Sustainable Aquaculture

Sustainable
Aquaculture
Preface
Global human population will reach nine billion by 2050. The major food source to
sustain such a large population is projected to be seafood. Aquaculture will be the
prime source of seafood by 2030 according to the recent World Bank report. Fish
farming can help provide livelihoods and feed the global population if practiced
responsibly. For an aquaculture system to be truly sustainable, it must meet sus-
tainability standard in three major areas including economic sustainability, envi-
ronmental sustainability, and social and community sustainability.
We need to establish best aquaculture practice methods to avoid significant
disruption to the ecosystem, the loss of biodiversity and substantial pollution impact
to the environment. The system must be a viable business proposition with long-
term prospects. Aquaculture system should contribute to community well-being
and must be socially responsible.
Aquaculture can make an important contribution to global food security, but new
investment is needed to meet the anticipated demand. Generally, small scale and
organic growth of aquaculture has made it difficult to regulate and it contributes to
the high level of risk to the new investors. The major risk factors in aquaculture are
determined primarily by water management, production intensity, and closeness of
fish farms to one another.
Life cycle assessment (LCA) defines sustainability in the broader sense by
comparing food production systems in terms of impact on processes that govern
global biogeochemical cycles. Thus concerted research should focus on develop-
ment of a simplified biodiversity/water quality index of sustainability at the
ecosystem level and adapt spatial planning to aquaculture zoning.
An effort has been made in this book to include important relevant recent
research topics in sustainable aquaculture practices. This book contains chapters
that cover socio-economic and environmental assessment for sustainable aquacul-
ture production (Chaps. 1 and 2). Particularly, Chap. 8 presents an analysis of
carbon footprint under an intensive aquaculture regime. Chapters 3 and 5 present
sustainable fishing methods, while Chap. 4 critically assesses the aspect of sus-
tainable aquaculture feed. Chapters 6 and 7 discuss aquaponics as a niche for
sustainable modern aquaculture. The effect of use of pharmaceuticals to prevent fish
v
vi Preface
disease on the surrounding marine environment is an emerging area of concern, and

a critical discussion on this aspect is included in Chap. 9. The spread of organic
waste and nutrients released by fish farms to natural water bodies has raised con-
siderable concerns. Therefore, the methods to prevent their dispersion and removal
(treatment) are the focus of Chap. 10. We believe that the current book will be very
helpful to academician, researchers, and policy-makers in the area of aquaculture.
The editors of this book thankfully acknowledge the assistance of Muhammad
Bilal Asif of the University of Wollongong in some of the baseline analyses. This
book is a part of the book series “Applied Environmental Science & Engineering
for a Sustainable Future (AESE)”, and we gratefully acknowledge the cooperation
of the series editors V. Jegatheesan, L. Shu, P. Lens, and C. Chiemchaisri.
Last but not the least, the editors are indebted to their family members for their
wholehearted cooperation.
Wollongong, Australia Faisal I. Hai

Klongluang Pathumthani, Thailand Chettiyappan Visvanathan
Thibodaux, USA Ramaraj Boopathy
Contents
1 Aquaculture and the Environment: Towards Sustainability ......................... 1

Krishna R. Salin and Gabriel Arome Ataguba
2 Sustainable Aquaculture: Socio-Economic
and Environmental Assessment ................................................................................63
Bishal Bhari and C. Visvanathan
3 Sustainable Fishing Methods in Asia Pacific Region .......................................95
Sudath Terrence Dammannagoda
4 Sustainable Aquafeed ................................................................................................... 123
Krishna R. Salin, V. V. Arun, C. Mohanakumaran Nair
and James H. Tidwell
5 Sustainable Production of Shrimp in Thailand .............................................. 153
Pattira Pongtippatee, Krishna R. Salin, Gabriel Arome Ataguba
and Boonsirm Withyachumnarnkul
6 Aquaponics: A Commercial Niche for Sustainable
Modern Aquaculture .................................................................................................... 173
Paul Rye Kledal and Ragnheidur Thorarinsdottir
7 Aquaponics Production, Practices and Opportunities ................................. 191
Edoardo Pantanella
8 Estimating Carbon Footprint Under an Intensive
Aquaculture Regime ..................................................................................................... 249
Sara Gonzalez-Garcia, Pedro Villanueva-Rey, Gumersindo Feijoo
and Maria Teresa Moreira
vii
viii Contents
9 Impact of Pharmaceutically Active Compounds in Marine

Environment on Aquaculture .................................................................................. 265
Muhammad B. Asif, Faisal I. Hai, William E. Price
and Long D. Nghiem
10 Waste Treatment in Recirculating Shrimp Culture Systems ................... 301
Raj Boopathy
Index .............................................................................................................................................. 323
Chapter 1
Aquaculture and the Environment:
Towards Sustainability
Krishna R. Salin and Gabriel Arome Ataguba
Abstract The contribution of aquaculture to global fish production has increased

in the last twenty years with the production level reaching 73.8 million tonnes in
2014, about 44% of total fish production. Asian and African aquaculture production
accounts for a greater proportion of growth in aquaculture output. Aquaculture
contributes to livelihoods as well as revenue in several countries even though the
economic conditions have been inclement and environmental problems persist.
Aquaculture will have to continue to grow to meet the increasing demand for fish.
But growth would not be sustainable if the planning and management are not
improved significantly. There is a need for local, national and international planning
and management to cater for environmental, social, economic, health and animal
welfare concerns. These form the core of best management practice in aquaculture.
Aquaculture can impact on the environment negatively considering genetics, water
quality, ecology, health and resource use while the environment affects aquaculture
on three fronts: the cultured species, culture system and overall feasibility. These
put together will demand some management effort in order to ensure sustainability
of aquaculture depending on the application of site selection and carrying capacity
assessment, aquaculture hazard and risk analysis, ecosystem‐ based approach to
aquaculture, aquaculture governance and planning, and aquaculture certification
and standards. These are discussed in this chapter.
Keywords Sustainable aquaculture · Intensification · Ecosystem approach

·
Risk analysis Certification
K. R. Salin (&) ·G. Arome Ataguba

Aquaculture and Aquatic Resources Management, Asian Institute of Technology,
Klong Luang, Pathumthani 12120, Thailand
e-mail: [email protected]
G. Arome Ataguba
Department of Fisheries and Aquaculture, University of Agriculture,
P.M.B. 2373, Makurdi, Nigeria
© Springer International Publishing AG, part of Springer Nature 2018 1

F. I. Hai et al. (eds.), Sustainable Aquaculture, Applied Environmental
Science and Engineering for a Sustainable Future,
https://doi.org/10.1007/978-3-319-73257-2_1
2 K. R. Salin and G. Arome Ataguba
1.1 Aquaculture Growth
Aquaculture production in the world (excluding aquatic plants) has grown by about
62.2% from the production level of 45.4 million tonnes in 2004 to 73.8 million
tonnes in 2014, and today it contributes 44% to total fish production worldwide
(FAO 2014, 2016). The increase in aquaculture production is expected to be sus-
tained via increased production from Asia and Africa with the expansion of
intermediate systems and small-scale pond aquaculture, which will be aided by
sound nutrition (Hasan 2001).
Aquaculture contributes to livelihoods as well as revenue in several countries
even though the economic conditions have been inclement and environmental
problems persist. Without considering the secondary fisheries sector and other value
chain stakeholders, the FAO (2016) estimates that as at 2014, there are about
57 million people engaged in the fisheries and aquaculture sector with aquaculture
accounting for about 33% of this population and Asia alone has 96% of world fish
farmers. The production of fish from wild fisheries has stagnated over the last
decade (Fig. 1.1) while aquaculture production and per capita supply have
increased, accompanied by increase in population. However, annual per capita
consumption of fish is disproportionate across the regions of the globe with a
projected level of 21 kg by 2022 following increased consumption in developed
nations and greater growth in Asia and Oceania but with weak development in
Africa (OECD/FAO 2015).
Fast growth of aquaculture without proper planning and management has raised
increasing concern over its sustainability. Aquaculture will have to continue to
grow to meet the increasing demand for fish. But growth would not be sustainable if
the planning and management are not improved significantly. There is a need for
Fig. 1.1 World fish production and supply: 2004–2014. Source FAO (2007a, 2009, 2012,
2014, 2016)
1 Aquaculture and the Environment: Towards Sustainability 3
local, national and international planning and management to cater for environ-
mental, social, economic, health and animal welfare concerns. These form the core
of best management practice as regards aquaculture.
Given the necessity to survive and maintain livelihoods among people who are
employed in the aquaculture sector as well as those who are traditionally involved
in fish farming both in Asia and in Sub-Saharan Africa, the exploitation of aquatic
resources for aquaculture will continue. Diversity and flexibility in income gener-
ation as well as the assurance of food security are two important benefits derivable
from these resources (Edwards 2002). Although aquaculture can be used as a means
of eliminating unemployment and poverty, it will be totally unacceptable if the
environmental impacts associated with it are sacrificed at the altar of poverty
alleviation. Laxity in management and mishaps are two factors that bring about
negative effects of aquaculture on the environment (Nugent 2009; Dominguez and
Martín 2004).
The production of shrimps in many parts of the world have led to removal of
mangrove vegetation while in some areas, inland aquaculture of marine species
poses a threat to the fidelity of freshwater. In addition, the use of wild fish to feed
cultured fish has become an issue of great concern. Tacon and Metian (2008)
reported the empirical values for fish meal and fish oil use as against wet weight of
fish gained in growth (Fish in-Fish out) for several species. Carnivorous species have
the highest values in comparison with herbivorous and omnivorous fish. Filter
feeding species such as oysters, clam, scallops and mussels are good nutrient
absorbers and can utilize natural feed in water hence taking excessive nutrient load
from the water. Integrated Multi-trophic Aquaculture uses waste products from other
species as input for another species hence a combination of fed species and non-fed
species in correct proportions alongside species that can synthesize food from
inorganic sources such as seaweeds will result in a balanced feeding ecology bearing
in mind site specificity, carrying capacity and food safety (Barrington et al. 2009).
Aquaculture makes use of land, water, wild fish and other natural resources in
order to provide the right conditions for the cultured organisms to grow.
Aquaculture covered about 18.8 million ha of land worldwide as at 2012 (Waite
et al. 2014) while over 1.4 million ha of rice fields were used for aquaculture in
China as at 2008 (FAO 2011a). Aquaculture tends to have a land utilization
advantage over agriculture with the former utilizing only 0.5% of land (22.5 mil-
lion ha) compared to agriculture (4.9 billion ha) in 2010 and yet producing more
tonnage of fish per hectare (Boyd and McNevin 2014). Aquaculture modifies the
environment, habitats, flora and fauna, scenery, proximal or in vivo water bodies as
well as soil (Dosdat 2009). Continual consumption of these resources by aqua-
culture without a thought about sustainability will lead to depletion notwithstanding
the competing claims on these resources by other sectors of productive economy.
The culture system holds the key to ensuring sustainability and this according to
Dalsgaard et al. (1995) can be achieved by focusing on the system and its ecology
with a view to minimise the use of external inputs and to maximize the output in an
integrated system. This is basically the core concept behind the ecosystem approach
to aquaculture (FAO 2010) and it encompasses social dimensions (Staples and

Funge-Smith 2009; Johnson 2007), governance (White and Diego-McGlone 2008)
and climate change (Burrows et al. 2010).
1.1.1 Production Systems
Aquaculture production systems can be classified using several schemes.

Production systems vary depending on several factors but the basic differences
between them lie in water use and feeding (Emerson 1999).
1.1.1.1 Level of Intensity
The terms intensive, semi-intensive and extensive are commonly used to define
culture methods. In practice, the distinction between them is often less than clear.
They are, however, generally linked to the level of management input
(Huntingford et al. 2012).
Aquaculture is classified according to the intensity of operations, in terms of
nutrient inputs, areas used and stocking levels (Chuenpagdee et al. 2008; WRC-
Report 2010). Today a lot of questions have been raised as to what consti- tutes
each of these categories. Although Stevenson et al. (2007) were of the opinion that
classifying aquaculture systems based on intensity was not easy, they maintained
that the use of important variables such as stocking density, feeding rate and
fertilizer application rate was necessary. The classification based on intensity as
given here makes use of stocking density and feed/fertilizer application and man-
agement. However, Stevenson et al. (2007) believe that definition and measurement
issues are necessary to classify production based on intensity and opined that an
economic view be applied considering the fact that aquaculture production uses
variable inputs (fry, feeds, fertilizer) in relation to land which is fixed.
Shang (1981), WRC-Report (2010) and Chuenpagdee et al. (2008) have given
classifications based on the use of inputs as adapted above. However, as with eco-
nomic measures of partial productivity, the inputs can be substituted for one another
to some extent so that measuring one input cannot be totally satisfactory. With a
multivariate approach to classification we can look at the particular sets of combi-
nations of inputs that currently define production practices (Stevenson et al. 2007).
1.1.1.2 Culture Units
Earthen ponds, tanks, cages, pens and raceways are common culture units used to
culture aquatic organisms (Photo 1.1). These units have to be constructed on land
or in water and do carry with them an environmental impact. Cages and pens take
Photo 1.1 Intensive shrimp culture ponds are lined with HDPE liners, and well aerated with
intensive feeding and regular water quality monitoring. High survival and good growth are
obtained under this system. Effluents are regularly discharged from the pond by pumping from a
central pit throughout the crop
advantage of the natural water resources available to produce fish without recourse
to land. This is ideal for marine coastal areas and inland water bodies where current
−1
is low [<1.0 m s Chen et al. (2008)].
1.1.1.3 Species Combination
The culture of single species (monoculture), two or more species (polyculture) and
more recently a species integrated combination (Integrated Multi-Trophic
Aquaculture; IMTA) are three examples of species combination as an aquacul-
ture system. One of the fundamental concepts of IMTA is that animals and plants in
the system must provide a benefit to the system and/or have significant economic
value (Butterworth 2010). In this system, the by-products from one species are used
as inputs (fertilizers, food and energy) for another such that fed aquaculture species
(e.g. finfish/shrimp) are combined, in the appropriate proportions, with organic
extractive aquaculture species (e.g. suspension feeders/deposit feeders/herbivorous
fish) and inorganic extractive aquaculture species (e.g. seaweeds). This enables a
balanced ecosystem management approach aimed at environmental sustainability
through bio-mitigation, economic stability through product diversification and risk

reduction, and social acceptability through better management practices (Barrington
et al. 2009).
1.2 Threats from Aquaculture to the Environment
Aquaculture relies on water as a medium for holding the organisms under culture
hence their survival depends largely on the quality of water as determined by
— —
parameters like dissolved oxygen, CO2, carbonates, pH, NH3, NO2 and NO3
among others. Water quality is impacted by aquaculture activities considering the
use of feed, the release of waste by cultured organisms and the difficulty in sepa-
rating waste from the water, which in turn has an effect on the organisms under
culture. Culture systems vary and with each system, there is a unique environmental
effect as a result of waste generated and management techniques. Dosdat (2009)
classified waste of food origin to include: faeces, indigestible materials, un-ingested
feed and ingested but undigested feed. Eutrophication is a form of organic pollution
that results from the discharge of materials such as dissolved nutrients, un-ingested
feed, faecal matter and deceased fish into water bodies either holding aquaculture
cages or receiving aquaculture effluent. Aquaculture effluent (Photo 1.2) typically
contains dissolved and suspended solids and nutrients including nitrogen and
phosphorus that play a major role in eutrophication. Intensive culture systems with
high stocking densities face problems resulting from bad water quality that can
stress the cultured species predisposing them to disease. To counter the problems of
Photo 1.2 Effluent pumped from an intensive shrimp pond. This impacts receiving waters with
increased turbidity as clearly seen here, unless directed to a water recirculating system
Table 1.1 Typical nutrient load from production of selected aquaculture species in ponds and
tanks (kg/tonne of product)
Species TSS Total N Total P BOD5 Carbon References
Shrimp 476 15.9 1.46 63.3 730 Prapaiwong and Boyd
(2012)
Trout 289–839 47–87 4.8–18.7 >944 101–565 Axler et al. (1997),
Tekinay et al. (2009)
Salmon 191–606 20.3–39.3 9.1–10 410 226 Strain and Hargrave
(2005), Hennessy et al.
(1996)
Tilapia 382 44.95 14.26 10.4 145.6 Lin et al. (1997),
Tabthipwon (2008), Neto
and Ostrensky (2015)
Pangasius 2050 46–46.8 14.4–26.6 740 305.5 Anh et al. (2010),
De Silva et al. (2010),
Phanna (2011)
Channel 353 83.6 12.7 25.6 713.5 Boyd et al. (2000)
catfish
bad water quality and disease, there is heavy reliance on chemicals and medication
in the form of antibiotics (Ozbay et al. 2014).
The levels of effluent from various species under culture are presented in
Table 1.1. These values were either quoted as given by the authors or derived from
data presented. In cases where values were not expressed directly in kg/tonne,
derivations were made based on harvest weight, concentration of variables (mg/L),
volume of water and other factors relevant to the estimation. These values give a
fairly good idea of the waste loading from various aquaculture species under
cultivation.
Advances in aquaculture technology has created room for culture of hitherto
uncultured species of high value in developed countries with increased demand for
feed (Photo 1.3) and other inputs that impact on the environment. Intensification of
aquaculture for production of export value species has been a point of focus by
environmentalists in their quest for environment friendly food production,
Photo 1.3 Types of aqua-feeds: pellets for tilapia grow-out (left) and broodstock feed for
groupers (right)
Table 1.2 Environmental threats from aquaculture (Emerson 1999; Kura et al. 2004; USAID
2013; Ozbay et al. 2014; Boyd and McNevin 2014)
Threat Hazard Risk
Genetic Escapes Fitness issues
Exotics/GMO‟s Genetic contamination; loss of biodiversity
Wild broodstock Introgression
Stock enhancement Extinction
Water quality Effluent Eutrophication; pollution
Sediments Habitat loss
Ecology Land modification Habitat alteration
Salinization Loss of freshwater
GHG emission Pollution; climate change
Health Antibiotics Resistance
Chemicals Pollution; bioaccumulation; toxicity
Escapes Disease
Resource use/Inputs Fishmeal Depletion of wild fish population
Wild seedstock
Water extraction Water shortage
GMO genetically modified organism, GHG green house gas
considering species like trout and salmon in Europe and the United States, and
recently tilapia and pangasius in Asia (Bosma et al. 2011; Boyd and McNevin 2014).
Several attempts have been made to categorize the various threats from aqua-
culture to the environment. A concise classification of the threats posed by aqua-
culture to the environment is given in Table 1.2. Aquaculture facilities impact
directly on water bodies that feed them water since the same water bodies receive
effluents discharged. The effects are more pronounced in lakes and stagnant canals
that serve as water sources, through changes in microbial communities as well as
toxicity of discharged chemicals (Ozbay et al. 2014). While fertilizers can cause
nutrient levels to rise leading to eutrophication, lime does not present any envi-
ronmental threat; but the use of human waste is a potential hazard that raise food
safety concerns (Boyd and Massaut 1999).
1.2.1 Genetic
Anthropogenic interventions in aquatic ecosystems do not stop at extraction alone

since there are efforts to restore depleted feral fish populations through enhance-
ment activities that come under three broad categories: Sea ranching, stock
enhancement and of fish introduced in therestocking (Bell et al. 2006). Fisheries
enhancement through hatchery produced fish has long been practiced as a means of
recovery for depleted wild fish populations as well as conservation (Wada 1998;
Antunes et al. 1999). Inland fisheries enhancements have utilized introductions and
stocking as a means to improve fish populations (Cowx et al. 2012). The use of
stock enhancement techniques in marine fisheries has come with mixed economic
results ranging from failure: shrimp in Western Australia (Loneragan et al. 2006),
Japan (Hamasaki and Kitada 2006), and China (Wang et al. 2006) to successes:
scallop in Japan (Uki 2006) and New Zealand (Lorenzen 2008), and chum salmon
in Japan (Hilborn 1998; Kitada 2014). In terms of biological impacts, stocking has
been reported to have led to high mortality of feral salmon as a result of cannibalism
by stocked fish (Pearsons and Fritts 1999).
Risks from introduction of exotic fish for culture depends on the probability of
their establishment and that of occurrence of an adverse effect following their
establishment (Miller et al. 2004). This is particularly true considering the fact that
out of eleven species of fish introduced in the Hawaiian islands, only three species
became established although factors such as number, duration before maturity,
larval survival and water depth are key predictors (Johnston and Purkis 2016). Risk
assessment of non-native species for introduction in Brazil revealed that all non-
natives were unsuitable for use considering the high level of ecological risk
associated with them (Britton and Orsi 2012).
Genetic manipulations and escapes of farmed species have the potential to ini-
tiate and establish losses in genetic diversity. Intra-specific diversity can be lost or
degraded through genetic drift in bottlenecked populations, extinction and hy-
bridization. Genetically modified organisms (GMO‟s) pose unknown and unde-
termined threats to natural populations. The use of risk assessment in determining
effects of GMO‟s to natural populations is strongly advocated (Muir 2004).
Escapes of fish from aquaculture facilities can lead to fitness issues as observed
in several studies (McGinnity et al. 2003; Weir and Grant 2005; Weir et al. 2005).
Although Weir et al. (2005) reported differences between wild and farmed male
salmon in terms of mate preference and reproductive success, Lehnert et al. (2012)
reported that sperm fitness was greater in farmed than wild male chinook salmon.
Susceptibility to predation of salmon is not related to size with equal probability to
predation being reported (Solberg et al. 2015). On the whole, mathematical mod-
elling suggests a strong non-linear relationship between impacts of escape, popu-
lation of escapes and their reproductive viability while less adapted populations
escaping at steady and low-levels can lead to proliferation of mal-adaptation in wild
populations (Baskett et al. 2013). Poor broodstock management and breeding has
led to production of highly inbred lines of giant river prawn, Macrobrachium
rosenbergii in India (Nair and Salin 2012).
1.2.2 Water Quality
Aquaculture effluent contains both organic and inorganic materials that tend to
increase the load in the environment where the effluent is released. In receiving
waters, changes have been observed in the community structure of organisms with
an increase in the number of organisms that depend on deposits from mussel
aquaculture cages in South Africa (Stenton-Dozey et al. 1999). However, mussel

cage aquaculture is reported not to affect the holding water body negatively in the
Western Adriatic sea (Fabi et al. 2009) and South-eastern Brazil (da Costa and
Nalesso 2006). Poor water quality is often dependent on other anthropogenic fac-
tors apart from aquaculture (Boyd and McNevin 2014). This is particularly true for
mollusc aquaculture that is often used as a remediation for effluents than as a
contributor. According to Rawson et al. (2002), bivalves and molluscs can effec-
tively remove nutrients in moderately enriched waters as against heavily enriched
waters. Effluent from ponds have less impact on receiving waters than domestic
waste water, except for high total suspended solid concentration (Boyd and
McNevin 2014). However, large scale aquaculture as well as clustered small holder
farms tend to pose a problem to future aquaculture development within the same
area they are located, and by extension world aquaculture due to eutrophication
(Rawson et al. 2002). Nutrient enrichment has led to unsustainable economics of
shrimp production in Krung Krabaen Bay and Welu wetlands in Thailand (Ataguba
et al. 2014). In India, direct effluent discharge from Macrobrachium farms was
responsible for eutrophication in the receiving waters of the densely populated state
of Kerala compared to Andhra Pradesh (New et al. 2008).
Aquaculture can be carried out using either fed or non-fed species with the latter
having a goal to reduce resource use in the form of feed while also ensuring
environmental integrity (Photo 1.4). Feed use however tends to cause high levels of
Photo 1.4 Shrimp grown together with mussel in a pond in Thailand for environmental integrity
nutrient loading in receiving waters considering uneaten feed, faeces, and other
biological waste produced through metabolism (Davis 2015). Depending on the
prevailing circumstances in receiving waters as well as released concentration,
discharge of nutrients as a result of bad feeding strategy as well as use of poor
quality feed can either be assimilated or accumulated leading to pollution (White
2013). Clustering of farms tends to create a huge pool of feed that produce large
quantities of waste (Craig 2002). The extent of pollution from nutrients of feed
origin depends on the hydrodynamics of the water body, windswept, rate of
loading, stocking density, FCR and spacing of farm units (White 2013). Modelling
has been proposed as a means to create a balance between fed and no-fed aqua-
culture as well as human activities (Rawson et al. 2002).
1.2.3 Ecology
Shrimp farming has negatively impacted coastal ecosystems via mangrove loss and
associated biodiversity changes (WorldBank 1998; Rajitha et al. 2010; Paez-Osuna
2001). Mangrove forests mitigate erosion, maintain coastal water quality, provide
breeding grounds for aquatic organisms, and provide vital ecosystem services for
people along the coasts (Valiela 2006; FAO 2007b). World mangrove forest cover
has reduced from about 188,000 km2 in 1980 to 152,300 km2 in 2005 (Fig. 1.2).
Mangroves link terrestrial and marine ecosystems in about 124 countries with
tropical or sub-tropical climate, are halophilic, evergreen, and thrive on sheltered
coastlines, estuaries and deltas (FAO 2007b). Mangrove deforestation has occurred
in all five continents of the world between 1980 and 2005 with a total of
36,000 km2 lost within 25 years (Fig. 1.3).
Fig. 1.2 Change in world mangrove area cover due to aquaculture and other human activities,
1980–2005. Source Spalding et al. (2010)
Fig. 1.3 Regional mangrove cover change, 1980–2005. Source FAO (2007b), Spalding et al. (2010)
Fig. 1.4 Regional percentage

of world mangrove area lost,
1980–2005. Source FAO
(2007b)
Drivers of change of mangrove area cover are mainly anthropogenic and include
land use for agriculture, aquaculture, tourism, recreation, and development of in-
frastructure (FAO 2007b; Giri et al. 2008). Although Asia has the lowest mangrove
area cover to land area ratio, it has the largest area of mangrove cover in the world,
but the loss is also high. About 54% of total world mangrove forest area lost
between 1980 and 2005 was from Asia (Fig. 1.4) and aquaculture contributed to
this loss by 12% (Giri et al. 2008).
Construction of shrimp ponds entails mangrove destruction and from experience,

excessive numbers of farms clustered along the shorelines lead to reduced pro-
ductivity with attendant disease conditions and collapse of the ventures. A shift in
livelihoods from aquaculture to fishing becomes impossible since breeding grounds
and nursery areas have been destroyed hence recruitment altered and population of
feral aquatic organisms must have migrated to favourable grounds or died out
totally. This underscores the need to consider livelihood options in the context of
sustainable aquaculture (Emerson 1999).
Coastal aquaculture of shrimps utilizes seawater or brackish water. Introduction
of saline water for inland shrimp farming would increase soil and water salinities
due to seawater and sediment discharge into inland water bodies (Tucker et al.
2008). Salinization of soil due to shrimp aquaculture has been reported in
Bangladesh (Chowdhury et al. 2011) and Thailand (Teng 2008).
Energy use in aquaculture ponds for aeration is largely responsible for green-
house gas emission associated with aquaculture (Pelletier and Tyedmers 2010).
However, emission from aquaculture appears to be quite low (2.2%) compared to
other food production sectors (Boyd and McNevin 2014) with tilapia production
having an emission intensity that is quite lower than pork and beef production but
comparable to broiler and Atlantic salmon (Pelletier and Tyedmers 2010). Removal
of mangroves to pave way for shrimp aquaculture is detrimental to the environment
since mangroves are very good storage units for carbon and their removal has the
potential to contribute to climate change (Ahmed and Glaser 2016).
The persistence of organic matter in the environment depends on several factors
including moisture, temperature and related microbial/chemical activity (Estrada
and Soares 2017). There is a direct relationship between plant biomass and soil
organic carbon with areas that have heavy vegetation being storage depots for
emitted carbon (Alavaisha and Mangora 2016).
Carbon stocks vary across the globe with increasing concentration at the equator
−1 −1
and it currently stands at a global average of 78 tonnes C ha year while se-
−1 −1
questration is at a rate of 2.9 tonnes C ha year (Estrada and Soares 2017).
Research has shown that above the ground plant biomass hold more carbon with
−1
reports of mangroves holding between 414 and 684 Mg C ha in two areas of
−1
Tanzania (Alavaisha and Mangora 2016), 147 Mg C ha in the Eastern coast of
−1
India (Sahu et al. 2016) and 853–1311 Mg C ha in mangrove wetlands around
Papua and East Indonesia (Taberima et al. 2014). The impact of mangrove removal
for aquaculture as well as other anthropogenic needs on the ability of mangroves to
sequester carbon from the environment is not readily quantifiable considering lack
of information covering the extent of carbon sequestration by mangroves in wet-
lands and even below the earth surface (Donato et al. 2011).
1.2.4 Health
Water which is the medium of aquaculture is also the cradle of life since it supports
numerous organisms both beneficial and harmful to human beings. The nutrient
load that emanates from aquaculture gives a favourable environment to micro-
organisms. Pathogenic organisms are ever present in the environment but their
pathogenicity depends on the level of management and the aquaculture facility
being used. Semi-closed systems present the greatest risk of pathogen transfer from
farmed to wild fish (Huntington et al. 2006). Transmission of pathogens and par-
asites between farmed and wild fish and vice versa is however difficult to determine
considering three critical points mentioned by Murray (2015), which include the
presence of the pathogen in the fish at harvest, presence during processing and
transmission from source to recipient. The latter can create unreliable outcome since
the determination of points of outbreak and emergence of either a parasite or
pathogen may not be accurate except where product traceability is complete.
Sepúlveda et al. (2004), presented a report that is contrary to the wide-held thought
that cultured fish can transmit pathogens and parasites to wild fish. They observed
that wild fish in southern Chile that were in full interaction with cultured fish had
greater parasite load than cultured salmon. Similarly, Sanil et al. (2010), reported
that the intensity of protozoan (Perkinsus olseni) infections in wild pearl oyster
(Pinctada fucata) was higher than cultured oysters. However, sea lice infection in
farmed Atlantic salmon was found to be intermediate between two wild stocks
(Glover et al. 2004).
The use of antibiotics in aquaculture is perceived to cause antibiotic resistance in
unintended species in the environment. In Asia, a total of 36 antibiotics are used in
aquaculture (Rico et al. 2012) and according to Anka et al. (2013), farmers use
antibiotics without receiving advice and they use these at self-determined doses
(Photo 1.5). In China, bacterial strains in shrimp hatcheries with known resistance
to antibiotics were found to differ in resistance with pond water bacteria having a
Photo 1.5 Some of the common antibiotics used in a commercial shrimp hatchery: oxytetracy-
cline (left), product of unknown composition (centre) and erythromycin (right)
strong influence on the resistance capacity of sediment bacteria (Zhang et al. 2011).
Le et al. (2005), also reported the incidence of antibiotic resistance in bacteria from
shrimp farms in Vietnam especially Bacillus and Vibrio. The diversity of antibiotic
resistant genes is also greatly enhanced by aquaculture (Harnisz et al. 2015).
The use of chemicals in aquaculture is generally believed to be safe except in
circumstances where management is negligent. Chemicals used in aquaculture
include lime, fertilizer, therapeutants, anaesthetics, hormones, oxidants, algicides,
coagulants, feed additives, antifoulants, fuels and lubricants (Boyd and McNevin
2014). Treatments for parasites in fish often rely on chemicals such as KMnO4,
formalin, salt, iodine, organophosphates, hydrogen peroxide, chlorine and chloride
compounds, and CuSO4 among others (Rico et al. 2012; Ataguba et al. 2013; Boyd
and McNevin 2014). Disinfectants such as KMnO4, chlorine compounds, formalin
and iodine can be highly toxic to macroinvertebrates and planktonic organisms but
their persistence in the environment is low (Rico et al. 2012). Treatment of sea lice in
salmon involves the use of various chemicals including organophosphates, hydrogen
peroxide, pyrethroid and pyrethrins, which end up being toxic to non-target organ-
isms such as insects, crustaceans and other macroinvertebrates (Page et al. 2005).
1.2.5 Resource Use/Inputs
Despite the declining wild stock, small pelagic fish are being caught and rendered
as fishmeal and fish oil to produce aquaculture feeds. Excessive use of wild fish to
manufacture aquaculture feed hurts the environment since sustainability is not
possible. According to FAO (2014), about 15% of the total of 891 million tonnes of
fish produced between 2007 and 2012 was used for feed and other non-food uses,
but this quantity was reported to be in decline. This decline can be attributed to the
increased use of ingredients of plant origin as well as other animal by-products in
formulated feeds for aquaculture.
Although the collection of wild mullet fry for aquaculture had not shown any
visible effects in Egypt between 1983 and 2008 (Saleh 2008), in India and
Bangladesh, giant tiger shrimp fry collection had led to discards of up to 160 other
fry per tiger shrimp (Naylor and Burke 2005), leading to a ban on its collection due
to the obvious effect this had on the recruitment of bycatch species (Siriwardena
2007). However, wild fry collection in Bangladesh had shifted to the freshwater
prawn (M. rosenbergii) with varying percentages of bycatch for either types of gear
used (Ahmed and Troell 2010).
The agriculture sector is a major consumer of water. One of the major drivers for
increasing world water demand is the abstraction for agriculture, including crops,
livestock and aquaculture, apart from the rising demands for domestic and industrial
use. A lion‟s share of this freshwater demand is for irrigation in crop production.
Globally, agriculture uses up about 70% of the total freshwater abstraction, while
this could be as high as 90% in most developing countries (FAO 2011a). In
developed countries the use of freshwater for agriculture is quite low (up to 5% of
global consumption), but more water is exploited for industries and energy pro-
duction (15%). Domestic and municipal consumption account for 10% of the global
extraction of freshwater (WWAP 2016).
Abstraction of water for aquaculture is inevitable since water is the most
important factor in aquaculture. Extensive and semi-intensive pond aquaculture
have low water demand compared to intensive flow-through systems (Beveridge
and Phillips 1990; Boyd and McNevin 2014). The production of between 4 and
12 kg of rainbow trout annually in flow-through systems in Ontario utilized about
526,000 l of water (Moccia and Bevan 2005). Aquaculture consumes less than 1%
of the world‟s freshwater that is renewable and reachable (Boyd and McNevin
2014). Considering this, water use by aquaculture may have little impact at the
global environmental level.
1.3 Threats from the Environment to Aquaculture
Aquaculture is dependent on the environment hence there is a cyclic relationship

between them such that the environment affects aquaculture while aquaculture also
impacts the environment. Basically, environmental factors as they affect aquacul-
ture can be managed through proper site selection but environmental hazards that
occur as a result of weather and climate are often deleterious to aquaculture.
Furthermore, anthropogenic activities also place some form of stress on aquaculture
and the aquatic organisms under culture with concomitant effects on humans who in
the first place caused the upset. These are considered as challenges to aquaculture
(Mazur and Curtis 2006).
The environment limits the ability to culture certain species or adopt certain
aquaculture practices. This is particularly true considering the fact that culture of
cold water species like trout is difficult in the tropics and culture of marine species
in land locked areas is also difficult. This notwithstanding, control of the envi-
ronment for aquaculture of certain species can be achieved considering their
plasticity.
According to Shang and Tisdell (1997), sustainable aquaculture as affected by
the environment occurs at two fronts: the local or farm level and the wide society
level. We categorize threats (Fig. 1.5) from the environment to aquaculture under
three broad classes following Lawson (2013).
1.3.1 Threats to Cultured Species
1.3.1.1 Water Quality
Water supply for aquaculture is the most important criteria for siting and location of
farm units. However, anthropological activities create a dynamic water quality in
Fig. 1.5 Categories of

environmental threats to
aquaculture
water bodies that feed aquaculture facilities. Water for aquaculture must have
suitable dissolved oxygen, temperature, pH, and low levels of nitrogenous com-
pounds. Unfavourable levels of these parameters demand investment to correct the
levels in intake water. Temperature and dissolved oxygen are the most difficult to
regulate and would require greater variable cost to maintain.
Discharge of cooling water from power plants into water bodies that serve as
water source for aquaculture can affect the temperature of water intake for aqua-
culture. Temperatures at discharge points can vary but typically range from 12 to
42 °C depending on the region of the world (Langford 1990). Deviations from
optimal water temperatures for aquatic organisms lead to changes in respiration and
metabolism with sub-optimal levels of water quality parameters causing stress and
its related consequences (Lawson 2013). Temperature tolerance in fish runs from
the inhibiting level through the loading level to the lethal level and finally the lethal
threshold (Coutant 2013). When water temperatures in water bodies holding cages
for aquaculture change drastically, supporting and beneficial organisms in the
ecosystem may be eliminated in favour of organisms that may be detrimental to the
stock under culture and vice versa (Echols et al. 2009). Lake stratification period
during the summer has been found to be extended by the combined effects of
thermal pollution and climate change (Kirillin et al. 2013) with nuclear and coal fed
power plants contributing half the quantity of heat dumped into rivers and lakes
(Raptis and Pfister 2016). Increased water temperatures lead to increased metabolic
rates in aquatic organisms and this happens in an environment that is oxygen
deficient since warm water contains less oxygen and places great stress on the
organisms.
Domestic and industrial waste accumulation in coastal areas as well as highly
populated settlements tend to make the environment unsuitable for aquaculture by
serving as either direct drivers of toxicity or indirect drivers through the depletion of
dissolved oxygen as a result of decomposition of organic matter (Gesamp 2001).

Hypoxic conditions in the Gulf of Mexico have been linked to eutrophication
caused by nutrient release through the Mississippi River (Rabalais et al. 2007;
Bianchi et al. 2010).
1.3.1.2 Pollution
Pesticides, heavy metals and organic compounds that are released into the envi-
ronment are a threat to aquaculture organisms given the fact that they can alter basic
physiological functions, damage anatomical structures and can also lie latent and
get passed to humans that consume fish. Echols et al. (2009) had rightly observed
that aquatic pollution resulting from heavy metals, hydrocarbons, radioactivity and
synthetic organic chemicals occur as a result of human negligence or inappropriate
use and disposal of waste.
Tsangaris et al. (2010), reported a reduction in acetylcholinesterase (AchE)
activity in mussels caged in sites close to agricultural land as well as sites impacted
by urban and industrial waste suggesting some level of neurotoxicity. Similarly,
Cappello et al. (2013), reported gill tissue damage in mussels raised in cages placed
in water impacted by anthropogenic factors hence a form of environmental distress
was affecting the mussels. Salmon feed has been indicted in the persistence of
organochlorine compounds in salmon with fish flesh having the highest concen-
trations as against fish oil and fish feed suggesting bioaccumulation of these
compounds in the fish (Jacobs et al. 2002). This is further strengthened by the report
of Hites et al. (2004) that farmed salmon contained higher levels of organochlorine
compounds than wild salmon. However, recent reports by Masci et al. (2014) and
Nostbakken et al. (2015) have shown that levels of organochlorine compounds in
farmed fish have declined but fish feed still remains a source of the pollutants
getting into farmed fish.
1.3.1.3 Pathogens and Parasites
Disease and parasite infections occur as a result of interactions between the host, the
pathogen/parasite and the environment. The prevalence of a pathogen in an envi-
ronment does not necessarily translate to disease infection. Several predisposing
factors relating to each of these factors that cause disease are discussed by St-
Hilaire et al. (1998).
Marine invertebrates have been thought to be agents of bacteria transmission to
aquaculture organisms (Olafsen 2001). Cryptobiosis is a parasitic infection that is
transmitted to salmon in hatcheries through the leech as an intermediate host that is
present in intake water (Guo and Woo 2009). Bryozoans have been reported as the
carriers of the myxozoan parasite Tetracapsuloides bryosalmonae which causes
proliferative kidney disease (PKD) in salmon and trout (McGurk et al. 2006). The
vertical transmission of Myxosporea and Malacosporea in Bryozoans has been
demonstrated by Morris and Adams (2006). Small and Pagenkopp (2011) gave an
extensive review of the reserves and intermediate hosts of pathogens of crustaceans
of economic importance and this included the water and sediments, other aquatic
animals, algae and biofilm.
1.3.1.4 Climate Change/Flood
Climate change leads to several changes that are critical to both fisheries and
aquaculture. These include drought, altered precipitation pattern, intensity of storms,
changes in sea temperature, rising sea level, El Niño‟s and increased inland water
temperatures (WorldFish 2007). Climate change has both positive and negative
effects on aquaculture. According to Weinert et al. (2016), about 49 species of
benthos have lost their habitats in the North sea between 2001 and 2009 while 11
species consolidated their habitats reach. Furthermore, the use of modelling effec-
tively predicted gains in habitats coverage for an invasive mussel species against a
native species in Europe while invasive crayfish would lose range in favour of the
local species up to the year 2050 (Gallardo and Aldridge 2013). These corroborate
the implication as proposed by WorldFish (2007) that sea surface temperature
increase can increase aquaculture production but may be obscured by changes in
number of species available for culture. Increased temperature of water has been
found to affect fish muscle and mechanisms responsible for detoxication as exem-
plified in Sparus aurata (Madeira et al. 2016). Salt water intrusion will also create a
shift from freshwater aquaculture species to brackish water species (Williams 2011).
1.3.2 Threats to the Culture System
1.3.2.1 Gale
Marine cage aquaculture is affected by adverse weather conditions which include

violent storms, cold weather and strong winds. Storms and winds tend to affect cage
structure and can destroy the cage entirely. Waves that build up as wind blows
across the surface of the ocean can cause severe damage to cages that are con-
structed in open areas without wind breaks. Wave heights of 1–1.5 m can be
detrimental to small cages (Lawson 2013). Climate change is expected to come with
large waves and heavy storms in flood prone areas hence heavy precipitation that
will lead to loss of aquaculture installations, increased capital expenditure on
stronger cage moorings, pond dykes, reservoir walls and other farm facilities
(WorldFish 2007). Computer aided modelling has been used to determine the
mooring dynamics (Fredriksson et al. 2003; DeCew et al. 2010) and the movements
as well as load impacting cages (Colbourne and Allen 2000).
Inland water based cage aquaculture (Photo 1.6) is also prone to effects of
adverse weather conditions. Excessive as well as inadequate water flow has been
Photo 1.6 Tilapia cage farming in Chao Phraya River, Thailand
found to damage cage structures hence heavy economic losses in Northern Thailand
(Lebel et al. 2015). Interestingly, there is a moderately positive correlation between
wind velocity and concentration of 2-methylisoborneol (an off-flavour causing
compound) in catfish pond waters in the United States (Hurlburt et al. 2009).
1.3.2.2 Hydrology
Water current tends to impact cages through increased loading on the cage and the
supporting structures, and the effects of currents are far greater than waves (Huang
et al. 2008). Although Lawson (2013) proposed that tidal currents in the range of
−1 −1
0.1–0.6 ms was favourable for cages and values greater than 1 ms (Huang et al.
2008) being totally destructive, Lader et al. (2008) reported that currents of 0.13
−1
and 0.35 ms caused cage volume reductions of 20 and 40%, respectively and that
location influenced the volume reduction. Current distribution on the water surface
is vital to stability of cage structures (DeCew et al. 2010) and several models have
been estimated to determine design parameters that will ensure the stability of cages
under strong currents (Zhao et al. 2007; Kim et al. 2014; Cui et al. 2013). The tested
models have indicated that the tension on mooring lines is directly proportional to
wave height and wave period with a recommendation on the use of square nets
(Cui et al. 2013) while (Zhao et al. 2007) posited that diamond shaped nets are
better considering possibility of a reduction in structure size ratio.
Climate change is expected to cause changes in rainfall pattern, volume and hence
affect water volume in water bodies leading to increase or decrease in water depth
depending on the area affected. The use of cages and net pens in aquaculture will be
affected since these structures depend on water level. Water exchange in floating cages
is effective at depths with the cage bottoms off the floor at low tide (Lawson 2013).
1.3.2.3 Substrate
The choice of culture systems depends on available substrate. Changes in substrate

type are expected under climate change scenario given increased precipitation,
flooding and sediment flow into water bodies. Net pens are better constructed on
muddy substrates while floating cages perform better on hard rocky surfaces
(Lawson 2013). However, changes in substrate materials will tend to affect the
culture system‟s performance as rightly observed by Tidwell and Coyle (2008).
Boyd (2012), summarised the basic soil properties and the processes they affect in
aquaculture ponds. Soil particle size and texture, organic matter content and sedi-
ment depth tend to affect the integrity of the pond as a holding facility.
Pond culture in areas with acid sulphate soils is affected by low pH levels due to
oxidation of iron pyrite catalysed by Thiobacillus in the upper level of the soil when
exposed to air (Boyd 2012; Yoo and Boyd 2012). Acid sulphate soils have been
reported to affect aquaculture ponds in Thailand and the Philippines with pH values
of 3.9–4.4 and 3.4–6.3 (Singh 1980), respectively. Harvesting operations that
require pond drainage tend to expose the pond bottom soil to air hence oxidation
leading to increased acidity and lower pH levels. Runoff from exposed dykes with
oxidized iron pyrite into the pond will also lead to acidic condition in the pond
(Mahmood and Saikat 1995).
The cost of remediation of acid sulphate soils for aquaculture is the basic
problem posed by this environmental factor to aquaculture system construction
(Hechanova 1984). Currently, the methods used for remediation and management
include: Inundation/drainage cycles with seawater, liming, barricades and induced
oxidation (Hechanova 1984; Sammut 1996). However, wise use of site selection
criteria remains the best option if cost avoidance can be made else mitigation is
needed when land propriety cannot be changed.
1.3.3 Threats to Aquaculture Feasibility
1.3.3.1 Security
Poaching and predation are two major issues that affect aquaculture facilities with
origin from the environment. Cage aquaculture is prone to vandalism and poaching
(Ranchan 1984; Beveridge 2008; Parker 2011). This affects the profit margin of
aquaculture ventures and is therefore a serious threat to aquaculture sustainability.
Several measures have been proposed to curb poaching including row boats with
barbed wire to pick up poaching nets, fencing, canine surveillance, and natural
barriers in the form of trees. Poaching of oysters has recently been reported in
Maryland in the USA (Lessner 2015; Calvert 2016). Predation can also be pre-
vented by using nets to cover the pond tops to prevent entry by birds as well as
around the sides to trap reptiles like monitor lizards and snakes.
1.3.3.2 Externalities
These are factors that are associated with economics and society with associated
relevance to aquaculture itself. Support facilities for aquaculture such as feed
manufacturing, economies of scale, foreign and local markets, policy and legal
requirements, and allocation of space are among other factors.
Policy makers, aquaculture entrepreneurs and ancillary occupations seem to be
disconnected hence aquaculture production is not at its peak or close to its potential
(Krause et al. 2015). Aquaculture policy development must carry the people along
and focus on national interest, rational use of resources and market driven devel-
opment. Policies need to encourage the use of environmentally friendly production
technologies (Olalo 2001). However, in cases where policy making does not
involve the end users of the policy, a mismatch is created. Krause et al. (2015),
argued that the divide between policy and end users tends to create inequity,
mismatch between gains and needs leading to food insecurity and health issues. In
China, the policy drive of the government focused on markets and information in
the late 1990s (Huang et al. 2001). A policy framework and process that considers
the environment, society and the economy with precautionary recognition of
impacts within the social sphere, carrying the people along in policy making and
re-evaluation process with due regards for production capacity and prevailing
global demand, and feedback mechanisms that examine and depict the communal
aspects of aquaculture in a multi-dimensional manner is ideal for sustainable
aquaculture development (Krause et al. 2015). The policy interventions necessary
for assimilation of aquaculture technology can be determined by using models
(Nobre et al. 2009; Slater et al. 2013).
Legal issues relating to aquaculture development involve licensing, competing
use of space and local regulations pertaining to use of land and water surfaces.
Stakeholders in the marine finfish aquaculture industry in Europe advocate for
greater representation and share in benefits and issues with ability to influence
decisions within the social context (Ertor and Ortega-Cerda 2015). The tourism
sector has been found to compete stiffly with coastal aquaculture in Europe
(Hofherr et al. 2015).
The development of local and international markets in tandem is ideal for
aquaculture development in order to encourage small holder aquaculture and ensure
food security. However, a lopsided approach that considers foreign markets will
harm national food security situation. The development of support industries that
service the aquaculture sector is also vital in the quest for sustainable aquaculture
(Lawson 2013).
1.4 Site Selection and Carrying Capacity Assessment

of Aquaculture
Sustainability of aquaculture with consideration of ecological and environmental

impacts will be achieved using several approaches. One important approach is
proper siting of facilities so as to mitigate negative impacts. A combination of site
selection, proper facility design, construction and management will form the bed-
rock for sustainable aquaculture. Policy is also vital in this regard as it ensures
regulation of entry into the business of aquaculture and also creates specific loca-
tions that are suitable and capable of absorbing the effects of aquaculture on the
environment. There is a paucity of regulatory framework for environmental quality
in the aquaculture industry in most nations (USAID 2013).
The peak loading of aquaculture organisms that can be supported by the environ-
ment without deleterious effects on the stock, the culture system and the environment
holding the system is what is referred to as carrying capacity (Stigebrandt 2011).
Within an aquaculture system, the biomass under culture presents scenarios of an
input-output relationship with inputs being additive and outputs being subtractive.
According to Sowles (2003), there is a cultural dimension to carrying capacity hence it
tends to have a dynamic nature. Carrying capacity of an environment for particular
nutrients will be lowered with increasing levels of the nutrient but tends to increase with
sustained removal by flora and fauna subject to their ability to reproduce and rebound
from stressful conditions.
Acceptable levels of water quality within water bodies that surround an aqua-
culture site is the major determinant of quality of effluent being discharged by the
aquaculture firms considering the stock under culture (Stigebrandt 2011). Viability
and profitability of aquaculture ventures are linked to the level of environmental
impact they have (Gegner and Rinehart 2009) hence production, livelihoods and
competition for resource use must be in equilibrium.
1.4.1 Application of Site Selection and Carrying Capacity

in Aquaculture
There is an inextricable link between policy and scientific evidence which in this
case involves the determination of standards that are meant to regulate aquaculture
through scientific processes to avoid exceeding carrying capacity. Determination of
limits and standards using cutting edge ideas and contrivances that are dependable
is the first step in the process of policy formulation that is closely followed by a
political phase (Stigebrandt 2011). Aquaculture can be limited by space and
competitive use of land (Hofherr et al. 2015) hence site selection must consider both
carrying capacity and available space (Kapetsky and Aguilar-Manjarrez 2013).
According to Ross et al. (2013), the aim of carrying capacity assessment is
achieved when there is no undesirable change in the ecosystem resulting from
aquaculture while maximum set limits of production are executed with resultant
social satisfaction considering competing interests within the given environment.
Sustainability is therefore achieved since communal satisfaction is achieved
through sufficient economic benefits using technologies that are eco-friendly while
also providing room for other resource users. Aquaculture installations can be
conveniently installed at capacities that are in tandem with the carrying capacity
following its determination. Carrying capacity also serves as a tool for aquaculture
planning, determination of suitable aquaculture zones and areas of appeal to
aquaculture.
1.4.2 Theoretical Basis/Framework/Approach
Considering mollusc aquaculture, Inglis et al. (2000) gave four classes of carrying
capacity: production carrying capacity, physical carrying capacity, social carrying
capacity and ecological carrying capacity. Further explanation was provided by
several authors considering the fact that the farm is a small unit within the larger
environment that is subject to social and cultural norms (McKindsey et al. 2006;
Byron et al. 2011; Ross et al. 2013).
There is both a temporal and spatial scope to site selection and carrying capacity
in aquaculture planning and regulation. Activities pertaining to aquaculture plan-
ning and development progress spatially and temporally from identification of
potential through sectoring or zoning and selection of the site to final implemen-
tation of aquaculture activities. Site selection is the final step in the process and it
has the least scope with mapping of zones being intermediate and identification of
potential having a broad spatial coverage.
Sustainability ought to drive aquaculture development with ecosystem stability
being drawn from carrying capacity. This therefore means that all the categories of
carrying capacity must be considered together within a given space over time to
achieve ecosystem stability as proposed by Kapetsky and Aguilar-Manjarrez
(2013). The FAO (2010) accentuated three basic principles of an ecosystem
approach to aquaculture to include: use of all ecosystem functions and services
without probability of becoming unsustainable, factor in livelihoods of all stake-
holders with concern for improved wellbeing and finally reckon with activities,
policies and targets of other productive sectors.
1.4.3 Carrying Capacity and Site Selection: When Is

the Right Time to Apply These Tools?
Increased demand for aquaculture space is expected to occur in the future con-
sidering fast growth of the sector particularly in Asia and Africa with resultant effect
being the use of virgin coastal and continental shelves hence altering the ecosystem
services and products derivable. Local factors concerning the ecological integrity of
a site and market volume are two conventional criteria that drive site selection for
aquaculture. The need for proximity to infrastructure and associated services for
aquaculture is a driver for the location of aquaculture facilities with impacts that
will affect the environment, access to transportation and markets (Ross et al. 2013).
The short term nature of this planning strategy will stifle aquaculture development
even more so because it has a local spatial coverage with greater extent of effects on
sustainability within the immediate environment.
Carrying capacity is considered all the way through the site selection process
right from estimation of potential with emphasis at the point of actual siting. This
follows temporal and spatial dimensions since the process must start at a given time
and consider an entire gamut of available space before narrowing down to the actual
spots that are suitable for aquaculture (Fig. 1.6). Advancements in aquaculture
systems and introduction of novel aquaculture species is an on-going process hence
carrying capacity estimation has to go hand in hand to suit the new system or
species. In addition, expansion to new sites using old species still necessitates
determination of carrying capacity.
Fig. 1.6 Spatial and

temporal progression of Potential
aquaculture development
activities
Zoning
Time
Site
Carrying Capacity Selection
Assessment
Space
1.5 Aquaculture Hazard and Risk Analysis
1.5.1 Concept of Risk
Risk encompasses three basic concepts which according to Arthur (2008) includes
uncertainty, probability and impact. Therefore, risk in aquaculture involves the
possibility for an undesired outcome from production activities alongside damages
that would occur. The presence of a factor, substance or object that causes or portends
danger is referred to as a hazard (Johnson 1998). Biological nature of aquaculture
systems is a hazard that brings about price uncertainty (Flaten et al. 2011).
Francis and Shotton (1998) considered the definitions of risk as covered under
two points of view: the probability and the decision theory, the bottom-line being a
consequence or effect of a situation and how large this can be. Surrounding the
probability and scale of an undesirable event is the concept of uncertainty
(Hargrave et al. 2005). A risk can be quantified if the probability of the undesirable
event is known. Certain uncertainties can be reduced via accumulation of knowl-
edge and data while others have a huge scale of uncertainty especially those related
to natural occurrences (Gesamp 2001; Hargrave et al. 2005). Generally as issues
move from the farm scale to a broader regional and national scale, predictability
becomes difficult (Hargrave et al. 2005). McDaniels et al. (2006) have shown that
decision making for risk management in the salmon aquaculture industry occurs at
four different scales namely, local scale that deals with zoning and site selection,
regional scale that deals with operating licences and monitoring of production,
national scale that is involved in regulation, and finally the international scale that is
quite different considering the absence of regulatory structures. While McDaniels
et al. (2006) have proposed a value based decision making tool that is based on
stakeholder opinion, the scientific community is divided as regards accepting public
opinion in decision making (Young and Matthews 2011). This notwithstanding, the
value based decision tool of McDaniels et al. (2006) encompasses five objectives
that address sustainability and decision making.
Risk according to Sethi (2010) is the probability that a divergence from an
anticipated outcome will lead to an undesirable effect with risk itself being a
potential, while realised risk is risk that has been actually experienced. Considering
magnitude and consequence, the World Organisation for Animal Health sees risk as
the likelihood of an unpleasant circumstance and the magnitude of the unpleasant
effects whether biological or economic on both human and animal wellbeing (OIE
2015). The concept of probability of occurrence and consequent losses was also
highlighted by Olanrewaju et al. (2013). Although the presence of farmed salmon
impacts wild trout in terms of infection with salmon lice, Taranger et al. (2011)
opined that greater probability of occurrence of salmon lice in wild trout is not
entirely explained by biomass of farmed salmon under culture. Brun (2013) sums
up risk as an artefact with a subjective insight that is designed to help us grasp the
meaning of danger and also be able to grapple with it considering the limitations of
our environment, upbringing and culture (Olanrewaju et al. 2013).
Risk permeates fisheries management considering the presence of uncertainty,

fluctuations, paucity and multiple goals (Sethi 2010; Olanrewaju et al. 2013). In
aquaculture, uncertainties may include but not limited to diseases, natural disasters,
poor outputs, breakdown of equipment, sediment accumulation, nutrient enrich-
ment, exhaustion of dissolved oxygen, mortality, escapes, bloom of deleterious
algae, conflicts on resource use, and bad water quality (Clark et al. 2010; Hargrave
et al. 2005; McIntosh 2008; Tlusty 2002). Risk from aquaculture according to
(Reantaso 2008; Ezekiel et al. 2011) include changes in habitat structure, pollution,
climate change, genetic issues, food safety, and occupational risks. The scope of
these risks is large since it affects the environment, the people and their wellbeing
(Reantaso 2008). However, application of risk management is advocated as the best
way to avoid loss and fritter (Secretan et al. 2007).
Ezekiel et al. (2011) delineated risk as either from aquaculture to the environ-
ment or from the environment to aquaculture hence effectively bringing in the
perception of risk from different perspectives. Risks relating to production and
marketing are vital for an aquaculturist while people who also rely on the same
natural resources as the aquaculturist will view aquaculture as a risk within the
environment. However way it is perceived, risk is associated with activities and
outputs. Hazards affecting aquaculture development may come from biological,
environmental or economic sources (see: Reantaso 2008; Ezekiel et al. 2011;
Subasinghe et al. 2012; Swaminathan 2012).
1.5.2 Theoretical Framework of Risk Analysis

in Aquaculture
The main goals of risk analysis in aquaculture are the identification and assessment
of risk so that adequate mitigation can be directed at the risks in such a manner that
benefits both the aquaculture enterprise as well as the society as a whole. To
adequately mitigate risk, threat and vulnerability must be quantified so that controls
can be applied to minimize risk. Risk management, assessment and communication
are three key steps in risk analysis (Yoe 2012) with the addition of hazard iden-
tification being important considering aquatic animal health (OIE 2015), but it is
important that this step considers the entire life cycle of the animal (Olanrewaju
et al. 2013). A different risk analysis process is however proposed by Olanrewaju
et al. (2013) to include assessment, screening, evaluation and management with
assessment being a qualitative to quantitative process, screening being a specifi-
cation step, evaluation being a stochastic process and the management step being
mitigation. This approach however does not consider communication which is a
very important step in the loop. For the purpose of this text, we shall consider four
steps of risk analysis (Fig. 1.7).
Hazard identification brings to the fore all harmful objects, substances and
conditions so that they can be assessed during the assessment step in order to
Fig. 1.7 Activities in a risk analysis process
determine qualitative and quantitative aspects of the risks posed by the hazards and
therefore be able to make decisions and guide policy formulation accordingly.
Hazard identification in aquaculture can be carried out using either robust tech-
niques (Crawley et al. 2003; Wells 1996) or rapid tools (WHO 2003). Robust
methods such as the fault tree (Hayes 2002a) and a variant of failure modes and
effects analysis as applied to infection (Hayes 2002b) have been applied to estimate
hazard from invasive species. The fault tree has been applied to investigate the
hazard of introducing GIFT tilapia in Zambia (Lind et al. 2015). The risk man-
agement step is a participatory step that looks at all available and applicable policies
by regulators and stakeholders with due consideration for social, economic and
environmental wellbeing (Hargrave et al. 2005). Mis-matches in the system can be
corrected through the risk communication step because it allows for re-evaluation of
the process for re-adjustment. Yoe (2012) pointed out that the human mind can be
quite good at analysing a situation to reach a decision but there could be pitfalls in
human reasoning that necessitate the involvement of several people in the decision
making process. It is therefore ideal that employees be involved in the risk man-
agement process at the enterprise level so that decisions can be taken through
interactions between management and staff.
Risk management is a highly subjective step in the process since it relies on the
perception of the risk manager. The risk of aquaculture to the environment and from
the environment to aquaculture can be qualified using probability and magnitude.
A risk matrix (Fig. 1.8) that is based on colour codes with progression of risk
increase either through upward movement or movement to the right was presented
by Brun (2013). Hazard identification and the determination of levels of impact and
likelihood are vital and must be based on objectives such that the assessment
process can delineate the effects of risks on the ecosystem, the environment and
socio-economic wellbeing using available tools, conventions and procedures that
effectively determine value (Olanrewaju et al. 2013; Aven 2012). The risk appetite
of a farm will therefore be a yardstick to determine risk acceptance. The risk matrix
will also guide regulatory agencies in the determination of the acceptability of
aquaculture socially and environmentally. Magnitude is ranked below impact in the
analysis involving the risk matrix hence impact is considered rather than magnitude.
Considering the spatial scope of risks, the risk matrix with its quantifiable
probability of occurrence and impact will give us a vivid idea about the actual
location of risks at all levels beginning from the farm to the environment, the social
Fig. 1.8 Risk matrix. After Brun (2013): T = trivial Risk; L = low risk; M = moderate risk;
H = high risk; E = extreme risk. Risk level is identified by the intersection of likelihood and
consequence. Trivial risk will generally not require significant or specific resource use in its
management while low risks can be managed using routine management with proper supervision.
Moderate risk requires a timely higher level management intervention with the aid of an action
plan and high risk requires ready to implement action plan. Extreme risk can be effectively
managed using a detailed plan
and economic scopes. With this, potential effects of aquaculture on the environment
such as erosion, loss of ecosystem services, pollution, nutrient loading and
increased demand for water will easily be quantified. Application of risk analysis
for pathogens, food safety, genetics, ecology, environment and social risks in
aquaculture (Table 1.3) can ensure sustainability of aquaculture through a reduced
impact of aquaculture to the environment as well as from the environment to
aquaculture.
Pathogen risk analysis as applied to import of aquaculture products seeks to
determine the presence of dangerous pathogens, the probability of transfer to
importing nation, expected impacts of exposure of susceptible organisms, risk
associated with each pathogen if products are allowed in, acceptability of risk of
each pathogen and lastly, possible entry of aquaculture products with risks at
acceptable level (Bondad-Reantaso and Arthur 2008). A concise analysis of risk
associated with international trade in aquatic organisms in the Asia-Pacific region is
presented by Diggles and Arthur (2010). Food safety risk analysis must first
identify the hazards that are associated with the aquaculture product and determine
the likely effects of exposure leading to identification of steps for risk management
Table 1.3 Application of risk analysis for sustainable aquaculture

Hazard Risk assessment Risk Risk
identification management communication
Pathogen risk Determine high Release Risk evaluation, Gather knowledge
analysis risk pathogens assessment, opinion and ideas, analyse
spread evaluation, information, pass
assessment, implementation/ information
consequence monitoring
assessment, risk
estimation
Food safety Determine Exposure Risk evaluation, Documentation of
zoonotic assessment, risk options, identified food
pathogens, dose-response risk borne risks for
chemicals of analysis, risk management/ producers
clinical characterization review consumers and
importance aquaculture value
chain
Genetic risk Cultured stock, Probability of Site location, Science-industry
analysis exotics, GMO, escape, containment, meetings,
interspecific probability of control extension service,
hybrids, contact, effect reproduction, publication of
non-selectively assessment manage human reports
bred organisms activity/access
Ecological risk Escapes, habitat Qualitative Standards, Stakeholder
analysis modification assessments, inspection, participation, open
quantitative prohibitions, communication
assessments permits, cost
and benefits
Environmental Suspended Release Mitigation, Quantitative
risk analysis solids, nutrient assessment, monitoring, aspects of risk,
enrichment, exposure compliance social dimensions,
mangrove assessment, identify differences
destruction, effects among
water abstraction assessment stakeholders
Social risk Failure: farm Consequence, Hedging, Corporate social
analysis level, magnitudes, aversion, responsibility,
community documentation attenuation, continuous
level, obstruction subsistence planning,
implementation,
observation and
action
and subsequent communication. This principle has been utilized in AquaFRAM, a

spreadsheet tool designed to estimate food safety and disease risk in aquacultured
salmon (Soon and Baines 2012). Genetic risk in aquaculture is connected with
introgression between cultured fish and wild stocks considering the fact that cul-
tured fish have either been selectively bred for certain traits or genetically modified.
Management of genetic risk will involve two basic approaches: reducing the
possibility of escape as well as the ability to reproduce (Waples et al. 2012). In

addition, the location of aquaculture facilities, effective containment and human
access limits will go a long way to manage risks associated with escapes.
A qualitative ecological risk analysis for the introduction of Litopenaeus stylirostris
into Fiji from Brunei Darussalam favoured the introduction of the species and a
critical evaluation of life cycle and habitat also did not portend any danger but
competition, pathogen transfer and hybridization were contentious (Bondad-
Reantaso et al. 2005).
Aquaculture makes use of resources from the environment and also discharges
waste into the same environment. As such it is pertinent to determine if site
preparation, waste discharge, and water use are hazards that pose a risk. In a risk
assessment of the effect of shellfish aquaculture on the environment in Tasmania,
the risk of organic nutrient loading was scored with a minor consequence rating
with an unlikely rating in terms of likelihood and a low rating in terms of level of
risk (Crawford 2001). Social risks resulting from aquaculture are based on hazard of
failure of investment as well as obstruction of other commercial activities. The
social risk of aquaculture can be assessed considering effects, scope and available
records. Loss of investment in aquaculture is a risk that cannot be totally prevented
considering the fact that aquaculture deals with biological subjects and the envi-
ronment. Heavy losses have been incurred by households in poor communities in
Vietnam (Luttrell et al. 2004). However, loss can be managed via insurance options
with an example provided for the clam aquaculture industry in the United States
(Beach and Viator 2008). Aside from insurance, the establishment of subsistence
aquaculture facilities provides social benefits (Pillay 1997). Good site selection and
planning will attenuate the social risks of aquaculture (Pillay 1997).
1.6 Ecosystem-Based Approach to Aquaculture (EAA)
A strategy that is aimed at blending aquaculture in the wider ecosystem for sus-
tainability, equity and resilience was proposed by the FAO (2010) and dubbed the
Ecosystem Approach to Aquaculture (EAA). EAA has created a way to ensure
compliance with the Code of Conduct for Responsible Fisheries spatially and at
various supervisory levels with regards for national policies, while providing an
avenue for regulators and industry operators to work together to ensure sustain-
ability with adequate consideration of the environment, the socio-economic well-
being of culturists and goals of regulatory bodies (CAMFA II Policy Brief 2014).
The EAA is a shift from conventional management to a method (Fig. 1.9) that puts
emphasis on methodology of action with stakeholders having a voice (FAO 2010).
The FAO (2010), prescribed three principles on which EAA must operate that
include the use of ecosystem services in planning for aquaculture development and
management for sustainability, improved livelihoods of all people in the aquacul-
ture value chain and finally a consideration of other sectors, current policies and
expected results.
Fig. 1.9 Distinction between

the conventional approach
and ecosystem approach
(Staples and Funge-Smith
2009)
1.6.1 EAA Planning and Implementation Framework
Planning for EAA (Table 1.4) involves five basic steps:

1. Scoping
2. Identification and prioritization of issues
3. Developing a management plan
4. Implementation
5. Enforcement.
The coverage of implementation according to Staples and Funge-Smith (2009)

can be determined by the highest level policy goal in view which could cover
national or regional aquaculture, provincial/state aquaculture or just one culture
system.
Table 1.4 Framework for planning and implementation of EAA

Step Function Input Outcome
Scoping Extent of System boundaries, Coverage
implementation stakeholders
Identification of Expounds the need for Ecological wellbeing, Impacts and mitigation
issues intervention socio-economic
wellbeing, ability to
achieve
Ranking of Prioritization of issues Risk analysis Hierarchy of issues to
issues for implementing be tackled
solutions chronologically
Define To develop a working Information on: use of Better management
objectives plan for implementation sites, escapes,
pollution, diseases and
parasites, access to
feeds
Formulate and Aquaculture Legal framework, Developed human
implement development, logical institutional capacity, purposeful
management management, adequate arrangements, research and
plan surveillance competing livelihood dissemination,
options controlled internal and
external threats
Implementation Optimized feeding, Quantitative data Balance ecosystem
of EAA better management, with aquaculture
biosecurity, effluent
management,
environmental impact
assessment
Monitoring and Makes review and Environmental Reference points of
evaluation adaptation possible indicators, indicators
socio-economic
indicators
1.6.2 Tools for Ecosystem Approach to Aquaculture
Sustainable aquaculture has a spatial scope therefore, spatial planning tools can
effectively separate economic, social and environmental spheres of aquaculture with
boundaries clearly defined even though interactions will occur (Aguilar-Manjarrez
et al. 2010). Mathematical models are increasingly being used to model carrying
capacities. These have the capacity to create replicas of real life situations and give
efficient solutions to scenarios which are hitherto not ideal to determine in reality
due to cost implications (Ross et al. 2013).
1.6.2.1 Environmental Models
Using baseline and monitoring data, mathematical algorithms can effectively pre-
dict environmental response to aquaculture stress. A total of 16 environmental
models were considered by the European commission‟s Ecosystem Approach to
Sustainable Aquaculture (ECASA) with each having a scale and a scope that covers
species, culture system and motive (ECASA 2008). Carrying capacity, fluxes of
matter and energy as well as environmental and ecological indicators serve as
means of modelling.
Environmental models (Table 1.5) can be based on either just a single indicator
within the environment or by using multiple indicators that include, particulate
organic matter, soluble organic matter and chemicals involved in the production
process (Southall et al. 2004). Simple linear regression using time series data can be
used to estimate environmental capacity while more complex models are useful if
there is a lack of data that predates present times hence the use of several of such
tools in arriving at an environmental capacity.
Table 1.5 Environmental carrying capacity models

Model Criteria/input References
MOM (modelling ongrowing fish Waste dispersion, waste dilution Stigebrandt et al.
farms-monitoring) (2004),
(Stigebrandt
2011)
TRISULA/DELWAQ Heat dispersion, sediment transport, Southall et al.
water quality, heavy metals (2004)
CORMIX Near mixing
CORMIX + WASP + QUALBAVI BOD, DO, faecal coliform, N, P
Ecopath + Ecosim (EWE) Mass balance of trophic relationships Christensen and
Walters (2004)
Fuzzy models + GIS Physical environment, pollutants Navas et al.
(2011)
Shellsim Clearance rate, particle retention Ferreira et al.
efficiency, filtration rate, absorption (2008)
rate, rejection rate, ingestion rate,
absorption efficiency
EcoWin2000 One, two and three dimensional
scaling, water exchanges,
hydrodynamics (not appropriate for
farm scale modelling)
BEAST (benthic environmental Sediments, particle size, erosion Walker et al.
assessment sediment tool) (2014)
1.6.2.2 Spatial Models
Determination of the worth of land and subsequent allocation for productive

activity are very important steps in resource use and development. However, sus-
tainability of productive and extractive use can only be determined using proce-
dures and applications that will adequately guide decision as well as predict
outcomes based on usage scenarios and available physical data (Table 1.6). This
according to Kapetsky et al. (2007) can be achieved using GIS (Geographic
Information System) tools. With the application of geo-spatial tools, sustainability
friendly policies are now being made (Morgan and LaFary 2009).
The combination of planning and site selection is sine-qua-non to sustainable
aquaculture. Information is critical to identifying suitable sites that have the
capacity to hold aquaculture facilities. Comprehensive understanding of the envi-
ronment, social, economic and political factors forms the bedrock of analysis of
sites for aquaculture suitability. Unsustainable production would be the bane of ill-
selected sites with impacts on the environment, livelihoods and the organisms
under culture (Naylor and Burke 2005). Site selection that involves the use of GIS
models are effectively done using logical analysis of spatial data to guide assess-
ment of available resources and their management (Ragbirsingh and De Souza
2005; Longdill 2007).
Multi-Criteria Evaluation (MCE) is typically a multivariate analysis method that
involves the use of various criteria and variables to arrive at the best combination of
variables to achieve the best results desired. The combination of GIS and MCE was
proposed by Carver (1991) and has been applied in the determination of potentials
and suitable sites for carp culture (Salam et al. 2005), Japanese scallop (Radiarta
et al. 2008), mussel (Perna canaliculus) (Longdill et al. 2008), giant river prawn
(Hossain and Das 2010), Pacific oyster (Silva et al. 2011) and for general carrying
capacity evaluation and site selection (Hossain et al. 2009; Dapueto et al. 2015).
Table 1.6 Steps for a spatial model estimation

