DEPARTMENT FOR INTERNATIONAL DEVELOPMENT
SHRIMP ACTION PLAN
SCOPING STUDY FOR THE CERTIFICATION OF
SHRIMP AQUACULTURE IN BANGLADESH
FINAL REPORT
AUGUST 2002
POSEIDON AQUATIC RESOURCES MANAGEMENT LTD
MAIN OFFICE
2 FOX POND LANE
LYMINGTON
HAMPSHIRE SO41 8FW
DCP/DFIDB-2002/176
TELEPHONE: 01590 610168
main@consult-poseidon.com
http://www.consult-poseidon.com
Scoping Study for Certification of Shrimp Aquaculture in Bangladesh
078-BGD
TABLE OF CONTENTS
EXECUTIVE SUMMARY
1
BACKGROUND AND OBJECTIVES .................................................................................. 1
1.1
1.2
1.3
2
THE STUDY ............................................................................................................................ 1
SHRIMP FARMING, THE ISSUES AND THE NEED FOR CERTIFICATION .................................... 5
CERTIFICATION MECHANISMS ............................................................................................. 11
SUSTAINABLE MANAGEMENT OF WILD SHRIMP FISHERIES ............................ 13
2.1
2.2
2.3
3
AIMS AND OBJECTIVES ........................................................................................................ 13
THE STOCKS AND THEIR FISHERY ....................................................................................... 13
OPPORTUNITIES AND CONSTRAINTS FOR IMPROVED MANAGEMENT AND CERTIFICATION 17
CERTIFICATION OF SHRIMP HATCHERIES .............................................................. 21
3.1
3.2
3.3
4
AIMS AND OBJECTIVES ........................................................................................................ 21
CURRENT STATUS AND ISSUES ............................................................................................ 21
CERTIFICATION PROCESS..................................................................................................... 26
CERTIFICATION OF SUSTAINABLE SHRIMP AQUACULTURE ............................ 31
4.1
4.2
4.3
4.4
AIMS AND OBJECTIVES ........................................................................................................ 31
CURRENT ISSUES ................................................................................................................. 31
CERTIFICATION OPPORTUNITIES AND CONSTRAINTS .......................................................... 33
CERTIFICATION PROCESSES ................................................................................................. 44
APPENDICES
APPENDIX A: TERMS OF REFERENCE – CERTIFICATION CONSULTANT .................................................................. 48
APPENDIX B: REFERENCES AND BIBLIOGRAPHY ................................................................................................... 51
APPENDIX C: EXISTING AQUACULTURE CERTIFICATION STANDARDS AND CODES OF PRACTISE .......................... 56
APPENDIX D: NATURLAND STANDARDS FOR ORGANIC AQUACULTURE................................................................ 72
APPENDIX E: FOOTNOTES...................................................................................................................................... 73
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TABLES, FIGURES AND BOXES
Tables
TABLE 1: IN-COUNTRY ITINERARY .......................................................................................................................... 3
TABLE 2: SOURCE AND COST OF PLS BY KEY DISTRICTS ........................................................................................ 5
TABLE 3: EVALUATION OF MECHANISMS FOR CERTIFICATION OF AQUACULTURE ................................................ 12
TABLE 4: MSC PRINCIPLES AND CRITERIA FOR SUSTAINABLE FISHING ................................................................ 19
TABLE 5: PERFORMANCE OF THE WILD SHRIMP FISHERY AGAINST THE MSC PRINCIPLES AND CRITERIA FOR
SUSTAINABLE FISHING ......................................................................................................................... 20
TABLE 6: PL AND HATCHERY CERTIFICATION IMPLEMENTATION SUMMARY ....................................................... 28
TABLE 7: COMPARISON OF AQUACULTURE ENVIRONMENTAL CERTIFICATION SCHEMES BY CERTIFICATION
CRITERIA .............................................................................................................................................. 35
TABLE 8: COMPARISON OF AQUACULTURE ENVIRONMENTAL CERTIFICATION SCHEMES BY PRODUCTION
SYSTEMS .............................................................................................................................................. 36
TABLE 9: FRAMEWORK FOR A CODE OF CONDUCT ................................................................................................ 39
TABLE 10: NATURLAND ORGANIC STANDARDS AND THE LOCAL PERSPECTIVE .................................................... 42
TABLE 11: SWOP - FUNDACIÓN CHILE CGEP FOR WELL MANAGED SALMONID FARMS ..................................... 56
TABLE 12: SWOP - GAA-RFS ECO-LABELLING SCHEME ..................................................................................... 57
TABLE 13: SWOP - ISO 14000 SERIES IN ITS APPLICATION TO AQUACULTURE .................................................... 59
TABLE 14: SWOP - IFOAM DRAFT AQUACULTURE PRODUCTION BASIC STANDARD .......................................... 60
TABLE 15: SWOP - NATURLAND STANDARDS FOR AQUACULTURE ...................................................................... 61
TABLE 16: SWOP - SOIL ASSOCIATION AQUACULTURE STANDARDS ................................................................... 62
TABLE 17: SWOP - NASAA ORGANIC CERTIFICATION CRITERIA FOR FISH AND CRUSTACEA ............................. 63
TABLE 18: SWOP - BIOGRO NZ ORGANIC PRODUCTION STANDARDS FOR SEAFOOD PRODUCTS ......................... 64
TABLE 19: SWOP - KRAV STANDARD FOR SALMONID CULTURE ........................................................................ 65
TABLE 20: SWOP - DEBIO AQUACULTURE STANDARDS ....................................................................................... 66
Figures
FIGURE 1: NORTH AMERICAN IMPORTS OF FARMED SHRIMP (1999) ....................................................................... 8
FIGURE 2: EU IMPORTS OF FARMED SHRIMP ........................................................................................................... 8
FIGURE 3: BAGDA HATCHERY DEVELOPMENT AND PRODUCTION 1997-2001 ....................................................... 21
FIGURE 4: HATCHERIES - CERTIFICATION PROCESS............................................................................................... 26
FIGURE 5: HATCHERY CERTIFICATION TIMELINE .................................................................................................. 30
FIGURE 6: PROCESS FOR DEVELOPMENT OF A CODE OF CONDUCT FOR SUSTAINABLE AQUACULTURE ................. 44
FIGURE 7: TYPICAL PROCESS FOR ORGANIC CERTIFICATION ................................................................................ 47
Boxes
BOX 1: THE POLYMERASE CHAIN REACTION (PCR) TECHNIQUE .......................................................................... 23
BOX 2: HATCHERY REGISTRATION AND CODES OF PRACTISE IN ANDHRA PRADESH, INDIA ................................. 24
BOX 3: FAO TAP: DEVELOPING A NATIONAL SEED CERTIFICATION SYSTEM ...................................................... 27
BOX 4: CODES OF CONDUCT: STRENGTHS AND WEAKNESSES ............................................................................... 38
BOX 5: RETAIL DEMAND FOR ECO-LABELLING OF AQUACULTURE PRODUCTS ..................................................... 40
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Acronyms and Abbreviations
ADB
Asian Development Bank
FAP
Flood Action Plan
AFO
Assistant Fisheries Officer
FCD
Flood Control and Drainage
APFA
Australian Prawn Farmer’s
Association
FCD/I
Flood Control and Drainage with
or without Irrigation
ATDP
Agro-based Industries and
Technology Development Project
FEAP
Federation of European
Aquaculture Producers
BBS
Bangladesh Bureau of Statistics
FFP
Fourth Fisheries Project
BCAS
Bangladesh Centre for Advanced
Studies
GAA
Global Aquaculture Alliance
GEF
Global Environment Facility
BCSIRL
Bangladesh Council of Scientific
and Industrial Research
Laboratories
GIFT
Genetically Improved Farmed
Tilapia
BFRI
Bangladesh Fisheries Research
Institute
GIS
Geographic Information System
GoB
Government of Bangladesh
BMP
Best Management Practice
GOLDA
BOBP
Bay of Bengal Programme
Greater Options for Local
Development in Aquaculture
BOD
Biological Oxygen Demand
ICLARM
International Centre for Living
Aquatic Resource Management
BSTI
Bangladesh Standards Testing
Institute
ICZM
Integrated Coastal Zone
Management
BWDB
Bangladesh Water Development
Board
IFOAM
International Federation of
Organic Agriculture Movements
CBFM
Community Based Fisheries
Management Project
ISANet
Industrial Shrimp Action
Network
CEN
Coalition for Environmental
NGOs
IUCN
International Union for the
Conservation of Nature
CNRS
Centre for Natural Resources
Studies
MACH
CoP
Code of Practise
Management of Aquatic
Ecosystems through Community
Husbandry
CZWMP
Coastal Zone Water Management
Programme
MoEF
Ministry of Environment and
Forest
DfID
Department for International
Development
MoFL
Ministry of Livestock and
Fisheries
dO2
Dissolved oxygen
MoWR
Ministry of Water Resources
DoF
Department of Fisheries
MSC
Marine Stewardship Council
DPD
Deputy Project Director
MSY
Maximum Sustainable Yield
EGIS
Environment and GIS Support
Project for Water Sector Planning
Mt
Metric tonnes (i.e. 1000 kg)
NACA
EIA
Environmental Impact
Assessment
Network for Aquaculture Centres
in Asia-Pacific
NASAA
ESBN
Estuarine Setbag Net
National Association for
Sustainable Agriculture Australia
FAO
Food and Agricultural
Organisation (of the United
Nations)
NEDA
Netherlands Development
Agency
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NEMAP
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National Environment
Management Action Plan
SGR
Specific Growth Rate
SIA
Strategic Impact Assessment
NFD
National Fisheries Database
NFP
National Fisheries Policy
SPARRSO (Bangladesh) Space Research and
Remote Sensing Organisation
NGO
Non-Governmental Organisation
SSO
Senior Scientific Officer
NSFA
National Shrimp Farmers
Association
SUFER
Support for University Fisheries
Education and Research
NWRD
National Water Resources
Database
TFP
Third Fisheries Project
Tk.
Taka (approx. 57 Tk. = 1US$)
OIE
Office International des
Épizooties
UNDP
United Nations Development
Programme
PCD
Project Co-ordinating Director
WARPO
PCR
Polymerase Chain Reaction
Water Resources Planning
Organisation
PL
Post-larvae
WB
World Bank
ppt
Parts per thousand (‰)
SEMP
Sustainable Environmental
Management Programme
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EXECUTIVE SUMMARY
Background and Objectives
Shrimp farming is key to the economy of Bangladesh. Having expanded rapidly over the 1980s and
90s, it is now achieving relative stability, a position that is threatened by a number of internal and
external factors including (i) an increasing incidence of disease, (ii) a growing realisation of the
biodiversity and economic impacts of biodiversity loss from wild post-larvae (PL) collection – and the
livelihoods that depend on this collection and (iii) the uncertain world economic outlook that affects
global shrimp price trends.
A strategy needs to be developed that reduced the risk of both stock losses through disease and the
overall position of the Bangladesh shrimp supply in a competitive global market. A major component
of this strategy is quality assurance through certification, especially in the hatchery sector. This study
looks at the potential for certification at a number of different intervention points – wild broodstock
supply, hatcheries and grow-out – and provides a broad pathway for these processes.
Sustainable Management of Wild Shrimp Fisheries
The Penaeus monodon (bagda) shrimp hatchery industry is dependent upon spawners from the wild
capture fishery. This has a number of disadvantages including the potential for introduction of
disease from the wild and further pressure on the already over–exploited wild stock. Certification of
the shrimp stock in the Bay of Bengal as ‘sustainable and responsibly managed’ is not possible, as it is
over-exploited by a number of different commercial and artisanal fisheries, is poorly managed and
those regulations in place systematically ignored and flouted. To reduce its dependency on this
fishery the hatchery industry must develop its own domesticated broodstock lines that are guaranteed
‘specific pathogen free’ through a regular screening programme. Over the short-term, a ‘code of
conduct’ for wild spawner collection needs to be prepared and utilised (see summary of
recommendations overleaf).
Certification of Shrimp Hatcheries
The bagda hatchery sector has expanded rapidly over the last few of years, has significant excessive
capacity and is in need of rationalisation to ensure a stable, viable industry with a high quality output
responsive to grower demand. There are two key approaches to this, being (i) quality assurance of
PLs at the point of sale to growers and (ii) improved quality management in the hatchery process.
PL quality assurance: the slow uptake of PLs has been attributed to a number of reasons including a
perceived greater risk to disease and a lower post-stocking viability. Certification of health assurance
through disease screening and basic viability testing, allied with improved traceability, would
dramatically improve farmer confidence. Disease screening specially for white spot syndrome virus
WSSV, is possible through PCR testing. This could be established to run the establishment of
independently accredited private laboratories (mostly operated by the hatcheries) together with a
national reference laboratory – the latter being a possible role for the forthcoming FAO hatchery
certification TA project. The setting up of a vigorous internal quality control system would be
essential as the PCR system requires a high degree of standardisation in order to provide consistence
results. PL batches would be certified and whist a full chain of custody is considered impractical, a
suitable traceability system through batch identification and labelling could be affective. The cost of
running such a system could be less than 0.5% of the national annual revenue from shrimp exports.
Quality management in shrimp hatcheries: the hatchery industry has expanded through considerable
private sector initiative, largely unhindered by Government regulation. However the sub-sector now
suffers from overcapacity and a wide variation in practice and quality management, especially in
terms of drug use, facility hygiene maintenance and traceability. The Department of Fisheries
intendeds to approach this through hatchery registration – this needs to be linked to the development
of codes of practice that both establish a minimum standard to which hatcheries are operated and to
provide higher levels of quality management to which the hatcheries should aspire. Such a scheme
could be operational in time for the 2004 hatchery season.
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Certification of Sustainable Shrimp Aquaculture
Whilst the quality of post larvae is largely a domestic issue, improvement of both the conditions in
which grow-out occurs and the processes used have implications for both the long-term survival of the
shrimp farming sector and its ability to maximise foreign exchange earning over the longer term.
Certification has two potential roles here, being (i) the adoption (rather than imposition) of codes of
conduct for sustainable good practices and (ii) adding value to the crop through third party
certification to organic or inorganic quality standards.
Codes of conduct: the industry is in urgent need of ‘codes of conduct’ that combine technical ‘best
practice’ with environmental and social sustainability guidance. At present there is no widely
accepted generic code of conduct for shrimp culture, largely because those codes that have been
developed address particular regions or processes. One of the few generic standards is the Global
Aquaculture Alliance (GAA) ‘Responsible Aquaculture Program’, but this has been criticised as both
unquantitative and highly subjective with little scope for independent certification. The Thai industry
standards have relevance to the industry but have also been criticised as being imposed on farmers
with insufficient industry consultation during their formulation. Therefore it is considered that
Bangladesh should formulate their own code of conduct, based on regional and international
experience and possibly with the assistance of NACA.
Third party certification: a potential strategy to add value to Bangladesh shrimp products is through
certification to internationally recognised standards for both quality and good practice. At present the
only such certification process that is exists is for ‘organic’ production with product already on the
market from Ecuador, Thailand, Indonesia and Vietnam. An examination of Bangladesh practices
against the Naturland organic shrimp standard showed that there is strong potential for conversion to
organic production despite a number of constraints. These include the need for PLs bred from
domesticated SPF broodstock, restricted regulation of drug use and clarification of what “former
mangrove areas” can be utilised. If successful, a farmgate ‘organic premium’ of around 30% can be
expected.
Finally, due to the lack of a single, widely applicable and accepted standard for sustainable shrimp
culture, the wider market (i.e. beyond that for niche organic products) does not yet discriminate for
‘sustainable’ produce. This situation is likely to change – increasing consumer awareness of the
potential damage of shrimp farming, together with increased demand for traceability of food products,
indicates that some level of discrimination will inevitably develop. If the industry – and its regulators
– engage this as a positive opportunity then Bangladesh will undoubtedly benefit within the next
decade. Without this proactive stance their competitive situation will steadily erode, encouraging
poor practices, inequality and the potential for environmental degradation.
Summary of Recommendations
Sustainable Management of Wild Shrimp Fisheries
1.
A ‘Code of Conduct’ for Wild Broodstock Collection’ is prepared.
2.
Specific Pathogen Free (SPF) varieties of P. monodon are established and domesticated for use
by the industry
3.
A Fisheries Management Plan for broodstock collection is developed, including appropriate
seasonal and geographic restrictions, other effort and gear restrictions or criteria.
4.
A new baseline stock assessment for the shrimp stocks in the Bay of Bengal is implemented
immediately and mechanisms for follow-up surveys (via observer on-board data collection)
installed.
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Certification of Shrimp Hatcheries
5.
PL quality health standards (disease status, viability, etc) need to be established for subsequent
certification by accredited laboratories
6.
Standards for laboratory certification, including equipment calibration, methodology
standardisation, procedure quality control and staff training need to be established and
approved, possibly by the Bangladesh Standards and Testing Institute.
7.
A national reference laboratory be set up, possibly by the FAO National Seed Certification
System project, that would be responsible for further development of laboratory protocols and
standard improvement.
8.
A code of practice for hatchery management, esp. over the use of drugs, hygiene control and
quality management needs to be established. This would be linked to the proposed DoF
hatchery registration scheme and would provide both (i) minimum criteria for critical standards
and (ii) guidelines for good practice.
9.
DoF be responsible for initial hatchery registration and certification but this function be given
to independent third parties as soon as practical.
10. Standards for labelling should be established and a practical mechanism for hatchery PL batch
traceability be established and promoted for use.
Certification of Sustainable Shrimp Aquaculture
11. A special ‘Task Force’, to be set up by the Ministry of Fisheries and Livestock, to oversee the
development of codes of conduct in the aquaculture sector. Although led by DoF, this should
have a multi-sectoral remit to include a wide set of stakeholders from the public and private
sectors as well as civil society. Over the longer term, this could be devolved into an
‘Aquaculture Authority’, again with a wide participatory base, to oversee private sector
aquaculture development and its need for regulation by the Government.
12. A ‘Code of Conduct’ is developed responsible shrimp farming that includes technical good
practice guidelines as well as environmental and social welfare safeguards. This development
should draw from regional and international experience but most importantly should include
extensive stakeholder participation in their preparation.
13. The interest in ‘organic’ shrimp production is assessed and contacts established with
appropriate certification bodies. A number of test cases could be identified and assisted to
undergo assessment.
14. Existing third party certification companies should be encouraged to assess opportunities in the
growing organic and non-organic aquaculture certification market and accredit themselves to
the leading internationally recognised standards.
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1
1.1
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BACKGROUND AND OBJECTIVES
THE STUDY
The shrimp farming sector of Bangladesh has become very important to the national economy,
contributing significantly to foreign exchange earnings and employment generation in rural areas. In
2001-2002, frozen shrimp exports of around 29,713 tonnes earned over US S $290 million. Total
employment throughout the farmed shrimp production sector is around 840,000 or 332,225 full time
equivalents.
The largest employment group within the sector includes 444,000 wild post larvae (PL) collectors,
many of who are from the more vulnerable segments of civil society. In September 2001, in response
to the impact of wild PL collection on other aquatic organisms, the Government of Bangladesh
imposed an immediate and blanket ban on their collection. Prompted by the socio-economic
consequences of this action, as well as other concerns over the rapid development of coastal shrimp
aquaculture in Bangladesh and the implications for their development programme in general and the
Fourth Fisheries Project (FFP) in particular, DFID Bangladesh commissioned a review of coastal
shrimp aquaculture to assess its impact on the livelihoods of poor people in Southwest Bangladesh.
This review consisted of studiesi (please see endnotes in Appendix E) and wide consultation with
communities, civil society and other key stakeholders. The review raised fundamental issues
regarding social trends arising from export focus trade, incentives for pro-poor growth and
environmental sustainability.
The challenge has therefore been to identify a way forward that reflects the complexity of the issues
while retaining the original principles under which the Fourth Fisheries Project was agreed. The
conclusions of the studies were presented to senior DFID staff in the UK in November 2001 and
feedback from the presentation was incorporated into a position paper for negotiations on an
implementation plan with the Government of Bangladesh in January 2002.
A number of key areas were agreed at a meeting with the Secretary, Ministry of Fisheries & Livestock
in January 2002. The key areas of agreement were as follows:
Protecting the ecology and biodiversity of coastal river areas - The Government of Bangladesh,
The World Bank, and Department for International Development agree that it is critically important to
establish measures that protect and conserve the biodiversity and ecology of the areas that have
historically been the focus of shrimp fry collectors.
Livelihoods of Fry Collectors - It was agreed that it is vitally important for any programme to
engage directly with the people for who rely upon fry collection as key source of their livelihood.
Specifically, we discussed working with the fry collectors to explore improved methods of catch that
would reduce immediate environmental damage and secondly to understand the livelihood
opportunities in this geographical area with a view to exploring alternative livelihoods options to fry
collection.
Current Government of Bangladesh Ban on Fry Collection - It was agreed that the enforcement of
the fry collection ban will be held in abeyance pending further review as to how this can be done in a
way in which the resource and biodiversity are conserved and at the same time the livelihoods of the
fry collectors are protected.
Exploring alternative models - It was agreed that the Government of Bangladesh and the donor
agencies would work together to explore alternative models for the management of this particular
resource under a Fry Collection Action Plan. This would present a range of options and their social,
environmental and economic implications would be presented to the Secretary of Ministry of
Fisheries and Livestock in September 2002 with an agreed timetable for activities, related to the
exploration of alternative models, developed in partnership with the Director General, Department of
Fisheries.
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Objectives and Scope
A fundamental assumption is that, like many other shrimp farming countries before, the use of wildcaught post larvae will be substituted by hatchery-reared PLs as the industry matures.
This
assumption is supported by the increasing reliance on hatchery PLs (now estimated at over 50%) but
the shift is slow and erratic, despite the increased availability and lower price of the hatchery
products. This is largely attributed to the variable quality of hatchery-produced PLs and their
potential for acting as a disease vector. One response is to improve the level and consistency of
hatchery PL quality through certification (see Section 1.2.4: Potential Role of Certification on page 10
for more details).
This study will therefore investigate the potential and constraints for certification in the shrimp culture
production to assure the quality of juvenile and adult shrimp production. In addition the study will
determine the potential for setting minimum standards to ensure the sustainability of shrimp
production and to minimise the impacts of the industry on other coastal users. The specific objectives
of this consultancy are to:
1. Outline the constraints and opportunities for achieving a certifiable sustainable management
of the wild shrimp fishery (inc. hatchery broodstock)
2. Identify certification opportunities and constraints for improving the quality of shrimp post
larvae from Bangladesh hatcheries
3. Assess the potential for adding value to shrimp crops through certification of sustainable, low
impact farming methods
It should be noted that this study is confined to the production of live animals. Whilst improvements
to the post-harvest handling, processing and storage of shrimp are urgently needed to improve the
quality and price of the exported product, this is not within the scope of the present study. This aspect
is being addressed by the Agro-based Industries and Technology Development Project (Phase II)ii,
who are developing a ‘Seal of Quality’ brand for farmed shrimp by the end of 2005.
The full Terms of Reference for this study are included in Appendix A.
1.1.2
Methodology and Work Plan
The study outputs have been sub-divided into three distinct but related areas:
1. Sustainable management opportunities for the wild shrimp fishery
2. Opportunities for the certification of hatchery post larvae quality
3. Opportunities for the certification of sustainable shrimp aquaculture
18 working days have been allowed for the study of which 8 were undertaken in Bangladesh. The
main elements of the approach have included:
 Assessment of the current status of shrimp broodstock procurement, shrimp hatchery
practices and grow-out (literature surveys and stakeholder consultations).
 Detailed assessment of the technical and environmental issues and constraints for the above
(literature review, stakeholder consultations and field visits).
 Assessment of ‘critical control points’ for hatchery and grow-out practices (field visits).
 Predictive assessment of market opportunities for environmental certification for shrimp
aquaculture in Bangladesh (literature review and telephone interviews).
 Evaluation of existing and proposed certification and codes of practice for sustainable
aquaculture (literature review)
 Preparation of outline criteria for the certification of hatcheries and grow out facilities and
the appropriate accreditation and evaluation processes.
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The in-country itinerary is shown Table 1 below:
Table 1: In-country Itinerary
Date
Location
Organisations visited / activities
Thursday,
18 July 2002
Dhaka
Arrived Dhaka from UK am. Orientation and report reading.
Meetings with:
 National Shrimp Farmer's Association - Dr. Aftabuzzaman
(Chairman), Ziaul Quddus (Secretary-General)
Friday,
19 July 2002
Dhaka
Preparation of reporting outline and design of fieldwork approach.
Saturday,
20 July 2002
Dhaka
Meetings with:
 DoF - Ramesh Chandra Mondal (DD Shrimp), Md. Mahmudal
Haque (DFO Jhalakathi)
 FFP/DoF - Md. Shajahan (Deputy Assistant Director FFP)
 FFP/DFID - Alfred Santiago, Md. Nuruzzaman (FFP Shrimp
Consultants)
 GEF/FFP - Dr. David Coates (Team Co-ordinator), Dr.
Giasuddin Khan (Aquatic Biodiversity Specialist - Coastal
Fisheries)
Sunday
21 July 2002
Dhaka –
Cox’s Bazar
Meetings with:
 ATDP Phase II - Jim Dawson (Chief of Party), Dr. Mahmudul
Karim (Fisheries Consultant), Dr. Nathanial Makoni
(Consultant)
Travelled to Cox’s Bazar PM
 FAO Empowerment of Coastal Fishing Communities for
Livelihood Security Project - Dr. Wajed Ali Shah (M&E
Specialist), Samsulul Mustafa (Socio-economist)
 DoF Marine Fisheries Resources Survey Unit - Chandra Deb
(SO)
Monday
22 July 2002
Cox’s Bazar
Meetings with:
 Niribili Hatchery - Alhaz Mustafa Rahman (Chairman), Motur
Rahman (General Manager)
 DoF - Amitosh Sen (Marine Fisheries Shrimp Hatchery
Operator / Researcher)
 Argent Chemicals - Monzur Murshed Khan (Local
Representative)
 Bangladesh Fisheries Research Institute - Dr. Shahadat Hossain
(SSO Disease and Quarantine)
 Shrimp-Tech - Md. Nurul Baki (Shrimp Hatchery & Culture
Expert)
 FAO Empowerment of Coastal Fishing Communities for
Livelihood Security Project - Dr. Dilip Kumar (Team Leader)
Tuesday
23 July 2002
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Cox’s Bazar
Participation in workshop entitled: ‘Management options for the
shrimp fry fishery - a regional stakeholder workshop’.
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Date
Location
Organisations visited / activities
Wednesday
24 July 2002
Chittagong
Meetings with:
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 FFP/DoF - Kabir Ahmed (Senior Assistant Director)
 FFP/GEF – Dr. Giasuddin Khan (Aquatic Biodiversity
Specialist, Coastal Fisheries)
 DoF Chittagong District - KM Golzar Hossain (AFO
Banskhali); M Sarker Jahangar (UFO Hathazari), CM Abul
Farah (SFO Banskhali)
 DoF Fish Inspection and Quality Control - Md Kador Ahmed
(Inspector)
Thursday
25 July 2002
Dhaka
AM Preparation and presentation of a seminar on certification
opportunities in shrimp aquaculture
PM Meeting with:
DoF – Nasiruddin Ahmed (Director-General)
SGS Bangladesh Ltd – M. Mizanur Rahman (HACCP Coordinator)
Friday
26 July 2002
Dhaka - UK
Return to UK for report writing and consultations with UK shrimp
importers
This study has been undertaken by Tim Huntington of Poseidon Aquatic Resource Management Ltd iii
through contract number DCP/DFIDB-2002/176 with DFID Bangladesh.
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1.2
1.2.1
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SHRIMP FARMING, THE ISSUES AND THE NEED FOR CERTIFICATION
