by disease and parasites, Vollenweider, R.A. 1968. Scientific fundamentals of including cumulative environmental the eutrophication of lakes and flowing water with impacts and social conflict. particular reference to nitrogen and phosphorus as factors in eutrophication. Technical Report Biosecurity Mitigating the risks and impacts on DASISU/68–27. Paris, OECD. the economy, the environment, social World Bank. 2014. Reducing disease risk in amenity or human health associated aquaculture. Report 88257-GLB. World Bank with pests and diseases. Group. Washington, DC. Zepeda, C., Jones, J.B. & Zagmutt, F.J. 2008. Carrying Carrying capacity is the amount Compartmentalisation in aquaculture production capacity of a given activity that can be systems. Rev. sci. tech. Off. int. Epiz., 27 (1): 229– accommodated within the 241. environmental capacity of a defined area. In aquaculture, it is usually considered to be the maximum quantity of fish that any particular GLOSSARY body of water can support over a long period without negative effects Aquaculture A legal document giving to the fish and to the environment licence officialauthorization to carry out (FAO, 2009; Ross et al., 2013). aquaculture. This authorization may take different forms: an aquaculture Coastal zone The management of coastal and permit, allowing the activity itself to management marine areas and resources for take place; or an authorization the purposes of sustainable use, or concession, allowing occupation development and protection and/or for aquaculture of an area in (IUCN, 2009). the public domain so long as the applicant or holder of the Ecosystem A dynamic complex of plant, animal authorization complies with the and micro-organism communities and environmental and aquaculture their nonliving environment interacting regulations and other conditions of as a functional unit (Millennium the authorization (IUCN, 2009). Ecosystem Assessment, 2005). Aquaculture An aquaculture zone is an area Ecosystem The boundaries of a system of zone dedicated to aquaculture, recognized boundaries complex interactions of ecosystem- by physical or spatial planning linked populations (including humans) authorities, that would be considered between themselves and with their as a priority for local aquaculture environment. development (GESAMP, 2001; Sanchez-Jerez, et al., 2016). Evaluation Evaluation is the systematic examination of a project in order to Area A plan for the management of a determine its efficiency, effectiveness, management defined area for aquaculture where impact, sustainability and relevance of plan the farmers undertake aquaculture its objectives. Glossary | 59 Fallowing This refers to leaving an aquaculture social and cultural values identified by site empty of fish stock and all society. removable production structures for a certain period of time. It can be Site selection Site selection is the process by done for environmental or sanitary which various factors indicated are reasons. For an aquaculture company, considered to enable one to decide fallowing implies having several on the right site for a specific culture sites in order to maintain production system, or alternatively, to decide capacity year-round (IUCN, 2009). on a culture system that suits the available site (Kutty, 1987; Ross et al., Indicator Indicator is a parameter, or a value 2013). derived from parameters, which points to, provides information Site Refers to all the actions involved in about, and describes the state of a management maintaining the activity on the site, phenomenon/environment/area, with including the environmental, legal, a significance extending beyond that administrative and managerial aspects directly associated with a parameter of the activity (IUCN, 2009). value (OECD, 2003). Spatial planning Refers to the methods used by the public sector to influence the Issue tree An issue tree, also called a logic distribution of people and activities tree, is a graphical breakdown of an in spaces of various scales. Spatial issue that dissects it into its different planning takes place at local, components vertically. regional, national and international levels and often results in the creation Management Management areas are defined of a spatial plan. Spatial planning areas geographical waterbody areas where also entails a system that is not only all the operators in the management spatial, but one that also engages area agree (coordinate and cooperate) processes and secures outcomes to certain management practices or that are sustainable, integrated and codes of conduct. inclusive (FAO, 2013). Monitoring Monitoring is the continuous or Social carrying Social carrying capacity is the level periodic surveillance of the physical capacity of development above which implementation of a project to ensure unacceptable social impacts would that inputs, activities, outputs and occur. external factors are proceeding as planned. Stakeholder Person, group or organization that has a direct or indirect interest in Operational Operational objectives are measurable an activity normally initiated by a objectives production, environmental and management authority or other additional socioeconomic targets to stakeholders or is affected or has an be achieved within immediate and interest in an objective or policies long-term scales. established by such management authority (IUCN, 2009). Risk assessment Risk assessment focusing on a variety of ecological attributes in order to Surveillance Means a systematic series of protect the environmental, economic, investigations of a given population 60 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture of aquatic animals to detect the Sources occurrence of disease for control purposes, and which may involve testing samples of a population. FAO. 2009. Environmental impact assessment and monitoring in aquaculture. FAO Fisheries and