Step Description Activity
category
Goal identification Quantifiable, practicable, germane, precise, Non-GIS
temporal limit activity
Identify criteria (factors and Quantifiable else use proximates
constraints) Details required determine criteria
Align factors and criteria Create common scale for factors
Use fuzzy function to align criteria scores
Decide functions for each criterion
Assign weights to factors Ranks, rates, pairwise comparison
Map the criteria Weighted linear combination GIS activity
Confirm results Determines reliability of results
– Sensitivity analysis
– Ground verification
A combination of regulatory and social barriers, MCE and the Farm Aquaculture
Resource Management (FARM) model was used by Silva et al. (2011) for site
selection in areas with poor data for shellfish aquaculture.
GIS models are supported by decision making software that elucidates better
judgement and decision making considering choices. Examples of software cur-
rently available include IDRISI, CommonGIS and ArcGIS (Nyerges and Jankowski
2010; Fisher 2006). ArcGIS does not have the robust capacity for MCE analysis but
according to Nyerges and Jankowski (2010) weighted summation overlays give it
the capability, while (Eldrandaly 2013) utilized component object model
(COM) technology in tandem with ArcGIS to achieve MCE for site selection.
1.6.2.3 Socio-economic Models
There is no fully developed model for determining the social carrying capacity of
aquaculture. Byron et al. (2014), utilized Ecopath, a mass balance model and
IMPLAN, an input-output economic modelling software to integrate carrying
capacity of bivalve aquaculture with social and ecological aspects to provide
direction for policy that will ensure sustainability.
Models that have an economic and social approach to agricultural activity
location dates back to 1826 with the von Thunen model which was premised on
some assumptions that included isolation and independence, a surrounding of
empty land around occupied space, flat terrain without obstructions, consistent
climate and soil quality, self-distribution of produce without roads, and a goal for
profit maximization by farmers (Chorley and Haggett 2013). Modifications to this
model have been presented by various authors but according to Wilson and Birkin
(1987), two critical shortcomings need to be addressed: the constraint that all
products are sold at the nearest market and secondly the static nature of the model.
Furthermore, Chorley and Haggett (2013) argued that the Thunen model required
modification to remove its partial equilibrium status, account for non-economic
factors with expanded scope and finally consider the varying scales of the central
town.
Input-output models and spatial equilibrium models are a group of geographical
location models that consider factors of production, consumers and the producers
along the chain with competitive advantage differentiating regions. Chorley and
Haggett (2013), advocated the use of the spatial equilibrium models as the most
suitable for locating suitable sites for agricultural production provided there is
adequate data.
Application of partial equilibrium models in terrestrial agriculture is widely
reported. The need to improve these models using innovative additions and mod-
ifications has resulted in various versions of models. One common partial equi-
librium model is the Common Agricultural Policy Regionalised Impact System
(CAPRI). Espinosa et al. (2016), introduced structural changes in specialization,
region and size of the economy into this model at the farm level and discovered that
structural changes affected the area under cultivation, number of animals reared and
the size of farms distributed considering their economic size hence the need to
consider farm structural changes in policy decisions.
Land use change is driven by factors that are inherent in the society as well as the
environment and it has a spatial outlook. The local changes in land use can be
insignificant but regional and global land use changes are significant (Heistermann
et al. 2006). Land use patterns have an effect on sustainability and are determined to
a large extent by societal culture, livelihoods and appetite for commodities that
require large expanses of land. This underscores the need for models that will help
us understand the consequences of changes in natural and socioeconomic factors on
production, exchange of goods, demand and prices of agricultural markets (von
Lompe 2003). Economic models that deal with land use aim to elucidate the
demand-supply pattern of production sectors with high demand for land and they
are basically equilibrium models (Heistermann et al. 2006). Detailed descriptions of
economic models are provided by Balkhausen and Banse (2005) and Heistermann
et al. (2006). Economic models are classified under two categories: partial equi-
librium models (PE) and computable general equilibrium models (CGE). The PE
models are dynamic with a global scope, and consider other markets that are not
agricultural as exogenous, hence there is homogeneity of goods traded. However,
CGE models differ in the consideration of non-agricultural markets as endogenous,
have a static approach, and consider trade as a bilateral interaction (Balkhausen and
Banse 2005; Heistermann et al. 2006). The Global Trade Analysis Project (GTAP)
model (a CGE Model) was combined with a biophysical model by Van Meijl et al.
(2006) to predict the availability of land for agricultural activity in the EU without
shortages between 2006 and 2036.
Merging geographic and economic models may be ideal for aquaculture judging
from the insights gained in the application to terrestrial agriculture. A combination
of CAPRI and CLUE (Conversion of Land Use and its Effects) have been reported
to create robust results that link economics and policy (from CLUE) to agricultural
production, income and price structure (from CAPRI) under the influence of land
use dynamics (Overmars et al. 2013; Britz et al. 2011). A downscaling model that
relied on the census of farms as well as land use type in Switzerland produced a
reasonable measure of the spatial motif of use of land for agricultural purpose
(Gärtner et al. 2013).
1.6.3 Aquaculture Governance, Planning and Management

Practices
Policies, laws and their enforcement must be transparent with accountability hence
in the absence of corruption, there will be development through a well-controlled
economic environment aided by support from citizens with the will to grow. The
difference between the developed and developing countries according to
Hishamunda (2010) lies in good governance that creates conducive environment for
wealth creation. This is also true for economic activities within the same productive
sector (Hishamunda et al. 2014). Poverty is detrimental to the environment because
it causes people to rely heavily on ecosystem services to the detriment of the
environment hence good governance of aquaculture will prevent competition for
resources, pollution and bad product quality while upholding human and social
security (Hughes and Rose 2011).
Weak aquaculture governance is a threat to the application of the ecosystem
approach to aquaculture because its absence creates room for bio-insecurity, poor
quality of products, competition and conflict over aquaculture sites, lack of
adherence to international standards and little or no trust from the communities
(Hishamunda et al. 2012). Governments must ensure that there is conducive
environment for aquaculture in the midst of market failure using aquaculture
policies that create secure rights to property, encouraging market environments that
have contract enforcement and small scale aquaculture ventures at its core and all
driven by economic stability, effective research and extension and political security
(Hishamunda et al. 2012). These according to Lent et al. (2008) will ensure a stable
polity considering economic and social wellbeing. Gender inclusive policies that
allow women equal participation in economic activities is important in the drive
towards sustainable development (UNWomen 2014). The emerging role of women
in the productive sector of the economy in non-OECD countries has been identified
especially in export oriented business (OECD 2008). A gender sensitive aquacul-
ture governance is also critical to sustainable aquaculture since the views of rights
and their definitions differ between the genders (WorldFish 2011).
According to Hirst (2000), governance is the driving force behind activities,
steering them in the direction they ought to go with appropriate controls so as to
achieve set deliverables. Governance in the view of the Canadian Institute of
Governance (CIG) is the determinant of possession of power to make decisions,
voice concerns and show accountability (CIG 2016). From the foregoing, gover-
nance is adaptable to sections of society as well as economic groups within the
society considering the people involved as stakeholders. The ecosystem approach to
aquaculture is an all-inclusive approach that considers the stakeholders hence it is
linked to governance and would create a sense of belonging and ownership among
them that will lead to maximum impact from total participation.
The planning, management and control of aquaculture, using democratic prin-
ciples and full participation by stakeholders in order to achieve sustainable liveli-
hoods, social and environmental wellbeing can be referred to as aquaculture
governance. However, issues such as aquaculture site availability, supporting
inputs, increasing investments in marine aquaculture sector, effects of aquaculture
on the environment, technology adaptation and access to finance and credit must be
addressed clearly if aquaculture governance is expected to make an impact
(Lent et al. 2008).
1.6.3.1 Making Aquaculture Governance Work
Bevir (2012) identified the overlapping and conflicting nature of aquaculture

governance and has advocated a Deming‟s wheel approach to its implementation.
According to the Asian Development Bank (ADB), there are four basic principles
behind good aquaculture governance: accountability, inclusive participation, reg-
ularity and openness (ADB 1995). There are six indicators of governance as pre-
sented by the WorldBank (2015). These indicators presented by the ADB and the
World Bank were harmonized by Hishamunda et al. (2014) as: accountability for
actions, effectiveness/efficiency in dealing with issues, equity between people and
predictability of actions (Table 1.7). Aquaculture governance must consider the role
of gender in aquaculture as well as changes in livelihoods. Aquaculture has been
reported to have a negative effect on the livelihoods of women in the fishing
communities of West Africa due to excess work load and loss of livelihoods
(Trottier 1987). For aquaculture to be sustainable, its governance must strive to
close gender gaps in activities such that there is equity, increased access to re-
sources by women and elimination of gender effects in policy implementation
(Scott and Wilde 2006). Policy planning must be participative (FAO 2008) and
address gender constraints relating to access to land, resources and capital (Trottier
1987) hence aquaculture governance must be participative, have representation
from all relevant stakeholders, and be responsive to their needs.
1.7 Aquaculture Certification and Standards
A third party nonaligned assessment of quality standards that is aimed at confirming

claims by a firm of meeting standards is referred to as certification. Standards are
actually sets of collectively recognized keys that are beneficial to the aquaculture
enterprise, the environment and the society. The setting of standards, endorsement
and application of certification, designation of activities and outputs are the crux of
certification. The major components in an aquaculture certification would include:
food safety, social responsibility, animal welfare and environmental sustainability
(Lee 2009). The credibility of certification depends on transparency and application
of the scientific approach through integrity and accountability for big and small
aquaculture enterprises. Traceability is also an important factor for certified products
hence records of product movement is important so as to ensure responsible trading.
1.7.1 Challenges to Sustainable Aquaculture—The Quality

Certification Perspective
Small holder aquaculture is at risk of exclusion from the globalization of aquaculture

trade due to several reasons as highlighted by Subasinghe and Phillips (2007)
Table 1.7 Applying the principles of aquaculture governance with gender sensitivity
40
Principle Outcome Poor practice Meeting and improving requirements
Accountability • Certainty • Decisions by officials alone using • Greater openness by regulators and industry
• Reduced graft dubious guidelines • More criteria for transparency
• Appeal of decisions is impossible • Revelation of perks and outlay of aquaculture
• Scientific information is hardly valid
Effectiveness/ • Worthwhile service delivery • Excessive governance • Achievement based management system
efficiency • Opposing regulations • Subject regulations to cost-benefit analysis
• Extended red tape in license issuance • Expanded participation
• Mono-directional contexts of • Shape capacity
decision making
• Low amplitude to monitor and
enforce regulations
• Insensitivity of communities and
stakeholders
Predictability • Curtailed risk and transaction • Enigmatic property rights • Make property law aquaculture friendly
costs • Short-term licensure • Open and pellucid criteria and procedures
• Inter-convertible property • Decision on site selection is based on
rights easing loan access rent seeking
Equity • Gender inclusive income and • Short term leases and associated short • Spur female license bids
K. R. Salin and G. Arome Ataguba

regional distribution term objectives • Uniform access to credit across genders
• Greater influence by large farms over • Tractability as panacea for license renewal
small farms
Participation • Upsurge in acceptance and • Reclining attitude of government • Effective communication between stakeholders and
conformity officials officials
• Cut down enforcement costs • Exploiting decision communication • Stimulate interest of women
• Foment trust for aquaculture process • Pass information on advantages of aquaculture and
• Upsurge in demand and aquaculture products
consumption
• Use of aboriginal knowledge
(continued)
Table 1.7 (continued)
1 Aquaculture and the Environment: Towards Sustainability

Principle Outcome Poor practice Meeting and improving requirements
Gender • Consider needs of women • Stakeholders devoid of women • Policies that fight discrimination and creates equal
representation • No female representation in opportunities in public service
regulatory agency • Affirmative action is supported in policies and
legislation
Gender • Policies should have ranked • Policies and activities in aquaculture • Standardized and transparent methodology considering
responsiveness needs of women that are not gender friendly issues concerning women in aquaculture
• Potent legal framework for women
Adapted from Scott and Wilde (2006), Hishamunda et al. (2014)
41
that include requirements for market access, risks and costs involved in meeting
quality standards in the production process. The suitability of certification for small
scale aquaculture is in doubt as pointed out by Marschke and Wilkings (2014) hence
a deviation from the recommendation that certification schemes should be pro-small
scale aquaculture (FAO 2011b). Standards are mostly for high value species that are
popular in the western markets hence a very low share of market from developing
countries (Jonell et al. 2013) with a lot of questions bothering on fair trade begging
for answers (Lee 2009). In addition, the upsurge in eco-friendly certification
schemes has been dubbed as modern day extra-territorial conquest (Vandergeest and
Unno 2012). However, Global GAP has reported the certification of small holder
Pangasius farmers in Vietnam, which was achieved as a result of collective effort
(GlobalGap 2014). These challenges can be categorized (Table 1.8) as social,
environmental/ethical, and financial challenges.
1.7.2 Certification Criteria for Sustainable Aquaculture
Sustainability is in itself not a quantifiable variable and therefore depends on

indicators to identify its direction (Lee 2009). At both national and international
levels, the aquaculture value chain is guided by regulations that are particularly
targeted at food safety, disease control and conservation with a strong bias for
international trade in processed aquatic organisms hence factors such as environ-
mental and socio-economic wellbeing have become open to independent certifi-
cation for compliance and responsible management (FAO 2011b). A summary of
the rationales and relevant criteria for meeting food safety, animal welfare, social
Table 1.8 Challenges of certification and quality standards on small holder aquaculture
Challenge type Effects
Social challenges Social exclusion that can engender poverty
Loss of confidence from consumers due to failure and difficulty
in regaining same
Less incentive for quality products in Least developed
countries
Questions as regards the openness of certification approach
Level of commitment and involvement from stakeholders
Environmental and ethical Loss of equity and subsequently an unsustainable practice
challenges Divergent global perspectives and lack of support for
indigenous technology
Compliance may be evasive
Financial challenges Huge costs of certification
Small scale farmers lose access due to competitive
disadvantage
Inadvertent exclusion due to inability to obtain new markets
responsibility and environmental wellbeing by aquaculture is given in Table 1.9.

The difficulty and high costs associated with data collection can be a serious setback
in the process but with voluntary certification, there can be a huge database for
environmental data that serve as indicators of the environmental sustainability of
aquaculture (Lee 2009).
Table 1.9 Criteria for mitigating concerns of aquaculture in relation to its certification for
sustainability
Concerns Rationale Criteria
Food safety • Meet food safety regulations of the • Use approved therapeutants, adhere
Codex Allimentarius to withdrawal periods
• Be in line with all international • Use contaminant free feed with
food standards approved ingredients
• Farm location is pollution free,
suitable water quality free of
microbial impact
• Stock must be pathogen free
• Traceability of inputs
• HACCP hygiene conditions
Social welfare • Equal market access for all • Small holder, youth and gender
producers inclusive post-certification market
• Worker‟s welfare access
• Involve all stakeholders with
competing claims to resources
• Adherence to labour and wage
regulations
• Clustering of small holder farmers
for cost effective certification
Animal welfare • Access to water and food, suitable • Use international standards in
environment, disease and injury aquatic health management
control, functional improvement, • Quarantine must comply with FAO
behavioural/interactive freedom code of conduct for responsible
and mental and physical comfort fisheries
• Consider specific pathogen free
organisms
• Stringent management of antibiotics
and their discharge
• Clean and hygienic culture
environment for pathogen and
parasite control
• Limit harm to animals in production
process with limited suffering at
slaughter
• Farm workers gain knowledge on
animal welfare and health
management
(continued)

Concerns Rationale Criteria
Environmental • Proper planning and determination • Adopt environmental impact
wellbeing of environmental impacts assessment for site selection with
support to manage impacts
• Consider the environment in
National aquaculture policy and plan
• Inclusion of environmental quality
and impact control in aquaculture
governance
• Water use with bias for conservation
• Control fish escapes and import of
exotics with restricted use of wild
stocks in aquaculture
• Censurable use of chemicals and
drugs
1.7.3 Certification Schemes
Certification schemes are based on standards or codes of good practice that are
documented by certifying organisations with the goal of sustainable aquaculture.
These schemes are mostly species or region specific hence a thorough assessment
and compliance requirements. However, the specific nature inhibits far-reaching
acceptance and global coverage (Lee 2009).
According to Corsin et al. (2007), there are about 30 certification schemes in
aquaculture with a bias for sustainability operating via different approaches. The
number of schemes increased to a total of 40 schemes in 2009 (Global Trust
Certification 2009). In Vietnam, Marschke and Wilkings (2014), reported that there
are 4 certification schemes that have certified a total of 20 producers with certifi-
cation still ongoing. The development of certification schemes is guided by the
FAO (2011b) with guidelines for setting the standards, performing an accreditation
and final certification.
Certification schemes can be categorized using several criteria. Lee (2009) used
a classification scheme that divided the schemes as either organic or non-organic.
Global Trust Certification (2009) also used a two category classification that
includes trade and eco-friendly schemes while Corsin et al. (2007) adopted an eight
category classification of the schemes using the advocate, trade and environment as
anchors. We will attempt to also classify the schemes (Table 1.10) based on the two
categories used by Lee (2009).
The scope of most of these certification schemes covers the environment but
social welfare is excluded in organic schemes for aquaculture producers in devel-
oped nations (Lee 2009). The safe quality food (SQF) standard focuses entirely on
food safety and traceability. Each scheme has advocates that prepare the standards
and present the same to target producers with credibility being either inherent for
state-owned agencies or derived from third party auditors especially for non-organic
Table 1.10 Aquaculture certification schemes
1 Aquaculture and the Environment: Towards Sustainability

Scheme Promoter Coverage Labelling Species Website
Non-organic
Best Aquaculture Practice Global Aquaculture Global Eco-label Shrimp, tilapia, pangasius, www.gaalliance.org
Alliance salmon channel catfish www.
aquaculturecertification.
org
SEASAIP Asia Seafood Asia Seafood Shrimps: Litopenaeus. www.asicollaborative.
Improvement watch vannamei and Penaeus org
Collaborative yellow monodon
Global GAP Global GAP Global GGN Pangasius, salmon, penaeid www.globalgap.org
shrimp
Aquaculture Stewardship World Wildlife Fund Global Farmed Currently 12 species, but www.asc-aqua.org
Council responsibly envisages covering all major
species
Friend of the Sea NGO: Friend of the Sea Global Eco-label Multi-species (Salmon, www.friendofthesea.
seabass, shrimps etc.) org
Thai Quality Shrimp Thai Dept. of Fisheries National Eco-label Penaeid shrimp and www.
Freshwater prawn thaiqualityshrimp.com
ISO 9001 and ISO 14001 NGO: International Global Quality All species www.iso.org
Standards Organisation
SQF Code 7 Safe Quality Food Global Food All species www.sqfi.com
Institute safety www.fmi.org
Carrefour Filiere Qualite Carrefour Global Eco-label Oyster, shrimp, salmon www.carrefour.com
Label Rouge French Ministry of France, Eco-label Salmon, penaeid shrimp, www.label-rouge.org
Agriculture Madagascar, seabass, oysters turbot
Scotland
Malaysian Aquaculture Malaysian Government National Nil Penaeid and freshwater http://www.dof.gov.
Farm Certification shrimp, fish, molluscs and my/
ornamental fish
45
(continued)
46
Scheme Promoter Coverage Labelling Species Website
Scottish Salmon Producers‟ Scottish Salmon National COGP Salmon www.scottishsalmon.
Organisation code of good Producers co.uk
conduct
SIGES-Salmon Chile Fundacion Chile/CBPA National Nil Salmon www.salmonchile.cl/en
Organic
Bioland Bioland eV Germany Eco-label Freshwater fish www.bioland.de
International Federation of IFOAM Organics Global Eco-label Seaweeds, bivalves, etc. www.ifoam.org
Organic Agriculture International
Movements
Bio-gro New Zealand Biological New Zealand Eco-label Fish, shellfish, crustaceans www.biogro.co.nz
Producers and Consumers
Society
Bio-Suisse NGO: Federation of Swiss Switzerland Eco-label Carp, char, trout, perch www.bio-suisse.ch
organic farmers
Naturland NGO Global Eco-label Salmon, milkfish, penaeid www.naturland.org
shrimp, mussels, arapaima
Organic Food Federation NGO EU Eco-label Cod, salmon www.orgfoodfed.com
K. R. Salin and G. Arome Ataguba

schemes. Organic schemes must conform to guidelines specified by organic farming

promoting organisations such as IFOAM (Germany), IMO (Switzerland), ACO
(Australia) and a host of others. It is often a challenge for organic aquaculture
certifying bodies to ensure that the recommended farm practices adhere well to the
product requirements and to the rearing conditions for a particular species such that
the farm outputs and market demands are reasonably balanced (Nair et al. 2014).
The organic certifying bodies are audited to ensure that standards are met.
Two generic quality management standards that can be employed by any
organisation are the ISO 9001 and ISO 14001 standards. Internal quality man-
agement in aquaculture firms as well as aquaculture product processing firms can be
achieved by applying the ISO 9001 quality management standard, while environ-
mental management can be made to conform with acceptable standards by the use
of ISO 14001 management standards. In terms of specifics, the SQF code 7 covers
aspects of food and feed safety in the aquaculture processing and production
industry. The Aquaculture Certification Council (ACC) of the Global Aquaculture
Alliance (GAA) seeks to promote Best Aquaculture Practices (BAP) for responsible
aquaculture covering animal welfare, social and environmental wellbeing, food
safety and traceability. The ACC standards target specific aquaculture species and
include steps for risk analysis using guidelines embedded in the standards, and
hence are more relevant to the aquaculture industry compared to the generic ISO
9001 and 14001 that both demand self-risk assessment from the farmer.
Another key international certification scheme is the GlobalG.A.P. (Global Good
Agricultural Practice). GlobalGAP does not use eco-labelling but instead is a
business to business certification scheme. It also covers food safety, social and
environmental wellbeing, animal welfare and wellbeing of the workforce.
Guidelines cover all areas of the production process from spawning through
stocking to harvesting and processing.
Aquaculture dialogues have been initiated by the World Wildlife Fund (WWF)
and management of the standards developed was transferred to the Aquaculture
Stewardship Council (ASC). A total of 8 aquaculture standards that cover 12
aquaculture species have been developed. The ASC seeks to use efficient markets to
reduce negative impact of aquaculture production considering social and environ-
mental wellbeing through standards and compliance.
The seafood retail chain has also taken the responsibility of ensuring sustainable
production seriously with the promotion of their own eco-labels and standards.
These are embedded in internal business chain guidelines, ethics and codes of
practice. The UK‟s Tesco adopts guidelines for sustainable fish products using the
FAO Code of Conduct for Responsible Fisheries while sustainable aquaculture of
salmon is being advocated by the development of standards for salmon products on
offer by the giant retail outlet. Sainsbury‟s in the UK favours the use of Global GAP
and organically certified farmed fish for its cultured fish supplies (Global Trust
Certification 2009). In North America, the Food Market Institute (FMI) has
engaged experts and franchises to develop proactive sustainable seafood standards
with representation from Canada‟s Loblaw and Sobeys supply chains. Carrefour
group in France has developed its own standards for the farmed fish that it sources,
considering minimal environmental damage from their production hence a bias for
tilapia, pangasius and other species with limited need for fishmeal based diets. The
French Label Rouge is also used to certify quality of some aquaculture products
including oysters, seabass, Scottish salmon and shrimp imported from Madagascar.
National certification schemes also exist in several countries in the south. In
Thailand, there is the Thai Quality Shrimp certification scheme. Other schemes with
national focus include the Vietnamese GAP, Hong Kong‟s Accredited Fish Farm
Scheme, Chilean Code of Good Environmental Practices for salmon, and the
Malaysian Aquaculture Farm Certification scheme.
1.8 Concluding Remarks
Aquaculture is a rapidly growing food production sector with level of intensifica-

tion and number of people involved in the industry also increasing. In the wake of
its expansion, there has been negligence on the part of operators that created
environmental and ecological problems. Aquaculture can be a threat to genetic
diversity, water quality, general ecology, health and natural resources. This
notwithstanding, the environment can also impact negatively on aquaculture.
Sustainable aquaculture holds the key to mitigating the threats posed by aqua-
culture while also ensuring that this important food producing sector remains very
productive. Several approaches must be used in order to ensure that aquaculture
does not impact negatively on the environment. The determination of suitable sites
with capacity to absorb the biomass from aquaculture as well as waste is the first
step that needs to be taken to achieve the goal of sustainability. Site selection and
carrying capacity estimation must follow each step of aquaculture from planning to
actual culture, and it must be an ongoing process. In assessing sites for aquaculture,
it is important to also understand the risks involved in operating aquaculture
facilities in an area considering the introduction and transfer of pathogens and other
risks. Risk assessment in aquaculture must be carried out in conjunction with local
and indigenous communities so that knowledge of the area is built into the process.
The use of stakeholder opinion is a bone of contention for the scientific community.
However, the knowledge from community members can be very useful. Sustainable
aquaculture can also be achieved with the use of the ecosystem approach to
aquaculture when regulatory agencies are planning for aquaculture. This approach
has scientific depth because it relies on modelling and seeks to ensure sustainable
aquaculture through management, improvement of livelihoods as well as consid-
eration of other resource users.
Furthermore, effective regulation of aquaculture through governance is expected
to assist the enforcement of the ecosystem approach to aquaculture. The application
of governance without corrupt practices will ensure good product quality, sound
environmental management and general social wellbeing. Gender sensitivity is also
crucial in governance hence gender representation and responsiveness are two key
factors that must be considered in the process of governance. The emergence of
aquaculture certification and standards has created room for operators to ensure they
remain competitive in the market given the consumer demand for products that are
produced sustainably and are safe for consumption. Transparency, integrity and
accountability are the key drivers of certification. Certification of small scale
aquaculture facilities is affected by social, environmental/ethical and financial
challenges. Certification schemes are quite numerous with each scheme presenting
unique standards that are used as reference in auditing aquaculture ventures. These
standards can be categorized using several criteria. However, two basic categories
included are the organic and non-organic standards.
Conclusively, since aquaculture can have adverse effects on the environment, it
is highly desirable to understand and predict these impacts so that remedial actions
can be taken to keep these consequences in check and within allowable thresholds.
Continuous monitoring of aquaculture sites and zones by regulators is also
important since it will lead to appropriate interventions when they are needed so as
to foster environmental wellbeing, ecological integrity, desirable food quality
attributes, and social security.
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Chapter 2
Sustainable Aquaculture: Socio-Economic
and Environmental Assessment
Bishal Bhari and C. Visvanathan
Abstract One of the goals of the sustainable development is to minimize or

eliminate the environmental externalities and target social and economic develop-
ment. Socio-Economic and Environmental Assessment (SEEA) deal with assessing
the socio-economic and environmental issues that can potentially be a threat to the
existing condition. SEEA also deals with developing a proper alternative or man-
agement techniques. As the world capture type of fishing is stagnant or declining,
the growth of the aquaculture is inevitable as it fills the gap between declining
natural production and increasing market demand. Aquaculture is the only viable
way of raising the production of seafood and freshwater fish. Thus, the sustainable
development of aquaculture industries has been the necessity. This chapter high-
lights the different socio-economic and environmental issues that aquaculture leads
to and also presents the impact areas, mitigation and monitoring plans that can be
adopted to ensure sustainability of the aquaculture.
Keywords Sustainable aquaculture · Environmental assessment

·
SEEA Environmental impact
2.1 Introduction
Aquaculture also known as aquafarming, is the farming (breeding, rearing and

harvesting) of both aquatic plants and animals in various water environments like
ponds, rivers, lakes and the ocean under controlled condition. The conditions are
designed to increase the production of the organisms beyond the natural capacity
B. Bhari · C. Visvanathan (&)

Environmental Engineering and Management Program,
Asian Institute of Technology, Bangkok, Thailand
B. Bhari

64 B. Bhari and C. Visvanathan
External
Environment
Internal
Environment
Environmental guidelines Algal bloom Occupational Disease transfer

Rules and regulations health hazard Ecological distortion
Compliance monitoring Mortalities
Increased pollution load
Aquaculture
Certifications Farm
Decreased carrying capacity
Available feeds High working Resource sink
Chemical usage Stress hour Social conflict
International trade barriers Social distortion
Disease
Low wages
Outbreak
Fig. 2.1 Internal and external environment of the aquaculture farm
and involves cultivation of both marine and freshwater species and utilizes natural
resources and interacts with the environment.
Aquaculture differs from the conventional approach of capture type of fishing
and refers to more planned and technical approach of farming which is a more labor
intensive process. Aquaculture helps to sustain many farmers and is one of the
major sources of income to many households. It also indirectly affects the social and
economic aspects of many stakeholders who are indirectly involved in it. Thus, a
considerable socio-economic impact can be associated with it, in additional to the
environmental aspect of aquaculture. As aquaculture industry utilizes resources to
cultivate the stock beyond the natural carrying capacity, ecological and environ-
mental impacts are the major concern in the aquaculture industry. As presented in
Fig. 2.1 external environment which majorly includes market demand, govern-
mental regulations and institutional capacity of the countries plays a significant role
to control the internal environment of the aquaculture. However as presented in
Fig. 2.1 these forces are smaller than the raising social and environmental issues.
Uncontrolled external environment can worsen the internal environment leading to
many social and environmental issues.
With the aim of achieving sustainable aquaculture production while exerting
minimum environmental degradation, prior assessment of socio-economic and the
environmental component is needed. Sustainable aquaculture implies socially and
economically sound aquaculture industry where the environmental damages are
minimized or avoided. Socio-Economic and Environmental Assessment (SEEA) is
one of the methods to harmonize social, economic and environmental conditions for
sustainable growth of the aquaculture industry.
The primary objective of the SEEA is to identify the activities that hamper the
lives of people. SEEA performs detail study and analysis and helps to predict direct,
indirect and cumulative impacts of the project. Another main objective of SEEA is
to mitigate these impacts either by avoiding it, remedying it or by compensating the
effects of the impacts. SEEA can act as an important mechanism to ensure the
sustainability of the aquaculture. However, the success of the socially,
2 Sustainable Aquaculture: Socio-Economic … 65
environmentally and economically sound aquaculture practice depends on the

attitude of the three key players: Proponent, Stakeholders, and Decision Makers.
Proponents include the entrepreneur‟s/companies/government departments, etc.,
who plans to carry out the project and are responsible for complying with the
imposed rules, regulation, standards, etc. In additional to making a profit from the ,
the proponent is also responsible for harmonizing the social aspect of the project,
which is important for long-term planning. Stakeholders are the one who either
benefits or affected by the project and includes institutes, governmental agencies,
businesses, labors, associated business, etc. who are to be benefitted or affected by
the project. The proponent has a responsibility to harmonize the stakeholders to
avoid any chaotic conflicts. The last key players are the decision makers who have
the legislative power of licensing, regulating standards, etc. and pushes the pro-
ponent to adopt practices that are more socially and environmentally acceptable.
These three key players play a major role in the sustainable aquaculture and it is
important for any project to harmonize their concerns and interest. SEEA can also
act as a tool to harmonize these key players.
Thus, SEEA aims to harmonize these three key players by providing them with
the following information:
i. Information regarding the current socio-economic and environmental scenario
within the virtual project influencing boundary, within which the project
impacts can be predicted to be felt with high magnitude.
ii. Description of the key socio-economic and environmental parameters that will
be potentially impacted due to the established project.
iii. Impact identification, prediction, and evaluation due to the implications of the
project.
iv. Highlights of the major environmental impact and plans to mitigate the effects.
v. Monitoring plans to ensure the compliance of the outcomes of the SEEA
study.
SEEA tends to focus on the avoidance of adverse impacts and optimization of
the beneficial impacts. The beneficial impacts of the project generally include rise in
living standard due to increased employment opportunity and economic activity;
improved business opportunity; improved infrastructure as the project matures,
while the adverse impact might include loss of endemic species due to the intro-
duction of exotic species, loss of farmland, loss of traditional business, etc. SEEA
also targets to study the interaction of various impacts, which could be synergistic
and irreversible in nature. Moreover, it predicts indirect impacts. All the identified
impacts are evaluated and only significant impacts with high magnitude are miti-
gated. It provides an important platform for the decision maker to rationalize their
decision based on the findings of the SEEA.
2.2 Types of Aquaculture
Aquaculture can be categorized based on intensification level, species cultivated and

technology used. The socio-economic and environmental issues related to it also differ
according to the types of aquaculture. This chapter highlights the aquaculture based on
the intensification level. Based on the intensification level of the aquaculture, it can be
divided into extensive, semi-intensive and intensive aquaculture. The productivity and
the type of food requirements vary according to the level.
2.2.1 Extensive Aquaculture
Extensive aquaculture utilizes natural productivity of the environment for the

growth. Under the extensive aquaculture, no additional food is added for the growth
and there is very little control over the stocks. It can be done in freshwater, brackish
and marine environment using several techniques like multiple mesh, trapping nets,
pond culture, etc. Since the growth conditions like temperature, pH, nutrients, etc.
cannot be altered, an extensive form of aquaculture strongly relies on the sur-
rounding conditions. This form of aquaculture also has detrimental impacts and
proper management is essential. If not managed properly, it can lead to the damage
in the surrounding natural habitat. The organic waste from the cultured area can
potentially deplete dissolved oxygen level and reduce the benthic habitat popula-
tion. In addition, it can also introduce (in the form of escapes) foreign species or
less tolerant genetically modified species in the natural environment, which can
reduce the adaptive capacity of the indigenous species as they interbreed with these
less tolerant cultured species.
2.2.2 Semi-intensive Aquaculture
Semi-intensive techniques utilize different culture techniques like raceways, sea-

cages and require to supplement the stock with additional food. However, semi-
intensive system is partially dependent upon the natural productivity. Thus, it
requires less space than the extensive system to have the same yield. Its environ-
mental risk is similar to the extensive and intensive aquaculture.
2.2.3 Intensive Aquaculture
Intensive aquaculture is a highly dense farming and involves the total addition of
the food. It is also a technology driven process which focuses on maximizing the
yield by maintaining palatable growth condition for the target species. The stock is
fully dependent on the artificial food provided and involves many activities that
could lead to environmental issues.
As the environment variables (pH, temperature, oxygen level, feed, etc.,) are
completely controlled and managed by the skilled workforce, higher yield can be
obtained which is one of the advantages of the intensive aquaculture. However, it
has a higher environmental impact and its magnitude and significance vary
according to the technology used. One of the general issues related to the intensive
system is effluent management. The effluent of the intensive system are rich in
nutrients (Pullin 1989) (both organic and inorganic) and if not properly managed
can lead to eutrophication in the natural environment causing a threat to the
indigenous species.
Table 2.1 presents the impact associated with different intensification level and
technology used. Moreover, it must also be noted that some impacts are location
specific.
2.3 Socio-Economic Impacts of Aquaculture
As aquaculture business deals with the usage of environmental resources and

human resources for the extraction and production of the consumable products, it
will inevitably cause distortion in the social and economic conditions of the project
area. This distortion often termed as „impacts‟ can be both beneficial (positive) as
well as adverse (negative) in nature as presented in Fig. 2.2. However, the ultimate
goal of any project is to maximize the positive impact and minimize or eliminate the
negative impact of proper technological and operational measures. Some of the
beneficial and adverse socio-economic impacts are presented below in Sects. 3.1
and 3.2, however, it must also be noted that the intensity of these impact varies
according to the species, location of the farm, farm yield and technology used.
2.3.1 Beneficial Impacts
Aquaculture has many socio-economic benefits. Some of the socio-economic

benefits are as follow.
2.3.1.1 Food Security
Food security is the current global problem to be addressed as it is estimated that the
world will need 70–100% more food by 2050 (The World Bank 2007; Baulcombe
et al. 2009). Sustainable Development Goal (SDG) for 2030 has also targeted goals
to achieve food security, improve nutrition and promote sustainable agriculture.
Table 2.1 Different levels of aquaculture and socio-economic and environmental impact associated with different technology adopted and level adopted
68
Type of aquaculture* Damage Mangrove Saltwater Eutrophication Wastewater Social Social Public Creation Loss of Increase Export
to reefs destruction intrusion problem hazards conflict disruption health of traditional in jobs earnings
risk resource jobs
sink
Extensive Coastal bivalve ✓ ✓ ✓ ✓ ✓ ✓
culture (mussels,
oysters)
Coastal fishpond ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
(shrimps, tilapias)
Cage culture in rich ✓ ✓ ✓ ✓ ✓
benthos (carps,
catfish, tilapias, etc.)
Semi-intensive Fresh and brackish ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
water pond (shrimps
& prawns, tilapias,
catfish, etc.)
Integrated ✓ ✓ ✓ ✓
agricultural
aquaculture (rice-fish,
poultry-fish,
vegetable-fish, etc.)
Cage culture in rich ✓ ✓ ✓ ✓ ✓
benthos (carps,
catfish, tilapias, etc.)
B. Bhari and C. Visvanathan

(continued)
2 Sustainable Aquaculture: Socio-Economic …

Type of aquaculture* Damage Mangrove Saltwater Eutrophication Wastewater Social Social Public Creation Loss of Increase Export
to reefs destruction intrusion problem hazards conflict disruption health of traditional in jobs earnings
risk resource jobs
sink
Intensive Freshwater, brackish ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
water & marine pond
(shrimps, finfish
especially
carnivorous, etc.)
Freshwater, brackish ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
water & marine cage
culture (finfish
especially
carnivorous, and
some omnivorous)
Re-circulating system ✓ ✓
others—raceways, ✓ ✓ ✓ ✓ ✓ ✓
silos, tanks, etc.
69
Fig. 2.2 Causes of

Compliance of rules and Positive Impacts
socio-economic impacts
regulations, Food Security
Addressing social concerns, Increase in Jobs
Ecolabel certifications Reduction in Fish Price
Export Earning
Improved Infrastructure
Aquaculture
Industry
Negative Impacts
Social Conflict
Increased use of chemicals, Resource Sink
Lack of proper monitoring, Loss of Jobs
Lack of rules and regulation, Loss of Lands
Competitive market, Health Hazards
Lack of long term planning Increase in Crime Rates
Decreased Income Source
However, the key barrier to increasing the food is the availability of productive land
due to rapid urbanization, increased competition of land, loss of productive land due
to natural hazards, increased competition from biofuels. Thus, the prominent
solution under these circumstances is to increase the agricultural productivity.
Aquaculture, which has a higher yield than the conventional fishing is indeed one
the method which can help to attain the SDG 2030 goals.
When analyzing the food security from the aspect of nutrients available, the
health benefits from the finfish and shellfish are well known, as it is rich in vitamins
and protein. In 2010, 16.7% of the global population‟s intake of the animal protein
was covered by the consumption of fish. Fish protein has been the vital source
(around 50%) of animal protein intake to many poorer island and coastal states
(FAO 2014a, b). Moreover fish are cheaper than the other source of animal protein,
which makes it affordable to low-income groups as well. Consumption of aquatic
food is found to be higher in the developing and least developed countries and so
aquaculture plays an important role to ensure both the quantity and quality of food.
2.3.1.2 Increase in Jobs
Aquaculture increases the job opportunity at several levels. Jobs are created in the
whole supply chain from the production to the supply. Low-income group and rural
communities are the ones who benefits significantly from the employment created.
The ability of aquaculture to create jobs in the rural areas is one of the reasons for
governments to promote aquaculture. The potential for job creation is not limited to
the fishing industry itself but other associated industries (like net industry, boat
building, food processing, etc.) are also benefited from the aquaculture. With all the
jobs created, cumulating the job holders and their dependent, fisheries and aqua-
culture support estimated livelihood of around 10–12% of the world‟s population
(FAO 2012). These indirect benefits can also be experienced by increased trade and
inflow of the traders into the area, as more jobs are created to manage the basic
needs of these traders.
2.3.1.3 Reduction in Fish Price
Fish price will continue to decrease in the future and will be more affordable to the
low-income groups. Aquaculture is a promising method of growing stocks at
cheaper operating cost due to the possibility of increasing its yield beyond the
natural productivity. As aquaculture rises in the future, the production cost of these
fish will get cheaper affecting the market cost. Considering the time frame from
1990–2010, the overall decline in the fish price was observed due to the sharp
decline in price in some of the species which was able to radically change due to
aquaculture development (The World Bank 2013). Thus in future, as technological
advancement are achieved with technologies such as aquaponics, aquaculture
production cost will lower down making it more accessible to all.
2.3.1.4 Export Earning
Unlike to the traditional catch type of fishing, aquaculture provides more oppor-
tunities for the farmers to increase their production capacity following the increased
demand for seafood worldwide. For Asian countries like Thailand, Bangladesh,
Indonesia, Vietnam, etc. export earnings from the seafood industries is significant.
As the production capacity of capture type fishing has remained stagnant, the only
method to increase the production of finfish and shellfish has been the expansion of
the aquaculture industry. These industries are generating a GDP both locally and in
the form of exports. Shrimp industry is the third largest exporting industry in
Bangladesh and it plays a crucial role in the GDP of the Bangladesh generating
export earnings of 544 million USD in 2013 (Kabir 2013).
2.3.1.5 Improved Infrastructure in Rural Areas
Aquaculture can have the indirect benefit of improved roads, governmental facili-
ties, harbor, etc., which increases the productivity of aquaculture. The rural com-
munities are benefitted from the improvement in infrastructure.
2.3.2 Negative Impacts
Aquaculture has several negative impacts which need to be considered for the
smooth operation of the business. As aquaculture has many negative environmental
impacts, social issues ripple through its effects.
2.3.2.1 Conflict Over Resource Usage
Resource usage has always been an issue for the aquaculture industry. One of such
conflicts that is normally seen is between the shrimp farmers and other farmers
(crops, freshwater fish) who lose their yield due to the environmental impact created
by the shrimp culture. The shrimp farm salinizes the freshwater bodies and crop
lands which cause conflicts over the usage of the resources. In the sub-Saharan
Africa where the water is scarce, conflicts have also arisen due to the conflict over
the use of water between tobacco farmers and fish farmers (Subasinghe 2006). Also
as the cage and pen culture of aquaculture is also dependent upon the natural food,
conflicts are seen over the artisanal fishers and the aquaculture farmers.
Social Issues of Shrimp Farming in Khulna, Bangladesh

Khulna is the leading producer of the Bangladesh‟s vast shrimp industry.
Shrimp farming has certainly employed a lot of people in Khulna but it has
also increased the vulnerability group and reduced the coping capacity of the
farmers. Some of the social issues observed in Khulna are:
i. Loss of productivity of the land: The shrimp farming has affected the
fertility of the nearby lands due to the leaching of sediments. The lands
are now barren and traditional rice farming is not possible. Cattle raising
is also impossible as the lands are barren. There are hardly any envi-
ronmental monitoring and big farmers hardly cares for the environ-
mental impact to the community.
ii. Illegal land acquisition: Most of the shrimp farming in the area is being
done by the immigrants. These immigrants/big farmers often with the
help of the local regulatory bodies, illegally control or occupies the land
of the locals. Shrimp farming has raised the corruption level in the area.
iii. The increase of vulnerability group: Although shrimp farming has
provided jobs to many, a lot of farmers associated with it are paid very
less for their effort. These vulnerable groups are associated in the
catching of juvenile shrimp from the local rivers. Moreover, the market
of the shrimp farming is so intense in the area that they can hardly
engage in other areas for income. Malnourishment is commonly
observed in these vulnerable groups.
iv. Loss of jobs: Fishman who traditionally caught fish in the river are
severely affected as they can hardly find any fish in the rivers now. The
juvenile shrimp are caught using a very fine net. These nets also trap
juvenile fishes which are then discarded in the land. Loss of juvenile fish
has affected the fish population to a great extent.
v. Increased use of pesticides: Driven by the market need, the use of the
chemical is uncontrolled in the region. Farmers use chemicals, most of
which have already been banned in many countries due to its health
hazards. The effluent from the shrimp farm has risked the health of the
local people.
vi. Increased rate of crime: As the workers in the shrimp farm are mostly
immigrant, they have the least responsibility toward the community. The
crime rate in the Khulna has also increased due to the Shrimp farming.
vii. Conflicts: There is a long battle between the local habitants who have
lost their lands and occupations to the powerful shrimp industry.
Source: Link TV. (2005, Jan 5) & Environmental Justice Foundation.
(2014, Aug 14).
2.3.2.2 Creation of a Resource Sink
The opportunity cost of aquaculture development must also be evaluated as a

significant amount of capital and labor is required. The failure in the market can
adversely impact the rural areas where the aquaculture is more concentrated and
have the least adaptive capacity. Thus, a careful evaluation is needed under the
existing economic and resource potential to evaluate aquaculture in terms of long-
term profitability. Lack of planning and management can lead to a resource sink,
which implies low resource and labor productivity. One of the examples is the
aquaculture development in the Sub-Saharan Africa where nearly 100 million USD
was invested, however, little benefit was generated from it (Neiland et al. 1991).
2.3.2.3 Loss of Traditional Occupation‟s
As aquaculture creates new job employment opportunities, traditional occupations

are also lost in the process. It leads to loss of traditional skills that were sustainably
utilized for income generation. Switching jobs to more income generating activity
are economically sound but can be vulnerable to the „Boom and Bust Cycle.1 Any
possible market failure of aquaculture will not only result in the loss of jobs in
future but will also result in loss of capability to revert back to the traditional jobs.
Thus, aquaculture can have an impact on the traditional values of the societies as
well.
1
Boom and bust cycle: It is a process of economic growth and contraction, which occurs frequently
and is the key characteristic of capitalist economies. Boom phase of the growth creates numerous
job opportunities while the bust phase of the cycle collapses these jobs.
2.3.2.4 Health Hazards
The aquaculture industry is associated with many occupational hazards which are
found more prominently in developing nations due to lack of policies. Further to
highlight 87% of the aquaculture production is done in developing nations (Waite
et al. 2014), which imply only a small or negligible portion of the aquaculture can
be regarded as complying with proper occupational safety measures. As aquaculture
uses several chemicals (pesticides, inorganic fertilizers, antibiotics, etc.) for the
growth of the stock, aquaculture practitioners are more prone to the potential
detrimental effects of it. Labor are more vulnerable to the skin diseases, respiratory
diseases (asthma, bronchitis, etc.) and allergies. Further, long-term and chronic
diseases are being attributed to the aquaculture (Erondu and Anyanwu 2005). The
wastewater generated from aquaculture if not properly treated can also potentially
cause a threat to the local communities.
2.4 Environmental Impacts of Aquaculture
Previously aquaculture was considered too small an industry to have any significant
impact on the environment. However, the remarkable growth of the aquaculture
industry in many countries (China, Vietnam, Thailand, Indonesia, etc.,) over the
past decades has also increased the adverse impact of it on the environment.
Aquaculture focuses on growing stocks beyond the environmental carrying capacity
by the use of inputs like fertilizers, antibiotics, pesticides, etc. which negatively
impacts the ecology. In such systems resources are pumped in, used up, and
pumped out in a linear fashion, rather than being recycled. This leads to accumu-
lation of wastes in the recipient ecosystems, often causing severe and irreversible
environmental problems. Aquaculture technology/practice requires high inputs of
protein and phosphorus diets, and a high rate of water exchange. A large portion of
nutrients becomes waste, which is then directly discharged to the surrounding
waters causing rapid deterioration of water quality.
Some of the environmental impacts caused by the aquaculture are discussed
below. However, the nature, magnitude, and significance of these impacts varies
according to the species cultivated, intensity of the farm, carrying capacity, the
geography of the farm, etc.
Socio-Economic and Environmental Impact of Shrimp Farming

Most of the shrimp production (55%) is through the aquaculture (WWF
2016). As shrimp farming is profitable, intensive aquaculture methods have
been adopted to increase the yield of the shrimp. Menasveta and Fast (1998)
estimated the production level of the intensive shrimp farming to be greater
than 6000 kg/ha/yr which was found to more than the semi-intensive (600–
1800 kg/ha/yr) and extensive (100–300 kg/ha/yr). However, the use of
intensive shrimp farming techniques has double the environmental impact

when compared with the less intensive system (Cao et al. 2011). Some of the
environmental impacts of the intensive shrimp farming are as follow:
i. Loss of lands: Marine shrimp aquaculture leads to the loss of lands. It
has caused the loss of thousands of hectares of mangrove and wetlands.
Moreover, it causes soil acidification as the waste of the shrimp is
dumped to the land.
ii. Destruction of other juvenile species: During the harvesting of the
shrimps, often juvenile shellfish, shrimps, finfish, macrozooplankton
animals are caught which disrupts the ecosystem. It disturbs the entropy
of the eco-system causing biodiversity loss and reduction of the food for
other species in the food chain.
iii. Impacts of excessive feeding: Shrimp farming often excessively use the
nutrients (fertilizers) to naturally grow the food for the shrimp or uses
supplemental feeding. Utilized nutrients, feed, and excreta in the shrimp
farm increases the nutrient loading, reduces oxygen in the pond water
supplies and increases the sedimentation. This wastewater discharge
from such pond can cause eutrophication and death of animal and plants
in the receiving water bodies.
iv. Impacts due to the chemical dosing: Various chemicals are used
during the shrimp farming to control the pathogens causing diseases.
These chemicals contaminate the surrounding environment, as well as
negatively affect human health. Excessively used antibiotics can also
make the disease more resistance to the antibiotic causing more problem
in its treatment in the future.
v. Ground water depletion: Shrimp farming uses a lot of fresh water to
maintain appropriate salinity level for the shrimps. The aquifer used for
this purpose becomes vulnerable to drying out causing the risk of salt-
water intrusion in the ground water source.
vi. Abusive land seizure: Shrimp farms are often associated with human
right issues like the seizure of land without any compensation. Land
encroachment by powerful companies has jeopardized the traditional
farming practices to the risk of extinction and has left many farmers
landless. Shrimp farming is often done in coastal areas where no formal
land rights exist.
vii. Labor right violation: Shrimp farms often pay very low wages to the
laborers to maximize their profit and labor rights are always violated. In
developing nations, the issue of human trafficking is commonly seen in
shrimp farming due to weak governmental policy.
2.4.1 Loss of Mangroves Areas
Mangrove forest destruction is one issue at the forefront of environmental concerns in

tropical areas. Lack of ownership supported by policy gaps leads to these lands being
exploited for the aquaculture by small farmers, which majorly includes the shrimp
farmers. Mangrove ecosystem is a reservoir, refuge, feeding ground and nursery for
many useful plants and animals. Several tropical countries have lost extensive man-
grove areas due to clearing and conversion to fish and shrimp ponds (Barg 1992). In
Thailand, 16–32% of the total loss of mangrove between 1979 and 1993 was attrib-
uted to shrimp farming alone (Dierberg and Kiattisimkul 1996). The mangrove areas
are important for the sediment and coastline stabilization, trapping of water, providing
habitats and food for animals hence destruction or alteration of the mangroves leads to
the adverse impacts to the benthic communities, microbial flora, phyto- and zoo-
planktons and other wild fish stock, and animals (Rosenthal 1992). Moreover, the
reclaimed mangrove area is acidic in nature. Jayasinghe (1995) reported that oxidation
of pyrite (FeS2) occurs during pond-bottom drying which results in the release of
sulfuric acid into the pond water and adjacent water bodies causing acidification and
generation of highly toxic soluble aluminum phosphate.
2.4.2 Intensive Water Uses and Pollution
Aquaculture is water-intensive sector and uses a lot of water which is then polluted
by the usage of chemicals. Waite et al. (2014) estimates that in 2010 the usage of
freshwater in the aquaculture industry was 2% of the global agricultural water
consumption.
2.4.3 Impacts of the Chemical Waste
The use of chemicals in aquaculture is obvious due to the high market demand for
it. Chemicals are important for aquaculture industries to ensure the high yield of the
stock. Some of the commonly used chemicals in the aquaculture are shown in
(Table 2.2).
These chemicals increase the chemical waste causing various impacts in the
ecosystem (Fig. 2.3). Commonly used chemicals in aquaculture are formalin,
malachite green, potassium permanganate, copper sulfate, medicated feed, and local
herbs. Aquaculture also causes water pollution as discharges consist of excess
nutrients, fish waste, antibiotic drugs, pesticides, hormones and inorganic fertilizers.
These pollutants affect the entropy of the natural aquatic habitat, leads to eu-
trophication in the nearby water bodies and cause diseases in the natural species. It
increases mortality in the endemic species and also causes sub-lethal effects.
Table 2.2 Different type of chemicals used and its impacts

Types Example Environmental impact
Fertilizers Chicken manure, animal manure, Eutrophication and damage to benthic
ammonium phosphate, urea, solophos population
Soil and Alum, EDTA, lime, zeolite, gypsum Sediment contamination
water
treatment
Disinfectant Sodium or calcium hypochlorite and Localized biological effects
chloramine, benzalkonium chloride
(BKC), formalin, iodophores, ozone
Pesticides Saponin, rotenone, ammonia, Affects the local ecosystem where the
and gusathion, Sevin, organophosphates, wastewater is discharged; Death of
herbicides organotins, carbaryl, ivermectin non-targeted species: occupational
hazard
Antibacterial Nitrofurans, phenicols, erythromycin, Increased resistance in the pathogen;
agents chloramphenicol, oxolinic acid, Sediments contamination; Transfer to
sulphonamides, tetracyclines, the endemic species and benthic
quinolones environment
Other Formalin, acriflavine, malachite Long-term exposure to it is
therapeutants green, methylene blue, potassium, carcinogenic; Affects health of
copper compound, permanganate, workers and consumers
Trifluralin
Feed Immunostimulants, preservatives and Not known
additives anti-oxidants, feeding attractants,
vitamins, carotenoids, ethoxyquin
Anesthetics Benzocaine, quinaldine, metomidate, Used in limited amount hence least
carbondioxide environmental impact
Hormones Corticosteriods, anabolic steroids, Consumer health risk
growth hormones, serotonin
2.4.4 Saltwater Intrusion
Aquaculture farming can potentially lead to the saltwater intrusion in the nearby
freshwater sources. The impact is generally caused by the pond type of aquaculture
practice, which commonly occurs in the mangrove zones. These areas are affected
by surface and subsurface salt-water intrusions generated by the aquaculture ponds.
This may lead to changes in the salinity of the freshwater supplies used for irri-
gation and potable water sources. (Dierberg and Kiattisimkul 1996). Intensive
Shrimp farming has been strongly related to the declining health of farmers due to
the salt water intrusion in the drinking water source in Bangladesh (Joanna 2016)
Fig. 2.3 Impacts of chemical

waste from aquaculture
Chemical
Chemical
Waste
2.4.5 Effluent and Sediment Management
Sediment management in the pond culture is an environmental issue as improper

management can lead to deterioration of ecosystem. The bottom of the pond is
usually constructed with fine subsoil, which is impervious in nature. As the water is
added for the cultivation, sediment formation is inevitable due to sedimentation of
uneaten food, excess nutrients, excreta from stock, dead phytoplankton and zoo-
planktons, dead stocks, inorganics added etc. The accumulation of the sediments in
the bottom of the ponds causes trapping of feeds and creation of anaerobic zones
which results in the death of benthic organisms, increased pollution load in the
discharged effluents, etc. Thus, the sediments are removed periodically from the
pond and the frequency of cleaning varies with the type of the species cultivated.
Accumulation of the sediments in the shrimp farming is substantial and was
reported to be 157–290 tons/ha in Thailand (Boyd 1992) and Senarath and
Visvanathan (2001) reported 5–10 cm of sediments disposal for Sri Lanka.
Disposal of accumulated sediments leads to increased nutrient loads to the
discharged water bodies as these pond wastes are often drained in the process of
sediment cleaning. The sedimentation unit, which functions to collect sediments
might not be present as it requires land and money to operate. These effluents affect
the local ecosystem. The treatment and disposal of the sediment is a costly process
thus avoided by farmers as environmental laws and regulations of pond culture is
more often least monitored in developing countries. Recirculation system (Fig. 2.4)
that can treat the effluent with biological and physical treatment process and reuse
the treated effluent back to the system has also gained popularity over past decade.
Pump Screen
Screen
Reservoir Internal canal Pond
Natural Input
Waters Fertilizers, Chemicals, Supplemental Feed
Antibiotics, Vitamins,Harmones
Sedimentation Unit Outlet Canal
Fig. 2.4 Water management approach using recirculation of water
2.4.6 Consumer Health
The chemical fertilizers, lime, flocculants, algaecide, disinfectants, and

chemotherapeutics are widely used in aquaculture and are persistent in nature. They
are considered to be hazardous from the perspective of food safety as some of these
compounds are biomagnified (Erondu and Anyanwu 2005). These compounds
might have a detrimental effect on the consumer‟s health.
2.4.7 Introduction of Non-endemic Species Causing

Ecological Imbalance
Non-endemic/exotic fish from the farm can escape from the aquaculture facilities
and cause a threat to the endemic species. In Norway from 2001 to 2009,
3.93 million Atlantic salmon, 0.98 million rainbow trout and 1.05 million Atlantic
cod was estimated to have escaped from the farm (Jensen et al. 2010). These
juvenile, as well as adult fishes, are lost from the aquaculture through holes in the
nets and operational errors. These fish can breed causing genetic impact in the
adaptive capacity of the endemic/wild species (Thorstad et al. 2008). The offspring
from such breeding has been found to be less adaptive to the environmental
changes. Interbreeding between the farm and wild stock may lead to the reduction
of the population of fish or lead to the extinction of the vulnerable groups (Naylor
et al. 2005). It can also outcompete the endemic species. Thus, a huge ecological
imbalance can also be associated with the escaped fish from the farm as it leads to
competitive interactions for food and affects the levels of food availability.
Environmental advantages of Finfish over other meat sources

Finfishes are capable of converting more of the product they eat into edible
products. Thus, the efficiency of the fishes is high when compared to other
animals like beef, pork and chicken as illustrated in Figs. 2.5 and 2.6. Finfish
can convert the feed with 30% efficiency while the beef, pork, and chicken
with 5, 13 and 25% efficiency. Beef requires 31.7 kg of grain to produce 1 kg
of the edible product while the finfish on average requires only 2.3 kg to
convert into 1 kg of edible product. Moreover, the edible portion of the finfish
is higher than the other livestock which makes it easier from the perspective
of waste management. Fish being cold blooded animal spends very less
energy to maintain its body temperature compared to the warm-blooded
livestock, hence, the feed can be utilized more efficiently.
Livestock also causes higher environmental emission than finfish with the
exception of poultry. As illustrated in the Fig. 2.7 beef has the highest
nitrogen and phosphorus emission followed by pork. Finfish and chicken
have the lowest nitrogen (360 and 300 kg/ton protein produced respectively)
and phosphorous emission (48 and 40 kg/ton protein produced respectively).
Fig. 2.5 Protein efficiency

(%) of various meat sources.
Data source Hall et al. (2011)
5%
13%
25% 30%
Beef Pork Chicken Finfish (average)
Fig. 2.6 Food conversion in

kg feed/kg edible weight of
various meat sources. Data
source Hall et al. (2011)
4.2 2.3
10.7
31.7
Beef Pork Chicken Finfish (average)
1200
1100
1000
900
Kg/ton protein produced
800
700
600
500
400
300
200
100
0
Beef Pork Finfish (average) Chicken
Nitrogen Emission Phosphorous Emission
Fig. 2.7 Nitrogen and Phosphorous emission of various meat source. Data source Hall et al.
(2011)
2.4.8 Spread of Diseases from the Aquaculture
Aquaculture is also one of the potential threats to the transfer of diseases to the
surrounding environment. Uncontrolled aquaculture, intentional or unintentional
management errors, lack of knowledge about the disease, etc., might be the factor
contributing to the outbreak of disease. The additional absence of buffer zone
around the open aquaculture system like sea-cage attracts much wild fish due to the
availability of the food which can lead to the transfer of diseases like sea lice to the
native species. Escaped fish from the farm cages can also act as a vector for diseases
and parasites. Moreover, the risk of transmission of the disease is high for the
intensive type of aquaculture due to high stock density (FAO 2014a) and since the
world aquaculture is trending toward the intensive aquaculture system, driven by
the market demand, more disease can be predicted to be transferred under normal
circumstances. As the aquaculture products are traded from one country to another,
the disease can also be transferred from one country to the other like
Haplosporidium nelsoni in the Pacific oysters was unintentionally transferred from
Japan to eastern oysters in the United States (Burreson et al. 2000) and the Sabellid
worm was transferred from South African Abalone to the Californian Abalone
(Kuris and Culver 1999).
2.4.9 Greenhouse Gas Emission
Greenhouse Gas Emission Activity such as energy use to maintain water level and
quality, production of feed, transportation, processing of the aquaculture, packaging
of the products, disposal of the waste, etc., cause greenhouse gas emission in
aquaculture (Waite et al. 2014). Although a small fraction of the GHG emission is
attributed to aquaculture, but with the raising aquaculture production and increasing
concerns about the climate change, the significance of the impact can be considered
to be high. Aquaculture production in 2010 emitted nearly 332 million tons of
carbon dioxide equivalent (CO2e) which is about 5% of emissions from agricultural
production and less than 1% of total global anthropogenic emissions (FAO 2014a,
b). Another potential source of GHG is related to the land use change associated
with the mangrove forest. The degradation of the mangrove forest ultimately leads
to the loss of carbon sink. The evolution of aquaculture toward intensive system
will also add the GHG emissions as the intensive systems need more energy to
operate than the semi-intensive and extensive system.
2.4.10 Fishmeal Trap: Added Pressure to the Fisheries
Sustainable aquaculture demands sustainable feeds but the raising concern for the
aquaculture industry is the culture of carnivorous species like Salmon, which further
add pressure to the wild fisheries for fishmeal2 and fish oil. As the aquaculture industry
expand the fishmeal and fish oil will be scarcer because as discussed earlier, capture
type of fishing has already reached its saturation point and can no longer expand and a
significant portion of the wild fish captured are the ones (small bony fish) utilized for
the fishmeal. The sustainability of such farming is also questionable as about 6 kg of
wild fish are required to produce 1 kg of the farm fish (Schipp 2008). Thus either a
sustainable feed (alternative to the current fishmeal and fish oil) or the aquaculture of
the herbivorous breed is required for sustainable aquaculture. The opportunity cost of
these captured fish could be high for the wild fish productivity.
2.5 Assessment of Impacts
Impact assessment is one of the key processes of the SEEA. It requires the
involvement of experts and stakeholders. The hired experts/consultant/practitioner
also needs to be unbiased in impact identification. Different methods can be used to
2
Fishmeal, which is derived from wild capture is the processed meal for the aquaculture carniv-
orous fish. It is majorly processed from fresh wild captured small, bony/oily fish and a small
fraction is processed from the other fish trimmings (or fish waste). These kind of captured fish and
by-products are not suitable for direct human consumption.
identify the impacts. Methods used depend on the experience of the consultant hired
and also depend on the size, location and nature of the project. However, the
method used must be simple and easy to interpret as a different level of decision
makers will be later involved in the decision-making process. Some of the com-
monly used methods are the matrix, checklist, network, mathematical modeling,
stakeholder consultation, expert judgment, etc. Some of the specific methods
involved in the impact identification of the aquaculture project are as follow.
2.5.1 Stakeholder Analysis
Stakeholder analysis emphasizes on the individual interest of the stakeholders.