Shrimp Aquaculture in Bangladesh
The shrimp and prawniv culture sector of Bangladesh contributes significantly to foreign exchange
earnings and employment generation in rural areas. In 2001-2002, Bangladesh achieved the highest
ever export earnings from the fisheries sector (Tk 18,851 million / US $330 million), of which 89%
was derived from frozen shrimp (29,713 t). The combined production from marine and brackish
water ponds and from freshwater ghers is estimated to be around 42,900 tonnes (unprocessed weight),
76% being Penaeus monodon tiger shrimp (known locally as bagda) coming from extensive
aquaculture and 24 % golda (Macrobrachium rosenbergii) from inland farming. The total area under
production is estimated to be equivalent to 200,000 ha of which 170,000 ha is aimed at the production
of P. monodon culture, whilst the remaining 30,000 ha is for M. rosenbergii. This compares with a
total 52,000 ha and 3,500 ha in the mid 1980s respectively. The total production area is believed to
have expanded by approximately 20 % per annum in the last 15 years. However, despite the
comparative lower levels of production of Macrobrachium, the growth in this species production has
more than doubled over the same period.
Bangladesh shrimp culture is practiced in brackish, saltwater and fresh water. The main cultivated
species is P. monodon. The total farm production of this species in 2001 was 25,000 t (representing
58 % of the total). The other cultivated species include Macrobrachium, accounting for 11,942 t, or
28 % of the total, Metapenaeus monoceros (Horina or brown shrimp), P. indicus (Chaka or Indian
white shrimp), P. semisulcatus (Green tiger shrimp) and P. merguinensis (Banana shrimp) that make
up a further 2,891 t (7 %), 850 (2 %), and 2,211 t (5 %) respectively. Whilst production is
orchestrated to producing bagda and golda, a small amount of other shrimp species are also grown as
a result of the influence of poor screening and wild shrimp PL being trapped in the tidal ponds.
1.2.2
Post Larvae Seed Production
There are two sources of juvenile shrimp in Bangladesh, one is from an estuarine wild capture fishery
and the other is from artificial propagation in hatcheries. Table 2 below shows the variation in source
of supply between wild and hatchery PL but demonstrates that (i) nationwide around half of PLs are
currently sourced from hatcheries and (ii) hatchery-reared PLs are marginally cheaper than their wild
equivalent
Table 2: Source and Cost of PLs by Key Districts
Satkhira Khulna Bagerhat
Cox’s
Bazar
All
Source (per cent)
Wild capture
23
28
45
73
50
Hatchery
77
72
55
21
50
Wild capture
0.97
0.96
0.98
0.79
0.86
Hatchery
0.8
0.62
0.99
0.51
0.74
Cost of PL (Tk/PL)
Wild fry margin 21%
55%
-1%
55%
16%
Source: FFP, 2001 – From sample shrimp farms under four coastal districts
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Wild bagda PL is collected through a series of centres in the coastal regions. Cox’s Bazar supplies
the greater part of the supplies (around 75 %). PL in this area are abundant between April and May
but collection continues for almost the full year. The major culture in the Khulna region is from
February to July but continues in high saline areas up until November. Wild PL are also found in
Khulna, Satkhira, Bagerhat, Patuakahali, Bhoal, Noakhali and Lakshimpur. An estimated 1,500 2,000 M PL is collected from these areas. However, recent indications are that the average PL
collected per person is falling drastically.v Wild fry has historically been preferred because it is
perceived to have a lower mortality, it is locally available and it is available on demand throughout
the year.
There are currently 45 P. monodon hatcheries in Bangladesh, all of which are located in the Cox’s
Bazar area, which has suitable salinity conditions. Flow through systems are used. Brood shrimps are
collected from the commercial offshore fishery (Tk 1,500 / mother). Eye stock ablation is used to
induce the shrimp to spawn. The eggs generate within 1 week. The full cycle for the production of PL
takes 1 month. Sold as PL15-20, (20-25 day old larvae) the hatchery period takes place from late
January to mid May. It is believed that the current method of collection causes high stress. High
mortality and premature abortion are reported in many hatcheries. The major constraint to hatchery
production is the temperature. Salinity is ideal between the months of November to April, but without
heaters, November to January production, is considered to be too cold.
Total production of hatchery PL’s is estimated to be 1,360 M. Each plant produces around 28 M PLs
per cycle. One tank holds 30,000 PL, each tank holds 30 t of water. One mother produces 7-8,000.
Production capacity is estimated at 4,000 M. Total annual demand is 3,000 M.
The cost of
production ranges from Tk 100 to Tk 270 /1000. High costs include high price of feed (brine shrimp
cysts) and the use of antibiotics. Transport costs are also high (Tk 54 / 1000). Air freight is used for
hatchery produced PL as it reduces mortality significantly.
PL production from hatcheries has already surpassed the existing demand in the market as of 2001.
Wild collection has reportedly fallen drastically this year. Marketing of hatchery PL is stabilizing in
the field gradually. Presently, more than 50% farmers were found stocking hatchery PL while
stocking from wild source was decreasing rapidly.
Prices of wild caught PL are marginally above hatchery produced PL.
historically been created for three reasons:
Price differences have
(a) Wild caught PL is perceived as more robust and has a lower mortality rate and can command a
higher premium.
(b) Hatchery produced PL is associated with the perception of a higher likelihood of contracting
white spot virus (WSV). This is largely because the outbreak of the WSV was associated with
(imported) hatchery produced PL
(c) Hatcheries and wholesalers deliberately reducing the supply of hatchery produced PL against the
background of a shortage in supply so as to force an upward shift in the market.
Hatchery PL is supplied at 12-15 days, whereas wild PL is supplied at between 15-25 days. Usually
wild caught PL is stocked by remote farmers while hatchery produced PL increasingly popular in the
farms with better transportation network - thus both improved communication networks and farmer
co-ordination will favour the use of hatchery-produced PLs over the long-term. The proportion of
wild and hatchery PL stocked is narrowing, partially because despite the high mortality rate of
hatchery PL against wild PL, the prices are marginally lower. Equally, nursery ponds have in some
cases reduced the mortality levels traditionally associated with hatchery PL. Wild PL is largely
available throughout the year, whereas hatchery PL is available only during early February to mid
May, those who stock early, depend on wild PL. Farmers are still unaware of the demerits of early
stocking, particularly during November to mid February because of cold weather and experience high
mortality which is usually attributed to ‘disease’.
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Shrimp Production
There are two systems in operation: extensive gher culture, which is used to produce marine and
brackish water species, referred to as bagda culture; and fresh water gher / pond culture used to
produce golda. There are an estimated 37,397 (in 2002) farms culturing marine and brackish water
species (P. monodon, M. monoceros, P. indicus, P. semisulcatus and P. merguinensis), with a further
105,000 vi farms producing Macrobrachium rosenbergii.
Farm management practices are of two types, extensive and improved extensive culture system. There
are presently no semi-intensive farms in operation anymore. Attempts to evolve farms into a semiintensive system took place in Cox’s Bazar in the early 1990s. There were 37 semi-intensive farms
covering an area of 218 ha. The farms are no longer under semi intensive culture following the
outbreak of White Spot Disease in P. monodon from 1994 onwards.
Most farms lie within Polders. The average farm size has been reducing graduallyvii with farmers
surrendering leasesviii and small holders dividing large ponds into ghers. Inside TFP polders, 93% of
total farms are below 10 ha (average 3.8 ha as per BCAS census 2000) while in general for the four
coastal districts about 80% of total farms fall under 7.5 ha. This contrasts with DOF 1998 data
showing average bagda farm size of 9.5 ha. All farms lie within the intertidal zone with the tidal
range varying between 1 and 2. 5 m. Only a very small minority of the farms use low-lift pumps to
access water from canals.
Most of the farms (80%) are operated by their owners. The remaining 20% or so are tenant operators
leasing in land from local as well as absentee owners of private shrimp landix.
The distinctions between the Khulna district and Cox’s Bazar are the type of rotation, salinity and the
average size of farm. Khulna farms largely alternate between shrimp and rice, the exception being
Satkhira where the majority of farms are exclusively dedicated to shrimp production. Farms in Cox’s
Bazar alternate between shrimp and salt. This differential is attributed to seasonal variations in
salinity. Those within a close proximity to the sea and with a greater distance from the key river
systems of the Madhamati, and the Atharabanki and Pusur tributaries, remain in shrimp production for
much longer. Where river salinity is high all year round, shrimp is cultured almost perennially. Such
farms are found in Syamnager, Koira and Assuni thanas in the southwest, and Teknaf, Maheshkhali
and Cox’s Bazar in the southeast.
PL stocking practice varies area wise. In Satkhira, Khulna and Bagerhat major stocking takes place
after February with production extending to July while in Cox’s Bazar majority start stocking during
winter months, May, with production extending to March. Stocking continues in several instalments,
usually each month.
The average stocking rate is 1.6 PL per square meter (15,808 PL/ha – around 15,000 PL/ha) while
large number of farmers were stocking about 3 PL per square meters (29,640 PL/ha – around 30,000
PL/ha). Farmers were stocking both wild and hatchery PL almost in equal proportion in year 2000.
However, the dependency on wild caught PL increased in 2001 as a result of deliberate attempts by
the Hatchery owners to wind down production in order to increase the price of their product. The
average PL price from wild source was Tk 0.86 PL (Tk 860/100PL) while for hatchery source it was
Tk 0.74 per PL (Tk 740/1000PL). Wild PL is sold at 12% above the price hatchery produced PL.
Per ha bagda (P. monodon) shrimp production averages 197 kg / ha. with a distinct variation between
the four key districts (Khulna 199 kg, Bagerhat 188 kg, Satkhira 159 kg and Cox’s Bazar 216 kg per
hectare). Most farms produce two crops per year. The production of other shrimp and finfish was also
higher in Satkhira and lowest in the Khulna district.
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Markets for Bangladeshi Shrimp
North America represents the largest market for shrimp exports from Bangladesh (see Figure 1) where
Bangladesh is (after Thailand, Ecuador, India, Indonesia and Mexico) one of the main suppliers.
Bangladesh is also an important importer into the European market where it is the fourth most
important supplier after Ecuador, Thailand and India.
No rth
A m e Imports
ric a n of
ImFarmed
p o rtsShrimp
o f F(1999)
a rm e d S h rim p , 1 9 9 9
Figure 1: North
American
200000
150000
T on n es
100000
50000
a
m
nd
V
In
T
ie
ha
tN
i la
ic
o
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in
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a
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E u Im p o r t s o f F a r m e d S h r im p , 1 9 9 9
Figure 2: EU Imports of Farmed Shrimp
60000
40000
Tonnes
20000
m
la
a
N
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V
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T
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1.2.3
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Overview of Issues and Concerns
As the shrimp farming industry has expanded, there have inevitably been issues regarding the way the
sector performs as well as conflicts with other coastal users over the sharing of, and access to,
common resources. In broad terms, these issues can be segregated into three main areas, (i) quality,
(ii) sustainability and (iii) other environmental and socio-economic issues. An overview of these
issues is provided below with a more detail analysis of the local context in the subsequent sections.
Issue
Concerns and conflicts
Bangladesh perspective
Quality
Hatchery: PL health, viability
and condition
Disease status a primary concern. Viability perceived as
lower than wild-caught PLs. Lack of traceability reduces
farmer confidence.
Grow-out: health, chemical
contamination and condition
Chemical and therapeutants use low but unregulated. Low
stocking densities potentially advantageous but at risk from
poor husbandry practices. Most current quality problems
are post-harvest.
Hatchery: dependence on wildcaught broodstock.
Broodstock entirely dependent on wild-caught animals P. monodon stocks in sharp decline due to trawler activity.
Grow-out: dependence on
wild-caught PLs, consumption
of land and water
Currently 35-40% usage of wild PLs, but declining. Land
availability largely restricted to polder areas. Water
consumption restricted by balance with polder agriculture
needs. Effluent quality good but poor water flow
management increase disease risk.
Hatchery: broodstock capture
by-catch.
Key stocks impacted by trawl fishery - broodstock still
mainly captured by trawlers, not targeted fishery.
Grow-out: PL capture bycatch, soil salination and other
conflicts with agriculture.
PL collection associated biodiversity loss high, esp. in SW.
Soil salination also problem although unquantified.
Conflicts over transition to wet season paddy cropping.
Sustainability
Other
environmental
issues
Quality
Reflects the viability and value of the shrimp at different stages in the farming cycle. At the hatchery
stage, the main quality concerns are over the disease status of the broodstock and post-larvae as well
as their overall quality in terms of consistency in survivability, size, species composition etc. Some
elements can be certified directly (i.e. presence of disease though PCR / dot blot testing) whilst others
can be assured though certification of overall quality management systems.
During grow-out the quality of shrimp can be influenced through both direct therapeutants use (i.e.
anti-fungal agents and antibiotics) as well as the external use of pond preparation reagents and other
agro-chemicals. Other aspects of grow-out husbandry, such as stocking rates, water management,
feeding strategies and harvesting practises will also influence quality of the harvested product. Postharvest issues are also important, but are outside the scope of this study (see Section 1.1.1).
Sustainability
Refers to the long-term viability of the industry in terms of resource utilisation and consumption.
Mainly an issue at the grow-out stage where the availability of local resources such as land, water and
labour may be finite. This is not confined to the farming area, since demand for external inputs such
as seed supply, fertilisers and feed may have implications for the regional or even global supplies.
Other environmental and socio-economic issues
These may not influence the sustainability of the shrimp farming industry itself but reflects the impact
of shrimp farming on the surrounding coastal environment and its users. Issues are varied but include
the impact of trawling for broodstock on benthic productivity and other organisms (e.g. turtles), the
biodiversity loss through wild PL collection by-catch as well as the salination of land and other
conflicts with coastal agriculture, the use of exotic organisms as well as socio-economic impacts.
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1.2.4
078-BGD
Potential Role of Certification
Certification is a process by which the condition and/or quality of a product / process is verified
through inspection or assessment. The purpose of certification is to provide both the purchaser and
the consumer assurance that that product meets certain minimum standards or criteria.
It is evident that the introduction of certification and quality assurance into the Bangladesh shrimp
farming industry could provide a potential solution to the many levels of uncertainty that currently
abound. In particular, and the specific focus of this report, is the lack of confidence in hatcherysourced supplies of post-larvae where an assured supply of high quality, disease-free PLs would
release the sector from one of the main limitations to its growth. Equally it would probably sound the
death knell for the continued widespread use of wild-caught PLs.
Certification also offers considerable a value-adding opportunity to the production sub-sector. Whilst
the more developed shrimp farming industries of Thailand and South America are developing ‘best
management practices’ (BMPs) in response to rising environmental awareness of the potential
damage from intensive and semi-intensive production, there is a niche for ‘organic’ production
practices that may suit the low farming intensity and the scarce chemical use in Bangladesh, despite
the present dependence upon wild PLs / broodstock and the poor regulation of input use
1.2.5
Certification in Bangladesh
The national body responsible for the setting of standards and their certification is the Bangladesh
Standards and Testing Institute (BSTI). BSTI is an autonomous body under the Ministry of Industries
and functions under direction from the ‘Bangladesh Standard Testing Institute Ordinance No. 37/85
(1985). At present standards have been developed for 131 commodities, including 49 agriculture and
food products, but as yet no fisheries produce. The Department of Fisheries implements the ‘Fish and
Fish Product (Inspection and Quality Control) Ordinance (1983) that empowers them to regulate eh
quality and specifications of fish and fish products as well as the ability to register and licence fish
processing facilities.
BSTI are currently considering whether to adopt the FAO/WHO Codex Alimentarius for Fish and
Fish Products. To examine this, BSTI have convened a committee (the ‘Fish and Fish Products
Sectional Committee’) with representatives from the Department of Fisheries, the Bangladesh
Agricultural University, Bangladesh Council of Scientific and Industrial Research Laboratories, the
Export Promotion Bureau, the Sugar and Foods Industries Corporation and the Frozen Food Exporters
Association.
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078-BGD
CERTIFICATION MECHANISMS
A number of different mechanisms can be used for certification in aquaculture. Each have their own
merits and their appropriateness depends upon the degree of self-regulation involved and a balance of
cost-efficiencies (see Table 3 overleaf).
Quality Assurance Programmes (QAP): standards can be developed that set levels of quality and
quality management. These standards can be based on measurable criteria, hazard assessment and
critical control points (HACCP) or the utilisation of quality management systems (esp. documentation
that ensures traceability) or a combination of all three approaches. Their overall effectiveness, low
cost and relative ease of implementation deem them the best strategies for immediate incorporation
into the procedures manuals for hatcheries, farms and processors. The greatest impact is at the
hatchery level and therefore, the greatest emphasis should be placed on implementation of programs
aimed at quality assurance with regards to brood animals, nauplii and post-larvae shrimp. QAP for
diagnostic laboratories is also needed to insure that they are useful tools in the control of disease
transmission. Standardisation of techniques and training of personnel in molecular biology are the
most immediate needs, however, training in all areas of pathology and a general standardisation of
techniques are recommended.
There should be a continuous process of development of Codes of Conduct and Codes of Practice
based on the FAO Code of Conduct for Responsible Fisheries, Chapter IX Aquaculture. The most
logical sequence would be the low-cost development and implementation of Codes of Conduct,
which serve to raise levels of awareness. Further development would lead to the design and
implementation of Codes of Practice beginning with self-evaluation but leading eventually to
externally audited codes. The latter would potentially have greater impact but would require more
time and money to implement.
National reference pathology laboratories should be established to assure the quality of the local
private labs in any country. These national reference labs would work with regional reference labs and
with the existing OIE (Office International des Épizooties) reference laboratories.
Import Risk Analysis appears to be an important tool in the control of disease transmission, but it is
expensive and more difficult to implement than several of the other measures. Work is currently being
initiated to define criteria, trade issues and regional or inter-regional issues related to IRAs now, in
order to permit their harmonization across countries and regions and their implementation at the
earliest possible opportunity.
Environmental Impact Assessments (EIA) are good tools for the prevention of diseases. They are
most effective when they take into account the type of culture system used and its specific
requirements as they relate to the environment. All EIA's should directly address the disease
transmission issue, especially when considering the source of broodstock, nauplii and post-larvae
shrimp. In Bangladesh there has been no systematic application of EIAs in the aquaculture industry –
this should be introduced over time through a screening process that ensures the larger and/or more
intensive ventures (inc. hatcheries) take environmental issues into account during design, construction
and operation. Allied to this process is the need for either group assessment or regional EIAs to
prevent the ‘creeping’ development of poorly planned small-holder aquaculture. This process must be
Government led – previous experience has shown that the screening process might be undertaken by
DoF with the actual EIA review process led by the Department of Environment with multi-sectoral
representation (see Huntington and Dixon, 1997 for a working example).
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Table 3: Evaluation of Mechanisms for Certification of Aquaculture
System
Codes of
Conduct
Quality
Assurance
CoP (Selfevaluated)
Attribute
Success
Cost
Practicality
Success
Cost
Practicality
Success
Cost
Practicality
Success
CoP (Externally
Cost
audited)
Practicality
Import Risk
Analysis
Environmental
Impact
Assessment
Success
Cost
Practicality
Success
Cost
Practicality
Production
Hatcheries
Farm
3
5
5
5
3
4
3
4
4
4
2
3
5
2
3
4
1
4
Suppliers
Processor
4
5
2
5
4
2
4
3
1
5
2
1
5
2
1
4
1
4
3
5
5
5
1
5
4
3
4
5
2
4
5
2
4
5
2
4
Sub-total
10
15
12
15
8
11
11
10
9
14
6
8
15
6
8
13
4
12
Feed
4
5
4
5
1
4
4
4
4
5
3
4
5
2
4
N/A
4
4
Totals
Consulting Chemicals Laboratory
4
5
4
5
N/A
N/A
4
5
4
5
4
4
4
3
4
5
2
4
5
2
4
N/A
4
5
5
5
5
5
1
5
4
4
4
5
2
4
N/A
4
4
N/A
N/A
5
Sub-total
17
15
13
20
6
13
16
11
12
20
7
12
10
8
12
8
14
Attribute
27
30
25
35
14
24
27
21
21
34
13
20
25
14
20
13
12
26
System
82
73
69
67
59
51
Ranking: 1 - low and 5 high
Notes: Farm production is considered to be extensive
Source: Adapted from WB/NACA/WWF/FAO (2001)
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2
078-BGD
SUSTAINABLE MANAGEMENT OF WILD SHRIMP FISHERIES
2.1
AIMS AND OBJECTIVES
The Bangladesh shrimp farming industry is, as are most SE Asian countries, dependant upon wild
broodstock for use in the hatcheries. This, when combined with the other fisheries for shrimp at
various stages in their lifestyle, but further pressure on an already over-exploited stock. The whole
subject of shrimp fisheries management requires to be addressed substantially in its own right and is
far beyond the scope of this present study. The purpose of this study component is therefore to briefly
examine the dynamics of this fishery and identify key the constraints and issues for the long-term
development of a sustainable shrimp farming industry. In particular, a focus on a number of
particular aspects was made:
 The nature of broodstock collection and recommendations for their improvement
 The status of the stock and its potential for certification as sustainable
2.2
2.2.1
THE STOCKS AND THEIR FISHERY
Stocks
Despite the economic importance of the wild shrimp fishery, there is little recent information on the
stock and its status. The last detailed surveys were last conducted in the middle 1980’s with little
follow-up work since then. Based on this work various estimates have been made of the stock, with
Khan et al. (1989) calculating
an
annual
harvestable
penaeid shrimp stock of
around 7,000 – 8,000 mt.
Since then the standing stock
has been estimated at around
6,500 mt with a maximum
sustainable yield (MSY) of
3,500 mt (Khan, pers.
comm.).
Management of the shrimp
stock is proportionally weak
to the information base. The
trawl fishery is supposed not
to fish in waters <40 m, but
this is increasingly flouted as
boats transfer effort from the
depleted P. monodon stocks
(which inhabit the deeper
water of 30-80 m) to P.
indicus in 20-30 m water
depth. Other measures, such
as the use of minimum mesh sizes (45 mm), minimum sizes (40 mm standard length) and the use of
turtle exclusion devices (TEDs) are also widely disregarded. There is a closed season of 1 month
(mid December – Mid-January) which was downgraded from an original 3 month closure as
recommended by fisheries scientists. It has been recommended that effort is reduced by 30-40%
immediately but all structural measures to do so have received fierce resistance from the powerful
trawler lobby.
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Fishery
Commercial fisheries
Trawlers: The main adult stock mainly situated in the eastern side to the Bay of Bengal. These are
targeted by the industrial fleet that is mainly based in Chittagong. There are 45 active vessels with an
estimated 750 crew, 350 officers and 1,000 support staff 1working 10-12 months a year, depending
upon the weather conditions. The main trawl grounds are in waters 30-80 metres in depth, although
legally they are restricted to waters <40m. The shrimp trawlers target three principal varieties of
shrimp: Penaeus monodon, P. indicus, Metapenaeus monoceros (brown shrimp) and also pink shrimp
to some degree. In 2000/2001, catches for each species were 206 mt, 189 mt, 1,899 mt and 879 mt
respectively. The vessels’ dependence on P. monodon as a proportion of the total has ranged from
5.6% (1999-2000) to 18.8 % (1991-92), with the trend showing a long term reduction in catch for this
species as a proportion of the total. There is evidence of a decrease in the CPUE of the trawl fishery.
There are however some annual fluctuations due presumably to good year or bad year classes. The
Marine Fisheries Ordinance, 1983, requires that these vessels fish outside the 40 m depth contour.
The trawler owners took out an injunction against this rule (along with the application of Turtle
Excluder Devices, TEDs). By-catches in this fishery are high with estimates ranging from 35,000 mt.
to 45,000 mt (Khan 1985, 1993) where only 10% is retained and 90% is discarded. There are no bycatch reduction devices required by law. Whilst the number of trawlers has remained constant over
the past 10 years, 10 more shrimp trawlers are expected to enter the fleet.
Marine set bag nets (MSBNs): MSBNs are used by mechanised fishing vessels that operate in deep
water (15-30 m). There are an estimated 15,000 nets in use. Fishing takes place between September
and March and catches comprise 2,095 mt of shrimp and 6,708 mt of other species.
Artisanal fisheries
Estuarine Set Bagnets (ESBNs): ESBNs are used by non-mechanised fishing vessels or from the
shore, operating in the creeks, canals and river estuaries throughout Bangladesh. There were an
estimated 12,560 fishing gears deployed in the fishery as of mid-eighties (Rahman 1999), but the
number of nets and vessels currently deployed is unknown but may have significantly increased. The
main species caught by this method are Acetes shrimp, penaeid shrimp, Bombay duck, hairtail,
croaker, crabs, anchovy etc. Except for some of the estuarine species, all other species in the catch fall
under juvenile forms. In 1990 the total catch from the ESBN fishery was reported to be 75,313 t
(Islam et al 1993). Current estimates based on the Fisheries Sector Review suggest that catches may
be around half this in number. 26% of the catch comprises of shrimps totalling around 25 mt in 1999
– 2000. The fishery has very poor selectivity and is highly damaging to the state of migratory coastal
and estuarine species. ESBNs are operated year round, depending upon weather conditions.
Trammel nets are used by a small number of non-mechanised fishing vessels. The nets operate in
depths of between 5 - 15 m. Whilst fishing activity takes place throughout the year, the important
fishing period is between August and February. The main species catch for this method are adult
penaeid shrimps particularly tiger and white shrimps rather than finfish. Over 1999 – 2000 the catch
of Penaeid shrimps was estimated to be 755 mt.
Shrimp fry collection: there are 443,000 fishers dependent on fry collecting - this activity is seasonal
(Feb-July) and equates to a full-time equivalent of 185,000 fishers. Fry collectors use different
fishing gears to catch PL in the estuaries and beaches throughout the coastline. The fishery began with
the introduction of the coastal shrimp culture in Bangladesh. Since its inception, the fishery has grown
very rapidly and is continually growing. To date, production has reached about 2-3 million P.
monodon. Of the other penaeid shrimps, Penaeus indicus and Metapenaeus monoceros, the frequency
of catches in PL collection is particularly high for Penaeus indicus (80% of the total by number), but
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this species is largely discarded. In addition to this fishery, a further 400,000 PL comprise
Macrobrachium rosenbergii. This species is largely collected in the rivers and river estuariesx.
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Use in Aquaculture
The use of wild shrimp in aquaculture is two-fold (i) the use of mother shrimp as spawners in
hatcheries and (ii) the use of PLs in the grow-out ponds.
Broodstock
All hatchery produced PLs are reared from wild caught broodstock – there are no hatchery-bred
broodstock or domesticated lines. During the mid 1990s when there were only 3-4 hatcheries, the
Department of Fisheries provided mother shrimp through a specialised vessel which conducted short
trawling runs (c. 1 hour) that provided high quality animals. With the increase in demand, the
majority of mother shrimp are caught by commercial trawlers who trawl for 4-8 hours with resultant
high levels of mortality / egg loss, often exceeding 90%. There are now around five commercial boats
(represented by 3 agents) who specialise in broodstock supply, coming near to shore and offloading
into speedboats and delivering to hatchery. Broodstock spawners are collected over Feb – mid April.
From early April the fecundity and the viability of the eggs drops and mother shrimp are rarely caught
after the end of April.
Wild Post-larvae Collection
As described above, between 2-3 million PL are collected annually for supply direct to the grow-out
sector. This collection, together with its livelihood dependencies and ecological consequences are
described separately as part of the Fry Collection Action Plan, and will not be repeated here.
However, there are a number of key characteristics and issues which are relevant and are summarised
below:

Whilst the effort in concentrated in the SW region, the yields are low and by-catch high

Over three-quarters of wild PL are caught in the east and transferred to the SW grow-out areas by
truck.

The seasonal availability of wild PLs is wider than that of the hatcheries (PLs are still being
caught in late July when all the hatcheries have closed down).

Most farmers still prefer wild PLs due to the current lower risk of disease and a perceived but
largely unproven increased viability.
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2.3.1
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OPPORTUNITIES AND CONSTRAINTS FOR IMPROVED MANAGEMENT AND
CERTIFICATION
Certification of the Wild Shrimp Fishery
With the introduction of the FAO Code of Conduct for Responsible Fisheries, a framework for
potential certification of capture fisheries as ‘well managed and sustainable exists’. This has attracted
considerable interest from retailers in Europe and the USA as consumers become more aware of the
vulnerability of fish stocks to over-exploitation and the potential damage to marine ecosystems from
indiscriminate fishing methods. To date the only wild fisheries certification scheme that has become
established in the market place is that of the Marine Stewardship Council (see http://www.msc.org for
details), which has to date certified seven fisheriesxi. Three basic principles have been established,
against
which
the
fishery
will
go
against
a
detailed
evaluation
(see
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Table 4 for detailed principles and criteria):
 Principle 1: A fishery must be conducted in a manner that does not lead to over-fishing or
depletion of the exploited populations and, for those populations that are depleted, the fishery
must be conducted in a manner that demonstrably leads to their recovery.
 Principle 2: Fishing operations should allow for the maintenance of the structure, productivity,
function and diversity of the ecosystem (including habitat and associated dependent and
ecologically related species) on which the fishery depends.
 Principle 3: The fishery is subject to an effective management system that respects local,
national and international laws and standards and incorporates institutional and operational
frameworks that require use of the resource to be responsible and sustainable.
A brief and admittedly subjective analysis has been carried out for marine and coastal wild shrimp
fishery in Bangladesh (see Table 5 on page 20). From this, it is obvious that the fishery is neither
sustainably exploited nor effectively managed. As such it is not a potential candidate for certification
for the foreseeable future. In reality the fishery is more in danger of collapse if the currently level of
recruitment and growth over-fishing continues to occur.
2.3.2
Code of Conduct for Wild Shrimp Broodstock Collection
Although certification of the wild shrimp fishery is not an option, the preparation of ‘codes of
conduct’ for the collection of broodstock for hatchery use is an alternative, short-term option. Codes
of Conduct are a voluntary series of guidelines for practitioners that can be reinforced though
awareness building. They can also provide the basis for principles and criteria against which the
process can be certified.
It is beyond this study to prepare detailed criteria, but it is suggested that the following basic elements
be considered:
1.
Use of passive (i.e. not trawling) methods of collection such as trammel netting.
2.
Where trawlers are still used, adopt good practises such as (i) short trawl periods with frequent
gear recovery to maximise shrimp survival, (ii) use of low-power vessels / tow speeds and (iii)
use of specialise nets that minimise trauma and limb loss.
3.
Use of aerated seawater holding tanks of an appropriate design to reduce post-capture stress
(i.e. temperature acclimatisation, dark-coloured walls)
4.
A local fisheries management plan for broodstock collection should be developed, including
appropriate seasonal and geographic restrictions, other effort and gear restrictions or criteria
and if appropriate, the development of a quota system.
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Table 4: MSC Principles and Criteria for Sustainable Fishing
Principle
Intent
Criteria
Principle 1: A fishery
must be conducted in a
manner that does not lead
to over-fishing or
depletion of the exploited
populations and, for those
populations that are
depleted, the fishery must
be conducted in a manner
that demonstrably leads
to their recovery.
The intent of this
principle is to ensure
that the productive
capacities of resources
are maintained at high
levels and are not
sacrificed in favour of
short term interests.
1. The fishery shall be conducted at catch levels that maintain the
high productivity of the target population(s) and associated
ecological community relative to its potential productivity.
Principle 2: Fishing
operations should allow
for the maintenance of
the structure,
productivity, function and
diversity of the
ecosystem (including
habitat and associated
dependent and
ecologically related
species) on which the
fishery depends.
The intent of this
principle is to
encourage the
management of
fisheries from an
ecosystem perspective
under a system designed
to assess and restrain
the impacts of the
fishery on the
ecosystem.
Principle 3: The fishery is
subject to an effective
management system that
respects local, national
and international laws
and standards and
incorporates institutional
and operational
frameworks that require
use of the resource to be
responsible and
sustainable.
The intent of this
principle is to ensure
that there is an
institutional and
operational framework
for implementing
Principles 1 and 2,
appropriate to the size
and scale of the fishery.
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2. Where the exploited populations are depleted, the fishery will
be executed such that recovery and rebuilding is allowed to occur to
a specified level consistent with the precautionary approach and the
ability of the populations to produce long-term potential yields
within a specified time frame.
3. Fishing is conducted in a manner that does not alter the age or
genetic structure or sex composition to a degree that impairs
reproductive capacity.
4. The fishery is conducted in a way that maintains natural
functional relationships among species and should not lead to
trophic cascades or ecosystem state changes.
5. The fishery is conducted in a manner that does not threaten
biological diversity at the genetic, species or population levels and
avoids or minimises mortality of, or injuries to endangered,
threatened or protected species.
6. Where exploited populations are depleted, the fishery will be
executed such that recovery and rebuilding is allowed to occur to a
specified level within specified time frames, consistent with the
precautionary approach and considering the ability of the population
to produce long-term potential yields.
A. Management System Criteria. The management system shall:
7. demonstrate clear long-term objectives consistent with MSC
Principles and Criteria and contain a consultative process;
8. be appropriate to the cultural context, scale and intensity of the
fishery;
9. observe the legal & customary rights and long term interests of
people dependent on fishing for food and livelihood, in a manner
consistent with ecological sustainability;
10. incorporates an appropriate mechanism for the resolution of
disputes arising within the system;
11. provide economic and social incentives that contribute to
sustainable fishing and shall not operate with subsidies that
contribute to unsustainable fishing;
12. act in a timely and adaptive fashion on the basis of the best
available information using a precautionary approach;
13. incorporate a research plan that addresses the information
needs of management;;
14. require that assessments of the biological status of the resource
and impacts of the fishery have been and are periodically conducted;
15. specify measures and strategies that demonstrably control the
degree of exploitation of the resource,
B. Operational Criteria. Fishing operation shall:
16. make use of fishing gear and practices designed to avoid the
capture of non-target species; minimise mortality of this catch, and
reduce discards of what cannot be released alive;
17. implement appropriate fishing methods designed to minimise
adverse impacts on sensitive habitats;
18. not use destructive fishing practices such as fishing with
poisons or explosives;
19. minimise operational waste such as lost fishing gear, oil spills,
on-board spoilage of catch, etc.;
20. be conducted in compliance with the fishery management
system and all legal and administrative requirements; and
21. assist and co-operate with management authorities in the
collection of information of importance to effective management of
the resources and the fishery.
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Principle 3
Principle 2
Principle 1
Table 5: Performance of the Wild Shrimp Fishery Against the MSC Principles and Criteria for
Sustainable Fishing
Criteria
Wild Shrimp Fishery in Bangladesh
1.
The fishery shall be conducted at sustainable catch levels
1.
Heavily over-exploited
2.
Where the exploited populations are depleted, rebuilding is
allowed to occur
2.
Capacity is still increasing
3.
Fishing targeted at all life stages (larval
and post-larval, juvenile & adult)
3.
Fishing is conducted in a manner that does not impair
reproductive capacity.
4.
The fishery is conducted in a way that maintains natural
functional relationships.
4.
Trawling may cause damage to seabed
and alter trophic structures
5.
The fishery is conducted in a manner that does not threaten
biological diversity.
5.
ESBN and PL collection has strong bycatch implications
6.
For exploited populations, the fishery will be executed such
that recovery and rebuilding is allowed.
6.
Capacity is still increasing
Management System Criteria. The management system shall:
Management System Criteria
7.
Demonstrate clear long-term objectives consistent with MSC
Principles and Criteria and contain a consultative process;
7.
Consultation for management decisionmaking limited
8.
Be appropriate to the cultural context, scale and intensity of the
fishery;
8.
Needs greater livelihood focus, esp. to
resolve PL collector issue
9.
Observe the legal & customary rights and long term interests of
people dependent on fishing for food and livelihood, in a
manner consistent with ecological sustainability;
9.
Conflict between PL collectors
(vulnerability) and their by-catch
impact (biodiversity)
10. Incorporates an appropriate mechanism for the resolution of
disputes arising within the system;
10.
Limited ability for vulnerable
stakeholders to raise concerns
11. Provide economic and social incentives that contribute to
sustainable fishing and shall not operate with subsidies that
contribute to unsustainable fishing;
11.
Strong trawler owner lobby resists
structural changes and unconcerned
about downstream ecological impacts
12. Act in a timely and adaptive fashion on the basis of the best
available information using a precautionary approach;
12.
Decision-making slow and constrained
by trawler lobby.
13. Incorporate a research plan that addresses the information
needs of management;
13.
Poor research planning and
implementation abilities
14. Require that assessments of the biological status of the resource
and impacts of the fishery have been and are periodically
conducted;
14.
Stock assessment information over 15
years old with little catch-related data
available
15. Specify measures and strategies that demonstrably control the
degree of exploitation of the resource,
15.
Currently level of exploitation not
monitored and largely unknown
Operational Criteria. Fishing operation shall:
Operational Criteria. Fishing operation shall:
16. make use of fishing gear and practices designed to avoid the
capture of non-target species; minimise mortality of this catch,
and reduce discards of what cannot be released alive;
16.
Number of gears (MSBN, ESBN & PL
collection) non-specific with high level
of by-catch and discard
17. Implement appropriate fishing methods designed to minimise
adverse impacts on sensitive habitats;
17.
Trawlers destructive – other methods
have minimum impacts
18. Not use destructive fishing practices such as fishing with
poisons or explosives;
18.
Not considered an issue for the wild
shrimp fishery
19. Minimise operational waste such as lost fishing gear, oil spills,
on-board spoilage of catch, etc.;
19.
Industry mostly efficient, although
mothers shrimp mortality is high
20. Be conducted in compliance with the fishery management
system and all legal and administrative requirements; and
20.
High level of infringement: trawling in
<40m, ESBN use, mesh sizes, etc
21. Assist and co-operate with management authorities in the
collection of information of importance to effective
management of the resources and the fishery.
21.
Little co-operation required or given.
Observers on-board trawlers could
yield essential management data.
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078-BGD
CERTIFICATION OF SHRIMP HATCHERIES
3.1
AIMS AND OBJECTIVES
The aim of this study component is to identify the certification opportunities and constraints for
improving the quality of shrimp post larvae from Bangladesh shrimp hatcheries. The objective is to
establish a regulatory process that ensures a minimum level of performance by the hatchery sector
without overburdening it.
Two particular areas will be examined:
1. The establishment of standards and a process for the certification of post-larvae being sold by
hatcheries in terms of quality (esp. disease) and the establishment of a chain of custody to the
growers; and
2. The establishment of standards for hatchery process management and possible linkages with
the proposed registration of permitted hatcheries.
3.2
CURRENT STATUS AND ISSUES
3.2.1
The Hatchery Sub-sector
Commercial shrimp (P. monodon) hatchery operation is a relatively recent development in
Bangladesh (see Figure 3 below). There are now about 45 bagda shrimp hatcheries, 39 of them in
Cox’s Bazar (Teknaf, Ukhia and Kolatoli where there is good access to clean, saline water >28‰)
with others in Khulna (3), Satkhira (2) and Chittagong (1). The present production capacity is around
6 billion PLs although only 3.4 billion were actually produced over 2001. Despite this over-capacity
two more hatcheries are presently under construction in Ukhia – most commentators forecast a
rationalisation of the hatchery sector over the next few years with the less efficient ceasing to trade.
There are also 34 golda shrimp hatcheries scattered in different parts of the country.
No. of hatcheries
50
4
3.5
3
2.5
2
1.5
1
0.5
0
40
30
20
10
0
Up to
1997
1998
1999
2000
PL Production (billion)
Figure 3: Bagda Hatchery Development and Production 1997-2001
No. of
hatcheries
PL
Production
(billion)
2001
Year
The main hatchery operations are over late January to mid May with peak production over March to
April. The majority (i.e. c. 95%) transfer the shrimp PL from Cox’s Bazar to Jessore airport by cargo
plane and small trucks (c. 3 ton) then transfer the PL packed in styrofoam boxes to Khulna. Satkhira
and Bagerhat. PL are packed from midnight onwards in preparation for the early morning flights
(Cox’s Bazar airport only operates in daylight hours). It then requires 3 to 4 hours to reach those
district level markets and additional 2 to 4 hours to reach the grow out ponds depending on the
distance, types of transport used and road condition.
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Issues and Concerns
The issues are at two levels:
1. Post larvae quality assurance – the PL quality in terms of disease status and viability at the
point of sale to the growers; and
2. Quality management in hatchery processes – the high degree of variability amongst hatcheries
in terms of broodstock management, hatchery hygiene, control and use of chemicals and
therapeutants and process traceability.
Post larvae quality assurance
The slow uptake by the growers of hatchery produced PLs has been attributed to a number of reasons,
including a perceived greater risk of disease and lower post-stocking viability. It is possible that the
risk of disease from unscreened hatchery stock may be higher but this has never been tested and in
most cases there is limited ability to trace back to the hatchery of origin. Furthermore many
incidences of post-stocking mortality that are attributed to viral disease may have resulted from
secondary infections or simply poor husbandry. Regardless of these issues, many farmers simply seek
assurance that the hatchery-reared PLs are disease-free and of good health. Therefore a certifiable
screening programme could focus on the following:
 Disease - presence / absence of pathogens (viruses such as WSSV via PCR / dot blot / gross
histopathology, bacterial infections also can be determined via microscopy, lab’ culture and
observation).
 Age and size - evaluation of gill development and the life cycle stage
 Viability – stress testing, activity assessment and presence of deformities
 Nutritional status – ‘muscle to gut’ ratio and gut lipid content indicates quality of feed and health
A key issue regarding PL quality assurance is the lack of traceability in the existing system. With a
long and geographically disparate supply chain, often with any intermediaries, there is often little
incentive for hatcheries to ensure the disease free status of their produce. To maximise the benefits of
PL quality development and to maintain the value of a certification process, it will be necessary to
establish a ‘chain of custody’ that permits (i) identification of the certified product, (ii) that certified
and non-certified PLs cannot be mixed and (iii) a traceability system exists in the case of problems.
Using the polymerase chain reaction (PCR) method (see Box 1overleaf) to enhance and detect
pathogen DNA, it is now possible to screen shrimp post-larvae for several of the most important
pathogens. However, although many government and private sector diagnostic laboratories are
rapidly adopting this technique, there are a number of significant problems that need to be overcome.
These include technical issues related to good technique (avoidance of contaminant DNA), pathogen
detection (failure to detect due to small sample size), test specificity, and sensitivity, standardisation,
reliability, and lack of farmer confidence. An important consideration is the expense of the equipment
and reagents and cost-benefits must be closely examined.
Quality management in hatchery processes
The growers demand two key virtues from their seed suppliers: (i) a high quality, disease-free product
with strong viability and (ii) reliability in terms of availability and responsiveness to demand. The
first aspect can be largely covered by the seed screening process described above but is also
dependant upon the hatchery maintaining high standards of hygiene, biosecurity and process
management.
There is a wide variation in the quality of shrimp hatchery management within Bangladesh. This
stems from a number of reasons, including different levels of local and expatriate technical expertise
as well as differing investment objectives on behalf of the hatchery owners. Discussions with some of
the leading hatchery operators revealed a growing split within the Shrimp Hatchery Association of
Bangladesh (SHAB) and consider that only around 10-12 of the 45 hatcheries maintain reasonable
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standards of production whilst the others rely on the poor traceability and lack of on-farm disease
diagnosis to cover their poorer quality produce. This is one factor that has led to the breakdown of the
production quota system that SHAB operated over 2000 and 2001. As a result, many of the better
hatcheries are vocal supporters of a hatchery certification system as they consider this will provide
further credence to their claims and possibly lead to the demise of the poorer quality operators.
Box 1: The Polymerase Chain Reaction (PCR) Technique
PCR is a new technology for amplifying DNA. It selects a specific region of DNA on the
chromosome and through the use of primers, copying a particular segment many thousands of times.
It is possible to start from the DNA segment of a single cell and produce enough of it for use in DNA
typing or fingerprinting. There are three separate processes in the PCR technique:
1.
Extraction of the DNA for testing
2.
The polymerase chain reaction itself where the DNA is replicated in a thermocycler
3.
Isolation of the amplified DNA fragments using gel electrophoresis
The polymerase chain reaction is carried out in the same vial, but at different temperatures. The three
steps in polymerase chain reaction (separation of the strands, annealing the primer to the template, and
the synthesis of new strands) will take less than two minutes and the process can be carried out in the
same vial. At the end of a cycle, each piece of DNA in the vial has been duplicated. This cycle can be
repeated 30 or more times. Each newly synthesized DNA piece can act as a new template. After 30
cycles about a million copies of a single piece of DNA can be produced. Taking into account the time
it takes to change the temperature of the reaction vial, 1 million copies can be made in about three
hours. Nested PCR involves two consecutive PCR reactions where the first step amplification product
is used with nested primers.
Amplified DNA fragments can then be isolated or separated on the basis of size by a process of
electrophoresis, in which the fragments are drawn through a thin, flat gel by an electric potential that
spans the length of the gel. The gel matrix impedes the larger DNA fragments to a greater degree than
it does the smaller ones, and the fragments become distributed on the basis of size. At this point, DNA
can be made visible by bathing the gel in chemicals, making it (the location of DNA on the gel)
intensely fluorescent when irradiated with ultraviolet light. At this point the presence of viral DNA
can be assessed.
The entire PCR process takes around 5 hours to complete or more if the more sensitive ‘nested’ PCR
method is used.
A number of quality issues particularly affect hatchery production:
 Water quality – although the hatcheries were built in a DoF-defined zone that provided access to
good quality beach water, poor siting of outfalls and abstraction points have meant that the use of
contaminated water is a real possibility. The use of groundwater to increasingly dilute the
seawater as it increases in salinity over the production period may also cause problems – as the
rain-fed surface freshwater lens is becomes less available and the water hardness increases – this
has been linked to declining PL survival (Shahadat Hossain, pers. com.)
 Pathogen management and biosecurity – with the current absence of any disease screening
mechanisms, it is likely that WSSV infected broodstock enter the hatcheries undetected and so
pass the virus to the next generation (WSSV is vertically transmitted). There are also reports of
an unidentified disease affecting wild spawners later in the hatchery season (March/April)
causing up to 75% mortalities levels. Equally, the import of broodstock, nauplii or PLs from
outside Bangladesh provide an avenue of infection, especially for new diseases. It is thought that
the original WSSV virus came from contaminated stock from Thailand. Within the hatchery
poor hygiene and cleaning routines may result in the reinfection of new batches of animals.
 Production and sanitation – poor record-keeping and tracking of batches provides little
traceability through the hatchery system and may hinder disease management strategies.
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 Feed and nutrition – nutritional quality will vary around the quality of algal culture maintained
and the quality of there feeds fed. Poorer quality feeds from Taiwan have been reported to have
caused some problems and may even have been contaminated with pathogens although his has
never been substantiated. Many regional feeds do not have expiry dates and may well have
suffered from vitamin loss by the time they are used, especially if they are stored in conditions.
 Chemical and therapeutants usage – the widespread use of antibiotics is reported in Bangladesh
hatcheries. These include the banned antibiotics Chloramphenicol and Nitrofurans. It is
understood that their use is particularly high in hatcheries operated by expatriate technicians who
are often driven by high production targets that have to be met regardless of cost.
 Staff training and technical prowess – many of the local and expatriate staff (c. 80% from India)
running hatcheries have varying levels of experience and training. Motivation varies and has a
key impact on quality. Many of the expatriates are paid on productivity not cost-efficiency and
may over-use expensive therapeutants as a result. For instance, to treat a large hatchery at 4ppm
with Chloramphenicol will cost around Tk. 12,000. This, together with their own costs, can
increase the production costs from around poisha 8 per PL to poisha 25 per PL.
 Record keeping – although some hatcheries maintain some records of production, there is
insufficient information to allow traceability. It is this aspect that is key, especially in the case of
disease outbreak.
The Department of Fisheries is proposing a hatchery registration system to increase their ability to
monitor and if necessary, regulate hatchery production. This follows similar initiatives elsewhere in
the region (see Box 2 below).
Box 2: Hatchery Registration and Codes of Practise in Andhra Pradesh, India
With an annual loss of 15,000 mt of shrimp through disease worth 350 crore rupees, the Indian