Surveillance Means a zone in which a systematic Aquaculture Technical Paper No. 527. Rome. zone series of investigations of a given 57 pp. Includes a CD-ROM containing the full population of aquatic animals takes document, 648 pp. (also available at place. www.fao.org/docrep/012/i0970e/i0970e00.htm). FAO. 2013. Applying spatial planning for promoting Targeted Means surveillance targeted at a future aquaculture growth. Seventh Session of the surveillance specific disease or infection. Sub-Committee on Aquaculture of the FAO Zone Means a portion of one or more Committee on Fisheries. St Petersburg, Russian countries comprising an entire Federation, 7–11 October 2013. Discussion catchment area from the source of document: COFI:AQ/VII/2013/6. (also available at a waterway to the estuary, more www.fao.org/cofi/43696-051fac6d003870636160 than one catchment area, part of a 688ecc69a6120.pdf). catchment area from the source of GESAMP (IMO/FAO/UNESCO-IOC/WMO/WHO/ a waterway to a barrier, or a part of IAEA/UN/UNEP Joint Group of Experts on the the coastal area, or an estuary with Scientific Aspects of Marine Environmental a precise geographical delimitation Protection). 2001. Planning and management for that consists of a homogeneous sustainable coastal aquaculture development. Rep. hydrological system. Stud.GESAMP, (68): 90 pp. (also available at www.fao.org/docrep/005/y1818e/y1818e00.htm). Zoning Means identifying zones for disease IUCN. 2009. Guide for the sustainable development control purposes. of Mediterranean aquaculture 2. Aquaculture site (aquatic animal health) selection and site management. IUCN, Gland, Switzerland and Malaga, Spain. VIII, 303 pp. Zoning Zoning implies bringing together the (also available at criteria for locating aquaculture and https://portals.iucn.org/library/sites/library/files/ other activities in order to define broad documents/2009-032.pdf). zones suitable for different activities or Kutty, M.N. 1987. Site selection for aquaculture. mixes of activities. Zoning may be used United Nations Development Programme. FAO. either as a source of information for Nigerian Institute for Oceanography and Marine potential developers (for example, by Research. Project RAF/82/009. (also available at identifying those areas most suited to www.fao.org/docrep/field/003/AC170E/AC170E00. a particular activity); or as a planning htm#ch1). and regulating tool, in which different Millennium Ecosystem Assessment. 2005. zones are identified and characterized Ecosystems and human well-being: synthesis. as meeting certain objectives Washington, DC, Island Press. (also available at (GESAMP, 2001). www.millenniumassessment.org/documents/ document.356.aspx.pdf). OECD. 2003. OECD glossary of statistical terms. [online]. France. [Cited 12 January 2017]. https://stats.oecd.org/glossary/detail.asp?ID=830. Glossary | 61 Ross, L.G., Telfer, T.C., Falconer, L., Soto, D. & Aguilar-Manjarrez, J., eds. 2013. Site selection and carrying capacities for inland and coastal aquaculture. FAO/Institute of Aquaculture, University of Stirling, Expert Workshop, 6–8 December 2010. Stirling, UK. FAO Fisheries and Aquaculture Proceedings No. 21. Rome, FAO. 46 pp. Includes a CD–ROM containing the full document (282 pp.). (also available at www.fao.org/docrep/017/i3099e/i3099e00.htm). Sanchez-Jerez, P., Karakassis, I., Massa, F., Fezzardi, D., Aguilar-Manjarrez, J., Soto, D., Chapela, R., Avila, P., Macias, J. C., Tomassetti, P., Marino, G., Borg, J. A., Franiˇcevi´ c, V., Yucel-Gier, G., Fleming, I.A., Biao, X., Nhhala, H., Hamza, H., Forcada, A. & Dempster, T. "RVBDVMUVSFTTUSVHHMFGPS space: the need for coastal spatial planning and the potential benefits of allocated zones for aquaculture (AZAs) to avoid conflict and promote sustainability. Aquaculture Environment Interactions. Aquacult Environ Interact, Vol. 8: 41–54. (also available at www.int-res.com/articles/aei2016/8/q008p041.pdf). 62 | Aquaculture zoning, site selection and area management under the ecosystem approach to aquaculture The ecosystem approach to aquaculture provides the conceptual guideline for spatial planning and management. This publication describes the major steps related to these activities. The rationale for and objectives of each step, the ways (methodologies) to implement it, and the means (tools) that are available to enable a methodology are described in a stepwise fashion. Recommendations to practitioners and policy-makers are provided. A separate policy brief accompanies this paper. The benefits from spatial planning and management are numerous and include higher productivity and returns for investors, and more effective mitigation of environmental, economic and social risks, the details of which are provided in this paper. This publication is organized in two parts. Part one is the “Guidance”; it is the main body of the document and describes the processes and steps for spatial planning, including aquaculture zoning, site selection and area management. Part two of the publication includes six annexes that present key topics, including: (i) binding and non-legally binding international instruments, which set the context for sustainable national aquaculture; (ii) biosecurity zoning; (iii) aquaculture certification and zonal management; (iv) an overview of key tools and models that can be used to facilitate and inform the spatial planning process; (v) case studies from ten countries – Brazil, Chile, China, Indonesia, Mexico, Oman, the Philippines, Turkey, Uganda and the United Kingdom of Great Britain and Northern Ireland; and (vi) a workshop report. The country case studies illustrate key aspects of the implementation of spatial planning and management at the national level, but mostly within local contexts. Take-home messages include the ways in which institutional, legal and policy issues are addressed to implement the process, or parts of the process.