Stakeholders that might be involved in an aquaculture project are governmental
agencies, business associations, non-governmental agencies, community bodies,
community leaders, religious bodies and local residents. This analysis helps to
understand and anticipate the role and impacts of stakeholder with the introduction of
the project. Figure 2.8 is a form of stakeholder analysis, which includes different
stakeholders who has better understanding of the local environment. This kind of
analysis not only helps to explore the impacts and its causes, but it also helps
understand stakeholder interest to some extent. Since, aquaculture involves activities
and actions that need to use the natural resources of the community, key stakeholders
and their role (positive or negative) need to be understood. Stakeholder analysis
identifies both the beneficiaries and affected groups and focuses on the active group
(who have an economic interest in the project) of stakeholders as they can affect the
project. Stakeholder analysis identifies their interests, examines the conflicts and
explores trade-offs (Cordell et al. 2009).
Land Use Inputs

Aquaculture farms Nutrients (Fertilizers)
Changes in fauna and flora
Roads, villages Pesticides
Loss of biodiversity
Land reclamation Antibiotics
Loss of endemic species
Unintentional bacteria Loss of breeding grounds
Heavy metal
Water Use of fish and wild shrimps
Fe and Al
Changes in Water flow rates Loss of income for fishing
Nitrogen and Phosphorous
Changes in flooding communities
Cl2by-products Floods
Changes in sediments siting Fecal pollution
Prolong retention of floods
Water Inundation of paddy fields
Quality High turbidity in water
Erosion
Population Growth Accumulation of organics
Changes in physical and
Food and Energy Demand matter
biological environment
Causes Changes Impacts
Fig. 2.8 Pollution aspects of the mangroves and the salt marshes generated from stakeholder
analysis in Puttalam Lagoon and Dutch Bay, Sri Lanka due to shrimp farming. Reproduced from
Senarath and Visvanathan (2001)
2.5.2 Rapid Rural Appraisal and Participatory Rural

Appraisal
Rapid rural appraisal (RRA), and participatory rural appraisal (PRA) is a tool to
promote sustainable development and is widely used in sustainable aquaculture and
fisheries. This technique facilitates the interaction between stakeholders, research-
ers, and planners to exchange information and opinions. With the use of maps,
matrices, details of past events, etc., brainstorming exercises are carried out to draw
project impact and appropriate solutions to it. RRA and PRA technique ensures the
incorporation of impact identified or predicted by the public. In addition, it also acts
as a tool to generate mitigation measures from the public and provide them the
opportunity to be involved in the decision-making. This planning process also helps
to gain public acceptance and additionally RRA and PRA is an effective tool to
utilize the local knowledge in the decision-making process.
2.5.3 Remote Sensing and Geographic Information System
Remote Sensing (RS) and Geographic Information System (GIS) have been widely
used in the environmental and socio-economic analysis of the baseline information
in sustainable aquaculture planning. However, there are plenty of limitations
associated with the use of RS and GIS as it is a more costly process. In this
scenario, PRA and RRA can be a more effective mechanism for planning aqua-
culture projects.
2.5.4 Environmental Capacity and Limit to Change
Environmental capacity also referred to as absorptive capacity or assimilative

capacity is the ability of the environment to accommodate a particular activity
without any unacceptable impact (GESAMP 1996). In relation to the aquaculture,
environmental capacity can play a crucial role in defining the rate of nutrition
addition and organic flux. Nutrition addition causes eutrophication while the
organic flux can be associated as the limiting factor to the benthic process. Excess
feed and organic waste affects the benthic organisms and must be considered.
Evaluation of environmental capacity helps in the assessment of the cumulative
impacts. This analysis is also useful to calculate the sustainable aquaculture pro-
duction rate. In addition to being an important tool for the technical parameters like
farm size, population size, and carrying capacity can also be applied to more
regional issues like an ecosystem and watershed management (Byron and Costa-
Pierce 2013).
Estimation of environmental capacity is expensive and to be cost-effective

preliminary scoping about the impacts relevant to the type of aquaculture and
technology must be performed. For example, shellfish breeding causes reduction of
phytoplankton while the finfish cultivation will cause nitrogen, phosphorous and
organic matter pollution. Environmental capacity can be calculated using various
models. It has been used to evaluate: impacts caused by phytoplankton‟s by bivalve
cultivation, the impact of nitrogen inputs from salmon cultivation, impact of
organic matter input to seabed‟s, impact of organic matter input to benthic popu-
lation, etc.
2.6 Identifying Mitigation Measures
One of the main purposes of the SEEA is to propose mitigation measures based on
the social and environmental condition of the project area. Hence, it is not necessary
that the mitigation measures appropriate for an area be appropriate for another area.
The identified impacts can vary in nature as some impacts are beneficial (e.g.: the
creation of jobs to local people) while some are adverse (e.g.: loss of biodiversity
due to eutrophication). The mitigation measures focus on either enhancing the
beneficial impacts or mitigating the adverse impact with the principle of avoiding
first, then reduce, then propose remedy measures and if nothing is possible to
mitigate by compensation.
The identified mitigation measures should be an integral part of the project
approval and must be implemented during different phases of the project to mitigate
the project impacts. Usually, the mitigation measures are incorporated in the
contract/terms of condition documents so that it is implemented during the plan-
ning, construction and operational stages of the aquaculture. Some of the mitigation
measures that can be taken at different stages of the aquaculture are presented in
Table 2.3.
2.7 Monitoring
Monitoring is an important step involved in the socio-economic and environment

assessment. As the sustainable or environmentally friendly practices are adopted it
becomes necessary to monitor the adopted measures and the effectiveness of it.
Monitoring is done with the following aim:
• To ensure that the mitigation measures adopted are incorporated in the project
design and in the tender document
• To keep the record of the changes, that follows after the execution of the
projects
• To ensure the achievement of the targeted standards
Table 2.3 Presents the impacts that commonly occurs in different stages of aquaculture and the
potential mitigation measures that could be taken
Project activity Impacts Mitigation measures
Site selection
Conflicts with existing Competition for the use of Adoption of relevant land uses
site users resources planning
Consultation and mutual
agreement with the beneficiaries
Change in livelihood Rise in social conflicts Participation of local people in
of the local aquaculture projects
inhabitants
Ecologically sensitive The potential loss of Consideration of sensitive zones
site in the project area biodiversity during the site selection with
demarcation integration of aquaculture into
integrated coastal zone
management (ICZM)a
Physical demarcation of
ecological sensitive zone and
inclusion of it in the
management plan
Natural hazards like Destruction or damage to the Consideration of catastrophic
typhoons, flooding, aquaculture‟s physical facilities events during site selection
hurricanes and loss of harvest Designing of climate-resilient
structures
Effluent generation Deterioration of water quality Consideration of carrying
from aquaculture causing reduction/loss of capacity as a key parameter
production during evaluation of appropriate
site (Alternative analysis can be
done to select the appropriate
site)
Adoption of ICZM to keep the
water pollution within the
carrying capacity
Disease in the fish Loss of harvest, loss of Expert consultation
production and possible Nearby farm survey for the
infection to the nearby detail information regarding
indigenous wild fish types, frequency and occurrence
of the disease to develop
preventive measures for the risk
avoidance
Planning of risk management
strategies to reduce risk before
the operation of the project
(continued)

Design of the farm
Project design of the Lack of experience and poor Proper design of the farm with
farm understanding of the project proper consultation (public and
components can result in expert)
negative environmental impacts Designing with the principles of
sustainability
Construction
Change in Raise in social conflict Public involvement in all the
socio-economic stages (planning, design,
condition operational) of the project
Priority to local employment.
Enhancing the opportunity of
locals by capacity building and
training
Use of natural Hampers traditional occupation Locate the site away from the
resources in the traditional users
project area Create and monitor buffer areas
between farm and other users
Construction and Deterioration of aesthetic Siting the farm away from the
operation of physical beauty in project area local inhabitant
facilities in the project Adoption of designs and
area technology like low profile
cages which minimize the uses
of unsightly structures
Considering local architecture
while constructing physical
facilities
Construction of Various environmental impacts Built it with standard
aquaculture farm due to poor construction engineering and construction
practice practice
Disturbance to the wildlife and Maintenance of buffer zone and
benthos ecosystem during minimizing the construction
construction disruption to the construction
area only
Farm operation and Adoption of „Best Management
management Practice‟ and ecolabel schemes
Solid waste disposal Impacts on benthos wildlife due Collection and safe disposal of
to decreased oxygen level the non-organic solid waste
materials
Wastewater/effluent Deterioration in water quality Adopting best management
discharge level of the streams where practices available
effluent is discharged causing Efficient feeding practices
impact to the population of (optimizing the quantity of fish
other species food)
Locating farm in the area with
adequate tidal flow
(continued)

Use of chemicals Possibility of negative effects on No use of chemicals or avoid
worker‟s health the use of chemicals
Use of safety measures by
workers
Decrease in quality of the Avoid or minimize the use of
product due to deteriorated chemicals
water quality Adoption of preventive
management system
Rearing of exotic or Escape of farmed or exotic Development of hatcheries
farmed stocks species can have negative Designing the farm to avoid any
impact on the ecosystem as well escapes
in the gene of wild stocks
Designing the farm to be
resilient to natural damage (e.g.
strom)
Introduction of exotic species
following the Code of Practice
of ICES/FAO (Turner 1988)
Outbreak of disease Impact to the endemic species Preventive management system
due to the dispersion of disease Regular monitoring of the water
and harvest
Sanitary disposal of the dead or
infected harvest
Occurrence of natural Loss of harvest Preventive approach against the
events like storm storm
Developing strategy to deal
with the occurrence of unlikely
events
Routine monitoring and
maintenance of nets, mooring,
etc.
Climate resilient design,
technology, and practice
Interference of Decline in productivity of the Consideration of predators and
predators and wildlife aquaculture wildlife during site selection
The introduction of relevant
management plans to cope with
it. Eg. double net
a
The European Commission defines ICZM as “a dynamic, multidisciplinary and iterative process
to promote sustainable management of coastal zones. It covers the full cycle of information
collection, planning (in its broadest sense), decision making, management and monitoring of
implementation. ICZM uses the informed participation and cooperation of all stakeholders to
assess the societal goals in a given coastal area, and to take actions towards meeting these
objectives. ICZM seeks, over the long-term, to balance environmental, economic, social, cultural
and recreational objectives, all within the limits set by natural dynamics. „Integrated‟ in ICZM
refers to the integration of objectives and also to the integration of the many instruments needed to
meet these objectives. It means integration of all relevant policy areas, sectors, and levels of
administration. It means integration of the terrestrial and marine components of the target territory,
in both time and space”
• To measure the accuracy of the predicted impact

• To monitor the effectiveness of the mitigation measures adopted and to provide
scope of adopting better adaptive measure through the feedback mechanism
• To provide data for environmental audit
• To maintain the threshold set by the project which is often guided by govern-
mental standards and policies
• To identify, measure and mitigate unanticipated impacts.
In addition to targeting minimum environmental impact monitoring also pro-
vides scope to increase public acceptance. Through regular and systematic moni-
toring activities, the project will have minimum impact on the social and
environment component of the project area which will reduce the chances of social
conflict.
Some of the methodologies used in monitoring are shown in Table 2.4.
Selection of monitoring parameters needs to be chosen considering various
factors like legal standards, nature of the impacts identified initially, the technology
used for the culture, species grown, etc. Monitoring parameters should also consider
quantifying the positive impact in addition to the negative impacts.
2.8 Environmental Certification to Sustainable

Aquaculture
Over the past decades, the use of market-based management approaches like codes
of conduct, best management practices, eco-labelling and certification which targets
both the aquaculture and capture type of fishing has grown. These voluntary
approaches target both the socio-economic and environmental aspects of the fishery
industry. As the regulatory approaches have a high implementation, monitoring,
and enforcement cost (USAID 2013) voluntary approaches can be considered a
cost-effective means to achieve sustainable targets.
Codes of conduct refer to the guideline that incorporates the socio-economic and
environmental aspects and is designed to minimize negative impacts, ensure safety,
increase benefits and optimize production. Adoption of these best management
practices are voluntary in nature, however, efforts are given at national level to
advocate the benefits of it.
Certification and Ecolabelling are another widely used voluntary method, which
targets to disseminate information for the consumers to make the appropriate
decision. The certifications and ecolabel required a set of criteria to be fulfilled and
these criteria focus on making the product environmentally and socially sound.
These ecolabels on the product help consumers to make purchasing of the envi-
ronmentally friendly products and allows the consumers to create demand for
sustainable goods. In developed regions such as North America and Europe where
green consumerism has flourished, greater demand for the certified aquaculture
products is observed at the supermarkets and restaurant chains (Waite et al. 2014).
Table 2.4 Monitoring methods

SN Methodology Monitoring components
1 Walkthrough survey General overview of the changes compared to
the baseline scenario
2 Questionnaire survey, key informant Social conflicts, economic status,
interview, secondary data collection, environmental problems, etc.
etc.
3 Video survey Approximate sediment thickness; sediment
color; sediment consistency; surface
consolidation; gas bubbles; presence of feed
and feces; macro-fauna/flora; presence of
detritus and fouling organisms
4 Sediment sampling Solids deposited in the core due to the
aquaculture
5 Water quality sampling Water quality parameters (often according to
the governmental standards) Eg: Redox, pH,
DO, TVS, TDS, TOC, Zn, Cu, etc.
6 Sampling of various components Biophysical characteristics, microfauna
abundance
7 Modeling (Models like DEPOMOD Area of maximum impact from culturing
can be used) operation
8 Echo sounder monitoring Bathymetric profile
9 Visual inspection Disease, vectors, fungus and others that can
cause disease leading to loss of productivity
of the harvest
Thus, aquaculture also gains an advantage by increasing the marketability of the

product by adding value to the quality of the product. Some of certifications and
ecolabel for the aquaculture are:
I. Aquaculture Stewardship Council (ASC): ASC ecolabel certifies the farmed
seafood that has taken measures to reduce the environmental damage. In
addition to demonstrating environmental responsibility, the aquaculture also
needs to demonstrate social responsibility toward the workers to be certified
by ASC.
II. Marine Stewardship Council (MSC): MSC certification was initiated by
WWF and Unilever in 1997 and is an independent body that certifies the
sustainability of the industry. The industry has to undergo the MSC auditing
process and comply with all its standards to obtain the certification to use its
ecolabel. The use of MSC ecolabel certifies that the aquaculture industry
linked to the product has adopted sustainable and responsible practices.
III. The EU Eco-label: was launched in 1992 by the European Commission with
the motive of developing a Europe-wide trustworthy labeling scheme that
consumer could believe to have minimum environmental stress. As of
September 2015, it had 44,771 products and 2031 services licensed under it
(European Commission 2016). The licenses give companies the right to use
the EU Ecolabel logo on their product group. Aquaculture products with EU

eco-label in the European market have more demand than the other.
IV. Best Aquaculture Practices (BAP): BAP ecolabel is commonly used for the
shrimp farm and hatcheries and seafood processing plants. The use of BAP
ecolabel reflects the standards that are specifically directed toward the pro-
tection of biodiversity and workers right.
The use of ecolabelling can reflect the sustainability of the industry, the market
for sustainable goods is also an important component for its success. As the
majority of the aquaculture production and consumption occurs in developing
countries (Eg. China, Thailand, Vietnam, Indonesia, etc.,) the demand for the
sustainable aquaculture product is low. Currently, the private ecolabelling schemes
only certify 5% of the global production (Bush et al. 2013).
With the increasing demand, aquaculture has provided new means to increase the
aquatic products, which have reached its saturation limit in nature. Over the past
decade, the aquaculture industry has kept expanding and has over-exploited at
socio-economic and environmental cost. Aquaculture production is now focused on
increasing the yield at the lowest possible cost to be competitive in the market. This
has driven the aquaculture industry to a more intensive system with more impacts
related with it. This trend tends to neglect the environmental and socio-economic
aspect, which forms the pillar of sustainable development.
The competitive market, market demand for low price products and overly
ambitious aim of the producers to maximize the profit are the constraints to the
sustainability of this industry. Apart from the benefits such as increased jobs, food
security, increased trade, etc. aquaculture leads to several adverse socio-economic
impacts like loss of traditional occupation, social conflicts, food safety, etc. It also
has environmental cost as it pollutes the nearby environment, hampers wild fishes,
spreads diseases, and causes genetic variation in the ecosystem. These impacts vary
geographically and according to species cultivated and technology used. It further
depends on the intensity of the farm. Thus, it is necessary to identify these impacts
and take necessary mitigation measure with strong management practice.
SEEA can act as an important mechanism to achieve the sustainability of
aquacultures. Moreover, as the intensive aquacultures are predicted to grow in the
future, SEEA will play a more vital role. Sustainable aquaculture might need a little
more effort and spending but it could be a viable option to ensure long-term
profitability of the industry.
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Chapter 3
Sustainable Fishing Methods in Asia
Pacific Region
Sudath Terrence Dammannagoda
Abstract After the Second World War, marine fishery industry was developed to a
commercial industrial fishery by war torn countries to boost their economies. As a
result, compared to traditional pole and line fishery, much larger fishing gears such
as trawls and purse seines, and much larger and more powerful fishing vessels were
built, and deployed to traditional fisheries grounds in the southern hemisphere.
Although this led to an increase in the global marine catch in several folds, many
fisheries around the world, however, have collapsed and depleted due to the over
effort and overexploitation. Further, many marine resources have been destroyed as
non-targeted by catch by ill-designed industrial scale fishing gears such as bottom
trawls and purse seines. World-wide annual marine bycatch is around 27 million
tonnes, and for bottom trawls 66–93% of the catch consists of bycatch while this is
64–79% for purse seine. Moreover, benthic marine environment around the world
has been affected drastically by the bottom trawl fleet. Today, reduced industrial
commercial fleet, and tough fishing regulations in developed countries have made a
considerable progress towards reducing the fishing effort and hence the reduced
bycatch and discards. Although modifications of industrial bottom trawls and purse
seines have made a progress in reducing the bycatch to a certain extent, these
fishing gears are fundamentally unsustainable. Customer interest on „sustainably
caught‟ fish and hence marine stewardship is increasing in developed countries. To
this end, pole and line fishery should be propagated around the world as one of the
best sustainable fishing method. Also, Ecosystem based fisheries management and
small scale regional fisheries management should be the future approach in fisheries
management as local knowledge on the local marine ecosystem can be used
together with the participation of local fisher folks.
Keywords Sustainable fishing · Industrial fishing · Gear selectivity

·
By catch Quota policy
S. T. Dammannagoda (&)
School of Biomedical Sciences, Griffith University, Gold Coast Campus,
Parklands Dr, QLD 4215 Southport, Australia
e-mail: t.dammannagodaacharige@griffith.edu.au

96 S. T. Dammannagoda
3.1 Introduction
For thousands of years, marine fisheries have been the main livelihood for indi-
viduals residing in coastal countries around the world. By the year 2012, as an
example, there were an estimated 39 million fishers of capture fisheries around the
world, with 84% of them living in Asia, followed by Africa, and Latin America and
the Caribbean (FAO 2014). Taken together, these figures suggest that around 163
million people (5 members per family on average) rely on fishing as their primary
source of income in coastal Asian countries.
In the coastal population around the Indian Ocean especially, marine fish has
typically been the main animal protein source. For example, explorer Ibn Batuta
wrote in his travel records that even in the early 14th century, tuna fishing was a
lucrative industry in the South Asian coastal countries. Thus, it is evident that these
fishing communities have been practising sustainable fishing for thousands of years
while attaining their animal protein requirement and main source of livelihood. The
world‟s marine fishery production in 2011 was 93.7 million tonnes, which shows a
general declining trend since 1996. The largest marine fish production which
accounts for 70% of total global marine fish production is from the Pacific, which is
over 84 million tonnes. The highest capture fishery was recorded from Northwest
Pacific with 21.4 million tonnes (26% of global marine catch), followed by the
Southwest Pacific with 12.3 million tonnes (15%), the Western Central Pacific with
11.5 million tonnes (14%), and the Northeast Atlantic with 8 million tonnes (9%)
(FAO 2014). Capture fishery production per fisher is highest in Europe (24.2
tonnes/year), followed by North America (19.7 tonnes/year), Oceania (10.4 tonnes/
year), Latin America and the Caribbean (6.2 tonnes/year), Asia (1.6 tonnes/year),
and Africa (1.5 tonnes/year). The European Union (member countries) is the largest
single market for imported fish and fishery products, and in 2012 represented 36%
of world fish exports worth an estimated US$47 billion (FAO 2014).
Comparatively, United States of America and Japan are the largest single importers.
Also of interest is that per capita fish consumption is rising in developing countries
(from 5.2 kg in 1961 to 1.8 in 2010), but is still the highest is in developed
countries (FAO 2014).
The total marine fish production in the Eastern and Western Indian Oceans
shows a continuous growth which in 2012 was approximately 7.4 and 4.5 million
tonnes, respectively. Majority of the marine fish production in the Indian Ocean is
for domestic consumption for the over 200 million of coastal population in this
region. Industrial marine fish catching is prominent in the Western Indian Ocean,
mainly by Spanish and French fleet, using gears such as purse seines and long lines.
This production is mainly exported to European countries.
In the past, fishers always employed sustainable fishing gears and practices with
great knowledge and experience about the marine environment, marine fauna and
their ecology, biology, behaviour and interactions with marine communities. Thus,
these fishermen‟s fishing gears and practices were based on vast knowledge and
experience, leading to very simple but efficient, highly selective, smartly designed
3 Sustainable Fishing Methods in Asia Pacific Region 97
fishing gears and methods. These fishing gears and methods were categorised as
artisanal fishing. Artisanal fishing in the Asia-Pacific region was sufficient in pro-
viding the main animal protein source for millions of coastal population for
thousands of years without compromising the „health‟ of the marine ecosystem.
Prominent environment friendly artisanal fishing practices in the Asia-Pacific
region include pole and line fishing or live-bait fishing, trolling or handlines, small
scale multi-filament gill nets, various types of trapping, harpooning and angling.
3.2 Development of Fisheries and Fishing Gear

from Artisanal to Industrial and Commercial
Fishery in the World
After the Second World War, World Food and Agricultural Organisation
(FAO) focussed on the development of world industrial marine fisheries as part of
rebuilding collapsed economies of war torn European countries. Between 1945 and
1950, the first FAO technical committee identified major problems affecting marine
fisheries in the Northern hemisphere including resource depletion, discarding
practices, and lack of data for high seas management (Hall 1999). At the same time,
this committee identified that resources in the Southern hemisphere were
underutilized, and hence encouraged the expansion of long-range fisheries. While
the world marine fish catch started rapidly increasing due to these long-range
expansions, by early 1950s a number of important fishery resources in the northern
hemisphere including the Hokkaido sardine, the North sea and Atlanto-Scandian
Herring, and the Californian pilchard were collapsed, mainly due to over-
exploitation (Hall 1999).
Between the 1960s and 1970s, developing countries and financial institutions
were encouraged to expand world fisheries, while long distance fleets from many
nations expanded their operations by means of subsidy schemes and technological
developments such as large scale nets with synthetic fibres, and powerful engines.
As a result, an industrial fisheries sector emerged in a select few developing Asian
countries including shrimp fishery in India, Pakistan, and Kuwait. While these
industrial fisheries raised foreign exchange, they also put increasing pressure on
traditional fishing grounds in developing countries. For example, Peruvian ancho-
veta fishery collapsed from 12 to 2 million tonnes in the early 1970s.
Alarmingly, between the 1970s and 1990s the rate of growth in the world‟s
industrial fishing fleet was twice that of the global catch with both the total tonnage
and the number of vessels doubling in that period (Safina 1995). Between the 1970s
and 1980s many coastal states extended their jurisdiction to 200 nautical miles in
anticipation of international legislation. By the early 1980s, final expansion of
distant water fleets occurred into the Indian Ocean, the South Pacific, and the
Southwest Atlantic targeting high value species such as tuna, shrimp and cepha-
lopods. For example, Taiwan, China, Korea, Japan, and Russia expanded their
industrial long line fishery in the Indian and Western Pacific Oceans targeting tuna.
While the overall production was increased, concerns were raised around overex-
ploitation and the potentially damaging effects of demersal industrial fishery. In
parallel, artisanal fisheries were developed and modernised increasing the fishing
effort on traditional inshore fishing grounds.
3.3 Fishing Practices in the Asia-Pacific Region
Fishing practices in the Indo-Pacific and Atlantic regions can be classified as ar-
tisanal, commercial, and recreational. The main fishing practices are artisanal and
commercial, as recreational fishing has not yet become widespread in the Asia and
South Pacific regions. Artisanal fishing practices are characterised by small fishing
vessels and gears that are operating in relatively low depth inshore areas. These
artisanal fishing gears include mainly small scale gillnets, pole and line fishing or
live-bait fishing, beach seines, cast nets, trolling, traps, and angling. In the past, the
main type of fishing craft used for fishing within in-shore areas were wind sail
powered wooden canoes. Today, the artisanal fishing sector uses crafts that range
from motorised canoes, outboard motor fibre-glass boats to 20 m long inboard
motor boats.
3.4 Main Types of Fishing Gear Around the World
A comprehensive description of principal types of commercial fishing gears and

their operation can be found in Sainsbury (1996). Fishing gears can be classified
using a number of methods. Main methods are based on
(a) Nature of operation (towed, encircling, static, and other)
(b) Place or depth of operation
(c) Artisanal or industrial.
Towed or dragged gear are mainly trawl nets that can be operated in the mid
water column or on the sea bottom. Sometimes paired trawl nets or a single large
trawl net are used depending on the fishery and the power of the fishing vessel.
Moreover, dredging on the sea bed is also a recognized towing fishing method.
Encircling gears are used to encircle a dense school of fish on or near the surface of
the water column with a large wall of net. Purse seines are the main type of com-
mercial encircling gears and also are the largest commercial fishing gears around the
world. Beach seines are the traditional types of small scale encircling gears.
Static gears are the main traditional fishing gears that set out in a particular
location. While gill nets and long lines are the main types of static gear, pots and
traps are also included in this type. In saying this however, there are a variety of
other fishing methods which are used around the world. Some main types are pole
and line bait fishery, trolling, harpooning, lines or angling, lift nets, and diving
(including collecting and spear fishing).
Many fishing gears are designed or modified to suit their environment of operation
(e.g. inshore, offshore, surface of the water column, mid layer of the water column, or
bottom of the ocean). Gillnets and trawl nets are operated in different stratum of the
water column and accordingly, there are drift gill nets, mid water column gill nets, and
bottom gill nets. Trawl nets also operate in the middle of the water column or on the
bottom of the ocean.
After the Second World War, many European countries started designing very
large, industrial scale fishing fleets targeting offshore and deep sea marine resources
mainly in the southern parts of the world. This led to an emergence of very large
vessels with very large capacities, fish processing units and cold/freezing rooms
which are powered by highly powerful inboard engines and equipped with modern
navigational and fish finding equipment. In some cases, there is a large mother
vessel with fish processes, and cold storage facilities, while a number of sister
vessels fish and bring the catch to the mother vessel. To carry out large scale
fishing, very large drift gill nets that can stretch 10–25 km, very large purse seines
which are in size of several square kilometres, or industrial long lines that consist of
several thousands of hooks were produced and put in operation.
3.5 Selectivity of Each Fishing Gear and Method,

Associated Bycatch, and Impact on the Marine
Environment
In general, selectivity of traditional artisanal fishing gears is very high meaning

there is almost no bycatch or non-target catch. The impact on the marine envi-
ronment and on other living communities is also at a minimum from the artisanal
fishing gears and methods. Traditional artisanal fishing gears have evolved for
many thousands of years through the addition of fishermen‟s knowledge and
experience about the biology, behaviour, and ecology of the target species, and also
the vast knowledge about the marine ecosystem as a whole on the design, operation,
operational place and time. Artisanal fishing has been carried out not only as a
source of livelihood for coastal communities, but also to fulfil their animal protein
source. As there was no requirement of overproduction or large scale commercial
production, artisanal fishing gears are designed to catch a small portion of the target
population with a high selectivity on target species and adult animals.
3.5.1 Pole and Line Fishery
Pole and line tuna fishery, for example, is one of the best artisanal fishing methods
based on sustainability and high selectivity (Fig. 3.1). Pole and line fishery targets
feeding schools of adult tuna thus alleviating juveniles and other non-target species.
Only adult tuna feeding schools come close to the water surface, and they can be
easily located by flocks of marine birds or sea gulls as these birds attempt to feed on
them. After locating feeding tuna schools, fishers can easily attract them by
throwing small live fish or live bait to the water. This action is mimicked by the
splashing of surface water towards the tuna school using bamboo splices. Attracted
tuna are then caught one at a time by a crowd of fishermen using a pole and line that
is equipped with a less curved hook. Through this method, adult tuna can be caught
quite quickly and with minimum damage, an approach which preserves both the
tuna‟s energy and meat quality. Skilled fishermen can catch hundreds of tuna in less
than half an hour using this method. As the whole adult school tuna population is
not swept by this fishing method (i.e. juveniles are not caught) the continuity of the
tuna population is assured by pole and line fishing method. There is also almost no
bycatch although non-target tuna species that are associated with the target school
can occasionally be caught. Reason for this is that tuna feeding schools can be
associated with other fish species including other tuna and fish species. On the
whole, pole and line fishing methods aim to minimize harm to the marine envi-
ronment, and other marine communities. It is clear therefore, that traditional fish-
ermen were equipped with knowledge, expertise on life history, biology, ecology,
and behaviour of each fish species/communities, and used this wisely in designing
Fig. 3.1 Small scale pole and line fishing in Sri Lanka. Photograph by Sudath T. Dammannagoda
fishing gears and methods while giving priority to the sustainability of the marine
resources and marine environment.
Another artisanal method is traditional traps and pots which exploit the behaviours of
particular fish species such as eels and other bottom dwelling fish, lobsters, and crabs. As
fish can be collected in their live state, untargeted species and juveniles can be released
back to their environment without harm. The same minimization of harm approach
applies in the use of traditional traps and pots. This is at clear odds with beach seines
which are a main artisanal fishing gear that targets inshore fish species, or fish species
that migrate to inshore areas for spawning. As the beach seine is dragged along the
bottom of inshore areas, it can disturb and destruct the bottom environment and fauna,
spawning grounds, and nursery grounds. However, most of the beach seines around the
world are operated seasonally and therefore this damage is very unlikely to be chronic.
3.5.2 Bottom Trawls and Dredges
In contrast, most of the Industrial commercial fishing gears invented in the past
century lack gear selectivity, are expensive to build and operate, and are destructive to
the overall marine community and the marine environment. Best examples to this end
are the bottom trawl nets and industrial purse seines.
Bottom trawling has been practiced in all oceans and major seas around the world,
in tropical and temperate regions, deep and shallow areas, including Europe, Australia,
New Zealand, Indonesia, India, Thailand, and North & South America. Bottom
trawling has been subjected to many complaints and high criticism since at least the
14th century due to both its direct and indirect destructive effects on the marine
environment and marine resources. One main consequence of bottom trawling and
dredging is that it scrapes, and in turn directly destroys, the sea bed, thus damaging the
spawning and nursery grounds of the numerous species that inhabit these sea beds.
Another significant problem associated with bottom trawling is the extremely high
bycatch (non-target species) and associated discards as there is almost no gear
selectivity in this method.
Dredges are rake like devices that use a large bag to collect demersal creatures.
Dredges mainly target benthic molluscs such as scallops and oysters but occa-
sionally, are used to catch crustaceans, demersal finfish, and echinoderms. Design
of the dredge can be different based on the nature of the substratum (e.g. soft muddy
bottom or rocky bottom) and the target fauna. The basic design consists of a steel
frame opening that can span up to 2 m with the base of the frame equipped with a
blade with teeth. Large, offshore dredges used to catch sea scallops can have a
mouth opening width up to 4.5 m, and can weigh from 500 to 1000 kg (NRC
2002). These dredges use hydraulic pumps that inject water into the sediments to
disturb the sea bed and dislodge scallops for capture in the net.
In an effort to increase the efficiency of towed gear, towing vessels have also
become larger and more powerful which has helped the evolution of dredges to
bottom trawls. First, bottom trawls were beam trawls that consisted of a larger and
lighter steel frame connected to a larger and funnelled shape net. Heavy tickler chains
are attached to the steel frame, and these chains disturb the sea bed to stimulate an
escape response in bottom dwelling fish. As the gear is towed at a high speed, escape
of fish is unlikely and the catch efficiency is high. Current large beam trawls have
mouth openings of 15–20 m, and are towed from both sides of high-powered engine
trawlers. Beam trawlers are mainly used to catch flat fish and other ground fish species
in Northern Europe, shrimp and other demersal species in United States.
In an attempt to increase the horizontal opening of the trawl mouth, otter trawlers
were designed which involved the same principles but without the heavy rigid trawl
mouth. The ground gear can be as long as 200 m, thus enormously increasing the
swept area. The bottom trawl net is funnel shaped, with a blind end referred to as
the cod end. Mesh size varies depending on the fish species caught with small mesh
sizes for shrimp and small fish, and large mesh size to catch large fish. In the United
States, all coastal states use bottom trawls to catch demersal fish. Large bottom
trawl nets are dragged by a pair of vessels.
Consequences of trawling and dredging can be divided into main two sections,
direct and indirect impacts. Direct impacts include,
• Population mortality as part of the catch, bycatch, discards, destruction of
benthic and demersal species and making them vulnerable to scavengers and
other predators.
• Increased food availability by discards, bycatch, and dead benthic organisms.
• Loss of habitat due to destruction of sea bed.
Indirect effects are secondary to the long term effects of direct effects including
reduction in total biomass, effects on prey, predator, and competitors‟ dynamics and
equilibrium, and broadly, effect on seafloor community structure. Indirect effects
include the impact on non-living systems that include changes in the flow of
material and energy through the ecosystem and shifts in the balance among the
processes of primary production, primary consumption, and secondary production.
The impacts of bottom trawling have been documented in various parts of the
world including Europe (Lindegarth et al. 2000; Kaiser and Spencer 1994, 1999,
2002), Australia (Gibbs et al. 1980; Butcher et al. 1981; Hutchings 1990), New
Zealand (Saxton 1980; Bradstock and Gordon 1983), Indonesia and Thailand
(Chong et al. 1987), India (Meenakumari and Pravin 2008; Kumar and Deepthi
2006; Jagadis et al. 2004) and North America (Dolah et al. 1987; Goude and
Loverich 1987). However, the impacts of bottom trawling on the physical, chemical
& biological environment of the marine ecosystem and the diversity and quantity of
by-catch and discards remain poorly documented for the tropical waters. As the
marine biodiversity and productivity is higher in tropical waters compared to
temperate waters, there is comparatively a much higher species impact from bottom
trawling than has been observed in temperate fishing areas (Aish et al. 2003).
As already mentioned, the ecological impact of bottom trawling has been studied
in various parts of the world. Many of these studies have shown that bottom
trawling is among the most destructive of fishing methods is it causes direct and
indirect disturbances and damages to sea bed and their living communities (Jones
1992; Kaiser 1998, Kaiser et al. 1999, 2002; Zacharia et al. 2006; Kurup et al. 2004;
Raman 2006). Likewise, a large volume of studies have shown that bottom-trawling
affects the biomass and production of benthic invertebrate communities (Jennings
and Kaiser 1998; Hall 1999), in addition to changing energy flow through benthic
ecosystems, leading to large scale shifts in benthic community structure and regime
shifts (Hiddink et al. 2006). Alongside this ecological impact on marine fauna,
bottom trawls also cause a large quantum of bycatch and discards including sea
grasses, benthic fauna, corals, larval stages, juveniles and sub-adults of whole
marine fauna.
Physical impact
Different types of bottom trawl nets can stir up sediments disarraying benthic fauna,
removing hard sediments such as coral rubbles and gastropod shells, breaking live
corals, and changing the texture and structural heterogeneity of bottom substratum—
an important factor contributing to the diversity of benthic fauna (Krost et al. 1990).
Studies at the Gulf of Maine in the Northwest Atlantic Ocean have shown that
bottom trawls and dredges altered the physical structure and complexity of benthic
habitats (Auster et al. 1996). Physical structure was altered by direct removal of
benthic fauna associated structures including sponges, hydrozoans, bryozoans,
amphipod tubes, holothurians, shell aggregates, and sedimentary structures (e.g.,
sand waves, depressions). Reductions in habitat complexity may lead to increased
predation on juveniles of harvested species and ultimately recruitment to the har-
vestable stock (Auster et al. 1996).
McConnaughey et al. (2005) carried out an examination of chronic trawling effects
on soft-bottom benthos of the Eastern Bering Sea by sampling and analysing previ-
ously unfished (UF), and heavily fished (HF) areas. Using statistical methods they
showed that species diversity of sedentary macro fauna (anemones, soft corals, spon-
ges, bryozoans, ascidians), overall diversity, and niche breadth was high in UF areas.
Hiddink et al. (2006) developed linked „state‟ and „pressure‟ indicators that show
the impact of bottom-trawling on benthic communities in the Southern North Sea
(between England and Netherland). Based on bottom-trawling intensity in 2003,
they showed that 53.5% of the Southern sea was trawled too frequently for biomass
to reach 90% of its pristine benthic biomass. This is because the time taken for
recovery to 90% of pristine biomass was estimated to be anywhere between 2.5 to
6 years (Hiddink et al. 2006).
According to NRC (2002), in the eastern Atlantic, the highest intensity of effort,
based on rough estimates of the number of times a reporting area is swept, occurs in
the fishing grounds of the Gulf of Mexico and New England regions. In contrast,
bottom trawling in the mid-Atlantic, Pacific, and North Pacific regions is relatively
light, with only one tow per year in some of these reporting areas. However,
throughout the 1990s and into 2001 there were significant reductions in the intensity
and spatial extent of bottom trawling in the USA through effort reductions, area
closures, and gear restrictions instituted by fisheries managers in response to prob-
lems with declining fish stocks, bycatch, or interactions with endangered species.
Bio-geo chemical impact
Studies have shown that bottom trawling can affect carbon mineralisation and bio-
geochemical fluxes thereby destabilising sediment community structure and functions
(Duplisea et al. 2001). Bottom trawling can cause an increase in turbidity reducing the
level of photosynthesis in sea grass and algae. Further, it decreases dissolved oxygen
content in the water column due to oxygen reduction by resuspended bacteria in
sediments (Reimann and Hoffman 1991). Turbid sediment clouds can further change
physio-chemical parameters of the water column (Main and Sanger 1990).
Bivalves and many other benthic organisms are filter feeders of which respira-
tion is directly affected by resuspension of sediments from the dredging activity of
bottom trawls (Caddy 1973). While there are no detailed studies on biogeochemical
impact of bottom trawling in tropical waters, Thomas et al. (2004) reported an
increase in water temperatures and nitrates, and decrease in dissolved oxygen,
organic matter and organic carbon as immediate effects of the stirring action of
bottom trawls along the Kerala (Southwest Indian) coast.
Benthic invertebrates are the major food source for many commercially
exploited fish species, and have a significant role in supporting ecosystem processes
such as bentho-pelagic coupling and nutrient cycling (Choi et al. 2004; Lohrer et al.
2004; Widdicombe et al. 2004).
Deng et al. (2005) showed that trawl vessel monitoring system (VMS) data can
be used to examine trawl track, trawling intensity, and fish stock depletion due to
bottom trawling. They showed that the catch per unit effort and cumulative catch in
areas with highly aggravated trawl effort is not proportional to the overall target
species biomass. Further, this high number of trawl efforts in productive areas has
been shown to have a marked impact on its benthic fauna.
The impacts of frequent trawling are cumulative and vary among taxa (Poiner
et al. 1998; Tanner 2003). Some benthic taxa such as sponges can be severely
affected by a single bottom trawl effort, while other benthic fauna including algae,
bryozoans, and pennatulacea may withstand several repeated trawling efforts, with
the cumulative impact increasing with successive trawls (Poiner et al. 1998).
Wilson (1979) showed that bottom trawling breaks corals (i.e. Lophelia sp.), and
unfortunately, corals die when they are not in contact with the substrate. Repeated
trawling over the same coral patch can therefore eliminate coral species. The effects
of systematic destruction by bottom trawlers on bryozoan beds in Tasman Bay,
New Zealand which provides habitat for juvenile snapper (Pargus auratus) and
tarakihi (Nemadactylus macropterus) have been reported by Saxton (1980) and
Bradstock and Gordon (1983) whereby they noted a decline in juvenile fish with the
removal of bryozoan beds.
Bottom trawling can also have an indirect impact on the fishing mortality on benthic
fauna. For e.g. McLoughlin et al. (1991) reviewed the indirect fishing mortality rates on
scallop beds by dredges in the Bass Strait in Australia. Nine months after the dredging,
almost all scallop stock was destroyed due to a bacterial infection that resulted from
decomposing scallops damaged by dredging (McLoughlin et al. 1991).
Sainsbury (1988) has reported changes in fish catch composition as a secondary
impact of bottom trawling. Due to a significant reduction in sponges together with
alcyonarians and gorgonians on the Australian Northwest shelf bottom trawling,
Lethrinus and Lutjanus fish species which are frequent in habitats rich with large
epibenthos have significantly declined. Consequently, this has caused an increase in the
biomass of fish species Nemipterus and Saurida which are inhabited in the open sand
areas. Thus, an overall decrease in species diversity due to bottom trawling has been
reported in several studies. Also, continuous bottom trawling has changed the benthic
fauna species composition and abundance of particular benthic invertebrates. For
example, Reise (1982) reported an unusual increase in polychaetes in the Wadden Sea
(in the North Sea) over a period of 112 years, as a long term impact of bottom trawling.
Changes to the sea bed by bottom trawling might affect the fisheries as most of
the trophic levels are associated and interact with benthic environment and benthic
fauna (Bradstock and Gordon 1983; Sainsbury 1988). Studies have shown that fish
and benthic organisms were more prevalent before intensive bottom trawling began
(Frid and Clark 2000; Greenstreet and Hall 1996).
In summary, a meta-analysis of 57 published studies by Collie et al. (2000)
reveal that the common impacts of trawling and dredging on sea floor communities
are, reduced habitat complexity, discernible changes in benthic communities,
reduced productivity of benthic habitats, and a heightened vulnerability to fishing
gear disturbance among fauna that live in low natural disturbance regimes.
3.5.3 Industrial Purse Seines with Artificial FADs
In the open ocean, many species including tunas associate with objects drifting on
the surface, such as logs or branches. This is highly advantageous to purse seine
fishing as floating objects aggregate sparsely distributed schools, are more easily
spotted than tuna swimming freely beneath the surface, stabilise schools and reduce
the speed at which they travel, making them comparatively easy to catch.
Consequently, fishing around floating objects is associated with a higher successful
haul, compared to targeting free swimming schools. In the 1970s, countries like The
Maldives used artificial FADs made of natural substances like bamboo rafts and
coconut leaves. Since the 1980s, industrial fishers have started using electronic
buoys, and today these electronic buoys are equipped with echo sounders that
transmit data on an hourly or daily basis about the fish biomass underneath.
The latest FADs reduce the fish searching time drastically, and allow for the
catching of fish even in the dawn. Although FADs are evidently useful fishing tools,
their use has been associated with several potential negative ecosystem impacts,
including the catching of juvenile tunas, the bycatch of vulnerable non-target
species (Bromhead et al. 2003), (Amande et al. 2010), and consequences of
modification of the pelagic habitat on tuna biology. Currently there is little control
on these FADs, and over capacity of FADs may lead to overexploitation of tuna and
associated stocks (Fonteneau et al. 2013). Potential ecological impacts of FADs are
reviewed in Dagorn et al. (2012).
FADs have facilitated extremely high catches of tuna in every ocean, including the
Indian Ocean, thus causing a reduction in spawning stock biomass by overfishing and
a loss in potential yield by catching smaller fish and reducing the number of large
breeding individuals in the stock. Skipjack tuna (SJT) (Katsuwonus pelamis), yel-
lowfin tuna (Thunnus albacares), and bigeye tuna (Thunnus obesus) are the main tuna
species inhabiting in FADs. Skipjack tuna makes up the largest catch (5–82%) using
this fishing practice across all four oceans (Dagorn et al. 2012). Although SJT is a
highly fecund species with a high growth rate, given the current rate of over capi-
talisation on modern FADs, there is a concern of over exploitation of SJT stocks. Also,
as juveniles and small fish of yellow fin tuna and bigeye tuna are abundant around
FADs, purse seine catches around FADs can cause loss of potential yield through a
reduction in the number of large spawning fish in the stock.
A much larger ecological impact associated with FADs is the by-catch of non-
target species. A whole community of different fish species gather around FADs that
consist from small fish to predatory large fish such as sharks (Bromhead et al.
2003; Romanov 2002). Sharks, rays, billfishes are caught by purse seining around
FADs in a significant amount. As these species show slow growth rate, late maturity,
and few progeny, their vulnerability to population decline is high. In addition, turtles
also frequently entangle in hanging purse sein nets around FAD rafts (ghost fishing).
Dagorn and colleagues (2012) show that the bycatch of purse seines around FADs are
three to seven times higher than the bycatch in fishing free swimming schools.
Another ecological impact is that by employing a large number of FADs and attracting
tunas into these artificial habitats it will effect natural habitats, dispersal and migratory
patterns of tunas in addition to exposing them to predators (ecological trap hypothesis)
(Hallier and Gaertner 2008). This change in natural ecosystem and the impact from
proliferated buoys is yet to be studied in depth.
3.6 Destructive Fishing Gears and Practices—Case

Studies
3.6.1 Small Bottom Trawls Over Capitalisation, Overfishing,

and Poaching—Southern India
Palk Bay and Gulf of Mannar, situated between Sri Lanka and Southeast India,
have gained huge attention in regional and even in global media in recent times due
to large scale poaching and high intensity illegal fishing in Sri Lankan waters by
Southern Indian (Tamil Nadu State) large bottom trawling fishing fleet.
In early 1970s mechanised bottom trawlers were introduced to Tamil Nadu
(TN) state through DANIDA (Danish International Development Agency) and
SIDA (Swedish International Development Agency) funded Bay of Bengal
Programme (BOBP 1987). During this time, bottom trawl fleet in Southern India
(Tamil Nadu state) were drastically increased due to very generous incentives by
the Tamil Nadu state government which enabled trawlers to be economically viable.
The number of mechanized vessels increased by more than eight times along the SE
Indian coast during 1961–1998, which is higher than the increase along the NW and
SW Indian coasts (Vivekanandan et al. 2005). In the 1970s a marked revolution
occurred in fishing in the Palk Bay with the introduction of mechanised bottom
trawlers (so called blue revolution) and the emergence of prawn fishery targeting
international market (so called pink gold rush) (Kurien 1978). This led to an
increase of over 400% in the total fish catch in Tamil Nadu state from the Palk Bay
(Kumaraguru et al. 2008). Currently, the bottom trawl fishing fleet in Tamil Nadu
state itself represents the second largest trawl fleet (16.4%) of total bottom trawl
fishing fleet in India (Marine Fisheries Census-India 2010).
Fishery resources were drastically depleted on the Indian side of the Palk Bay and
Gulf of Mannar (GoM) due to intensive bottom trawling of this over capitalised
fishing fleet (Kumaraguru et al. 2008; Venkataraman et al. 2002; Hettiarachchi
2007). Taking the fishing restriction on Sri Lankan fishermen in their territory as an
advantage, Southern Indian bottom trawling fishing fleet began poaching into Sri
Lankan waters looking for high market value shrimps, green tiger prawns (Penaeus
semisulcatus) and sea cucumbers on the Sri Lankan side of the Palk Bay and adjacent
Sri Lankan waters. By the year 2005, there were an estimated 5300 bottom trawls
(CMFRI 2005) in the Tamil Nadu state itself, with over 60% of them regularly
fishing in Palk Bay and adjacent waters on the Sri Lankan side (Vivekanandan
2004). According to conserved estimations, the annual loss to Sri Lanka from Indian
poaching is approximately USD 47 million (Amarasinghe 2011) to USD 79 million
(Kumara 2014) and for this reason poaching has become a large-scale socio-political
problem between Sri Lanka and India. In addition to these large economic losses
faced by Sri Lanka, bottom trawlers also cause detrimental damage to sea grass beds,
coral reefs, and associated marine fauna of Palk Bay and GoM by scraping the ocean
floor and catching all the marine creatures indiscriminately. Further, TN trawlers use
trammel nets which are detrimental to marine fauna as these nets consist of three
layers with different mesh sizes in each which consequentially trap the whole fauna
without any selection. Recent developments which aim to increase the catch quickly
involve the use of paired trawlers with larger trawl nets to increase the sweeping area
and power. A conservative estimate is that over 5000 bottom trawls have been
fishing on a single day in Palk bay, a very small area of approximately 17,000 km2
(Sivalingam 2005), and adjacent waters (Vivekanandan 2004). Such a high inten-
sive, continuous bottom trawling effort should have caused significant sediment
imbalance and detrimental chronic impact on the eco system of Palk Bay and
adjacent waters. According to some estimates, barely one third of the fishing pres-
sure of existing fishing fleet can be sustained in the Palk Bay region (Pramod 2010).
Currently, bottom trawling in the Palk Bay mainly targets shrimp fishing which
has a high market value. Shrimp trawling is one of the most indiscriminate kinds of
fishing because the small mesh used to retain the shrimp allows few other animals
to escape (Kelleher 2005). In the Palk Bay, small cod end mesh size of trawl fishing
leads to the capture of small body size species, juvenile prawns, and sub adults
hence resulting in reduction of average size of prawns.
The second largest problem from the bottom trawl fleet in this region is the
quantum of bycatch and discards. According to Pramod (2010), discards at sea by
mechanised trawlers in Tamil Nadu state per year ranges from 179,274 to
246,665 mt (average 212,969 mt). In the Palk Bay region, due to the sweeping of
the sea bed by bottom trawl nets, 83% (Manickam et al. 1987) to 94% (Kumara
2014) of the catch makes by bycatch. This bycatch mainly consists of sea grasses
and sea weeds, juvenile stages of all kinds of prawns and fish in addition to eggs
and larval forms of all kinds of fish.
In recent years, fish catch composition in the Palk Bay and along Tamil Nadu
coast has changed drastically. In recent years, 20% of fish catch consisted of low
trophic level oil sardines (Sardinella longiceps), while the second and third largest
commodities were silver bellies (Leiognathus spp.), and other sardines (Sardinella
spp.) respectively (CMFRI 2014). It is suggested that overexploitation of the top
predators have caused rapid increase of low trophic level species like sardines.
According to Davies et al. (2009), the Indian trawl bycatch represents 56.3% of
the Indian estimated total marine catch while one third of the non-shrimp trawl
catch (which is 600,000 mt) was discarded. Menon and Pillai (1996) assessed the
bottom trawl bycatch in Indian waters and found that approximately 30% of the
bycatch is discarded, and approximately 12% of the by-catch is a heterogeneous
species mix belonging to the bottom fauna. Further, bottom trawl commonly cat-
ches large quantities of juveniles and sub adults of a variety of demersal fishes, for
example sciaenids, catfishes, flatfishes, flatheads, silver bellies, perches, whitefish,
promfets, of which most are discarded (Menon and Pillai 1996). This has often led
to recruitment overfishing and conservation problems while nemipterids, saurids,
and flatheads have faced overexploitation.
Central Marine Fisheries Research Institute (CMFRI), India recommends a
reduction in the fishing pressure of mechanised trawlers by 40% in order to achieve
a healthy fishery. Moreover, sharks, skates, and rays stock status in TN are stated as
depleted, declined, and less abundant, respectively, and may be due to high levels
of juvenile bycatch by trawlers (CMFRI 2014).
3.6.2 Gillnets
Gillnets have been used in the Asia and Pacific marine fisheries for centuries. In the
past, gill net fishery was an artisanal small scale fishery that was limited to inshore
areas. Fishermen used multi-filament gillnets made with degradable material. With
the development of technology of gillnet fishery however, mono-filament invisible
gill nets were produced which are not so easily degradable. Gillnets in general catch
not only fish that fit to mesh size, but also small juveniles—especially when the
mesh size is small. Mono-filament invisible gill nets add more bycatch to this end.
Trawls targeting tuna fish in the Asia and Pacific use gillnets extensively, hence
adding a considerable amount of bycatch including juveniles. However, as quota
and target fishery regulations are not strictly implemented in this region, fishermen
do not discard non-target fish catch. In addition, almost all species are edible in the
Asia-Pacific region, and hence non-target catch and bycatch has a market.
With the industrialisation of gill net fishery, very long gill nets especially drifting
gillnets have been manufactured in developed countries. In 1992, the United Nations
adopted a global moratorium on large-scale drift net fishing on the high seas. Despite
this moratorium, in the Mediterranean, drift net fishing uses 10–12 km long drift nets
for swordfish and albacore, and takes in a lot of cetaceans as a bycatch. Currently, in
the European Union, drift nets that are longer than 25 km are banned.
3.6.3 Explosives and Diving
Dynamiting has been employed by artisanal fishers in the Asian and African regions
illegally, especially to catch fishes associated with coral reefs and mangroves.
Dynamites that are manufactured for use in mines or quarries are modified by
fishers to make sure that these „fish bombs‟ explode in the middle of the water
column. Dynamiting indiscriminately kill every living being in the vicinity of the
blast in the water column. Not only are a few square meters of corals destroyed in
every explosion, but also the shock waves kills most fishes, and bottom dwelling
invertebrates within a radius of 50 m or more (Moore and Jennings 2008). The
problem with this approach is that most of the fish implicated in the explosion are
never collected by fishermen as they sink to the bottom. Dynamiting has been
intensively carried out in some parts of the Southeast Asian coral reef systems
converting them into rubbles, and reducing the diversity of fauna to a large extent.
Diving and collecting fish resources is a very selective fishing method, and is a
healthy fishing method when it is carried out in a sustainable way. However, today
diving is carried out at very large scales to collect marine ornamental reef fishes,
associated ornamental invertebrates, and ornamented soft corals. This overexploitation
results in a loss of marine biodiversity, imbalance in functioning of marine ecosystem,
and risk of extinction of commercially highly demanding species.
Some countries use modern poisons such as sodium cyanide, bleach, and DDT to
extract fishes from tropical coral reef systems or mangroves. According to estimates
of World Wild life Fund, over 6000 divers use 150,000 kg of poison (mainly cyanide)
that affects 33 million coral heads annually (Moore and Jennings 2008). For example,
in the Phillippines these poisons are used extensively to illegally catch humphead and
Napolean wrasses which are highly demanding delicacies in Southeast Asia.
3.6.4 Ring Nets With Light as a FAD
Some parts of South Asia use a combination of diving, and a modified ring net to
illegally surround ecologically rich coral reef systems. These nets („Laila‟ and
„Surukku‟) are functionally similar to a small purse seine, and have varying mesh
sizes depending on the type of fish caught or location that is employed. Commonly,
these nets are used to surround egg spawning large coral reef fish assemblages. On
occasion, 20–25 fishermen and scuba divers are put in operation using several small
trawler boats and in some instances even dynamites are used in combination with
this destructive fishing practice. This is a sweeping of spawning adult population of
reef fishes. Sometimes a variation of these nets with small mesh sizes are used to
catch very small prey fish populations in shallow sea. Another variation of these
nets are used to surround tuna schools in the pelagic sea, and sometimes in the night
with a combination of powerful lights to attract all types of large and small fish.
3.6.5 Beach Seine
Beach seines have been used around the world for thousands of years as an artisanal
fishery practice. Beach seines are very long surrounding nets that are operated in
inshore areas at a particular season of the year. Beach seines mainly target the adult
fish that migrate towards inshore areas for spawning. As beach seines scrape the
bottom, and catch any fish indiscriminately, it is not considered to be an environ-
ment friendly fishing method. However, as this method is used only at a particular
season of the year, and is operated in small scale, there are enough resources and
time left to recover and replenish the inshore marine community.
3.6.6 Industrial Bottom Trawls and Dredges
Prominent Industrial bottom trawl fleets have been operating in Northern Australia,
Thailand, North Pacific, especially for shrimp industry. Dredges are used to catch
blue crabs in the mid-Atlantic region during the winter, and with two dredges used
in a tandem (National Research Council 2002). The 10 cm long teeth of the front
blade dig the crabs out of the bottom and the same gear is used in Chesapeake Bay
to catch Whelk in summer and mussels in fall.
There are bottom trawl fisheries for demersal fisheries on all U.S. coasts. In the
Northeast, 15–50 m vessels use small mesh nets to catch northern shrimp, silver hake,
butterfish, and squid. Large mesh trawls catch cod, haddock, flounders, and other large
species. These trawls typically are rigged with long ground wires that create sand
clouds on the sea bed, herding the fish into the trawl mouth. In the Southeast and Gulf
coast areas, small mesh trawls catch shrimp. Southern shrimp trawl vessels tow two to
four trawls from large booms extended from each side of the vessel. On the West
coast, stern trawlers catch shrimp, flatfish, and rockfish species. Factory trawlers from
50–100 m long, catch, process, and freeze their products on board.
After the passing of the Magnuson-Stevens Act in 1976, the USA promoted the
expansion and efficiency of the domestic fishing fleet. This included changes in
trawl and dredge gear that increased the capacity of fisheries to cover large areas
and to reach deeper and rougher habitats. Larger, more powerful boats pulling gear
with wider sweeps increased the amount of area potentially affected. New gear,
however, has been designed specifically to reduce habitat damage, for example, the
raised footrope trawl used in the Gulf of Maine whiting fishery (NRC 2002).
3.6.7 Industrial Purse Seines With Artificial FADs for Tuna

in the Western Indian Ocean
Mozambique Channel is rich with natural FADs due to the large number of rivers
opening to the sea. As the fishing productivity was high around these natural fish
aggregates, industrial purse seiners such as the French and Spanish fleet rapidly
increased the number of artificial FADs through 1990s–2000s. To match the high
fishing capacity around increasing artificial FADs, much bigger purse seiners such as
„super-seiners‟ (>2000 gross tonnage) and even „super super-seiners‟ (>3500 gross
tonnage) were built (Davies et al. 2014). These very large seiners become more reliant
on proliferated FADs to be cost efficient and remain profitable (Campling 2012).
Figure 3.2 shows that Spain, The Maldives, and France accounts for the largest tuna
catches respectively, in the Western Indian Ocean for last three decades among other
coastal countries in this region. It should be noted, however, that this tuna catch of Spain
and France is by industrial purse seines, while The Maldives‟ main fishing method is
pole and line, and trolling which are considered as sustainable fishing methods.
3.6.8 Over Effort, Overexploitation of Fleet, Bycatch,

and Discards in Industrial Fishing
Definitions of by catch and discards vary considerably from region to region

depending on the cultural and marine food habit differences, types of fishing
practices and associated regulations and laws. Amongst these regional differences,
250,000
200,000
Catch (Metric tonnes)
150,000
100,000
50,000
0
1981
1982
1983
1984
1985
1986
1987
1988
1989
1990
1991
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013
Year
INDIA SPAIN FRANCE IRAN KENYA MALDIVES OMAN TANZANIA
Fig. 3.2 Tuna catch (total of skipjack tuna, yellowfin tuna, and bigeye tuna) in the Western Indian
Ocean (FAO fishing area 51) by major fishing countries. Data source Indian Ocean Tuna
Commission data set, 2016
McCaughran (1992) has provided a comprehensive description on the definition of

terms for by catch and discards.
It is known that the discards in tropical Asia are much less compared to other
temperate regions in the world. The reason behind this is that most of the untargeted
species caught in marine fishery in Asia are edible for the people in this region.
Comparably, in the Northwest Pacific, discards account for just one third of the total
(global) discards which is 9.1 million tonnes mainly from cod and shrimp fishery.
This is followed by 3.7 million tonnes discarded in the Northeast Atlantic Ocean.
The third largest discards are from the West Central Pacific, largely from shrimp
fisheries (Hall 1999). Interestingly, Southeast Pacific ranks fourth, not because of
the fisheries (anchoveta and pilchards which has 1–3% discards) but simply due to
the enormous size of the total catch. Overall, by catch and discards are relatively
low in tropical regions. In the tropics, the main by catch is from shrimp trawl
fishery. Alverson (1994) study provides a detailed global view of bycatch and
discards of various types of fisheries around the world.
While the discards in the tropics are dominated by small body size adult fish, in
the temperate regions, discard is dominated by sub-legal and legal sizes of com-
mercially importent larger bodied fishes which are part of the future commercial
catch (Hall 1999). The shrimp fisheries have the highest discards on both, a species
and gear type basis. Crab fisheries have the second highest discards.
Serious public ethical concerns are raised around the by catch of sharks, marine
mammals, turtles and marine birds. Sharks are caught in high numbers in coastal
and high seas long lines, purse seine around logs and FADs, and drift net fisheries
for tuna and bill fish. Among shark by catch in high seas fleet, blue shark, oceanic
white tip, silky shark, short fin macko, and thresher shark are dominant. Shark by
catch is detrimental as sharks show slow growth, late age at maturity, and low
fecundity. Marine mammal by catch including dolphins, and dugongs are higher for
large gill nets that are many kilometres long.
Marine discards have caused some indirect ecological problems, such as increase of
some marine bird populations, and benthic scavengers. A good example is Audion‟s
gull (Larus audoinii) an endemic sea bird in the Mediterranean region. In the early
1970s its population was very small and threatened (Cramp et al. 1985). Because of
discarding by local trawler fleets however this bird colony become the world‟s largest
bird colony (Ruiz et al. 1996). On the other hand, if this discarding practice is stopped,
it will be detrimental to these bird populations as they rely very much on these discards.
3.6.9 Quota System Policy for One Species
As described previously, many countries in Europe, and American continent follow

a one target species quota system policy. The non-target fish that are unintentionally
caught have to be discarded although it is a commercially important edible species.
Further, small trawler boats are not required to keep records of such discards. This
policy creates a large wastage of marine resources and can cause depletion of
marine resources.
3.6.10 Transferring of Flagship and Associated IUU

and Fisheries Management Problems
Transferability of flagship to foreign countries and individual transferable quotas

can create management problems for fisheries and illegal, unreported and unregu-
lated (IUU) fishery problems due to difficulties in surveillance and implementing
regulations. For example, recently Sri Lanka lost its fish exports quota to the
European Union due to an IUU issue associated with transferred flagship from Sri
Lanka to a foreign country. Similarly, there are uncontrolled foreign fleets in the
western Indian Ocean that employed under transferred flagships. There are some
cases where transferred flagship vessels tend to catch over the quota and then
abandon some of the fishing nets purposely in the sea to pretend a lower catch.
These abandoned fishing gear cause ghost fishing and many other devastating
impacts on marine fauna.
3.6.11 Cultural and Regional Issues with Definition

of Discards, and Eating Habits
Definitions and understanding of bycatch and discards vary to a considerable degree

from region to region in the world. Reasons behind these are cultural and food habit
differences, differences in fisheries policies and regulations, and differences in
economies and fishery markets. In the tropical region or developing countries, there
are no strict fisheries quota regulations, and generally fishers can catch any fish with
no need to discard „untargeted‟ fish. On the other hand, almost all types of fish caught
in the tropical region are edible to the people living in this region. Further, people
within tropical and developing countries eat even smaller fish such as anchoveta and
shrimps. There is a market therefore for undersized incidental catch, and even the
non-edible bycatch that comes from bottom trawling in this region has a market for
animal food in the poultry industry. On the other hand, in the temperate region and
developed countries, discards are high due to single species quota policy, market
preferences, and food habits. Because of these reasons, the quantum of discards are
minimum in both the tropical region and developing countries compared to the high
level of discards in temperate region fisheries and developed countries.
3.7 Towards Sustainability
3.7.1 Sustainable Fishing Gears and Practices
The main characteristics of a sustainable fishery should be that the fishing gear and the
method to catch fish is highly selective, there is no bycatch or minimum level bycatch,
there is no sweeping of populations, no catching of juveniles or undersized fish, no

over effort and over exploitation, and no or minimal impact on the marine environ-
ment and other fauna. Traditional artisanal fisheries generally fulfil all or most of these
characteristics as they have evolved over thousands of years with the vast knowledge
and experience on the marine environment, ecology, biology, behaviour and life
history of most of the marine animals. In addition, traditional artisanal fishers fish for
their livelihood, not for large profit making as we see in the current industrial marine
fishery. As described previously, pole and line or live bait fishery can be considered as
the number one sustainable fishing method as it fulfils all the above factors of a
sustainable fishery. Trolling also can be considered as a sustainable fishing method.
Trolling aims to mimic the actions of moving bait as the lines move very fast. This
mimic attracts adult fish that come to surface searching for food. Thus trolling is
highly selective, and mainly target adult tuna and bill fishes. Fish caught by trolling or
pole and line is taken on board quickly, and has no any damage compared to fish
caught by a trawl net or purse seine. Therefore, the meat quality and post-harvest
quality of these fish is very high. Traps and pots are also a sustainable fishing method
with a high selectivity. The main advantage of traps and pots are that any undersized
and non-target other species which are caught can be released back to the sea alive,
without any harm to animal. Pole and line fishery, trolling, and traps/pots do not
sweep populations and leave a portion of the adult population for spawning and
continuity of the fish stock. Further, and most importantly, these three fishing methods
shows the highest catch quality as physical damage, frightening, and loss of energy is
minimal for the animal in these fishing methods. Comparatively, purse seines and
trawl nets surround or shoal a large fish school into a large net. Crowded and trapped
fish school are more likely to get frightened, exhausted and damaged because of the
fish net and confinement, and in turn lose much of their energy while trying to escape.
The amount of Adenosine Tri phosphate (ATP) or amount of energy stored in caught
fish is directly related to its „freshness‟ and post-harvest quality (Sikorski 1990). Thus,
fish caught from pole and line fishery, trolling, and traps/pots are in a high post-
harvest quality, as they are caught in a more humane way.
3.7.2 Prohibition of Some Fishing Gears and Fishing

Practices
Severely destructive fishing methods such as dynamiting, poisoning, and trammel

nets, which are already banned, should be thoroughly implemented and enforced. It
is clear that a lack of resources, poverty, corruption, and intervening of politics in
these countries are the reasons behind the lack of enforcement of fishery laws and
regulations in the Asia, Africa and Pacific region. Secondly, regulations of mesh
sizes of gill nets used in pelagic sea targeting tuna should be implemented and
enforced as gill nets with small mesh sizes increase the bycatch significantly.
In industrial fisheries, bottom trawl nets, purse seines and purse seining around
heavily proliferated FADs are severely destructive fishing methods due to very large
bycatches, under-sized fish and huge quantities of discards, and damage to the marine
eco system. The best solution therefore would be a ban of these destructive fishing
methods. The best long term sustainable fishing practice would be pole and line fishery
targeting free swimming schools around FADs that are well controlled in numbers.
Bottom trawling, especially in the tropical regions, result in much higher damage to the
benthic environment and benthic fauna as the marine biodiversity is several fold
higher in tropical regions compared to temperate regions. To this end, setting up of
artificial reefs is a firm and long term solution to tackle the bottom trawling problem,
and also to recover and enhance already depleted marine populations in the tropical
region. There should be a wider, continuous awareness and education program for
fishermen together with the fishery regulation enforcement. Also, over capitalised
fishing fleet should be reduced through a government funded buyback program.
Today the over exploitation of marine fish by the super industrial sector in
developed countries, as evidenced by their catch, bycatch and discards, are several
fold high compared to the marine fish catch, bycatch, and discards of artisanal
fisheries in developing countries. It is well known that the main purpose of marine
fisheries in developing countries is to secure the livelihood of millions of coastal
population and support the feeding of hundreds of millions of people in coastal
countries in Asia, Africa, and the Pacific. On the other hand, the main purpose of
industrial fisheries carried out in international waters by developed nations is mere
profit making. For example, in European Community landings, 25% of fish catch
is from outside home waters (Moore and Jennings 2008). As a result, developed
nations have access to a variety of marine food commodities and high con-
sumption. Thus, per capita consumption of captured marine food in developed
nations is several fold higher compared to that of developing nations in coastal
countries.
3.7.3 Reduction of Fishing Effort
Fishing at sustainable levels of assessed stocks has decreased from 90% in 1974 to
71.2% in 2011. Thus, 28.8% of fish stocks were estimated as overfished and fully
fished stocks accounted for 61.3% in 2011 (FAO 2014).
Effort reduction is the cornerstone of managing the effects of fishing, including,
but not limited to, effects on habitat. Today, the main problem in the world marine
fishery, whether it is industrial or artisanal, is the over capitalised fishing fleet. Over
capitalised fishing fleet cause over effort, over exploitation, and thereby very high
bycatch and discards due to badly designed fishing gears with destructive fishing
methods. In addition to very high bycatch, the impact on the physical marine
environment and marine fauna by these destructive fishing gears and methods is
enormous. Many industrial fisheries around the world were pushed to limit their
fishing fleet and fishing voyages due to reduced catch per unit effort and hence
unprofitable business. For example, Japan and Taiwan have reduced their long line
fishery due to reduced catch per unit effort.
Management of effort in dredge fisheries in USA is generally achieved with time and
area closures and with restrictions on the size (blade width and weight) of dredges, the
number of dredges, and the size and horse-power of the towing vessels (NRC 2002).
3.7.4 Reduction of Overcapitalized Fishing Fleet
A very good example of overcapitalized fishing fleet due to generous government

incentives, lack of regulations and regional politics is the bottom trawl fleet in Tamil
Nadu State, Southern India. As described previously, only one third of over 5000 of these
trawl boats have sufficient sea area for sustainable fishing (Pramod 2010). Due to scarcity
of marine fish in Tamil Nadu waters due to over exploitation, and due to extended closed
seasons and closed areas by the Indian government, Tamil Nadu bottom trawlers are
compelled to poach into neighbouring countries to remain profitable. Currently, the
Indian government is implementing a 45 day per year fishing ban. This policy, however,
has limited impact as fishermen move to other states to avoid the fish ban season, or
alternatively, they overfish just before or after the banned season. Scientists and policy
makers in the region urge India to implement a trawl buyback program.
3.7.5 Extended Closed Seasons, Extended Closed Areas,

and Marine Protected Areas/Marine Reserves
Closed areas are necessary to protect a range of vulnerable, representative habitats.