Marine Products Export Development Authority (MPEDA) has instigated a hatchery registration
systems with the following elements:
 Over 200 hatcheries in Andhra Pradesh have already registered, which represents the majority of
the industry
 After registration MPEDA will visit each hatchery to assess the production facilities and ensure
that they meet certain standards (yet to be scheduled).
 Those hatcheries not attaining these standards may lose their registration and with it (i) their right
to financial assistance and (ii) their right to trade
 Every registered hatchery owner must provide an annual PL production report and details of
maintenance work done in the hatchery.
Such a registration scheme will benefit from a hatchery quality management standard. The purpose of
this standard will to (i) establish the minimum levels to which hatcheries should be permitted to
operate and (ii) provide higher levels of quality management goals to which hatchery operations
should aspire.
The main elements that should be covered by certification include:
 Water quality - pathogen contents, heavy metals, hardness, pH, salinity
 Water treatment and disinfection – chlorination, ultraviolet and ozone system installation and use
 Discharge treatment and monitoring – volumes of discharge and treatment methods (i.e.
sedimentation / oxygenation, mechanical filtration and biotreatment) and monitoring (e.g.
suspended solids, total nitrogen, total phosphorus and biological oxygen demand)
 Pathogen management – monitoring and biosecurity measures for viruses, Vibrio infections,
bacterial necrosis, fungal disease, protozoan fouling. Needs to be at different stages in the cycle
including broodstock, larvae and post larvae.
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 Production and sanitation – tank disinfection and cleaning routines (frequency and batch
management) and animal treatment (rinsing nauplii with clean seawater and use of iodine
compounds for external disinfection)
 Feed and nutrition – freshness, disease status, storage, batch cycling, etc.
 Chemical and therapeutants usage – monitoring antibiotics use - esp. banned Chloramphenicol
and Nitrofurans - as well as tetracycline, oxytetracycline, termycin, prefuran etc. Antibiotics are
currently used prophylactically with little control over use and dosages. Also different antibiotics
used with same batch when results are poor inducing resistance.
 Staff training and technical prowess – level of training and experience
 Record keeping – maintenance of records to establish (i) PL batch traceability and (ii) scheduled
maintenance, disinfection, (iii) chemical and therapeutants use, (iv) PL health and responsiveness
to treatment, (v) administrative quality control and (vi) staff administration.
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CERTIFICATION PROCESS
Having determined the need for standards for PL quality as well as hatchery quality management, a
process has to be defined and the appropriate institutional responsibilities identified. A proposed
process is outlined in Figure 4 below:
Figure 4: Hatcheries - Certification Process
Standard Scoping and Definition
Finalise scope of
certification
DoF
Shrimp Hatchery
Association of
Bangladesh
National Shrimp
Farmers
Association
Define standards
DoF / BCSIRL
Laboratory quality
control
Shrimp PL quality
Department of Fisheries
Bangladesh Council of
Scientific and Industrial
Research Laboratories
Hatchery Quality
Management
Department of Fisheries
Approval and Implementation
Approval of Standards
BSTI
Accreditation of
Certification Bodies
BSTI / MoFL
Implementation of
certification
Certification bodies
As can be seen from the figure above, the process will require a number of steps before a certification
programme can be implemented. This includes:
3.3.1
Standard Scoping and Definition
A key element of the process is the development of appropriate standards against which certification
can proceed. These standards will differ according to their purpose i.e.
1.
Shrimp quality: a limited set of qualitative criteria against which the health and viability of
spawners, nauplii or PLs can be measured (see Post larvae quality assurance, page 22). The key
stakeholders will be DoF, the Shrimp Hatchery Association of Bangladesh and the National Shrimp
Farmers Association.
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2.
Laboratory standards: with the introduction of PCR techniques, laboratory methodologies will
need to be standardised in order to ensure that results are broadly comparable and that similar
methodologies are being followed. This is particularly important as many of the private hatcheries are
likely to develop their own laboratories and will intend certifying their own, as well as other, shrimp
to hatcheries, nurseries and growers. A number of commentators have raised concern over the
application of PCR techniques as the results are highly dependant upon the sample size, test
specificity and protocol used. There would be merit in establishing a ‘reference laboratory’ that
would be responsible for developing a appropriate standard protocol for use in Bangladesh against
which the others would be developed. A possible candidate for his reference laboratory would be that
being developed in the proposed FAO Technical Assistance Project (TAP) project ‘Developing a
National Seed Certification System’ (see Box 3 below). Laboratory standards would be developed by
DoF in association with the Bangladesh Council of Scientific and Industrial Research Laboratories.
Consultation and active participation with the Regional Programme for the Development of Technical
Guidelines on Quarantine and Health Certification and Establishment of Information Systems, for the
Responsible Movement of Live Aquatic Animals in Asia (being implemented by FAO, NACA and
OIE) is also essential to ensure that regional laboratory and analysis protocols are being followed.
3.
Hatchery process quality management: this standard would probably combine a ‘Code of
Practise’ (CoP) with minimum standards for hatchery operation. The CoP would be voluntary whilst
the minimum standards would be mandatory and would be used to benchmark the minimum level
hatcheries would be allowed to retain Government registration. The CoP would need to be developed
with the hatchery industry, although technical assistance may be warranted in their development. The
scope of the CoP might include the areas covered on page 24.
Box 3: FAO TAP: Developing a National Seed Certification System
FAO is currently formulating a TCP project (i.e. immediate, short-term TA) to set up a national seed
certification system and thus develop a “functional and accountable relationship between the hatchery
operator and shrimp farmers”. The main element of this project, which will hopefully commence
towards the end of this year, are as follows:
 The main participants will be SHAB and the DoF
 A PCR-based laboratory will be established in the SHAB facilities in Cox’s Bazar.
 An extensive training programme will provide skills in laboratory design and operation,
equipment operation, sample collection and processing and the preparation of reports.
 A laboratory protocol will be developed to provide a screening process for spawners and
shrimp larval/PL stages (4 months international TA will be provided)
 Development of a “modality” for brood and seed certification
 Technical staff will be deputed from DoF (National Co-ordinator and three technical staff)
and SHAB (one senior technical person and three qualified technicians) who will be
supported with overseas training.
 A study on the impact of seed certification on wild PL collection
 The total cost of the programme will be about US$ 265,000
This project will be an essential first step in developing a national seed certification system.
However, we understand the focus is mainly on the development of a functional laboratory rather
than a certification system per se. We would therefore like to suggest the following:
i.
That the project considers the development of seed certification standards as a priority –
these should cover shrimp viability as well as simply disease screening
ii.
That the grower community and traders be involved in this standard definition
iii.
That the laboratory becomes established as the national ‘reference’ laboratory for shrimp
quality and health analysis.
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Standard Approval and Implementation
Standard Approval
The draft standards would need final approval from the Bangladesh Standards and Testing Institute
BSTI (see page 10) before they can become effective. For this reason, BSTI’s involvement in
standard development is essential. Once the standards have been finalised, they can be implemented
by the Government and their accredited representatives.
Implementation
Standards can be applied at different levels, depending upon the level of regulation, cost and
independence required. A proposed implementation is summarised in Table 6 and described in
further detail below.
Table 6: PL and Hatchery Certification Implementation Summary
Activity
Standard
Accreditation agency
Certification body
Shrimp health
assurance
Quality Assurance
Programme
MoFL/DoF
Accredited laboratories
Hatchery quality
assurance
Quality Assurance
Programme and
Codes of Practice
MoFL/DoF
DoF and/or accredited
third parties
Laboratory
quality assurance
Quality Assurance
Programme and
Code of Practise
Bangladesh Council of
Scientific and Industrial
Research / National
Reference Laboratory
BCSIR and their
accredited third parties
Shrimp health assurance: shrimp health (spawners, nauplii and PLs) will be certified by accredited
laboratories. It is expected that these laboratories will be established by the larger hatchery
companies as well as the Government under the FAO programme. Once the laboratory is accredited
(see below), it will then be able to issue health certificates that will carry a Government seal of
approval.
Hatchery quality assurance: hatchery quality assurance will be certified initially by Government
officials but may subsequently be conducted by accredited third party certification bodies such as
SGS. The approach will be through both the application of quality assurance targets (i.e. HACCP
and/or physical and administrative criteria) as well as Codes of Practice. It is likely that this will be
linked to hatchery registration – only those hatcheries that have a certified quality assurance
programme which demonstrates that they adhere to the ‘Code of Practice’ will be allowed to be
registered. The hatcheries would be audited when they apply for registration and periodically
thereafter.
Laboratory quality assurance: only certified laboratories would be allowed to issue certificates
carrying the approval that that laboratory has attained the standards set by the Government. These
laboratories would need to be accredited by a reputable organisation – this is suggested to be the
Bangladesh Council of Scientific and Industrial Research – who might also use accredited third party
auditors to ensure that standards are being maintained. The FAO project would establish a ‘National
Reference’ shrimp health laboratory which would be key in ensuring that standards are kept up-todate and refined in accordance to regional developments.
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Chain of Custody and Traceability
For many certified products it is necessary to develop a chain of custody for those products from
producer to final user to ensure that non-certified and certified material are segregated. For instance,
the Marine Stewardship Council (MSC) has a third-party certified chain of custody system to ensure
that only produce from their fisheries that are certified as sustainable carry the MSC logo.
Similarly it will be necessary to develop a chain of custody for certified spawners, nauplii and PLs –
without this the whole certification system may be rendered valueless. However given the logistical
complexity in the supply chain, especially the number of fry trading stages it may not be possible to
certify each stage of the chain of custody but simply to develop a system of traceability.
Traceability will have a number of advantages:
1. Buyers can be assured that the PLs being purchased are indeed certified as specific pathogen
free (SPF) to the standard claimed
2. In the case of a disease outbreak, the source can be quickly traced back and appropriate
quarantine steps taken
Traceability can be enables through a number of processes:
Certificates: when the laboratory conducts a test on a batch of shrimp, they should provide a
certificate that contains the following information:
 Date and time when tests were conducted
 The name and certification code for the laboratory
 Laboratory test batch number
 The names of the technicians who (i) undertook the tests and (ii) signed off on the final
certification
 The range of tests undertaken and the results
 Identification of the hatchery / nursery from where the samples were taken (inc. the hatchery
registration number if appropriate)
 Identification of the batch numbers from which the samples were taken
 Description of the animals tested (species, development stage and general condition)
Labelling: for each shipment of animals, the container(s) should be clearly labelled with the
following:
 Date and time of packing
 Number and total number of containers in the consignment (i.e. number 4 out of 7)
 Hatchery/nursery of origin (inc. registration code if appropriate)
 Original hatchery stock batch numbers
 Laboratory name and certification code
 Laboratory test batch number
 Scope of certification and summary of results
 Description of the animals tested (species, development stage and general condition)
Label production: labels should be clearly printed using water-resistant paper. Where possible they
should be laser-printed by the hatchery/nursery dispatching the animals to reduce the possibility of
unauthorised duplication.
Documentation: As a part of the laboratory and hatchery ‘Codes of Practice’, detailed documentation
on all animals tested or sold should be maintained. In particular batch numbers should be allocated
and any transfers recorded. Where consignments are divided appropriate sub-codes should be
assigned. Auditors should conduct random traceability tests to ensure that traceability is being
maintained.
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Financing and Cost Recovery
Many of the leading hatcheries are already setting up their own disease laboratories and are prepared
to invest heavily to ensure the quality of their seed and the long-term viability of the hatchery
industry. However many are looking to develop their own disease screening ability and is not aiming
specifically at contributing to a national seed certification system. The imposition of minimum
standards for both the PL production industry as well as the laboratories that enable this is an essential
national priority – therefore this may need Government financial assistance over the short-term. For
instance, in India MPEDA will subsidise 50% of the Rs. 12,00,000 (Tk 14,60,000 or US$ 90,000) cost
of setting up a PCR based laboratory. However over the longer-term the cost will need to be shared
between the hatchery operators and the farmers.
The costs of setting up a hatchery certification system are unlikely to be prohibitive. The FAO TAP
(see Box 3 on page 27) suggests that a national reference laboratory could be established for around
US$ 265,000, which includes funds for training and in-country technical assistance. ATDP consider
that a national ‘Seal of Quality’ could be maintained for the entire shrimp production sector (hatchery
through to processing) for an annual cost of between US$ 500,000 – 800,00 (Jim Dawson, pers.
comm.). This represents less than 0.3% of the total annual revenue earned by shrimp exports.
3.3.5
Timing
Further to the process given in Figure 4 above, a preliminary schedule for the introduction of shrimp
hatchery certification is provide in Figure 5 below. This indicates that a hatchery certification process
could be installed in time for the 2004 production season
Figure 5: Hatchery Certification Timeline
This schedule must be taken as highly provisional. A number of processes, such as the approval of
standards and accreditation of certifying bodies will inevitably undergo considerable Government
scrutiny which may involve delays. There may also be resistance from some of the less qualityconscious hatcheries - with the current level of over capacity it is inevitable that some will be forced
out when more rigorous regulation is introduced.
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4
078-BGD
CERTIFICATION OF SUSTAINABLE SHRIMP AQUACULTURE
4.1
AIMS AND OBJECTIVES
Despite its evident value to the national economy of Bangladesh, the shrimp farming industry has
suffered from a lack of guidance and regulation. This has resulted in a series of problems including
an unsuccessful attempt at semi-intensive farming and periodic quality issues that have blighted the
export industry and depressed the international prices of Bangladeshi shrimpxii. On the domestic side
quality issues also affect local consumers and there have been a number of environmental and social
issues associated with the development of coastal aquaculture.
The exists therefore an opportunity to provide a code of conduct for the industry that addresses some
of these issues (see below). The objective of this code would be provide growers with a guiding
framework for site selection and husbandry practices that would reflect Government policy objectives,
i.e. a sustainable industry that provides benefits for the nation the producers and improve the socioeconomic conditions of the coastal communities in which they operatexiii.
An additional avenue that this study investigated was the viability of adding export value to the crop
through ‘environmental’ certification. A number of different internationally recognised schemes,
both organic and non-organic, have been examined and their suitability for Bangladesh considered.
4.2
CURRENT ISSUES
Reviews of the current status of shrimp farming in Bangladesh together with the environmental and
social impacts have been covered by a large number of studies and reports including Siriwardena
(1999), the Fourth Fisheries Project (2000 to present). The GEF-funded component of the Fourth
Fisheries Project is currently conducting a study into the environmental sustainability issues of coastal
shrimp culture and should come up with recommendations towards a Code of Conduct by 2004.
4.2.1
Operational
Many of the characteristics of shrimp culture in Bangladesh are covered in Section 1.2.1 on page 5
and will not be repeated here. The main issues that have relevance to a code of conduct or
environmental certification are raised briefly below.
Seed supplies: between 50 and 60% of farms now stock hatchery-reared PLs – the remainder still use
wild caught animals. As discussed earlier in this report, hatchery-bred supplies are still regarded with
some suspicion in terms of their viability and resistance to disease.
Stocking: Many farms stock in January and suffer high mortality through inadequate water
temperatures and water quality conditions. Stocking density varies from about 10,000 to 20,000 PL
per ha, averaging 1.6 PL/m², although many stock at around 3 PL/m². Most of the farms stock PL in
several instalments. The majority of the sample farmers stocked PL directly to the grow-out pond
without any acclimatisation and nursing. This, along with high stocking ratios, resulted in a very high
mortality rate, in some cases, to more than 80%. FFP showed those farmers (37% of sample) who
stocked at higher densities (2.7 PL/m2) suffered from high PL mortality (17% survival), while those
who stocked less than one PL/m2 achieved a higher survival (35%). Many farmers therefore continue
to stock PLs through the growing season to maintain a reasonable production level.
Fertilisation and Feeding: Most farmers still depend on both organic and inorganic fertilisers to boost
pond productivity. Supplementary feed application is low at 162 kg/ha compared to an average of
700 kg/ha in Asia. However there is increasing interest in the use of supplementary feeds – CP India
is working with farmers in Satkhira who hope to increase productivity from current levels of 300kg/ha
to 1,000 kg/ha.
Water management: water management is probably one of the most contentious subjects in coastal
shrimp aquaculture, especially in the polder areas of the SW. Most of the polders were built for
agricultural production, which is reflected in the infrastructure and water supply systems. Ponds are
shallow (<60 cm) with barely sufficient water available to cover the 20% fortnightly loss due to
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evaporation. This is compounded by local frictions over water sharing, with the more powerful
farmers and land-owners controlling water supplies for their own use at the expense of others. The
flushing canal systems are poorly designed leading to mixing of abstracted and effluent water that aids
the spread of disease problems.
Chemical usage: compared to other more intensive shrimp farming industries, the extensive farming
practises in Bangladesh warrant little chemical or therapeutants usage. The use of antibiotics in growout areas is also thought to be low. However, with the inevitable increase in intensity and the growing
awareness of diseases and their treatments, the use of piscicides (for pond preparation), inorganic
fertilisers and chemo-therapeutants will inevitably increase.
Disease management: there is virtually no disease diagnosis or management capacity in the farming
areas. This, combined with the lack of traceability of PL supplies and the poor design of water
supply/flushing structures ahs meant that disease problems are difficult to control and isolate. Poor
pond water quality management also leads to higher levels of animal stress and disease-related
mortality. The main mitigating factor is the low level of stocking – farmers are also prepared to
accept significant losses and simply restock to replace dead animals.
In summary the grow-out sector is characterised by low efficiency and a lack of accountability
through the entire system. Despite this most farmers still make good profits and there is real potential
to correct these inefficiencies with substantial potential gains in production with little additional cost,
either in monetary or environmental terms.
4.2.2
Environmental
Mangrove destruction: in southwest districts of Khulna and Satkhira shrimp farming (accounting for
around 79% of national shrimp production) predominantly takes place in the agricultural polders built
over the 1960s and 70s and thus has not directly been responsible for clearance of mangroves – most
of the mangroves were cut well before 1900. In the south-eastern part of the coastal zone of this
country (which accounts for about 16% of shrimp production), the majority of the shrimp farms were
developed at the cost of mangroves. The Chakaria Sundarban, an official forest reserve with an area
of 18,200 ha (Cown 1962), has seen over half the mangroves area cleared out for preparation of
shrimp ponds (Khan and Latif, 1997).
Coastal water quality: due to the extensive nature of shrimp culture the industry has not resulted in the
high levels of coastal eutrophication seen in other regional countries. It is considered that the overall
production rate of 190 kg/ha could be tripled through improved management before effluent water
quality started to become a coastal issue. However many of the existing farms are poorly designed
with considerable cross-contamination and poor flushing that could be resolved through better
planning and co-ordinated infrastructure development.
Salination: shrimp farm development has been blamed for the considerable changes in vegetation
structure in the polder areas as well as increasing salination of the ground water. Whilst some
localised affects are likely, it is considered that more profound changes in the overall freshwater
influx from the upper catchment due to massive inland empolderment and FCD/I schemes may be the
overwhelming cause. The GEF component of FFP will be investigating this issue further over 2003.
Resource user conflicts: one of the main on-going issues over shrimp culture is the co-existence with
other agricultural and dry land activities in the polder areas. Co-existence is perfectly possible so long
as crop rotation (i.e. shrimp – paddy) is allowed to proceed with the seasonal changes in salinity.
However a number of farmers are extending shrimp cropping times into late July, despite the decrease
in salinity, allowing paddy farmers little time to flush and prepare their field for planting.
Social ownership: the industry has suffered from considerable social conflicts over land tenure and
user rights leading to the marginalisation of small rice farmers who have been forced to lease their
lands to large shrimp farmers (Mazid and Gupta, 1997). Many of the khas canals are occupied by
influential farmers who disrupt the distribution of water to others. However the situation has
improved since the early 1990s with a substantial fall in average land holdings and a greater control of
water and user rights by small-holders.
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4.3.1
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CERTIFICATION OPPORTUNITIES AND CONSTRAINTS
Existing Schemes
The last five years has seen substantial effort in developing conducts of conduct and standards for
aquaculture. Those relevant to shrimp aquaculture are listed below and further detailed in
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Appendix C.
 Australian Prawn Farmer’s Association (APFA) - Code of Practice