Closures are particularly useful for protecting biogenic habitats (corals, bryozoans,
hydroids, sponges, seagrass beds) that are disturbed by even minimal fishing efforts.
The optimal combination of these management approaches will depend on the
characteristics of the ecosystem and the fishery-habitat type, resident species, fre-
quency and distribution of fishing effort, gear type and usage, and the socioeco-
nomics of the fishery. Each characteristic should be considered during development
of management plans for mitigating the impacts of fishing.
Extended closed seasons have been implemented around the world to synchronise
with breeding, and spawning times of marine animals. Together with extended closed
seasons, extended closed areas are also implemented that are major breeding,
spawning or nursery grounds, major migratory paths, and sometimes areas with bio
diversity hot spots. A further step to closed areas is marine reserves and marine
protected areas that are significantly rich in marine biodiversity. Extended closed
seasons and marine reserves have been proven, to a certain extent, to help signifi-
cantly in mitigating the effects of biodiversity loss caused by fisheries (Halpern 2003).
3.7.6 Change of Policy of Giving Quota for a Single Species
Today, a significant quantum of discards is caused by a weakness in fishery policies

within countries that give quota for a single species. Because of this policy, fishermen
have to discard non-targeted species even though they are edible and/or marketable.
The reality is that no one can catch a single fish species, and fish are caught as
multiple species. If the fish caught are undersized, they should be released alive, if
possible. Otherwise, if the fish caught are edible or marketable, those fish should be
retained, and hence the fishery quota should take into consideration this „non-target‟
catch. Also, it should be compulsory to keep records of all targeted, untargeted and
discarded fish. In this way, a large loss of marine fishery resources can be prevented.
3.7.7 Modification of Fishing Gear and Practices
The design of some fishing gears can be modified or improved to minimise bycatch
and the impact to the marine environment to a certain extent. For example, some
trawl nets are equipped with by-catch reduction devices that involve a metal mesh
with large holes which fits into the cod end of shrimp trawls to let finfish escape.
With this modification, by-catch was reduced by 50% in US shrimp trawls, but loss
of shrimp at the same time through this made the modification unpopular (Moore
and Jennings 2008). Otter trawls can be modified by varying the size and the shape
of the mesh panels used in different parts of the net and the circumference and
length of the cod end. Mid-water trawls, the largest trawl fishery in USA, were able
to reduce juvenile wall eye Pollock by 75% by using a single layer of mesh instead
of two (Moore and Jennings 2008). These escaping fish, however, suffer damages
due to trapping and close confinement, and die easily or are prone to predators,
according to some studies (Chopin and Arimoto 1995). In a similar way, Turtle
excluding devices and cetacean excluding devices are commonly included within
USA and Australian trawls now. Purse seiners implement a program to rescue
dolphins trapped in large purse seines. In long line fishery, a large number of sea
gulls become casualties by attempting to feed on the bait on the hooks. This
happens during day time operations at which sea gulls are active. By operating the
fishery in the night time, the impact to sea gulls can be stopped. Industrial gill nets
that are larger than 10 km should be banned and strictly enforced as such a long net
can kill many sharks, cetaceans and sea birds. These fishing devices can be fitted
with acoustic devices that can generate different types of sound frequencies to avoid
large animals such as cetaceans. This type of research should be encouraged to find
whether such devices can be used routinely in commercial fisheries.
3.7.8 Lessons from Traditional Cultures
It is high time to go back to traditional sustainable fishing methods such as pole and
line fishery, trolling, and traps to sustain marine resources for future generations.
On the other hand, fishermen‟s knowledge and experience should be used to study
gear impacts and to develop new gear technology. Their active engagement in
research will help ensure that mitigation strategies are practical, enforceable, and
acceptable to the fishing community (NRC 2002).
Tuna fish are perhaps the most economically important marine fisheries around
the world, but face a major threat to sustainability. Pole and line fishery should
replace at least a portion of purse seining of tunas, especially around FADs, as these
industrial purse seining are not ecologically sustainable. Tuna fish caught from pole
and line fishery is getting popular among consumers in developed countries, who
demand sea food certification schemes. Pole and line fishery has been practised in
the Indian Ocean, developing coastal countries especially, Maldive Islands, Sri
Lanka, and some Eastern African countries for thousands of years. Tropical Islands
of the Pacific Ocean have also being practicing this sustainable fishing method for
centuries. It is therefore important to recognise this fishing method as the most
sustainable fishing method for tuna fishery, by developed nations, with the help of
world leading organisations such as FAO. There should be technology transfer
programs between countries and joint venture programs preferably facilitated
through United Nations and FAO. Current major constraints to the wide spread of
this sustainable fishing method is the lack of recognition among developed
industrial fishing nations, and lack of facilitation and encouragement by worldwide
organisations such as FAO to adopt and practise this fishing method in industrial
tuna fisheries. Some challenges to this end are finding sufficient amount of bait fish,
and training fishermen to acquire these fishing skills.
3.7.9 Ecosystem Based Fisheries Management and Small

Scale Regional Fisheries Management
Large marine ecosystems (LMEs) are regions of the world‟s oceans that includes
coastal areas, river basins and estuaries from the land area to the seaward bound-
aries of continental shelves and major ocean current systems. The US National
Oceanic and Atmospheric Administration (NOAA) has identified 64 such LMEs
around the world for conservation purposes enabling ecosystem-based fisheries
management as these LMEs produce 95% of the world‟s annual marine fishery
biomass yields. Many research are carrying out seeking feasibility for Large Marine
Ecosystems (LME) as regional units for the implementation of management actions
leading to sustained and predictable yields of living resources (Hall 1999; Gable
2004). Small scale regional fisheries management is a much better approach in
fisheries management as local knowledge on the local marine ecosystem can be
used together with the participation of local fisher folks.
3.7.10 Role of Conservation Organisations

and Governments
Environmental certification of fishing practices and fish products

The latest satellite technology can be used to monitor fishing vessels for IUU
activities that cross international boundaries, fishing in closed areas or marine
reserves. This satellite vessel tracking technology has been already implemented in
North America, Europe, Southern Ocean, and a number of developing countries.
Fish products can be traced back to their source of origin or fish stock using
genetic technology. Accurate species identification, population assignment and
supply chain traceability using this technology will provide a great support in
enforcement of fishery regulations (Ogden 2008).
Sustainable sea food guides
Today, consumer awareness on sustainably caught fish is increasing. European
community countries are very strong on this aspect, and as a result, tuna caught in
purse seines around FADs are becoming unpopular to buy. These countries are
demanding sustainably sourced fish and therefore sea food certification schemes
such as Marine Stewardship Council (MSC) are popular (Jaffry et al. 2016). Further,
some studies have shown that MSC-certified seafood is three to five times less likely
to be subject to harmful fishing than uncertified seafood (Gutiérrez et al. 2012).
The US Court of International Trade recently imposed a ban on importing prawns
from 52 countries that do not have a program to facilitate escaping of turtles from
shrimp trawl nets or a turtle conservation program (Moore and Jennings 2008).
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Chapter 4
Sustainable Aquafeed
Krishna R. Salin, V. V. Arun, C. Mohanakumaran Nair

and James H. Tidwell
Abstract The global aquafeed production is expected to grow by 33% to 101.3

million tonnes by 2025 from the current (2015) estimate of 73 million tonnes,
closely aligning with the targeted world aquaculture production of 101.8 million
tonnes. Aquafeed industry mostly depends on the fish meal and fish oil from
capture fisheries to supplement the essential nutrients for optimum growth perfor-
mance in aquaculture. There has been an increasing trend to incorporate ingredients
such as protein meals of plant and animal origin in aquafeeds as a consequence of
the limited availability, fluctuating price and the growing concerns on the sus-
tainability of fish meal and fish oil. The algal meal has been successfully incor-
porated in shrimp diets resulting in growth comparable to fishmeal suggesting
potential replacement of fish meal even in shrimp larval feeds. The replacement of
fish oil by 40–100% using various plant-based sources such as the marine
microalgae, Schizochytrium in the diets of salmon, channel catfish, grouper and
tilapia among others have also been reported. These results suggest the potential for
the formulation of an aquafeed that is completely devoid of fishmeal and fish oil.
However, one of the major concerns about the concept of „vegetarian fish‟ is related
to its taste and nutritional quality, particularly in the content of polyunsaturated
fatty acids (PUFA). To sustain the desirable health benefits from fish intake in
humans, reduced nutritional quality of farmed fish would demand higher dietary
inclusion compared to the currently recommended levels. Genetically modified
(GM) yeast, camelina, and metabolically engineered diatoms have been suggested
to potentially replace fish oil in aquafeeds for improving the PUFA content in
K. R. Salin (&)
Aquaculture and Aquatic Resources Management (AARM),
Asian Institute of Technology, Khlong Luang, Pathumthani 12120, Thailand
V. V. Arun
ICAR-Central Institute of Fisheries Education, Mumbai 400061, India
C. Mohanakumaran Nair
Sakalyam, Vikram Sarabai Road, Kochi 682304, India
J. H. Tidwell
Division of Aquaculture, Kentucky State University, Frankfort, KY 40601, USA

124 K. R. Salin et al.
vegetarian fish. However, the ethical, environmental and economic costs of the use
of GM organisms as an ingredient in aquafeed need to be evaluated for their
recognition as a sustainable alternative in aquafeed.
·
Keywords Aquaculture feed Vegetarian fish · Plant-based ingredients
·
Fish meal replacement Fish oil
4.1 Introduction
World population is expected to reach 9.7 billion by 2050. Out of the current
population of 7.3 billion, 780 million people are estimated to be undernourished in
2015 (SOFIA 2016). A major responsibility is vested with agriculture sector to feed
such a huge population and ensure food and nutritional security in a sustainable
way, which is a big challenge. Some of the major constraints for sustainable
development of agriculture sector are climate change, global warming, scarcity of
land and water, outbreaks, lowering oil price, regional conflicts, and instabilities
and slow growth rate in global economy. Several strategies have been discussed for
ending poverty and hunger, an ambitious target to be achieved by 2030 according to
the Sustainable Development Goals set at the United Nations Sustainable
Development Summit, 2015 (SOFIA 2016; UN 2015).
Proteins of animal origin in the diet help to alleviate malnutrition as they contain
essential nutrients like vitamins, x-3 fatty acids and minerals. In the next decade a
„nutrition transition‟ is predicted in developing countries from a calorie rich cereal
diet to protein rich meat diet including beef, poultry, pig, sheep and fish, mostly
driven by the increased rate of growth in per capita income there. This paradigm
shift in consumption pattern would lead to an increased demand for meat products.
Population growth and strengthening developed economies will also lead to a
higher demand for meat products (OECD/FAO 2016).
4.2 Trends in Global Animal Meat Production
World beef production is expected to register a better average annual growth of

1.38% in the next decade (2015–2025) compared to the previous decade‟s growth
rate of 0.82% (2005–2015). Similar upward trend is expected in the sheep meat
production as well (1.44–1.98%). However, average growth rate in all other meat
production sectors including pig (1.74–1.07%), poultry (3.19–1.51%) and fish
(2.24–1.4%) will slow in the next decade. In general, overall meat production is
projected to grow by 16% between 2013–2015 base period and 2025 (OECD\FAO
2016) (Fig. 4.1). However, it is expected that the production of sheep meat
4 Sustainable Aquafeed 125
Fig. 4.1 World meat

production. Data Source
OECD/FAO (2016)
Fig. 4.2 Trend in price of

world meat production. Data
Source OECD/FAO (2016)
followed by poultry and fish will grow at 23.35, 19.02 and 17.39%, respectively
during the same period.
The sluggish growth in global meat production can be correlated with the falling
price of meat products (Fig. 4.2). Since the record hike in price of meat products
observed in 2014, it is expected that that price will come down and stabilize around
2018–2019. Thereafter the price will again start to rise albeit in a slow pace. Beef,
poultry and fish prices are projected to show negative average annual growth rates
(−1.47, −0.42 and −0.03, respectively) in the next decade (2015–2025) compared
Fig. 4.3 World per capita

meat consumption. Data
to the 2005–2015 period. This softening of price, particularly because of

strengthening of the dollar, El Niño effect, and slow down of emerging markets will
positively affect the per capita consumption of meat products (Fig. 4.3) in the
coming years (OECD/FAO 2016). Further lowering of price expected for meat
products in the next decade may be due to a lower demand for meat products that
can be attributed to economic difficulties in Russia, Brazil, China and Japan.
However, strengthening USA and European economies will have a positive impact
on the demand for meat products (OECD/FAO 2016).
4.3 Health Benefits of Fish
The human consumption of meat products in the next decade will be influenced by
their price, the potential health benefits and risks as well as their perceived sus-
tainability. The primary benefit of consuming meat lies in its nutritional compo-
sition. Animal meat continues to be the best source of dietary protein, fats,
cholesterol, vitamins and minerals. However, there is still widespread discussion on
the actual health benefits of many meat products. Several recent studies have shown
a positive association between the consumption of red meat or processed meat and
chronic diseases such as cancer, heart diseases and diabetes (De Smet and Vossen
2016; Kushi et al. 2006). In this context, fish is regarded as one of the most
beneficial and safe animal meat products for human consumption (Photo 4.1).
The health benefits of fish are many. Fish is well known for its balanced com-
position of essential amino acids. Fish is a good source of vitamins especially
Photo 4.1 Seafood forms an essential part of a healthy diet. Photo by K.R. Salin
Photo 4.2 Appealing seafood display at a restaurant in Wuhan, China. Photo by K.R. Salin
vitamin D, A and B. Fish provides minerals such as calcium, iodine, zinc, iron and
selenium. It is suggested that fish rich in x-3 fatty acids may reduce the chances of
cardiovascular diseases (Kushi et al. 2006). Studies conducted in animals indicate
that fish oil suppresses the incidences of cancer (Kushi et al. 2006). Fish oil also
helps in controlling obesity in human beings. (Wong et al. 2013). These positive
health attributes are expected to lead to a surge in fish consumption in the next
decade and place fish at an advantage, encouraging a substantial shift in consumer
preference towards fish over the relatively inexpensive poultry products (Photo 4.2).
4.4 Paradigm Shift in Aquaculture Feed Sector
Boundless opportunities exist for the seafood sector as the world draws itself into a
„global village‟ with rapid urbanization, and the emergence of middle class popu-
lation as major consumer segment in many parts of the world. Capture fisheries
production has been stagnated at around 90 million tonnes since the 1990s
(Fig. 4.4). However, the total fisheries sector (capture and aquaculture) has been
growing at 3.2% since 1961 and has outpaced the global population growth with
per capita consumption of fishery products reaching 20 kg in 2015 (SOFIA 2016).
This remarkable growth has been achieved primarily through the contribution of
aquaculture, one of the fastest growing food production sectors in the world. In the
last decade (2006–2015), aquaculture has grown at an average annual rate of 5.53%
but it is expected to slow to around 3% in the next decade. It is estimated that
aquaculture has to grow by 33% in terms of production volume from 75.9 million
tonnes (OECD/FAO 2016) in the next ten years to meet the projected additional
output of nearly 25 million tonnes to reach a total production of 101 million tonnes
by 2025 (Fig. 4.4).
Fig. 4.4 Global production

of fish from capture fisheries
and aquaculture, and
requirement of feed. Data
However, key challenges that arise in the context of a sustainable annual growth
rate of aquaculture include:
• The fishmeal challenge: how sustainable is to catch wild fish to feed the farmed
fish?
• How to address the issue of carnivorous fish that are produced at a higher
environmental and economic cost compared to the herbivores?
• How sustainable is the transition from fish meal to plant based ingredients in
aquafeed?
• How to ensure and maintain nutritional superiority of aquafeeds with plant
based ingredients in place of fish meal?
• How biotechnology can be applied to ensure sustainability of the aquafeed
industry?
One of the major segments of the aquaculture production system is supple-
mentary feed which accounts for over 60% of the total cost of production.
Supplementary feeds provide the required macronutrients (protein and lipids) while
relying on natural foods from the culture system (usually ponds) to supply
expensive micronutrients (vitamins and minerals). Availability of good quality of
feed at adequate volumes is essential to achieve the targeted aquaculture produc-
tion. Over the past few decades the aquafeed industry has transformed from the
traditional feeding using trash fish and rice bran/oil cake mixture to the high quality
compounded pelleted feeds (Photos 4.3 and 4.4). Current level of feed technology
addresses the nutritional requirement for farmed aquatic animals to the level of
individual amino acids, vitamins and mineral requirements (complete feeds). In
Photo 4.3 Intensive raceway farms like this in Shanghai, China are based on high feeding rates of
high quality feed. Photo by K.R. Salin
Photo 4.4 Pellet feed used in aquaculture. Photo by K.R. Salin
view of the aqua feed production over the previous decade (2006–2015) that has
recorded an average annual growth rate of 5.9% and its projected growth rate of
3.3% in the next decade (2016–2025), the total feed requirement in 2025 for
aquaculture sector is estimated to be 101 million tonnes (Fig. 4.4).
4.5 Feed Ingredients—The Fish Meal and Fish Oil

Dilemma
One of the major constraints for aquafeed production is the limited availability of
feed ingredients and their booming prices. The inclusion of fish meal and fish oil in
aquafeeds and their positive impact on the composition of the final product are
primarily responsible for the health benefits of aquaculture products compared to
other meat products (Henriques et al. 2014). Rational use of fish meal and fish oil
plays a major role in maintaining efficient feed conversion ratios (FCR) and opti-
mum growth in aquatic organisms (Photo 4.5).
Fish meal is prepared by cooking, pressing, drying and milling of low value
marine fishes, particularly the small pelagic fish that are not suitable for human
consumption, and fish processing waste. Fish oil is prepared by centrifuging the
press liquor obtained after fish meal production. Fish meal generally contains
60–72% protein depending upon the raw material used (Shepherd and Jackson
2013) and is a high quality protein with a uniquely balanced amino acid
Photo 4.5 The quality of fish meal used in aquafeeds is critical. Microscopic examination can
help to select the best quality fish meal for feed manufacturing process. Photo by K.R. Salin
composition, including all the essential amino acids. This property makes fish meal
an ideal ingredient in aquatic and terrestrial animal feeds, which ensures the best
growth, survival and reproduction in animals, compared to most plant based protein
sources. Fish meal is a very good source of nucleotides, essential fatty acids and
phospholipids. It also contains minerals like calcium, phosphorus, magnesium,
zinc, manganese, selenium, iodine, molybdenum and chromium, in addition to the
water soluble and fat soluble vitamins. Fish oil is a natural source of essential
polyunsaturated fatty acids like eicosapentaenoic acid (EPA) and docosahexaenoic
acid (DHA).
In 1960, the poultry and pig industries consumed as much as 98% of the global
fish meal supply. However, as the salmon farming techniques became popular in
temperate countries the aquaculture industry was using about 10% of the global
supply of the fish meal by 1980 (Shepherd and Jackson 2013). This trend continued
with the rapid expansion of aquaculture sector, while the terrestrial animal feeds
moved closer to plant based ingredients. In 2012, aquafeed industry consumed
almost 68 and 74% of the global fish meal and fish oil produced, respectively
(Mallison 2013).
Global fish meal production increased over time until 1994 with a peak pro-
duction of 7.5 million tonnes. Fish oil production also reached its peak of 1.5
million tonnes by 1994 (Fig. 4.5). The fish meal and fish oil production declined
thereafter, although with inter-annual fluctuations. The lowest production levels of
fish meal were observed during 1998, 2003, 2010 and 2014 with volumes of 5.3,
5.5, 4.4 and 4.1 million tonnes, respectively. Consequently, fish oil production was
Fig. 4.5 Global fishmeal and

fish oil production. Data
Fig. 4.6 Global fishmeal and

fish oil price. Data Source
OECD/FAO (2016)
also low during 1998, 2003, 2010 and 2014 with 0.85, 0.86, 0.9 and 0.78 million
tonnes, respectively. Over the last decade (2006–2015) the total fish meal and fish
oil production have shown negative annual growth rates of −2.57 and −0.29%,
respectively.
4.6 Impact of Fish Meal and Fish Oil on Feed Cost
The cost of aquafeed depends to a great extent on the price of fish meal and fish oil.
The average annual price of fish meal was the lowest in 1994 and 1999 at 403 and
433 US$/tonne, respectively (Fig. 4.6). Since 1999 the price had continued to
increase reaching 1230 US$/tonne in 2009. However, fish meal prices surged
steeply thereafter with 1687 US$/tonne in 2010 and a peak of 1747 US$/tonne in
2013. In the past decade (2006–2015) fish meal price increased at an average annual
growth rate of 8.94%.
A similar trend is also observed in fish oil price where the lowest price levels of
325 and 262 US$/tonne were observed during 1994, 2000, respectively. The price
of fish oil increased at a slow pace until 2002 and gained momentum thereafter.
However, after 2010 there was a sudden spike reaching a peak in 2014 (1923 US$/
tonne). It is also interesting to note that the annual average fish meal prices were
higher than fish oil until 2010, when fish oil became more expensive than fish meal.
4.7 Status of the Major Fish Stocks Supporting

Fish Meal and Oil
During 2013–2015 period nearly 17% of the total capture fisheries was utilized for
fish meal production (SOFIA 2016). Fish meal is mainly derived from small pelagic
fish with high oil content. These fish stocks are often characterized by early mat-
uration and high fecundity. The species used for reduction to fish meal depend on
the region of production. For example, the European fish meal production is mainly
from fish such as capelin (Mallotus villosus), blue whiting (Micromesistius
poutassou), small sand eel (Ammodytes tobianus) and Norway pout (Trisopterus
esmarki). These species comprised 35% of the total fish meal requirement of the
European feed industry with the rest imported from South America (20%), derived
from Antarctic krill or, from food fish processing waste (Huntington and Hasan
2009).
A major global producer of fish meal is South America. Peruvian anchovy
(Engraulis ringens) and Chilean jack mackerel (Trachurus murphyi) dominate the
South American fish meal industry. Alaska Pollock (Theragra chalcogramma),
Argentine hake (Merluccius hubbsi) and Southern blue whiting (Micromesistius
australis) are also reduced to fish meal in South America. In Africa small pelagic
fishes are mainly used for direct human consumption. South Africa has a fish meal
industry dominated by European pilchard (Sardina pilchardus), other sardines and
European anchovy (Engraulis encrasicolus) (Huntington and Hasan 2009).
A time series analysis of the major pelagic fish stocks which contribute to fish oil
and fish meal production shows wide inter-annual fluctuations (Fig. 4.7). Over the
past quarter of a century (1990–2014) small pelagic fish capture production was
dominated by three species, namely Peruvian anchovy, Alaska pollock, and Chilean
jack mackerel with shares of 45, 23 and 13%, respectively. Together these three
species contributed 81% of the small pelagic fish captured for fish meal and fish oil.
It is evident that Peruvian anchovy production account for much of the variation in
small pelagic fish production. During the past 25 year, Peruvian anchovy peaked at
12.5 million tonnes in 1994, with its lowest point in 1998 (1.7 million tonnes),
followed by a continuous decline. The catch of Alaska Pollock had shown a
declining trend till 2000 thereafter maintaining around 2.8 million tonnes till 2010.
However, this catch has improved thereafter showing some signs of recovery. The
Chilean jack mackerel had also shown a strong decreasing trend. After registering a
peak of 4.95 million tonnes in 1995, it reached a record low of 0.35 million tonnes
in 2013 (data compiled from FAO database).
Major reasons for the declining trend in the harvests of small pelagic fish are
believed to be over-exploitation of their wild stocks for direct human consumption
and production of fish meal or fish oil, and climate change, particularly along the
Pacific coast, which is rich in anchovy stocks (Shepherd et al. 2017). Global climate
change combined with the El Niño phenomenon has escalated sea surface tem-
peratures thereby shifting the anchovy stocks towards deeper areas making them
hard to harvest (Shepherd et al. 2015). Reduced food (plankton) availability in
deeper water also leads to emaciation and poor survival of the anchovy stocks (Pike
and Tocher 2016). A sizeable El Niño effect was reported during 1998 and 2014,
while the weaker ones were observed during 1992, 2003 and 2010 (Pike and Tocher
2016). After the strong El Niño in 2014, signs of recovery in anchovy stocks were
seen in 2015 and in early 2016 thereby offering some relief on the prices of fish
meal and fish oil (OECD/FAO 2016). It is projected that by 2018 the prices of fish
Fig. 4.7 Global pelagic fish

production used for fishmeal
and fish oil production (Total
production includes Norway
pout and Southern blue
whiting in addition to the
fishes mentioned in the
graph). Data Source FAO
fisheries and aquaculture data
base
meal and fish oil will reach their levels of 2008, but the following decade is
expected to witness a hike in their price (Fig. 4.6).
4.8 Non-aquafeed Uses of Fish Meal
Fish meal and fish oil are also consumed by livestock industries apart from aqua-
feed manufacturing. The global animal feed production in 2015 was 980 million
tonnes contributed by poultry (45%), pig (27%), ruminant (20%), aquaculture (4%),
pet (2%), and horse (1%) industries (Alltech 2015). While aquafeed accounts for
only 4% of the total livestock feed production, a majority of the fish meal produced
is consumed by aquaculture (68%) followed by pig (23%) and chicken (7%) feed
industries. Aquafeed industry consumes 74% of the total fish oil produced and the
remaining is mainly used for human consumption (22%) (Mallison 2013). The
industries that process fish oil for human consumption can support higher prices
than the aquafeed industry.
Of late it has been demonstrated that waste fish oil could be a raw material for
production of biodiesel, which may in future result in much greater demand for fish
oil globally (Behçet 2011; Lin and Li 2009). However, this demand could be offset
by the prevailing lower crude oil prices and would depend on further fluctuations in
their global prices to favor some interest on biodiesel production.
The static supply of fish meal from the wild harvest of small pelagic fish,
combined with a rapid growth of the aquaculture industry means that alternatives to
fish meal of a scale to adequately support the aquafeed manufacturing industry for a
projected global production of 101 million tonnes of fish from aquaculture by 2025
must be identified and developed.
4.9 Alternative Sources of Feed Ingredients to Fish Meal
There have been a number of options available to supplement or replace fish meal
as a protein source in aquafeeds. Important among them are fish processing waste
and plant-based ingredients.
4.9.1 Fish Processing Waste
One of the earliest strategies for realizing sustainable aquafeeds involved the uti-
lization of fish processing waste as raw material for the production of fish meal and
fish oil. Improved per capita income and purchasing power of consumers, partic-
ularly in developing countries, have shifted the demand from whole fish to pro-
cessed products like fish fillets. This generates huge amount of processing waste,
which can present many environmental challenges related to their disposal. Waste
Table 4.1 Waste generation during fish processing (Arvanitoyannis and Kassaveti 2008)
Mode of processing Fish (kg) Solid waste (kg)
White fish filleting 1000 Skin: 40–50
Heads: 210–250
Bones: 240–340
Oily fish filleting 1000 400–450
Scaling of white fish 1000 Scales: 20–40
Deheading of white fish 1000 Head and debris: 270–320
Filleting of deheaded white fish 1000 Frames and off cuts: 200–300
Filleting of ungutted oily fish 1000 Entrails, tails, heads and frames: 400
Skinning white fish 1000 Skin: 40
Skinning oily fish 1000 Skin: 40
Table 4.2 Fish waste Component Average weight (%)

generated during filleting
process (Waterman 1979) Head 21
Gut 7
Liver 5
Roe 4
Backbone 14
Fins and lungs 10
Skin 3
Fillet, skinned 36
Table 4.3 Proximate Nutrient Fish waste

composition of fish waste
(Esteban et al. 2007) Crude protein (%) 57.92 ± 5.26
Fat (%) 19.10 ± 6.06
Crude fiber (%) 1.19 ± 1.21
Ash (%) 21.79 ± 3.52
Calcium (%) 5.80 ± 1.35
Phosphorous (%) 2.04 ± 0.64
Potassium (%) 0.68 ± 0.11
Sodium (%) 0.61 ± 0.08
Magnesium (%) 0.17 ± 0.04
Iron (ppm) 100 ± 42
Zinc (ppm) 62.00 ± 12
Manganese (ppm) 6±7
Copper (ppm) 1±1
products include fish frames, offal, trimmings and offcuts, all of which are nutri-
tionally rich and could be used as a source of fish meal and fish oil (Ghaly et al.
2013) (Table 4.1).
Fig. 4.8 Global fish

production by resources. Data
The fish processing waste generated depends on the final product prepared
(Tables 4.2 and 4.3). Contribution of the fish meal produced from waste products is
expected to reach 38% in the next decade (2015–2025) from the current 29%
(Fig. 4.8). Even though recycling of fish products to fish meal can have a positive
impact on sustainability, it may have an effect on the quality of the fish meal
produced which is reported to have less protein, more ash content and an imbal-
anced amino acid composition compared to fish meal from capture fisheries (FAO
2016; SOFIA 2016).
Similar to fish processing waste, terrestrial animal protein meals and oils can also
be used as alternatives for fish meal and fish oil. Meat by-product meals and fats
reduced from the slaughtered animals like cattle, pig, sheep and poultry are some of
the potential ingredients. Blood meals produced from farmed livestock can also
substitute fish meal (Tacon et al. 2011). However, the inclusion levels of animal
protein meals and lipids are limited by their nutrient imbalances, palatability issues,
and the deficiency of certain nutrients.
4.9.2 Plant Based Ingredients—Protein Meals

and Vegetable Oils
Over the past decade a major focus of the feed industry was to evaluate the
inclusion of plant based ingredients as a replacement for fish meal and oil. The plant
based protein meals (example: soybean meal, rapeseed meal, sunflower meal,
groundnut meal, coconut meal, cotton seed meal and palm kernel meal) and
Fig. 4.9 Global oil seed and

protein meal production. Data
vegetable oils (soybean oil, rapeseed oil, cotton seed oil, coconut oil, palm oil,
groundnut oil, sunflower oil and palm kernel oil) are increasingly included in
aquafeeds to circumvent the shortage of fishmeal and fish oil.
Soybeans account for 69% of the total world production of oilseeds. Soybean
production in 2015 was 318 million tonnes, of which 89% (284 million tonnes)
was converted into soy crush to be further reduced as oil and protein meal
(Fig. 4.9). The average annual growth rate of soybean crush production is expected
to slow to 2.8% in the coming decade (2015–2025) compared to the previous
decade (4.2%, 2005–2025). Soybean crush is expected to grow by 26% in volume,
with an additional production of 75 million tonnes, in the next ten years.
Slow average annual growth is expected in other oilseed crush production
sectors (1.7%) over the next decade compared over the previous decade (3.3%).
The amount of protein meal consumed in feed production is projected to expand by
25% and reach 385 million tonnes by 2025. The production of protein meals used in
feed is expected to grow at slower average annual growth rate of 2.6% during
2016–2025 compared to the period 2006–2015 (3.7%).
Vegetable oil production is projected to reach 219 million tonnes in 2025 from
the current production of 178 million tonnes in 2015 with an annual growth rate of
23%. Average annual growth rate is expected to slow to 2.5% over the next decade
(2016–2025) from 4% in the previous decade (2005–2015). The prices of protein
meal, oilseeds and vegetable oils, which are often interdependent, are projected to
be lower and stabilized in the coming decade (2015–2025) after reaching a record
peak during the period from 2007 to 2014 (Fig. 4.10). Soybean price has reached a
maximum of 562 US$/tonne in 2011. It is expected that the price of soybean,
which is currently a major ingredient of the feed industry will stabilize around 397
US$/tonne during the next decade which is a positive sign for the feed industry.
Fig. 4.10 Global oil seed

and protein meal price. Data
Average annual growth rate of the soybean price should fall to 1.2% in the next
decade (2016–2025) compared to the previous decade‟s growth rate of 6.3%
(2006–2015). Similarly, prices of other oilseeds should also come down during
this period.
The average price of protein meal is projected to undergo a hike of 17% between
the period from 2015 to 2025, and is expected to remain around 328US$/tonne
during this period (Fig. 4.10). However, the average annual growth rate in protein
meal price will significantly come down to 1.4% in the projected period compared
to the previous 7.6% (2006–2015). Considerable reduction in the average vegetable
oil price can be expected in the next decade. Average price will come down to 798
US$/tonne during 2016–2025 from the 945 US$/tonne in the last decade (2006–
2015). Average annual growth rate of the vegetable oil price in the coming years is
very minimal (1.8%, 2016–2025) compared to the previous decade‟s growth of
6.4%. The production of protein meal and vegetable oil is expected to grow in the
next decade ensuring their greater availability for the feed industry. Their prices are
expected to remain lower than their previous peak values making them a sustainable
resource for animal feed production, particularly in aquafeeds (Fig. 4.10).
The inclusion of a wide range of plant based ingredients in aquafeed, in place of
fish meal and fish oil is expected to enhance the sustainability of the industry. By
reducing their utilization for manufacturing fish meal and fish oil, the low value,
nutrient rich fish can be diverted for direct human consumption to boost the food,
nutritional and livelihood security to alleviate the malnutrition problems, particu-
larly in Low Income Food Deficit countries (Photo 4.6). However, major changes
might be required in the preservation and transportation of such low valued fish in
developing countries. This strategy is also an environmentally sustainable solution
as it would also help to reduce overexploitation of fish stocks. In other words, an
aquafeed industry that is less reliant on fishmeal and fish oil as a major ingredient
would be more environmentally, socially and economically sustainable.
4.10 Journey to a True „Vegetarian Fish‟—The Salmon

Story
The aquaculture feed industry has transformed itself over the past 15 years with a
significant shift from a fishmeal based approach to formulations based on plant
ingredients. One of the best examples of this change is the case of salmon feeds that
are well known for their higher inclusion levels of fishmeal. While there were
variations reported among different countries, the average inclusion level of fish-
meal in salmon feeds was nearly 29% during the period from 1995 to 2008
(Fig. 4.11). Post 2008, there was a drastic reduction in fishmeal inclusion level
observed that coincided with the surge in fishmeal price around that period and the
following years. In 2015 the fishmeal inclusion level remained at 17.5% and was
projected to come down further to a level of 12% by 2025 (OECD/FAO 2016;
SOFIA 2016). The inclusion level of oil seed meal in salmon feed, which was as
low as 3.4% in 1995 has reached 13% in 2015, and is expected to rise to 18.6% by
2025.
Another major consumer of fishmeal is the shrimp industry. Unlike in the salmon
industry, the process of reduction in the levels of fishmeal inclusion in shrimp feed
was gradual reaching 8.3% in 2015 from a peak of 19.3% in 1995 (Fig. 4.12). In
Fig. 4.11 Inclusion level of

fishmeal and fish oil in
Salmon feed. Data Source
OECD/FAO (2016)
Fig. 4.12 Inclusion level of

fishmeal and fish oil in
Shrimp feed. Data Source
OECD/FAO (2016)
the next decade, the inclusion level would stabilize around 6% without significant
reduction any further (OECD/FAO 2016; SOFIA 2016).
„Vegetarian fish‟ refers to fish fed with a feed containing no animal based
ingredient. This concept is gaining momentum, particularly because of the surging
prices of fishmeal and fish oil, and an increasing realization of the unsustainability
of the animal based ingredients in aquafeeds. The question whether vegetarian fish
is an option for the sustainability of aqua feed industries is still debatable. Perhaps it
is one of the feasible solutions to address the emerging concerns of sustainability in
the aqua feed industry, given the fact that in future, fishmeal would be confined as a
strategic ingredient in larval feeds, while a lion‟s share of the growout feeds for
majority species would be based on ingredients derived from plants.
4.11 Challenges to a Vegetarian Feed for Fish
There are several challenges to develop a 100% vegetarian fish, particularly in the
case of salmon. Presently salmon is regarded as one of the most efficient livestock
in terms of edible yield, FCR, energy retention and protein retention (Bjørkli 2002).
Feed Conversion Ratio (FCR) realized in the case of Atlantic salmon is 1.15
compared to the 2.63, 1.79 and 6.3 for pig, chicken and lamb, respectively. It would
be difficult to maintain the present lowest FCR and higher growth rates of salmon
using a 100% vegetarian feed.
Photo 4.6 Small pelagic fish (left) and shrimp (right) harvested from Lake Victoria, East Africa
used as a major food resource for the local population. Photo by K.R. Salin
4.11.1 Replacement of Fish Meal by Protein Meals
The most widely used fish meal replacement in the aquafeed industry is soybean.
Soybean could replace up to 33% of fishmeal as protein source in salmon diets
(Carter and Hauler 2000). However, at higher inclusion levels soybean meal was
found to induce a condition called non-infectious sub-acute enteritis in salmon
characterized by pathological changes in the mucosal lining of the distal intestine
(Baeverfjord and Krogdahl 1996). Growth performance and feed efficiency were
also reported to be affected negatively by the higher inclusion levels of soybean
meal. This problem could however, be solved to a certain extent by using soy
protein concentrate (Drew et al. 2007; Kaushik et al. 1995; Murai et al. 1987; Olli
and Krogdahi 1994). The efficacy of using soybean meal as a single ingredient
replacement of fishmeal versus a combination of plant and animal based diets was
also studied. It was found that the combination could result in growth comparable to
diets having fishmeal as the sole source of protein (Burr et al. 2012; Davidson et al.
2016; Øverland et al. 2009; Torstensen et al. 2008). In the largemouth bass, which
is a strict predator, Tidwell et al. (2005) evaluated a series of plant and animal
protein sources at different rates of inclusion and fishmeal replacement. They found
that poultry by-product meal could fully replace fishmeal, but that the combination
of blood meal and corn gluten meal (previously identified as the best combination
protein) could not.
In a study conducted on post smolt Atlantic salmon, researchers compared the
growth performance of fishmeal based diet and fishmeal free diets in a recirculating
aquaculture system (Davidson et al. 2016). The fishmeal free diets included mixed
nut meal, poultry meal, wheat flour, and corn protein concentrate, while the fish-
meal based diets contained menhaden meal, poultry meal, soy protein concentrate,
and blood meal proteins. Equal growth response was achieved in both the fish meal
based diet and fish meal free diets. The combination of different plant based
ingredients would ensure proper balance of all essential amino acids, vitamins and
minerals (Davidson et al. 2016). This is a very promising result that supports the
concept of vegetarian fish and would help aquaculture to maintain its preeminent
position over other livestock in terms of FCR and growth.
4.11.2 Replacement of Fish Meal and Oil

by Microalgal Products
Successful reports of the replacement of fish oil by using marine microalgae, par-
ticularly Schizochytrium spp. have been reported in the case of salmon. In the diets
for Atlantic salmon parr, fish oil was completely replaced by the Schizochytrium oil.
There was no significant difference in growth and FCR between fish fed algae oil
and those fed fish oil. The DHA content of the muscles of algae oil fed fish were
higher than the muscles of fish fed with fish oil diet (Miller et al. 2007), which is
promising.
In channel catfish, addition of 2% dried Schizochytrium resulted in higher weight
gain, feed efficiency and higher level of DHA (Li et al. 2009). In grouper, it was
reported that a combination of soybean meal, soyprotein concentrate and
Schizochytrium algae meal could replace fishmeal up to 40%. Schizochytrium algae
oil could also completely replace fish oil in grouper diets without affecting growth
performance and health (García-Ortega et al. 2016). In Nile tilapia (Oreochromis
niloticus), significantly higher weight gain, lower FCR and high protein efficiency
ratio (PER) were observed in the fishes fed with 100% Schizochytrium algae oil
compared to the fishes fed with fish oil. It was also found that fish oil replacement
with algae oil resulted in better deposition of polyunsaturated fatty acids (PUFA) in
the fillets of Nile tilapia (Sarker et al. 2016). In another study in longfin yellowtail
Seriola rivoliana, 80% of the fishmeal in the feed was replaced with a combination
of soybean protein concentrate, squid and algal meals without compromising
growth. The diet was supplemented by amino acids methionine, lysine, and taurine.
It was also demonstrated that blends of fish oil, Schizochytrium limacinum meal,
and canola oil could be used without affecting the growth of fish (Kissinger et al.
2016).
Schizochytrium can also be used as a dietary supplement for fish or shrimp. In
larval microdiets of Litopenaeus (Penaeus) vannamei, 4% inclusion of the
Schizochytrium meal significantly improved their growth performance without
affecting PUFA deposition in the muscles (Wang et al. 2016). This study may
change our perception that dietary inclusion of fishmeal is essential for ensuring
good larval survival of shrimps. While fishmeal is generally regarded as an essential
ingredient in larval diets, it is now evident that fishmeal could be replaced suc-
cessfully by algae meal up to a certain extent. Future research would explore partial
or complete replacement of fishmeal and fish oil in larval diets.
Other algae that are used as fishmeal and oil replacement in aquafeeds include
Desmodesmus, freeze-dried Isochrysis, Chlorella meal, Phaeodactylum tricornu-
tum, Nannochloropsis and Spirulina. In the feeds for European seabass
Dicentrarchus labrax, it was found that 20% of protein and 36% of lipid could be
replaced using the freeze-dried Isochrysis without affecting growth performance
(Tibaldi et al. 2015). In Atlantic salmon diets, 6% of fishmeal could be replaced
with Phaeodactylum tricornutum meal without compromising growth and FCR
(Sørensen et al. 2016). In juvenile European seabass diet, a 50% fish oil replace-
ment by Nannochloropsis meal was done without any negative impact on growth
performance (Haas et al. 2016). Juvenile Nile tilapia fed with 30% spirulina as
replacement for fishmeal was shown to improve the growth and feed utilization
efficiency (Velasquez et al. 2016). In Atlantic salmon it was possible to replace 20%
of fishmeal with defatted Desmodesmus algae (Kiron et al. 2016). In juvenile
channel catfish, Ictalurus punctatus, inclusion of up to 40% of Chlorella meal with
or without supplemented lysine (2%) could significantly increase feed consumption
and weight gain (Kupchinsky et al. 2015).
Compared to Schizochytrium which was tested for complete replacement of fish
oil in the diets of fish, other algae were generally used as partial replacement. Most
of these studies were conducted on marine fish, particularly a few carnivores. In a
study on crucian carp, Carassius auratus it was demonstrated that Chlorella meal
could completely replace fishmeal in diets when they were supplemented with
−1
cellulases at the level of 2 g kg (Shi et al. 2017). Camelina (Camelina sativa) oil
is another fish oil replacement that was described to have the potential to com-
pletely replace fish oil in Atlantic salmon without affecting their growth perfor-
mance and health (Hixson et al. 2014). It can be concluded that the tremendous
effort invested by scientists across the world over the past decade has completely
transformed the non-vegetarian fish that were fed animal based diets into partial or
complete vegetarians.
4.11.3 Nutritional Quality of Vegetarian Fish Meat
One of the major concerns about the vegetarian fish is centered on its taste and
nutritional quality. It is important to evaluate the nutritional quality of vegetarian
fish compared to the non-vegetarian counterparts, particularly with regard to their
content of long chain polyunsaturated fatty acids like EPA and DHA which are
important for human health.
Nutritional quality of the salmon products collected from retailers was analyzed
to determine the effect of feed ingredients on meat quality (Henriques et al. 2014).
The x-3 PUFA present in salmon fillets are mainly derived from their feed because
salmon has very limited capacity for the endogenous production of x-3 PUFA.
Three types of fillets from salmon, namely farmed salmon fillets (dominant of
vegetable oil markers), farmed salmon fillets (dominant of fish oil markers) and
wild salmon. The farmed salmon fillets which were fed with vegetable oil had
predominantly the 18:1n − 9 and 18:2n − 6 fatty acids. In contrast the fillets
produced from the fish fed with fish oil rich feed had greater x-3 PUFA, especially
EPA and DHA. The farmed fish had higher total lipid content than the wild fishes.
Farmed salmon had a minimum EPA + DHA content of≥1 g/100 g flesh irre-
spective of the lipid source. The recommended dietary intake of EPA + DHA for
humans is 500 mg/day or 3.5 g/week. Consumption of cultured salmon fillet with a
portion of 150 g (two meals each with 75 g of flesh in a week) is sufficient to
provide the recommended ration of EPA + DHA for good cardiac health. However,
wild salmon fillet tested had <0.5 g of EPA + DHA in 100 g of flesh, and so their
products would have to be consumed 4–5 times in a week to ensure the recom-
mended dietary intake (Henriques et al. 2014).
The level of inclusion of fish oil in Norwegian salmon industry was 11% in
2013. This results in 2.5 g of EPA + DHA in 100 g of salmon fillet. Two servings
of salmon fillets each with 75 g in a week are sufficient to have the recommended
EPA + DHA content in the diet. If the fish oil inclusion was reduced from the
current 11 to 5%, correspondingly EPA + DHA in the fillet would come down to
1.3 g/100 g of fillet. It would then be necessary to consume 3.6 servings of fillet
each with 75 g in a week to meet the recommended dose of EPA + DHA (Bell
et al. 2001; Pike and Tocher 2016; Ytrestøyl et al. 2015). The salmon fillet is an
expensive commodity compared to other fish products. Doubling the recommended
dietary intake resulting from a 5% inclusion level of fish oil is obviously not
economically viable.
An extensive study conducted on 3500 farmed Scottish Atlantic salmon during
2006–2015 found that an increased incorporation of fatty acids of vegetable oil
origin in feed had resulted in substantially lower levels of EPA and DHA, com-
promising the nutritional quality of salmon (Sprague et al. 2016). By 2010 the
salmon feed industry had started replacing fish oil with vegetable oil because of the
increased fish oil prices. Inclusion levels of fatty acids of vegetable oil origin such
as 18:1n − 9, 18:2n − 6 and 18:3n − 3 had increased from 15, 5 and 2 to 30, 10
and 5%, respectively in 2015. As a consequence, the EPA and DHA content had
reduced by nearly 50%, a significant reduction from 2.74 g/100 g in 2006 to
1.36 g/100 g flesh in 2015 (Sprague et al. 2016). Corroborating the earlier studies,
this too warranted doubling the fillet intake to meet the recommended dietary dose
of fish for maintaining cardiac health.
It is interesting to note that although the EPA + DHA content in the Atlantic
salmon fillets fed a predominant vegetable oil feed (100 mg/100 g) is apparently
low it could still deliver a higher dose of EPA + DHA than compared to poultry
meat. In broiler chicken the average EPA + DHA content was only 34 mg/100 g
(Dalziel et al. 2015). Researchers are looking at alternative ways to increase EPA
and DHA concentrations in vegetarian fish.
4.12 Overcoming the Challenges—The GMO Approach
One of the approaches adopted to improve the nutritional composition of vegetarian

fish is the development of genetically modified (GM) organisms for incorporation
in salmon feed which could induce sufficient amounts of EPA and DHA in the fish
flesh. Three genetically modified organisms (GMO) were developed, namely GM

Camelina (Camelina sativa; false flax), GM yeast (Yarrowia lipolytica) and
metabolically engineered diatom, Phaeodactylum tricornutum.
Two interesting studies on the use of genetically modified Camelina as a source
of EPA and DHA have been published. In the first study, researchers produced two
variants of the Camelina namely RRes_EPA (that only produces EPA) in which the
seeds contained EPA levels of up to 31% (mean 24%); and RRes_DHA (that could
produce EPA and DHA), in which the seeds accumulated up to 12% EPA and 14%
DHA (mean of 11% EPA and 8% DHA). These levels were comparable to the EPA
and DHA content in fish oils. However, low levels of undesirable C18 biosynthetic
intermediates were present in the GM Camelina (Ruiz‐ Lopez et al. 2014). In other
research, comparable levels of DHA (up to 12.4%) were obtained in GM Camelina
but the EPA content was very poor (maximum of 3.2%) (Petrie et al. 2014). While
both these studies used the same GM plant, variation in the yield of EPA and DHA
might be due to the variations in the promoters, constructs and integration sites used
in the genetic engineering process (Napier et al. 2015).
Studies comparing complete replacement of fish oil with GM and wild Camelina
oils have been reported. The GM Camelina oil with 20% EPA was substituted for
fish oil in the Atlantic salmon feed. In comparison with the fish fed with fish oil
feed and wild Camelina oil feed, the inclusion of GM Camelina oil did not affect
growth performance, feed efficiency or fish health. The fatty acid profile of the
salmon flesh had sufficient EPA and DHA to meet the currently recommended
nutritional requirement for humans (Betancor et al. 2015). In a later study a different
source of GM Camelina was used to evaluate the growth performance as well as
fatty acid composition of Atlantic salmon. In this case the GM oil that had 15% of
total x-3 LC-PUFA with equal EPA and DHA profile was compared with fish oil
and wild Camelina oil. The growth performance and health was optimum in GM
Camelina oil fed fishes. Similar to the previous study the fatty acid composition
with respect to EPA and DHA was ideal for human consumption (Betancor et al.
2016).
In a different approach GM yeast was used to produce the x-3 fatty acids.
Scientists at DuPont collected nearly 40 strains of Yarrowia lipolytica and screened
for their performance in fermentation and ability to accumulate x-3 fatty acids.
Finally, a strain American Type Culture Collection (ATCC) #20362 was selected
for further studies (Xie et al. 2015). They produced three genetically modified
strains, Gen I strain Y4305 that produced EPA at more than 15% of its dry cell
weight (DCW); the Gen II strain Z1978 that produced EPA at more than 20% of its
DCW, and the Gen III HP strain Z5567 that produced EPA at more than 25% of its
DCW (Hong et al. 2014; Xue et al. 2013). At present two commercial products are
available; the New Harvest™ EPA oil, for a human nutritional supplement; and
Verlasso®, farmed salmon fed with GM oil produced from the yeast (Xie et al.
2015).
The Diatom Phaeodactylum tricornutum has also been genetically engineered to
accumulate DHA in their cells. This GM algae could be used as a replacement for
fish oil in fish feeds (Hamilton et al. 2014). However, further studies are required to
evaluate its potential as fish oil replacement.
Genetically modified Camelina, yeast and algae have the potential to provide
feasible alternatives for fish oil for the aquaculture feed sector. Among these the GM
yeast needs special mention as it could be more environmentally sustainable unlike
the oil crops which are known for their negative environmental impacts like defor-
estation, carbon footprint, consumption of water, use of fertilizers, use of pesticides,
and impacts on biodiversity. Further, the major concerns on the ethical, economic and
environmental sustainability of GM products are still debated and would need a
general consensus on their use in commercial aquaculture enterprises. It is therefore
necessary to evaluate the various facets of their sustainability, balancing the potential
harmful effects as against their benefits before any commercialization.
Replacement of fishmeal and fish oil in aquafeed by alternative ingredients has long
been a topic of research. Partial success to replace fishmeal with ingredients such as
soybean meal, poultry meal and blood meals have been reported. The use of plant-
based oils, microalgae, and genetically modified (GM) yeast in place of fish oil
shows varying results. One of the major challenges facing replacement of fish oil is a
reduced nutritional quality, particularly the lower polyunsaturated fatty acids (PUFA)
content in the fish produced. The sustainability of GM crops is still a contentious issue
and would need further research aimed at consumer safety and acceptability to pro-
mote their application in commercial aquaculture. Future aquafeed research priorities
may also include improved techniques for mass production of algae, exploring the
potential of newer ingredients, and development of precision nutrition strategies to
estimate and supplement the essential micronutrients using multiple ingredient com-
binations of vegetarian origin for optimum survival, growth, and reproduction of fish.
The recent innovations in aquafeed technology seem to have brought us closer to the
production of a „vegetarian fish‟ fed exclusively by plant-based ingredients. It is
promising to note that we are striding closer to this reality.
Acknowledgements The graphs used in this chapter have been drawn by Dr. Deepak George
Pazhayamadom, Department of Primary Industry and Resources Northern Territory Government,
Australia, which is gratefully acknowledged. The photo credits go to KRS.
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Chapter 5
Sustainable Production of Shrimp
in Thailand
Pattira Pongtippatee, Krishna R. Salin, Gabriel Arome Ataguba

and Boonsirm Withyachumnarnkul
Abstract World production of farmed shrimp is focused on a few species. At

present, the Pacific whiteleg shrimp Litopenaeus (Penaeus) vannamei tops the list,
followed by the black tiger shrimp Penaeus monodon and a few others. The former
attains the market size between 15 and 25 g within three months in culture, while
P. monodon requires at least four months to reach the marketable size of *25 g
and larger. It is therefore desirable to produce stocks of P. monodon with a
fast-growth-rate trait, either through selective breeding or via other modes of sci-
entific invention. Among others, chromosome manipulation of P. monodon that
confers three sets of chromosomes (3n) to the shrimp, a condition called triploidy
and a feat that was achieved through a non-GMO technique, could be the answer.
Thermal chromosome set manipulation for triploid induction is considered as a safe
and environmentally friendly technique to produce sterile offspring for genetic
protection, and prevent genetic pollution from aquaculture stocks in the wild. The
black tiger shrimp can be induced to yield a high percentage of triploid offspring
with abnormal reproductive histology. Two studies applying different induction
methods briefly at the very early stage of embryo formation—one from Australia
(chemical shock) and another from Thailand (cold shock) have reported successful
results. The triploid shrimps produced from chemical shock method had reduced
growth rate, while that from cold shock displayed higher growth rate compared to
P. Pongtippatee
Faculty of Science and Industrial Technology, Aquatic Animal Biotechnology
Research Center, Prince of Songkla University, Surat Thani Campus,
Surat Thani, Thailand
B. Withyachumnarnkul (&)
Department of Anatomy, Faculty of Science, Prince of Songkla University,
Hat Yai, Songkhla, Thailand
K. R. Salin · G. A. Ataguba
Aquaculture and Aquatic Resources Management (AARM),
Asian Institute of Technology, Pathum Thani, Thailand
B. Withyachumnarnkul
Aqua Academy Farm, Tha Chana, Surat Thani, Thailand

154 P. Pongtippatee et al.
shrimp with the natural double set of chromosomes. Gender distribution of the
triploid P. monodon induced by cold shock was skewed towards females, the larger
size of the two sexes and hence is favored more in aquaculture. Because of the
favorable results of the cold shock method, it is currently pursued to produce
triploid P. monodon for commercial purposes. The production is accomplished
through an automatic cold-shock induction system, consisting of spawning detec-
tion and cold shock treatment sections. This triploid induction project is an
extension of the ongoing selective breeding program of a specific pathogen-free
P. monodon that has already been commercially launched, and is part of an ini-
tiative to promote sustainable genetic stock improvement protocols for this shrimp
species.
·
Keywords Triploid Penaeus monodon Commercial production
· ·
Spawning detection device Cold shock Triploidy induction device
5.1 Introduction
Shrimp aquaculture dates back to the late twentieth century with efforts of the
French, Chinese and North Americans in the development of culture techniques for
various species of penaeid shrimp (Briggs et al. 2004). World shrimp production
(penaeid shrimps and freshwater prawns) reached a peak of about 4 million metric
tonnes in 2011 and grew by 6% between 2012 and 2014 with value increasing from
1.92 billion dollars in 2011 to 2.36 billion dollars in 2014 (Fig. 5.1) (FAO 2016).
Thailand with half of its aquaculture production composed of crustaceans is a
leading producer of shrimps globally at an estimated production level of
2.5 × 105 metric tonnes in 2013 (Ferdouse 2014). Total aquaculture production
Production Value
5 2.5
4.5
PRODUCTION (X 106 TONNES)
4 2
VALUE (X 109 USD)
3.5
3 1.5
2.5
2 1
1.5
1 0.5
0.5
0 0
Fig. 5.1 Global production and value of shrimps from 2004–2014. Source FAO (2016)
5 Sustainable Production of Shrimp in Thailand 155
from Thailand was estimated at 1.2 million metric tonnes between 2011 and 2012
with a drop of 0.2 million tonnes from the production volume in 2009 (FAO 2014).
Shrimp production has often come at a cost to the environment. Firstly, col-
lection of wild postlarvae was the bane of the industry. Secondly, coastal shrimp
culture has led to the destruction of mangrove forests in many places. Addressing
sustainability will therefore involve technologies that ensure captive reproduction
and development of high performing strains as well as culture techniques that
de-emphasize mangrove clearing.
5.2 Impacts of Shrimp Aquaculture
Traditional shrimp farming practices that prevailed in Asia represented a low key,
sustainable activity that had no serious impact on the environment. However, over
the years, shrimp culture has evolved into a capital intensive industrial activity and
massive corporate investments in the sector have led to considerable increase in
production volumes and profits. The risks in shrimp farming have also consequently
become greater and the impacts more visible. The impacts of shrimp aquaculture is
often viewed in the context of its perceived effects on the surrounding environment,
particularly in the changes on patterns of land use, eutrophication, and disease
threats from farmed shrimps. A more detailed account of the general impacts of
aquaculture is provided elsewhere in this book under the chapter on sustainability
(see Chap. 1).
5.3 Land Cover Change
Shrimp aquaculture has expanded over the years and in Thailand, it blossomed in
the early 1980s with tremendous impact on the coastal ecosystem. The effects of
shrimp aquaculture can be either environmental or socio-economic (Bert 2007;
Mitsch and Gosselink 2015; Patamasiriwat et al. 1999) but no matter the type of
impact, its extent can be massive and perplexing (Bert 2007).
Shrimp aquaculture is the major reason behind land cover change in coastal
areas through mangrove clearing to make way for aquaculture ponds. The man-
grove cover in South and Southeast Asia dropped from 6.36 × 106 ha in 2000 to
6.02 × 106 ha in 2010 (FAO 2010). In Thailand, 50% of mangrove cover was lost
between 1975 and 1993 principally due to shrimp farm expansion (EJF 2006) and
reached a total area of 6.6 × 104 ha in 1996 (Barbier 2006). The total mangrove
area coverage in Thailand had reduced from a level of 244,000 ha in 2010 to
240,000 ha in 2015 (FAO 2015).
5.4 Nutrient Loading and Pollution
In addition to the changes in land use, overstocking of shrimps in culture units has
led to degradation of coastal areas by pollution, excessive sediment discharge,
nutrient loading and eutrophication (Bert 2007; Patamasiriwat et al. 1999). Organic
matter loads discharged from shrimp farms accounted for a huge proportion of
nitrogen, phosphorous and suspended solids present in the receiving waters
(Primavera 2006), while unpalatable changes in land structure have resulted from
shrimp culture (Lakshmi and Rajagopalan 2000). Drastic losses in shrimp farms
were reported in Asia within a decade of shrimp aquaculture development begin-
ning 1980 due to water quality problems associated with overstocking (Flaherty and
Karnjanakesorn 1995; Kautsky et al. 2000). Competing claims on resources as well
as water channels used in shrimp aquaculture also create huge socio-economic
issues. In Thailand, land ownership changes from shrimp aquaculture have been
reported to favor the rich at the expense of the poor while the poor knowledge of
management has not been clement to the small holders (Briggs 2001).
5.5 Health Impacts
Shrimp aquaculture also involved the use of chemicals, therapeutants and toxicants.
According to Rico et al. (2012), a total of 36 different antibiotics were used in
aquaculture activities in Asia. In Thailand too, the use of antibiotics in shrimp
aquaculture had been reported (Holmstrom et al. 2003; Gräslund et al. 2003;
Szuster 2006). The impacts of indiscriminate use are quite widespread and are often
linked to human health concerns as well as the integrity of the ecosystem (Gräslund
et al. 2003; Holmstrom et al. 2003). In a study of use of chemical and biological
agents in shrimp aquaculture, Gräslund et al. (2003) reported that 74% of shrimp
farmers in Thailand used one or several types of antibiotics including chloram-
phenicol and oxolinic acid, 67% used chlorine with a 58% using unidentified
chlorine compounds, 43% used formalin/formaldehyde, 42% used quaternary
ammonium compounds, 38% used Benzalkonium chloride (BKC), 37% used
iodophors, and with organophosphates used by 22% of the farmers.
Chloramphenicol poses a hazard of aplastic anaemia (CFS 2005) and development
of antibiotic resistance in bacteria (Ng et al. 2014) with oxolinic acid also posing
the latter hazard (Guardabassi et al. 2000) as well as persistence in the environment
(Weston 1996). Organophosphates such as Trichlorfon are metabolic disruptors and
derivatives of toxic compounds with possibility of carcinogenesis and mutagenesis
(Kamrin 1997).
5.6 Mitigating the Impacts
The challenges posed by shrimp aquaculture to the environment demand a synergy

among stakeholders to ensure their mitigation. Briggs (2001) and Patamasiriwat
et al. (1999) presented several options for the remediation of issues relating to
unsustainable shrimp aquaculture in Thailand. These include proper governance,
site selection, control of effluent quality, management of introductions and transfers,
proper pond design and management, disease management and reporting, control of
chemical and drug use, improved aquaculture extension and training, control of feed
quality, as well as enhanced research and development. Thailand has progressed
well in most of these fronts with remarkable achievements over the past 20 years
(since mid-1990s), although the sector has been under continued exposure to the
challenges of controlling diseases, and increased efforts for enhancing the yield
from shrimp aquaculture.
The much needed shift from the reliance of baby shrimp collected for aqua-
culture from the wild was brought about by the emergence of advanced hatchery
techniques to produce good quality postlarvae, supported by successful broodstock
domestication. A principal step in solving the issue of seed supply was development
of domesticated broodstock of the black tiger shrimp, being a native species in
many parts of Asia and in view of the issues related to the dependence on wild
broodstock for hatchery production. The application of biotechnology to mitigate
problems in shrimp aquaculture in Thailand started with the application of poly-
merase chain reaction (PCR) technology in shrimp aquaculture for improved
growth and reproduction (Withyachumnarnkul et al. 2001). The use of PCR in
shrimp aquaculture has further been expanded to the detection of pathogens in
farmed shrimp and the culture environment.
5.7 Production of Black Tiger Shrimp in Thailand
The black tiger shrimp, P. monodon Fabricius (1798), is one of the largest penaeid
shrimps in the world with considerable commercial importance in international
markets. This shrimp species is indigenous to tropical oceans and its aquaculture
has been successfully practiced in many tropical countries, including Thailand, for
more than five decades, with significant contribution to the development of the
sector. However, since 1989, P. monodon farming industry has been hard-hit by
disease outbreaks especially from yellow-head disease (YHD), white-spot disease
(WSD) and monodon slow-growth syndrome (MSGS) (Flegel 1997;
Withyachumnarnkul et al. 2004), and these three diseases continue to affect shrimp
farms in the region (Withyachumnarnkul, pers. comm.). The exotic Pacific whiteleg
shrimp Litopenaeus (Penaeus) vannamei introduced to Thailand in 1998 for
obvious economic reasons became popular soon after introduction and its culture
methods were standardized by enterprising farmers. Following the outbreaks of
Table 5.1 Comparison of normal culture performance between the two most farmed shrimp
species (before 2016)
Shrimp species Marketable Culture Stocking density Production
size (g) period (mo) (PL/m2 or PL/m3)a (tonnes/ha)
Litopenaeus 12–15 2–3 80–100 15–25
vannamei
Penaeus 25 and higher 4 months and 25–40 5–15
monodon longer
a
For P. monodon, the stocking density is of PL/m2 and for L. vannamei, PL/m3
MSGS in 2009, the majority of Thai shrimp farmers switched to L. vannamei, as

their preferred species. Farming of L. vannamei flourished and had almost entirely
wiped out the aquaculture of P. monodon until 2013 when a new disease, the acute
hepatopancreatic necrosis disease (AHPND) caused more than 50% loss of the
shrimp production in Thailand. This led to a fraction of the Thai farmers to switch
back to P. monodon culture despite the fact that P. monodon was also affected by
AHPND (FAO 2013). This augurs well for this shrimp being a native species, and
its farming considered very important for sustainability of the shrimp farming
industry in Thailand.
One of the major reasons that Thai farmers have switched back to P. monodon is
the apparent difference between the two shrimps in size that fetches a better price,
considering standard farming conditions for both species. At marketable size,
P. monodon normally reaches 25–40 g body weight (BW) within a culture period
of 4 months, from a stocking density of 25–40 postlarvae (PL)/m2 (Table 5.1). In
contrast, L. vannamei normally reaches only 12–15 g BW within 3 months, when
stocked at 80–100 PL/m2. In fact, L. vannamei can also grow up to 25–40 g BW
within the same period and stocking density as P. monodon, but the price of
large-sized L. vannamei in Thailand is usually lower than that of P. monodon. With
improved farming technology, however, L. vannamei farming performance could
be much higher than that depicted in Table 5.1. During 2016, L. vannamei pro-
duction in Thailand has reported consistent production of 30–60 tonnes/ha fol-
lowing high stocking density and under innovative management.
5.8 Genetic Improvement Program

for Black Tiger Shrimp
In 2006, the Shrimp Genetic Improvement Center (SGIC), a government organi-

zation under the supervision of the National Science and Technology Development
Agency (NSTDA), Thailand, initiated a national program for domestication and
selective breeding of a specific pathogen-free (SPF) P. monodon, which targeted
fast growth and disease resistant traits. By 2016, the Center has successfully pro-
duced domesticated P. monodon up to the 7th generation, and disseminated the SPF
P. monodon seed to shrimp farmers. Performance trials in the field have revealed
multiple advantages of the genetically improved SPF seed over the seed produced
from wild broodstock. The demand for the SPF seed has been growing because of
their superior performance in farm ponds.
A number of biotechnological tools have been used towards development of the
SPF broodstock of P. monodon, in an attempt to improve growth characteristics of
the genetically improved shrimp. Growth performance of black tiger shrimps in
culture conditions vary widely based on environmental parameters, while it could
also be a function of the sex-dependent size difference. It has been shown that
females of P. monodon grow faster than males enabling them to attain harvestable
size at least a month earlier than males (Hansford and Hewitt 1994; Hansford 1991)
as evidenced in the case of several other penaeid shrimps (Campos-Ramos et al.
2006). Restricted breeding by producing sterile offspring is also vital to protect the
wild stock from genetic introgression when captive bred shrimp are used for stock
enhancement in the wild, as well as to provide some degree of genetic protection to
the selectively bred stocks. Triploidy induction techniques were applied at SGIC
with the aims to confer reproductive sterility for genetic protection of the stocks,
and to skew the sex ratio towards faster-growing females. The outcome of this
attempt was encouraging as the triploid (3n) P. monodon grew significantly faster
than their diploid (2n) counterparts, and most 3n shrimp were females
(Pongtippatee et al. 2012). These studies have given compelling evidence in sup-
port of rearing 3n over 2n P. monodon, demonstrating the feasibility of 3n
P. monodon commercial production.
It is also important to note that animals produced by inducing triploidy are not
regarded as genetically modified organisms (GMOs) in the context of food safety,
environmental and ethical concerns because they contain no foreign gene. The 3n
shrimp has its own DNA (deoxyribonucleic acid) except with a change in the ploidy
(chromosome number), while triploidy is also a naturally occurring phenomenon in
the case of many plants and animals including fish. GMOs are produced by genetic
engineering (GE) methods often referred to as transgenesis, which involves the
introduction of a foreign gene of interest to the target species by a series of GE
protocols. According to the guidelines of the Food and Drug Administration
(FDA) of USA genetically engineered organisms are those modified by recombi-
nant DNA techniques, including their entire lineage of modified organisms (HHS-
FDA 2009). Thus there is a clear demarcation between transgenic fish which are
genetically engineered organisms and triploid fish that are produced by a non-
GMO protocol for genetic improvement.
5.9 Principle of Triploidy Induction in Shrimps
Sellars et al. (2010) provided an elaborate review of triploidy induction on penaeid

shrimp; therefore this review will concentrate chiefly on triploidy induction in
P. monodon. Chromosome set manipulation is aimed at altering chromosome
number in the resulting offspring to achieve gonadal sterilization, direct the gender,
control the viability of hybrids, and to produce clones. This effectively checks any
deleterious breeding interactions between feral and domesticated stocks. Production
of all female populations of shrimp is one of the most useful outcomes of ploidy
manipulation. This is also important in increasing productivity of the stock while
conferring reproductive sterility on the females to prevent genetic interactions
(Sellars et al. 2009). This in itself is subject to 100% success in induction of ploidy
which is not achievable in most attempts (Harrell et al. 1998; Overturf 2009; Sellars
et al. 2010; Vallero 2015).
It is the process of meiosis in sex cells and the sequence of events from post-
fertilization to the first mitosis are the basis for understanding how triploidy is
induced. Shortly after fertilization, the second meiotic division can be hindered by
the application of a shock in the form of chemicals, mechanical pressure or thermal
change to retain the second polar body in the fertilized egg, hence 2n from the egg
in combination with 1n from the sperm results in the triploid condition. In the first
meiosis, the first polar body is extruded and disintegrates. The second meiosis is
completed after fertilization, during which the second polar body is extruded and
disintegrates as well. If the extrusion of the second polar body is inhibited, then the
set of chromatids that would have been normally extruded will instead remain
inside the egg, so the fertilized egg ends up with three sets of chromosomes: two
from the egg and one from the sperm (Fig. 5.2). This fertilized egg will pass on its
Egg
Sperm First polar body
Inhibition of
extrusion of the Triploid
second polar body
Diploid Second polar body
Fig. 5.2 Schematic illustration of triploidy induction by inhibiting extrusion of the second polar
body
triploid condition in subsequent mitoses, and the animal will have triploid sets of
chromosomes in every cell.
Inhibiting the extrusion of the second polar body is one way to induce the
triploid condition, while there are also other means of induction. Inhibiting the
extrusion of the first polar body appears to have the same effect as inhibiting the
extrusion of the second polar body. Inhibition of cytokinesis (cytoplasmic division)
of the first mitosis would result in four sets of chromosomes, or tetraploid chro-
mosomes (4n); and mating 4n and 2n parents would result in the interploid, 3n
offspring (Cassani et al. 1990). The choice between these methods to induce tri-
ploidy depends on their feasibility, which varies by the species and a need for the
use of sustainable technology.
For instance, in P. monodon, the first polar body is extruded at 2–5 min and the
second polar body at 8–14 min post-spawning (Hall et al. 1999; Pongtippatee-
Taweepreda et al. 2004). It is possible to inhibit the extrusion of the first polar body,
but because of the time constraint it is more convenient to inhibit the extrusion of
the second polar body.
5.10 Current Methods in Triploidy Induction—

Advantages and Disadvantages
The current methods for triploidy induction are based on thermal shock (heat or
cold), pressure shock or chemical shock. Such shocks prevent the contraction of the
spindles that pull the two sets of chromosomes apart during meiotic division, thus
preventing the extrusion of the polar bodies.
Thermal and pressure shocks prevent the contraction of the spindles by physical
means, while a chemical shock does so by disrupting microtubules of the spindle
(Komen et al. 1991). Standardization of hydrostatic pressure for triploid induction
varies according to species. An optimal pressure of 9000 psi applied for a duration
of 2 min to the eggs of Oreochromis niloticus after 40 min of fertilization has been
reported to induce triploidy in the species (Hussain et al. 1993). For coho salmon
(Oncorhynchus kisutch), treatment of eggs for 4 min with a pressure of 10,000–
12,000 psi, applied 20 min post-fertilization produced total triploidy (Teskeredzic
et al. 1993). Similarly, a pressure of 10,000 psi applied for 5 min was also reported
to induce triploidy in brown trout (Salmo trutta) (Preston et al. 2013). Shorter
post-fertilization durations before hydrostatic pressure application have been
reported for various species including the pearl oyster, Pinctada martensii
(5–7 min) using a much lower pressure of 2800–3500 psi (Shen et al. 1993); the
grass carp Ctenopharyngodon idella (4 min post-fertilization) and a pressure of
7000–8000 psi (Cassani and Caton 1986); and the European seabass Dicentrarchus
labrax (6 min post-fertilization) with a pressure of 8500 psi (Peruzzi and Chatain
2000). Water temperature as well as species differences account for the variation in
time intervals needed after fertilization as well as the duration of shock application.
Reports detailing the application of hydrostatic pressure in inducing triploidy in

shrimp are rare. However, Foote et al. (2012) reported the use of hydrostatic
pressure between 1000 and 3000 psi to induce triploidy in two penaeid shrimps
P. monodon and P. japonicus using the spawning vessel as pressure chamber.
Currently, the chemicals used to induce triploidy are colchicine, cytochalasin B,
nitric oxides, freon, 6-diaminomethylpurine (6-DMAP) and caffeine (Benfey 1999;
Nell 2002; Tiwary et al. 2004; Maxime 2008; Piferrer et al. 2009; Sellars et al.
2010, 2006). Among these chemicals, 6-DMAP is the most popular one, probably
because of its high success rate. Chemical method is carried out mainly as exper-
imental activity in the laboratory (Rottmann et al. 1991), and not highly favored for
commercial applications.
Each induction method has its advantages and disadvantages. Thermal shock is
advantageous when large volumes of eggs need to be treated, and it is the least
expensive method. Generally, it is believed that cold shock is more efficient than
heat shock for triploidy induction in species from the tropical zone, while heat
shock is more efficient with species living in the temperate zone (da Silva et al.
2007); this appears a plausible hypothesis but currently is not validated by sufficient
scientific evidence. A thermal shock is comparatively more effective with smaller
size of eggs, because a sudden temperature change penetrates smaller eggs faster
than larger ones (Teskeredžić et al. 1993). This size difference is insignificant when
a pressure shock is applied since pressure is transmitted instantly and uniformly
throughout a confined fluid (Teskeredžić et al. 1993; Piferrer et al. 2009). However,
an advantage of thermal shock over pressure shock is that no special equipment is
needed even when large numbers of eggs are treated in one batch. Furthermore,
pressure shocks would damage chromosomes causing fusions, bridges, fragments,
gaps, and rings, and would lead to abnormal larval morphology, retarded devel-
opment, or mortality (Yamazaki and Goodier 1993).
The major concerns on using chemical method of induction are its inconsistent
results and low efficiency in producing triploids (Guo et al. 1996). There are also
human safety concerns when animals aimed for human consumption are treated by
chemical shock for triploid induction. There is evidence that 6-DMAP inhibits
mitotic cell division (Simili et al. 1997; Rime et al. 1989). It has been reported to
cause retarded growth of triploid P. japonicus in comparison with diploids (Coman
et al. 2008). On the other hand, freon gas is indicted in ozone layer depletion
(Larderel et al. 2001). Nitrogen oxide is also toxic to humans (WHO 2000). With
the forgoing, chemical methods of triploidy induction are not environmentally
friendly with adverse effects on both human and environmental wellbeing.
Sustainable triploid production therefore lies in the use of thermal induction in
comparison with other means of triploidy induction in shrimps.
5.11 Triploidy Induction for P. monodon
Polyploidy induction has been carried out in several shrimp species of economic
significance, including Chinese shrimp Fenneropenaeus chinensis, Kuruma shrimp
Marsupenaeus japonicus, red-legged banana shrimp F. indicus, red endeavor
shrimp Metapenaeus ensis, banana shrimp F. merguiensis, and in L. vannamei
(Sellars et al. 2006, 2010). All the induction methods mentioned have been tried in
these species, and it was found that thermal and chemical shocks are more suc-
cessful than pressure shocks.
The mechanism of triploidy induction is to consistently inhibit extrusion, either
of the first or of the second polar body. In P. monodon, two induction methods have
been employed successfully, namely by using the chemical 6-DMAP (Sellars et al.
2012b) or by cold shock (Pongtippatee et al. 2012). Both studies aimed at inhibiting
extrusion of the second polar body. In the chemical shock treatment, 6-DMAP at
150–200 μM was introduced at 7 min post-spawning for treatment duration of
10 min. The cold shock induction was done using cold water of 8 °C applied to
fertilized eggs for 10 min, starting from 8 min post-spawning.
The reason for setting a specific time and a treatment duration for triploid
induction of P. monodon is to shock the majority of eggs when they are about to
extrude their second polar bodies. The exact timing of this procedure is vital in view
of the typical spawning and early embryonic development of P. monodon with a
time gap between the first and last batch of eggs extruded from the gonopore during
the spawning process (Fig. 5.3). The spawning duration for P. monodon broodstock
Fig. 5.3 Spawning of Penaeus monodon. Usually about 200,000 eggs are released from
gonopore in each spawning, which lasts for 3–7 min
from the first to the last egg (200,000 eggs/spawn on average) is 3–7 min. Upon
contact with seawater the eggs undergo cortical reaction, which is mainly the
extrusion of cortical rods from the eggs, and this event is completed within the first
minute post-spawning (Pongtippatee-Taweepreda et al. 2004). Therefore, the first
egg that comes out from gonopore will undergo cortical reaction first and is more
advanced in its embryogenesis than the eggs that are released subsequently.
Obviously, this 3–7 min lag produces unequal staging of the eggs or their asyn-
chronous development, particularly in cortical reaction, formation of hatching
envelope, and extrusion of the first and the second polar body. The difference in
extrusion times of the second polar body between the first and the last egg is the key
factor that determines the specific timing of shock application to induce triploidy
with a high yield or success rate.
The extrusions of the first and the second polar bodies in P. monodon are at 2–5
and 8–14 min post-spawning, respectively, and the first mitosis begins at about 1 h
post-spawning (Pongtippatee-Taweepreda et al. 2004; Hall et al. 1999). Therefore,
to inhibit the first polar body extrusion and to induce triploidy in this species, the
induction must be within 2 min post-spawning. However, this time-constrained
maneuver is difficult to perform in practical situations. Further, if the induction
begins at the end of the spawning process (7 min after the first egg is spawned), the
majority of the eggs would be in water for more than 2 min, and their first polar
bodies would have been extruded before applying the shock. Therefore, the inhi-
bition of the second polar body extrusion, which is at 8 min post-spawning of the
first egg, is preferable for the induction of triploidy in P. monodon. At that time
point, the majority of eggs would already have extruded the first but not yet the
second polar body.
5.12 Ploidy Analysis
Various techniques for verification of ploidy have been developed (Kang et al.
2013). Currently, ploidy analysis of the shrimp is done by karyotyping or by
fluorescence-activated cell sorting (FACS) flow cytometry (Fig. 5.4). Karyotyping
is performed by staining chromosomes of regenerated cells in blastema of the
pereiopod at metaphase, following colchicine treatment and staining with carbol
fuchsin (Lakra et al. 1997). Because karyotyping is time-consuming and it is dif-
ficult to count the number of chromosomes, which is about 44 pairs in P. monodon,
FACS is the preferred technique (Pongtippatee et al. 2012). In FACS, haemocytes
are separated from the haemolymph drawn from shrimp, followed by treatment of
the haemocytes with propidium iodide and ribonuclease A, and analyzed with a
flow cytometer. Distinguishing between the triploid and the diploid haemocytes is
based on cellular density that is higher for the triploid cells.
An attempt to develop a more convenient and more accurate method for
determining triploidy of P. monodon has been made, using differential gene
expression between the 3n and the 2n shrimp. By using a subtraction hybridization
(a)
(c)
2n
(b) 3n
Fig. 5.4 Fluorescence-activated cell sorting (FACS) flow cytometry and karyotyping of diploid
(2n) and triploid (3n) P. monodon a and b and the picture of 2n and 3n P. monodon c from the
same batch and same age. From Pongtippatee et al. (2012)
technique, changes in certain genes‟ expression in the shrimp‟s muscle and hep-
atopancreas appear promising for distinguishing between triploid and diploid
shrimp (Semchuchot et al., in preparation).
5.13 Growth Rate and Sex Ratio Advantages of Triploid

Over Diploid P. monodon
Both Sellars et al. (2012b) and Pongtippatee et al. (2012) have reported similar
triploid induction rates in P. monodon, despite different induction methods. Also,
these studies reported similar survival rates of the triploid P. monodon, and the rates
gradually declined in a grow-out culture. At 11 months of culture, the survival rate
was below 10% (Pongtippatee, unpublished). One reason for the gradual loss of
shrimp was the greater incidence of cannibalism, as dead carcasses with missing
body parts were found more often in the 3n shrimp ponds than in those with 2n
shrimp (Withyachumnarnkul, personal comm.). In general cannibalism occurs
when newly molted shrimp are attacked by their cohorts. Whether the 3n shrimp are
more aggressive than the 2n ones is an interesting research topic. However, at
4–5 months, the survival rates of these shrimps were comparable. The shrimp grew
to 40–45 g BW under 25–30 postlarvae/m2 stocking density within 4 months, with
average daily growth (ADG) exceeding 0.3 g/d, which is about 25–30% faster than
their 2n counterparts. Such growth performance could be a significant advantage to
commercial farming of 3n P. monodon. The gains in growth using female 3n
shrimp are also of significance to the sustainability of aquaculture since more

production is achieved using diets of the same level of protein with shrimps
attaining market size faster, and therefore reducing the feeding time. This effec-
tively addresses the requirements for sustainable aquaculture as pointed out by De
Silva and Turchini (2009) and Kapuscinski (2007).
However, the high growth rate of the 3n P. monodon in the study by
Pongtippatee et al. (2012) was not corroborated by Sellars et al. (2012a). In the
latter study, 3n P. monodon grew actually slower than the 2n shrimp. Although the
reasons of this discrepancy are not known, the different methods of triploidy
induction might account for it, and is an aspect for further research.
Another significant difference between these two studies is in the sex ratio,
which was skewed towards females in the study by Pongtippatee et al. (2012) (2
females per each male), while it was towards males as reported by Sellars et al.
(2012a) (1.625 male per each female). In both studies the reproductive function of
triploid P. monodon was markedly reduced in both sexes. Sellars et al. (2012a)
reported that the histological features of female ovaries of the 3n shrimp revealed no
progressive stage beyond oogonia, with several cells undergoing apoptosis and with
vacuolated spaces. In the male, a drastic reduction in sperm maturation and poor
counts of sperm were observed in testis and vas deferens, and no mature sper-
matophore was present. This observation, however, was done at the age of
6 months, which is not a sexually mature age of P. monodon. A preliminary study
on histology of the gonads of 3n P. monodon at 11 months in culture revealed that
the ovary of the 3n female shrimp also contained mature oocytes (Pongtippatee
et al., unpublished). It remains to be seen whether these 3n females spawn func-
tionally normal eggs. In the male, similar histological features as reported by Sellars
et al. (2012a) were observed. Some of these gonadal features were similar to those
observed in triploids of other penaeid shrimp species (Li et al. 2003, 2006; Xiang
et al. 2006; Sellars et al. 2009).
5.14 Commercial Triploid Induction Device

for P. Monodon
Currently, the cold shock method for inducing 3n P. monodon is carried out
manually. It is a labor-intensive and time-consuming procedure, which is a con-
straint for commercial production. An attempt to design and develop a device for
inducing 3n shrimp is thus underway, and, although still at the preliminary stage,
the initial results are promising.
This device functions in two steps; a spawning detection step and an induction
step. In the first step spawning of the broodstock is detected within 22 s following
its onset. This is accomplished through an electric signal that changes when eggs
flow towards a filter (Mueangdee et al. 2013). This signal triggers the second step,
which is composed of: (1) flow of spawning tank water to a reservoir, in order to
concentrate the eggs; (2) flow of pre-cooled water to the concentrated eggs, to
suddenly reduce the temperature to 8 °C; and (3) flow of pre-heated water to
suddenly increase the temperature to 28 °C. The time from the spawning signal to
the cooling stage is set at 8 min, and the cooling stage lasts for 10 min. Key
functional characteristics of this device include the sudden temperature changes
along with gentle mixing of water that avoids damage to the eggs.
5.15 Sustainability of the Stock Improvement Program

for P. monodon in Thailand
While the introduction of exotic L. vannamei signified a drastic change in the way
shrimp farming was carried out in Thailand, the role of P. monodon is still
important because of its potential to be amenable to sustainable farming. The use of
exotic species and escape of farmed strains had negative impacts on fitness and
genetic diversity of shrimp stocks in the wild. Briggs et al. (2005) highlighted
several perceived impacts of introductions of two shrimp species in Asia. Shrimp
diseases have spread as a result of movements across nations and continents.
A comprehensive list of activities that promote the spread of exotic aquaculture
species as well as those that curtail excesses in spread have been identified
(Minchin 2007). Furthermore, trade in shrimp products would also lead to trans-
mission of shrimp pathogens across boundaries with possibility of infection of other
crustaceans (Jones 2012). In terms of genetic diversity, it has been reported that
cultured L. vannamei in Mexico had a lower variability occasioned by population
bottlenecks that affected the effective population size (Vela-Avitúa et al. 2013).
Although Klinbunga et al. (2006) had reported that the Thai tiger shrimps had less
genetic differentiation, later Khamnamtong et al. (2009) observed a high level of
genetic diversity among ecotypes of the tiger shrimp in Thailand. This conflicting
information perhaps would have stemmed from the genetic markers used for the
investigations; the latter used EST markers while the former used mtDNA markers
(COI) which are very conservative. The high genetic diversity existing among the
wild stocks of P. monodon is promising as it signifies the potential for greater
genetic improvement that would benefit its aquaculture.
The black tiger shrimp P. monodon is one of the most valuable species for aqua-
culture in Asia, particularly in Thailand with a key role in sustainable aquaculture.
Although the Pacific whiteleg shrimp has dominated the shrimp farming industry in
Thailand since the time of its introduction, tiger shrimp farming continues to be
favored by many progressive farmers. The genetic stock improvement program
currently underway in Thailand has revealed its potential to produce shrimp

broodstock free of most of the known virus infections. The Specific Pathogen Free
(SPF) broodstock of this species has been successfully produced up to the seventh
generation, and various biotechnological interventions have been adopted to
improve their growth performance in aquaculture. Induction of triploidy is one of
the means of producing genetically sterile shrimps with a high proportion of
females that have been proven to grow faster than the males. The triploid induction
technology has been standardized with no significant impact on welfare of the
animal or on the environment. The triploid induction device by the application of
cold shock that is currently under the testing phase holds great promise to apply the
triploidy induction procedure on a commercial scale. This simplified procedure
using lowering of temperature and with no use of chemicals is expected to be a
significant step in stock improvement of P. monodon, as triploidy is a major non-
GMO technique for genetic improvement without any concern on fish welfare, and
could be considered as a sustainable alternative to produce fast growing aquaculture
stocks of shrimp.
Acknowledgements This article forms part of a study funded by the Thailand Research Fund,
Research Career Development, grant no. RSA5780052; and by the Prince of Songkla University,
grant no. S&T550429S. We thank Dr. Seppo Karrila from the Faculty of Science and Industrial
Technology, Prince of Songkla University, Surat Thani for providing valuable suggestions.
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(93)90433-Y
Chapter 6
Aquaponics: A Commercial Niche
for Sustainable Modern Aquaculture
Paul Rye Kledal and Ragnheidur Thorarinsdottir
Abstract Aquaponics—the combination of recirculating aquaculture system

(RAS) and horticulture—has received increasing interest globally as a way to
introduce a more circular economy within aqua- and horticulture and hence secure a
more resource productive growth with reduced pollution to the environment.
However, aquaponics production have mainly been based on small scale low-tech
and labor intensive systems built by hobbyist and research units, but during the last
decade larger and more complex systems based on modern RAS and hydroponics
techniques have been designed and constructed. This new development has mainly
been driven forward by researchers and risk taking entrepreneurs worldwide, but
commercial oriented production units are emerging with participation of industry
partners from both the aqua- and horticultural sectors. The biological dependence is
one of the major constraints for going large-scale and commercial. De-coupled
aquaponics holds the prospect of reducing or even eliminating the biological
dependence, but in the same time acquire the symbiotic benefits of combining fish
and plants in a circular production system.
·
Keywords Aquaponics Sustainable aquaculture · Hydroponics
·
Organic aquaculture Decoupled aquaponics
6.1 Introduction
The word aquaponics originate from the Latin and the Greek words for water (aqua
and hydro), applied respectively to the words aquaculture (fish farming), and
hydroponics for growing plants in water without soil used today in modern
· Thorarinsdottir
P. R. Kledal (&) R.
Reykjavik, Iceland

174 P. R. Kledal and R. Thorarinsdottir
Fig. 6.1 The concept of aquaponics (Modified after Thorarinsdottir 2015)
horticulture production. Aquaponics itself represents a fusion of the two production

systems combined into a singular food system producing terrestrial plants and
aquatic organisms. In an aquaponics system water is kept in circulation as illus-
trated in Fig. 6.1.
Wastewater from the fish tanks is led to a solid removal system and further to a
bio-filter, where bacteria converts ammonia to nitrate. These dissolved nutrients are
circulated onwards to the horticultural part of the system where plants take up the
nutrients, and hence cleanse the water before being returned to the fish. The solid
removal filter captures uneaten fish and fish faeces. The solids contain a large part
of the nutrients, but need to be dissolved in a composting unit or by aeration to be
usable in the hydroponicsp or alternatively turned into fertilizer to be used in soil
systems.
Likewise, the fish produce CO2 valuable to the plants, and the fish tanks can
obtain heat and act as a temperature buffer during night in the greenhouse saving
energy costs (Körner et al. 2014). Besides these symbiotic effects, aquaponics offers
to be a resource efficient closed loop food production system mimicking nature
itself. Aquaponics relates to the „cradle-to-cradle‟ design described in several
articles (McDonough and Braungart 2002; Braungart et al. 2007; Kumar and
Putnam 2008) presenting eco-effectiveness even moving beyond zero emissions
and provides public goods and services when taking social, economic and envi-
ronmental benefits into account.
The principles behind aquaponics—combining an aquatic feed supply to a ter-
restrial plant production—is not new in itself, but has been used effectively back in
history by the Aztec Indians in the former valley of Mexico back in the
fourteenth-century, as well as by Chinese farmers in the Pearl River Delta of South
China around the same period.
6 Aquaponics: A Commercial Niche for Sustainable Modern Aquaculture 175
6.2 The History of Aquaponics
6.2.1 The Chinampas of the Aztec
When first approaching the basin of Mexico and the Aztec capital of Tenochtitlan in
1519, Hernando Cortes and his men were amazed. They saw an astounding white
city, anchored to the shores by three long causeways, floated on a glittering lake.
This lake-borne city, Tenochtitlan, was the world largest at the time estimated to
occupy around 3–350,000 inhabitants.
Cortes and his men also found the practice of a unique agricultural system. This
method of farming, which still persists in limited intensity today, consists of land
development through the construction of what is called chinampas in marshy areas
and shallow lakes. The chinampa system is a network of raised fields on manmade
low islands in the lakes and marshes. The method consists of piling lakebed clays
and mud, aquatic plants and dry land crop silage, as well as silted muck and
manures in precise layers between reed fences secured in the bottom of the lakes or
marshlands. Once the ground was raised to its proper height, fast growing willow
trees were planted on the edges, which prevented the erosion of the raised ground.
These willow trees also provided shade and firewood, and restrained the crop-
damaging pests (Aghajanian 2007).
The chinampas were between 5 and 10 m wide, up to 90 m long and around
½ m above the water level. In between the chinampa beds were canals of 1–1.3 m
giving, not only life to an abundant wildlife and fish, but also providing an efficient
transport system for canoes supplying labor and food.
This astonishing eco-effectiveness of combining an aquatic feed supply to a
terrestrial plant production gave the chinampa agriculture a unique role in sus-
taining the population pressure in the Valley of Mexico during the Aztec period.
6.2.2 The Chinese Dike-Pond System
In the Pearl Delta of south China, a land-water farming system, also known as the
dike-pond system, evolved during the mid-fourteenth century. The dike-pond
system evolved as an important flood control measure in the delta. Water control
measures were started in the lower-lying areas, where small watercourses were
dammed and created to make fishponds. Ponds were dug to drain the marshes and
natural ponds in order to create agricultural land, and the excavated was used to
construct dykes. The fishponds were stocked with carp fry naturally occurring in the
delta (Ruddle and Zhong 1988).
The first commercial crops to be grown on the dikes were Litchi and Longan
followed later on by mulberry. The mulberry leaves provided an important feed for
the cash crop: silkworms. Silkworm excrement was thrown into the pond, and
accidentally gave way to the discovery that it could feed the fish. The mud at the
bottom of the ponds was used to fertilize trees, when there was a shortage of animal
manure.
Since then, several types of dike pond systems have been developed. The above
example is called the mulberry-dike-pond system, others are called the fruit-dike-
pond system and so on.
The pond is the heart of dike pond system. Most ponds are rectangular, 0.4–
0.6 ha and 2–3 m deep. The dikes are usually 6–10 m wide and 0.5–1.0 m above
the pond surface. Different species live in different water depths and have different
feeding needs, which ensure full utilization of the water and pond ecology.
Pond mud contains many nutrients and can be used as fertilizer for crops on the
dikes. The pond is drained two or three times a year, and mud at the bottom is
retrieved up on the dikes, which then are repaired while the depth of the pond is
restored.
Livestock are also part of a dike-pond system. Both small and large animals like
pigs or ducks can be bred on the dykes and their manure can be thrown into the
pond and thus promote growth of algae which the carp can feed on. Through
photosynthesis the algae in the pond give off oxygen and produce glucose, added
nutrients that benefit both fish and aquatic plants.
Fish fodder may also be cultivated on the dykes, for example Miscanthus, or
fodder for animals that live on the dikes.
The idea of the dike pond system is that it is a circuit where the components are
complementary, while no waste is produced, because everything is recycled and
transformed. The energy input from outside is minimal and consists mainly of labor
and solar energy. Solar energy has the advantage that it is renewable and free
(Stenkjaer 2011).
Like in aquaponics the dike-pond system is an interrelated ecosystem that brings
into full play the productive potential of humans and their environment and pro-
motes the development of different branches of both aqua-, agri- and horticulture.
6.3 The Modern Paths of Aquaponics
In the late 1960s and beginning of the seventies „Limits to growth‟ was a global
discussion theme due to emerging and simultaneous crisis world-wide in food
production, population growth, urban sprawl, pollution, energy and raw material
supplies etc. Many experiments to find new and more sustainable and self-sufficient
low-input solutions in production as well as consumption took place in this period,
both from grass root movements as well as industry and university pioneers.
Aquaponics itself emerged from the aquaculture industry as fish farmers were
exploring methods of raising fish while trying to decrease their dependence on the
land, water and other resources. Traditionally, fish were raised in large ponds, or in
netted pens off coastlines, but much progress has been made since then in
Recirculating Aquaculture Systems (RAS) (Bradley 2014; Dalsgaard et al. 2013).
The advantage of RAS is that fish can be stocked much more densely, thus using
only a fraction of the water and space to grow the same amount of fish as in pond or
netting based systems. A major disadvantage with RAS is the large amount of
concentrated waste water that quickly accumulates and the antibiotics needed to
keep the fish healthy.
The term aquaponics is often attributed to the various works of the New
Alchemy Institute and the works of Dr. Mark McMurtry at the North Carolina State
University. In 1969, John and Nancy Todd and William McLarney founded the
New Alchemy Institute.1 The culmination of their efforts was the construction of a
prototype Bioshelter, the “Ark”. The Ark was a solar-powered, self-sufficient, bio-
shelter designed to accommodate the year-round needs of a family of four using
holistic methods to provide fish, vegetables and shelter (Bradley 2014).
At the same time in the 1970s, research on using plants as a natural filter within
fish farm systems began, most notably by Dr. James Rakocy at the University of the
Virgin Islands (UVI) (Rakocy et al. 2007). In the late nineties they developed the
still much applied UVI- system, which is described further below.
During the mid-1980s, Mark McMurtry and Professor Doug Sanders at North
Carolina State University developed an aqua-vegeculture system based on Tilapia
fish tanks sunken below the greenhouse floor. Effluent from the fish tanks was
trickle-irrigated onto sand-cultured hydroponic vegetable beds located at ground
level. The nutrients in the irrigation water fed tomato and cucumber crops, and the
plants and sand beds served as a bio-filter. After draining from the beds, the water
recirculated back into the fish tanks. The only fertility input to the system was fish
feed (32% protein) (Diver 2000).
The first larger scale commercial aquaponics facility, Bioshelters in Amherst,
MA, was established in the mid-1980s. Then in the early 1990s, Missouri farmers
Tom and Paula Speraneo inspired by Mark McMurtry, introduced their Bioponics
concept. They grew herbs and vegetables in „ebb and flow gravel grow beds‟
irrigated by the nutrient rich water from a 2200 L tank in which they raised Tilapia
(Bradley 2014).
While gravel grow beds had been used for decades by hydroponics growers, the
Speraneos were the first to make effective use of them in Aquaponics—remem-
bering prior to this, sand was the main growing medium used in emerging
aquaponics systems. Their system was practical and has been widely duplicated,
and many present day DIY (Do-It-Yourself) aquaponics owes its origin to the
Speraneos. They wrote a „how-to manual‟ that became a springboard for many
home based or school educational systems built throughout the world.
However, the Speraneos system of substituting sand for gravel in ebb and flow
beds only works well if the system is fitted with dedicated mechanical and bio-
logical filtration. If not, the system will bear the risk of an eventual „collapse‟, due
1
The New Alchemy Institute evolved in 1991 to the Green Center Inc., which is a non-profit
educational institute, and the custodian and distributor of publications of New Alchemy‟s eco-
logical research conducted from 1971 to 1991. www.thegreencenter.net.
to the accumulation of organic matter using up oxygen in the system needed for the
fish and furthermore reduced aeration of media bacteria and the plant root zone.
By 1997, Rakocy and his colleagues developed the use of deep-water culture
hydroponic grow beds in a large-scale aquaponics system.
The UVI system has been the inspiring layout of several minor commercial
systems in the US, Canada and Europe, and also applied by university researchers
due to its proven reliability over several decades. The University of Virgin Islands
has also been active in aquaponics research for more than thirty years and has a
globally recognized aquaponics education program. The system developed at UVI
is a raft hydroponic system and the aquaculture part focus is on Tilapia production
(Rakocy et al. 1997, 2007).
A continuous operation was run at UVI for 2.5 years (1995–1997) with red
Tilapia and leaf lettuce production (Rakocy et al. 1997, 2007). The system
(Fig. 6.2) was based on four fish rearing tanks, each with 7.8 m3 water volume
(total 31.2 m3), two cylindro-conical clarifiers (3.8 m3 each), four rectangular filter
tanks (0.7 m3 each) containing orchard netting, six hydroponic tanks (11.5 m3
each) and a sump (0.6 m3). The hydroponic tanks were 30.5 m long by 1.2 m wide
by 0.4 m deep and had a combined surface area of 214 m2. Thus, the surface area to
fish tank volume was 6.85 m2/m3. The water volume was 110 m3. A 0.5 hp in-line
pump moved water at an average rate of 378 L/min from the sump to the fish
rearing tanks (mean retention time of water 1.5 h), from which effluent flowed with
gravity through the system. Air diffusers were used both in fish and hydroponic
tanks through air stones supplied by air from a 1.5 hp blower for fish and 1 hp
blower for plants (Rakocy et al. 2007).
The daily fish feed input averaged 12 kg equivalent to 56 g/m2 plant growing
area. The waste water from the fish was only supplemented with potassium (K),
calcium (Ca) and iron (Fe) to provide sufficient amounts of the essential nutrients
for normal plant growth. These additions were equivalent to 16.1 g KOH, 3.3 g
CaO, 13.7 g Ca(OH)2 (more economical than CaO) and 6.0 g iron chelate (10%)
per kg of fish feed. The annual production of tilapia was 3096 kg and the lettuce
production was projected to 1694 cases (appr. 11 tons), or appr. 3.5 tons lettuce per
ton Tilapia produced and the land use was 0.04 ha, which can be considered being a
small-scale system (Rakocy et al. 1997).
6.3.1 Current Status
At present, the interest in aquaponics is increasing globally (Goddek et al. 2015). In

Europe several strong collaboration networks have been established e.g. the COST
FA1305 Aquaponics hub running from 2014–18 with 26 participating countries.
Several ongoing projects in semi-commercial scale aquaponics and research units
are delivering results to support upscaling of aquaponics systems capable of con-
tributing to a new integrated and sustainable food production methodology
(Thorarinsdottir 2015).
Fig. 6.2 UVI aquaponics system diagram (Modified after Rakocy et al. 1997)
6 Aquaponics: A Commercial Niche for Sustainable Modern Aquaculture
179
Fig. 6.3 IGFF aquaponics pilot unit, Denmark (Photo, Paul Rye Kledal/IGFF)
The renewed growing interest in aquaponics can also be seen by the incorpo-
ration of technological improvements and productivity gains made within modern
RAS driven by high capital costs and increasing technical complexity putting large
demands on RAS system management and productivity (Dalsgaard et al. 2013) and
hydroponics over the last two decades (Stickney and Granvil 2012; Resh 2013).
In RAS this goes in regards to drum-filters, bio-filters, low-energy pumps, low-cost
measurement equipment, data logging, broad range of fish feed etc. In horticulture
recent developments have resulted in improved fertilizer, grow media, hydroponic
pipe optimization, accessible bio-pest management, IT climate control etc.
In general the UVI-system is still the foundation for the renewed interest in
aquaponics, which is understandable. It is reliable and have been tested over two
decades, but new innovations are made on other areas.
IGFF2 in Denmark has developed a decoupled aquaponics unit of 70 m2
(Fig. 6.3). The IGFF unit consists of six plant tables arranged in three pairs of
1.45 × 7.50 m on the top of three rectangular fish tanks (3 × 1 × 0.8 m) with a
usable volume of 2 m3 each. Moveable plant tables produce horticulture products in
pots with compost to open up for the prospect of getting an organic certification for
the aquaponics system. Soil is used because to obtain an organic certification
requires plants to be grown in various specified types of soil. Silver Tilapia, Red
Tilapia and Pike perch have been tested as fish species and various plants such as
lettuce, basil, tomatoes and peppers have been grown successfully on the plant
2
www.igff.dk.
Fig. 6.4 The semi-commercial pilot unit of Svinna-verkfraedi Ltd. in Iceland (Photo, Ragnheidur
Thorarinsdottir)
tables. Water to the plants is supplied by the „flood and ebb‟ principle, and the plant
tables are placed above the tanks to provide shade as well as optimize „economies
of space‟ in the greenhouse.
In Iceland Svinna-verkfraedi Ltd. (www.svinna.is) has constructed asemi-
commercial pilot unit in a greenhouse farm in South Iceland, see Fig. 6.4. The
design is based on decoupling the RAS and the plant system to obtain optimum
growing conditions for both the aquaculture and plant production parts. The RAS
unit consists of three 4 m3 fish tanks, a drum filter, a bio-filter and a sump tank.
A sedimentation tank and second sump tank is used for collecting water from the
drum filter for plant irrigation and the water is not recirculated to the RAS again.
During the first development phase a relatively small 50 m2 hydroponics unit has
been included in the circulation to stabilize the dissolved nitrogen level in the RAS.
NER-Breen in Hondarribia, Basque Country is developing a 6000 m2 com-
mercial aquaponics based on the development by the innovation company Breen.3
The farm is being constructed and is designed partly as a decoupled farm. However,
parts of the plants are used to control the dissolved nutrient level in the RAS. The
farm is under construction, see Fig. 6.5 and the plan is to start production in 2016.
Other interesting steps are planned for decoupling the aquaculture and the plant
production units as for example suggested by Aqua4C fish farm in Kruishoutem
Belgium. The plan is to use residual energy from an adjacent tomato farm for the
3
www.breen.es.
Fig. 6.5 The Breen aquaponics plant of 6000 m2 planning to be starting production in 2016
(Photo, Ragnheidur Thorarinsdottir)
fish farm and to link the water systems together as well so the rainwater collected in
the greenhouses could be used for the aquaculture before it is used for tomatoes
(Hortidaily.com 2015).
Another interesting development is the new urban aquaponics farm in St. Paul
Minnesota designed and constructed by the RAS company Pentair plc in collabo-
ration with Urban Organics LCC (Pump Industry Analyst 2015). The companies are
setting up an 87,000 ft2 indoor aquaponics facility with the potential to produce
275,000 lbs. of fresh salmonid and 400,000 lbs. of leafy greens.
6.4 Aquaponics and Economic Organization Typology
Overall the type of aquaponics production systems prevailing today can roughly be
divided according to its choice of economic organization. In Fig. 6.6, the
aquaponics systems are divided whether they are operating in the non-market area,
pure market oriented or a hybrid (a mix of the two others). The type of economic
organization will to a large extend also determine the choice and level of tech-
nology, capital and labor input.
The non-market oriented aquaponics system will typically have a low input of
technology and capital, but require a higher level of labor on surveillance and
maintenance in relation to production output. Homemade or various types of DIY
systems as well as small educational kits will normally belong to this
group. Likewise, research units on universities will also belong to this category.
HYBRID
Homemade DIY Public good Industry based

systems provider
Modern food
Education based Local (organic) procurement
University research food market
NON-MARKET MARKET ORIENTED
Fig. 6.6 Type of aquaponics system according to its economic organization
The pure market oriented aquaponics system will normally require a high input
of technology and capital in relation to production output, but labor cost in com-
parison will be relatively low. Markets will be modern food procurement systems
targeting grocers, restaurants and supermarkets.
Market oriented aquaponics systems will still be very small in terms of pro-
duction output, and in comparison with present day specialized RAS or horticul-
tural systems. However, with the societal demand for universities to take more part
in „blue-green‟ bio-circular innovations, and the advent of commercial oriented
aquaponics systems, we foresee both a growing and closer cooperation between
research entities and the infant aquaponics industry. This type of research would be
welcome, because a major part of the aquaponics research done at universities are
limited in its value for commercial oriented entrepreneurs targeting larger scale risk
markets. A more „dynamic‟ and „hands-on‟ research approach in close cooperation
with producers focusing on a variety of fish:plant relations, and their potential
production flexibility to cope with fluctuating markets, would be an important
research step to support a growth in the market oriented aquaponics industry.
Hybrids will often be an economic organization chosen when a certain scale of
food production is being provided to a neighborhood or a community—for example
an urban farm. The food system is in the same time also providing various types of
social and/or environmental goods to the community in terms of job creation, social
inclusion and environmental education. Typically, a public or a non-profit entity
will support such an economic organization in return, hence making it a hybrid
between a pure market and non-market economic organization.
However, despite the many technological improvements in both RAS and hy-
droponics being incorporated into aquaponics, one of the major constraints for
aquaponics production to move into a larger market-oriented scale, is the higher
economic risk associated compared to a specialized RAS or horticulture production.
The reason for this is firstly the biological dependency built in the system.
Secondly, the knowledge complexity rises exponential since a producer needs to be

specialized, in not only fish and plants, but also understand their interaction with the
life cycle of bacteria in bio-filters.
The biological dependency as a risk factor is constantly present with most
aquaponics systems operating today. If the plant production declines due to diseases
or a pest attack, its ability to function as an efficient cleansing bio-filter is reduced
dramatically, and will affect the fish production negatively. Similarly, if the fish
production fails because of disease or problems with the bacteria in the mechanical
bio-filter, the quality and output of the plant production will be reduced signifi-
cantly due to fertilizer deficiencies. Therefore, the larger a production, the more
technology and capital inputs are required, and the larger economic risk will be the
consequence if a system failure occurs.
For aquaponics production to move into larger scale commercial markets the
circular dependency in the system has to be decoupled in such a way, that both the
biological and economical risks are minimized to a degree where the symbiotic
benefits are much greater.
6.5 Future Developments and Research Foci
6.5.1 Decoupled Aquaponics
In today‟s aquaponics systems the water circulates from fish to plants and via bio-
filtering back to the fish as originally shown in Fig. 6.1. The water quality is
specifically managed to fit the requirements of the fish species being cultured, and
suitable plants are normally chosen to fit the fish environment. It is not always
guaranteed that the fish preferences are completely aligned with the optimum
requirements of the plants. This calls for compromising of the plant‟s needs, and as
a result they may not achieve their full growth capacity, hence reducing a full
optimization of the production and its investments. Likewise, the biological
dependency built in aquaponics is a major risk factor hindering large-scale market
orientation.
Focus is therefore oriented towards dividing the water flow into two independent
subsystems that can occasionally communicate whenever plants need a boost in
nutrients or the fish require reclaimed water from plants to dilute the wastes
accumulating in the fish sub-unit. This solution, which is referred to as a “decou-
pled” system (Fig. 6.7) would not only better secure optimal environmental con-
ditions for both the plant and fish production units, but also eliminate the biological
dependency in aquaponics hence minimize the economic risk substantially.
The processing of sludge from the aquaponics system has recently received
increased interest. Not only is prompt removal from the system helping to maintain
healthier and more resilient systems for fish, but also it improves the productivity by
better capitalizing of by-products through their reintroduction into the production
Fig. 6.7 The principles of a decoupled aquaponics system (Thorarinsdottir 2015)
system. Several ideas are being tested aiming for zero waste solutions, using the
sludge as e.g. feed for crayfish, farming of worms and/or black soldier flies, or
making fertilizer through aerobic or anaerobic digestion.
6.5.2 Aquaponics and Urban Farming
It is important that cities reclaim foods that were once characteristic of their
community because these foods instill a sense of place, strengthening the com-
munal bonds between the residents. In addition, these foods can generate jobs and
revenue for the community (Yang 2012).
Likewise, there has been a fast growing interest in urban farming in both
developing as well as developed countries since the world food crisis of 2007 (FAO
2010; de Zeeuw et al. 2011). The vulnerability and dependency of food for the
world urban community, already reaching 60%, and a reliance based on a very
concentrated food system, made it clear for a growing number of city councils as
well as a varied range of non-governmental organizations (NGO‟s), that change in
the food system from „farm to fork‟ had to change (http://www.
urbanagricultureeurope.la.rwth-aachen.de/)
Aquaponics is becoming very popular among these various urban farm initia-
tives around the world. This is especially true for community building in areas of
unemployment, food security issues and social problems related to inclusiveness;
other factors include educational awareness through giving a simple overview of
the complexity of nature and recycling. Hence, aquaponics production will typically
be organized as a non-market or hybrid economic organization.
Aquaponics related to urban farming are still based on small production units
(Sommerville et al. 2014) due to first and foremost the requirement of a large plant
area when more simple technology systems are in use. The potential introduction of
more modern bio-filters or decoupled production systems opens up for larger scale
industrial based aquaponics. However, the closer you move an urban farm from the
peri-urban zone to the inner city center the more space becomes a physical issue as
well as a constraint for establishing a financially viable food business. The latter is
also true with regards to space becoming a scarce resource in competition with
other economic sectors the closer one gets to the city core. Therefore the „empty‟ or
„free‟ roof spaces of a city has gained increased focus for potential areas of food
production, but requires often an expensive change in the present building con-
struction to carry an urban (aquaponics) roof-top farm.
6.5.3 Aquaponics and Organic Certification
Organic certification appears to be a natural step for an aquaponics producer since

the whole system is based on a holistic thinking in terms of recycling, lowering the
resource intake and securing zero pollution. However, the present organic regula-
tory regime does not have any standards or regulations for certifying organic
aquaponics. The RAS technology is even forbidden under the present organic
regulation, which seems to be more of an economic protection to the extensive open
pond systems prevalent in organic fish production rather than having anything to do
with fish welfare or the aquatic environment.
It is only possible to have an aquaponics production system completely certified
organic if a non-holistic approach is made, meaning a certification towards the
organic fish- and horticulture regulation is made separately. Firstly, the plants must
be grown in soil. Secondly, the fish produced must be fed with organic certified fish
feed, and thirdly the fish can only be produced in a RAS system if the fish are sold
as fingerlings for further growth in open-air pond systems certified organic.
However, if aquaponic produce gains markets and moves into larger scale pro-
duction systems, it seems indisputably; that the organic farm movement will need to
revise its present regulation focusing on specific technologies rather than having a
more principle based approach allowing for new resource productive and holistic
production systems such as aquaponics.
The present regulatory framework for organic fish and horticultural production
in the EU is regulated by the Council Regulation (EC) No. 834/2007 whereas more
detailed rules are regulated by the Commission Regulations (EC) No. 889/2008,
and (EC) no. 710/2009.
6.5.3.1 Horticultural Produce
For organic horticultural production current Commission Regulation (2008),

implementing Council Regulation (2007), contains only one element specific to
greenhouse production:
art. 4 which bans hydroponic production and allows organic cultivation only in soil.
Since most aquaponics production systems are based on a soilless hydroponic

technology, the plants produced under such a system cannot be certified as organic.
This leaves with the only option to adopt culturing practices applying soil through
decoupled aquaponics/RAS wastewater.
6.5.3.2 Aquacultural Produce
For organic aquaculture the production is regulated by Commission Regulations of

(2008) and (2009). In parr. 11. Commission Regulation (2009) recirculating sys-
tems are clearly prohibited in organic aquaculture, except for the specific produc-
tion in hatcheries and nurseries making and selling fingerlings for further growth in
open-air pond systems.
Parr. 11.
Recent technical development has led to increasing use of closed recircula-
tion systems for aquaculture production, such systems depend on external
input and high energy but permit reduction of waste discharges and pre-
vention of escapes. Due to the principle that organic production should be as
close as possible to Nature, the use of such systems should not be allowed for
organic production until further knowledge is available. Exceptional use
should be possible only for the specific production situation of hatcheries and
nurseries.
Since recirculating technology is at the core of the aquaponics production system

it is at present not possible to get a complete organic certification on an aquaponics
system, if all of the finishing produce is to be sold for the consumer market.
6.5.3.3 Future of Organic Aquaponics
The crux for aquaponics producers to get an organic certification in the future lies in
the acceptance of the recirculating technology within organic regulation itself, as
well as presenting aquaponics as an ideal closed loop, non-pollute and holistic food
production system.
Short-term strategies in this regard could be to:

(1) View aquaponics as a farm based on a necessary harmony and biomass ratio
between husbandry (the fish), and a soil-based horticultural production as the
field turning waste into valuable resources and providing a food production
with no discharges to the environment.
(2) Work towards a specific regulation on aquaponics. This would imply allowing
recirculating technology such as RAS, and an intensification of the fish pro-
duction. Fish intensification is already regulated by the organic regulation, but
is based on an extensive open-air pond system and the question of discharge of
fish manure to the aquatic environment.
Paragraph 24 in the Commission Regulation (2009) opens up for an interpre-
tation that such steps for a revision in the organic rules could be allowed. Especially
the last four lines in Parr. 24 implies that national initiatives could be taken with the
aim of improving the common EU regulation on organic aquaculture. This would
require a more dedicated willingness in the organic movement to commence a
process in this direction, but unfortunately this dedication and willingness does not
seem to exist at present.
Parr. 24
Organic aquaculture is a relatively new field of organic production com-
pared to organic agriculture, where long experience exists at the farm level.
Given consumers‟ growing interest in organic aquaculture products further
growth in the conversion of aquaculture units to organic production is likely.
This will soon lead to increased experience and technical knowledge.
Moreover, planned research is expected to result in new knowledge in
particular on containment systems, the need of non- organic feed ingredi-
ents, or stocking densities for certain species. New knowledge and technical
development, which would lead to an improvement in organic aquaculture,
should be reflected in the production rules. Therefore provision should be
made to review the present legislation with a view to modifying it where
appropriate.
6.6 Perspectives
Aquaponics is rapidly moving into new development phases and presenting

industrial and commercial potential. The UVI-production system is still prevalent,
but the technological innovations made in both the industrial aqua- and horticulture
sectors within the last two decades has led to the emergence of new approaches.
De-coupled aquaponics holds the prospect of reducing or even eliminating the

biological dependence, but at the same time acquires the symbiotic benefits of
combining fish and plants in a circular production system. A more dynamic and
hands-on relevant research targeting de-coupled aquaponics would be very valuable
for the development of a generation 2 within the aquaponics industry.
The large amounts of CO2 produced from both the aqua- and horticulture sector
could become a serious growth constraint for these sectors. Use of CO2 produced
by the fish in an aquaponics system by plants placed in a closed greenhouse
environments could therefore provide a huge potential for the „blue and green‟
sectors in the future.
Sufficient phosphorus production will also be a major concern in the near future.
In current recirculating aquaculture systems and aquaponics setups, 30–65% of the
phosphorus added to the system via fish feed is lost in the form of fish sludge that is
filtered out by mechanical filtration. Since phosphorus is a major component of
agricultural fertilizer, the development of phosphorus recycling production systems
in aquaponics would be an important contribution for future food production.
With the emergence of a generation 2 de-coupled aquaponics system, the next
constraint required to be addressed within aquaponics would be the huge plant area
required to maintain a sustainable fish production both economically and envi-
ronmentally. A viable commercial and technological development in bio-gassing
the sludge from the fish manure would be a major breakthrough for introducing
large industrial scale aquaponics. A viable bio-gassing of the fish manure would
mean a tremendous reduction in the required plant area to uphold the land-based
aquaculture production systems known today. It would see the emergence of a
generation 3 within aquaponics presented as a flexible environmental production
module that could be applied to almost any existing aqua- or horticultural pro-
duction of today.
If the major constraints listed above are addressed and viable solutions found,
the aquaponics industry holds the prospect of being an important niche within the
aquaculture sector itself just as the organic sector is within agriculture today.
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Chapter 7
Aquaponics Production, Practices
and Opportunities
Edoardo Pantanella
Abstract Aquaponics is a plant production system that integrates soilless culti-

vation and recirculating aquaculture. Aquaponics is an environmentally-friendly
system that makes full reuse of wastes that are used as fertilizers for plants. At the
same time it is more productive than soil-based agriculture and has consistent water
savings, which makes it the ideal technology to produce food in resource-limited
and climate-change affected areas. The chapter seeks to provide an understanding of
aquaponics by giving an overview of the state of the art of past and current research
and by outlining advantages and disadvantages of aquaponics against traditional
agriculture (soil, soilless) and aquaculture. A comprehensive description of the
aquaponic components is given together with a summary of the different systems in
use, providing keys for understanding their characteristics and suitability in dif-
ferent climatic and operating conditions. Beside the production of quality crops for
both market and backyard consumption, aquaponics could be a tool to address food
insecurity in developing countries. Furthermore, new opportunities for aquaponics
are also seen in the use of saline waters to provide tool for bioremediation of
brackish-water and marine aquaculture, but management systems need to be
adapted to the range of salt-tolerant plants and seaweeds available for either food,
feed or fuel, as well as the market demand.
Keywords Integrated aquaculture · Soilless cultivation · Hydroponics

·
Zero-waste Sustainable farming
E. Pantanella (&)
CIHEAM IAM Bari, Valenzano, BA, Italy
e-mail: [email protected]; [email protected]

192 E. Pantanella
7.1 Overview
There is a significance concern about how future generations will produce more in a
sustainable way. Intensive food production forces agriculture to overexploit natural
resources: the conversion of natural lands/forests into arable lands, the pollution from
the massive use of fertilizers and chemicals, the reduction of soil fertility and carbon
stocks are indeed some of the main raising issues on farming sustainability (Tillman
et al. 2002). In the last twenty years the nitrogen content in the oceans has increased
by twenty times due to the indiscriminate use of fertilization (Downing et al. 1999)
causing severe eutrophication to water bodies. Therefore, the closing of the loop
between inputs and wastes, such as the re-reuse of crops and animals by-products, is
one of the few possibilities to improve the water and nutrient efficiency and to reclaim
organic wastes back to useful productions. The pace in achieving higher crop pro-
ductivity, as it was during the Green Revolution in the sixties, raises questions
whether higher outputs from agriculture are still possible by technical or scientific
breakthroughs (Brown and Kane 1994; Waggoner 1994). There are robust evidences
that natural resources, such as water and fossil energy, are over exploited (UN-Water
2012) and cannot easily guarantee further agriculture expansion. The conversion of
wild lands to agriculture, such are forests, not necessarily has brought long lasting
advantages for food production due to the low fertility or the fast degradation of the
soil, which eventually has caused irreversible losses of land. At the same time the
excessive intensification of agriculture in fertile productive areas if from one side has
disrupted natural ecosystems through the massive use of fertilizers and pesticides,
from the other side has progressively reduced the fertility and productivity. Therefore
the increased pressure on production makes the exploitation of natural resources
inevitable unless new strategies and production techniques are adopted to make
farming systems more self-sufficient and resilient.
In the case of horticulture the adoption of soilless agriculture, more commonly
known as hydroponics, shows undoubting advantages for its higher nutrient and
water use efficiency compared to soil based agriculture (Resh 2004; Leoni 2003).
Hydroponics shows in fact yields that are 2–3 fold higher and water consumptions
patterns that can be up to ten time lower than traditional farming. This is due to the
improved water distribution and the better growing conditions of plants that receive
punctual fertilization of nutrients with no competition from weeds as well as limited
risks of pests and soil-borne pathogens.
Likewise, the farming of animals with the lowest footprint and the highest feed
conversion efficiency, would eventually reduce the impact on water and land and
increase the overall food output (Verdegem et al. 2006). In the case of fish the
adoption of recirculating aquaculture systems (RAS), in which the fish rearing
water is almost completely recycled after a filtration stage, can reduce the water
footprint of traditional aquaculture by hundreds of times and avoid any discharge of
organic wastes (fish excrements, uneaten feed) into the environment.
Aquaponics combines the benefits from both soilless culture and RAS. The
build-up of nutrients in a closed aquaculture system can in fact reach concentrations
7 Aquaponics Production, Practices and Opportunities 193
that are ideal for the commercial production of plants. At the same time plants take
up nutrients and reclaim water back to fish by also adding a profit from the costs for
water treatment normally occurring in RAS. Aquaponics allows intensive and
high-quality production of vegetables without any impact on the environment for
either pollution from chemical fertilizers (agriculture) or animal wastes
(aquaculture).
The present chapter aims at exploring the potentials of the integration of
aquaculture with soilless culture for the sustainable development of agriculture in
rural areas and wherever traditional agriculture could not be efficiently developed
due to disturbed soil or adverse environmental conditions. Aquaponics is analysed
in its components and compared against aquaculture, hydroponics and traditional
agriculture practices, with the objective to unveil its advantages and disadvantages
in the context of sustainable food production and food security.
7.1.1 What Is Hydroponics
Hydroponics is a combined word that joins two Greek terms: water (hydro) and
work (ponos). Plants grow by means of a nutritive solution in which adequate
quantities of macro and micronutrients are dissolved to support their growth.
Hydroponics is also called soilless culture, as plants do not grow on soil but rather
on inorganic substrates (sand, gravel, perlite, rockwool slabs) (Fig. 7.1), organic
substrates (peat, sawdust, rice husk) or even with bare roots within an aqueous
media (floating system) (Fig. 7.2). Substrates in soilless culture provide only
mechanical support to the plants.
Hydroponics moved its first steps in commercial production in the first half of
the 20th century following the intensification of agriculture and the need to over-
come the problems of soil-borne diseases caused by the continuous monoculture
practices in the greenhouses (Leoni 2003). Further expansion occurred from the
fifties, when the adoption of plastic lowered the production costs and made the
investment on greenhouses and climate control affordable by many (Resh 2004).
The initial use of bulk substrates was successively substituted by the nutrient film
technique (NFT) and the adoption of rockwool in the seventies, which opened up
new horizons in commercial-scale horticulture.
Nevertheless hydroponics has a long history that witnesses the constant research
of farmers for more productive and cost-effective solutions under different designs
and plant nutrient sources, even with low-tech approaches.
In the Middle East the hanging gardens of Babylon, built more than 25 centuries
ago, were the first example of soilless roof-top agriculture that used sludge and ash
as plant nutrients (Leoni 2003).
In Mexico organic matter was the growing media and fertilizer used for the
chinampas, a type of integrated aquaculture-agriculture system in shape of terrains
surrounded by canals. The production of food with this technique was one of the
most intensive agricultural system in the pre-Colombian era (Sutton and Anderson
194 E. Pantanella
Fig. 7.1 Hydroponic tomato

on Rockwool media
Fig. 7.2 Small floating

system with a plant bed and
nutrient tank
2004) to the extent that chinampas could support the food needs of 10–18 people
per hectare (Adams 2005), which is far above the current productivity of modern
soil-based agriculture. The common factor that favoured the diffusion of all these
agricultural systems was the lack of cultivable land and the need to increase the
acreage for crops, a common problem still existing in many flooded areas of
developing countries.
In S.E. Asia floating agriculture is still in use as a low-tech type of hydroponic.
Floating rafts made of aquatic macrophites (i.e. water hyacinths) provide both
support and nutrients to plants through the release of minerals released from the
decaying organic matter. In the Inle Lake in Myanmar such type of system is still
the backbone of local horticultural productions that supply vegetables to the
domestic markets.
Nevertheless the solutions provided by floating agriculture can well integrate
traditional aquaculture systems, such as ponds, in which quality vegetables can
grow on water with yields that are similar or higher than soil crops (Pantanella et al.
2011d). At the same time floating rafts made with decaying organic matter can
release nutrients in ponds to promote microalgae blooms that constitute the food of
planktonic fishes. On the other hand floating pots filled with inert media that are
suspended on pond water can provide tools for bioremediation for intensive farming
by simply stripping nutrients from water.
7.1.1.1 Advantages of Hydroponics Against Soil Production
Soilless cultivation addresses many issues of traditional farming. The presence of

an inert media in lieu of soil allows plants to grow with very limited incidence of
soil-borne pathogens and pests. At the same time the hydroponics‟ real-time
delivery of nutrients, which are monitored and distributed according to the growth
stage of the plants, maximizes the productivity and quality traits of the produce. The
lack of soil also avoids any need for weed control, which directly helps the crops to
grow without the competition for nutrients and space by invasive plants. The
delivery of water and nutrients is also engineered in such a way to avoid any
leakage or spill outside of the system, thus minimizing any pollution risks. Such
controlled management let hydroponics be up to ten times more efficient in its water
use efficiency than traditional agriculture.
Hydroponics is at least 20–25% more productive than soil-based intensive
greenhouse farming, which makes massive use of fertilizers and soil sterilization
(Resh 2004). On the other hand for outdoor crops hydroponics shows 4–10 times
higher yields than soil (Table 7.1).
Soilless cultivation is ubiquitous, as it allows to produce food even in places
where traditional agriculture cannot be developed due to unsuitable soil or water
scarcity: deserts, salinated or unproductive lands, roof tops in urban areas, con-
taminated land under reclamation.
The advantages of hydroponics against conventional agriculture can be sum-
marized in the improved adaptability to farm in unfavourable areas, in the better
efficiency of inputs‟ uses, in the higher yields and qualitative traits, in the reduced
use of chemicals to overcome plants‟ soil-borne diseases (Jensen 1981, 1997; Tesi,
2002; Resh 2004) (Table 7.2).
196 E. Pantanella
Table 7.1 Comparative yields per hectare in soil and soilless culture (Resh 2004—modified)
Crop Soil ton ha−1 Soilless ton ha−1
Beans 12.5 52.5
Beets 10.0 30.0
Cabbage 14.7 20.3
Cucumber 7.9 31.6
Lettuce 10.2 23.7
Peas 2.5 22.5
Potatoes 20.0 175.0
Tomatoes 12.5–25 150–750
Wheat 0.7 4.6
Table 7.2 Soil versus soilless production

Soil Soilless
Farming in Not always possible. Depends on the Agriculture possible in any condition
new areas type of soil, fertility, salinity
Cultivation Constant preparation of soil, need of No needed, substrates preparation or
machines, fuel intensive positioning on troughs/ground
Intensification Limited. Monoculture brings “soil Monoculture is possible with no
of production tiredness” and already decreases decadence of performances
yields after two successive crops Substrates could be sterilized with
Soil tiredness requires crop rotation, simple means and no crop
fallow or soil sterilization, which is interruptions
time consuming and interrupts crop Inert media or water do not face risk
cycles for 2–3 weeks of any fertility losses due to their
characteristics
Plant nutrition Variable delivery. The release Real time distribution of nutrients and
depends on soil characteristics. Some pH according to the growth stage of
deficiencies are possible. The precise the plants. Real-time control of the
delivery of nutrients according to the levels of nutrients required by plants
plant growth stage is not possible
Nutrient use Fertilizers broadcasted broadly, High Minimal amount required due to
efficiency dispersal through leaching and runoff microirrigation and containment of
in outdoor conditions media. Water and nutrients
monitoring avoid the loss of nutrients
Water use Efficiency affected by soil texture and Optimal delivery trough
efficiency irrigation system microirrigation supported by sensors
Weed control Need continuous control No need of any control
Diseases and Affected by soil-borne diseases and Not affected because of no use of soil
pests pests. Needs sterilization, crop
rotation
Quality Product characteristics depends on of Standardized production with full
the type of soil and management control of nutrients. Optimized
growth
(continued)

Soil Soilless
Production Normal, but use of machinery Higher costs due to more expensive
costs necessary for soil cultivation and setting in greenhouses/nethouses and
higher use of inputs (water). Higher the presence of a monitoring system,
costs if greenhouses/nethouses are
used
Farm Standard level Expert level. Needs higher
management knowledge for the higher technology
used
7.1.1.2 Hydroponic Systems in Use
Hydroponic systems are classified into two main categories depending on whether
plants grow with their bare roots in an aqueous media or if they benefit from the
mechanical support given by substrates (Resh 2004). The first type, also called
water culture, is the most used especially for leafy vegetables. Three main designs
are used: nutrient film technique (NFT), deep water culture or floating system
(DWC) and aeroponics.
Nutrient Film Technique (NFT) consists of flat-bottomed plastic pipes with holes
on their top in which plants are positioned (Figs. 7.19 and 7.20). The plants‟ roots
develop inside the pipes. A thin layer of nutritive solution wets the bottom of the
−1
pipes at a very low water flow (1–2 L min ) supplying plants with nutrients and
water. In general the water flow can be continuous or intermittent, in the latter case
roots take some additional oxygen from the air. This type of system is mainly
closed, with water continuously recirculating between the troughs and the tank
containing the nutritive solution, where water get oxygenated.
Floating system/deep water culture (DWC) consists of tanks of variable depth
(from 7 to 30 cm) on which plants grow supported by floating polystyrene rafts
(Figs. 7.15 and 7.16). Plants have bare roots into the nutritive solution, which is
kept aerated by air stones. The volume of water allows for multiple production
cycles, with nutrients being re-integrated from tanks containing concentrated stock
solutions. The system is quite resilient against black outs, as oxygenated water is
always in contact with the roots. DWC is largely used for leafy greens, culinary
herbs and a variety of fruity plants (Leoni 2003).
Aeroponics has plants roots suspended in the air continuously wetted by nozzles
spraying the nutritive solution. Plants are positioned on oblique trays to optimize
the space into greenhouses and to create a volume for the spraying systems. Like
the NFT the nutritive solution is continuously collected into a sump and minerals
are reintegrated from tanks containing stock solution. Aeroponics needs the uniform
distribution of the nutritive solution to the roots to guarantee a uniform growth, and
a tailored management of the spraying cycles, which vary according to the type
plants and their growth stage (Leoni 2003). Aeroponics takes advantage of the great
root oxygenation, but it is prone to wilt in case of any disruption in the water
distribution system.
198 E. Pantanella
Substrate culture has plants growing in pots, beds or bags filled with a growing
media. There is a wide range of organic or inorganic media available, each with
different characteristics, prices and availability: peat moss, sawdust, coconut, rice
husk, rock wool, sand, gravel, perlite, clay balls, polyurethane, and polystyrene.
The media is always kept separated from the ground underneath to prevent any risk
of contamination with the soil. The nutritive solution can be delivered through
micro-irrigators, sub-irrigation or ebb & flow (cyclic flood and drain of the media
with the nutritive solution). The media systems can be either open (flow-through),
with the nutritive solution used only once, or closed with a continuous recycling of
the water (Tesi 2002; Resh 2004).
7.1.2 What Is Aquaponics
Aquaponics is an integrated system that combines hydroponics and recirculating

aquaculture. Plants grow using the nutrients dissolved in the aquaculture effluents
and provide tools for bioremediation by reclaiming the wastewater back to fish.
There have been many types of integrations between aquaculture and agriculture
in the past, with fish water mainly delivered to the plants in open systems.
Examples can be seen in the irrigation of crops with pond water or in ditch-dyke
systems, where narrow strips of land are surrounded by a network of small water
canals stocked with fish. The uptake of water for irrigation from the ponds, which
are then refilled with new aqueous sources, is undoubtedly a good practice to
maintain good water quality for healthy fish growth and to reduce the impact of
aquaculture pollution (Barnabé 1990; Diana et al. 1997).
The feeding of fish in fact increases the levels of excreted ammonia into the
water, whose build up is toxic for the aquatic animals. Therefore, the progressive
intensification of aquaculture production, with higher fish densities, needs increased
water exchange to avoid toxicity and deaths (Barnabé 1990). Although these
integrated systems cover the water needs of the plants, the concentrations of
nutrients available to the plants are still not sufficient to reach yields and sizes of
commercial value, unless plants are further fertilized. The reason stands in the still
low densities of fish, the competition for nutrients with microalgae growing in the
pond and eventually the continuous dilution of nutrients by large volumes of new
water used to refill the ponds.
Aquaponics has been developed mainly within recirculating aquaculture systems
(RAS) where waste water is continuously recycled and reclaimed back to fish after
a biofiltration stage (Rakocy 1989; Rakocy and Hargreaves 1993; Lennard 2004)
(Fig. 7.3). RAS technology was developed to overcome all the problems linked
with water use and pollution from traditional aquaculture systems (open systems) in
which large volumes of water are discharged to avoid the build-up of wastes and
toxic metabolites (Barnabé 1990; Diana et al. 1997). Traditional aquaculture has in
Fig. 7.3 Design of a generic

recirculating aquaculture
system—RAS
fact a consistent impact on the environment (Piedrahita 2003; Verdegem et al. 1999,
2006) due to the big water footprint. In addition the pollution from open aqua-
culture systems raises concerns about the sustainability of intensive fish farming
(Costa Pierce 1996).
RAS has a very limited use of water and discharges very little amounts of
wastewater (Verdegem et al. 2006). The core management of RAS focuses on the
continuous reuse of water, which is possible through mechanical waste removal
(uneaten feed, fish solids, dead fish) and the oxidation of nitrogen wastes operated
by biological filtration (van Rijn 1996) to convert ammonia into no-toxic nitrate
(nitrification).
An aquaponic system is a RAS in which the biological filtration is partly
operated by plants (Fig. 7.4), whose roots host the bacteria responsible for the
nitrification and directly uptake nutrients for plant growth. Aquaponics takes
advantage from the nutrient build-up normally occurring in closed system due to the
higher fish stocking densities and the much lower water exchange needed to get rid
of fish excreta than traditional aquaculture. The increasing levels of nutrients allow
aquaponics to achieve concentrations similar to chemical hydroponics and to obtain
consistent productions of plants of commercial value.
The higher fish densities than traditional aquaculture is allowed by the contin-
uous mechanical filtration to remove solids (Fig. 7.5) and the nitrification of
ammonia, which prevents toxicity to fish and allow plants to take up nitrate, the
most assimilable form of nitrogen. Likewise, the presence of other beneficial
microorganisms such as fungi, microplankton, mineralizing bacteria, rhizobacteria
help not only the system to increase the pool of essential nutrients available to
plants, but also improves the resilience of the system against plant pathogens
(Savidov 2005).
Fig. 7.4 Design of a generic

aquaponic system
200 E. Pantanella
Fig. 7.5 Aquaponic system.

a fish tanks; b clarifier; c filter
tank for fine solid removal
Differences between aquaponics and RAS can be found in the simpler solid
waste management, of the former, since a lower efficiency in solid removal
improves the opportunities to obtain plant nutrients from the mineralization of fine
suspended wastes. On the contrary RAS water must have the lowest concentrations
of fine wastes to avoid any clogging of the biofilter, which eventually reduce the
efficiency of the nitrifying bacteria.
Aquaponics does not differ from hydroponics for what concerns the types of
systems in use: DWC (Fig. 7.6), NFT and media beds. However there are some
differences in the management, since the combined presence of fish and plants
requires some compromises in the setting of the environmental conditions and
water parameters, which should always meet the optimum for both. This, in some
cases, limits the choice of crops due to suboptimal environmental conditions of
certain plants.
One constrain in aquaponics is the limited choices available in crop protection,
due to the presence of fish. In aquaponics in fact no chemical pesticides can be used
and even many of the remedies in use in organic agriculture may result toxic to
Fig. 7.6 Plant tanks in an

aquaponic system where
plants grow with bare roots
fishes. This, if on one side pull farmers to adopt mainly preventive strategies against
pathogens and pests, on the other side allows for safer productions that are highly
appreciated by a large number of consumers.
One recent advance in aquaponics is the use of hybrid or decoupled systems
(Figs. 7.24 and 7.25), in which the fish and plant subsystems work as standalone
units (RAS + hydroponics). In the former the separation between fish and plants is
temporarily void to let the hydroponic unit be refilled with nutrients from fish
wastewater and the RAS unit to use reclaimed water from plants; in the latter the
water only goes from the fish to the plant unit. Such systems keep optimal growing
conditions for both animals and plants and would give more freedom in using the
traditional remedies in organic crop protection without any risks of fish toxicity.
Another difference in aquaponics stands in its complex ecosystem, in which the
presence of microorganisms is not prevented but rather encouraged to improve the
conversion of suspended wastes into nutrients for plants and to create a highly
competitive and resilient environment where pathogens have difficulties to thrive.
In plant nutrition aquaponics supplies most of the nutrients to the plants, with the
only exceptions of calcium, potassium and iron that need to be integrated through
the regular addition of buffers to control the water pH into the systems. Following
the natural conversion of ammonia into nitrate operated by nitrifying bacteria both
aquaponics and RAS water tend in fact to acidify and need to be re-balanced by
adding alkali to maintain optimal operating conditions for both bacteria, fish and
plants.
Aquaponics has lower concentrations of circulating nutrients than hydroponics
(Table 7.3). Despite the low levels of minerals aquaponics shows same yields of
hydroponics firstly because nutrients are continuously supplied by fish to plants,
Table 7.3 Concentrations of nutrients in hydroponics compared against aquaponics at the

Agriculture Experimental Station of the University of Virgin Islands (Massantini 1968; Rakocy
et al. 1992, 2004a, b, 2006)
Hydroponics Aquaponics
Minimum Optimal Maximum Average concentrations
(mg L−1) (mg L−1) (mg L−1) (mg L−1)
Nitrate 40 60–160 200 26.3–42
Ammonia 0–40 100 0.95–2.2
Phosphorus 15 30–90 130 8.2–16.4
Potassium 100 200–400 600 44–63.5
Calcium 75 150–400 600 11.9–24.2
Magnesium 25 25–75 150 6.0–6.5
Sulphur 50 75–300 600 18.3
Iron 2–4 10 1.3 –2.5
Boron 0.2–1 5 0.09–0.19
Manganese 0.2–2 15 0.06–0.8
Copper 0.01–1 5 0.03–0.05
Zinc 0.01–1 20 0.34–0.44
Chloride 600 11.5
202 E. Pantanella
and secondly because the water movement into the system enhances the flow of
nutrients at root level and the consequent plant uptake.
7.2 Past and Present Research
Aquaponics research started to move its first steps by looking at bioremediation

through the use of plants and the integration of systems for alternative productions.
Initial trials focused on finding optimal component designs and assessing the most
efficient fish/plants nutrient ratios and yields. Successive researches focused on the
optimization of the plant nutrients in the systems and in the improvement of waste
management for the full use of minerals for plant nutrition.
More recently the interest has been centred on the upgrade of the systems for
commercial productions, in particular on the use of lights, decoupled systems as
well as in exploring the beneficial interactions between plants and microorganism
thriving into the systems.
The research on aquaponics started during the seventies. Several universities
across North America and Europe started testing fish with plants in closed systems
(Naegel 1977), but with designs of components still at their primordial stage. Since
the eighties many researchers developed extensive studies on aquaponics with the
focus on the component ratio. Prof. James E. Rakocy dedicated three decades on
aquaponics at the University of the Virgin Islands (UVI), USA where he built and
managed a commercial-scale system (Fig. 7.7). He was among the first to identify
the optimal balance between fish and plants and to optimize the components for
floating systems. In Australia Dr. Wilson Lennard carried out trials with an
extensive number of plant species, optimized fish/plant ratios and compared the
performances from different system designs. In Canada Dr. Nick Savidov pioneered
research on improved mineralization for UVI systems in greenhouses in cold
climates.
Fig. 7.7 Diagram of the UVI system: a fish tank, b clarifier, c filter tank, d degassing unit, e plant
tanks (floating system), f sump, g base addition tank, h water pump, i influent water from the
degassing tank to the plant tanks, l effluent water from the plant system to the sump
7.2.1 The UVI System
The University of the Virgin Islands (UVI) has been the first academy to test a pilot
system for both research and commercial production (Fig. 7.7). The system, still in
full activity, has four fish tanks accounting for a total volume of 31.2 m3, two
conical clarifiers of 3.8 m3 each, four filter tanks of 0.7 m3 each, which are used to
remove fine particles through orchard nets, and a degassing tank where the intense
aeration occurring removes carbon dioxide from the water before it goes to the plant
tanks. The fish unit supply fertilized water to six hydroponic tanks 30.5 m long
1.2 m large and 0.4 m deep that account for a total surface of 214 m2. Water from
the plant tanks is collected into a sump where is pumped back to the fish tanks after
being buffered by a small base addition tank. The total water volume of the system
is 110 m3.
Water is circulated by means of a ½ hp water pump that guarantee for a mean
retention time of 1.5 h in the fish tanks. The system is supplied by two blowers, one
of 1.5 hp for the fish tanks, and another of 1 hp for the plant troughs.
The UVI system can produce approximately 3 tons of tilapia and 11 tons of
lettuce a year from a total surface of 400 m2.
7.2.2 Fish Species
Aquaponics was tested with several fish species, which testimonies the large ver-
satility of this system to different climatic conditions. The species cultured were
tilapia (Sarotherodon aurea, Oreochromis niloticus, Tilapia rendalli) (Watten and
Butsh 1984; Rakocy and Hargreaves 1993; Rakocy et al. 1999a, b; Seawright et al.
1998), African catfish (Clariar gariepinus) (Endut et al. 2010; Pantanella et al.
2011a) Murray cod (Maccullochella peelii peelii) (Lennard and Leonard 2004),
rainbow trout (Oncorhynchus mykiss) (Adler et al. 2003), common carp (Cyprinus
carpio) (Naegel 1977) Asian Barramundi (Lates calcarifer) (Rakocy 2007), mullet
(Mugil cephalus) (Pantanella et al. 2011b) Eurasian perch (Perca fluviatilis) (Graber
and Junge 2009), largemouth bass (Micropterus salmoides) (Pantanella, unpublished
data) and bester sturgeon (Acipenser ruthenus × Huso huso) (Dediu et al. 2012).
At commercial level tilapia is the most reared fish in aquaponics systems, fol-
lowed by ornamental fish, perch, bluegill, trout, bass and, for a certain number of
farms, barramundi, carp, Pangasius and crayfish (Love et al. 2015).
7.2.3 Feed/Plant Ratios
As previously mentioned one of the primary objectives of research was to find

optimal feed/plant ratios to determine the essential management criteria of the
204 E. Pantanella
Table 7.4 Daily nitrogen and phosphorus sink per plant according to different studies
Type of crop Nitrogen sink Phosphorus sink Author
(g m−2 day−1) (g m−2 day−1)
Lettuce 0.83 0.17 Gloger (1995)
Lettuce 0.94 0.1 Alder (2003)
Lettuce 1.0–1.1 na Dediu et al. (2012)
Lettuce 0.13–0.32 na Pantanella et al. (2012b)
Sweet basil 0.34–0.51 na
Aubergine 3.3 0.4 Graber and Junge (2009)
Tomato 0.6 na
Cucumber 0.4 0.1
Salsola 0.2–0.4 na Pantanella et al. (2011b)
Table 7.5 Feed to plant ratio determined from past researches

Type of crop Daily amount Feed crude Fish species Author
of feed (g m−2) protein (%)
Lettuce 56 32 Tilapia Rakocy et al. (1997)
Sweet basil 81–100 32 Tilapia Rakocy et al. (2004a)
Lettuce 33 43 Murray cod Lennard (2004)
Water spinach 15–42 32 African catfish Endut et al. (2010)
systems from its many variables: feed quantity, feed protein content (percentage of
crude protein, %CP), type of plant cropped, environmental conditions and type of
aquaponics system. At the University of Virgin Island (UVI) Rakocy et al. (1992)
−1
determined that 2.4 g day of feed with 36% protein to tilapia could supply
nutrients to one plant of lettuce grown on floating system.
An approach in mass balance used the daily plant nutrient uptake (Table 6.4),
mainly with a focus on the sink needed for wastewater treatment, although it is
worth reminding that the nutrient sink in plants sensitively vary among species/
varieties and environmental conditions, which eventually affect the growth rate and
yields of the plants.
On the other hand a reference on the amount of nutrients released by feed was
also given by Graber and Junge (2009) who calculated that 1 kg fish feed at 45%
CP eaten by tilapia could supply 46 g of nitrogen, 6.0 g phosphorus and 1.0 g
potassium (Table 7.4).
Trials carried out during the years gave more practical feed ratios, which are
based on the amount of feed needed to supply nutrients to plants growing at
standard densities (i.e. 20–30 plants for leaf vegetables) (Table 7.5).
As said earlier the feed ratios depend on the crop being cultivated, the type of
system, and the environmental and climatic conditions. These parameters can
−2
sensitively affect the nutrient availability for the plants: from 60 to 100 g m
−1
day (Rakocy et al. 2006) for the standard UVI-type systems down to 16 g
−2 −1
m day for lettuce growing in systems with minimum denitrification and
additional waste mineralization provided by offline tanks where solids are kept
continuously oxygenated (Lennard 2013).
Based on projects‟ experiences FAO delivered rule of thumb feed to plant ratios:
−2 −1 −2 −1
40–50 g m day for leaf vegetables and 50–80 g m day for fruiting veg-
etables (FAO 2014).
Plant uptake can be increased by the type of system in use (Lennard and Leonard
2006), since deeper contact of roots in the nutritive solution eases the absorption of
nutrients. In trials using different beds the growth of plants was higher in deep water
culture (DWC) and nutrient film technique (NFT) because of the wider root
exposure to the nutritive solution (Pantanella et al. 2012c). Nevertheless the
resulting higher nitrogen sink was not due to higher concentrations of nutrients
accumulated in the plant tissues, which were constant, but rather from the increased
biomass obtained by the plants. Good nutrient sink is therefore the result of yield
maximization in which optimal vegetable biomass growth is obtained.
7.2.4 Nutrient Concentrations in Aquaponics
In aquaponics the levels of nutrients are in general much lower than hydroponics.
At the University of the Virgin Island Experimental Station (UVI) (Rakocy et al.
1992, 2004a, b, 2006) aquaponic vegetables were cropped with only a small per-
centage of the optimal hydroponic concentrations (Table 6.3): nitrate (N-NO3) 16–
70%, ammonia (N–NH4) 0–5.5%, phosphorus (P) 9–55%, potassium (K) 11–32%,
calcium (Ca) 0.4–16%, magnesium (Mg) 8–25%, sulphur (S) 6–24%, iron (Fe) 32–
100%, manganese (Mn) 3–40%. Higher concentrations of nitrogen than those
measured at UVI are possible and can easily reach levels similar to hydroponics.
Nevertheless, yields and quality of lettuce heads from aquaponics are similar to
hydroponics even at concentrations ten times lower than those in use in hydro-
ponics (Pantanella et al. 2012a). Nitrate concentration in RAS can vary from 100 to
−1
1000 mg L (Van Rijn 2010), thus resulting in more than sufficient levels of
nutrients for commercial production of plants. However, some attention must be
also put in the optimal nitrate concentrations for fish since different growth rates or
toxicity responses are seen depending on the fish species. Losordo et al. (1998)
−1
noted that fish can tolerate nitrate levels of 200 mg L , but concentrations above
−1
300 mg L appear to bring some toxicity (Masser et al. 1999). Likewise, trials
done with African catfish demonstrated a decrease of growth and increase of nitrate
−1
in the plasma for concentrations in the water above 140 mg L (Schram et al.
2012). Marine fishes are also less tolerant to high nitrate concentrations than
freshwater fishes.
In aquaponics there are some plant limiting nutrients, which are not adequately
supplemented by the fish feed. Main deficiencies are found in iron, potassium and
calcium (Rakocy et al. 1993). However, calcium and potassium can be supple-
mented to aquaponic systems in the form of calcium carbonate, potassium bicar-
bonate, calcium hydroxide and potassium hydroxide in order to raise the pH or to
206 E. Pantanella
increase the alkalinity in water (Rakocy et al. 1993), which is consumed by the
nitrification process.
Resh (2004), Leoni (2003) and Sonneveld and Straver (1989) indicated optimal
nutrient concentrations for plants. Nevertheless, the nutrients‟ needs vary according
to the growth stage of each plant (Leoni 2003), which can be a challenging factor in
aquaponic systems because of the difficulties in quickly adjusting the pool of
minerals in systems containing big volumes of water or without stressing the fish.
Van Anrooy (2002) remarked that high concentration of nitrates favours vegetative
growth but lower levels of nitrogen are required during the fruiting stage.
Equal concentrations of nitrogen and potassium (N:K ratio of 1:1) bring
cucumber productions to same or higher yields than hydroponics (Savidov 2005;
Pantanella, unpublished data), while higher N:K ratios apparently reduce fruit
yields (Graber and Junge 2009). The low concentrations of potassium is a limiting
factor in fruity plants, as this element is essential in fruit setting, ripening and
sweetness. Reductions of N:K ratios can be obtained by either buffering the system
with alkali (potassium hydroxide, potassium bicarbonate) or by increasing the
denitrification in dedicated tanks of the system, thus letting nitrogen in the water to
be eliminated into the atmosphere (Rakocy, personal communication 2008).
7.2.5 Water Parameters
In aquaponics the nutrient availability is affected by pH (Rakocy et al. 2006;