BioGro NZ – Organic Production standards for Seafood Products
Federation of European Aquaculture Producers (FEAP) – Code of Conduct
Global Aquaculture Alliance (GAA) – Responsible Aquaculture Program
International Federation of Organic Agriculture Movements (IFOAM) - Draft Organic
Aquaculture standards
 National Association for Sustainable Agriculture Australia (NASAA) – Organic Certification
Criteria for Fish and Crustacea
 Naturland – Standards for Aquaculture
 Soil Association – Aquaculture Standards
 Thailand Shrimp Farming Industry – Code of Practise
In addition to the detailed appraisal in Appendix C, these certification programmes are compared in
Table 7 and Table 8. These tables highlight the compartmentalised and somewhat narrow
development of environmental certification within the industry that has taken place predominantly on
a nation-by-nation basis. Existing schemes generally fall short of a widely applicable scheme in their
scope, independence, and/or geography. The fact that members of the US aquaculture and organic
industry have noted the need for international standardisation of organic schemes (Brister, 2001) is
further indication that the time is right for a suitable international aquaculture certification scheme.
This is borne out by the existence and appearance of many national organic schemes accredited to
IFOAM, although uptake of non-organic environmental certification schemes is less prevalent.
Furthermore, none of the existing schemes offer promises of environmental sustainability, simply
emphasizing aspects of best practice.
There is nothing currently available to fill the role of such an overarching scheme adequately. Organic
certification is clearly the best-developed form of environmental certification, not to mention the most
recognisable by consumers and retailers alike. In the organic sector, IFOAM offers a clear set of
criteria from which an accreditable set of organic production standards can be developed. Naturland
have taken these and developed a practical set of organic aquaculture standards for shrimp, carp,
salmonids and mussels (see Appendix D) whilst Fundación Chile and the Global Aquaculture
Alliance have developed non-organic criteria for producing salmonid fish and shrimp respectively,
taking account of the various environmental impacts associated with each form of production.
However, whether these labels could be meaningfully termed ‘environmental’ or ‘eco‘ labels remains
questionable. Also of note is the fact that, with the possible exception of organic production, as yet
there is negligible consumer recognition of aquaculture certification in its various guises.
In terms of their applicability to Bangladesh, as the next section will discuss, this depends upon the
scope of certification required. As remarked above, most of the existing schemes are aimed at a
specific market in mind and are insufficiently generic to be instantly appropriate to the Bangladesh
scenario. However, in broad terms for a industrial Code of Conduct, the GAA, Thai or APFA
schemes would be a useful basis for development. Should an organic standard be appropriate, then
the Naturland Standards for Aquaculture ‘Standards for Organic Aquaculture – which includes a
standard specifically for shrimp – is also a useful model and one that can be directly applied to
Bangladesh (see Section 4.4.2).
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Table 7: Comparison of Aquaculture Environmental Certification Schemes by Certification Criteria
Certification criteria
GAA
IFOAM
Naturland
NASAA
BioGro NZ
Soil
Association
FEAP
Feed supply & feeding
***
***
**
*
***
**
-
**
Discharge to water
***
*
***
*
*
***
*
**
Other waste
***
-
*
-
-
*
-
***
-
**
***
**
*
***
-
**
***
**
*
**
***
**
*
*
Biodiversity
*
-
***
*
*
*
*
Welfare
-
***
***
*
***
**
*
Physical (space, visual)
***
**
-
-
**
-
**
Use of technology
***
**
-
-
-
*
-
Sustainable development
**
*
-
-
-
*
-
Social considerations
***
-
-
-
*
-
**
Certifier I-D & labelling
-
-
***
-
***
***
-
Marketing
-
-
-
-
**
-
-
*
Hygiene
***
-
***
-
**
**
-
*
Legislative compliance
***
**
-
-
***
***
**
**
*
-
-
-
-
*
-
**
Chemical treatments
Staff training
KEY to Matrix: ***
**
*
-
07 March 2016
Not seen – see text on page 68
Slaughter
Thai CoP
APFA CoP
**
*
**
**
*
-
unambiguous & quantitative/comprehensive
unambiguous but non-quantitative
ambiguous/imprecise
Not present
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Table 8: Comparison of Aquaculture Environmental Certification Schemes by Production Systems
GAA*
IFOAM
Naturland
NASAA
BioGro NZ
Soil
Association
FEAP
Land-based finfish







Land-based
crustacea



Mariculture
System applicable to
Mollusc rope/ pole
culture


Mollusc bottom
culture


Caged
Freshwater
finfish







?

Low-intensity
crustacean ponds

?


Algae or other aquatic
plants
07 March 2016





?

Intensive raceways
Caged finfish
(lakes)





?




?
?
POSEIDON Aquatic Resource Management Ltd
APFA CoP

High-intensity
crustacean ponds
Intensive finfish
ponds
Thai CoP

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Certification Needs Assessment
There is potentially a role for ‘certification’ at two levels:

Code of Conduct for Shrimp Culture: the development and application of suitable codes of
conduct for shrimp culture in Bangladesh. As a code of conduct, this would not be mandatory
but would provide a technical, social and environmental framework within which the industry
should operate. This could then be gradually updated into ‘codes of practice’ where certain
elements may become mandatory – for instance there may be restrictions on the level of
production in ecologically sensitive zones. At that point growers may be certified that they have
achieved such standards and this may contribute to the future goal of branding of Bangladesh
shrimp as ‘environmentally sustainable’.

Certification for Organically Farmed Shrimp: whilst codes of practise would be largely an
internal process of raising generic production standards, there is an opportunity to add value to
the produce by targeting the growing western consumer interest in organically grown shrimp.
This would required certification to the recognised US and EC organic standards by a third party
independent organisation, thus allowing produce form that farm to carry an internationally
recognised eco-label.
These two options are examined in more depth below.
Code of Conduct for Shrimp Culture
As with many other tropical developing countries, the rapid expansion of marine shrimp aquaculture
has proceeded without an established regulatory apparatus to monitor and enforce environmental and
socio-economic standards. Therefore, voluntary ‘codes of conduct’ are a possibility for improving
overall management and possibly profitability of the marine shrimp aquaculture industry until
effective governmental regulation is implemented.
The purpose of codes of conduct is to provide guidelines for development of voluntary systems of
management to reduce negative social and environmental impacts. Such management systems consist
of impact identification, formulation of standards, adoption of management practices to comply with
standards, identification of indicators, monitoring to demonstrate compliance, and correction of
management systems that are not compliant with the standards.
Most codes contain common elements regarding site selection, effluents, use of drugs and other
chemicals, use of non-indigenous species and disease control, and various other operational practices.
Typically, codes of conduct do not include consideration of social issues, although the participation of
all stakeholders is critically important for a successful code of conduct. Managers can reduce the
social and environmental impacts of the industry through implementing better management practices
(BMPs) under the guidance of such codes.
As discussed above it is not possible simply to apply existing codes of conduct to the Bangladesh
shrimp farming industry. There is no one standard that is totally appropriate and codes of conduct
require widespread stakeholder support and participation in their development. This latter aspect is
crucial – the Thai Codes of Conduct have been criticised by some farmers as being imposed on them
as they have little ownership in their development.
Finally the strengths and limitations of codes of conduct as a regulatory framework should be born in
mind. These have been summarised in Box 4 overleaf and have benefited from the experience of the
experience of aquaculture standard development to date.
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Box 4: Codes of Conduct: Strengths and Weaknesses
Strengths
The benefits of codes of conduct are as follows:







Valuable discussions among stakeholders can occur during the formation of codes of conduct.
The Best Management Practices (BMPs) in codes of conduct can make shrimp aquaculture
more environmentally and socially responsible.
Codes of conduct can make shrimp aquaculture more efficient, sustainable, and profitable.
Codes of conduct provide an excellent means of technology transfer to producers.
Positive interactions with environmental agencies and other governmental agencies could
result from the efforts to form and operate codes of practice programs.
The BMPs in codes of conduct could provide the basis for future environmental regulations.
Codes of conduct can provide marketing advantages.
The extent of the benefits that accrue from the successful implementation of codes of conduct will
depend upon several factors. Perhaps the most important factor is the involvement of all stakeholders.
In addition, successful codes will depend on using the best available scientific knowledge in preparing
BMPs, promoting the program through education of farmers, insisting on both self-evaluation and
third-party verification, informing the public of the program, and maintaining a commitment to
continuous improvement.
Weaknesses and Constraints
The main disadvantages of codes of practice are summarised below:
 Adoption is voluntary, so some producers may not follow codes of conduct despite
promotional efforts.
 Producers who adopt a code of conduct may selectively adopt BMPs and avoid those that are
expensive or difficult to implement.
 There are many obstacles to effective self-evaluation and third-party verification.
 Producers, especially small producers, may lack technical knowledge for using BMPs, and
education and training will be difficult and expensive.
 Implementation of programs could be slow and result in substantial costs to farmers.
 Effectiveness of BMPs in codes of conduct is assumed, but monitoring is needed to verify this
assumption.
 Unless all stakeholders are involved in preparing codes of conduct, the BMPs may not
address significant issues. This is especially true for social issues.
It should be possible to eliminate most of the potential weaknesses from a code of conduct if the
parties developing the code are objective and willing to consider all issues fairly.
From: Boyd et al (2002)
Based on existing models, it is suggested that a code of conduct is developed on the lines provided in
Table 9 overleaf. As highlighted by the analysis in Box 4 above, stakeholder commitment from all
segments of the industry is required in order to produce an acceptable solution that both provides a
regulatory frameworks for sustainable production yet does not unduly constrain an important industry
and rural employer.
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Table 9: Framework for a Code of Conduct
Element
Issues
Bangladesh Context
Site selection
and EIA
Availability and quality of water, climatic
conditions, tidal patterns, freshwater flow
(including flood levels and frequency);
terrain, vegetative cover, soil characteristics,
and other related factors. EIA regulations
may provide a standard for site selection and
operation.
Sites selected on availability of tidal water and
associated infrastructure. Need to assess
impact on co-existing / neighbouring paddy
culture and the potential for salination of soils.
Need to consider EIA process – group EIAs
and group certification of small-holders most
appropriate.
Pond
management
Feeding strategies must be planned and
managed to optimise Food Conversion
Rates, productivity and minimise the
associated nutrient levels in discharge water.
Pond fertilisation requires considerable
improvement – this needs to be balanced with
better water management. Guidelines on the
use of organic vs. inorganic fertilisers are
required. Use of commercial feeds needs
regulation
Predator
control
Predators management techniques must be
planned and implemented to minimise
impacts to native fauna species while
protecting the economic viability of the
shrimp farm.
Current extensive systems rarely control
predators – this has positive benefits towards
biodiversity conservation but may impact
productivity. Guidance on this subject is
urgently needed.
Effluent
management
Shrimp farmers must plan and implement
pond effluent management procedures which
minimise the suspended solid and nutrient
levels of discharge waters.
Extensive systems have low suspended solid
and nutrient loads. Guidance is needed on
managing peak effluent production (i.e. at
harvesting) and planning areas to reduce crosscontamination.
Drug and
chemical use
Some compounds (esp. drugs, pesticides,
piscicides, and antibiotics) may be toxic,
bioaccumulative or persistent in the
environment. Misuse of antibiotics may
result in the development of antibioticresistant strains of pathogenic organisms.
Drug use is currently low in Bangladesh but
may increase as the intensity of production
rises. Weak regulation of antibiotic use is a
particular concern.
Solid waste
management
Widespread use of plastic bags for feed, as
well as chemotherpeutant containers may
endanger wildlife
Not a serious concern but likely to grown in
importance as more farmers start to use
supplementary feeds
Biodiversity
issues
Use of wild PLs with by-catch implications.
Salination may reduce local floral
assemblies
PL by-catch issue of serious concern and major
focus of this study. Salination effects apparent
but unquantified – needs to be reflected in
planning /permitting of shrimp farming areas.
Social and
welfare
issues
Social issues are poorly reflected in existing
codes of practice. The main exception are
the ISANet CoP (see page 69).
Bangladesh has increasing small-holder
participation, but guidelines for water sharing,
seasonal cropping in paddy areas and worker
rights are urgently needed.
Training
Familiarisation with the Code of Conduct to
assist compliance.
Mechanisms for awareness building amongst
farm owners and workers
Monitoring
Monitoring programmes need to quantify
changes in the receiving environment
attributable to shrimp farming.
Require emphasis on basic environmental and
production monitoring indicators.
Record
keeping and
auditing
Lay emphasis on environmental monitoring
identified above.
Needs focus on husbandry management record
keeping allied with environmental indicators.
Small-holders should be encouraged to adopt
shared programmes. Requires simple and
useful record-keeping systems.
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Box 5: Retail Demand for Eco-labelling of Aquaculture Products
We conducted a survey of seafood retailers and food service industries in North America and Europe
to investigate the nature and scope of demand for aquaculture products certified as sustainably
produced in North America and Europe. The results are summarised below:
 80% of businesses were either very concerned (38%) or quite concerned (42% about issues
relating to the sustainability and environmental impact of aquaculture. Of these, the food
service sector (i.e. restaurants and hotels) were the most concerned whilst the retailers were
less so. North America showed the highest response, followed by Northern Europe and
Southern Europe.
 When asked whether they thought that their customers were concerned about these issues, the
same businesses said nearly 60% of their customers were very concerned (15%) or quite
concerned (44%).
 When asked about the issues they felt most concerned about, most considered that the use of
antibiotics and its impact on both the environment and human health was the their top priority
(78% and 88% respectively). Other issues such as the impact of aquaculture on water quality,
biodiversity impacts and animal welfare concerns were of less interest.
 When asked whether they through an eco-label would be an good approach, nearly two-thirds
were enthusiastic whilst the remained were ambivalent. The reasons for eco-labelling
included a need for transparency and traceability, to assist develop responsible production and
buying patterns and to instil customer confidence.
Organic Aquaculture
The principle behind organic production is different from the application of codes of conduct as
described above. The main objective of organic farming is to improve food quality as well as protect
the environment. The main principles of the organic movement are to provide farming methods
where there are:
 Management practices that sustain soil and water health and fertility.
 Natural methods of pest, disease and weed control.
 High standards of animal welfare.
 Low levels of environmental pollution.
 Enhancement of the landscape, wildlife and wildlife habitat.
 The prohibition of all genetically engineered food and products.
Organic aquaculture is recognised by many as the most achievable form of environmental certification
that the industry can achieve over the short term. The EU Organic Livestock Regulation (which came
into force in August 2000) recognises aquaculture as being eligible for organic status but has not yet
defined its own rules of production. In the absence of these, member states may set their own
standards or ‘recognise’ private standards.
At present organic shrimp is only being produced in Ecuador, Thailand, Indonesia and Vietnam. In
Vietnam 1,500 hectares of shrimp ponds await certification and is particularly interesting as 1,000
Vietnamese small farmers are involved. The main standards being used are those produced by the
German non-profit company Naturland (http://www.naturland.de) who are certifying the Ecuadorian
and Vietnamese ventures. The Naturland Standards for Organic Aquaculture (which are provide in
full
in
Appendix
D)
are
examined
in
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Table 10 overleaf.
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Table 10: Naturland Organic Standards and the Local Perspective
Requirement
Bangladesh Context
Site selection: no removal or damage of
mangroves permitted. Former mangrove areas
must be <50% of total farm area. Water bodies
must retain natural features.
Likely to limit organic framing to the SW (i.e.
not the former Chakaria Sundarban). Would
need to clarify position regarding the polder areas
as to whether they are regarded as “former areas”
when they were cleared more than 100 years ago.
Protection of ecosystems: (i) effluent water
quality to be monitored monthly; (ii) suspended
solid loads reduced over harvesting, (iii) saline
water does not impact neighbouring agriculture
areas, (iv) 50% of pond dykes area covered with
plants, (v) records of predator control activities,
(vi) only mechanical removal of fish/crustacea
and (vii) polyculture is encouraged.
Effluent levels unlikely to be a problem but little
capacity for environmental monitoring exists at
farm level. No pond draw-down for harvesting
so also not an issue. Salination would need to be
addressed through siting and flushing practises.
Current predator control tactics largely acceptable
but need to be reviewed. Polyculture with finfish
possible but through natural tidal flux.
Species and origin of stock: Only native species
to be stocked. PL only from (preferably
organically certified) domesticated hatchery
stock.
No exotic shrimp species currently used. No
domesticated broodstock currently available.
Maybe able to seek derogation based on Codes of
Practise for wild broodstock collection.
Breeding under laboratory conditions:
reproduction to be natural and non-mutilating.
Routine or prophylactic application of
conventional medicines not permitted. No
hormone use whatsoever.
Could only be viable after certification of
hatcheries and guidelines on drug use.
Pond operation: routine aeration of ponds not
permitted. Low water exchange and pumping
rates encouraged. Final harvest density of <20
animals /m3 required.
Would suite local conditions i.e. low densities do
not require aeration, very few farms use pumps
(most are tidally flushed) and final stocking
levels are only 1-2 animals /m3
Safeguarding health and hygiene in ponds:
emphasis on preventative measures. Treatment
with antibiotics, chemotherpeutant are not
allowed. Where possible ponds should be dried
out and naturally fertilised.
Existing drug use is low but would need to be
controlled. In most cases it is not possible to dry
out ponds entirely but alternative measures (i.e.
flushing and tilling before seasonal paddy
cropping) would probably be acceptable
Fertilising of ponds: only certified organic
fertilisers are permitted. Supplementary gifts of
Phosphate from natural sources are permitted.
Polyculture with rice is encouraged.
Wide availability of organic fertilisers but would
need to look at organic certification routes.
Would suit areas with rotational shrimp / paddy
cultivation.
Feeding in ponds: emphasis on natural
productivity. Limits on total protein content of
feeds and limited use of supplementary feeds
(<20%).
Most farms do not use supplementary feeds.
Curbs on fishmeal and other protein sources will
have to be considered.
Harvesting and processing: Feeding/fertilising to
cease 3 days prior to harvesting. No
metabisulphate use is permitted. Shrimp wastes
must be re-used and not reprocessed into shrimp
feed.
Metabisulphate is not widely used by farmers
(unlike in Central / South America). Need to
develop appropriate options for shrimp waste use.
Social aspects: staff must be trained in organic
culture principles. Operator must provide
workers with housing and living conditions to
IFOAM standards. Free access must be given to
open public/Government land.
Likely to require considerable change in operator
attitudes towards staff and their entitlements.
Access to khas land will need to be guaranteed.
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The comparison in Table 10 above indicates that organic farming would be an appropriate
development option for both P. monodon and Macrobrachium rosenbergii culture. A number of
aspects show particularly strong synergy, being:

The low level of effluent production

The natural polyculture of finfish and crustacea

The rotation of paddy and shrimp

Low stocking levels

Relatively little chemotherpeutant and drug use
On the converse side, there will need to be changes in practise in order to accommodate the need of
the organic movement. One possibly controversial area is the need to use PLs from domesticated
broodstock, a system not yet established in the country (but a logical next development, especially is
specific pathogen free SPF). Another is the need for only the mechanical exclusion of predators – this
means that screening is a possibility but would be unlikely to exclude the high level of swimming crab
infestation that can only really be eliminated through chemical means. However it will allow the
ghers to retain their characteristic high levels of finfish and prawn by-catch, which might also be sold
under the organic label. Finally the social welfare requirements might also be novel to many of the
larger farming operations although the recent trend towards small-holder practices should make these
easier to meet.
As to the financial benefits of organic certification, this depends upon the nature of the end retailer
and the level of negotiation of through the supply chain. Organic shrimp products retail at between 30
- 100% above the equivalent ‘standard’ product – the multiple retailers (i.e. supermarkets) have a
smaller premium whilst the niche health outlets and delicatessens are able to charge a higher price.
Inevitably the producers get around a third of this, so a working figure of 20-30% premium at the
farm gate is a reasonable assessment (Stefan Bergleiterxiv, pers. com.). In Ecuador organic shrimp
farmers have settled for a high fixed price that has benefited them in a scene of falling international
prices.
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CERTIFICATION PROCESSES
4.4.1
Codes of Conduct for Sustainable Aquaculture
Development
The development of a Code of Conduct is a multi-faceted process that requires input from a wide
range of industry participants from relevant Government agencies (DoF, BFRI, BWDB, DoE and
DoA), the industry (national, regional and local grower representations, with horizontal inputs from
the hatcheries and processors) and other coastal stakeholders (local communities, polder management
committees, the rice farming industry, etc).
The main current constraint to the development of a code of conduct is the lack of a single,
overarching organisation that can work with the wide range of participants mentioned above. One
option is that a special ‘task force’ could be set up by the MoFL whose responsibility it was to
establish a process and pathway to developing a code of conduct for sustainable aquaculture (see
Figure 6 below). Probably led by the Department of Fisheries, it would need to have sufficient
jurisdiction to engage the wide range of interests involved.
Figure 6: Process for Development of a Code of Conduct for Sustainable Aquaculture
Stakeholder
Assessment
Formation of
Taskforce
Steering Group
Issues Analysis
Working groups
Operational
Environmental
Social
Series of
Workshops
Regional work
groups
Drafting of
Codes of
Conduct
Series of
Workshops
Regional work
groups
Finalisation of
Codes of
Conduct
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The initial stakeholder assessment is a key first step and sets the scope of the following consultative
process. The Task Force governance mechanisms, probably a Steering Committee, would reflect the
stakeholder requirements as would the working groups for the rest of the process. Ideally some
technical assistance would be useful, especially if it embodied experience from setting up Codes of
Conduct in other parts of Asia – it is suggested that NACA might be contacted for their advice on this
matter.
Accreditation and Certification Process
As this standard is aimed at guidance rather than regulation, accreditation of inspection or certification
agencies is not necessary. As suggested earlier, this Code of Conduct could provide the basis for
regulating the practices and nature of the industry, to assist the development of an overall national
‘brand’ of sustainable aquaculture, as advocated by the ATDP project.
4.4.2
Standards for Organic Aquaculture
Standard Development
Market-ready standards for organic shrimp culture are already available for organic aquaculture (i.e.
the Naturland standards, see Appendix D). As such, there is no need to develop further standards, as
these are rapidly gaining international acceptance. However given some of the concerns raised over
the ability of Bangladesh to meet some of these precise terms of these standards (see Table 10), which
were originally designed to suit semi-intensive shrimp culture in Ecuador, there may need to be some
clarification of what alternative approaches may be acceptable to the international certification bodies.
Under most organic standards, amendments are possible to suit particular climatic or cultural
situations, so long as the general principles are retained.
Accreditation Process
A third party organisation would be accredited by the Certification Body to conduct appropriate
inspections. The accreditation process will vary between different certification bodies but will
generally involve a process whereby the capacity for that organisation to conduct inspections is
assessed and the appropriate operational policies and staff management / training plans assessed.
Once this has been completed, that third party organisation can certify on behalf of the certification
body or the original standard holder. There is no reason why existing certification, accounting or
scientific assessment organisations in Bangladesh could not apply for accreditation. This would be
essential in order to bring the cost of initial inspection and annual audits down to realistic levels.
Certification Process
A
typical
application
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conversion
to
organic
production
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Figure 7 overleaf. It is required that the applicant must provide any information necessary to assess
the conversion conditions. This includes particularly the method of farming that has been practiced to
date (type and numbers of stocking, use of mineral fertilizers, hygienic measures etc.), the economic
situation of the farm and the prevailing environmental conditions (information regarding the sources
of water in the bordering areas and regarding the neighboring eco-systems, sources of possible threats
such as e.g. industrial plants). If possible causes of contamination with dubious or harmful substances
are detected, analyses have to be carried out prior to the conclusion of a producer contract. These
analyses may show that a producer contract is only possible under specific conditions or not at all.
Once a producer contract is concluded, the farm must go through a ‘conversion period during which
management practices in accordance with the principles of organic aquaculture are introduced. This
conversion period must be at least one production cycle. Only once this is concluded is produce
allowed to be labeled as ‘organic’.
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Figure 7: Typical Process for Organic Certification
DECISION AND
CONTRACT
FORMATION
APPLICATION
INSPECTION
Request for certification
Inspection by an Independent,
Accredited Organisation:
Provided information on
standards and
requirements
Formal written
application to set
criteria
- Inventory of farm and
facilities
- Review of farm processes
and organisation
- Interviews with staff and
management
- Review of documentation
procedures and record keeping
Certification Committee
make decision
If yes
Producer contract with
Certification body binds farm
to comply with the Organic
standards of production
License agreement
allows producer to use
logo and market as
'organic'
Although suitable for larger farms, organic production is particularly aimed at smaller holdings. One
of the main problems of certifying small-holders, especially in SE Asia, is the disparate nature of
production and the cost-efficiencies in certifying large numbers of small farms. One possible solution
is ‘group certification’, where a homogenous group of producers pool resources and apply for a
single certificate. For certification proposes this will require the appointment of a (i) group entity who
will be responsible to the certification body for ensuring that the organic certification standards are
met by the producers covered by the certificate, i.e.
(a) communication with the certification body and with group members;
(b) implementing the administrative and management requirements of the group certification;
(c) implementing monitoring responsibilities at the group level; and
(d) submitting requests for authorization for logo use to the certification body.
and (ii) the group members who are responsible for implementing the procedures necessary for
compliance with the organic certification standards. Members of a group do not hold individual
certificates, but so long as they comply with all the requirements of group membership, they are
covered by the overall group certificate.
This approach also encourages cost-efficiencies in other areas, such as joint seed procurement, bulk
purchase of inputs and the sharing of post-harvest preservation and quality management facilities.
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Appendix A: Terms of Reference – Certification Consultant
1. Wider Contextual Background of Coastal Shrimp Aquaculture in Bangladesh
In the early stages of development, shrimp farming was restricted to the peripheral land between flood
embankments and the main river systems. However, large profits and poor land-use planning led to its
rapid and uncontrolled expansion into agricultural polders (ghers) and there are now approximately
9,000 farms producing 35,000 tonnes of shrimp annually. Bangladesh produces 2.5% of global
production and shrimp is currently the nation’s second largest export industry
The shrimp aquaculture industry employs over 400,000 people in roles ranging from fry collection to
marketing and processing. The majority of these people, earn a living from collecting shrimp fry and
this is usually carried out by the poorest groups of fishing communities, often the landless, mostly
women and children
Since the introduction of commercial systems, shrimp has been the subject of significant national and
international debate. The debate has often been highly political and, at times, the source of conflict in
rural communities in Southwest Bangladesh. The central issues are environmental sustainability, propoor economic growth, access to resources, and human rights abuses.
The Bangladeshi Government’s commitment is towards support and development of shrimp
aquaculture. However, this commitment operates within a very weak governance and institutional
framework, often promoted by vested and powerful interests. National and international activist
groups have engaged in a campaign against the expansion of the shrimp farming.
The Fourth Fisheries Project (FFP) is co-financed with the Department of International Development
(DFID), The World Bank, Global Environmental Facility (GEF) and the Government of Bangladesh.
The project has a large Coastal Shrimp Aquaculture component. DFID Bangladesh has commissioned
a review of Coastal Shrimp Aquaculture in 2001 to assess its impact on the livelihoods of poor people
in Southwest Bangladesh. This review consisted of studiesxv and wide consultation with communities,
civil society and other key stakeholders and was very effective in placing these proposed Fourth
Fisheries Project interventions in the wider context of shrimp sector development in Bangladesh.
Specifically, the review has raised fundamental issues regarding social trends arising from export
focus trade, incentives for pro poor growth and environmental sustainability. The challenge has been
to identify a way forward that reflects the complexity of the issues while retaining the original
principles under which the Fourth Fisheries Project (FFP) was agreed. The conclusions of the studies
were presented to senior DFID staff in the UK in November and feedback from the presentation was
incorporated into a position paper for negotiations on an implementation plan with the Government of
Bangladesh in January 2002.
A number of key areas agreed at a meeting with the Secretary, Ministry of Fisheries & Livestock in
January 2002. The key areas of agreement were as follows:
a)
Protecting the ecology and bio diversity of coastal river areas
The Government of Bangladesh, The World Bank, and Department for International Development
agree that it is critically important to establish measures that protect and conserve the bio-diversity
and ecology of the areas that have historically been the focus of shrimp fry collectors.
b)
Livelihoods of Fry Collectors
It was agreed that it is vitally important for any programme to engage directly with the people for who
rely upon fry collection as key source of their livelihood. Specifically, we discussed working with the
fry collectors to explore improved methods of catch that would reduce immediate environmental
damage and secondly to understand the livelihood opportunities in this geographical area with a view
to exploring alternative livelihoods options to fry collection.
c)
Current Government of Bangladesh Ban on Fry Collection
It was agreed that the enforcement of the fry collection ban will be held in abeyance pending further
review as to how this can be done in a way in which the resource and biodiversity are conserved and
at the same time the livelihoods of the fry collectors are protected.
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Exploring alternative models
It was agreed that the Government of Bangladesh and the donor agencies would work together to
explore alternative models for the management of this particular resource under a fry collection
action plan. This would present a range of options and their social, environmental and economic
implications would be presented to the Secretary of Ministry of Fisheries and Livestock in six months
(September 2002) with an agreed timetable for activities, related to the exploration of alternative
models, developed in partnership with the Director General, Department of Fisheries.
2.
Summary of Project
The Government’s support to key aspects of the sector is not pro-poor. It provides subsidies and tax
incentives to shrimp hatcheries that are owned by individuals and are currently the most profitable
parts of the value chain. The Government recently banned the collection of wild fry. This ban impacts
on thousands of poor men and women who have few alternative livelihood options and offers
increased rent seeking opportunities. The lack of local governance, institutional capacity and a legal
and regulatory framework also has fundamental implications on any attempt to improve the
management of the natural resource base.
A consultant (with certification experience in the fisheries sector) will be appointed to undertake a
scooping study for certification of the shrimp sector. In close cooperation with the Coastal Shrimp
Aquaculture Development Co-ordinator s/he will be responsible for assessing the scope for
introducing a certification scheme for PL production.
3.
Specific Objectives
The consultant will be responsible for leading the field-work and consultation with stakeholders (from
civil society, NGOs, partners and government), preparing a discussion paper and a report and
presenting the findings from the study. The specific objectives of this consultancy are to:
1. Outline the constraints and opportunities for achieving a certifiable sustainable management
of the wild shrimp fishery (inc. hatchery broodstock)
2. Identify certification opportunities and constraints for improving the quality of shrimp post
larvae from Bangladesh hatcheries
3. Assess the potential for adding value to shrimp crops through certification of sustainable, low
impact farming methods
4.
Methodology and Scope of the Work
The consultant will:

Co-ordinate the field workers and visits to the project area, partners and stakeholders;

Ensure that a full consultative process is undertaken with fry collectors and adjacent
communities, development agencies (at local-level and sector ministry level), private sector
and Donors; ensure that adequate information sharing and participation in the process.

Review the background literature provided by the Co-ordinator.

Make recommendations (specifically relating to the livelihoods of fry catchers) on the
development of an agreed framework outlining the various options for managing the resource.
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The specific activities will include:
1. Assess current status of the wild shrimp fishery, status of stocks and implication of
broodstock removal for hatchery use (Objective 1).
2. Assess opportunities and constraints for achieving certifiable and sustainable management of
the wild shrimp fishery (Objective 1)
3. Conduct predictive assessment to determine domestic and international opportunities for
hatchery and grow-out certification (Objective 2)
4. Determine the quality control, disease and management practice issues amongst hatchery
operations (Objective 2)
5. Identity certifiable quality (and safety) control points in the hatchery production cycles
(Objective 2)
6. Outline the options for certification of hatcheries, including the preparation of ‘principles and
criteria’, accreditation and evaluation processes (Objective 2)
7. Evaluate the existing aquaculture practices in Bangladesh and their conformance with existing
regional ‘codes of conduct’ for sustainable shrimp production (Objective 3)
8. Conduct an outline survey to determine export market demand for certification (i.e. quality,
environmental and social) (Objective 3)
9. Identify existing aquaculture certifications schemes and their appropriateness for Bangladesh
(Objective 3)
5.
Timing and Reporting
The appointment is for a period of up to 18 days starting from the 15 June, 2002. The work will be
completed by 09 August, 2002. The Consultant will report to the Coastal Shrimp Aquaculture
Development Co-ordinator.
6.
Skills Required
Need to be familiar with rural livelihoods in Bangladesh and have knowledge and experience of
environmental issues, impact of environmental factors on livelihoods and poverty and the role of
natural resources in supporting livelihoods; have had some experience of local government and grass
level institutions both formal and informal and require strong interpersonal skills and ability to
communicate with people in the field and at senior levels in government, donor and consultancy
organisations: need to demonstrate excellent facilitation and organising skills and be able to work
effectively with the diverse group of people and, familiarity with DFID, project design and
management and the sustainable livelihoods approach.
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Appendix B: References and Bibliography
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production of prawns in Bangladesh) . Bangla Academy, Dhaka. pp 11.
Anon (1991). World Shrimp Farming. Aquaculture Digest. San Diego, USA. P.Z.
Anonymous. 1998. Working paper for discussions on a code of practice for Malaysian shrimp
farmers.
Arthur, J.R., C.R. Lavilla-Pitogo and R.P. Subasinghe. 1996. Use of Chemicals in Aquaculture in
Asia. Proceedings of the Meeting on the Use of Chemicals in Aquaculture in Asia 20-22 May 1996,
Tigbauan, Iloilo, Philippines held by SEAFDEC. 233 p.
Australian Aquaculture Forum. Undated. Codes of Conduct for Australian Aquaculture. AAF, Curtin,
CT, Australia.
Bardach, J.B., J.H. Ryther and W.O. McLarney, editors. (1972) Aquaculture: the farming and
husbandry of freshwater and marine organisms. Wiley-Interscience New York.
Boyd C.E. (1995) Effluent and Solid Waste Management in Pond Aquaculture. Presented at 3rd
Ecuadorian Aquaculture Conference, November 1995.
Boyd, C.E. (1995) Effluent and Solid Waste Management in Pond Aquaculture. Personal manuscript
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conducted by Network of Asian Centres for Aquaculture (NACA) and Asian Development Bank
(ADB).
Boyd, C.E. (1995) Regional Review of Environmental Issues and Aquaculture Sustainability. Draft
manuscript prepared for NACA which reviews the country reports, S.E. Asia, on Aquaculture
Sustainability and the Environment.
Boyd, C.E. 1996. Shrimp Farming and the Environment– a white paper. National Shrimp Council,
National Fisheries Institute, Arlington, Virginia, USA.
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St. Louis, Missouri, USA.
Boyd, C.E. 2002.“Chemical and Biological Amendments Used in Shrimp Farming”. Report prepared
under the World Bank, NACA, WWF and FAO Consortium Program on Shrimp Farming and the
Environment. Work in Progress for Public Discussion. Published by the Consortium. 22 p.
Boyd, C.E. and J.W. Clay 2002. Evaluation of Belize Aquaculture, Ltd: A Superintensive Shrimp
Aquaculture System. Report prepared under the World Bank, NACA, WWF and FAO Consortium
Program on Shrimp Farming and the Environment. Work in Progress for Public Discussion. Published
by the Consortium. 16 p.
Boyd, C.E. and J.W. Clay. 1998. Shrimp aquaculture and the environment. Scientific American 278
(June): 58–65.
Boyd, C.E. and L. Massaut. 1999. Risks associated with the use of chemicals in pond aquaculture.
Aquacultural Engineering 20:113–132.
Boyd, C.E. and M.C. Haws. 1999. Good management practices (GMPs) to reduce environmental
impacts and improve efficiency of shrimp aquaculture in Latin America, pages 9–33. In B.W. Green,
H. C. Clifford III, M. McNamara, and G. M. Moctezuma (eds), Simposio 5 Centroamericano de
Acuacultura, San Pedro Sula, Honduras.
Boyd, C.E., J.A. Hargreaves and J.W. Clay 2002. “Codes of Practice and Conduct for Marine Shrimp
Aquaculture” Report prepared under the World Bank, NACA, WWF and FAO Consortium Program
on Shrimp Farming and the Environment. Work in Progress for Public Discussion. Published by the
Consortium. 31 pages.
British Trout Association. 1995. Code of Practice for the Production of Rainbow Trout. British Trout
Association Limited, 8/9 Lambton Place, London.
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Brunson, M. 1997. Catfish Quality Assurance. Mississippi Cooperative Extension Service,
Publication 1873, Mississippi State University, Mississippi State, Mississippi, USA.
BTG-Golder Company. 1999. The Marine Shrimp Culture Industry of Thailand Code of Conduct
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Carter. J (1959). Mangrove succession and coastal changes in SW Malaya. Trans, Inst. Br. Geop.
26:79-88
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Management in Shrimp Ponds. Aquatic Animal Health Research Institute, Dept of Fisheries, Kasetart
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Chantarasri, S. (1994). Integrated resource development of the Sunderbans reseed forests. Bangladesh
Fisheries Resource Management of the Sunderbans Reserved Forests. Report to FAO, 171 PP.
Chemical Manufacturers Association. 1996. The Year in Review 1995–1996. Responsible Care ®
Progress Report. Chemical Manufacturers Association, Arlington, Virginia, USA.
Clay, J.W. 1997. Toward sustainable shrimp aquaculture. World Aquaculture 28:32–37.
Cowan, J.J. (1926) Flora of Chakaria Sunderbans. Rec. Bot. Serve. India. 1926: 197-226.
Dixon, H. 1997. Environmental Code of Practice for the Shrimp Farming Industry of Belize. Report to
the Shrimp Farming Industry of Belize.
Dixon, J.A. (1989) Valuation of mangroves. Tropical Coastal Area Management 4:1-6.
Donovan, D (1999). Environmental Code of Practice for Australian Prawn Farmers. Published for
the Australian Prawn Farmers Association.
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environmental_code_of_practice_final_sept2001.doc
Endander, M & Hasselstrom, M (1994) An Experimental Wastewater Treatment System for a Shrimp
Farm in Malaysia. INFOFISH International 4/94 pp 56-61
FAO. 1995. Code of Conduct for Responsible Fisheries. Food and Agriculture Organization of the
United Nations (FAO), Rome. Available on http://www.fao.org
FAO. 1997. Aquaculture Development. FAO Technical Guidelines for Responsible Fisheries 5, Food
and Agriculture Organization of the United Nations (FAO), Rome.
FAO. 2001. Technical Guidelines for Good Aquaculture Feed Manufacturing Practice FAO Technical
Guidelines for Responsible Fisheries. Food and Agriculture Organization of the United Nations
(FAO), Rome.
FAO/Government of Australia. 2001. Report of the FAO/Government Australia Expert Consultation
on Good Management Practices and Good Legal and Institutional Arrangements for Sustainable
Shrimp Culture. Queensland Department of Primary Industries, Brisbane, Australia, 4- 7 December
2000. FAO Fisheries Report No 659 FAO. 2001. 76 p.
FAO/NACA. 2000. Asia regional technical guidelines on health management for the responsible
movement of live aquatic animals and the Beijing consensus and implementation strategy. FAO
Fisheries Technical Paper 402, Rome. 53 p.
FAO/NACA/OIE (1998). Regional Programme for the Development of Technical Guidelines on
Quarantine and Health Certification and Establishment of information Systems, for the Responsible
Movement of Live Aquatic Animals in Asia. Proceedings of a First Training Workshop of the
FAO/NACA/OIE held in Bangkok, Thailand on 16-20 January 1998. Food and Agricultural
Organisation of the United Nations (FAO), Network of Aquaculture Centres in the Asia Pacific
(NACA) and the Office International des Épizooties Field Document No. 1, TCP/RAS/6714 pp 142
Federal Joint Subcommittee on Aquaculture. 1994. Guide to Drug, Vaccine, and Pesticide Use in
Aquaculture. Texas Aquacultural Extension Service, Texas A&M University, College Station, Texas,
USA.
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Fenegaard, P (1986) Shrimp seed, any to sell? Come to Satkhira, Bangladesh. Bay of Bengal News,
22nd issue, BOBP, Post Bag 1054 Madras 600018, India PP,2-6.
Fischer, W. and G. Bianchi (eds.) (1984). FAO Species identification sheets for fishes. Vol. I,
Tenualosa ilisha (Clupeidae). Food and Agriculture Organisation of the United Nations, Rome, Italy.
Flaherty, M & Karmjanakesorn, C. (1995) Marine Shrimp Aquaculture and Natural Resource
Degradation in Thailand. Environmental Management Vol. 19 No.1 pp 27-37.
Folke, A. and N. Kautsky. 1989. The role of ecosystems for sustainable development of aquaculture.
Ambio 18:234–243.
Funge-Smith, S.J. & Briggs, M.R.P. (1994) Institute of Aquaculture, University of Stirling, Scotland.
UK Appendices of Final Report to the Overseas Development Administration - Development of
Strategies for Sustainable Shrimp Farming in Thailand.
Funge-Smith, S.J. & Briggs, M.R.P. (in prep) The organic composition of soil and accumulated
sediments in intensive marine shrimp ponds in Thailand. Institute of Aquaculture, University of
Stirling, Scotland. UK
Funge-Smith, S.J. & Briggs, M.R.P. (in prep) The origin and fate of solids and suspended solids in
intensive marine shrimp ponds in Thailand. Institute of Aquaculture, University of Stirling, Scotland.
UK
Funge-Smith, S.J. & Briggs, M.R.P. (in prep) Water quality and nutrient discharge of intensive marine
shrimp ponds in Thailand and their relationship to pond productivity. Institute of Aquaculture,
University of Stirling, Scotland. UK
Gautier, D. 2002. The Adoption of Good Management Practices by the Shrimp Industry on the
Caribbean Coast of Colombia. Report prepared under the World Bank, NACA, WWF and FAO
Consortium Program on Shrimp Farming and the Environment. Work in Progress for Public
Discussion. Published by the Consortium. 62 p.
Gavine, F.M, Phillips, M.J. & Kenway, M. (1995) The integration of treatment systems to reduce
environmental impacts of effluent from coastal shrimp ponds in Thailand - biological and physical
constraints. (In press)
Goldburg, R. and J.W. Clay. 1998. Draft Guidelines for Sustainable Shrimp Aquaculture. The
Industrial Shrimp Action Network.
Hairston, J.E., S. Kown, J. Meetze, E.L. Norton, P.L. Dakes, V. Payne and K.M. Rogers. 1995.
Protecting Water Quality on Alabama Farms. Alabama Soil and Water Conservation Committee,
Montgomery, Alabama, USA.
Hart, D. and Nandy (1990) Equity aspects of shrimp cultivation practices in Khulna region. Presented
in Seminar on Environmental Policy Aspects of shrimp cultivation. 15 PP. Bangladesh Center for
Advanced Studies.
Hilbrands, A. Undated. Organic Aquaculture and Fisheries, Ensuring Aquaculture and Fisheries
Sustainability Through an Organic Approach –The Shrimp Case. Agro Eco Consultancy, Bennekom,
The Netherlands.
Holmaren, S. (1994). An environmental assessment of the Bay of Bengal Programme, Madras,
BOBP/REP/ 67:256p.
Hopkins, J.S., P.A. Sandifer, M.R. DeVoe, A.F. Holland, C.L. Browdy and A.D. Stokes. 1995.
Environmental impacts of shrimp farming with special reference to the situation in the continental
United States. Estuaries 18:25–42.
Hopkins, J.S., Sandifer, J.S. & Browdy, C.L. (1995) A review of water management regimes which
abate the environmental impacts of shrimp farming, pp 157-166. In Browdy, C.L. & Hopkins, J.S
(eds) Swimming Through Troubled Waters - proceedings of the Special Session on Shrimp Farming
at Aquaculture '95. Published by World Aquaculture Society.
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Hossain, M.S. (2001). Biological Aspects of Coastal and Marine Environment of Bangladesh. Ocean
and Coastal Management. 43 (3-4): 261-282
Huntington, TC and Dixon H (1997). Guidelines for Sustainable Coastal Aquaculture in Belize.
Report to the GEF/UNDP Belize Coastal Zone Management Project. MacAlister and Elliott and
Partners Ltd, UK
International Council for Exploration of the Seas (ICES). 1984. Guidelines for Implementing the ICES
Code of Practice Concerning Introductions and Transfers of Marine Species. ICES Cooperative
Research Report 164, Copenhagen.
International Organization for Standardisation. 1995. Environmental Management Systems–
Specification with Guidance for Use. International Standards Organization, Geneva, Switzerland.
Irish Salmon Growers Association. 1991. Good farmers, good neighbours. Irish Salmon Growers
Association Limited, Dublin.
Katetbi, M.N. A and G. H. Habib (1988). Sunderbans and Forestry. In Proceedings of the National
Workshop on Coastal Area Resource Development and Management. Part II. PP.79- 100. Coastal
Area Resource Development and Management Association (CARMA), Bangladesh.
Khan, M. G., Sada, M.N.U., Islam, M.S. Ali, and Latifa, G.A. (1999). Biology of the penaeid shrimp
population exploited by estuarine set bagnet. Pakistan J. Marine Sciences, Vol. 8 (1), 61-72 pp
Khan, MG and Latif MA (1997). Potential, constraints and strategies for conservation and
management of open brackish water and marine fisheries resources. 55-76 pp
Macintosh D.J. & Phillips, M.J. Environmental Issues in Shrimp Farming. ( source of reference and
year unknown) pp 118-144
Mahmood, N (1990). An assessment of the quantum of damage caused to the zooplankton while
fishing bagda shrimp Penaeus monodon fry in Bangladesh estuaries. Proc. 7th Nat. Zool. Cont.
Bangladesh. PP. 87-94.
Mahmood, N. (1986) Effects of shrimp farming and other impacts on Mangroves of Bangladesh. In
proceedings of the Indo-Pacific Fishery Commission working party of experts on Inland Fisheries,
FAO Report. No. 370, PP. 46-88.
Mahmood, N. (1991) Potentials and strategies for brackish water aquaculture development in
Bangladesh. Paper presented at the workshop on Inland Aquaculture Development Strategies for
Bangladesh, BARC/ICLARM. 12 PP
Mahmood, N., M.J.U. Chowdhury, M. Hussain S.B. Haider & S.R. Chowdhury (1994). Bangladesh:
An Environmental Assessment of the Bengal Region (Ed. S. Holmgren), SWEDMAR/ BOBP
Madras, India. PP. 75-129.
Matthews, H and J. M. Kapetsky (1988). World-wide compendium of mangrove associated aquatic
species of economic importance. FAO Fisheries Circular (814): 236pp
Mazid MA and Gupta MV (1977). Research and Information Needs for Fisheries Development and
management. P160-177
National workshop, Department of Fisheries of Malaysia, Kuala Lumpur.
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Paul, S.C. Mustafa, M.G. Islam, M.S. Chowdhury, Z..A, and Khan M.G. (1993). Shrimp fry
collection in Bangladesh. In: Studies of interactive Marine Fisheries of Bangladesh. Bay of Bengal
Programme/ FAO, Madras, BOBP/ WP? 89.3 3-17pp.
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Pruder, G.D. (1990) Effluent Treatment Processes Literature Study. Project II Aquaculture Effluent
Discharge Program Year 1 Final Report prepared for Centre for Tropical and Subtropical Aquaculture
Hawaii. pp 55-66
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Robertson, A.I. & M.J. Phillips. (1995) Mangroves as Filter of Shrimp Pond Effluent: predictions and
biogeochemical research needs. Hydrobiologia 295 pp 311-321
Saheel, S.M. (1997). The State of Land, Water and Plant Nutrition Resources of Khulna Division of
Bangladesh. Country Report Bangladesh. Soil Resource Development Institute, Dhaka, Bangladesh.
Siriwardena, P.P.G.S.N. (1999). Coastal shrimp aquaculture in Bangladesh: status, issues, constraints
and development of responsible coastal shrimp aquaculture. Unpublished report presented to NACA
in Bangkok. National Aquatic Resources Research and Development Agency, Crow Island, Colombo
15, Sri Lanka. 48 pp
Smith, P.T. (1995) Characterisation of the effluent from prawn ponds on the Clarence River,
Australia. Proceedings of Sustainable Aquaculture 95, pp 327-338. PACON International.
Smith, P.T. (1995) NSW Prawn Farming Pollution Reduction Program Report. Individual reports
done as EPA license condition for NSW prawn farms.
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Resource Information Service, Coastal Management Pub, No.2
Tobey, J., H. Poespitasari and B. Wiryawan (2002): Good Practices for Community-based Planning
and Management of Shrimp Aquaculture in Sumatra, Indonesia. Report prepared under the World
Bank, NACA, WWF and FAO Consortium Program on Shrimp Farming and the Environment. Work
in Progress for Public Discussion. Published by the Consortium. 18 pages.
Trott, L (1996) Presentation at the APFA Conference Cairns Qld July 1996.
Wang, J.K. (1990) Alternative Effluent Treatment Processes. Project II Aquaculture Effluent
Discharge Program Year 1 Final Report prepared for Centre for Tropical and Subtropical Aquaculture
Hawaii. pp 97-105
WB/NACA/WWF/FAO (2001). Thematic Workshop on Management strategies for Major Diseases
in Shrimp Aquaculture. Proceedings of a Workshop held in Cebu, Philippines on 28-30 November
1999. Edited by R. Subasinghe, R. Arthur, MJ Phillips and M. Reantaso. The World Bank (WB),
Network of Aquaculture Centres in the Asia Pacific (NACA), World Wildlife Fund (WWF) and the
Food and Agricultural Organisation of the United Nations (FAO) Consortium Program on Shrimp
Farming and the Environment. Work in Progress for Public Discussion. Published by the Consortium
pp 135
Wood, C. 1995. Environmental Impact Assessment: A Comparative Review. Longman Scientific and
Technical, Essex, United Kingdom.
Ziemayan, D (1990) Characterisation of Aquaculture Effluent and Environmental Assessment for
Effluent from Hawaiian Aquaculture Facilities. Project I Aquaculture Effluent Discharge Program
Year 1 Final Report prepared for Centre for Tropical and Subtropical Aquaculture Hawaii. pp 2-53
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Appendix C: Existing Aquaculture Certification Standards and Codes of Practise
There are various schemes in existence that can be classed in three basic types of certification:
 Environmental certification – audit and assessment of operations to defined criteria followed by
eco-labelling of product, often requiring the implementation of a documented EMS.
 Professional accreditation of producers to guidelines, policies or codes of practice (possibly
followed by eco-labelling of product).
 Organic production of culture species to certifiable, reputable and recognised organic standards.
It is likely that, in order to corner a profitable section of the market, true environmental certification
schemes will benefit from differentiating themselves from organic certification and accreditation to
codes of best practice in future.
The range of issues and procedures addressed in the various certification schemes currently available
is large and highly heterogeneous, although there are also similarities between the schemes.
D-1 Non-organic Certification Schemes
Fundación Chile Code of Good Environmental Practices for Well Managed Salmonid Farms
Fundación Chile has developed this code in order to provide Chilean salmonid producers with the
option of adding market value to their product and in order to provide a method of improving
environmental performance of the industry in Chile. The code identifies some common indicators of
environmental performance as:
 Legally required permits and documents
 Non-aquaculture specific controls (e.g. vessel integrity, health and safety, etc.)
In addition it also identifies salmonid production-specific indicators, environmental monitoring
procedures and reference standards in relation to these indicators for:
 Hatcheries
 Smolt facilities
 On-growing facilities
The code is extremely specific, for example stipulating that at least three species of macro-zoobenthos
be present beneath cages in order to promote bioturbation and that the presence of Beggiatoa sp. is
unacceptable (indicating as it does organic enrichment of sediments). All aspects of farm operation
relate only to the Chilean situation and Chilean national legislature.
The code goes further than simply examining direct impacts of salmonid culture. General site
construction principles are identified along with prescriptions for energy consumption and farm
vehicle emissions.
Successes, Weaknesses, Opportunities and Potential (SWOP) analysis is presented in Table 11. It
should be noted that this code is currently the only one of its type available to salmonid producers,
and as such is untested in the markets. Despite this, and assuming that there are teething difficulties
yet to be encountered, the style and content of Fundación Chile’s code is technically proficient and as
such represents a clear baseline for future codes.
Table 11: SWOP - Fundación Chile CGEP for Well Managed Salmonid Farms
Success
Weakness
Obstacles
Potential
Provides a highly
defined, prescriptive
code of practice that is
auditable and relevant
to salmonid producers.
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Not “eco-friendly”
enough to allay
concerns from
consumer and ecopressure groups
outside the aquaculture
industry.
Country-specific,
potential confusion
with organic schemes
and ISO standards.
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Could become the
blueprint for
international codes of
environmental good
practice in salmonid
farming.
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Global Aquaculture Alliance (GAA)
Twelve countries conceived the Global Aquaculture Alliance in 1997. It is an international nongovernment organisation the concentrates (non-exclusively) on shrimp farming throughout the world.
In 1999 the GAA merged with the Responsible Fisheries Society of the USA (RFS) to create a joint
eco-labelling scheme. This was to be implemented by creating country-specific Codes of Best
Practice (CBPs) for aquaculture operations, then assessing applications from operators by means of
questionnaire survey in order to determine whether the guidelines are being followed. The result of a
successful application to the Alliance would be in the form of professional accreditation of the
operator to the GAA itself, enabling the products of accredited farmers to be labelled as ‘GAAAccredited’ or similar, indicating that the product has been produced within environmental
performance parameters that fulfil the requirements of the CBPs.
This is a different concept to that of organic certification in that it contains no connotations of food
quality. Reliance of the accreditation procedure on single sources of information supplied by
producers without independent verification is the main criteria for assessing adherence to the
guidelines. This is unlikely to satisfy consumer needs, in particular those of transparency. Despite
potential problems with the accreditation and assessment or audit procedure it is likely that, judging
by the GAA Codes of Practice for Responsible Shrimp Farming (1999), the CBPs used are likely to
be the most modern and effective around.
The merger of the GAA with the RFS introduced an international organisation to global aquaculture.
The prospects for such an organisation are good, especially given the fact that the GAA is relatively
well established. Furthermore, it is involved in an area of aquaculture that companies such as KRAV
and BioGro (see below) are not – the widespread dissemination and collation of up-to-date
information on most environmental aspects of concern within aquaculture. This highlights a vital
component of any certification scheme in that it must contain a platform for training, or at least
dissemination of information that will aid operators in a technical, practical and proactive manner to
minimise the negative impact of their entire operations on the environment.
The Codes of Practice for Responsible Shrimp Farming contain the following sections:





Mangroves
Design and Construction
Community and Employee Relations
General Pond Operations
Shrimp Health Management




Site Evaluation
Feeds and Feed use
Therapeutic Agents and other Chemicals
Effluents and Solid Wastes
Even this cursory look at the contents of the codes illustrates clearly the difference between an
environmental standard and an organic standard. The only possible exclusion from the Codes of
Practice for Responsible Shrimp Farming that is contained in the organic standards is the issue of
animal welfare. The codes are clearly based more on scientific research and current knowledge than
organic principles, as indicated in Table 12 as SWOP analysis.
Table 12: SWOP - GAA-RFS Eco-labelling Scheme
Success
Weakness
Obstacles
Approaches the
environmental performance
of aquaculture in a scientific
manner, increasing the
clarity and specific relevance
of assessment criteria, and
contains technical
recommendations for
improvement.
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Accreditation
procedure is open
to interpretation.
Voluntary nature
without market
drive for producers
to adhere to
guidelines may
reduce the number
of applicants.
Dependent on
development of
country-specific
codes that are
acceptable to and
achievable by
farm operators.
POSEIDON Aquatic Resource Management Ltd
Potential
To instigate the use of
sound scientific principles
on environmentally
responsible practice to a
wide range of aquaculture
operations throughout the
world. Potentially the
basis for a very unilateral
shrimp culture production
standard.
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The codes outlined above include both upstream and downstream impacts of aquaculture operations
that are not always present in organic standards. Upstream impacts are catered for by the promotion
of Site Evaluation before production takes place and Design and Construction of the site. This
broadly describes the Environmental Assessment procedure, including evaluation of features
influencing site carrying capacity, establishing baseline conditions to which future impacts can be
compared, and identification of mitigating measures for potential environmental problems in a
strategic manner before problems become irreversible. Downstream impacts are covered in the GAA
code by the Community and Employee Relations code, which includes a stipulation that farm
management should be aware and attempt to cater for traditional use of the resources that will be the
subject of competition.
The main disadvantage of a code of practice is its entirely voluntary nature and the fact that it is often
not designed with auditability in mind. This has two potential effects: the first is on the design of the
codes themselves, in that the requirements of the code may not be SMART (Specific, Measurable,
Achievable, Realistic and Targeted). The second, which often follows on from the first, is that the
code may be ignored by target operators. This can be mediated with organic schemes or structurally
audited standards such as the ISO 14000 series by successful marketing strategy, creating a market
requirement for the standard (similar to the result of the ISO 9000 series (US-AEP, 1998).
1.
There are, however, strong critics of this industry-led approach. WWF (US) has made the
following comments, considering that there were too many unquantified variables in the program.
They also stressed the need for an objective, third party certification system for shrimp aquaculture.
ISO 14001 Environmental Management System (& EMAS)
Unlike other certification schemes, use of the ISO 14000 series or EMAS (the European EcoManagement and Audit Scheme) as a tool for marketing and/or improvement of environmental
performance is an entirely generic procedure. This means that, although the underlying principles are
similar, comparison with products certified to specific criteria in the marketplace may put ISO and
EMAS at a disadvantage. Essentially ISO 14001 requires that a company policy be developed in
relation to environmental performance. This policy must be followed and staff trained to enable its
implementation. The resulting system is audited in a well-defined and structured manner, reviewed
on a regular basis and improved where necessary. EMAS can be considered as broadly the same as
ISO 14000 except that all information regarding the EMS must be made available to the public.
Taking EMAS to contain an EMS based on the ISO 14001 standard, the criteria required for
certification of such an EMS are outlined below (used in addition to abridging criteria set out for
EMAS by accredited certification bodies):








Environmental Policy
Legal & Other Requirements
Environmental Management Program
Communication
Document Control
Emergency Preparedness and Response
Non Conformance & Corrective &
Preventative Action
Environmental Management System Audit







Records
Objectives & Targets
Training Awareness & Competence
Management Review
Operational Control
Monitoring and Measurement
Environmental Aspects of operation

Environmental Management System
Documentation
The three most fundamental principles that underpin these schemes are to:
 set objectives (for example as an environmental policy)
 implement measures to achieve these objectives, and to
 continually review and improve both the objectives and the measures used to achieve them.
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Certification under these schemes is a different concept to specific aquaculture standards. Specificity
is achieved not by defining criteria on which operations will be assessed, but by setting out a
procedure on which the applicants formulate their specific aims and methods for achieving them.
The advantage this presents to industry is that criteria can be tailored to each applicant. The
disadvantage is to the consumer and the environment as, in theory, two operations producing the same
species with a similar system in similar areas may both have ISO 14001 certification whilst adhering
to different levels of environmental performance. Consequently transparency of the production
process available to consumers (and retailers) through eco-labelling of products with aquaculturespecific schemes is unlikely to be easily achievable with ISO 14001.
The requirement of an EMS is perhaps the best component of the ISO 14000 series. The fact that
EMAS and ISO 14000 are complementary (Baxter, 1999) means that the best elements of both can be
taken and used to achieve certification to either one. This is reportedly what many environmental
managers of global companies are doing – bolstering their EMS with useful components of ISO
14001 and EMAS but not applying for certification, as market benefits may not be sufficient to
warrant the extra work involved in certification.
Several sectors in the aquaculture industry have achieved ISO 14001 certification over the past few
years. These include companies such as Marine Harvest, Hydro Seafood GSP and at least two feed
producers (Trouw and Nutreco). The identity of sections worth extracting from ISO 14000 (namely
those parts within ISO 14004) to use in EMSs, required for certification to another environmental
certification scheme are covered in Table 13 as Success and Potential. The applicability of the
schemes to aquaculture is also covered in Table 13.
Table 13: SWOP - ISO 14000 series in its Application to Aquaculture
Success
Weakness
Obstacles
Uses EMS and sets
clear objectives,
enabling
environmental
improvement.
Includes training,
preparation for
emergencies and
continual re-evaluation
and improvement of
performance.
Lack of market
transparency and
consumer attraction.
High resource use and
workload required for
implementation and
maintenance.
Complex
implementation
procedures and weak
marketability of
certified product may
reduce uptake in
aquaculture.
International status
might favour country
or species-specific
certification.
Potential
Main potential is in
unilateral applicability
to multinational
operations. Also has
potential to improve
regulatory compliance
and to become market
requirement akin to
ISO 9001.
D-2 Organic certification schemes
International Federation of Organic Agriculture Movements (IFOAM) Draft Organic
Aquaculture Standards
The International Federation of Organic Agriculture Movements (IFOAM), an umbrella organic
agriculture organisation, has included draft organic aquaculture standards in their Basic Standards.
The IFOAM General Assembly decided in September 2000 that it was not ready to finalise its draft
aquaculture standards. During the Biofach Conference held in Nuremberg, Germany in February
2001, an IFOAM Organic Aquaculture Working Group was established to further investigate relevant
issues in organic aquaculture standards. This group is exploring policy aspects such as achieving
IFOAM basic principles, participation with other standard setting bodies and co-operation with other
stakeholders, and technical aspects such as feed and health. The Working Group is also examining
possible development of capture fisheries certification.
The draft standards cover carnivorous, omnivorous and herbivorous organisms of all stages grown in
any form of enclosures such as earthen ponds, tanks and cages, but give criteria that national certifiers
must include in order to become accredited to IFOAM.
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The draft standards include:


Conversion to organic aquaculture
Location of production units





Health and Welfare
Nutrition
Basic Conditions



Transportation of living marine animals
Location of collection areas (for wild,
stationary organisms)
Breeds and breeding
Harvesting
Slaughter
Each criterion is expanded to general principles and specific guidelines for prospective certifiers.
These are clear and concise, covering all aspects of production. Although currently in draft form, it
seems unlikely that the criteria will change significantly. The organic movement in the USA is
currently following IFOAM principles in drafting their own organic standards for aquaculture (Brister
2001). Most of the individual organic certification standards outlined below are accredited to
IFOAM. Table 14 presents the SWOP analysis for IFOAM’s draft standards.
Table 14: SWOP - IFOAM Draft Aquaculture Production Basic Standard
Success
Weakness
Obstacles
Potential
Comprehensive and
clear scheme that
provides a workable
basis for individual
organic schemes to
derive standards from.
Sometimes lacks
definitive prescriptions
that may be too loose
in their “organic”
nature.
Faces clear problems
in sourcing fish feed
from wild sources
(refers to FAO Code of
Conduct for
Sustainable Fisheries).
Could become globally
recognised and
followed baseline for
organic aquaculture.
Naturland Organic Standards
The Naturland standards for the production of shrimp, salmon, mussels and other cold water fish,
hereafter referred to as the Naturland Standards, are accredited to IFOAM. They are used primarily in
Germany (mainly trout farming), Ecuador (shrimp production) and Ireland (salmon and mussel
farming). The standards (see Appendix D) are separated into seven sections:




Rearing of Fish and Servicing of Cages
Feeding
Fish Re-Stocking, Breeding and Origin
Water Quality



Transport, Killing and Processing
Health
Propagation of Fish Stocks and Breeding
The certification criteria are geared towards natural rearing of fish, i.e. prohibition of use of synthetic
containers such as concrete, provision of structures and areas for ecological development and
provision of variation within the culture enclosures (thereby allowing shade, etc.). SWOP analysis is
presented in Table 15.
The emphasis is on monitoring and documentation of all activities, thereby allowing Naturland or an
alternative auditor to continually assess farm activities. Monitoring is required for water quality (O 2,
pH, temperature, NO3-N, NH4-N, conductivity and water grade). Wastewater must also be monitored
for BOD5 (Biochemical Oxygen Demand) and KMnO4 (Potassium permanganate) during normal
operations. The discharge water quality must be the same as the entry water. Monitoring of
sediments and macro zoobenthos is required to establish this.
The feed section prohibits use of feed containing genetically modified materials. Annual applications
must be made to use fish meal/oil in feeds, and the maximum phosphorous content of total feed is set
at 15g/kg (1.5%). Colourings and feed additives are prohibited.
Stock health should be maintained through good management, husbandry and breeding, although no
guidelines on how best to implement this are supplied in the standards. However, the farm is free to
apply to Naturland to use any ‘non-organic’ medication or treatments. Withdrawal periods are set at
double the prescribed or a minimum of 3 months. The standards prohibit culture of organisms that
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have been genetically altered through biotechnology, gene-technology or hormone treatment, and the
culture of descendants of such GM organisms is also prohibited. Culture must be of indigenous
species, although again an operator may apply to Naturland for license to culture non-indigenous
species if their market is solely human consumption or ornamental (i.e. most culture species).
Stocking densities are defined for freshwater at 50kg end weight of fish/L/second, or a maximum of
10kg fish per m3. For salmon stock density must be maintained to keep Dissolved Oxygen (DO)
concentrations above 70%. Stock must be sourced from either Naturland-certified hatcheries or
(notifiably) from non-GM and non-prophylactic medicated sources. Stock for ‘natural waters’ is
required to be genetically 50% wild.
Transport, Killing and Processing is relevant to both animal welfare (stress-free, swift, anaesthetised
slaughter, maximum 10 hour transportation, etc.) and quality (chilling must not be interrupted until
sale). Reference is made to destination of wastewater from killing and processing, stipulating that it
shall be ‘sterilised [or] purified’.
The Naturland Standards also include an outline for mussel, carp and shrimp culture. However, these
are currently at either the developmental or pilot stage.
The Naturland Standards are comprehensive and include a small quantity of criteria that involve
environmental protection. However, their remit is to be organic. There are numerous “get out
clauses”, whereby application for special treatment to Naturland can be made. This would appear to
be in the interest of industrial acceptance, and does create allowances (or compromise) for operations
that involve non-indigenous species culture, for example, or that are subject to particularly high rates
of disease.
Table 15: SWOP - Naturland Standards for Aquaculture
Success
Weakness
Obstacles
Comprehensive and
clear scheme that has
adequate scientific
basis to stand alone as
an industry standard.
May be taken as a lone
standard, therefore
missing much
information on
marketing, certification
procedure and basic
best practices.
Possible obstacles to
success follow from
the weakness in that
marketing strategies
may not be sufficient
to expose the standard
to industry or
consumers or both.
Potential
Has the potential to
continue from current
use in Ireland to
Scotland and perhaps
Norway. Tends to be
used as a reference in
developing new
standards.
Soil Association Certification Ltd
The Soil Association Certification Ltd (Soil Association) aquaculture standards were the subject of a
pilot study. Orkney salmon farms have been producing fish in compliance with the standards,
labelling them as “Orkney Organic Salmon”. These fish have been sold at marked-up prices, but
there remains debate as to whether they are truly organic.
The Soil Association has approached the certification of farmed fish with caution. In their
Background Paper on organic fish farming (Soil Association Certification Ltd, 1998) the
compromises that need to be made in order to call farmed fish organic are highlighted, with the most
important factor, the use of wild fish in feeds, being addressed in comparison with other animal
farming. The conversion of less than 2:1 (FCR of less than 2) protein in : protein out is considerably
better than most other farming procedures. This is considered a mitigating factor.
The standards are in two sections, one with general standards for fish farming and the other containing
additional standards for individual species (Atlantic salmon and trout):
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General Standards:
 Introduction and general principles
 Breeding and young stock
 Water holding facilities
 Conversion
 Harvesting
Species-Specific Standards:





Animal welfare and stock management
Health control
Diet and nutrition
Location and environmental impact
Records


Trout (SMS, Water management and
Harvesting)
Atlantic salmon (SMS, Husbandry and
Harvesting)
The standards contain all of the basic criteria, as described for the other schemes, such as stocking
densities, use of unpolluted water, etc. There are differences, such as the acceptance of non-organic
stock in new operations (different from Naturland, for example) but these are generally small.
There are two unique components of the standards, however. The use of a ‘Site Management System’
(SMS) is required in the standards, to be submitted to the Soil Association. The main advantage of
this is twofold; it enables strategic development to be planned, monitored and regulated; and it
enables each certification process for each operator to be tailored to the site(s) in question. This is
identifies the Soil Association Standards as the most advanced organic standards available to
aquaculture. It is also stipulated that the SMS should be developed with the “relevant experts” and
that it should include plans for fish welfare, health control and environmental impact.
The second unique characteristic is the continual use of established notation following each section,
with any of four sub-sections – recommended, permitted, restricted or prohibited. These are
defined in overall Soil Association standards and allow recommendations to be made for improved
technical performance, as well as clearly defining prohibited or restricted substances or practices.
The language used throughout the standard can be imprecise and may cause confusion (such as
“Residues from composting operations should be put to a good use” and many stipulations that
operations should ‘pose no threat to the environment’). Use of such language is often unavoidable,
but would become clearer if quantified (i.e. use of biodiversity indices or levels of discharged
chemicals in bio-monitoring species such as algae or shellfish). There are also ‘get out clauses’,
following on from the background paper (Soil Association Certification Ltd., 1998) such as that stock
should “…as far as possible be allowed to act according to their basic behavioural patterns”.
The additional section containing specific criteria for Atlantic salmon and trout are quantitative and
precise, containing specific hydrological and physico-chemical conditions that must be maintained in
sites. Table 16 overviews the standard through SWOP analysis.
Table 16: SWOP - Soil Association Aquaculture Standards
Success
Weakness
Obstacles
The most
comprehensive and
scientifically sound
organic standard
available. Use of SMS
enables site-specific
certification and audit.
07 March 2016
Specificity to the UK.
Strict standards may
not have adequate
take-up by producers.
Lack of clarity as to
the possibility of
rearing organic
carnivorous fish within
the Association.
POSEIDON Aquatic Resource Management Ltd
Potential
Significant UK market
potential. SMS could
be developed to EMS
status, with ISO
accreditation in mind.
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National Association for Sustainable Agriculture Australia
The National Association for Sustainable Agriculture in Australia (NASAA) is an organic
certification organisation that certifies organic agriculture production in Australia, Papua New
Guinea, Sri Lanka and Indonesia to IFOAM standards. It focuses predominantly of terrestrial
agriculture, but has criteria by which aquaculture operations can operate their production organically.
These criteria consist of a single side of A4 paper, with the following sections:







Water
Health
Pond Systems
Containment
Feed
Nutrients
Harvest and Processing
The only detail in the criteria relates to feed and stocking density. Feed must be organic (from the
NASAA standards) and fed at 95% of the total administered diet. Stocking density is specified only
for cage rearing of fish at 10 kg/m2. The rest of the organic criteria are in the form of directions such
as “Ponds must not be located so as negatively to affect riverine environments or floodplains in the
vicinity”.
The NASAA standards for aquaculture are, as with the KRAV Standards, intended for use in
conjunction with generic organic production criteria that complement a large set of standards that
comprise the entire range of NASAA organic standards, so similar advantages and disadvantages
apply. However, as mentioned in the SWOP analysis in Table 17, these standards are inadequate to
perform a comprehensive assessment of aquaculture operations.
Table 17: SWOP - NASAA Organic Certification Criteria for Fish and Crustacea
Success
Weakness
Obstacles
Potential
Can be more comprehensive
for organic culture due to the
use of a separate set of
generic organic standards, in
addition to the aquaculture
criteria.
Certification
criteria are too
simple and
ultimately their
organic status is
debatable.
Development of
certification criteria
will be highly
complex if the
potential client base
is to be fulfilled.
NASAA has a large
source of potential
aquaculture customers,
with the majority of
Oceania and Indonesia
already containing clients.
BioGro New Zealand Production Standards
The BioGro NZ Production Standards for organic aquaculture certification criteria are presented as a
Section in a book of agricultural organic standards as with KRAV Kontroll. However, the section for
aquaculture is more similar to the Naturland Standards. Thus, as illustrated in the SWOP analysis in
Table 18, the BioGro NZ standards contain the best of both KRAV and Naturland, containing general
criteria for organic farming, marketing and certification process along with specific criteria for
aquaculture that could stand independently of the rest of the standards.
The standards for organic aquaculture contain the following sections:
Aquaculture:



Basic conditions
Construction materials
Conversion



Scope
Location of production units
Breeds and breeding



Natural behaviour
Medicines
Slaughtering
Fish Farming:




Water
Feed
Handling
Logbook
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Shellfish and Crustacean Farming:



Introduction
Rainfall criteria
Growing feed



Bio-Toxins
Gathering feed
Residue testing

Additives and processing aids
Processing Aquaculture Products:


Processing
Smoking
Specific areas covered include prohibiting the use of malachite green as an antifungal agent, specific
guidelines for documentation and, most importantly, several strategic criteria. These strategic criteria
include a target for reduction of fishmeal use and stipulation for bio-toxin risk management plans to
be approved by the Council in shellfish farming.
The standards also contain clauses that allow testing of various environmental parameters such as for
pesticides and heavy metals. However, this is presented as upstream testing (hence the scheme is
organic, rather than ‘environmental’). The wording is clear, but often open-ended (“…ample
unpolluted water is essential…”).
Table 18: SWOP - BioGro NZ Organic Production Standards for Seafood Products
Success
Weakness
Obstacles
Potential
Concise,
comprehensive
strategic criteria
by which
operations must be
assessed.
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Shellfish &
Crustacean and
Fish Processing
standards are not
specific and could
be much more
comprehensive.
Geographical location
of the company may
prove limiting factor to
expansion. As with
other organic standards
no recommendations
are made to improve
environmental
performance.
Has the potential to
outperform NASAA standards
in Oceanic region.
The standards contain New
Zealand-specific clauses that
could be changed without
disagreement to clauses
stipulating local regulations.
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KRAV Kontroll AB Organic Standards
KRAV Kontroll AB is a subsidiary of KRAV, an organic promotion and certification company in
Sweden. KRAV Kontroll AB has different commissioners to KRAV, implying their independence.
KRAV Kontroll AB is the certifying branch of KRAV. Like Naturland, KRAV is IFOAM accredited.
The standards from KRAV are a booklet containing organic production standards for:






Agriculture in general
 Crop production
Animal husbandry
 Apiculture
Hides, Leathers and Skins
 Wild production
Handling & processing
 Slaughter
Pet food
 Textiles
Farming of salmon, trout, Arctic char and Brown trout
The standards for organic production of farmed fish are not independent of the overall criteria for
organic agriculture included in the KRAV Standards. They must be used in conjunction with the rest
of the agricultural organic production criteria. This enables the standards to encompass more aspects
of production than standards designed solely for fish farming. However it also requires that the
criteria on which production of farmed fish is assessed are necessarily vague, with ambiguity due to
sections having to refer to both general organic agriculture procedures and specific criteria for
aquaculture.
The section outlining specific criteria required in farming of salmon, trout, Arctic char and Brown
trout contains the following sub-sections:
 Extent and Conversion
 Breeds and brought in fish
 Health
 Slaughter
 Welfare
 Feed and Feeding
 Care for the Environment
The KRAV Standards’ expressed aim is to “produce high quality products in a sustainable manner
and to do so in a credible and reliable way” whilst strengthening the ties “between consumer and
producer by being as open as possible about the [farming] operation”. Their content is ultimately
similar to the Naturland standards outlined above, although the style of language used is often
ambiguous or open ended. This may enable operators to exploit undesirable materials useful to their
operations that are not specifically covered in the standards. Naturland addresses this through, for
example, prohibiting the use of all feed additives with a few permissible exceptions.
The KRAV standards have been used as a basis for standards in Norway by Debio. This is discussed
below.
SWOP analysis is presented in Table 19. Generally, the KRAV standards are less stringent and
contain more ambiguity of meaning than both BioGro NZ and Naturland. For example, the permitted
stocking density for salmon (20 kg/m3) is twice that permitted by Naturland, although required DO
levels are 15% higher.
Table 19: SWOP - KRAV Standard for Salmonid Culture
Success
Weakness
Obstacles
More extensive criteria for
organic production than
standards designed solely
for farmed fish. Association
with Debio strengthens
market position.
07 March 2016
Language used is
often unspecific or
ambiguous, leading
to potential
disparities in
assessment or
operational criteria.
Credibility may be
compromised if criteria
continue to lack clarity.
Specific to Sweden.
Highly labour-intensive,
as many standards require
permission from KRAV.
POSEIDON Aquatic Resource Management Ltd
Potential
KRAV has
similar potential
to Naturland.
Links with Debio
provides a
potential market
in Norway.
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Debio Organic Aquaculture Standards
Debio is the Norwegian organic inspection and certification body.
standards for aquaculture production are expressed as:
The motivation behind the
“Organic aquaculture facilities must be managed in such a way that this aquatic environment
constitutes a positive element of nature itself.”
The standards have been developed in accordance with IFOAM (although they are not IFOAM
accredited) and in conjunction with KRAV. Consequently, KRAV and Debio-certified aquaculture
products are interchangeable.
The Debio standards contain the following sections:
General standards for all types of organic aquaculture production
Production Set-up
 Conversion to Organic Production
 Parallel Production
Conversion Period


Environment / Water Quality


Record Keeping

Withdrawal Period When Using Drugs
Breeds and Breeding
Feed and Feeding


Raw Materials
Additives
Health and Animal Welfare


Treatment / Medication
Record Keeping
Specific Standards for Production of Fish (salmonids)




Measures Against Escape
Record Keeping
Health and Animal Welfare
Slaughter

Environment and Water Quality


Breeds and Breeding
Transportation
The wording of the Debio and KRAV standards are virtually identical in their meaning, although
there are numerous minor differences in the wording. Ultimately, the standards are interchangeable as
claimed by the two organisations. This is noted in SWOP analysis in Table 20. SWOP analysis gives
similar results to KRAV.
Table 20: SWOP - Debio Aquaculture Standards
Success
Weakness
Obstacles
Extensive standards
that address feed issues
well. Association with
KRAV strengthens
market position.
07 March 2016
Language used is often
unspecific or
ambiguous, leading to
potential disparities in
assessment or
operational criteria.
Potential
Credibility may be
Potential to corner the
compromised if criteria largest global salmoncontinue to lack clarity. producing market.
Specific to Norway.
Highly labourintensive, as many
standards require
permission from
Debio.
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FAO Code of Conduct for Responsible Fisheries
Section 9 of the FAO Code of Conduct for Responsible Fisheries and Article 5 of the FAO Technical
Guidelines for Responsible Fisheries provide guidance outlining the principles of sustainable
aquaculture that are applicable to individual states. It is aimed at those responsible for the strategic
development of industry and its regulation. In developing practical standards on which environmental
performance of aquaculture operations can be assessed, the ethos outlined in the FAO Code of
conduct can be followed to satisfy globally accepted principles on sustainable aquaculture.
Holmenkollen Guidelines for Sustainable Aquaculture
These guidelines are based on the FAO principles, expanding these principles based on
representations from 28 countries. Section 9 of the FAO Code of Conduct is provided as an Annex to
the Holmenkollen Guidelines. The guidelines are expressly aimed at individual states, producers and
industry, the scientific and technical community, and intergovernmental organisations and
development agencies.
Federation of European Aquaculture Producers Code of Conduct for European Aquaculture
The FEAP Code takes account of both the FAO Code of Conduct and of the Holmenkollen
Guidelines. It addresses both quality and environmental issues covering:
1. Water use
2. Intake of fish stocks
3. Fish health:

(Food and Feeding

Handling and transportation

Predators

Stocking density

Slaughter

Monitoring and record
keeping

Site selection

Site management (escapes,
therapeutants)
4. Environment

Water use and quality
5. Social and Economic Relationships
6. Consumer transparency and quality.
The code relates directly to the FAO Code of Conduct, although is more specific in its prescriptions.
It is compared with other existing schemes in Tables 30 & 11.
D-3 Recent Developments
USA Organic Aquaculture
Indications are that the US will follow the Soil Association and perhaps even go further in specifically
mentioning the use of MSC-accredited fisheries as sources of fish meal and oil for feed (Brister,
2001). The Institute for Social, Economic, and Ecological Sustainability (ISEES) are working with
US certification bodies to contribute to the development of organic aquaculture standards. The
proposal is to base these on the IFOAM draft aquaculture standards discussed above, and key issues
identified to date are:

Health

Breeding

Feed

Physical structures and living conditions
There is a strong will emanating from the US organic aquaculture movement to standardise organic
certification schemes in the aquaculture industry, hence the proposal to base any new standards on
IFOAM criteria.
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Thai Marine Shrimp Culture ‘Codes of Conduct’
The marine shrimp industry in Thailand has developed a code of conduct for its operations, largely
based on the GAA codes (see above). This code of conduct is a set of principles and processes that
provides a framework to meet the industry’s goal for environmental, social, and economic
responsibility. The foundation of the code of conduct is the following mission statement:
The marine shrimp farming industry in Thailand is committed to producing high quality, hygienic
products in a sustainable manner that provides for environmental, social, and economic benefits to
present and future generations.
Policy statements have been formulated to outline actions that the industry will undertake to meet is
commitments under the mission statement. These policy statements cover a broad range of topics,
including:
 Environmental protection
 Efficiency
 Public consultation
 Research and development
 Regulatory compliance
 Social responsibility
 Location
 Monitoring and auditing
 Quality and safety
 Education and training
 Continual improvement
 International trade
The code of conduct is voluntary, but it has been signed by a wide variety of industry stakeholders.
The code commits the signatories to specific actions, including the development of a series of
operating guidelines and procedures manuals. These actions are intended to aid the industry in
carrying out its operations in a manner consistent with the intent of the code of conduct.
The implementation of a Code of Conduct in Thailand and other Asian countries will be much
different than in the Americas. There are many small shrimp aquaculturalists in Asia while in the
Americas, there are fewer producers, but most of them have large farms. At best, the types of BMPs
as well as the ability to implement any single BMP will be different for small and large producers.
Small-scale producers do not have access to the same level of financial resources as larger ones to
implement BMPs necessary to fulfil obligations outlined in a Code of Conduct, but they do have the
ability to implement more labour intensive BMPs. Different farmers also have different levels of
education and technical knowledge. Different types of governmental and international assistance and
funding for implementation of Codes of Conduct will be needed in Asia than in Latin America, but
there will also be major differences between countries in each region as well. The Thailand
Department of Fisheries plans to develop a program to promote the implementation of the Code of
Conduct by small farmers. There are several reports of initial difficulties with the trial
implementations of the Thai Code of Conduct (Boyd et al, unpublished). Reports indicate that farmers
perceive the Code as something the government pushed but with which the shrimp producers had little
or no involvement.
Environmental Code of Conduct for Australian Prawn Farmers
This code of conduct (Annex 4) was prepared for the Australian Prawn Farmers Association (APFA),
with funding from the Australian Department of Environment (Donovan 1998). Conservation and
environmental NGOs, governmental fisheries and environmental agencies, and shrimp farmers were
asked to review and contribute to this work. Thus, it incorporates the input of most pertinent
stakeholders.
The section of the APFA code titled “Appropriate Management Practices” provides suggested
management practices for all aspects of farm management, including site selection, farm design and
planning, construction, effluent management, feeding, chemical use, and several others. However, the
practices are given as general statements with no instructions on implementation. In spite of the lack
of instructions for installing or using BMPs, most Australian shrimp producers are well educated and
fairly knowledgeable about the technical aspects of aquaculture. They can probably implement most
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of the suggestions without difficulty. However, because of the lack of detail about implementation,
this code has little relevance to producers in most other parts of the world.
The Environmental Code of Conduct for Australian Prawn Farmers is thorough and well prepared.
Similar to other codes of conduct, the Australian code lacks an operations manual with more detail to
supplement the current document. Australia has a well-developed system of environmental laws and
regulations, and the greatest value of this code appears to be helping producers comply with existing
environmental regulations. It will be a useful reference for those making codes in developing nations,
but it is not an acceptable code for direct adoption in other countries. For example, the Australian
code does not address social matters, although these must be addressed in codes of conduct for shrimp
aquaculture in developing nations.
The Industrial Shrimp Action Network's Draft Guidelines for Shrimp Aquaculture
The Industrial Shrimp Action Network (ISANet) is a global network of organizations and individuals
who are deeply troubled by the environmental and socio-economic costs of industrial shrimp
aquaculture. In December 1998, ISANet issued draft guidelines for sustainable shrimp aquaculture
that offer several interesting contrasts to the codes outlined above. These guidelines represent a work
in progress rather than a consensus. They were drafted by Rebecca Goldburg of the Environmental
Defence Fund and Jason Clay of World Wildlife Fund-US.
In this review, discussions of the ISANet guidelines focus on those addressing social impacts. The
ISANet guidelines are divided into four parts—shrimp farm construction and management,
government regulation and oversight, protection of human rights, and international actions. The
sections on shrimp farm construction and management are either largely derived from or reflected in
the writings of Claude Boyd and have been incorporated into many of the codes. Several points in
ISANet's guidelines, however, expand upon the environmental points made in other codes as well.
The main environmental points that deserve attention include:
 EIAs should provide data collected from both outside and inside ponds, and they should provide
sufficient data to monitor the individual and collective impacts of the industry.
 There should be no net conversion of critical coastal ecosystems.
 Shrimp production facilities should not divert essential water flows from critical ecosystems.
 Ponds should be sited so that communities continue to have access to fishing grounds, mangroves,
fresh water, and other critical resources that they depend upon for survival.
 The use of exotic species should be prohibited in tidal areas and other areas prone to flooding.
 Areas appropriate for development should be zoned. Criteria that should be used include acidity,
and organic and clay content of the soils.
 Fresh water should not be used in shrimp aquaculture ponds.
 Layout and construction of the operation should avoid mixing of influent and effluent.
 Layout should include settling ponds or canals and/or natural or artificial wetlands to treat
effluents.
 Water exchange should be undertaken only when necessary rather than on a routine basis.
 Discharge should be of equal or better quality than the intake water.
 No effluent should be discharged into freshwater systems.
The ISANet Guidelines also delineate the government’s role in developing and supporting producer
codes.
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Examples include:
 All decision making regarding such processes as leases and rentals of public land or licensing and
permits should be transparent.
 The government should insure that local stakeholders receive appropriate consideration, especially
regarding such issues as communal resources: food, fresh water, employment, and access to
resources.
 The precautionary principle should be applied to policies and regulations concerning shrimp
aquaculture.
 The government, and the industry when government does not fulfil its role, should work together
on coastal zone management.
 Governments should establish and rigorously enforce a clear legal framework for regulation of
shrimp aquaculture's environmental and public health impacts.
 Permits, licenses, or other types of authorizations should be contingent on ongoing monitoring and
satisfactory performance.
 Governments should fund research and extension activities with the goal of fostering only
sustainable aquaculture; especially those focused on implementing sustainable shrimp production
practices on farms.
 Regulations should encourage rehabilitation of degraded or abandoned shrimp ponds.
 Government should consider “polluter pays” instruments and performance bonds to encourage
sustainable shrimp aquaculture.
Finally, the ISANet guidelines suggest that several basic human rights should be supported by
industry. These include:
 The human rights, including resource rights, of local populations should be respected in
accordance with all relevant national laws and international treaties. In particular, agricultural
lands to be converted to shrimp aquaculture should not be acquired by coercion. The terms of all
leases should be respected.
 Alleged human rights violations resulting from shrimp aquaculture should be investigated by
competent, duly authorized authorities and proceed in accordance with the laws of the country in
question, as well as in compliance with the international treaties and agreements to which the
country is a party.
 Governments should create transparent guidelines and mechanisms that are acceptable to all
stakeholders to resolve conflicts arising from the use of resources held in common or to which
there are competing claims.
Finally, the ISANet guidelines suggest that national and international institutions should support only
those shrimp aquaculture projects that are made consistent with these sustainability criteria.
Additional standards
It is known that the Irish Salmon Growers’ Association, the British Columbia Salmon Farmers’
Association, the British Trout Association and the Catfish Farmers of America have been involved in
the production of standards relating to farming of fish. However, the standards were not available to
review as part of this report.
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D-4 Comparison of Schemes
Table
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Table 8 on pages 35 and 36 provide a direct comparison of the certification schemes reviewed above.
There are difficulties in comparing organic with alternative, non-organic schemes. In this way the
Fundación Chile code of practice stands out alongside that of the GAA as two highly plausible nonorganic schemes covering salmonids and shrimp respectively, assuming the desired output is not that
of organic certification.
Overall, of the organic schemes available, the Soil Association, BioGro NZ and Naturland standards
are technically most advanced and therefore likely to withstand the most rigorous scrutiny and be
acceptable to consumers. These are all accredited to the international organic umbrella body IFOAM.
Non-organic schemes are limited to one for salmonids, one for shrimp and one generic (ISO 14000)
so far.
Where organic schemes tend to fall down is in two areas: first, the impact of production on the
environment (as opposed to the impact of the environment on the end product) and; second,
introduction of suitably rigorous and solid audit procedures. The presence of a verifiable audit trail is
a must from the point of view of retailers.
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Appendix D: Naturland Standards for Organic Aquaculture
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Appendix E: Footnotes
i
Review consisted of 12 studies including: Gender, Economic Assessment, Livelihoods Assessment,
Institutional and Policy Review, Literature Review, Political Analysis
ii
See http://www.atdp.biz
iii
Tel/ fax +44 1590 610168, email tim@consult-poseidon.com, website www.consult-poseidon.com
iv
According to FAO, shrimp are predominantly marine species (i.e. P. monodon) and prawn are freshwater (i.e.
M. rosenbergii)
v
FFP, op cit
vi
Abedin J, Islam S, Chandra G, Kabir Q, 2001
vii
FFP op cit
viii
: Historically investment was discouraged in larger ghers because leases were short term (1-3 years). Karim and
Stellwagen, 1998
ix
FFP, op cit
x
Calculated from demand indicators in the from golda farms (Fisheries Review)
xi
However in each case the fishery has been a well-known single stock with relatively simple fisheries usually
representing either a very small artisanal fishing base or a larger but discrete commercial fishery. As such they
are been relatively easy to assess, certify and monitor.
xii
This depression in price may be largely due to the inclusion of the lower priced golda shrimp in price analyses
xiii
See Fifth Five Year Plan 1996/97 – 2001/02
xiv
Naturland - s.bergleiter@naturland.de
xv
Review consisted of 12 studies including :Gender, Economic Assessment, Livelihoods Assessment,
Institutional and Policy Review, Literature Review, Political Analysis
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