Losordo et al. 1998, Tyson et al. 2004). Values of pH of 7–8.5 favour nitrifying
bacteria and thus improve the efficiency in the elimination of ammonia from the
water (Tyson et al. 2008), however such higher levels may affect macro and
micronutrient availability outside the pH range of pH 5.5–6 that is considered
optimal for plants (Jones 1997; Resh 2004; Tyson et al. 2008).
Other relevant water parameters are found in electrical conductivity, which
−1
should range between 2.00 and 4.00 dS m or less to avoid plant/leaf phytotox-
−1
icity (Resh 2004; Rakocy et al. 1992, 2006); alkalinity above 100 mg L for
optimal nitrification buffering (Rakocy 1997); biologic oxygen demand
−1 −1
(BOD) below 20 mg L , dissolved oxygen (DO) above 5 mg L both for optimal
fish, plant growth and development of nitrifying bacteria. Low BOD and high DO is
needed to avoid oxygen depletion by aerobic bacteria and the creation of anaerobic
conditions that could harm fish due to the production of hydrogen sulphide, an
extremely toxic gas for fish (Rakocy 1997).
7.2.6 Water Use in Aquaponics and Recirculating Systems
The water consumption in aquaponics includes both fish and plant management.
Replacement takes into account the discharge of sludge from fish faeces and
uneaten feed, the plants evapotranspiration, the accumulation of water in the plant
tissues, the water evaporation from fish tanks as well as other variable losses
depending on the system design (evaporation from airstones bubbles, water spla-
shes from pipes, etc). Researches have assessed in 0.5–4.6% of the total aquaponic
system volume the daily amount of water consumed that needs to be added (Naegel
1977; Watten and Buschs 1984; Mc Murty et al. 1997; Rakocy et al. 1997, 2004a;
Savidov 2005; Al-Hafedh et al. 2008). Nevertheless such water consumption is in
the lower part of the above range in greenhouses or in systems with advanced
aeration systems that keep the water evaporative losses to a minimum.
More practical information refer to the amount of water required to grow one
−1
kilogram of fish, which has been determined in 0.5–1.4 m3 kg in intensive RAS,
while increasing consumption patterns in traditional aquaculture are observed
depending on the management intensification: from 4.7 to 7.8 m3 in aerated ponds,
11.5 m3 in extensive ponds, up to 30 m3 in aerated pond with water exchange
(Verdegem et al. 2006).
As already mentioned water use in aquaponics is affected by the additional
evaporative losses from the plant system. However a correct account of water
consumption in aquaponics must consider the break-even of nutrients in which
minerals are maintained at constant concentrations as the result of the equilibrium
between the nutrients released by the feed/fish, the losses of nutrients from solids
removed or denitrification, and the minerals directly used by plants and roots.
An assessment carried out in UVI-type systems (Pantanella et al. 2012b) showed
that for one kilogram of tilapia (Oreochromis niloticus) body weight gain (equiv-
alent to 1.0–1.2 kg of feed with 40–43% CP) the water consumption at nitrogen
break-even point is 637–1373 L, and is balanced by 11–25 kg of lettuce sink. On
the other hand the growth of one kilogram of African catfish (Clarias gariepinus),
equivalent to 1.0–1.3 kg of feed with 40% CP, requires 243–395 L of water when
growing 5–6.5 kg of sweet basil (Pantanella et al. 2012b). Therefore, the water
consumption in aquaponics is affected by the type of crop, because plants capable
of stocking more nitrogen in their tissues would eventually require less biomass to
keep the nutrients into the aquaponic systems at a steady level, which eventually
results in lower water volumes needed to grow plants.
However, the water consumption between aquaponics and hydroponics is 70–
130% higher in UVI-type systems due to the presence of extended water surfaces
from the fish tanks and the intense aeration occurring to keep fish with sufficient
dissolved oxygen. Such increments suggest for the adoption of specific design
solutions to further reduce the evaporative losses (e.g. bubbling) wherever water
supply is an issue (Pantanella et al. 2012b).
7.2.7 Aquaponic Yields
Aquaponic/hydroponic plant production show higher yields than conventional soil

crops. Resh (2004) stated that soilless cultivation could at least double the yields of
208 E. Pantanella
−2 −2
conventional horticultural plants: from 1 kg m in soil to 2.3 kg m in soilless
−2 −2
for lettuce; from 1.2–2.4 kg m in soil to 14–74 kg m in soilless for tomato.
−2
Rakocy et al. (1992) showed yields of 4.35 kg m from lettuce grown at 25 plants
−2
m in 21 days. On the advantages of aquaponics against soil production Mc Murty
−2
et al. (1990) showed higher yields with cucumber (7.3 vs. 4.6 kg m ) but lower
−2
production with tomato (4.6 vs. 6.1 kg m ). Rakocy et al. (2004a, b) showed
−2 −2
higher productivity in basil with yields of 1.8–2.0 kg m (0.6–1.0 kg m in soil)
−2 −2
and okra with 2.5–2.9 kg m (0.15 kg m in soil). The use of the aquaponic
concept, with higher nutrients in the water and its recirculation between a fish tank/
basin and rice could enhance rice production by 66% against traditionally fertilized
−1 −1
rice, with yields per crop of 8.5 ton ha against 5.1 ton ha (Pantanella et al.
2011c).
Aquaponics shows higher productivity than hydroponics in mature systems for
−2 −2
either tomato (31–59 vs. 41–45 kg m ) and cucumber (42–80 vs. 50 kg m ) and
whenever the N:K ratio is close to 1 (Savidov 2005). For higher N:K ratios certain
fruity plants can still perform well against hydroponics, as in the case of aubergine
−2 −2
(7.7 kg vs. 8.0 kg m ) and tomato (23.7 vs. 26.3 kg m ), but cucumber seems to
−2
shows reduced performance (3.3 vs. 5.2 kg m ) (Graber and Junge 2009).
Nevertheless N:K ratio at 1 even with lower nutrient concentrations than hydro-
−2
ponics (up to three time lower) can provide similar yields (7.6 vs. 7.5 kg m ) and
quality of fruits (sweetness, vitamin C) in cucumber (Pantanella, unpublished data).
For leaf vegetables there are no differences between aquaponics and hydroponics for
both lettuce and basil productivity and quality (Pantanella et al. 2010, 2011a, 2012a).
−1
However concentrations of nitrates above 20 mg L should be maintained to secure
good growth and greenness in leaves. In saline crops, such as salsola aquaponics
shows sensitive advantages than hydroponics even at lower nutrient concentrations
(Pantanella 2011b). However, the best growth responses for both plants and fish
should take into account the most favourable nutrients balances and climatic con-
ditions, which must be adequate for the species being produced into the systems.
Aquaponic sub-systems design (floating system, gravel, NFT) could also help to
raise plant yields and to increase water quality. Lennard and Leonard (2004) out-
lined the enhanced nitrification obtainable from gravel systems and, at the same
time, the potential buffering capacity of gravel. Rakocy et al. (2006) also confirmed
that substrates in the form of sand and gravel are optimal, but care should be put in
delivering solid free water to avoid clogging. Media however present some draw-
back because it requires more maintenance to grow plants (e.g. digging holes during
transplant) or because it may bring some stem damages wherever aquaponics is
developed in windy outdoor conditions (Rakocy et al. 2006).
7.2.8 Economics
Economic assessment from literature showed high profitability of aquaponics leaf

vegetables than fruit productions. Mc Murty et al. (1997) projected annual yields of
−3 −2
41.5–54 kg m of tilapia and 29.2–59.6 kg m of tomato, which was respectively
−3 −2
equivalent to 109–142 USD m and 50–102 USD m depending on the system
design. However Rakocy outlined that the biomass harvestable from each crop of
−3 −3
Nile tilapia is 61.5 kg m and 70.7 kg m for red tilapia (Rakocy et al. 2004b).
−3
Savidov (2005) estimated a gross return of 342 USD m every 24 weeks from
−1
tilapia reared in tanks (sold at 5 USD kg ), while basil returns were 184–
−2 −1
236 USD m per year (price of basil 15.4 USD kg ). Rakocy et al. (2004a)
−2
estimated a gross revenue of 515–550 USD m from aquaponic basil against a
−2
revenue of 172 USD m from soil. The experience from researchers and com-
mercial scale operators shows how the highest incomes come from the vegetable
side of the aquaponic systems, with nearly 3-fold gains than fish (Savidov 2005).
A recent survey among commercial aquaponics operators showed that the average
size of farms has an acreage of 0.01 ha, with the median respondents investing
5000–9999 USD and reporting profits in nearly 40% of cases (Love et al. 2015).
7.3 System Components and Management
A standard aquaponics system (Figs. 7.4 and 7.7) is constituted by fish tank/s, a
mechanical filter to remove settable solids (fish faeces, uneaten feed) and suspended
solids, a biofilter (optional, depending on the type of plant grow system used) to
convert the ammonia excreted by fishes into nitrate through nitrification, and plant
trough/s. Aquaponics can also have a sump where water from the plant troughs
converge and is added with buffer from a dedicated buffer addition tank.
Aquaponics follows the evolution of the systems occurred during almost forty
year of applied research carried out by scientists worldwide. Most of the current
designs are built following the original outline developed by Professor James E.
Rakocy at the University of the Virgin Islands, who started working on the inte-
gration of plants and fish since the late seventies. Through the years Professor
Rakocy and his team designed a commercial scale system with appropriate com-
ponent ratios based on optimized nutrient balance between fish and plants
(Fig. 7.7).
7.3.1 Fish Tanks
Fish tanks follow the engineering of recirculating systems. The design should allow
the solids to be quickly removed to maintain good water quality. The ideal shape is
circular as water rotates with no turbulence towards the centre of the tank where the
drain is. In terms of design the ideal radius-to-height ratio in circular tanks is 3:1–
4:1, this allows centripetal forces to bring the solids towards the central drain. To
further improve the self-cleaning capacity a slope towards the centre is suggested to
help the solids to move and settle towards the centre of the tank. Other designs are
210 E. Pantanella
possible, with raceways leading the options for their good space use and cleaning
efficiency. Squared tanks are used, but the presence of corners creates death spots
where wastes accumulate, especially in flat bottomed tanks. Therefore the highest
solid removal efficiency must be always guaranteed.
The most common material used for fish tanks is fiberglass (Fig. 7.8) for its
versatility to be used for wide recipients. However, it is the most expensive option
and may be used for systems with a very long lifespan. Other material used, mainly
for small volumes of water is HDPE/LDPE, which is moulded for 0.1–5 m3 tanks.
Alternatively HDPE or EPDM liners can be used for either backyard or commercial
scale systems. Thick liners of 0.75–1 mm can be welded to make bigger containers
and are fairly resistant to mechanical stress. Liners can be a very cheap option to
cover metal or wooden/bamboo walls or iron-meshed frames (Fig. 7.9).
Alternatively liners can be used for ponds, providing that good water circulation
and drainage is guaranteed to efficiently remove the solids. A suitable solution for
backyard systems is the intermediate bulk container (IBC) (Fig. 7.21), which is
used to transport liquids, is fairly resistant and of adequate volume to host up to
15–20 kg of fish serving 2–4 m2 plant area.
The tanks vary in stocking densities depending on the species reared and on the
aeration-oxygenation technology. In general the density is chosen according to the
Fig. 7.8 Fiberglass tanks
Fig. 7.9 Fish tanks made of

liners and bamboo stakes
oxygen concentration in the water, which is replenished by either new incoming

oxygenated water or by aeration/oxygenation inside the tank.
The more sensitive to oxygen is the fish species the more water exchange or
aeration-oxygenation is needed to support the animals‟ needs. Alternatively the fish
stocking density must be reduced to maintain adequate dissolved oxygen concen-
trations. In general for tilapia 80–90% oxygen saturation can be sustained by
−3
standard aerators up to a fish density at harvest of 60–70 kg m under a hydraulic
retention time of 1–1.5 h. Higher stocking densities or higher saturation are pos-
sible providing that pure oxygen is supplied.
Water exchange in tanks is also important to wash solid out and to dilute the
ammonia excreted by fish, which is successively oxidized by the biofilter into less
−1
harmful nitrate. Ammonia is harmful to fish at concentrations as low as 1 mg L ,
but its toxicity depends on the pH, since acid conditions in water bring ammonia
into its ionized and less toxic form, ammonium. On the contrary levels of pH above
7 increase the concentration of the unionized form thus resulting dangerous for the
fish.
In commercial aquaponic systems tanks are mainly managed with a staggered
production of same-size fish stocked in each tank. Staggered management allows to:
• Harvest one tank of same-size fish at one time
• Have a continuous supply of fish to the market depending on the number of
tanks available
• Maintain a fairly constant fish biomass into the whole system, which eventually
keeps constant the levels of nutrients for plants
• Avoid peaks in fish biomass into the system, which eventually result in
excessive oxygen consumption and high ammonia production.
7.3.2 Mechanical Filtration
Solid removal is a fundamental part of any recirculating system. Solids are formed
from fish excreta and uneaten feed and must be removed efficiently and quickly, to
prevent them from releasing ammonia into the water or to create anaerobic spots
that bring to the production of hydrogen sulphide, a very toxic gas for fish. In any
recirculating system the presence of solid reduces the efficiency of the aeration/
oxygenation, due to the increased oxygen consumption from mineralizing bacteria,
which use dissolved oxygen to digest the wastes (biological oxygen demand,
BOD).
Nevertheless, in aquaponics the efficiency in removing solids can be lower than
RAS, because the presence of small quantities of fine suspended solids would add
more nutrients to the plants trough mineralization. On the contrary RAS systems
need to remove as much fine solids as possible to prevent any risk of clogging of
the biofilter, which would deteriorate the water quality dramatically.
212 E. Pantanella
Fig. 7.10 Clarifier with

central baffle
Fig. 7.11 Swirl separator
The most common solid removal devices are: clarifiers, swirl separators, radial
flow clarifiers and drum filters. Clarifiers (Fig. 7.10) are conical-bottomed tanks
where solid settle by gravity under a water retention time of 20 min (Rakocy 2007).
In general the removal performance is 59%. On the other hand swirl separators
(Fig. 7.11) use centrifugal force to settle solids but they seem to have lower
removal efficiency (37.1%) than radial flow clarifiers (77.9%) (Fig. 7.12) (Davidson
and Summerfelt 2005). Both systems have been already used in semi-commercial
aquaponic systems with positive results.
Drum filters are the most used devices in RAS. Water is filtered through a micro
screen of variable size (50–100 μm) in which solids are firstly trapped and then
removed by a backflush of water that pushes the dirt out, through a dedicated outlet.
Although very efficient, drum filters are not universally adopted in aquaponics due
to economic reasons and because of the excessive removal of solids that sensitively
reduce the pool of nutrients obtainable from fine wastes. Another technology use
geotextiles to get rid of flocculated wastes. In this case concentrated sludge from an
offline tank is mixed with an organic polymer that binds solid particles and pre-
cipitate them. The precipitate is then squeezed from the water into a permeable bag
and successively removed once the bag is full.
Fig. 7.12 Radial flow

clarifier
Fig. 7.13 Clarifiers with 60°

conical bottoms
Regardless the system solids need to be efficiently removed to prevent that they
clog plant roots and increase the biological oxygen demand of the system. The
overload of the system with solids is in fact negative because of the risks of
anaerobic spots and hydrogen sulphide production. On the other hand moderate
quantities of fine solids allow more nutrients to be released into the water through
mineralization. This balance between fine solid removal and mineralization brought
to different management strategies among aquaponic systems around the world.
In the UVI system (Fig. 7.7) fine solids escaping the clarifier (Fig. 7.13) are
trapped in a filter tank made with orchard net (Fig. 7.14). At this stage most of the
suspended solids settle on the mesh and become a growth substrate for the aerobic
bacteria that produce biofilms. The increasing volume of the adhered solids and
biofilm is periodically controlled by washing the nets to remove all the organic
matter. The frequency of the washing of the nets is eventually used to create a
controlled anaerobic environment (Rakocy 2008, personal communication). The
increase of organic matter and aerobic bacteria on the nets brings in fact to an
exploitation of the concentration of oxygen in the water that reach values next to
214 E. Pantanella
zero, which favours organisms that thrive in oxygen-free conditions (anaerobiosis).

In such condition denitrifing bacteria, which are anaerobic organisms, consume the
nitrate nitrogen in the water and release nitrogen gas into the atmosphere. This
controlled anaerobic process is important in the overall nutrient management of
aquaponics because it keeps nitrogen to constant levels into the system, or even
decrease it to adjust the N:K ratio to more favourable numbers for fruity plants. As
mentioned in the previous section N:K ratios of 1 are optimal for fruits‟ settings and
ripening, thus the overall reduction of the nitrogen in the water helps potassium to
become relatively predominant. Being the anaerobic stage a critical condition due to
the production of hydrogen sulphide gas, it is very important to intensively de-
gassing the outgoing water before circulating back into the system.
In Canada the solid management follows a more intensive approach, in which
the complete mineralization of the wastes is pursued. The rationale is that wastes
contain good sources of nutrients that need to be released in order to supply optimal
fertilization to plants. The systems make use of oxygen gas to supersaturate the
water thus allowing both dissolved oxygen and oxidizing bacteria degrade the
organic matter into simpler components that are used by plants.
A simpler approach makes use of media beds of adequate granulometry to
mineralize the fine suspended particles. The media is contained in tanks that are
constantly flooded and drained with the aquaponics water. The most common beds
are made of inorganic substrates such as volcanic tuff, gravel, pumice, expanded
clay. The media increases the surface available for oxidizing microorganisms to
thrive and to degrade the organic matter into its simpler elements. The constant and
regular flooding and draining of the media allows water and air to reciprocally
penetrate the interstices and pores of the substrate and to supply with oxygen, water
and nutrients the rich micro fauna.
7.3.3 Biofiltration
Biofiltration is the fundamental component of any recirculating system. As men-

tioned in the previous sections fishes release ammonia from their metabolism, and
the concentration of released ammonia increases with the percentage of proteins
contained in the feed. Ammonia concentrations would raise quickly due to the high
densities of fish and the abundant feeding, thus resulting in the risk of toxicity and
−1
death of fish. Concentration as low as 1 mg L are harmful especially if the pH in
the water is basic, since ammonia would be in its unionized and more toxic form.
To maintain good water quality it is necessary to oxidize this by-product into the
less harmful nitrate. Two main bacteria species help to run this process:
Nitrosomonas and Nitrobacter, the former oxidizes ammonia into nitrite, the latter
nitrite into nitrate.
Fig. 7.14 Filter tanks to

capture fine solids by means
of orchard type nets
—
1. Nitrosomonas: Ammonia (NH3) → Nitrite (NO2 )
— —
2. Nitrobacter: Nitrite (NO2 ) → Nitrate (NO3 )
These beneficial bacteria establish their colonies on every surface of the systems.
They need both good water circulation to allow new ammonia molecules to come
into contact with the colonies and good oxygenation to allow the prompt oxidation
of ammonia.
Biofilter is any media that has a large surface per unit of volume (specific surface
area—SSA) to let bacteria adhere over a large area. The biofilter presence in
aquaponics system is facultative. The UVI system does not use any specific biofilter
unit, but leaves to the system‟s surface in contact with water (the tanks, the sub-
merged part of floating rafts, the pipes, the plant roots) the task to host nitrifying
bacteria. The presence of biofilter is however suggested, if not recommended, to
help the system to be more resilient against ammonia peaks or sudden changes from
the optimal environmental conditions for nitrifying bacteria (temperature, salinity,
oxygen). Common media used in both RAS and aquaponics are: bioballs, spherical
−3
plastic media with voids in the inside and a SSA of 600 m2 m ; plastic beads that
−3
can reach SSA up to 1400 m2 m . Biofiltration in aquaponics can be also provided
by media beds, whose substrate used to support the plants can also host nitrifying
−3
bacteria. Common media used is gravel (150–200 m2 m ), volcanic tuff
2 −3 2 −3
(300 m m ), and expanded clay (200–250 m m ). The correct sizing of the
biofilter depends on the maximum feed intake of the fish stocked and the resulting
ammonia produced. The optimal sizing also take into account of the climatic
conditions, dissolved oxygen, salinity, pH and the type of biofilter media used with
its specific SSA.
The bacteria in the biofilter work within optimal ranges of temperature (17–
−1
34 °C), good dissolved oxygen (>5 mg L ) low salinity, low dissolved solids.
Such environmental conditions should adjust to the optimal of the plants and fish
216 E. Pantanella
being cultured. Plants for example prefer pH ranges of 5.5–6.5, a level in which all
the micronutrients for plants are in their maximum soluble form. On the other hand
the higher temperatures required by bacteria do not perfectly match the optimal
temperatures of certain vegetables. It is then necessary to find some compromises,
being aware that the biofilter should be then oversized to compensate for the
suboptimal working conditions of nitrifying bacteria.
7.3.4 Mineralization
Mineralization is the second most important microbiological process in the

aquaponics system. It implies the progressive degradation of organic wastes into
smaller components, the process releases nutrients otherwise not available to plants.
Many organisms are involved in mineralization: worms, nematodes, protozoa,
fungi, bacteria. Each decomposer is involved in one step, to degrade wastes from
bigger into smaller particles. In an aquaponics system it is common to spot the
complex fauna and micro fauna degrading the organic matter, especially in sub-
strate beds, in which the fine suspended solids accumulate and are degraded. The
substrate beds, with their flood and drain cycles allow the decomposers to access air
and at the same time capture new organic matter from the circulating water.
The process of mineralization requires oxygen to provide molecular oxidation
and to let decomposers breath. This means that additional aeration should be pro-
vided to the system to maintain good dissolved oxygen.
During the mineralization proteins are degraded in amino acids and successively
digested by bacteria that release nitrogen. However, plants can directly take up
amino acids as well as any inorganic nitrogen form, with the exception of nitrogen
gas. The mineralization of phosphorus is important because this element is not
mobile and easily available. Mineralization converts organic phosphorus into
—
phosphate (PO4 ), which is assimilated by plants.
The mineralization is possible within the carrying capacity of the system. Too
much waste is dangerous if not supported by the decomposers and by an adequate
supply of oxygen, as it would build up into the system with the risk of anaerobic
spots and the production of hydrogen sulphide.
7.3.5 Plant Beds
Plant beds in aquaponics mainly follow the same designs of hydroponics with the
only difference that nutrients are not distributed by computers controlling the
release of fertilizers from tanks into the circulating water, but simply by fish
wastewater.
Fig. 7.15 DWC with tomato

plants
7.3.5.1 Deep Water Culture
The most used plant bed is the floating system or deep water culture (DWC).
In DWC water flows in long tanks of variable width (Figs. 7.6 and 7.15). The
height of the water in the tank is 25–40 cm. In DWC plants float on polystyrene
rafts with bare roots (Fig. 7.16), and access the nutritive solution through holes
made on the floating sheets. The presence of fixed holes make the raft not flexible to
adjust to different densities. A proper fish-to-plant ratio is maintained. In the case of
the UVI system the surface ratio between plant beds and fish tanks is 7.3:1, while
the volume ratio is 1:3.4 with an average fish-biomass-to-cultivable-area equivalent
−2
to 4 kg m (Rakocy 2007). In DWC an intense aeration actively enhances the
plants uptake by increasing the nutrient flow at root levels and by providing oxygen
to nitrifying bacteria that convert ammonia into nitrate. Given the big volume of
water the system requires more energy for pumping than any other types of
aquaponic systems. On the other hand the big volume of water makes the system
more resilient against ammonia peaks (dilution effect), while nutrients can accu-
mulate into the water and serve the plants over a long period of time, even if fish
biomass is consistently reduced or not present. Another advantage of DWC is in the
thermal inertia of the system due to the big volume of water, which keeps the water
under constant temperatures and prevents fish stress.
218 E. Pantanella
Fig. 7.16 Particular of bare

roots in DWC
Advantages Disadvantages
• Easy set up using plastic liners • Need of food grade liners
• Suitable for outdoor as well as indoor • Heavy system, not suitable for roof-top
• Buffering capacity of ammonia through agriculture
dilution in a large volume of water • The liners are prone to punctures if not thick
• Stable water temperatures enough
• High quantities of nutrients diluted in the • The systems need longer periods of time to
water reach adequate concentrations of nutrients
• Systems can produce for a limited period • Construction costs may be higher if materials
of time with few or no fish are not easily available (polystyrene rafts)
• Highest productivity compared to other • Polystyrene rafts degenerate quickly under
growth beds UV if not protected with paint
• Biofiltration surface provided by floating • Large amount of water to be pumped, higher
rafts cost of energy than other beds
• Simple management of rafts that can be • More expensive water sterilization to comply
pushed to one end of the tank for easy with water safety regulations due to the water
harvest volume
• DWC can host additional species of • Not suitable for some fruit crops and root
aquatic animals to improve productivity crops
• Plants do not wilt in case of black out • Tanks can breed mosquito larvae, control is
• Easy maintenance for cleaning needed
• Tilapia damage crops if fry colonize the plant
beds
7.3.5.2 Dynamic Root Floating Technique (DRFT)
The dynamic root floating technique is a variant of DWC with a shallower water
column. DRFT is also called Taiwanese system and is quite widespread in South
East Asia. DRFT is built on tables of variable lengths (Fig. 7.17) and has a water
depth of just few centimetres (4–8) (Fig. 7.18). The rafts float like in DWC, but the
presence of ridges from the bottom make it possible to decrease the water level and
create an air chamber when the rafts settle on the top of the ridges. Air chambers
increase air circulation at root level, prevent risks of rotting in plants and help the
system to cool down the water during hot seasons, which is ideal in hot climates.
Fig. 7.17 DRFT in outdoor
The DRFT has considerable advantages against both traditional DWC and NFT,
firstly because of its lighter weight than DWC that allows its use on rooftops, and
secondly due to the presence of the polystyrene rafts and the air chamber under-
neath, which prevent any diurnal overheating of the circulating solution that con-
stitutes one of the biggest issues in NFT instead (plant bolt and fish get stressed for
extreme variations of day/night temperatures). Although not very commonly
adopted, the system has been used by the author for three years with yields similar
to traditional aquaponics DWC.
Fig. 7.18 The shallow water

level in DRFT
220 E. Pantanella
• Easy set up using plastic liners on • Need of food grade material
tables • Higher cost of setting than DWC due to the
• Good for either small scale or presence of supporting structures
commercial scale • The liners need to be thick to avoid punctures
• Suitable for outdoor • Proper care should be put in action to prevent
• Suitable for roof-top agriculture polystyrene rafts from being damaged by UV light
• Moderate buffering capacity of • Rafts do not provide surface for nitrifying bacteria
ammonia through dilution in the when suspended on the water
water • Lesser buffering capacity of ammonia through
• Insulating effect from polystyrene dilution than DWC due smaller volume of water
rafts • Not suitable for certain fruit crops and root crops
• Additional cooling due to the air • Tanks can breed mosquito larvae, control is
chamber needed
• Lower root disease risks due to the • Tilapia damage crops if fry colonize the plant beds
presence of air • Need additional biofiltration due to the reduced
• Passive aeration by the presence of air surface and smaller volume of water than DWC
chamber
• Higher concentrations of nutrients
than DWC
• System is resilient to black outs
• Easy maintenance for cleaning
• Water sterilization possible for food
safety rules
• Suitable for all types of leafy
vegetables
7.3.5.3 Nutrient Film Technique—NFT
The nutrient film technique—NFT is the most common system in hydroponics and
the most used in aquaponics together with DWC. Like hydroponics the plants are
placed in holes drilled on plastic pipes (Fig. 7.19 and 7.20) in which water flows in
a shallow film to wet the roots. Given the small volume of the circulating water
NFT is in general associated with a mechanical filter and a biofilter to efficiently
remove wastes and convert the ammonia released by fish into nitrate. The outlet of
the NFT pipes end into a sump where water is then poured back to the fish tanks
after proper pH adjustments. This type of system offers the advantage that pipes can
be moved and adjusted to increase/reduce the planting density according to the
growth stage of the crop. In addition the lightweight is compatible for NFT to be
developed on rooftops.
Although the system is very simple, it shows some drawbacks, which are found
in the excessive daytime heating of the water flowing into pipes during the hot and
in the vulnerability against black outs, as any lack of electricity immediately deplete
the water into the pipes and stress/wilt, the plants. One solution to address the
thermal excursions above mentioned, which also stress the animals, is to decouple
the fish from the plant system in such a way that the two sub-systems could only
communicate for limited period and for the strict time necessary to replenish
nutrients into the plant sub-unit.
Fig. 7.19 NFT with round

pipes positioned on A frames
Fig. 7.20 NFT with flat

pipes
• Small flow of water, cost savings in • Set up costs is high due to the number of
pumping pipes and supporting structures needed
• Lightweight, suitable for roof-top • The concentration of nutrients cannot be
agriculture adjusted real time in aquaponics
• Suitable for both small or industrial scale • Risks of black outs and loss of the whole
farms production
• The concentration of nutrients can be • Requires a biofilter and mechanical filtration
adjusted real time (in hydroponics) to meet • Extreme temperatures in water between
plant demand night and day bring stress to the fish and
• High productivity if properly managed make them sick
• Suitable for leaf vegetables, especially • Higher risk of plant diseases with high water
lettuces temperatures
• Pipes can be moved to increase planting • Risk of lettuce bolt with high water
density temperatures
• Suitable for water sterilization
• Easy management
• No media to handle
222 E. Pantanella
7.3.5.4 Media Beds
Media beds are very common in small backyard systems (Fig. 7.21). They are very
versatile and can be used for both leaf, fruit and root vegetables. A whole range of
inorganic media is used: expanded clay, tuff, pea gravel, and perlite.
Plants in such systems receive nutrients through surface irrigation by means of
drippers or through flood-and-drain cycles. In flood-and-drain media is cyclically
wetted by raising levels of water and then aerated when the water flows out from the
tanks. Flood and drain can be operated by either the cyclical flushing of siphons that
suck water out when water reaches a fixed height, or by the intermittent functioning
of an inlet water pump given a constant, but smaller, outflow that allows the bed to
be flooded. Media beds are very easy to manage, providing that fish wastewater is
adequately clean from bulk solids to avoid organic matter build-ups and consequent
anaerobic spots. This type of system is recommended for beginners who are neither
experts in nitrification nor are constantly monitoring their systems. The presence of
media helps the practitioners to have an adequate biofiltration and mineralization at
the same time.
Fig. 7.21 Media bed obtained from IBC tanks: fish tank (a) with outlet serving the plant beds (b).
Plant beds discharge water to the sump (c) where a submerged pump returns the water back to the
fish
• Suitable for all types of plants (leaf, root, fruit) • Costs for transport of media
• Substrates used according to local availability • Not suitable for large scale
• Carbonate-based substrates can buffer the water that tend farms
to become acid with nitrification • Heavy systems if using
• Many water delivery options standard media (gravel)
• Nitrification provided by media • Needs liners resistant to
• Mineralization provided by media punctures
• Resilient to black outs
(continued)
(continued)
• Can be used for roof tops with lightweight media • Media can clog with abundant
fish solids
• Plants can leave crop residues
in the media
• More labour during transplants
• Media may damage stems in
windy conditions
• Water delivery may be not
uniform, impair growth
7.3.5.5 Dutch Buckets
Dutch buckets are media-contained pots where plant grow by receiving the nutritive
solution by means of drippers of by regular flood-drain cycles. This type of system
is suitable for large fruiting plants or potted plants sold to the markets or to retailers.
Being the plants growing in pots they can be easily moved to adjust the density
according to their growth stage.
In aquaponics this type of systems has been developed with manifolds serving
plants with adjustable flow of water, or by means of flood-drain cycles delivering
water to plants positioned on a waterproof bed. The outflow from the pots directly
converge to the fish tanks or to a sump. In general the pots with their media already
provide biofiltration to the system water, but some degree of mechanical filtration is
needed upstream, between the fish tanks and the pots, to avoid the accumulation of
fish wastes and the clogging of the media. One positive aspect of this system is that
irrigation by flood and drain does not require big investments. However, if the
aquaponic water is delivered by micro-irrigation the delivery system may eventu-
ally clog due to the presence of organic matter and bacteria in the water that
colonize the micro pipes. Should micro-irrigation be chosen a deep filtration with
sand filter should then be guaranteed to get rid of all solids and secure a good
quality water without any risk of clogging.
• Suitable for fruit plants and potted • Costs for transport of media
plants • More labour for management
• Many water delivery options • Needs liners resistant to puncture if pots are
• Suitable for large-scale productions positioned above
• Plant density adjustable • Some water delivery options can clog (drip
• Nitrification/Mineralization provided irrigation)
by media
• Resilient to temporary black outs
224 E. Pantanella
7.4 Aquaponics Versus Aquaculture Systems
At sustainability level aquaponics has the same advantages of any other aquaculture
farming system. The production of fish brings in fact consistent advantages on
water uses and ecological footprint, if compared to terrestrial animal husbandry.
Being fishes cold blooded animals they do not consume most of the energy for
heating their bodies, as it happens for mammals. This different physiology improves
sensitively the fish efficiency in converting feed into body mass (feed conversion
ratio—FCR). In fish FCR can be as low as 1 (1 kg of feed required to increase the
animal body weight by 1 kg). On the contrary FCR values in chicken and mono-
gastric warm-blooded animals are 3–4, while in ruminants they raise up to 6–7
(Verdegem et al. 2006). Low FCRs result in lower uses of land and water to
produce the necessary feed for the livestock.
7.4.1 Traditional Systems
The evolution of traditional aquaculture to closed systems brought considerable

advantages both in terms of pollution control and water use efficiency (Piedrahita
2003; Verdegem et al. 1999, 2006).
In many parts of the world aquaculture has not been managed with the necessary
attention on environmental issues. Fish productivity strictly depends on the degree
of farming intensification, which is a trade-off between land access, resource use
(feed, energy, water) and waste production. In general traditional freshwater
aquaculture is predominantly represented by pond systems.
The type of management intensification however affects the productivity of the
aquaculture system, which varies accordingly to the use of inputs: extensive has no
feed use but only fertilization is applied to increase the natural food production of
ponds (phyto and zooplankton that is eaten by fish), semi-intensive with partial use
of feed to integrate the natural pond productivity, intensive systems where feed fully
covers the nutritional needs of the aquatic animals. Intensive systems make also use
of energy to support the water oxygenation and water exchange to get rid of wastes
and ammonia, which is toxic to fish (Barnabé 1990; Diana et al. 1997) (Table 7.6).
However, new incoming water increases the risks of parasites and pathogens out-
breaks, and put aquatic animals at risk of chemical contamination from outer
waters, which makes it necessary to develop appropriate control strategies.
Table 7.6 Differences between aquaculture managements and productivity in tilapia growing in
ponds (Diana et al., 1997)
Extensive Semi-intensive Intensive
Fertilization No fertilization or Fertilization may be Fertilization may be
fertilization with manure used used
or chemical fertilizers
Feed No use of feed, fishes rely Partial use of feed to Complete use of feed
on pond natural food integrate natural pond to cover the nutritional
production food production needs of fish
Aeration No aeration No aeration Aeration occurring
Water No water exchange No water exchange Water exchange in
management very intensive systems
Productivity ≤0.5 MT ha−1 with no 3–6 MT ha−1 6–10 MT ha−1;
per year fertilization; 1–3 MT ha−1 10–20 MT ha−1 with
with fertilization water exchange
7.4.2 Advantages of Recirculating Systems
Closed recirculating systems have the considerable advantage that all the products
from fish metabolism are processed within the system, although a certain amount of
water is daily discarded to dilute the build-up of nutrients and to eliminate the bulk
fraction of solids. However, this water exchange is minimal if compared against
traditional aquaculture systems. In addition the small volumes of the incoming
water is easily manageable through filtration and sterilization to control outer
pathogens and parasites.
This closed management brings the overall water consumption per kilogram of
fish produced to lower values (0.5–1.4 m3) than traditional aquaculture, in which
the overall water use depends on the management intensification: 4.7–7.8 m3 for
aerated ponds, up to 11.5 m3 for extensive ponds, up to 30 m3 for aerated pond
with water exchange (Verdegem et al. 2006) (Table 7.8). In practical terms the very
small volumes of incoming water required by closed systems can be easily and
completely controlled and sterilized, bringing eventually to zero any risk to transmit
diseases and pollutants into the systems.
RAS and aquaponic systems are a valuable method to grow fish in water scarcity
conditions. The recirculation of water also limits the heat losses, which is beneficial
in cold/hot climates as it saves major heating or cooling costs and maximize fish
growth, since animals grow in optimal temperature ranges and optimal water
quality.
226 E. Pantanella
7.4.3 Production and Quality in Recirculating Systems
In terms of performances the shift from traditional cage or pond culture to recir-
culating systems does not affect growth. In the case of tilapia FCR values from
aquaponics range from 1.0–1.3 (Pantanella et al. 2012b) up to 1.7 (Rakocy, per-
sonal communication 2008) whilst recirculating tank systems show values of 1.4–
1.8 (DeLong et al. 2009) and cage culture/earthen ponds can range from
0.82–0.98 (Ying and Lin 2001) up to 1.2–1.5 (El Sayed 2006). Likewise the fish
growth rate, measured as specific growth rate (SGR: % of daily body weight
increase), is 0.91–5.1% in aquaponics (Seawright et al. 1998; Al-Hafedh et al.
2008, Pantanella et al. 2012b) versus 1.43–3.22% in earthen ponds, but under
higher feeding regimes (Pruginin et al. 1988).
In the case of other warmwater species, such as young African catfish SGR from
aquaponics (1.36–2.13%) (Endut et al. 2010; Pantanella et al. 2012b) is similar to
recirculating systems (1.24–1.94%) (Pantazis and Neofitou 2003; Ahmad 2008).
Likewise FCR in aquaponics (0.97–1.39) (Endut et al. 2010, Pantanella et al.
2012b) is similar to either earthen ponds (0.98–1.54) (De Graaf and Janssen 1996)
and recirculating systems (0.94–1.29) (Degani et al. 1988). For some other species
aquaponics has shown interesting growth rates and FCR, as shown in Table 7.7.
On a qualitative point of view RAS and aquaponics proved that the fish con-
tainment helps to prevent any risks of parasites or chemical/biological pollution
from external water sources. On the other hand the rearing of fish in closed systems
proved no risks of heavy metal build-ups in the flesh, if compared to the levels
found in animals reared with traditional systems (Martins et al. 2011).
There is currently a wide debate about the genetic contamination of wild stocks
with farmed fish, the difficulties in preventing the mutual transmission of parasites
and pathogens between farmed and wild fish, and the raise in tolerance of parasites
against common drugs. These issues are now bringing the industry and policy
makers to consider different ways to produce. The farming of fish in closed systems
could be undoubtedly a valid solution to address the environmental problems that
are affecting the industry. However, given the higher investment costs the returns
must be guaranteed by farming high-value fish.
In terms of costs both RAS and aquaponics require higher investments, but
aquaponics gets some advantages for the slightly lower technology used and the
conversion into profits of the water treatment costs normally occurring in RAS. In
aquaponics the plant production part is eventually the main source of income for
farmers, who may differentiate their output by combining animal with vegetable
crops. However the combination of the two components may limit the management
choices of either fish or plants, since the optimal environmental conditions of one
can differ from those of the other crop.
Aquaponics, as well as recirculation, may not be convenient for farming fish that
can be produced extensively or semi-intensively in ponds, as their selling prices
barely cover the feed and energy costs occurring in closed systems. The higher
investments and operating costs from intensive systems may not be covered unless
Table 7.7 Performances of fish species in aquaponics
7 Aquaponics Production, Practices and Opportunities

Fish species Stocking density Fish weight at Feeding regime Diet (% FCR SGR Author
−3
(kg m ) stocking (g) (% CP) BW)
Bester sturgeon (Acipenser 7.56 95 46 2 1.01–1.25 1.38–1.66 Dediu et al. (2012)
ruthenus × Huso huso)
Hybrid sex reversed tilapia (O. 8.7 434 32 1.8–0.6 na na Mc Murty et al.
mossambicus × O. niloticus) (1997)
Sex reversed Nile tilapia (O. 1.3–16 3.8 41.6 5.0–4.4 1.0–1.1 4.4–5.1 Seawright et al.
niloticus) (1998)
Sexed male Tilapia (S. aurea) 1.12 62 32 4.0–1.2 1.59 1.2 Watten and Buschs
(1984)
Nile tilapia (O. niloticus) 4.86 32.4 41 0.6 na 0.8–1.1 Tyson et al. (2008)
Mixed sex blu tilapia (S. 1.68 na na na 1.32 na Mc Murty et al.
aureus) (1990)
Mixed sex Nile tilapia (O. 6.8–39.7 42.5–248 34 3 to 2 1.0–1.7 0.7–1.8 Al-Hafedh et al.
niloticus) (2008)
Nile tilapia (O. niloticus) (1) 5.4 (1) 10.8 (2) 70 32 ad libitum 1.79 na Rakocy et al. (2004a)
Red tilapia (Oreochromis sp.)
(2)
Nile tilapia (O. niloticus) (1) 6.1 (1) 9.1 (2) 79.2 (1) 58.8 (2) 32 ad libitum 1.7 (1) 1.8 (2) 1.39 (1) 1.29 (2) Rakocy et al. (2004b)
Red tilapia (Oreochromis sp.)
(2)
Mixed sex Nile tilapia 8 (1) 20 (2) 24 (1) 90 (2) 43 (1) 40 (2) 2 (1) 1.7 1.0 (1) 1.3 (2) 2.7 (1) 1.4 (2) Pantanella et al.
(O. niloticus) (2) (2010)
Nile tilapia (O. niloticus) 10.7 100 na 2.5–1.25 na na Savidov (2005)
Red tilapia (Oreochromis sp.) 7.1–8.8 38.9 32 6–1.2 1.76 na Rakocy et al. (1997)
GM Nile tilapia (O. niloticus) 15 10 40 2.5–1.1 1.57–3.9 4.2–0.08 Pantanella et al.
(2011c)
Tilapia (T. mossambica) 40 na na 5 3.14 (T) 2.56 (C) Naegel (1977)
(T) & common carp
(Cyprinus carpio) (C)
(continued)
227
228
Fish species Stocking density Fish weight at Feeding regime Diet (% FCR SGR Author
−3
(kg m ) stocking (g) (% CP) BW)
African catfish (Clarias 9 (1) 21 (2) 81 (1) 183–193 (2) 31–40 2 (1) 1.5 0.97–1.1 (1) 1.25–1.3 2.0–2.1 (1) 1.36 (2) Pantanella et al.
gariepinus) (2) (2) (2011a, b, c,d)
African catfish (Clarias na 30–40 32 2–4 1.23–1.39 1.68–1.83 Endut et al. (2010)
gariepinus)
Murray cod (Maccullochella 10 120–220 43 1.0–1.5 0.8–1.1 0.9–1.1 Lennard and Leonard
peelii peelii) (2006)
Mullet (Mugil cephalus) 7.4–8.1 83.2 (1) 54 0.5–0.6 3.5–4.5 (1) 2–2.2 0.1–0.2 (1) 0.4–0.5 Pantanella et al.
84.9 (2) (2) 3.1–3.2 (3) (2) 0.25 (3) (2011b)
100.4 (3)
Largemouth bass (Micropterus 11 33.6 44 0.9 1.5 0.77 Pantanella,
salmoides) unpublished data
%CP percentage of crude protein, %BW percentage of body weight, FCR feed conversion ratio, SGR specific growth rate
E. Pantanella
Table 7.8 Comparative advantages and disadvantages, water use and productivity of aquaponics and RAS against traditional aquaculture (Verdegem et al.
2006—modified)
Semi intensive ponds Intensive aerated pond Intensive aerated pond and Aquaponics, RAS
water exchange
Advantages – Easy management – Relatively low management – Higher yielding – Small land footprint
– Low investments – Pellet as main feed source, but natural – Control on aeration – High environmental and
– Natural feed and feed still plays a role – Water monitoring water control (indoor)
pellet – Control on aeration – Ammonia monitoring – High productivity
– Low production – Use of pelleted feed – Safety (indoor)
costs of fish – Low need of water
– Integrated – Farming everywhere
aquaculture
Disadvantages – Land demanding – Rely on feed – Rely mainly on feed – Rely only on feed
– Consistently rely on – Rely on energy – Energy intensive – Energy intensive
water sources – Sludge accumulation – Rely on water – Management intensive
– Contaminant risk – Limited choices to raise density – Sludge accumulation – Multiple skills
– Disease risk – Contaminant risk – Pollution of water (water – Higher risk of failure for any
(outdoor) – Disease risk (outdoor) discharge) breakdown
– Contaminant risk – High investments
– Disease risk (outdoor) – High running costs
Productivity 2–8 4–20 15–35 >100
(MT ha−1 y−1)
Water use 11.5 4.7–7.8 30 0.15–3.2
(m3 kg fish−1)
229
230 E. Pantanella
valued fish are cultured or commercial species are sold in markets where premium
prices are applied for quality fish sold with no residues and pollution issues.
Aquaponics can be a valuable option in fish nursery productions, as the high
turnover of the fry, the high stocking densities achievable and the higher degree of
biosecurity guarantee for good incomes and reduced losses than traditional pond
management.
A comparison of advantages and disadvantages of aquaponics/RAS against
traditional systems outlines the small footprint and higher productivity of such
advanced systems (Table 7.8), however the final decision for their use depends on
the degree of risk that the fish farmers are willing to take.
7.5 Aquaponics Versus Agriculture Systems

7.5.1 Advantages of Soilless Systems Against Traditional
Agriculture
Aquaponics and hydroponics overcome some of the problems commonly occurring

in soil-based agriculture, which have been increased by the adoption of monocul-
ture practices in greenhouses (Table 7.9). Typically with soil-based agriculture
farmers have to carry out a series of tasks to prepare and manage their crops, which
imply ploughing, removal of weeds and fertilization, irrigation, weed control. In
addition agriculture farmers do not have control on the release of nutrients from
soil, which is affected by the soil texture, its chemical characteristics in binding
nutrients (cation exchange capacity), and environmental conditions (temperature).
At the same time farmers have limited strategies to cope with salinity.
In terms of productivity soilless cultivation increases the crops‟ water use effi-
ciency up to ten times, while the crop productivity can be more than doubled than
conventional agriculture (Resh 2004).
Soilless cultivation can be developed in urban and suburban areas, which sen-
sibly reduces transport costs. Furthermore aquaponics can be developed in areas not
suitable for traditional agriculture due to exhaust soil conditions or bad water
quality. Aquaponics fits particularly well the needs to produce food wherever there
is no fertile land or access to land, but in terms of economic competitiveness the
adoption of aquaponics in fertile areas has to be carefully assessed due to the higher
investment and production costs than traditional agriculture.
To summarize soilless systems show some advantages over conventional soil-
based systems:
• Increased yields due to cultivation in protected environments, in which it is
easier to control the climatic parameters optimal for plants
• Lack of competition for nutrients from weeds
• Control of nutrients according to the growth stage and nutrient requirements of
the crops
• Increase in quality of productions, due to optimal plant nutrient balances

• Reduction in residues and pesticide due to integrated/biologic management
• Better organoleptic and nutraceutical characteristics due to optimal nutrient
management
• Lack of crop rotation to avoid “soil tiredness” that reduce crop yields over the
years
• Better control of soil-borne diseases through physical avoidance ofmicro-
organisms and biological management.
7.5.2 Differences Between Aquaponics and Hydroponics
Aquaponics differs from hydroponics. Although similar management can be applied

in both systems, aquaponics is a more complex agroecosystem in which the pres-
ence of both fish and micro-organisms play a key role in plant Growth (Table 7.9).
In aquaponics the levels of nutrients are lower than hydroponics, and most of the
times the level of nitrogen used is 20–40% of the concentrations normally in use in
hydroponics. The reason of such productivity in lieu of low concentrations of
nutrients stands in a constant, but continuous, supply of micro and macro elements
by fish. Nevertheless the more complex dynamics in aquaponics allow plants to
uptake also free amino acids from water and fulfil equally their nutritional purposes
(Ghosh and Burris 1950).
The presence of microorganisms in the water lead to a different management of
aquaponics systems. Contrarily to hydroponics, which is mainly kept sterile to
avoid pathogens‟ contamination, in aquaponics the complex habitat created by
beneficial bacteria and fungi makes the system less prone to diseases, due to the
high competitive environment the pathogens have to face.
The system complexity however raises the need to have higher levels of
knowledge and expertise from operators, who should be aware of the different
needs of both plants, fish and bacteria/fungi. The integration of these three living
elements raises the need to get some compromises in either water (pH, tempera-
tures, nutrient levels) and ambient/climate management.
One drawback of aquaponics, however, is found in the need to combine two
different management at one time, which results in suboptimal conditions for either
fish or plants. If the presence of the aquatic animals from one side testimonies for
the safety of the products, on the other hand it severely limits the choices for disease
and pest management. Many of the remedies in use in organic agriculture could not
be applied to plants due to toxicity for fish, and have to be refrained unless they are
used under strict control in limited cases. The aquaponic ecosystem is manageable
providing that a bunch of preventive remedies are put into action to avoid any
spread of pests or diseases into the system. Therefore preventive management
requires high expertise in people who should know the dynamics of fish and plants,
as well as be aware of epidemiologic factors.
Table 7.9 Comparative advantages and disadvantages of aquaponics against traditional hydroponics and soil cultivation
232
Aquaponics Hydroponics Soil
Flexibility to new areas/climates Possible. But needs to consider Possible. Agriculture even in Not possible if soil is not fertile
fish requirements extreme conditions (desert)
System control More complex, need also to Adapted to the crop (greenhouse) Adapted to the crop (greenhouse)
consider animal optimum
Ambient conditions Can be affected by higher Standards of protected controlled Standards of protected controlled
humidity due to fish tanks agriculture (greenhouse) agriculture (greenhouse)
Water use Low, as it compensates only for Very low, as it compensates only Medium, high. Depends on the
evapotranspiration and for plant evapotranspiration delivery system and soil
evaporation characteristics
Water physical characteristics Should compromise plants and Optimal for plants No water control
fish needs for either pH,
temperatures
Nutrient concentrations Can be low, due to constant fish High Medium to high. Release of nutrients
supply affected by soil and weather/climate,
leaching
Nutrient use efficiency High, similar or better nutrient High, minimal amount of Low, affected by soil, leaching and
use efficiency than hydroponics fertilizers used, uniform weather/climate
due to lower concentrations of distribution and real time
nutrients in the solution adjustable flow of nutrients. No
leaching-dispersal
Use of space Optimal, at least twice as Optimal, at least twice as Medium, depends on soil fertility
productive as soil productive as soil
Soil-borne disease and pests Not affected Not affected Affected
Epidemiology Minimal risk of soil borne Risk of disease spread higher due Risk of disease spread higher due to
E. Pantanella
diseases, due to system to use of same aqueous media to runoff of contaminated water
resiliency. Higher risk of leaf all plants (closed system)
diseases (fungi) due to higher
humidity from fish tanks
(continued)

Aquaponics Hydroponics Soil
Sanitation Risk of contamination due to use No risk of contamination for Risk of contamination if using water
of water with coliforms from fish. human health from canals
Sterilization of water is possible.
No E. coli risks because fish are
cold blooded animals
System management Organic-like but not certifiable Chemical or integrated Chemical, integrated, organic
organic (in EU)
Product quality Similar or higher to hydroponics. Full control with appropriate Variable, depends on the soil and
Higher presence of metabolic nutrient delivery and adjustable management. Fruits may be better
compounds may benefit nutrients and salinity at fruiting tasting
stage
Investment costs Higher than hydroponics due to High, due to setting up of Low, but needs investments on
the need to set up the fish system protected environment, nutrient machineries
as well delivery and monitoring
Management Highly expert knowledge needed, Expert level is needed to cope Medium level
due to fish/plant presence with instruments and settings
Risk High risk of failure if electricity is Medium, depends on automation Medium, more affected by
down with no backup system environmental conditions
233
234 E. Pantanella
In terms of productivity the scientific literature has already proven that

aquaponics is as efficient as hydroponics both in terms of yields and quality, pro-
viding that certain nutrient ratios are maintained. In terms of market aquaponics has
a better outlook than hydroponics for its organic-like management. In USA
aquaponics can benefit from organic certification, which opens up produce to
premium price markets. On the contrary EU regulations limit organic productions to
soil-based agriculture despite the biological outlook of aquaponics and its full
cycling of nutrients. Nevertheless the expansion of aquaponics is still limited due to
higher investment costs than hydroponics that prevent farmers from considering this
technique a much profitable alternative.
Aquaponics could experience good growth if it is developed as decoupled
system, in which one farmer specializes in fish production while the another gets
the aquaculture wastewater for plant production. The separation of the two subunits
increases the opportunities to improve both pest and disease management, since
there is no cross-contamination between the subsystems.
7.6 Production Systems in Use
7.6.1 Commercial Productions
A recent survey on commercial scale producers (Love et al. 2015) traced the
identikit of the average aquaponic farmer. The majority of commercial farms are
based in the USA with the owner having a leading role in the venture for at least
49% of the cases. Most of the commercial farms produce on DWC (77%) and
media beds (76%), the data also testimony that a combination of different systems is
the norm. The average farms are not big: size of 100 m2, investment of 5000–
10,000 USD, no cold storage room at least for half of them and no food safety plan
for 38% of them. Aquaponic farms appear more vegetable-oriented rather than
fish-oriented due to the length of the fish crops, though 69% of farms reared tilapia,
a fish that can be harvested up to commercial size in only six months. The
prevalence of leafy greens and herbs witnesses the orientation of farmers to high-
return crops.
There is a big interest worldwide in adopting aquaponics for commercial hor-
ticulture. On this point research and pilot scale projects (Fig. 7.22) at different
latitudes are focusing at demonstrating the economic feasibility of integrated sys-
tems and at optimizing their sub-components. There are ongoing collaborations
between research institutions and the industry. A European Cooperation in Science
and Technology—COST program FA1305 started in 2014 gathering research
institutes and private companies with the scope to organize a comprehensive
aquaponics platform for research and commercial development. Likewise in North
and South America universities are partnering and fostering research and devel-
opment for the support of the aquaponics sector.
Fig. 7.22 A pilot scale

system in Europe
Big farms are increasing in number especially in North America. In Canada

many firms are extensively producing aquaponics lettuces with DWC often using a
degree of mechanization in harvest. In USA the leading design is the UVI system,
with many farms replicating the ratios and the components. The success in North
America is also driven by the possibility to certify organic the produce, which
brings high revenues and good returns on investments. In Europe there is an
expansion of aquaponic farms especially in the northern countries. The success
stands in the green outlook of the technology and the awareness of consumers for
safe products. Aquaponics has however good potential for expansion in water
scarce countries. In the Middle East many countries are strategically planning
production systems with water saving technologies as a way to guarantee their food
security and to make the countries as much self-sufficient as possible. In UAE at the
Zayed Agricultural Centre, an UVI type system of nearly 2000 m2 of cultivable
area, was built to show the potential for integration of fish and plants. Currently
across the whole region private entrepreneurs and trusts are planning to build
aquaponic systems for commercial operations following their respective country
directives for food security, water security and self-sufficiency.
7.6.2 Small Scale for Backyard Consumption,

Market and Food Security
Most of the small scale systems are meant for home consumption. Although not
directly involved in commercial scale operations these systems proved to be sup-
portive for family needs either for the supplement of chemical-free vegetables or to
reduce the family retail expenditures at the grocery. According to a survey carried
out in 2013 (Love et al. 2014) the average size of backyard farms are 15 m2 with
vegetables playing the main role. Interestingly most of the farmers do aquaponics
more as a hobby and the main drivers in the production are sustainability and the
production of own (safe) food. Aquaponics is growing mostly in urban and peri-
urban areas due to the fact that micro scale agriculture is either considered a
236 E. Pantanella
Fig. 7.23 Micro scale system
leisure and because of the characteristic of soilless production: intensive outputs

within small acreages wherever fertile land or other inputs are scarce (Fig. 7.23).
Aquaponics is also considered a strategy for food security not only because of
the production per se, but because of the cash derived from selling small amounts of
vegetables in local markets. In recent years FAO, the Food and Agriculture
Organization of the United Nations, implemented microscale aquaponics projects
for food security in the Middle East and Africa and showed that household food
production is improved, can empower women and be more sustainable and resilient
whenever production is organized at community level throughout the whole pro-
duction chain (from seed to market) and under the credit support of revolving funds.
Recent FAO workshops also witnessed the growing interest in promoting
aquaponics as a water-saving food production technology to be used on islands or
in conditions of scarce water resources, which is particularly important in many
climate-change affected areas.
Advantages Weaknesses
• High productivity with limited • Higher initial investment costs than other traditional
spaces but low yielding systems
• Landless food production • Higher degree of skills needed for the management of
• Seasonal-free productions in both plants and fishes
protected environments • Grow out systems, need to rely on constant supply of
• Valorisation of household work inputs and fingerlings
• Women empowerment • Electricity not reliable in some areas
• Improved access to the markets • Need to produce high quality and high value crops and
• Improved value of products fish to be highly profitable
• Improvement of household food • Market access to be developed
security
• Household cash for health and
education
7.7 Alternative System Designs
Aquaponics combines fish and plant species within the same environment. This
integration includes also beneficial bacteria involved in the nitrification, which work
in optimal ranges of pH, temperature. Most species are adaptable to variable con-
ditions, but not always it is possible to let each crop to grow under optimal envi-
ronmental parameters. One of the main aspects that additionally limit the choices of
the management in aquaponics is the risk of cross-toxicity in using any biological
remedies for pest control, which results in some cases in crop failures or fish losses.
In recent years there has been a constant and growing interest in separate the fish and
plant units to ease the management through decoupled or hybrid systems.
7.7.1 Decoupled Aquaponics Systems
The rationale of these systems is that both fish and plants live in separate envi-
ronments that are temporarily connected just to bring nutrients from fish to plants or
reclaimed water back to fish. Basically a decoupled system is the combination of a
RAS and a hydroponic unit using fish wastewater as source of nutrients. In terms of
management such solution ease the farming of fish that are always reared in optimal
conditions of temperatures and water parameters. On the other hand the standalone
plant growing areas are set with optimal pH, humidity and temperatures set for the
vegetable crops. The decoupled aquaponics systems can be managed with peri-
odical recirculation of water between the fish and plant subsystem (two-way, or
hybrid system) (Fig. 7.24) or can be run in unidirectional way with water going
Fig. 7.24 A two-way decoupled system (hybrid RAS). The RAS and hydroponic subunits work
as standalone units but are temporary connected to allow nutrient-rich water to go to the plant bed
and reclaimed water from the plant to the fish subsystem. The plant bed still works as a biofilter
and supports the nitrification needs of the fish subunit
238 E. Pantanella
only from the fish to the plant subsystem (one-way system) (Fig. 7.25). In terms of
practical management this second option is seen more favourably by plant growers,
who do not have to be worried about any risk of toxicity to fish. Such type of open
system well suits the needs of outdoor agriculture with ferti-irrigation lines serving
rows of plants.
One of the advantages of decoupled systems is that they do not necessarily need
experts in both fish and plants, as one farmer just specializes in recirculating
aquaculture, while another one specializes in soilless cultivation by using fertilized
water from the fish producing neighbour.
In terms of investment this solution would ease the adoption of aquaponics, as
farmers would not necessarily need to double the investment on both fish and
plants, but can outsource one of the two while concentrating in their main and
single core business.
7.7.2 Low-Tech Designs
At backyard level there is interest in developing low-tech systems that are simple
and of immediate understanding by farmers. The Indonesian Yumina-Bumina, for
example, re-thinks at aquaponics in a very simple and comprehensible way for
whoever is used to pond culture. Surrounding pots all-around the banks or walls of
the tank help the water quality to be maintained at optimal levels while delivering
fertilized water to the plants (Figs. 7.26 and 7.27). The media contained in the pots
procure at the same time solid entrapment, biofiltration and mineralization of the
fish water. Yumina-Bumina uses higher fish stocking densities than traditional
aquaponics, also because the size of the harvested fish is rather small and targets the
single person portion sizes. The Yumina-Bumina stocks fingerlings of catfish at
−3 −3
300–500 fish m , 50 fish m for Nile tilapia.
Fig. 7.25 A one-way decoupled system. The RAS and hydroponic subunits work independently.
The plant bed receives the fertilized water from the fish subunit. This system allow farmers to have
more freedom in their integrated pest/disease management
Fig. 7.26 A yumina-bumina

system with pots
Fig. 7.27 A floating yumina

system
−2
In general such systems use a fish pond:plant ratio of 0.25 m3 m , which means
that every cubic meter of pond water corresponds to 0.25 m2 of plant growing area.
The production cycle is quite fast as the harvest in catfish occurs in only 2–
2.5 months, while gourami and pangasius in 6–12 months. For tilapia the harvest
of mix-sex fish occurs before they reach sexual maturity at the age of 4–5 months,
which completely bypasses the need to carry out sex reversal in these fish.
The focus on low-tech systems is important in emerging countries where the
limited access to money for investment and the lack of knowledge of the dynamics
of aquaponics prevent many from adopting backyard systems. Nevertheless systems
that approach the traditional way agriculture is managed and that require low
maintenance are ideal to meet the limited skills of local households. In Myanmar a
demonstration facility with a tank serving a gravel bed proved that a 30 m2 system
that includes a bamboo nethouse and a solar system for standalone energy supply
−2
would cost as low as 25 USD m and bring a net profit of 1.6–2.2 USD a day
from vegetables and secures a fish consumption of 400 grams per day (Pantanella
et al. 2014). Similarly Dr. Wilson Lennard from his researches could produce
240 E. Pantanella
aquaponic kits for backyard farming in developing countries serving a few square
meters of plant beds for as less as 100 USD.
The aquaponics concept could be applied to staples or even to traditional agri-
culture. The key factor stands in the recirculation of the water that allows for the
build-up of nutrients to levels that guarantee for commercial productions of crops
without any addition of chemical fertilization. Some experiments carried out with
tilapia and rice growing on sand beds proved higher rice yields than chemically
−1
fertilized paddies (respectively 8.1 and 5.1 MT ha ) in 120-day crops with a
fish:plant ratio of 1–1.5 kg. Interestingly, considering the short duration of fast
growing varieties of rice, it would be possible to perpetually support the daily rice
needs of a family of 5 members with only 100 m2 of growing area (Pantanella et al.
2011c).
7.8 Saline Aquaponics
Saline water provides new opportunities to farm fish and plants in a more sus-
tainable way. Despite its wide diffusion cage farming has never obtained a full
acknowledgement due to pollution issues, the risk of genetic contamination of wild
stocks due to escapees and disease outbreaks, the competition with other water uses
for recreational purposes. In the last decades the integrated multi-trophic aquacul-
ture (IMTA) provided some solutions to the control of the pollution from fish cages,
but it has obtained limited impact due to the high water dilution of nutrients in open
bodies.
Aquaponics with its build-up in nutrients provides opportunities for marine and
brackishwater aquaculture to control the potential source of pollution by preventing
organic wastes to be released into the environment and to obtain at the same time
additional incomes from plant production. Turning fishes out from cages into
recirculating systems not only does maintain the optimal growth parameters of fish,
but would also achieve higher levels of biosecurity against pollutant and pathogens,
which eventually guarantee for higher yields and safer aquaculture productions.
Saline aquaponics does not differ much from the freshwater aquaponics, with the
only exceptions that biofiltration has to be scaled up to compensate for the lower
nitrification efficiency of bacteria under higher salinity, and the need to increase the
concentrations of nutrients to compensate for the reduced plant uptake due to higher
osmotic pressure in the water.
The salinity level in water definitely affects the type of system in use and the fish
and plants choice. Some marine species such as European seabass (Dicentrarchus
labrax) and seabream (Sparus aurata) respectively grow well at salinity of 5–
−1 −1
7 g L and 10 g L , while mullet (Mugil spp.) and Asian seabass (Lates cal-
carifer) can reach nearly freshwater conditions.
The decrease in salinity, within certain physiological limits, rather than being a
depressing factor can improve the growth performances of fish, which do no spend
energy for balancing the osmotic pressure of highly saline water.
Fig. 7.28 Basil growing at

3 g L−1 salinity can achieve
similar yields per m2 of plants
growing on freshwater
hydroponics by simply
improving density, climatic
control and use of anti stress
factors
Although salt is not the best element for plant growth due to the toxicity of
sodium and the reduced capacity of plants to uptake water against a negative
osmotic pressure, it is possible to crop some traditional horticultural plants that
−1
show a degree or resistance at salinity levels of 0.5–7 g L . In addition, tailored
agronomic strategies such as reduction of water stress conditions, improved fer-
tilization, the grafting of commercial varieties on salt-resistant rootstocks, the use of
anti-stress factors can greatly help to increase productivity up to the yields
achievable in freshwater hydroponics (Fig. 7.28).
Besides, salt-tolerant plants (halophytes) can tolerate concentrations up to
marine strength and show interesting commercial opportunities for leaf productions.
The most known are Salsola spp. (Fig. 7.29), Atriplex spp, Kochia scoparia, sea
fennel, Salicornia spp, seabeet (Fig. 7.30). There are also at least fifty different
species of grain crops that can be simply cultivated with irrigation lines in outdoor
conditions. There is also growing interest in seaweed for their nutritional and
nutraceutical characteristics. They can be cultivated in closed systems and can
Fig. 7.29 Salsola optimally

grows within 10–20 g L−1
salinity
242 E. Pantanella
Fig. 7.30 Seabeet growing at

10 g L−1 salinity on DRFT
greatly benefit from nutrients released by fish. Closed conditions also secure con-
trolled production standards and compliance to food safety regulations.
The type of farmed aquatic animal strictly affects the choice of plants or sea-
weeds that can be cultivated based on the salinity ranges. In the case of saline
aquaponics it is thus important to develop preliminary market studies to assess the
demand of crops, the margin of profitability and the risk factors to secure eco-
nomical sustainability of the ventures. Besides, the development of systems with
cost-effective designs and technologies are the safest strategy to guarantee quick
returns on investments.
7.9 Future Research
Most of the research on aquaponics has been carried out on the nutrient balances
between different species of fish and plants. Contrarily to the past, when the focus
was more on the engineering aspect of the system there is nowadays raising interest
to determine the quality of the productions and to develop effective growth
strategies. There is indeed a great deal of research topics that need to be explored,
most of them pertaining the optimal nutrition of plants and the ways to modulate the
concentrations of nutrients according to the growth stage of the plants. Secondly,
research is also targeting new designs that can best meet the crop needs and be
energy-saving.
Since 2014 the European funded EU COST FA1305 action has gathered the
academic, research and development sectors with the SMEs from many European
and no EU countries to evaluate the state of the art of aquaponics and to join the
efforts in innovation and education. The action of research and development is
mainly oriented towards the water quality management, the alternative sources of
feed for aquatic animals, the best combinations of fish and plants in different
latitudes also in a perspective of food security, in the assessment of the economic
feasibility of aquaponics against other alternatives, and in the review of indicators
for ecological, social and economic sustainability.
The assessment of the economic feasibility and the research of alternative system
designs that best suit the need of the industry and small farmers is at the top of the
agenda of many researchers and stakeholders. Recent aquaponic workshops carried
out by FAO have arisen the need to develop clear assessment of the costs and
benefits of aquaponics to let farmers and entrepreneurs be informed of the
advantages/disadvantages of adopting this integrated system under their respective
climatic and environmental conditions.
The engineering research is currently looking at alternative ways of running
aquaponics from recirculating systems. On this large interest is now put in
decoupled aquaponics, where the fish and plants subunits are managed separately,
but temporarily communicate for the delivery of nutrients or for the return of
reclaimed water back to the fish. Therefore there is the need to optimize the fish
sub-units to let them reach good balances of nutrients for plants to be grown in
similar conditions of traditional hydroponics.
The idea to make the aquaponics systems as much self-reliant as possible is
another key research topic. In Canada the research team lead by Dr. Nick Savidov is
working on the 5th generation aquaponics with the aims to produce zero-waste
through complete mineralization of fish solids. On the other hand a team of
researchers in Europe are focusing on the internal production of supplementary
food to reduce the costs from feeds.
In developing countries the focus is on building systems suitable for the
spending capacity of the locals and are of adequate simplicity to be used by low-
educated farmers with hassle-free management and with low energy demand.
Besides, there is the need to widen the potential of aquaponics to grow staple crops,
which can guarantee for food security in areas where traditional agriculture cannot
be done for either natural or anthropic causes. All these research solutions however
need to be assessed against the costs and the economic advantages they can bring to
the production system to make them really sustainable and adoptable.
Aquaponics is a valid production system that meets the need to produce more with
less inputs. The research in the past years has proven that systems are robust to
handle both fish and plants and the productive traits of the crops are competitive
against soil-based agriculture and hydroponics, even with lower levels of nutrients.
Aquaponics well suits the need of the fish industry for more sustainable pro-
ductions, as it consumes less water and reduces down to zero the impact of wastes
on the environment by re-using them in substitution of chemical fertilizers. The use
244 E. Pantanella
of water in aquaponics is the lowest in aquaculture and comparable to advanced

RAS without the hassle of more sophisticated and expensive technologies for water
treatments. Aquaponics also complies with the need for high quality food, as its
closed recirculating system reduces any risks of contamination with outer pollutants
and prevents the contact with pathogen and parasites from unprocessed water,
which eventually offsets any use of drugs.
There is however a number of areas of research that still need to be addressed to
fully improve aquaponics to be adopted at industrial scale. This include the choice
of plants to best meet each environmental condition, the climatic control of
aquaponics, the decoupled technology for easier management of plant-only or fish-
only systems, and the food safety issues for the retail sector. Also one of the key
requirements for the expansion of aquaponics is the validation of its cost
effectiveness.
Integrated systems have a great potential to improve agroecosystems efficiency.
Nevertheless performances and economic sustainability are always factors influ-
enced by environmental conditions, sub-system design and management. Increased
productivity and sustainability of agroecosystems should further consider the
optimal management of input, output and by-product as an important factor to
improve overall system efficiency.
The system integration is the key factor for low input productions. However, the
complexity of agroecosystems due to fish and plant integration requires increased
management and environmental needs of plants, animals and their surrounding
habitat. Aquaponics is as efficient as hydroponics in producing high quality food.
However the full expansion of every integrated system would be only possible
when products have lower production costs than traditional agriculture, or when
aquaponics brings higher and faster returns on investments than hydroponics or
traditional aquaculture. The key for the long term success of aquaponics would
eventually be the perfect trade-off among environmental, social and economic
sustainability.
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Chapter 8
Estimating Carbon Footprint Under
an Intensive Aquaculture Regime
Sara Gonzalez-Garcia, Pedro Villanueva-Rey, Gumersindo Feijoo

and Maria Teresa Moreira
Abstract This chapter presents a method to assess the carbon footprint and edible
protein content Energy Return On Investment ratio (ep-EROI) of one of the most
important and representative fish species, namely, turbot (Scophthalmus maximus)
cultivated in Spain under an intensive aquaculture regime. The analysis was per-
formed considering a cradle-to-farm gate life cycle assessment (LCA). To do so,
representative hatcheries, nurseries and turbot farms were inventoried in detail. The
relative contribution to overall greenhouse gases (GHG) emission and cumulative
energy demand (CED) were evaluated. The results indicated that intensive turbot
farming has significant GHG emission and energy requirements mainly due to
electricity and feed requirements. The subsystem related with hatching and nursing
reports the highest contribution to the impacts under study. Regarding the ep-EROI,
an average level of 0.38% was obtained for Spanish turbot, which is considerably
low in comparison with other aquaculture species. Results from this study can be
used to optimise and promote more sustainable turbot production chains.
·
Keywords Edible protein energy Environmental hotspots · Life cycle
· ·
assessment Spanish aquaculture Turbot culture system
8.1 Introduction to the Aquaculture Sector and Life Cycle

Assessment
Environmental concerns specifically focused on effects derived from greenhouse

gases (GHG) emission and fossil fuels depletion have developed a society
increasingly aware of environmental preservation (Ribeiro et al. 2013). Special
attention is being paid on fishery sector and seafood supply chains (Thrane 2004;
Henriksson et al. 2012; Parker 2012). Historical increments on fishery capture
S. Gonzalez-Garcia· P. Villanueva-Rey · G. Feijoo · M. T. Moreira (&)

Department of Chemical Engineering, Institute of Technology, University
of Santiago de Compostela, 15782 Santiago de Compostela, Spain

250 S. Gonzalez-Garcia et al.
yields have been achieved by means of increasing fishing efforts as well as by new
fishing grounds exploration (Henriksson et al. 2012). The main direct impact on the
environment from the fishing sector is related with the decrease of the stock sizes
(Schau 2012), deriving on a non-sustainability exploitation of fishery resources
(Hilborn et al. 2015). Despite multiple scientific discussions on the concept and
meanings of sustainability as well as its application on fisheries, there is not con-
sistency regarding sustainable seafood definition (Hilborn et al. 2015). In this
context, a fast growth in aquacultural systems has been evidenced (FAO 2006;
Henriksson et al. 2012; Iribarren et al. 2012; Parker 2012). Different species of
shellfish (mussels, oysters), fish (salmon, trout, tilapia) and aquatic plants (mi-
croalgae) are farmed in a variety of culture environments and production systems
(Ayer and Tyedmers 2009). However, the development of marine fish farming is
confronted with many environmental limitations (Aubin et al. 2006) mostly related
with nutrient emissions into aquatic ecosystems and accessibility to coastal areas.
As a result, land-based fish farming is receiving special development, mainly due to
lower requirements of water and efficient wastewater management within the farm
boundaries (Aubin et al. 2006; Liu et al. 2016). Moreover, environmental impacts
considerably depend and vary according to the cultivated species and the cultivation
system (Ayer and Tyedmers 2009; Martins et al. 2010). Fish meal as well as oil as
feed ingredients and electricity requirements (Martins et al. 2010; Iribarren et al.
2012) have been identified as critical factors in aquaculture production systems and
for that reason, efforts must be performed in order to evolve these systems into more
environmental friendly systems (Roque d‟Orbcastel et al. 2009).
Measuring, understanding and improving GHG emission of fishery and aqua-
culture based products is an important part of the seafood industry‟s labors to
improve environmental profiles, labels and market products to consumers, meet
government regulations, and promote the environmental and economic sustain-
ability. In the process of better understanding the environmental impacts of aqua-
culture, Life Cycle Assessment (LCA) has become more repeatedly used to identify
not only the best practices but also to assess the environmental performance and
critical activities (Pelletier and Tyedmers 2008). LCA is an international stan-
dardized method (ISO 2006) managed to evaluate the impact that a production
system has on the environment. Since it involves the term “life cycle”, the
assessment takes into account all the stages carried out throughout the production
system that is, including raw materials and energy production, manufacturing,
distribution, use and final disposal. It is based on a compilation of inventory data
(energy and material flows) corresponding to each stage and it quantifies the
contributions of these flows to a set of resources use and emissions related with
environmental impact categories (ISO 2006).
In recent decades, LCA has been applied to environmentally assess a range of
aquaculture based products (Pelletier and Tyedmers 2010) from a life cycle oper-
ational perspective under extensive or intensive regimes. Fish species such as
rainbow trout (Seppala et al. 2001, Papatryphon et al. 2004, 2005; Aubin et al.
2009; Roque d‟Orbcast et al. 2009), turbot (Aubin et al. 2006, 2009; Iribarren et al.
2012), tilapia (Pelletier and Tyedmers 2010), salmon (Ellingsen and Aanondsen
8 Estimating Carbon Footprint Under an Intensive Aquaculture Regime 251
2006; Ayer and Tyedmers 2009; Pelletier et al. 2009; Liu et al. 2016), sea-bass
(Aubin et al. 2009) or the Arctic char (Summerfelt et al. 2006) are examples of
species analysed from a LCA perspective. Regarding shellfish, shrimp (Mungkung
et al. 2006; Cao et al. 2011) and mussels (Iribarren et al. 2010a) have been also
analysed following the LCA principles.
As previously reported, species cultivated as well as cultivation practices affect
the environmental results. Decreasing energy dependence on farming activities as
well as the nutrients loading must receive special attention if more environmentally
friendly systems have to be developed. Novel production systems are evolving
towards more efficient water filtering technologies in order to reduce water
requirements, allowing decreasing nutrients and solid release into the environment
(Blancheton 2000; Ebeling et al. 2006; Aubin et al. 2009). In addition, recirculating
systems are being promoted as an interesting opportunity to also reduce water use
and control water quality. The environmental consequences derived from these
systems as well as their comparison with conventional flow through system have
been determined in the literature and environmental improvements have been
demonstrated (Summerfelt et al. 2006; Ayer and Tyedmers 2009; Roque d‟Orbcast
et al. 2009).
Therefore, LCA methodology could become a valuable management and for-
ward planning tool for aquaculture systems since it could contribute to quantify and
prioritise strategies of improvement. The combination of this approach with eco-
nomical and social analyses could allow defining the concept of aquaculture
sustainability.
8.2 Turbot Aquaculture Sector
European aquaculture products destined to human consumption represented around

90.4 Mt in 2012, a high and outstanding value when compared with fishery cap-
tures (68.5 Mt). Moreover, and according with statistics, world aquaculture is
increasing year by year (Acuicultura en España 2014). The rapid expansion of
aquaculture sector seems to be related with many sustainability worries such as
GHG emissions, introduction of non-indigenous species, dependence on fishery
captures and socio-economic features (Henriksson et al. 2012).
Within the marine species produced in Europe, turbot occupies the sixth position
in terms of production tonnes. Spanish turbot aquaculture provided in 2013 around
6800 tonnes of turbot (88.3% of European production), which supposed a reduction
of 14.5% regarding the production in 2012 (Acuicultura en España 2014). Turbot
(Scophthalmus maximus) is one of the most important fish species cultivated in
Spain under an aquaculture regime (Acuicultura en España 2014), together with red
sea bream (Pagellus bogaraveo), gilt-head bream (Sparus aurata) and sea-bass
(Dicentrarchus labrax). Spanish aquaculture production was around 0.25 Mt in

2013, of which 94% corresponded to marine species. The remaining 6% corre-
sponded to continental species such as rainbow trout.
Spanish turbot farms are mainly located in Galicia (NW Spain). Galician turbot
aquaculture supplies 99% of total Spanish production (Acuicultura en España 2014)
and this species represents around 20% of the Spanish finfish production from
marine aquaculture (Iribarren et al. 2012). Regarding market values, the average
−1
price for Spanish turbot in 2013 was around 8.42 € kg , which turned in an
economic turnover of 57 M€ (Acuicultura en España 2014).
Although Spanish turbot sector holds a top position in Europe, only one study
can be found in the literature regarding the estimation of the environmental profile
derived from the culture practices (Iribarren et al. 2012). Nevertheless, few studies
can be found in the bibliography regarding turbot aquaculture in France (Aubin
et al. 2006, 2009) despite of being an important finfish product. In addition, turbot
fishing fleets have been environmentally analysed (Schau et al. 2009). According to
the turbot fishery study, this finfish species is one of the most intensive fossil fuel,
requiring more than 2 kg fuel per kg of caught fish (Schau et al. 2009). High rates
of energy requirements involve serious consequences from both environmental and
economical point of views.
Aquaculture systems are often described as sustainable and environmentally
friendly alternatives to conventional fishery practices (Henriksson et al. 2012).
However, they frequently require outsized system boundaries including fisheries
and agricultural practices (Henriksson et al. 2012) and for that reason, the devel-
opment of low-intensive farming systems must be considered. According to the
reported studies on turbot aquaculture, carbon footprint is a mandatory impact
category to be considered for evaluation. Production of feed and energy require-
ments can be considered as the environmental critical factors but not only on turbot
systems but also any type of fish species analysed (e.g. rainbow trout and sea-bass)
(Aubin et al. 2009; Iribarren et al. 2012). The feed conversion ratio, the feed
ingredients ratios as well as the culture regime (e.g. inland water re-circulating
system vs offshore marine fish-cage farming system) considerably affect the envi-
ronmental profiles and therefore, they should be assessed in detail in order to
promote best practices (Aubin et al. 2009; Iribarren et al. 2012). Costs are also
important factors to be evaluated, considering that the construction costs of a land-
based system are significantly higher than the floating cages the costs of
maintaining the fish in good quality water is also higher in land-based systems due
to the pumping costs. However, land-based farming systems are easier controlled
than offshore farming systems, allowing a better environmental control (Person-Le
Ruyet 2001; Seafish.org 2012).
8.3 Case Study: Turbot (Scophthalmus Maximus) Culture

System
As aforementioned, aquaculture systems require an environmental evaluation since

aquaculture sector has become the highest growing animal production sector all
over the world as an alternative to conventional fishery captures (Cao et al. 2011;
Henriksson et al. 2012). In the process of better understanding the environmental
consequences from aquaculture implementation, LCA has been converted into more
regularly used tool to identify the best practices and to assess the overall macro-
level environmental performance. Therefore, evaluating macro-level envi-
ronmental impacts requires a full evaluation of activities or processes that comprise
the whole production chain. This study employs LCA to quantify the carbon
footprint (CF) as well as the edible protein content energy return on investment
(ep-EROI) associated with turbot (Scophthalmus maximus) production in Galicia
under intensive culture regime in a land-based farming system from a cradle-to-
farm gate perspective. The main objectives of this study are to (1) identify key
stages and hotspots with the highest contribution to CF and, (2) to obtain a
dimensionless ratio between energy requirements all over the life cycle and the
energy provided by the turbot meat that is, ep-EROI estimation.
8.3.1 Functional Unit
The functional unit is the reference basis regarding which the impacts are quanti-
tative described in a LCA (ISO 2006). In this study, the unit chosen was 1 kg of
adult turbot ready for consumption at households.
8.3.2 System Boundaries Description
The aquaculture system under study was defined considering all the typical activ-
ities carried out in the productive process of a turbot farm. Thus, the production
chain (foreground system) was divided in three main subsystems: Hatching and
nursing (SS1), Growing (SS2) and Ongrowing and final operations (SS3).
Information regarding the activities performed in the different subsystems was
based on information supplied by representative Galician turbot farming plants
corresponding to the practices carried out in the reference period 2010–2011.
Figure 8.1 depicts the system boundaries of the case study.
Production of different inputs to the foreground system such as fossil fuels, fish
feed, chemicals and electricity were also considered within the system boundaries
and included in the background system. In addition, the treatment of waste pro-
duced in the different activities was also considered as displayed in Fig. 8.1.
Research system boundaries
foreground system
Fossil fuels SS1. Hatching
RAW MATERIALS AND WATER
and nursing
GREENHOUSE GASES
Feed
young turbot
Chemicals SS2. Growing
juvenile turbot
Electricity
SS3. Ongrowing
Waste treatment and final operations
background system adult turbot
Fig. 8.1 System boundaries for a cradle-to-farm gate LCA of turbot production in Spain
8.3.3 Life Cycle Inventory Quality
The quality and representation of inventory data managed is an important issue to

be addressed in a LCA study, since they directly affect to the quality of environ-
mental results obtained. As previously reported, information regarding the fore-
ground system was directly supplied by Galician turbot farms for the period 2010–
2011. Two hatcheries located in the Ria de Vigo (NW Spain), two growing farms
located in O Grove and Xove (NW Spain) and one full farm including hatchery and
growing unit placed in Valdoviño (NW Spain) were the main sources of inventory
data. These data were contrasted with data reported in a previous study (Iribarren
et al. 2012) corresponding to the reference years 2007 and 2008. A summary of the
most representative inventory data corresponding to the turbot farm is depicted in
Table 8.1.
However, secondary data were also managed but corresponding to the back-
ground system. Thus, the ecoinvent database (Frischknecht et al. 2007) was the
main source of inventory data for the following related processes: chemicals pro-
duction (Althaus et al. 2007), fossil fuels production, electricity production and
waste management (Dones et al. 2007). Regarding fish feed production, inventory
data was taken from Iribarren et al. (2012), where a detailed environmental
assessment of aquafeed production was performed.
Table 8.1 Summary of Inputs from technosphere

aggregated LCI for turbot
Materials
farming in Spain
Liquid oxygen 3.48 kg
Fish feed 1.55 kg
Energy
Diesel 1.02 L
Electricity 20.04 kWh
Inputs from environment
Freshwater 20.40 kg
Seawater 17.16 kg
Outputs to technosphere
Products
Adult turbot 1.00 kg
Waste to treatment
Paper and cardboard 1.72 g
Wood 4.02 g
Plastic 16.75 g
PP filters 0.135 g
Mineral oil 0.134 g
Water-hydrocarbons mixture 0.411 g
Plastics 0.349 g
Oil filters 0.009 g
Metal containers 0.007 g
Lab waste 0.066 g
Batteries 0.022 g
Sanitary waste 0.018 mL
Fluorescent lamps 0.034 g
Medicated feed 0.561 g
Outputs to environment
Emissions into air
SO2 3.95 g
CO 0.77 g
CO2 5.99 g
NOx 5.33 g
8.3.4 Carbon Footprint Methodology
The Life Cycle Impact Assessment characterises environmental impacts based on

LCI data. In this study, the environmental assessment has been reported in terms of
GHG emission that is, the carbon footprint of the turbot farming system. Carbon
Footprint can be defined as the potential impact of gaseous emissions on heat-
radiation absorption in the atmosphere (Aubin et al. 2009). The environmental
results are reported in terms of kg CO2 eq per functional unit (1 kg adult turbot at
farm gate ready for consumption). Characterisation factors reported by IPCC with a
time frame of 100 years (IPCC 2007) were managed.
8.3.5 Edible Protein Content Energy Return on Investment

Ratio (ep-EROI) Methodology
Energy Return On Investment (EROI) is a term that appeared in the early 1970s and
gained relevance in the 70s and 80s due to the fuel crisis (Hall 1972; Gupta and Hall
2011). Although the first applications of EROI estimations were focused on energy
sector, it has recently applied to other activities such as food sector (Pelletier and
Tyedmers 2011; Vázquez-Rowe et al. 2014). EROI estimates the energy that is
returned from an energy-collecting process as compared to the energy that is
required to provide this energy (Gupta and Hall 2011).
Tyedmers (2000) and Hall (2011) introduced the application of the EROI con-
cept into the food sector by calculating a dimensionless ratio of the edible protein
energy content of an animal relative to the energy used in its production that is
defined as the edible protein energy return on investment (ep-EROI) ratio
(Vázquez-Rowe et al. 2014). Specifically, the estimation of ep-EROI is relevant in
seafood products, where farming activities are in many cases highly energy
intensive (Vázquez-Rowe et al. 2014).
In this study, ep-EROI estimation was accomplished by means of the calculation
of the ratio between the edible protein energy output of the turbot meat and the
energy inputs linked to the turbot farming activities following the formula reported
by Vázquez-Rowe et al. (2014):
ep-EROI = Energy inputs/Energy outputs
Energy inputs were estimated considering the Cumulative Energy Demand

(CED) that is, the renewable and non-renewable energy invested throughout the life
cycle of the production chain under study displayed in Fig. 8.1.
8.4 Carbon Footprint Analysis
SimaPro 7 was the software chosen for computing the CF and CED results by
means of the implementation of inventory data (Goedkoop et al. 2010). The prin-
ciples established by ISO standards (ISO 2006) and ILCD handbook (European
Commission 2010) from an attributional perspective were followed.
8.4.1 Carbon Footprint of Turbot Aquaculture
According to the results obtained for the assessment regarding to the production of
1 kg of adult turbot at farm gate under an intensive aquaculture system performed
on land, the carbon footprint corresponds to 19.9 kg CO 2 eq. One of the main aims
of this study is not only determining the CF but also identifying the environmental
hotspots. Figure 8.2 depicts the distribution of equivalent CO2 emissions produced
throughout the production chain between the three subsystems considered in the
foreground system. This figure indicates that SS1, which involves all the activities
performed at the hatchery and nursing unit where the spawns are incubated, weaned
and grown on to a suitable size for transferring to the turbot farm (young turbot),
involves the highest contributing ratio to the GHG emission (48% of total CF). This
large contributing ratio could be expected since it is the subsystem with the highest
electricity requirements (74%) as well as around 35% of total aquafeed require-
ments are consumed in this stage.
SS3—ongrowing and final operations is the second most important subsystems
in terms of CF, being responsible for 40% of total contributions. In this step, the
juvenile turbot from the growing farm (SS2) is grown until turbot gets the market
weight. Commonly, this activity is performed in onshore tanks as difference to other
marine finfish species. This stage involves the highest ratio of aquafeed require-
ments (57%) and around 10% of electricity consumption.
SS2—growing, is the third responsible of contributions to CF with a con-
tributing ratio of 12% of total GHG emission. In this stage the young turbots are
grown in closed recirculation systems in order to control the growing environment
until they present an optimum size (juvenile turbot), moment in which they are
10
CF (kg CO2 eq/kg adult turbot)
0
SS1 SS2 SS3
Fig. 8.2 Distribution of CF between subsystems involved throughout the turbot production chain
under study
8,00
7,00
6,00
CF (kg CO 2 eq/kg adult turbo)t
5,00
4,00
3,00
2,00
1,00
0,00
SS3 Fish feed Electricity SS2 Fish feed Electricity Electricity Liquid Fish feed
Others
emissions SS3 SS3 emissions SS2 SS2 SS1 oxygen SS 1 SS1
CF 5,32 0,97 1,04 0,56 0,13 1,60 7,73 1,19 0,59 0,75
Fig. 8.3 Distribution of CF per processes involved throughout the turbot production chain under
study
transferred to outdoor tanks. This stage requires 16% of the total electricity
consumption.
Figure 8.3 displays the distribution of CF between the different processes
involved in the cradle-to-farm gate life cycle of turbot aquaculture. By means of this
figure, the environmental hotspots that is, the processes with the highest respon-
sibility on GHG emission can be identified. Thus, improvement alternatives or
proposals focused on the minimisation of CF should consider these processes.
In Fig. 8.3, the contributing factors involves the production of the corresponding
inputs (fish feed, electricity in the Spanish national grid and liquid oxygen) as well
as on-site emissions produced within the activities carried out in the different
subsystems (SS1, SS2 and SS3). The factor reported as “others” includes the
remaining contributing processes with a contribution ratio to the global profile
lower than 3% (e.g. waste treatment related activities).
According to this figure, the high consumption of electricity in SS1 corre-
sponding to the spawns incubation at the hatchery and larvae grown at the nursery,
represents 39% of total GHG emissions, followed by the on-site emissions pro-
duced in SS3 (27%). Within the different GHG emitted in SS3, it is important to
highlight the emissions of CO2 derived from diesel combustion. The production of
the fish feed required in SS1 and SS3 is also outstanding from an environmental
perspective with a total contributing ratio of 8%.
The remarkable contributions from aquafeed production does not results unusual
since it is general trend not only in aquaculture systems (Aubin et al. 2009; Cao
et al. 2011) but also in other types of animal rearing (Baumgartner et al. 2008;
Castanheira et al. 2010; González-García et al. 2015).
8.4.2 ep-EROI of Turbot Aquaculture
As aforementioned, ep-EROI results an interesting indicator to take into account

when environmental studies are performed on seafood products since this item
allows a deeper understanding of the energy efficiency not only on the aquaculture
systems but also on the fishing sector (Vázquez-Rowe et al. 2014). For the esti-
mation of this indicator, the knowledge of two items is mandatory: the CED that is
the energy consumed throughout the whole production chain (see Fig. 8.1) as well
as the edible protein energy content in the product under study.
Table 8.2 reports the energy consumption (considering renewable and non-
renewable sources) in the cradle-to-gate system under study (CED) as well as the
edible protein energy, both in terms of MJ per functional unit (323 and 1.21 MJ,
respectively). Thus, the ep-EROI corresponding for the Spanish turbot is 0.38%,
which means that 0.38% of the invested energy is returned in protein content.
8.4.3 Discussion of CF and ep-EROI Results
Regarding the CF level, activities with an excessive contribution to the GHG

emission during the production chain were identified and could be used to develop
mitigation strategies to promote more environmental sustainable turbot production.
Production of feed and electricity requirements emerged as environmental hotspots,
which have been also identified in other aquaculture species such as shrimp (Cao
et al. 2011) or even in other related studies of turbot production (Aubin et al. 2009).
The CF value obtained in our study (19.9 kg CO2 eq) is considerably higher than
the one obtained by Aubin et al. (2009): 5.62 kg CO2 eq. Differences on the energy
profiles could considerably be responsible for this difference. Research into
renewable energy sources such as solar or wind power could help to reduce the
impact. Differences on the aquafeed composition could also affect the CF value.
The large ratio of fish meal in the composition and the corresponding impacts
derived from its production is an important issue that must be considered. In fact,
Cao et al. (2011) reported that fish derived ingredients are more impactful than
these derived from crops. Therefore, the substitution (if possible) of fish based
ingredients by crop based ingredients could be considered as an interesting alter-
native to bear in mind.
Table 8.2 Summary of energy values and ep-EROI corresponding to the Spanish turbot under
aquaculture production
Cumulative energy demand 323 MJ
Edible protein energy 1.21 MJ
ep-EROI 0.38%
The ep-EROI obtained for the Spanish turbot aquaculture is 0.38%. However,
and in order to correctly understand the relevance of this value, it is mandatory to
have background information regarding the ep-EROI obtained for other species.
There are multiple studies focused on the ep-EROI estimation for livestock species
such as chicken, swine, beef cattle and lamb (Pimentel and Pimentel 2003;
Váquez-Rowe et al. 2014), for fishing species such as mackerel, tuna, shrimp or
swordfish (Ramos et al. 2011; Tyedmers 2001; Parker and Tyedmers 2012) and
even for aquaculture species such as mussel and shrimp (Tyedmers 2001; Troell
et al. 2004; Iribarren et al. 2010b).
Chicken presents a really high ep-EROI of around 25% mainly due to the high
production yields (Pimentel and Pimentel 2003). On the contrary, beef cattle derive
on a low value, ≈2.5% (Pimentel and Pimentel 2003). Literature data suggest that
livestock products, such as lamb (1.8%) or beef (2.5%), and intensive aquaculture
products (shrimp, 1.4%), have similar ep-EROI levels to fish species from offshore
trawling and long lining fisheries such as tuna, swordfish or shrimp (5.9, 3.4 and
4.1% respectively), which demonstrate the vulnerability of these fleets (Vázquez-
Rowe et al. 2014). Nevertheless, extensive aquaculture products (mussels) report
ep-EROI levels comparable to pelagic species captured with purse seiners such as
mackerel and tuna (68.9 and 14%, respectively). In the case of the Spanish turbot,
its ep-EROI value is really low in comparison with other marine species which
can provide useful information for the future management of aquaculture
practices performed on its culture.
The increasing interest on seafood involves higher production yields and alternative
culture strategies required to satisfy the worldwide fish consumption demands.
However, special attention must be provided to fish farming activities specifically
from an environmental and energy point of view. Farming activities demand large
amount of inputs such as aquafeed and energy, production of which can involve
negative environmental consequences. In this sense, LCA is a valuable tool since it
allows identifying the critical processes, which should be considered for the pro-
posal of improvement alternatives focused on the minimisation of environmental
profile and energy demand.
Acknowledgements This study was carried out in the framework of the project FUNDACIÓN
OESA-ACUICULTURA Project reference: 220/01078. Dr. S. González-García would like to
express her gratitude to the Spanish Ministry of Economy and Competitivity for financial support
(Grant reference RYC-2014-14984). Dr. P. Villanueva-Rey wishes to thank the Galician
Government for financial support (postdoctoral student grants programme). The authors belong to
the Galician Competitive Research Group GRC2013-032 and to the CRETUS Strategic
Partnership (AGRUP2015/02). All these programmes are co-funded by FEDER (UE).
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Chapter 9
Impact of Pharmaceutically Active
Compounds in Marine Environment
on Aquaculture
Muhammad B. Asif, Faisal I. Hai, William E. Price

and Long D. Nghiem
Abstract Occurrence of pharmaceutically active compounds (PhACs) in marine

ecosystems has been confirmed in recent studies. These PhACs include human
pharmaceuticals, veterinary medicines and those used in aquaculture. Levels of
PhACs in the marine environment are suspected to rise in future due to the increase
in anthropogenic activities. This chapter critically discusses the occurrence, sources
and fate of PhACs in marine environment. A particular focus has been given to the
adverse impacts of PhACs on marine biota and the potential exposure to human.
Data related to the distribution of PhACs in seawater, sea sediments and marine
biota is presented to elucidate their bioconcentration and bioaccumulation potential.
Impacts of PhACs at cellular, molecular and species level are summarised here to
understand their mode of action. Lastly, potential biomarkers for effective
biomonitoring of marine environment are highlighted to anticipate the risks related
to marine ecosystem and human health.
· ·
Keywords Adverse impacts Aquaculture Bioconcentration and bioaccumula-
· · · ·
tion Biomarkers Ecotoxicology Mode of action Pharmaceutically active
compounds (PhACs)
M. B. Asif · F. I. Hai (&) ·L. D. Nghiem

Strategic Water Infrastructure Laboratory, School of Civil,
Mining and Environmental Engineering, University of Wollongong,
Wollongong, NSW 2522, Australia
M. B. Asif
L. D. Nghiem
W. E. Price
Strategic Water Infrastructure Laboratory, School of Chemistry,
University of Wollongong, Wollongong, NSW 2522, Australia

266 M. B. Asif et al.
9.1 Introduction
Human life expectancy across the globe has increased considerably over the last
few decades due to the invention of more than 4000 different pharmaceuticals.
Similarly, different medicines are being used to effectively control the spread of
epidemics in livestock and aquaculture so that food demand of ever growing global
population can be met (Petrovic et al. 2013; Richardson et al. 2005). According to
an estimate, up to 3000 new compounds/molecules are being introduced in global
market every year to treat human and animal related diseases (Verlicchi et al. 2012).
Pharmaceutically active compounds (PhACs) comprising illicit drugs, veterinary
medicines and human pharmaceuticals are discharged into the sewerage system
upon consumption. Ineffective biodegradation of PhACs in wastewater treatment
plants (WWTP) often results in poor aqueous phase removal. Treated wastewater is
then discharged into the aquatic ecosystem without any effort to further remove
PhACs, making it the main source of contamination for aquatic environment
(Daughton and Ruhoy 2009; Lahti et al. 2012; Glassmeyer et al. 2008; Arpin-Pont
et al. 2016). Depending upon the availability of PhACs in solid waste, manure and
wastewater treatment sludge, PhACs may percolate down to contaminate ground-
water (Daughton and Ternes 1999; Dıaz-Cruz et al. 2003). Furthermore, some
PhACs are directly discharged in surface water bodies such as lakes and rivers
during swimming and bathing (Balmer et al. 2005). Various recently published
reviews have reported the occurrence of PhACs in groundwater and freshwater
bodies throughout the world (Brausch and Rand 2011; Arpin-Pont et al. 2016;
Lapworth et al. 2012; Pal et al. 2010; Luo et al. 2014).
Occurrence and impacts of PhACs in freshwater bodies have been studied
extensively in the last decade. However, the potential impacts of PhACs released
into the coastal and marine ecosystems require more attention and understanding
because all the PhACs present in freshwater bodies would ultimately enter marine/
coastal ecosystem (Gaw et al. 2014). Coastal and marine ecosystems are one of the
most unique, diverse and productive habitat in the world, providing vital services
such as protecting against extreme events (such as floods and storms) and removing
different type of pollutants (Barbier et al. 2011; Costanza et al. 1998). Moreover,
the economic value of marine ecosystems cannot be ignored as over 500 million
people are directly or indirectly related to the fishing industry (FAO 2014). Due to
poor management of coastal ecosystems, we have already lost approximately 29,
30, 35 and 50% of sea grass, corals reefs, mangroves and marshes, respectively
(Barbier et al. 2011). Degradation of marine ecosystems results mostly from
anthropogenic sources such as shoreline construction projects/coastal engineering,
elevated fishing trends, coastal population increase and inadequately treated sewage
discharge (Small and Nicholls 2003; Crain et al. 2009; Li 2003). Acidification, rise
in see levels and algal blooms can further deteriorate some marine ecosystems
(Martínez et al. 2007).
While evaluating different anthropogenic stressors to coastal/marine ecosystems
based on a species level assessment, Crain et al. (2009) reported pollution as one of
9 Impact of Pharmaceutically Active Compounds in Marine … 267
the most significant and widespread threat to the marine ecosystem. Presence of
PhACs in wastewater discharged into the marine ecosystem is of particular sig-
nificance due to their ability of inducing different biological effects in marine biota
(such as fish and shellfish) even at a very low concentration (Franzellitti et al. 2014,
2015). The change in pH and temperature of the marine environment due to climate
change can influence the physicochemical state of PhACs and accordingly their
impact. Therefore, the mechanism of deterioration of marine ecosystem by PhACs
can be different globally (Banni et al. 2015; Nichols et al. 2015). It is expected that
the impact of PhACs on coastal environment would increase over the years due to
population increase in coastal areas and increasing aquaculture activities (Neumann
et al. 2015; Burridge et al. 2010). PhACs have the ability to accumulate in fish,
posing serious health concerns for human due to the consumption of seafood/fish.
Exposure to PhACs may also induce antibiotic resistance in human and animals
(Love et al. 2011; Le et al. 2005).
This chapter aims to summarize the data available on the occurrence, fate and
sources of PhACs in coastal/marine environment with their potential impacts on
human health and marine biota. Moreover, potential biomarkers responses to the
PhACs in marine fauna are also highlighted.
9.2 Sources and Occurrence of Pharmaceutically Active

Compounds in Coastal and Marine Environment
9.2.1 Human Pharmaceuticals
Wastewater is the major source of human related PhACs in marine ecosystem.

PhACs and their metabolites can find their way into the wastewater through dif-
ferent routes such as hospital discharges, community consumption, and manufac-
turing waste disposal (Daughton and Ruhoy 2009; Trautwein et al. 2014; Emke
et al. 2014). Similarly, sources of illicit drugs in wastewater include waste disposal,
excretion after consumption and sometimes the dumped contrabands (Rosi-
Marshall et al. 2015; Pal et al. 2013).
Removal of PhACs can vary widely (<10 to >99%) depending on their
physicochemical properties, and the type of treatment process (Hai et al. 2014a,
2016). In general, PhAC removal is poor as conventional wastewater treatment
plants (WWTP) were designed for efficient removal of pathogens, solids and
nutrients (Kümmerer 2009; Evgenidou et al. 2015) but not PhACs. Such ineffec-
tively treated wastewater is discharged directly into the ocean through marine
outfalls and/or indirectly through the rivers (Lara-Martín et al. 2014; Benotti and
Brownawell 2007). Membrane bioreactor (MBR), an alternative to conventional
biological treatment process, has been thoroughly investigated in the last decade for
water reuse applications (Hai et al. 2014c). However, water reuse may not be
possible due to the presence of PhACs in the final product. Therefore, it is
important to understand the fate and removal mechanism of PhACs during bio-
logical treatment. Hai et al. (2014a) has reviewed the potential of current and
emerging treatment technologies for PhAC removal. In general, removal of PhACs
during different treatment processes depends on their physicochemical properties
(such as pH, hydrophobicity, functional groups and halogen contents) and the
operational parameters (such as solid retention time and temperature) of the bio-
logical treatment process (Hai et al. 2014b, 2011). For example, hydrophobic
PhACs are generally well removed (>80%) by an MBR (Wijekoon et al. 2013).
Notably, unexpected events such as power loss, pH change and maintenance
problems can influence the performance of a biological treatment process (Phan
et al. 2015). Another approach can be the introduction of new microorganisms such
as white rot fungi having the potential of enhancing the removal of non-
hydrophobic PhACs. For example, Yang et al. (2013a) achieved >50 and 80– 90%
removal of bisphenol A and diclofenac in a non-sterile fungal MBR. Performance
of white rot fungi for the removal of PhACs has already been reviewed, providing
an interesting insight on controlling factors (Yang et al. 2013b;
Asif et al. 2017a, b).
Approximately one fifth of the world population lives in coastal areas.
Moreover, 21 out of 33 megacities including New York, Mumbai and Guangzhou
are situated in coastal areas (Li 2003). According to a rapid response assessment
study, up to 90% of the untreated wastewater from coastal areas is directly dis-
charged into marine environment (Corcoran 2010). Hong Kong and Los Angeles
are the examples of major coastal cities, discharging their treated wastewater
directly into the marine ecosystem through marine outfalls (Maruya et al. 2012; Xu
et al. 2011). Substantial amount of PhACs are being discharged into the coastal
ecosystem on daily basis. For instance, a study showed Victoria Harbour in Hong
Kong receives approximately 14 kg/day of PhACs (Minh et al. 2009). Large rivers
also contribute as a source of PhACs in marine ecosystem. For example, 150 tonnes
of PhACs are discharged into the marine ecosystem through Yangtze River in
China (Qi et al. 2014).
Marine ecosystem may also receive wastewater directly from ships, boats and
cruise liners. Cruise liners can carry as many passengers as equivalent to the
population of a small town, and can discharge treated wastewater into the marine
ecosystem within a distance of 4 nautical miles from coastal waters (Organisation
2003). Moreover, small boats may release wastewater into the marine ecosystem
without any treatment. Kookana et al. (2014) noted that many coastal cities in Asia
treat wastewater through septic tanks, resulting in the deterioration of groundwater
quality. The effluent from septic tanks is then discharged into the coastal water
without further treatment. Another source of PhACs in coastal waters is the leachate
originating from landfills and seafills. Rodríguez-Navas et al. (2013) reported that
27 µg/L of total PhACs was measured in the leachate of a landfill located at
Mallorca Island, Spain. In some regions of the world, pharmaceutical manufac-
turing waste and solid waste were historically discarded at sea (Lee and Arnold
1983; Son et al. 2011).
9.2.2 Veterinary Medicines
Veterinary medicines are employed for variety of purposes such as protection of

animal health, enhancement of animal growth rate and control of parasites in crops
(Sarmah et al. 2006). These medicines are essential in livestock industry to elim-
inate the breakout of an epidemic that may result in the loss of animal lives
(Kemper 2008). There can be several ways to administer these PhACs such as
implant, injection, drench, and/or adding them in animal feed or drinking water.
Use of veterinary medicines for growth enhancement has been banned in Europe.
However, growth enhancement additives are still used in some countries (Kools
et al. 2008; Du and Liu 2012).
Animals excrete 30–90% of the administered PhACs depending upon the type of
the PhAC (Sarmah et al. 2006). These excreted PhACs are either released directly
into the environment or used as manure in agricultural fields. PhACs present in
animal manure can leach due to rainfall and/or irrigation water, contaminating
groundwater and/or surface water (Kools et al. 2008). The use of PhAC for the
control of bacterial diseases in crops is legal in some countries such as New Zealand
(Vanneste 2013; Kümmerer 2009). In short, contamination of groundwater and
surface water during agricultural and horticultural activities ultimately results in the
release of these compounds in marine ecosystem. Moreover, surface runoff from
agricultural lands in coastal areas can also serve as a direct source of PhACs in
coastal waters.
9.2.3 Pharmaceutically Active Compounds for Aquaculture
Aquaculture is now one of the biggest industry of the world as it is the major source
of protein for more than 500 million people around the globe (FAO 2014). More
than 600 species of fish are matured in freshwater and marine environment, making
it the largest source of protein in the world (Larsen and Roney 2013). Although
aquaculture is spread all over the world, >90% of all aquaculture is practiced in
Asia (FAO 2014). Aquaculture of marine fish is carried out in land ponds or in
holding pens situated in the sea (Rico and Van den Brink 2014).
A wide range of PhACs including antibiotics (e.g., tetracycline, flumequin and
Oxolinic acid), disinfectants (e.g., hydrogen peroxide and organophosphates) and
anthelmintic drugs (e.g., pyrethroids and avermectins) are used in aquaculture
activities for disease control (Rawn et al. 2009). PhACs can be added directly to
feed or water. Quantity of PhACs used during aquaculture is dependent on the type
of fish, fish density and water-exchange rate (Rico and Van den Brink 2014).
Antibiotics in aquaculture production are selected based on their ability to
enhance bacteriocidal activity. Antibiotics such as metronidazole and penicillin
induce bacteriocidal effects by attacking the cell wall or cell components in bacteria.
Bacteriostatic effects are induced by antibiotics such as chloramphenicol and
tetracycline which result in bacterial growth inhibition via DNA damage, limited
protein production and limited metabolic activity. Antibiotics, due to their selective
behaviour, imparts a very little effect on the multicellular or higher organisms
(Guardabassi and Courvalin 2006; Todar 2002; Nikaido 2009).
Parasiticides comprising of disinfectants and anthelmintic drugs are used to
avoid the epidemic break out of infectious viral and parasitic diseases. Sea-lice are
one of the eco-parasites in fish such as salmon. Lepeophtheirus salmonis, Caligus
teres and Caligus elongatusin are some of the salmon species attacked by sea-lice.
Parasite infestation in aquaculture results in significant loss of fish due to subepi-
dermal haemorrhage. Hydrogen peroxide, pyrethroids, organophosphates and
avermectins are most commonly used parasiticides to mitigate the problem of eco-
parasites in aquaculture (Burridge et al. 2010; Roth et al. 1993).
According to one estimate, up to 75% of the PhACs administered during
aquaculture find their way into aquatic environment through the dispersion of food
pellets and excretion of PhACs. These food pellets dispersed in marine environment
can be consumed by other marine species, spreading PhACs further in the marine
ecosystem (Grigorakis and Rigos 2011). Concentration of PhACs in marine
ecosystem due to aquaculture is several folds higher than the concentration of
PhACs present in treated wastewater. For instance, relatively high concentration of
PhACs (2.5 mg/L) has been observed in Vietnam mangroves (Le and Munekage
2004).
Antibiotics and parasiticides applied in aquaculture are discharged into aquatic
and/or marine environment, exposing marine biota to a wide range of PhACs. Due
to therapeutic effects and lack of specificity, parasiticides may pose a serious threat
to the non-target indigenous species in marine ecosystem. Therefore, aquaculture
medicines has been recognised as a major environmental problem (Nash 2003).
9.3 Fate of PhACs in Marine Ecosystem
9.3.1 Seawater and Marine Sediments
Occurrence, distribution and fate of PhACs have been studied in marine and coastal
ecosystem around the globe with >70% of these studies published in last five years
(Langford and Thomas 2011; Emnet et al. 2015; Gaw et al. 2014). However, there
is a need to focus more on South America and Africa due to the lack of data
availability. It is interesting to note that no data is available for India, the second
largest population of the world (Ahmad et al. 2015). Most of the studies published
since 2000 has focused on the marine ecosystems of Europe (20 studies) and Asia
(21 studies). The scope of these studies vary significantly i.e. some studies focus on
the occurrence of PhACs based on therapeutic classes (Nödler et al. 2014), some
focus on specific type of PhAC (Jia et al. 2011) and a few worked on detection
methods and their validation (Pintado-Herrera et al. 2013). Around 110 PhACs and
Fig. 9.1 Minimum and maximum concentration of common PhACs detected in Seawater. PhACs
(no. of studies) are arranged based on their therapeutic classes. NSAID: nonsteroidal anti-
inflammatory drug. Data extracted from the reviews published by Gaw et al. (2014), and Fabbri
and Franzellitti (2015)
their metabolites have been identified in seawater with concentration as low as

0.01 ng/L (Ibuprofen and Clofibric Acid) and as high as 6800 ng/L. (Norfloxacin).
A wide variations in the detected concentration of PhACs can be attributed to
different detection/analytical method as explained in the in the following paragraph.
Notably, the concentration of identified PhACs is often higher than the predicted
threshold value or “no effect concentration” (0.01 µg/L) of PhACs in surface water
(Hughes et al. 2012). Occurrence of PhACs in marine environment has been
reviewed recently (Gaw et al. 2014, Fabbri and Franzellitti 2016). Minimum and
maximum values of the most frequently detected PhACs classified based on their
therapeutic classes are presented in Fig. 9.1. It can be observed from Fig. 9.1 that
antibiotics are most frequently detected in seawater.
During the review of the contemporary literature, it is noted that a number of
different analytical methods for the detection of PhACs has been employed, making
it difficult to compare the results and findings of these studies. The threshold limit
of detection, reliability and repeatability of an analytical method depend on different
factors namely, (a) type of extraction process; (b) internal standards; and (c) choice
of analytical method. Solid phase extraction (SPE) has been the most commonly
used extraction method for liquid samples. Moreover, HLB sorbent is employed to
effectively retain different polar and non-polar organic compounds (Pichon 2000).
However, effective recovery of some highly polar compounds such as ranitidine
may require adjustment in pH of the water sample (Gómez et al. 2006). Ratio of
using gas chromatography spectrometry (GC-MS) to liquid chromatography-mass
spectrometry (LC-MS) for the detection of PhACs in marine environment is
approximately 1:1 (Petrović et al. 2005). However, matrix effects during LC-MS
and/or GC-MS analysis may interfere with the final output (Caban et al. 2012). In
this regard, an internal standard can help to overcome matrix effect in addition to
injection and extraction errors (Vanderford and Snyder 2006; Boden and Reiner
2004).
Concentration of PhACs higher than the predicted threshold value as described
above nullify the assumption that dilution due to the discharge of freshwater in sea
would reduce the concentration of PhACs in marine ecosystem. For instance, the
concentration of gemfibrozil and ketoprofen in the coastal waters of Costa Rica was
ranged from 77–758 and 185–805 ng/L, respectively (Spongberg et al. 2011). The
impact of hydrodynamics of water on the dispersion route of PhACs in seawater has
been demonstrated recently. For instance, Bayen et al. (2013) studied the dispersion
of PhACs using Delft 3D hydrodynamic model in marine system of Singapore and
observed that the dispersion of PhACs was greatly influenced by coastal mixing
patterns. While investigating the predicted concentration of oxcarbazepine and
carbamazepine in submarine outfall using the MARS 3D model, Fenet et al. (2014)
observed the influence of stratification on the dispersion of oxcarbazepine and
carbamazepine along the depth of the marine system. While studying the dispersion
of PhACs in coastal waters, hydrodynamic model of water masses should be taken
into account.
The fate and the partition of PhACs are influenced by the pH of seawater and
acid dissociation constant (pKa). For instance, it has been observed that the
octanol-water partition coefficient (Kow) and solid water portioning coefficient (Kd)
of fluoxetine and propranolol increase linearly with pH (Owen et al. 2009; Brooks
et al. 2003). It has been predicted that the lipophilicity of ionisable PhACs would
enhance at the typical pH (8.0) of the marine system, resulting in sorption and
bioaccumulation of PhACs onto solids and marine organisms, respectively. For
example, trimethoprim (pKa = 6.6) cannot dissociate completely in marine envi-
ronment (McEneff et al. 2014). Log D values can also be used to predict the
bioaccumulation of both neutral and ionisable PhACs at given pH. The compounds
with high log D value would more likely to adsorb and/or accumulate in marine
organisms and/or suspended solids (Fu et al. 2009). For example, PhACs such as
estrogens, paroxetine, vastatin and bisphenol A are adsorbed to suspended solids
due to their high log D values (Bayen et al. 2013).
As evident from above discussion, sorption and bioaccumulation of many PhAC
may increase in marine environment (alkaline pH and saline conditions). Therefore,
PhACs with high log D value may sink on marine sediments (Gilroy et al. 2012).
Although the partitioning of PhACs onto the marine sediments has not been
extensively examined, occurrence of over 50 PhACs in marine sediments has been

reported in literature. PhACs commonly detected in marine sediments are presented
in Table 9.1. Among all PhACs, ethinyl estradiol (up to 130 ng/g) is detected most
frequently in marine sediments worldwide.
Table 9.1 Occurrence of different PhACs classified according to their therapeutic class in marine
sediments and marine biota
Therapeutic PhACs Marine Marine References
classa sediments biota
(ng/g) (ng/g)
Estrogens Diethylstilbestrol 11–63 2.9– Zhang et al. (2011), Pojana
11.4 et al. (2007)
Ethinyl estradiol 0.15–130 3–38 Pojana et al. (2007), Wang
et al. (2012), Robinson et al.
(2009), Bertin et al. (2011),
Emnet et al. (2015)
Antibiotics Flumequine 0.2–0.6 – Lalumera et al. (2004)
Oxytetracycline 0.2–0.8 9.5 Lalumera et al. (2004), Na
et al. (2013)
Metronidazole 36–54 – Pintado-Herrera et al. (2013)
Trimethoprim 0.1– 0.6 Klosterhaus et al. (2013), Le
734,000 and Munekage (2004)
Tetracycline 0.6–7.1 1.9–9.5 Na et al. (2013), Zheng et al.
(2011), Li et al. (2012)
Sulfamethazine 3.67 3.9 Na et al. (2013)
Sulfamerazine 1.76–3.24 16.2 Na et al. (2013)
Sulfameter 56.65 43 Na et al. (2013)
Sulfamethiazole 1.89 2.1 Na et al. (2013)
Sulfamethoxazole 0.4– 2.3–20 Li et al. (2012), He et al.
820,000 (2012), Klosterhaus et al.
(2013), Zheng et al. (2011)
NSAIDb Diclofenac <0.1–10 1.3–5.3 Pintado-Herrera et al. (2013),
Maranho et al. (2015),
Alvarez-Muñoz et al. (2015)
Mefenamic acid 6–23 – Pintado-Herrera et al. (2013)
Naproxen 0.6–15.8 – Pintado-Herrera et al. (2013)
Analgesics Fenoprofen >0.1–26 – Pintado-Herrera et al. (2013),
Maranho et al. (2015)
Ibuprofen 98–100 – Pintado-Herrera et al. (2013),
Long et al. (2013)
Acetaminophen <0.1–25.5 – Pintado-Herrera et al. (2013),
Maranho et al. (2015), Stewart
et al. (2014)
(continued)

Therapeutic PhACs Marine Marine References
classa sediments biota
(ng/g) (ng/g)
Anti-hypertensive Atenolol <0.1–0.3 0.3–13 Maranho et al. (2015)
Propranolol 0.1–0.9 – Maranho et al. (2015)
Α-Hydroxy 1–3 – Langford and Thomas (2011)
metoprolol
Antidepressant Amitriptyline <0.1–0.4 – Maranho et al. (2015)
Fluoxetine <0.1–0.7 – Maranho et al. (2015)
Hypolipidemic Clofibric acid <0.1–0.1 Maranho et al. (2015)
drug Gemfibrozil <0.1–0.9 – Maranho et al. (2015)
Antilipemic Fenofibrate 0.18–0.2 Maranho et al. (2015)
Nervous Caffeine 1.9–12.2 – Maranho et al. (2015)
stimulant
Lipid-lowering Simvastatin 2–4 – Langford and Thomas (2011)
agent
Illicit drug Amphetamine 3.3 4.2–20 Klosterhaus et al. (2013),
Long et al. (2013), Dodder
et al. (2014)
Diuretics Triamterene 0.3–10.8 – Klosterhaus et al. (2013),
Long et al. (2013)
Anticonvulsant Carbamazepine <0.1–88.8 – Pintado-Herrera et al. (2013),
Maranho et al. (2015), Stewart
et al. (2014)
a
Therapeutic classes. Source www. http://www.drugbank.ca/
b
NSAID: Nonsteroidal anti-inflammatory drug
9.3.2 Marine Biota
Unionized portion of PhACs can bioaccumulate in marine fish, shellfish and

mollusk species due to their high affinity towards lipophilic matter. Some marine
species such as krills, marine benthics, baleen whales and fish (including some
sharks) are termed as filter feeders because of their unique filtering structure,
allowing them to strain food and other particulate matter from water. However, the
straining mechanism in filter feeders cannot prevent the bioaccumulation of dis-
solved PhACs (Gomez et al. 2012; Bueno et al. 2013). Despite the unavailability of
effective detection method for bioaccumulated PhACs in marine biota (Gaw et al.
2014), a number of studies have reported the occurrence of PhACs in marine biota
as evident from Table 9.1. Antibiotics such as sulfamethoxazole and tetracycline
were the most detected therapeutic class of PhACs both in seawater and marine
biota as reported by Li et al. (2012) after analysing the samples from 9 coastal cities
along the Chinese Bohai Sea. Occurrence and bioaccumulation of PhACs in edible
marine species such as Fish, crabs and shrimps pose a serious threat to the human
health particularly in China because 80% of world aquaculture occurs in China.

Moreover, samples collected from South China also confirmed the occurrence of
32 different PhACs in edible marine species (Chen et al. 2015).
Although it has been established that PhACs can bioaccumulate in fish biota
posing a serious threat to human health, bioaccumulation can vary in different
species. For example, Chen et al. (2015) noted that PhACs bioaccumulate more in
fish than mollusks. Several studies investigated the bioaccumulation factor
(BAF) and the bioconcentration factor (BCF) to further evaluates the fate and
impact of PhACs on marine biota. BAF is the ratio of the concentration of a
compound in biota (flora or fauna) to the concentration of the same compound in
the surrounding media (water or soil). Whereas bioconcentration is referred to the
accumulation of dissolved compounds in aquatic fauna (Shenker et al. 2011). Na
et al. (2013) investigated the bioaccumulation factor (BAF) for antibiotics and
classified them into: (a) bioaccumulative (BAF > 5000 L/Kg) such as sulfamet-
hazine, sulfamethiazole, sulfamonomethoxine; and (b) potentially bioaccumulative
(2000 L/Kg > BAF < 5000 kg) such as doxycycline and nomethoxine.
Klosterhaus et al. (2013) investigated the occurrence of 104 PhACs and personal
care products in wild ribbed horse mussels. Quite interestingly, PhACs such as
atenolol, sulfamethoxazole and gemfibrozil frequently detected in both seawater
and marine sediments were not found in mussels, whereas the concentration of
carbamazepine, nonylphenol and digoxigenin was high in the tissues of mussels.
Therefore, BAF may also depend on the physicochemical properties (pH, stability
and ionization) of PhACs. BAF of frequently detected PhACs along with their
sediment-water distribution coefficient is presented in Fig. 9.2. Minimum and
maximum BCF of commonly detected compounds and their occurrence in relevant
compartment of biota in are given in Table 9.2.
Bioaccumulation of PhACs in marine biota depends on the hydrophobicity of
compounds, meaning that hydrophobic PhACs (log K ow > 3) are more likely to
bioaccumulate in marine biota than hydrophilic PhACs (OECD 2008). Howard and
Muir (2011) investigated the bioaccumulative potential of 275 PhACs and 92 of
them were rated as potentially bioaccumulative. Therefore, concentration of highly
hydrophobic PhACs such as ionophore antibiotics can be higher in marine sedi-
ments than water. Similarly, high concentration of diclofenac, ibuprofen and
gemfibrozil are commonly found in sewage sludge as sorption is the main removal
pathway for hydrophobic compounds in biological wastewater treatment processes
(Kim and Carlson 2006; Yu and Wu 2012). Fate of PhACs in sewage sludge/
biosolids and the impacts of operational conditions in conventional and sludge
processing technologies on the removal of PhACs has been reviewed comprehen-
sively (Semblante et al. 2015). In addition to pH and physicochemical properties of
compounds, contact time with the sorption medium also govern the bioaccumula-
tion rate of PhACs (Ingram et al. 2011).
Fig. 9.2 Maximum value of bioaccumulation factor (BCF) for PhACs arranged in the order of
their bioaccumulative potential in addition to their sediment-water distribution coefficients.
Sources Na et al. (2013), Fick et al. (2010b), Garcia et al. (2012), and Zenker et al. (2014)
9.4 Impacts of Pharmaceutically Active Compounds

(PhACs)
9.4.1 Marine Biota
Marine biota may get exposed to pharmaceuticals through food, grills or via contact
with marine sediments. Extent of their exposure to PhACs broadly depends on four
factors: (a) dilution rate; (b) physicochemical properties of PhACs (hydrophobicity,
stability and ionization); (c) distance of coastal waters and/or seawater from
potential source (aquaculture, agricultural land or sewage treatment plant); and
(d) contact time (Nödler et al. 2014; Zheng et al. 2011; Comeau et al. 2008). Impact
on marine biota resulting from the exposure of PhACs can be severe depending on
the concentration of PhACs and favourable environmental condition for PhACs to
persist (Emnet et al. 2015).
Table 9.2 Minimum–Maximum bioconcentration factor (BCF) for PhACs along with the
compartment(s) of their occurrence in marine biota
PhACs Compartment(s) of marine biota BCF
Bezafibrate Blood plasma 6.3–17
Carbamazepine Blood plasma, body, muscle, liver 0.8–4.6
Cilazapril Blood plasma >1000
Diclofenac Blood plasma, bile, liver, kidney, gill, muscle 0.3–2732
Diltiazem Blood plasma 24–139
Fexofenadine Blood plasma 5–13
Haloperidol Blood plasma 3.2
Ibuprofen Blood plasma, body 0.08–5.8
Ketoprofen Blood plasma 3.5–48
Levonorgestrel Blood plasma >10,000
Meclizine Blood plasma 200–1400
Memantine Blood plasma 38–164
Mianserin Blood plasma <50
Naproxen Blood plasma 22–26
Orphenadrine Blood plasma 64–100
Oxazepam Blood plasma 0.7–3.6
Fluoxetine Gammarus sp., body 8.8–900
Norfluoxetine Body 80–650
Sulfamethazine Muscle 0.61–1.19
BCF were determined by exposing the test specie(s) to different PhAC(s) in a controlled laboratory
environment
Sources Fick et al. (2010a), Lahti et al. (2011), Mehinto et al. (2010), Wang and Gardinali (2013),
Garcia et al. (2012), and Zenker et al. (2014)
9.4.1.1 Human Pharmaceuticals
A peculiar characteristic of PhACs is to remain biologically active even at very low

dose/concentration to achieve their therapeutic effect by interacting with target
mediators. However, high concentration of PhACs may sometime interact with
off-target mediators. Furthermore, exposure to PhACs would present these com-
pounds with an opportunity to target specific mediators in marine biota. Thus,
undesired and accidental exposure to PhACs can raise the potential of their eco-
toxicological effects (Gunnarsson et al. 2008; Schmitt et al. 2010) Environmental
implications of PhACs were addressed by developing conceptual models. These
conceptual models assume that physiology of test species, therapeutic effect of
PhACs and their toxicity effects along with all relevant information must be
integrated before reaching the conclusion. Understanding of the functional and
evolutionary conservation of PhACs in species and impacts on physiological
pathways are of particular importance for the selection of experimental duration and
exposure limits in addition to the prediction of mode of action (MOA) (Schmitt
et al. 2010; Christen et al. 2010). The evolutionary conservation and possible
interaction of human PhACs with marine biota has been confirmed recently
(Franzellitti et al. 2011, 2013). Various MOA based studies have also verified the
biological read-across hypothesis (BRAH) i.e. conservation of therapeutic targets
would not always result in the conservation of their functions across different
marine species (Rand-Weaver et al. 2013). Moreover, it was observed that PhACs
will only affect non-targeted species with conserved molecular mediator(s) (en-
zymes, metabolic components or receptors) and with plasma concentration equiv-
alent to human. This hypothesis is most suited for fish species and least applicable
for invertebrates. Significance of this hypothesis would enhance exponentially if it
can be applied to all therapeutic classes of PhACs because this would help to
understand, predict and mitigate potential environmental impact of a compound at
manufacturing stage (Rand-Weaver et al. 2013; Ford and Fong 2016).
Relationship between ecological and molecular endpoints can also be developed
using MOA approach. For example, MOA based conceptual model was applied to
understand the evolutionary effects of fluoxetine on aquatic organisms. The MOA
of fluoxetine initiated with the targeting of a physiological controller, serotonin (5-
HT), which was predicted to have severe impacts on the reproduction, loco-
motion, metabolism of marine organisms (Fabbri and Franzellitti 2016). Moreover,
such impacts on marine species can occur even at very low concentrations i.e.
concentration below environmental limits (Ford and Fong 2016).
The MOA of ibuprofen in Ruditapes philippinarum was studied by employing
ligo-DNA microarray with >11,000 transcripts to ensure in depth analysis (Milan
et al. 2013). Differentially transcribed genes analysis of ibuprofen confirmed its
negative impacts on signalling mechanisms in clams. Ibuprofen was also lethal for
arachidonic acid signalling mechanism due to altered expressions of several tran-
scripts. Moreover, ibuprofen induced cyclo-oxygenase inhibition was due to the
over-transcription of phospholipase A2 enzyme, a catalyst for cellular phospho-
lipids hydrolysis (Knight et al. 1999).
Despite the lack of understanding about the pharmacological mechanisms of
carbamazepine, its MOA has been clearly described. Carbamazepine inhibits
channel currents of Na+ and Ca2+. However, the extent of inhibition is influenced
by the voltage of current. The inhibition can be divided in two components:
(a) inhibition via interaction with adenylyl cyclase system; and (b) lowering the
generation of cyclic adenosine monophosphate in brain, reducing the activity of
protein kinase (PKA). Carbamazepine induced inhibition affected all tissues of
mussels due to reduced levels of cyclic adenosine monophosphate (cAMP) and
limited activity of PKA (Montezinho et al. 2007; Martin-Diaz et al. 2009). Presence
of β-adrenergic receptor (AR) mediated pathway in filter feeders particularly
bivalves has been confirmed based on the analysis of AR encoded transcripts.
Moreover, it was observed that the occupancy of AR helped in enhancing the
concentration of cAMP in the tissues of different bivalve species. Hence, AR
mediated transduction pathway can be conserved significantly in bivalves (Fabbri
and Capuzzo 2010; Koutsogiannaki et al. 2006; Shpakov et al. 2005). However, the
exposure of mussels to propranolol resulted in reduced PKA activity and lowered
cAMP levels due to AR blockage, induced by propranolol, in digestive glands
(Franzellitti et al. 2011). In short, marine biota cannot cope with the change in
environmental conditions because of the exposure to PhACs having the ability to
conserve their therapeutic effects, resulting in the reduced levels and activity of
cAMP and PKA, respectively. MOA for PhACs in non-targeted spices is mostly
unknown due to their widespread occurrence around the globe. Therefore, it is
essential to further assess the unknown effects of PhACs on non-targeted species.
In addition to impacts discussed above, other reported side effects of PhACs on
the membrane stability, immune system and DNA are mostly based on lab scale
studies. These studies are useful for selecting the biomarkers and bioassays to
evaluate the impacts of PhACs in marine and coastal ecosystem. Moreover, these
studies, mainly focusing invertebrates, provide additional evidence on the lethal
impact of PhACs on marine biota. Biological effects of PhACs on marine biota and
exposure conditions are briefly summarised in Table 9.3.
Carbamazepine is usually prescribed for the treatment of neural hyperexcitability
and epilepsy. Its high dose and prolonged consumption may cause hepatotoxicity
(Santos et al. 2008). Carbamazepine has been reported to interfere with the stability
of marine biota. For example, exposure to carbamazepine, 0.1 and 10 µg/L for
7 days, reduced the stability of lysosome membrane stability (LMS) in marine
mussels by 60 and 80%, respectively (Martin-Diaz et al. 2009). Similarly, LMS of
mussel declined linearly with the increase in the concentration of propranolol (0.3–
30 ng/L) after 7 days (Franzellitti et al. 2011). Furthermore, 40% reduction in LMS
of mussels was observed at very low fluoxetine concentration (0.03 ng/L) after
7 days (Franzellitti et al. 2014). LMS reduction due to PhACs exposure is not
limited to mussels. Ibuprofen exposure, in the range of 0.1–50 mg/L, to the clam
(R. Philippinarum) significantly deteriorated LMS (Aguirre-Martínez et al. 2013b).
LMS reduction was also observed in other marine species such as crab (Carcinus
maenas) and colonian ascidian (Botryllus schlosseri) (Aguirre-Martinez et al.
2013a, b, c; Matozzo et al. 2014). As a sensitive biomarker, LMS is a good
indicator of cellular health, growth and survival in mussel, providing early warning
regarding the side effects of PhACs. Aguirre-Martínez et al. (2013b) observed an
increase in the lysosomal to cytoplasm ratio in addition to LMS reduction, con-
firming the bioaccumulation of fluoxetine mussel in tissues.
The prolonged exposure to PhACs or high dose may generate reactive oxygen
species (ROS) such as glutathione reductase (GR), catalase (CAT), and/or super-
oxide dismutase (SOD). For example, 75 ng/L of ibuprofen increased the activities
of ROS in Mediterranean mussel after 3–7 days. Likewise, exposure to ibuprofen
also resulted in the increase of DR and CAT after 3 days. Interestingly, ROS
returned to their base level after certain amount of time, exhibiting bell shape
behaviour. Cytoprotective response may be the reason for the return of ROS to their
base level (Gonzalez-Rey and Bebianno 2012, 2014). Poor responses to antioxidant
enzymes were observed in Hediste diversicolor after its exposure to fluoxetine,
ibuprofen, propranolol and ethinylestradiol (Maranho et al. 2014). Depending on
the physiological conditions, species can develop antioxidant responses. Hence, the
capability of PhACs to produce oxidative stress in marine biota can be monitored
based on their antioxidant activity.
Table 9.3 Impacts of commonly detected PhACs on different marine biota under different exposure conditions
280
Biomarker Marine biota PhACs Experimental conditions Impacts References
Scientific name Exposure Exposure Exposure
levels time type
Lysosomal Manila clam Ibuprofen 1–50 µg/L 35 days In vivo Reduced haemocytes Aguirre-Martínez et al.
membrane stability R. philippinarum Novobiocin (2013b)
Caffeine
Carbamazepine
Mussel Carbamazepine 0.1–10 ng/L 7 days In vivo Reduced haemocytes Martin-Diaz et al.
M. galloprovincialis Propranolol 0.3–1000 ng/ (2009), Franzellitti
Fluoxetine L et al. (2011, 2014)
0.03–
30,000 ng/L
Mussel Triclosan 1 µg/L, 4 and In vivo Reduced haemocytes at 1.2–12,000 ng/L Banni et al. (2015),
P. perna Oxytetracycline 100 µg/L, 3 days Reduced digestive gland Cortez et al. (2012)
1.2–
12,000 ng/L
Colonian Ascidian Ibuprofen 100 and 60 min In vivo Reduced haemocytes Matozzo et al. (2014)
B. schlosseri Novobiocin 1000 µg/L
Caffeine
Carbamazepine
Crab Ibuprofen 0.1–50 µg/L 28 days In vitro Reduced haemocytes at >15 Aguirre-Martinez et al.
C. Maenas Novobiocin (2013a, b, c)
Caffeine
Carbamazepine
Peroxidation of lipid Mussel Acetaminophen 25 and 10 days In vivo Enhancement in digestive gland Solé et al. (2010)
M. galloprovincialis 403 µg/L
Clam Carbamazepine 0.03–9 µg/L 96 h Acute test Reduced lipid levels Almeida et al. (2014)
R. decussata
Clam Carbamazepine 0.03–9 µg/L 96 h Acute test Increased lipid levels Almeida et al. (2014)
M. B. Asif et al.
R. philippinarum
(continued)
9 Impact of Pharmaceutically Active Compounds in Marine …

levels time type
Phase I metabolism Mussel Acetaminophen 23 and 10 In vivo Activity of carboxylesterase increased in digestive Solé et al. (2010)
M. galloprovincialis Propranolol 403 µg/L glands
Crab Carbamazepine 0.1–50 µg/L 28 days In vitro Increase in ethoxyresorufin O-deethylase and dibenzyl Aguirre-Martínez et al.
C. Maenas fluorescein dealkylase activities observed in muscles, (2013a)
grills and hepatopancreas
DNA damage Crab Carbamazepine 0.1–50 µg/L 28 days In vitro Increase in muscle, hyhepatopancreas and grills Aguirre-Martínez et al.
C. Maenas Novobiocin (2013a)
Colonian ascidian Ibuprofen 100 and 60 min In vivo Increased hemocytes Matozzo et al. (2014)
B. schlosseri 1000 µg/L
Marine polychaete Ibuprofen 0.05–500 ng/ 17 days In vivo Increased hyhepatopancreas (ibuprofen) and decreased Maranho et al. (2014)
H. diversicolor Propranolol g sediment hyhepatopancreas (propranolol)
spiking
Antioxidant Mussel Carbamazepine 0.1 and 10 days In vivo Enhanced glutathione S-Transferase activity in gonads Martin-Diaz et al.
resistance M. galloprovincialis 10 µg/L and glands (2009)
Acetaminophen 25 and 10 days In vivo Enhanced glutathione S-Transferase activity in grills and Solé et al. (2010)
403 µg/L glands
Fluoxetine 0.03–300 ng/ 7 days In vivo Catalyse activity showed bell shape behaviour and Franzellitti et al.
L Enhanced glutathione S-Transferase activity in grills and (2014)
glands
Crab Carbamazepine 0.1–50 µg/L 28 days In vivo Enhanced activities of glutathione S-Transferase and Aguirre-Martínez et al.
C. Maenas glutathione peroxide in grills, hepatopancreas and (2013a)
muscle
Fluoxetine 0.5–750 ng/L 7 days In vivo Enhanced glutathione S-Transferase activity in Mesquita et al. (2011)
hepatopancreas
Clam Carbamazepine 0.03–9 µg/L 96 h Acute test Enhanced glutathione levels, reduced reduced/oxidized Almeida et al. (2014)
R. philippinarum glutathione ratio and bell shape trend for superoxide
dismutase activity
Acetaminophen 0.05–5 mg/L 96 h Acute test Increased glutathione S-Transferase activity at mg/L and Antunes et al. (2013)
reduced glutathione S-Transferase activity at 0.05 mg/L
(continued)
281
282
levels time type
Acetylcholinesterase Mussel Acetaminophen 23 and 10 days In vivo Enhancement in grills Solé et al. (2010)
activity M. galloprovincialis 403 µg/L
Diclofenac 250 ng/L 0–15 time Enhancement in grills after 7 days Gonzalez-Rey and
course Bebianno (2014)
in vivo
Fluoxetine 0.03–300 ng/ 7 days In vivo Grills reduction Franzellitti et al.
L (2014)
Marine polychaete Ibuprofen 0.05–500 ng/ 17 days In vivo Increased acetylcholinesterase activity Maranho et al. (2014)
H. diversicolor Carbamazepine g sediment
spiking
17-α-ethynylestradiol 0.01–100 ng/ 17 days In vivo Acetylcholinesterase activity increased in case of Maranho et al. (2014)
Fluoxetine g sediment Fluoxetine and followed bell-shaped trend for
spiking 17-α-ethynylestradiol
M. B. Asif et al.
PhACs also interfere with the functionality of neuromuscular system by
increasing the activity of acetylcholinesterase (AChE). For example, activity
of AChE was enhanced in V. philippinarum after 3 days exposure to ibuprofen
(1 mg/L) (Santos et al. 2010). AChE controls neuromuscular system in order to
regulate the movement of muscles in all animals, making it another biomarker for
the exposure of marine biota to the neurotoxic compounds (Viarengo et al. 2007).
PhACs can affect the immune system of marine biota. For instance, 60 min
exposure of ibuprofen at concentration 100–1000 mg/L deteriorated the immune
system in B. schlosseri (Montezinho et al. 2007).
9.4.1.2 Aquaculture Medicines
As described earlier (Sect. 9.2.3), antibiotics and parasiticides applied for disease
control in aquaculture may pose significant threat to aquaculture species and marine
biota. Due to the lack of awareness, aquaculture medicines are sometimes routinely
applied even without the presence/threat of a disease (Cabello 2006). For instance,
shrimp farmers in Thailand were interviewed regarding the use of antibiotics and
frequency of application. The interviews revealed that 52 out of 76 farmers
used >10 types of antibiotics, mostly on prophylactic basis to prevent the break-out
of a disease. Some farmers affirmed the use of antibiotics on daily basis (Holmström
et al. 2003).
Data on the use of antibiotics in aquaculture is scarce. Available data shows
variation in the amount of medicine used from one country to another. For example,
Smith (2008) reported that the use of antibiotics ranges from 1 g/tonne (in Norway)
to 700 g/tonne (in Vietnam). Aquaculture antibiotics may impart different side
effects on host and indigenous biota, resulting in antimicrobial resistance in
aquaculture pathogens.
Aquaculture pathogens develop resistance against antibiotics due to their fre-
quent and unwarranted use. Exposure to sub-lethal dose of antibiotics may produce
microbial resistant genes in pathogens. These pathogens also acquire some
antibiotic inhibiting enzymes that inactivate different antibiotics through acetylation
and phosphorylation. For instance, beta lactamases inactivates penicillin by
destroying beta lactam (Romero et al. 2012; Defoirdt et al. 2011). While examining
the bacterial strains isolated from patients in UK, Pakistan and India, rise of
antibiotic resistance in bacteria was attributed to beta lactamase enzyme
(Kumarasamy et al. 2010). Moreover, some pathogens develop resistance against
multiple antibiotics due to: (a) the accumulation of multiple resistant genes in their
cells; and (b) the increase in gene expressions having the codes for multidrug efflux
(Romero et al. 2012). Therefore, the ability of antibiotics to induce their therapeutic
effects would compromise in the presence of antibiotic resistant pathogens.
Common aquaculture antibiotics with their significance to human pharmaceuticals
and resistant pathogens isolated from aquaculture farms are presented in Table 9.4.
Microbes present in the intestinal tract of healthy fish species may be important
for nutrition, digestion and disease control. For example, Bates et al. (2006)
284
Table 9.4 Use of different antibiotic classes in aquaculture production and their significance for human pharmaceuticals along with the examples of isolated
antibiotic resistant
Antibiotic class Resistant Multiple Aquaculture settings Significance for human References
pathogen resistance medicinea
Tetracyclines A. hydrophila ✓ Tilapia and mullet aquaculture farms, Egypt High Ishida et al. (2010)
A. salmonicida ✓ Atlantic Salmon cultures, Canada High McIntosh et al. (2008)
Aminoglycosides E. ictaluri ✓ Catfish farm, Vietnam Critical Dung et al. (2008)
Beta-lactams V. harveyi ✓ Coastal waters and shrimp aquaculture ponds, Critical Teo et al. (2000)
Indonesia
Aeromonas sp. ✓ Different fish farms, Australia Critical Akinbowale et al. (2006)
Amphenicols Pseudomonas sp. ✓ Salmon aquaculture facilities, Chile Moderate Fernández‐ Alarcón et
Enterobacter sp. al.(2010)
Nitrofurans V. anguillarum ✓ Infected sea breams, Greece Critical Smith and Christofilogiannis
(2007)
Macrolides Salmonella sp. ✓ China fish market Critical Broughton and Walker
(2009)
Fluoroquinolones T. maritimum ✓ Infected sole and turbot in Portugal and Spain Critical Avendaño-Herrera et al.
(2008)
Sulphonamides Aeromonas sp. ✓ Infected mrigel and punti, India Moderate Das et al. (2009)
a
Heuer et al. (2009). Frequent non-human use of human medicine would develop antibiotic resistance in pathogens. Categorization based on significance shows the level
of importance given to these antibiotics while developing risk management strategies
M. B. Asif et al.
highlighted that gut microbes in zebrafish can be important due to their potential
involvement in metabolism, immune system and proliferation. The impacts of
macrobiotics on beneficial host microbes can be detrimental due to alterations in
their functionalities (Navarrete et al. 2008). Thus, antibiotics with the potential of
altering the functionalities of host microbes should not be applied. A few studies
have focused on this aspect of antibiotics. For example, effect of oxytetracycline on
intestinal microbial diversity present in juvenile salmon has been investigated using
the sequencing of 16S rDNA amplicons and restricted fragment length polymor-
phism. The results revealed that treatment with oxytetracycline resulted in signifi-
cant reduction of intestinal microbes (Navarrete et al. 2008). It has been suggested
that microbial diversity including beneficial and innocuous microbes is essential for
successful aquaculture activities because the loss in microbial diversity would
facilitate the invasion/proliferation of opportunistic microbes such as phylotypes
(Schulze et al. 2006; Romero et al. 2012). In another study, impact of different
antibiotics such as sulfafurazole, penicillin, oxolinic acid, erythromycin and
oxytetracycline on gut microbes was examined. It was observed that microbial
diversity increased with sulfafurazole, oxytetracycline, and oxolinic acid treat-
ments. In contrast, penicillin and erythromycin reduced microbial diversity in gut
(Austin and Al‐ Zahrani 1988). Therefore, it can be concluded based on the pre-
sented evidence that each antibiotic imparts different impacts on microbial diver-
sity, changing the composition of intestinal and gut microbes in fish species.
Parasiticides such as hydrogen peroxide, pyrethroids and emamectin benzoate
are being used in aquaculture farms to treat infectious virus and parasites.
Emamectin benzoate (EB) dose of 1–25 µg/Kg is used in salmon farming (Roy
et al. 2000). Although EB doses as high as 10 folds of the recommended dose may
not result in mortality of salmon and trout, it can cause several side effects such as
dark coloration, lethargy, lack of appetite and toxicity. High dose of EB can also
result in its interaction with non-target species (Waddy et al. 2002). For instance,
premature molting of American lobsters was observed due to EB ingestion.
However, the molting response was observed in limited number of species (Waddy
et al. 2007). Similar to antibiotics, frequent use of parasiticides can result in the
formation of anti-parasiticides genes, neutralizing its anti-parasitic effects
(Consortium 2006; Burridge et al. 2010).
9.4.2 Human Health
Fish is the largest source of protein on this planet and also the source of income for
more than 500 million people. Edible marine life forms are increasingly used in
coastal areas, potentially resulting in the exposure of human to PhACs (Small and
Nicholls 2003). Regular monitoring of imported seafood is being carried out to
check the presence of permitted veterinary medicines. However, these monitoring
programs are not effective in addressing those PhACs that may be present in the
coastal waters and/or seawater due to the discharge of treated wastewater or the
direct surface runoff from agricultural lands. Moreover, health risk assessment due
to the consumption of seafood cannot be possible without the guidelines to deter-
mine the daily uptake limit of all PhACs detected in seafood. European Union
(EU) took the initiative and set the maximum residue limits (MRL) for 23 antibi-
otics present in seafood (Commission 2010). Concentration of fluoroquinolone and
trimethoprim in the samples of fish and caged mussels was below the MRL (Zheng
et al. 2012; McEneff et al. 2014). Similarly, fish samples taken from Czech
supermarkets were tested for the presence of antibiotics. The concentration of
antibiotics was found well below EU MRL (Fedorova et al. 2014). In contrast,
different studies reported that the concentration of erythromycin, sarafloxacin in
shrimps and mollusc, respectively exceeded the EU MRL for these antibiotics (Li
et al. 2012; Chen et al. 2015). Since the chronic dietary effects of PhACs are not
completely understood, existing MRL for antibiotics may not be effective for
sensitive population (Love et al. 2011).
Occurrence of antibiotics is usually monitored in raw seafood rather than on as-
consumed basis. McEneff et al. (2014) observed that the concentration of antibiotics
was enhanced up to 20 folds after cooking of fish and shellfish. The increase in
concentration may be attributed to the cleaving of different metabolites such as acyl
glucuronide, resulting in the release of respective parent antibiotic. Therefore, analytical
methods should incorporate the steps to determine the concentration of reversible
metabolite in seafood. Moreover, the fate of antibiotics and their metabolites after
cooking and digestion should be assessed during the human risk assessment studies.
World Health Organisation (WHO) has recognised that the development of
antibiotic resistance in bacteria is an emerging global health emergency. Antibiotic
resistance genes, developed from the exposure of bacteria to the non-lethal dose of
antibiotics, may transfer from non-pathogenic to pathogenic bacteria due to horizontal
gene transfer (Taylor et al. 2011). Marine ecosystem receives antibiotics from multiple
sources such as aquaculture activities and wastewater discharge, making it a reservoir
for antibiotics resistance. Recent reports has confirmed the presence of multiple
antibiotic-resistant bacteria in marine biota such as fish, mammals, seabirds, octopus
and many more (Cabello et al. 2013; Rose et al. 2009). The transfer of antibiotic-
resistant bacteria from marine ecosystem to terrestrial environment may follow
three major routes: (a) transfer from marine to terrestrial environment through
seabirds; (b) transfer through human consumption of seafood; (c) international dis-
semination through seafood export (Taylor et al. 2011; Ryu et al. 2012).
9.5 Alternative Methods of Disease Control

in Aquaculture
There is a need to develop environmentally friendly alternatives for the control of

pathogenic bacteria in aquaculture because of the harmful effects linked with the
use of antibiotics in aquaculture (Sect. 9.4). In this regard, vaccination can be an
ideal method for the control of infectious diseases but commercial availability of
vaccines is limited for use in aquaculture. Use of probiotics and essential oils
(EOs) can be effective and environmentally friendly alternatives for the control of
bacterial diseases in aquaculture (Romero et al. 2012; Merrifield et al. 2010).
Probiotics are innocuous microorganisms which confers health benefits in host
species, when administered in adequate amounts. In aquaculture, the application of
probiotics offers several benefits such as (Irianto and Austin 2002; Romero and
Navarrete 2006; Romero et al. 2012): (a) preventing bacterial multiplication in fish
species as well as in their ambient environment; (b) improving the quality of water
by reducing the level of pathogenic bacteria; (c) improving the efficacy of immune
system in species; and (d) improving the digestion of food. Probiotics have mostly
been applied at the larval stage of growth because the risk of a disease outbreak is
more at this stage (Dierckens et al. 2009; Zhou et al. 2009; Tinh et al. 2008).
Different microorganisms such as lactic acid bacteria, Aeromonas, Vibrio, Yeasts
and Actinobacteria have been reported to be effective for the prevention of diseases
in prawns, bivalve molluscs, teleost fish and shrimps (Romero et al. 2012;
Dimitroglou et al. 2011; Merrifield et al. 2010; Ninawe and Selvin 2009).
EOs extracted from different plant components such as flowers, seeds, fruits,
leaves and roots have complex composition and can contain up to sixty different
components. However, major constituents of EOs include terpenes, terpenoids,
thymol and thyme (Bakkali et al. 2008; Marzoug et al. 2011). EOs have been
reported to protect plants from pests and pathogens due to their antimicrobial
properties. EOs provide protection against pathogens by (Chung et al. 2012;
Ennajar et al. 2011; Romero et al. 2012): (a) disrupting the permeability of
microbial cell membrane; (b) coagulating the contents of pathogenic cells; and
(c) inhibiting the quorum sensing among bacteria. EOs have mostly been used to
increase the shelf life of seafood (Lin et al. 2004; Mejlholm and Dalgaard 2002;
Merrifield et al. 2010). For instance, in vivo application of EOs, namely oregano
and thymol increased the shelf life of trout and carp up to a few weeks (Mahmoud
et al. 2004; Pyrgotou et al. 2010). Although antimicrobial effects of EOs have not
been investigated extensively in aquaculture, Randrianarivelo et al. (2010) observed
that EO extracted from Cinnamosma fragrans reduced the concentration of het-
erotrophic bacteria in growing environment, thereby improving the survival rate of
shrimp larvae. More research is needed to confirm the effectiveness of EOs for
different aquatic species such as fish and clams.
9.6 Conclusion
Pharmaceutically active compounds (PhACs), human pharmaceuticals, veterinary

medicines and illicit drugs have been detected in the marine ecosystem (both
seawater and marine biota) across the globe. Reports published over the years have
suggested that the concentration of PhACs detected can be harmful for marine
lifeforms and human. Continued discharge of ineffectively treated wastewater into
natural water bodies and indiscriminate use of pharmaceuticals in aquaculture may

lead to elevated levels of PhACs in marine ecosystem in the near future. Due to the
shared and unique environment in coastal waters and seawater, integrated mitiga-
tion measures are required to address the issue of PhACs. Moreover, establishment
of a uniform method to monitor the presence and fate of PhACs and their impacts
on marine ecosystem and human health is needed because current methods are not
sensitive enough to effectively assess the toxicity of PhACs on coastal/marine
ecosystem.
The exposure to PhACs can result in the reduction of lysosome membrane
stability (LMS) as described in Sect. 9.4.1. Therefore, rapid screening of marine
biota exposed to PhACs can be assessed by exploiting LMS. Another effective
approach is to monitor the impacts of PhACs at the larval stage of marine biota due
to their high sensitivity and rapid response. Moreover, assessment of biomarkers
and endpoints in marine biota due to different mode of action may help in devel-
oping innovative biomonitoring programs for marine ecosystem. Notably, mode of
action of PhACs in non-target spices is mostly unknown. Therefore, it is essential to
further assess the unknown effects of PhACs on non-target species.
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Chapter 10
Waste Treatment in Recirculating Shrimp
Culture Systems
Raj Boopathy
Abstract Disposal of effluent from conventional shrimp farms containing high

concentration of organic matter and nutrients into different environmental systems
can have detrimental impacts on their adjacent ecosystems (e.g. coastal ecosystem).
To minimize the environmental impacts of shrimp farming effluents, recirculating
raceway system has recently been introduced, producing high density shrimp
yields. Although it is a zero water exchange system, a certain portion of water from
the recirculating system needs to be treated or disposed of on regular basis due to an
increase in the concentration of nitrate and nitrites owing to the protein enriched
diet of shrimps. Hence, an effective approach for the treatment of nitrogen enriched
wastewater produced by the recirculating raceway system is needed. Biological
wastewater treatment capable of nitrification and denitrification is simple and
environmentally friendly approach. In this regard, removal of ammonia and nitrates
was assessed in aerobic sequencing batch reactor (SBR), providing almost complete
removal of organic impurities (above 99%) as well as of ammonia. On the other
hand, anaerobic SBR achieved efficient denitrification and also provided above
99% total nitrogen removal. Notably, the addition of Bacillus consortium in SBR
can be helpful to control the growth of shrimp pathogen, Vibrio harveyi in the
wastewater. This chapter discusses global shrimp production, biosecurity, recircu-
lating raceway system, and the use of SBR in treating shrimp wastewater.
· ·
Keywords Denitrification Nitrification Sequencing batch reactor
·
Recirculating raceway system Zero water exchange Probiotic ·
R. Boopathy (&)
Department of Biological Sciences, Nicholls State University, Thibodaux, LA 70310, USA

302 R. Boopathy
10.1 Introduction
Over the last two decades there has been an increase in consumer demand for
shrimp (Weirich et al. 2002). In 1998, 80% of shrimp consumed in the United
States was imported to meet consumer demand (Browdy 1998), which has led to a
3.2 billion dollar trade deficit (Aquaculture Outlook 1999). This deficit increased,
due mostly to a strong United States domestic economy, resulting in an increase in
both restaurant sales and home consumption of shrimp (Jory 2000). In order to
reduce this trade deficit, the United States Department of Agriculture developed the
United States Marine Shrimp Farming Program (USMSFP) to increase shrimp
production in the United States.
In order for the United States to compete within the global shrimp market and
decrease the trade deficit, new research and development must create technology to
increase domestic shrimp farm production. Traditional pond systems, which are
used to produce the bulk of farm raised shrimp in the United States, have three main
limiting factors: length of growing season, land limitations, and high rates of water
exchange (Browdy and Moss 2005). Shrimp have a growing season based on
temperature. Therefore, ponds can only produce shrimp during the time of year
when the temperature is conducive for growth. Land limitations refer to the fact that
pond aquaculture is typically located close to the coast for easy water exchange
with estuaries and other bodies of water. Coastal land is often expensive and limited
in availability due to coastal development, making farming activities difficult
(Landesman 1994). Finally, effluents from conventional shrimp farming ponds
having a wide range of organic and inorganic impurities generally contains high
level of organic carbon and nutrients. The potential environmental problems caused
by aquaculture effluents include, but are not limited to, oxygen depletion, degra-
dation of benthic communities, and exacerbation of toxic algae bloom (Goldburg
and Triplett 1997). Because of the potential detrimental effects of aquaculture
effluents on adjacent water bodies and ecosystems criteria and standards for the
disposal of aquaculture effluent have been developed and enforced by different
government agencies (Kinne et al. 2001). For instance, the United Stated
Environmental Protection Agency enforced the code of a federal regulation (part
451) under the Clean Water Act in 2004, establishing a narrative of technology
based limitations as well as establishing environmental quality standards for the
disposal of effluent from aquatic animal production facilities.
The USMSFP developed recirculating raceway system for high intensive shrimp
farming in the U.S. In a recirculating aquaculture system, 95–99% of water is reused.
This means that the system is required to have some type of water treatment process,
such as a biological bead filter or sedimentation cones, to control the accumulation of
suspended solids (Summerfelt et al. 2001). Because recirculating systems do not require
water exchange with the environment, these systems can operate with minimal water
exchange. Raceways are culture units in which the water flow is sufficient to induce a
current to which aquatic organisms respond and in which detrital material can be
transported. The advantages of this system include increased production of shrimp per
10 Waste Treatment in Recirculating Shrimp Culture Systems 303
unit space and the ease of harvesting and feeding (Mazik and Parker 2001). When
recirculating and raceway systems are combined the system is called a recirculating
raceway system. The recirculating raceway system combines advantages from both the
recirculating and raceway systems. The recirculating raceway system can grow shrimp
in high densities, increase the ease of feeding and harvesting, and operate with minimal
water exchange.
Recirculating raceway systems can be very intensive system that produce large
yields of shrimp per unit volume. However, the waste produced due to the high
shrimp density, can cause substantial environmental impacts if discharged into the
environment (Kinne et al. 2001). This waste consists of uneaten fish feed, fecal
matter, and urine. The feed and fecal wastes produced in the raceway system is
made almost entirely of organic matter (Goldburg and Triplett 1997), and is
characterized by high amounts of COD, BOD, total suspended solids (TSS), dis-
solved particulate matter, volatile suspended solids (VSS) and nutrients (Kinne
et al. 2001; Cohen et al. 2005).
Waste-treatment methods for aquaculture are largely adapted from municipal
wastewater (sewage) treatment (Goldburg and Triplett 1997). In many shrimp
farms, an industrial bead filter constantly filters the water. The bead filter works by
passing the water through a filter bed without the addition of chemicals. The
granular material inside the filter will remove suspended solids, through a series of
complex processes involving one or more removal mechanisms. These mechanisms
include straining, interception, impaction, sedimentation, and adsorption. Once the
filtration process is complete, the filter must be backwashed to remove the sus-
pended solids that have accumulated in the filter. This is achieved by reversing the
flow of water through the filter. The granular material is fluidized and the suspended
solids are washed out of the filter (Cerra and Maisel 1979). Bacterial processes,
such as nitrification, also occur within the bead filter. In some shrimp farms sedi-
mentation cones are used to remove suspended solids. Water from the raceway
systems are pumped into the sedimentation cones, where the suspended solids are
allowed to settle out into the bottom of the cones, and then the water on top of the
cone is pumped back into the recirculating raceway system. Valves and gravity are
used to empty the solids from the bottom of the cones. Both sedimentation and
filtration methods produce large amounts of wastewater. This wastewater gets
pumped out of the recirculating raceway systems via emptying the sedimentation
cones or backwashing the bead filter, and has to be disposed. Disposal of this
wastewater is complicated by the wastewater‟s saline properties, and reuse of this
water will cause problems due to the toxic concentrations of ammonia and nitrite.
Most of the studies focusing on the treatment of wastewater from aquaculture have
been carried out in small scale systems under controlled environmental conditions.
For instance, Boopathy et al. (2005) achieved significant removal of organic
impurities as well as nutrients following the treatment of shrimp farming
wastewater in a sequencing batch reactor (SBR). A SBR consisting of a single
reactor utilizes activated sludge for the treatment of wastewater and can be operated
in aerobic as well as anaerobic mode (Boopathy et al. 2005; Fontenot et al. 2007;
Morgenroth and Wilder 1998). Despite the excellent performance of SBR, it is
304 R. Boopathy
3,000
2,500
MT x 1,000
2,000
Aquaculture
1,500
Capture
1,000
500
Fig. 10.1 Global Peneaid shrimp supply for the period of 1981–2001 (Ostrowski et al. 2005)
imperative to assess its operational feasibility as well as treatment efficiency at large

scale for its practical applications (Brune et al. 2003). This chapter discusses global
shrimp production, biosecurity, recirculating raceway system, and the use of SBR
in treating shrimp wastewater.
10.1.1 Global Shrimp Production
Total global shrimp production consists of (i) planned shrimp farming activities; and
(ii) wild harvesting. According to an estimate by Keithly et al. (2005), total global
production of shrimps increased significantly with an approximate growth rate of
220 million pounds per annum from 1980 to 2001 (Fig. 10.1) 220 million pounds is
a significant number in the fact that the southeast (North Carolina to Texas) United
States shrimp harvest usually falls within the 220–280 million pounds per year
(Keithly et al. 2005). As the population increases in the United States, the southeast
shrimp harvest cannot meet the United States consumer demand for marine
shrimp. In 1980, 258 million pounds of headless shell-on shrimp were imported into
the United States and accounted for 55% of the total United States shrimp supply. By
2001, imports into the United States advanced to 1.18 billion pounds at which point
they represented 85% of total United States shrimp supply (Keithly et al. 2005). In
1998, approximately 80% of shrimp consumed in the United States were imported
and of this amount over 50% of the shrimp came from shrimp farms located in Asia
(Browdy 1998). To reduce the trade deficit, shrimp farming must increase, because
the wild-caught harvest can be variable due to weather variation, increasing oil
prices, and fishing pressure on shrimp populations. In 1980, global production of
farmed shrimp equaled about 160 million pounds, and by 2001, global production of
farmed shrimp increased to 2.8 billion pounds, or more than 35% of total shrimp
output. Overall farmed shrimp production increased by approximately 130 million
pounds per year during 1980–2001 (Keithly et al. 2005). The increased farmed
shrimp production allowed more shrimp product to enter the global trade market.
This made shrimp more affordable for consumers dropping the price of shrimp per
pound from $5.82 in 1980 to $2.87 in 2001 (Keithly et al. 2005). Csavas (1994)
stated that farm-raised shrimp are of greater importance to global trade than wild-
caught product because farm-raised product has greater freshness, can be grown
year round, sizes can be controlled better in a farm-based system, and the farming
system will help meet consumer demands. Although the United States demand for
marine shrimp is high, the United States‟ contribution to world farm-raised shrimp
production is insignificant. In the United States there are only a few facilities that
focus on the production of the pacific white shrimp, Litopenaeus vannamei. These
facilities are primarily located in Florida, Hawaii, South Carolina, and Texas, and
of these facilities some produce only larval shrimp, which are sold and distributed
to foreign buyers (Weirich et al. 2002).
10.1.1.1 Litopenaeus Vannamei
Litopenaeus vannamei, or the pacific white shrimp, is the most widely produced
shrimp in recirculating raceway systems (Williams et al. 1996). In 1996, this shrimp
constituted 30% of the farmed penaeid shrimp worldwide (Williams et al. 1996). L.
vannamei grows naturally in salinities ranging from 1 to 40 g/L (Menz and Blake
1980), by using different osmotic regulation mechanisms such as hyper-osmotic
regulation in low salinity and hypo-osmotic regulation in high salinity (Castille and
Lawrence 1998). However, most marine shrimps are grown in water with salinities
higher than 15 g/L.
L. vannamei is a rapidly growing species, which is disease tolerant, and has a
good survival rate in a high density system (Williams et al. 1996). Even though L.
vannamei is the most widely produced species in aquaculture, there are still
problems associated with mass production of the species. L. vannamei can be an
invasive species if released into areas that are non-native.
10.1.2 Biosecurity
Biosecurity has been defined as the sum of all procedures in place to protect living
organisms from contracting, carrying, and spreading diseases and other non-desirable
health conditions (Pruder 2004). Biosecurity is comprised of a series of activities that
include preventive medicine, adequate diagnosis, containing outbreaks that occur, and
the eradication or disinfection of the pathogen (Pruder 2004). A biosecure facility
should also be designed around the concept of biosecurity. Materials used in ponds and
raceways should be easy to disinfect, the facility should not have unauthorized vehicles
or visitors, and also the facility should prevent the escape of the organisms while
preventing the entry of others (Pruder 2004).
The main objective of biosecurity for shrimp farms is to control pathogens such
as Taura Syndrome Virus (TSV), White Spot Virus (WSV), the Hepatopancreatic
Parvovirus (HPV), and other major shrimp pathogens. The main vector for these
pathogens appears to be shrimp larvae, both wild-caught shrimp larvae and shrimp
306 R. Boopathy
larvae that have been raised in a hatchery (Pruder 2004; Otoshi et al. 2003). In order
to reduce pathogens related to shrimp larvae, researchers have developed high
health shrimp or specific pathogen-free (SPF) shrimp. These shrimp go through
rigorous quarantine and screening efforts. Once the SPF shrimp leave the hatchery
the SPF shrimp are considered high health shrimp (Pruder 2004; Browdy and Moss
2005; Otoshi et al. 2003).
The second vector that is responsible for introducing disease and pathogens into
aquaculture systems is water exchange (Pruder 2004; Cohen et al. 2005; Browdy
and Moss 2005). The use of untreated water can put the entire aquaculture facility at
risk of disease. With some shrimp farming methods, water is discharged daily into a
receiving body of water, and then replaced with untreated water (Cohen et al. 2005;
Otoshi et al. 2003). This technique helped to ensure water quality in the aquaculture
system, but is no longer practiced due to conflicts with other potential users,
pathogen induction, and government regulations on effluent. The discharge issue
has generated interest in the shrimp aquaculture industry to achieve zero-water
exchange using recirculating systems (Cohen et al. 2005). The zero-water exchange
method simply continues to use the same water, helping to guarantee biosecurity.
For the recirculating raceway system to be successful when using the zero-water
exchange method, proper feed management, adequate aeration and circulation, and
nitrogen cycling processes must be managed carefully (Cohen et al. 2005).
Finally, the third major vector for pathogen induction is through excess feed.
Elevated concentrations of nitrogen and phosphorous from the excess feed can
stimulate growth or blooms of phytoplankton (algae), a process termed eutrophi-
cation (Goldburg and Triplett 1997). Due to the lack of water-exchange in aqua-
culture systems, nutrients can easily build up and cause eutrophication. When algae
die in large numbers, there is a large influx of organic matter into the water column.
BOD is used to measure the concentration of organic matter available for degra-
dation by microorganisms. When BOD is high, microorganisms are using oxygen
in the water to decompose organic matter (Goldburg and Triplett 1997). So,
eutrophication due to excess feed can cause a population increase in microbial,
algal, and other microscopic communities. The increase of microscopic commu-
nities can impact the carrying capacity of the culture system by disrupting water
quality parameters such as dissolved oxygen (Cohen et al. 2005).
10.1.3 Recirculating Raceway Systems
Recirculating raceway systems have many advantages over traditional pond

aquaculture. First, this system allows for biosecurity measures to be implemented
very easily and prevents losses due to infectious diseases (Bratvold and Browdy
1999; Browdy and Moss 2005). Also, recirculating raceway systems can achieve
year round production if kept indoors (Browdy and Moss 2005). This is because
recirculating raceway systems can be enclosed in greenhouses that can be heated
using heat-exchange units located on the bottom of the raceway or cooled by fans
built into the greenhouses in order to maintain the optimal growth temperature for
the shrimp (Weirich et al. 2002). With the ability to grow shrimp year round
farmers can time production to market conditions rather than the seasons of the year
(Goldburg and Triplett 1997). An additional benefit to the recirculating raceway
being indoors is the ability to reduce losses of shrimp to predators, which also helps
to reduce pathogen induction from wild organisms. Finally, environmental impacts
due to effluent discharges are reduced or eliminated because of the minimal water
exchange between the recirculating raceway system and the environment.
Additionally, the recirculating raceway systems also use less land than traditional
pond systems (Browdy and Moss 2005). Greater environmental control means that
recirculating raceway systems offer better control of contaminants, product quality,
predators, and introduction of pathogens. There are disadvantages to the recircu-
lating raceway system, most notably the fact that the raceway has to treat and
circulate large volumes of water and typically require larger capital investments.
Additionally, recirculating raceway systems have higher operating costs due to
energy, labor, and supplies such as supplemental oxygen.
When managing recirculating raceway systems, heterotrophic and autotrophic
bacteria are important, and an adequate understanding of the role bacteria play is
essential in maintaining recirculating raceway water quality. Heterotrophic bacteria
obtain carbon and energy for growth from organic compounds, survive during
periods of stress (such as limited food sources and low oxygen) by forming spores,
and are important dietary components of detritivores such as shrimp (McGraw
2002). Autotrophic bacteria obtain energy from light (photoautotroph) or the oxi-
dation of inorganic compounds such as ammonia (chemoautotrophs), survive
during periods of stress through inactivity, and are a poor source of nutrition for
detritivores (McGraw 2002). However, autotrophic bacteria are more efficient at
nitrification than heterotrophic bacteria. Most recirculating raceway systems are
heterotrophic systems. Heterotrophic systems are managed by a large input of feed,
which maintains the C:N ratio in the system. With the excessive carbon, bacteria
populations increase, and become a feed source for the shrimp. Significant nitrifi-
cation occurs within the raceway system, although the overall rate of nitrification is
limited by the faster growing heterotrophic microbial population (Brune et al.
2003). Nitrification limitation in the recirculating raceway system is due to the
availability of biodegradable organic matter, which supports the growth of het-
erotrophic bacteria. These heterotrophs compete with the autotrophic nitrifiers for
oxygen, nutrients, and space (Sharma and Ahlert 1977; Zhu and Chen 2001).
Heterotrophic recirculating raceway systems are also designed to maximize aeration
to mix suspended solids to improve nitrification (Avinmelech et al. 1986, 1999).
Excessive carbon matter, typically in the form of molasses, can be added to the
recirculating raceway system in order to stimulate heterotrophic bacteria growth and
increase nitrogen uptake.
308 R. Boopathy
10.1.4 Sequencing Batch Reactor
An activated sludge based wastewater treatment process was studied for the first
time in 1914 and was operated in batch mode. This batch-fed wastewater treatment
system was comprised of following steps: (i) addition of wastewater; (ii) aeration
for biological degradation of pollutants; and (iii) sedimentation to allow the set-
tlement of activated sludge. After the settlement of activated sludge, the supernatant
containing low levels of organic and nutrients was collected for discharge and
above steps were repeated for the treatment of next wastewater batch (Fang et al.
1993). However, this batch operation was discontinued in favor of continuous
operation, because at the time batch operation did not seem as effective at treating
wastewater, compared to other wastewater treatments. Eventually, interest in
batch-fed reactors were resuscitated again during 1950–1960 mainly to test newly
developed treatment process as well analytical equipment (Fang et al. 1993). The
fill-and-draw type of batch operation was re-examined and renamed Sequencing
Batch Reactor (SBR). Owing to the development of improved control devices as
well as aeration equipment, SBR can compete with continuous flow conventional
activated sludge treatment system such as the plug flow reactor, continuous stir tank
reactor, and an arbitrary flow reactor, providing comparable reduction in pollutant
concentrations (Fang et al. 1993).
The SBR is used in shrimp industry (Boopathy et al. 2005, 2007; Fontenot et al.
2007) because of its ability to accomplish equalization, aeration, and clarification in
a timed sequence in a single reactor basin (Fig. 10.2). Other activated sludge
systems use multiple structures to achieve equalization, aeration, and clarification,
which require extensive plant space and pumping and piping systems. The SBR
promises to reduce operating costs and plant space (Jang et al. 2004). The
sequencing series for wastewater treatment using the SBR consists of the following
process stages: fill, react, settle, decant and idle (Boopathy et al. 2005; Kargi and
Fig. 10.2 A schematic of a sequencing batch reactor showing different processes/stages of

wastewater treatment. All stages of treatment are carried out in a single reactor at different time
intervals (Boopathy et al. 2005)
Uygur 2005; Morgenroth and Wilder 1998). The SBR has been well studied in
terms of the potential for simultaneous removal of carbon and nitrogen (Murat et al.
2002), and has been successfully used to treat both municipal and industrial
wastewater (Peters et al. 2004). Murat et al. (2002) used a SBR to successfully
remove high levels of COD and nitrogen from tannery wastewater. The SBR is also
extensively used in the treatment of swine wastewater (Juteau et al. 2005; Deng
et al. 2006). Peters et al. (2004) showed that SBR can be used to effectively remove
high levels of COD and nitrogen from sewage effluent.
10.1.5 Bacteriology of Nitrification and Denitrification
Nitrogen is an essential nutrient for all organisms, as part of important molecules

such as proteins, nucleic acids, adenosine phosphates, pyridine nucleotides, and
pigments (Hagopian and Riley 1998). Shrimp expel nitrogen through urination and
excretion. Uneaten feed and decomposing deceased shrimp also contributes to
nitrogenous waste in aquaculture systems (Hagopian and Riley 1998; Cripps and
Bergheim 2000). Both un-ionized ammonia and nitrite are toxic to shrimp at low
concentrations. L. vannamei, exhibited a 96-h LC50 (median lethal concentration)
of 24.39 mg/L ammonia with a salinity at 15 ppt, 8.05 pH, and a temperature of
23 °C (Lin and Chen 2001). The 96-h LC50 for nitrite in L. vannamei is 76.5 mg/L
at 15 ppt salinity, with a water temperature at 18 °C, and the pH at 8.02 (Lin and
Chen 2003). Therefore, nitrification and denitrification are very important processes
in the treatment of shrimp aquaculture wastewater, so that ammonia and nitrite do
not accumulate in recirculating raceway systems. Ammonia and nitrite become
mineralized through nitrification into nitrate compound and then nitrate becomes
volatilized through denitrification and into nitrogen gas.
10.1.5.1 Nitrification
Autotrophic as well as heterotrophic bacteria, under aerobic conditions, can be

involved in a biological nitrification process (Zhu and Chen 2001). Notably, two
groups of bacteria with different phylogenetic evolution, namely ammonia-
oxidizing bacteria and nitrite-oxidizing bacteria, are known to perform nitrifica-
tion. Ammonia-oxidizing bacteria such as Nitrosomonas, Nitrosovibrio and
Nitrosospira perform nitrification via catabolic conversion of ammonia to nitrite
(Reaction 1), while nitrite-oxidizing bacteria such as Nitrobacter and Nitrospira
(Reaction 2) are responsible for the conversion of nitrite to nitrate (Hagopian and
Riley 1998; Zhu and Chen 2001). Compared to the conversion of nitrite to nitrate,
ammonia conversion to nitrite generates more energy (Hagopian and Riley 1998;
Remde and Conrad 1990; Rijn 1995) as shown:
310 R. Boopathy
NH3 þ 1:5O2 $ NO2— þ H2 O þ H þ þ 84 kcal mol—1 ðReaction1Þ
NO— —
2 þ 0:5O2 $ NO3 þ 17:8 kcal mol
—1
ðReaction2Þ
As mentioned above, Nitrosomonas, Nitrosovibrio and Nitrosospira are involved in

Reaction 1 i.e. conversion of ammonia to nitrate, while Reaction 2 i.e. conversion of
nitrite to nitrate is carried out by Nitrobacter and Nitrospira, indicating that nitrifying
bacteria belongs to Nitrobacteraceae family that is a group of chemoautotrophic gram
negative bacteria (Tanaka et al. 1983). Chemoautotrophic bacteria utilize inorganic
chemical substrates (NH3, NO2) as an electron source to immobilize inorganic carbon
(CO2), thereby allowing carbon fixation to occur (Hagopian and Riley 1998; Ritchie
and Nicholas 1972; Sundermeyer-Klinger et al. 1984).
10.1.5.2 Denitrification
Nitrification oxidizes toxic ammonia and nitrite, to the relatively non-toxic form of
nitrate; however, over a long period of time nitrate concentrations could become
toxic to aquatic organisms (Sauthier et al. 1998; Ng et al. 1993). This is even more
prevalent in recirculating raceway systems where the water is continuously reused.
Denitrification is the process, where heterotrophic bacteria, such as Pseudomonas
denitrificans and Escherichia coli, under anaerobic conditions convert nitrate to
nitrogen gas, and completely volatize nitrogen from the system (Sauthier et al.
1998). The bacteria oxidize organic matter using the following electron acceptors in
Fig. 10.3 The biochemical

transition of nitrogen from
ammonia to nitrogen gas by
nitrification and
denitrification
the following order: dissolved oxygen, nitrate, and sulfates. If there are poor
reducing conditions then partial denitrification can occur, and if there are drastic
reducing conditions sulfates can be reduced to toxic sulfides (Sauthier et al. 1998).
Figure 10.3 shows how ammonia is converted into nitrate under aerobic conditions
(nitrification), and then how nitrate is converted into nitrogen gas under anaerobic
conditions (denitrification).
10.2 Case Study of Shrimp Wastewater Treatment
Performance of a sequencing batch reactor (SBR) for the treatment of shrimp

farming effluent/sludge was studied to improve the quality of water in recirculating
raceway system. Timing to remove wastewater and sludge is same in recirculating
raceway shrimp farming system. This study was conducted with the aim to assess:
(i) the performance of SBR for the removal of carbon and nitrogen from shrimp
farming effluent; and (ii) the suitability of treated effluent for reuse in shrimp ponds.
10.2.1 Shrimp Waste Sludge
Bead filter backwash was collected in 3 L sealed containers from a recirculating

raceway shrimp farming system located at Waddell Mariculture Center, South
Carolina. Effluent/waste sludge samples were stored at 4 °C until use.
10.2.2 Sequencing Batch Reactor (SBR)
For the treatment of shrimp farming effluent, four laboratory scale SBRs each having a
working volume of 19 L were erected. Initially, each SBR was fed with 4 L shrimp
farming effluent and was operated under aerobic mode by providing aeration using air
stones. A stirring motor (Model RW 20/RW 20DZM; Tekmar Company, Cincinnati,
OH) was installed in each reactor and operated at 100 rpm to keep the contents of
reactors well mixed. After a certain period of time, SBRs were operated in anaerobic
mode by turning off aeration as well as mixing. Different time sequences for aerobic
and anaerobic modes were tested until the end of the experiment to optimize aerobic
and anaerobic time sequences for the removal of carbon and nitrogen from shrimp
farming effluent. Aerobic and anaerobic mode of operation in SBR are vital because
organic carbon oxidation and nitrification occur in aerobic mode, while denitrification
occurs in anaerobic/anoxic mode. Without anaerobic mode of operation, total nitrogen
removal can deteriorate due to poor denitrification. Since all four SBRs were operated
simultaneously under identical operating condition, carbon and nitrogen removal rep-
resents the average of results obtained from four SBRs.
312 R. Boopathy
10.2.3 Pilot Scale SBR
After optimizing the operating conditions in laboratory scale SBRs for the treatment
of shrimp farming sludge, two identical pilot scale SBRs (500 L) were installed at
the recirculating raceway farming system, Waddell Mariculture Center, South
Carolina. Arrangement of a SBR as well as water flow directions with respect to
culture system and bead filter is shown in Fig. 10.4. SBRs were operated in aerobic
and anaerobic mode for 3 and 6 days, respectively. Carbon and nitrogen removal
was reported as the average of duplicate SBRs.
10.2.4 Chemical Analysis
30 mL samples from SBRs were collected at regular intervals to quantify COD,

ammonia, nitrate and nitrite concentrations. Supernatant of each sample centrifuged
at 5000 rpm for 10 min was used for chemical analyses. COD was analyzed as per
the method described in standard methods for the examination of water and
wastewater (APHA 1998). Ammonia, nitrate and nitrite were quantified via col-
orimetric method using HACH water analysis kit (Hach 1999). The dissolved
oxygen (DO) and salinity were measured using an YSI DO and salinity probe
(Model No. 85-10FT, Yellow Spring, OH), respectively. The pH was measured
using a pH probe (Model UB 10, Denver Instruments, Boulder, CO).
10.2.5 Data Analysis
Data of removal efficiencies was subjected to a number of statistical analyses.

Paired t-test (p ≤ 0.05; SAS Institute 2003) was used to analyze total concentration
of COD. Analysis of variance (ANOVA) followed by tukey “post hoc” analysis
(SAS Institute 2003) were used for all results.
Fig. 10.4 A recirculating

raceway shrimp farming
system and location of bead
filter and SBR. Solid arrows
are showing the direction of
water flow
Table 10.1 Characteristics Parameters Units n Concentration

of shrimp farming effluent
pH NA 4 8.1 ± 0.1
Salinity ppt 4 28.6 ± 0.4
Total solids mg/L 4 33.1 ± 3.9
Total chemical oxygen mg/L 4 1593 ± 36
demand
Ammonia mg/L 4 83.7 ± 6.1
Nitrate mg/L 4 31.3 ± 1.4
Nitrite mg/L 4 250 ± 22.7
n No. of samples
NA Not applicable
10.3 Results of Case Study
10.3.1 Characterization of Shrimp Farming Effluent
Wastewater characterization is vital to: (i) understand the physical and chemical
composition of wastewater; and (ii) select or design an effective wastewater treat-
ment system. Based on the characteristics of shrimp farming effluent (Table 10.1),
an activated sludge based treatment system may be efficient because of high levels
of COD and nitrogen (nitrate, nitrite and ammonia). However, adequate nitrification
and denitrification may be required for efficient removal of total nitrogen.
10.3.2 Performance of Laboratory SBR
Four laboratory scale SBRs (19 L each) were operated simultaneously under
identical operating conditions in aerobic (0–3 days) and anaerobic (4–9 days)
modes. SBRs achieved above 99% ammonia removal under aerobic conditions
(Fig. 10.5). On the other hand, concentration of nitrates increased from 47 and
93 mg/L (Fig. 10.5) in SBRs at the end of aerobic operating mode, indicating that
an effective nitrification occurred. When SBRs were operated in anaerobic oper-
ating conditions from 4–9 day, nitrate concentration decreased gradually.
Concentration of nitrates reduced from 93 mg/L (day 3) to 2 mg/L (day 8).
Similarly, concentration of nitrite increased from 235 to 401 mg/L under aerobic
conditions (0–3 days) and gradually reduced to 5 mg/L at the end of anaerobic
operating mode (Fig. 10.5). Reduction in nitrite and nitrate concentration under
anaerobic operating mode suggests that an effective denitrification process occurred
in SBRs.
Influent concentration of organic matter quantified in terms of COD was on the
higher side (1596 mg/L) probably because shrimp effluent mainly contains shrimp
food contents. COD concentration reduced from 1596 to 400 mg/L in SBR
314 R. Boopathy
500
Total Ammonia-N
Nitrite-N
Nitrate-N
400
Concentration (mg/L)
300
200
100
0
0 2 4 6 8 10
Time (days)
Fig. 10.5 Variations in the concentration of ammonia, nitrate and nitrite in laboratory scale SBRs
during the treatment of shrimp farming effluent. SBRs were operated in aerobic and anaerobic modes
from 0 to 3 and 4 to 9 days, respectively. Results are presented as average ± standard-deviation
achieved in four SBRs
operated in aerobic mode for 3 days (Fig. 10.6). Similarly, SBR operated in
anaerobic operating mode further reduced the concentration of COD from 4 to
6 days (Fig. 10.6) but COD removal did not improve significantly during the last
three days of anaerobic operating condition i.e. 7–9 days. Operation of laboratory
scale SBRs for 9 days achieved significant COD, ammonia, nitrate and nitrite
removal. Nitrogen removal (Fig. 10.5) from shrimp effluent also indicate that level
of nitrifying and denitrifying bacteria was adequate in sludge. Moreover, there was
no need to add specific microbes to carry out nitrification and/or denitrification.
10.3.3 Performance of Pilot Scale SBR
Performance of pilot SBR plants (500 L) was assessed for the treatment of shrimp
farming effluent after confirming the efficient COD and nitrogen removal in labo-
ratory scale SBRs (Figs. 10.5 and 10.6). Two identical pilot scale SBRs were
installed at Waddell Mariculture Center, SC as shown in Fig. 10.4 and the
1800
1500
COD (mg/L)
1200
900
600
300
0
0 2 4 6 8 10
Time (days)
Fig. 10.6 COD concentration in the laboratory scale SBR. The results are average with S.D. for
four reactors
Table 10.2 Performancea of pilot scale SBRs for the treatment of shrimp farming effluent/sludge
Time Condition NH4 NO2 NO3 COD
0 Aerobic 93.7 ± 54.9 266 ± 74 21.3 ± 20.5 1593 ± 811
1 55.7 ± 42.2 661 ± 298 27.8 ± 14.8 1177 ± 669
2 19.4 ± 25.9 94 ± 70 19.2 ± 8.9 190 ± 7.8
3 9.8 ± 4.7 58.1 ± 19.3 65.0 –
4 Anaerobic 3.6 ± 8.6 46.3 ± 12.5 20.5 ± 4.1 –
5 – 20 16.8 ± 20.1 –
6 – – – –
7 – 18 0 –
a
Time (days) of each aerobic and anaerobic period and mean (N = 2) total ammonia-nitrogen
(NH4, mg/L), nitrite-nitrogen (NO2, mg/L), nitrate-nitrogen (NO3, mg/L), and chemical oxygen
demand (COD, mg/L)
backwash of bead filter was used as an influent to pilot SBR plants. The objective of
the treatment of shrimp farming effluent was to recycle the treated effluent back to
shrimp culture. Pilot scale SBRs achieved 100% removal of COD, ammonia, nitrite
and nitrate within a week of their operation (Table 10.2).
SBRs (laboratory and pilot scale) successfully achieved almost complete
removal of organic matter as well as ammonia, nitrate and nitrites from shrimp
316 R. Boopathy
farming effluent or sludge. SBR have a number of advantages over continues flow
activated sludge treatment system including simple reactor design as well as sim-
plicity of operation. SBR have been studied for the treatment of different type of
wastewater such as slaughterhouse effluents, dairy effluent, swine manure and
sewage (Irwine and Ketchum 1989; Masse and Masse 2000; Fernandes et al. 1991;
Lo et al. 1991). Although performance of SBRs was excellent for shrimp farming
effluents, a number of treatment systems such as conventional activated sludge
process as well as the use of filtration systems have also been studied for the
treatment of shrimp farming effluents. Moreover, apparatus for the removal of
sludge and foam fractions from shrimp farming effluents has also been designed and
investigated (Arbiv and Rijn 1995; Browdy et al. 1995; Hopkins 1994; Holloway
2002). However, these systems can be expensive and may have higher operating
expenditures. Design of SBR is simple and all processes occur in a single tank
compared to the requirement of multiple tanks in continuous flow activated sludge
process. This case study showed that shrimp farming effluents or sludge can be
efficiently treated in SBRs. Simple operation of SBR in aerobic (0–3 days) and
anaerobic mode (4–9 days) led to almost complete removal (above 99%) of COD
and total nitrogen. Although nitrifying bacteria bacteria are slow growing microbes,
efficient ammonia removal was achieved, meaning that shrimp farming effluent
already contained these microbes. On the other hand, denitrification i.e. nitrate and
nitrite removal was achieved only during the anaerobic operating mode (Fig. 10.5).
At the end of the operation the sludge can be dewatered and the water can be
recycled back into shrimp production. The application of SBR technology for
intensive shrimp production is an attractive alternative to various methods currently
used in shrimp aquaculture.
The practice of introducing microbes has become a common practice in com-
mercial aquaculture activities, particularly in shrimp farming, around the globe.
Purpose of bacterial amendments is to improve: (i) the digestion of food in aqua-
culture; (ii) the immune system of cultures against pathogens; and (iii) the quality of
water as well as ponds bottom conditions. These products containing certain strains
of bacteria used to improve the environmental quality of the aquaculture ponds are
marketed as “probiotics”. Use of probiotics in aquaculture industry has grown
rapidly, suggesting a positive perception towards these products. On the other hand,
there are many products in the market which range in price and quality. Some have
followed meticulous quality control systems and are based on years of scientific
research. Unfortunately, the market also has many low quality products, which offer
the grower little to no value. These types of low quality products cast doubt on the
use of microbial amendments in aquaculture.
10.3.4 Use of Probiotics in Shrimp Aquaculture
Effects of probiotics in aquaculture is not completely understood because available

studies are not enough to develop a definitive opinion. Probiotics have mostly been
studied with the view point of their impacts on the environmental quality of
aquaculture ponds as well as on the diversity of pathogens. Bacterial amendments
are not only used in aquaculture but are also used in wastewater treatment and/or
bioremediation. Bacterial amendments in bioremediation are known to provide
favorable conditions for the growth of certain bacterial communities to: (i) com-
petitively exclude other microbial communities; and (ii) provide direct bioreme-
diation or biodegradation. On the other hand, impacts of bacterial amendments in
aquaculture have not been demonstrated clearly mainly because environmental
conditions are highly variable in aquaculture ponds, thereby making it difficult to
either maintain effective controls or to replicate environmental conditions. A better
understanding of comparative efficacy and mode of action of various probiotic
products will depend upon the development of more controlled laboratory testing
models.
In order to study the efficacy of any probiotic, focus should be on the in vitro
microbiological assessment of probiotics. FDA Bam and AOAC procedures were
used to verify bacterial populations in the product in the order of a billion per gram.
Disc diffusion methods and broth inhibition assays were used to confirm inhibition
rates against pathogens of interest including Vibrio harveii.
A commercially available probiotic, namely MeraBac W (Novus corporation,
MO, USA) was tested in a small scale assay system under controlled environmental
conditions with the objective to: (i) develop as small scale assay for testing the
effects of probiotic in shrimp ponds; and (ii) elucidate the effects of selected pro-
biotic on the water quality of shrimp ponds as well as on the abundance of a shrimp
pathogen (Vibrio harveyii). In this study, 250 mL of shrimp farming effluent
containing frozen aquaculture sludge collected from a shrimp ponds was incubated
separately in two benchtop reactor (500 mL each) and was aerated. Moreover,
autoclaved shrimp farming effluent was also incubated separately in two benchtop
reactors mainly to assess the impact of the probiotic on shrimp pathogen. COD
removal in bench top reactors from non-autoclaved shrimp effluent was measured
with and without the addition of the probiotic. Initial COD concentration of shrimp
effluent was ranged from 2800 to 3300 mg/L.
Notably, addition of the probiotic significantly improved the removal of COD in
compared to that obtained without the addition of the probiotic (Fig. 10.7).
Moreover, it was observed that improvement in the rate of COD removal depends
on the concentration of probiotics. Addition of the probiotic at a concentration of
1 g/L achieved above 99% removal of COD within 4 days. On the other hand,
addition of the probiotic at 0.0001 and 0.1 g/L required 6 and 8 days, respectively,
to achieve above 99% COD removal (Fig. 10.7). The complete removal of waste
COD within 8 days at recommended concentrations for pond application is a very
important finding, particularly in consideration of the fact that most growers treat
pond weekly assuring continual enhancement of waste digestion. Of interest was
the lack of significant change in digestion rates with the addition of glucose. This
suggests that despite the high nitrogen content of the shrimp waste tested here,
addition of labile carbon did not change sludge digestion rates. Further research
318 R. Boopathy
COD Analysis of Autoclaved

Shrimp Wastewater
3500
Sample 1: no
3000 probiotics
2500 Sample 2:
0.0001g/L
2000 probiotics
COD
Sample 3:
1500 0.01g/L
probiotics
1000 Sample 4: 1g/L
probiotics
500
0
0 1 2 4 6 8
Time, days
Fig. 10.7 Chemical oxygen demand (COD) on shrimp culture wastewater in presence and
absence (control) of the probiotic MERA bac W™ (Novus Int.) of analysis in the reactor with
various probiotic concentrations
using this model system could help determine if and when use of supplementary
molasses can improve probiotic activity in pond systems.
Impact of probiotic addition on the abundance of Vibrio harveyii (a shrimp
pathogen) was also assessed in this study by adding a known concentration of V.
harveyii i.e. 109 cell/mL in benchtop reactors at the beginning of the experiment
and its concentration was monitored until the end of the experiment. A significant
reduction in the concentration of V. harveyii was observed in the presence of a
probiotic (Fig. 10.8). Initial concentration of V. harveyii i.e. 109 cell/mL was
reduced to 102 cell/mL (corresponding to a 5 log removal) within 8 days. On the
other hand, concentration of V. harveyii in the absence of the probiotic remained at
109 cell/mL till the end of the experiment (Fig. 10.8). Interestingly, concentration
of V. harveyii increased from 109 to 1012 cell/mL in the reactor fed with autoclaved
shrimp farming effluent within 8 days. This study clearly showed that the supple-
mental heterotrophic bacterial amendments have a competitive edge over V. har-
veyii and thus decreased the population of Vibrio. It is interesting to note that Vibrio
proliferated in the absence of other heterotrophic bacteria in autoclaved waste
water. Only the selected bacterial strains in the Mera Bac W were effective in
significantly reducing the Vibrio concentration in the wastewater.
This study suggests that the application of bacterial amendments contributed
significantly to digestion of organic material and suppressed Vibrio populations in
Autoclaved
Vibrio Plate Counts wastewater +
glucose
1.00E+13
Autoclaved
1.00E+12
wastewater
1.00E+11
1.00E+10
1.00E+09 Autoclaved
wastewater +
1.00E+08 glucose +
cfu/ m L
1.00E+07 probiotics
1.00E+06 Autoclaved
1.00E+05 wastewater +
probiotics
1.00E+04
1.00E+03 Non- autoclaved
1.00E+02 wastewater +
glucose
1.00E+01
1.00E+00
Non- autoclaved
0 2 4 8 wastewater
Time, Days
Fig. 10.8 Vibrio harveyii bacterial counts in the bioreactors with low concentration of probiotic
and native bacteria bioreactor with and without glucose
shrimp wastewater. These controlled and replicated trials can shed light on mode of
action and relative efficiency of probiotic activity. The data from these types of
comparisons can provide a more robust statistical analysis than pond-based trials.
Nevertheless, these laboratory scale trials have important practical implications for
use in shrimp production systems. One of the most significant criticisms of pro-
biotic technologies relate to the application rates relative to pond volumes. This
study shows at the recommended application rates, the bacteria had significant
effects on water quality.
10.4 Conclusion
Around 85% of shrimp consumed in the United States are imported. This leads to a
trade deficit of over 3 billion dollar. In order for the United States to reduce this
deficit and compete on a global scale in the shrimp market, new technologies, such
as recirculating raceway systems, must be explored. Recirculating raceway systems
produce large amounts of shrimp per unit volume. The waste produced due to the
320 R. Boopathy
high density of these systems can cause substantial environmental problems, and
disposing of the waste can be very difficult and expensive. Because the recirculating
raceway system is a zero-water exchange system, nutrients such as nitrogen,
phosphorous, and organic carbon can build up in these systems. Disposal of this
wastewater can be problematic due to the saline properties of the wastewater and
reuse of the wastewater within the raceway system is hindered by high concen-
trations of ammonia and nitrite. Technology such as the sequencing batch reactor
(SBR) is being used to help reduce ammonia, nitrite, nitrate, and organic carbon, so
that the wastewater can be reused. The application of bacterial amendments con-
tributed significantly to digestion of organic material and suppressed Vibrio pop-
ulations in shrimp wastewater.
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Index
A Biodiversity, 11, 75, 85, 91, 116, 147

Abstraction of water, 16 Biofiltration, 198, 214, 215, 220, 222, 223,
Acidification, 75, 76, 266 238, 240
Acid sulphate, 21 Biosecurity, 33, 230, 240, 301, 304–306
Aeroponics, 197 Bloom, 27, 195, 302, 306
Algicides, 15 Brackish, 13, 19, 66, 191
Anaesthetics, 15 Breeding, 9, 11, 13, 63, 79, 85, 106, 116, 153,
Annual per capita consumption, 2 158–160
Anthropogenic, 8, 10, 12, 13, 18, 82, 265, 266 Business, 23, 38, 47, 65, 67, 71, 83, 115, 186,
Antibiotics, 7 238
Antifoulants, 15 By-products, 5, 15, 184, 192
Aquaculture, 1–10, 12–19, 21–31, 33, 35–39,
42–44, 47–49, 63–67, 70–77, 79, C
81–85, 89–91, 128–131, 135, 142, 147, Cage, 4, 6, 10, 17, 20
153–157, 166, 167, 173, 176, 178, 181, Carbon footprint, 147, 249, 252, 255, 257
182, 187, 191–193, 198, 199, 224, 225, Carbon stocks, 13
238, 240, 249–253, 257, 259, 260, 265, Carnivorous, 3, 82, 129
266, 269, 270, 276, 283, 285–287, 302, Chemical, 7, 8
303, 305, 306, 316, 317 Chemoautotrophic, 310
Aqua-feeds, 7, 130, 141 Classification, 4, 8, 44
Aquaponics, 71, 173, 174, 176–178, 180–184, Climate change, 4, 8, 13, 17, 19, 21, 82, 124,
186–189, 191, 192, 198–203, 205–209, 134, 191, 236
211, 212, 214–216, 219, 223, 224, 226, Coagulants, 15
230, 231, 234–240, 242–244 Coastal, 5, 11, 13, 17, 25, 70, 75, 88, 96, 97,
Artisanal, 72, 97–99, 101, 109, 110, 114, 115 99, 102, 111, 118, 155, 156, 250,
ASC, 47, 90 266–270, 272, 276, 279, 285, 288, 301,
302
B Coastal area, 5, 17, 75, 88, 118, 155, 156, 250,
Bacteriostatic effct, 269 267–269, 285
Balanced, 3, 5, 47, 126, 130, 207 Coastal population, 115
Benthic fauna, 103–105, 115 Cold blooded, 80, 224
Best management practice, 1, 3 Composting, 174
Bioaccumulation, 18, 265, 272, 274, 275, 279 Conflict, 38, 72, 89
Bioconcentration, 265 Cradle-to-farm gate life cycle assessment, 249
Biodegradation, 266, 317 Crayfish, 19, 203

https://doi.org/10.1007/978-3-319-73257-2
324 Index
Cryptobiosis, 18 Feasibility, 1, 118, 159, 161, 234, 243, 304

Cumulative Energy Demand (CED), 256 Feed additives, 15, 77
Cyclic, 16, 198, 278 Feral fish, 8
Fertilization, 160, 161, 192, 214, 224, 225,
D 230, 240
Deforestation, 11, 147 Fertilizer, 4, 5, 8, 15, 74, 75, 77, 147, 174, 176,
Dietary supplement, 143 180, 184, 189, 192, 193, 195, 216, 243
Discharge, 6, 10, 11, 13, 17, 23, 31, 43, 75, Fisheries, 2, 8, 9, 19, 31, 43, 47, 82, 95–97,
156, 188, 192, 206, 222, 266, 268, 272, 104, 107, 108, 110, 112–116, 118, 128,
285–287, 306, 308 133, 137, 250, 252, 260
Disease, 6, 7, 13, 18, 30, 42, 75, 81, 90, 124, Fish farming, 3, 173, 199, 260
155, 157, 158, 184, 229, 231, 234, 240, Fish meal, 3, 8, 15, 48, 129–131, 133–135,
269, 283, 287, 305, 306 137, 139–144, 250
Disinfectant, 77 Fish oil, 3, 15, 18, 82, 128, 130, 131, 133–135
Dissolved oxygen, 6, 17, 27, 66, 104, 206, 207, Floating system, 193, 197, 202, 204, 208, 217
211, 214–216, 306, 311 Flooding, 86, 214
Diversification, 6 Flora and fauna, 3, 23
DNA damage, 270 Food safety, 3, 27, 29, 30, 39, 42, 44, 47, 79,
Drug, 157, 159, 271 91, 159, 234, 242, 244
Fossil fuel, 249, 252, 253, 254
E Framework, 22, 23, 33, 186
Earthen ponds, 4, 226 Fuels, 15
Eco-labelling, 47, 89 Fungi, 199, 216, 231, 268
Eco-labels, 47
Ecology, 1, 3, 29, 48, 74, 96, 99, 100, 114, 176 G
Economic measures, 4 Genetic, 1, 8, 27, 29, 79, 91, 119, 145, 146,
Ecosystem, 1, 3, 5, 11, 17, 24, 25, 28, 29, 31, 154, 159, 160, 167, 226
34, 38, 48, 75, 76, 78, 84, 88, 91, 95, 97, Genetic manipulations, 9
99, 104, 106, 109, 116, 118, 156, 201, GHG, 8, 82, 249, 251, 257–259
231, 265, 266, 268, 270, 272, 279, Gill tissue, 18
286–288, 301 GIS, 34–36
Effluent, 6, 7, 9, 10, 23, 67, 73, 78, 86, 157, Global fish production, 1, 137
177, 268, 301, 302, 306, 307, 309, 311, GMO, 8, 30, 146, 153, 159, 168
313–318 Governance, 1, 4, 37–40, 48
El Niño, 126, 134 Growth, 1–3, 5, 25, 63, 66, 67, 74, 96, 112,
Encroachment, 75 124, 125, 128, 130, 131, 133, 135, 138,
Energy, 5, 13, 16, 34, 80, 82, 100, 103, 114, 139, 142–144, 146, 153, 157, 158, 165,
174, 176, 181, 187, 192, 217, 224, 226, 166, 168, 173, 176, 178, 183, 184, 186,
239, 242, 243, 250 188, 189, 193, 195, 197–199, 205–207,
Energy Return On Investment ratio, 249 218, 220, 223, 225, 226, 230, 231, 234,
Entropy, 75, 76 240, 241, 250, 269, 279, 287, 301, 304,
Epidemic, 269, 270 306, 307, 317
Equator, 13
Erosion, 29, 175 H
Eutrophication, 6, 8, 10, 18, 67, 75–77, 84, 85, Habitat, 19, 27, 31, 66, 76, 102, 104, 105, 111,
155, 192, 306 115, 116, 231, 244, 266
Exotic fish, 9, 79 Harvesting, 47, 75, 303, 304
Hatchery, 8, 157, 254, 257, 306
F Hatching and nursing, 249
FAO, 2, 3, 11, 12, 15, 24, 31, 39, 42, 44, 47, Hazard and risk, 1
70, 81, 82, 96, 97, 115, 118, 124, 126, Heavy metals, 18
134, 137, 140, 154, 155, 236, 243, 250, Herbivorous, 3, 5, 82
269 Heterotrophic, 307, 309, 318
Farmed species, 9 Hormones, 15, 76
Index 325
Horticulture, 173, 176, 180, 183, 186, 188, Marine invertebrates, 18

192, 193 Maturity, 9, 106, 112, 239
Hybridization, 9, 31, 164 Membrane bioreactor, 267
Hydrocarbons, 18 Metabolic activity, 270
Hydrogen peroxide, 15, 269, 270, 285 Metabolism, 11, 17, 214, 225, 278, 285
Hydroponic, 173, 174, 177, 180, 181, 183, Microbial communities, 8, 317
192, 193, 195, 198, 199, 201, 205–208, Mitigate, 11, 23, 27, 64, 65, 85, 157, 270, 278
216, 220, 230, 231, 234, 241, 243, 244 Modelling, 11, 19, 34, 36, 48
Mollusc, 10, 24, 101, 286
I Monitoring, 5, 26, 34, 49, 63, 72, 88, 89, 196,
Illicit drug, 266, 267, 274, 287 233, 285, 288
Infrastructure, 12, 25, 65, 71 Monoculture, 5, 193
Inhibiting, 17, 161, 163, 283, 287 Mortality, 9, 27, 76, 102, 104, 162
Inland aquaculture, 3 Multi-dimensional, 22
Integrated Multi-trophic Aquaculture, 3 Multivariate approach, 4
Intensification, 7, 66, 67, 188, 192, 193, 196, Mussel, 3, 10, 18, 19, 35, 110, 250, 251, 260,
198, 207, 224, 225 275, 278, 279, 286
Intensive aquaculture, 66, 67, 74, 91, 249, 260
Inventory data, 250, 254, 256 N
Invertebrate, 103, 104, 109, 278 Nitrifying bacteria, 200, 201, 206, 215–217,
IPCC, 256 310, 314, 316
ISO, 47, 250, 253, 256 Non-native species, 9
Non-pathogen, 286
J Nutrients, 6, 10, 11, 23, 66, 67, 70, 74–76, 78,
Juvenile, 72, 75, 79, 104, 105, 108, 144, 257, 124, 137, 174, 176, 178, 184, 192, 193,
285 195–202, 204–208, 211–214, 216–218,
221, 222, 225, 230, 231, 234, 237, 240,
L 242, 243, 251, 301, 303, 306, 307, 320
Land-based farming, 252, 253 Nutrition, 2, 67, 84, 124, 126, 144–146, 201,
Larval, 9, 103, 108, 123, 141, 143, 162, 287, 202, 224, 242, 283, 307
288, 305
Leachate, 268 O
Legal, 22, 89, 112, 269 Occupational risks, 27
Legislation, 97, 188 Ocean, 19, 63, 96, 97, 98, 99, 103, 105–107,
Life Cycle Assessment (LCA), 250 111–113, 118, 157, 192, 267
Lime, 8, 15, 79 Organochlorine, 18
Livelihood, 1, 3, 13, 23, 24, 31, 35, 37, 39, 48, Organophosphates, 15, 77, 156, 269
70, 86, 114, 139 Oxidants, 15, 77
Lubricants, 15 Oyster, 3, 22, 14, 35, 48, 81, 161, 250
M P
Macroinvertebrates, 15 Parameter, 6, 17, 20, 84, 86, 89, 104, 159, 200,
Mangrove, 3, 11, 13, 30, 75, 76, 82, 109, 155, 204, 206, 237, 268, 306
266, 270 Parasite, 14, 18, 81, 224–226, 244, 269
Mariculture, 311, 312, 314 Parasiticides, 270, 283, 285
Marine, 3, 5, 11, 16, 38, 66, 75, 88, 90, 95–97, Pathogen, 18, 43, 154, 157, 158, 168, 192, 195,
99–101, 107, 108, 110, 112–118, 130, 201, 224–226, 231, 267, 283, 287, 301,
143, 144, 191, 205, 240, 241, 251, 252, 305–307, 316
257, 260, 266–268, 270–279, 283, Persistence, 13, 18, 156
286–288, 302, 304, 305 Pharmaceutically active compounds, 265, 266,
Marine biodiversity, 109 287
Marine cage, 19 Phytotoxicity, 206
Marine ecosystem, 118, 267–270 Planktonic organisms, 15
Marine fish farming, 250 Plant biomass, 13
326 Index
Pole and line fishery, 95, 99, 114, 118 Sequestration, 13

Policy, 22, 24, 28, 31, 32, 36, 37, 39, 76, 88, Shellfish, 31, 36, 70, 71, 75, 85, 250, 251, 267,
112, 113, 116, 226 274, 286
Polyculture, 5 Shorelines, 13
Pond, 2, 14, 19, 20, 22, 66, 75–78, 157, 175, Shrimp, 3, 5, 6, 9–11, 13–15, 48, 71–73, 75,
176, 186, 188, 195, 198, 224, 226, 302, 76, 78, 83, 91, 97, 102, 107, 110, 112,
307, 317–319 117, 119, 140, 142, 143, 153
Population, 2, 13, 72, 79, 96, 97, 99, 100, 106, Socio-economic, 28, 31, 42, 64, 65, 67, 84, 85,
112, 119, 124, 128, 167, 175, 266–268, 91, 156, 251
286, 304, 307, 318 Solid waste, 266, 268
Poverty, 3, 114, 124 Spatial, 24, 25, 28, 33, 35–37
Prawn, 9, 15, 107 Spawning, 47, 101, 106, 110, 114, 116, 154,
Precipitation, 19 162–164, 166, 167
Probiotics, 287, 316, 317 Species, 3, 5, 6, 8, 9, 14–16, 19, 25, 28, 31, 34,
Protozoa, 216 47, 65–67, 74, 76, 78, 79, 82, 89, 97,
Purse seines, 95, 96, 98, 99, 101, 105, 111, 100–102, 105, 106, 109, 110, 112, 114,
114, 117 119, 133, 141, 157–159, 161, 162,
Pyrethrins, 15 164, 166–168, 176, 180, 184, 202,
Pyrethroid, 15, 270, 269, 285 203, 205, 211, 214, 226, 240–242,
250, 251
Q Sperm, 9, 160, 166
Qualitative, 27, 28, 30, 31, 195, 226 Stakeholders, 2, 22, 28, 31, 38, 39, 64, 65, 82,
Quantitative, 27, 28, 30 83, 157, 243
Stratification, 17, 272
R Substrate culture, 198
Radioactivity, 18 Supplement, 66, 135, 146, 178, 235, 243
Recirculating aquaculture system, 173, 176, Sustainability, 2, 3, 5, 15, 23–26, 29, 36, 39,
189, 192, 198, 302 42, 44, 48, 64, 82, 90, 91, 118, 129, 137,
Regional, 12, 26, 37, 95, 106, 113, 116, 118, 139, 141, 235, 244, 251
124 Sustainable aquaculture, 13, 16, 23, 30, 34, 38,
Regulate, 17, 186–188 47, 48
Remote Sensing, 84 Synthetic, 18
Renewable, 16, 176, 256, 259
Resource, 1, 3, 5, 10, 23, 24, 27, 29, 31, 39, 48, T
64, 67, 72–74, 83, 86, 97, 101, 107, 112, Temperature, 13, 17, 19, 66, 67, 162, 167, 168,
114, 117, 118, 137, 139, 142, 156, 173, 174, 215, 217, 219, 221, 225, 230, 237,
174, 176, 186, 188, 191, 192, 224, 236, 267, 268, 302, 309
250 Terrestrial, 11, 36, 88, 131, 137, 174, 175, 224,
Restocking, 8 286
Therapeutants, 15, 43, 156
S Therapeutic, 270, 271, 274, 277, 279, 283
Salinity, 75, 77, 215, 230, 240–242, 305, 309, Tourism, 12, 22
312 Toxicity, 8, 17, 198, 199, 201, 205, 211, 214,
Salmon, 8, 9, 13–15, 18, 26, 30, 47, 48, 79, 82, 231, 238, 241, 277, 285, 288
85, 131, 140–146, 161, 250, 270, 285 Trawls, 101, 102, 104, 107, 110, 117
Seafood supply chains, 249 Tropical, 11, 76, 101, 104, 112, 113, 115, 118,
Sea lice, 14, 15, 81, 270 157, 162
Sea ranching, 8
Seawater, 13, 164, 265, 270–272, 274–276, U
285, 287, 288 Uncultured species, 7
Sediment, 15, 19, 27, 72, 76, 78, 101, 103, 104,
156, 265, 272, 273, 275, 276 V
Seedstock, 8 Vector, 81, 305, 306
Semi-closed, 14 Vegetation, 3, 13
Index 327
Veterinary medicine, 265, 269, 285 Y

Vitamin, 70, 77, 124, 126, 127, 129, 131, 142 Yield, 66, 67, 70–72, 74, 76, 106, 118, 141,
153, 157, 164, 195, 198, 201, 202,
W 204–208, 219, 230, 231, 234, 241, 250,
Wetlands, 10, 13 260, 301, 303
Wild fish, 3, 8, 14, 76, 81
Wild fisheries, 2 Z
WWF, 47, 74, 90 Zero water exchange, 301, 306, 320

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Sustainable

disease on the surrounding marine environment is an emerging area of concern, and

Wollongong, Australia Faisal I. Hai

1 Aquaculture and the Environment: Towards Sustainability ......................... 1

9 Impact of Pharmaceutically Active Compounds in Marine

Krishna R. Salin and Gabriel Arome Ataguba

Abstract The contribution of aquaculture to global ﬁsh production has increased

Keywords Sustainable aquaculture · Intensiﬁcation · Ecosystem approach

K. R. Salin (&) ·G. Arome Ataguba

© Springer International Publishing AG, part of Springer Nature 2018 1

1.1 Aquaculture Growth

to aquaculture (FAO 2010) and it encompasses social dimensions (Staples and

1.1.1 Production Systems

Aquaculture production systems can be classiﬁed using several schemes.

1.1.1.1 Level of Intensity

1.1.1.2 Culture Units

1.1.1.3 Species Combination

through bio-mitigation, economic stability through product diversiﬁcation and risk

1.2 Threats from Aquaculture to the Environment

Anthropogenic interventions in aquatic ecosystems do not stop at extraction alone

1.2.2 Water Quality

aquaculture cages in South Africa (Stenton-Dozey et al. 1999). However, mussel

Fig. 1.4 Regional percentage

Construction of shrimp ponds entails mangrove destruction and from experience,

1.2.5 Resource Use/Inputs

1.3 Threats from the Environment to Aquaculture

Aquaculture is dependent on the environment hence there is a cyclic relationship

1.3.1 Threats to Cultured Species

1.3.1.1 Water Quality

Fig. 1.5 Categories of

dissolved oxygen as a result of decomposition of organic matter (Gesamp 2001).

1.3.1.3 Pathogens and Parasites

1.3.1.4 Climate Change/Flood

1.3.2 Threats to the Culture System

Marine cage aquaculture is affected by adverse weather conditions which include

Photo 1.6 Tilapia cage farming in Chao Phraya River, Thailand

The choice of culture systems depends on available substrate. Changes in substrate

1.3.3 Threats to Aquaculture Feasibility

1.4 Site Selection and Carrying Capacity Assessment

Sustainability of aquaculture with consideration of ecological and environmental

1.4.1 Application of Site Selection and Carrying Capacity

1.4.2 Theoretical Basis/Framework/Approach

1.4.3 Carrying Capacity and Site Selection: When Is

Fig. 1.6 Spatial and

1.5 Aquaculture Hazard and Risk Analysis

1.5.1 Concept of Risk

Risk permeates ﬁsheries management considering the presence of uncertainty,

1.5.2 Theoretical Framework of Risk Analysis

Fig. 1.7 Activities in a risk analysis process

Table 1.3 Application of risk analysis for sustainable aquaculture

and subsequent communication. This principle has been utilized in AquaFRAM, a

possibility of escape as well as the ability to reproduce (Waples et al. 2012). In

1.6 Ecosystem-Based Approach to Aquaculture (EAA)

Fig. 1.9 Distinction between

1.6.1 EAA Planning and Implementation Framework

Planning for EAA (Table 1.4) involves ﬁve basic steps:

The coverage of implementation according to Staples and Funge-Smith (2009)

Table 1.4 Framework for planning and implementation of EAA

1.6.2 Tools for Ecosystem Approach to Aquaculture

1.6.2.1 Environmental Models