Risk Analysis for Invasive Species: General Framework and Research Needs

A joint workshop was convened by the Society for Risk Analysis Ecological Risk Assessment Specialty Group and the Ecological Society of America Theoretical Ecology Section to provide independent scientific input into the formulation of methods and processes for risk assessment of invasive species. In breakout sessions on (1) the effects of invasive species on human health, (2) effects on plants and animals, (3) risk analysis issues and research needs related to entry and establishment of invasive species, and (4) risk analysis issues and research needs related to the spread and impacts of invasive species, workshop participants discussed an overall approach to risk assessment for invasive species. Workshop participants agreed on the need for empirical research on areas in which data are lacking, including potential invasive species, native species and habitats that may be impacted by invasive species, important biological processes and phenomena such as dispersal, and pathways of entry and spread for invasive species. Participants agreed that theoretical ecology can inform the process of risk assessment for invasive species by providing guidelines and conceptual models, and can contribute to improved decision making by providing a firm biological basis for risk assessments.     

Risk Analysis for Biological Hazards: What We Need to Know about Invasive Species

Risk analysis for biological invasions is similar to other types of natural and human hazards. For example, risk analysis for chemical spills requires the evaluation of basic information on where a spill occurs; exposure level and toxicity of the chemical agent; knowledge of the physical processes involved in its rate and direction of spread; and potential impacts to the environment, economy, and human health relative to containment costs. Unlike typical chemical spills, biological invasions can have long lag times from introduction and establishment to successful invasion, they reproduce, and they can spread rapidly by physical and biological processes. We use a risk analysis framework to suggest a general strategy for risk analysis for invasive species and invaded habitats. It requires: (1) problem formation (scoping the problem, defining assessment endpoints); (2) analysis (information on species traits, matching species traits to suitable habitats, estimating exposure, surveys of current distribution and abundance); (3) risk characterization (understanding of data completeness, estimates of the "potential" distribution and abundance; estimates of the potential rate of spread; and probable risks, impacts, and costs); and (4) risk management (containment potential, costs, and opportunity costs; legal mandates and social considerations and information science and technology needs).     

Ecological Risk Assessment Conceptual Model Formulation for Nonindigenous Species

This article addresses the application of ecological risk assessment at the regional scale to the prediction of impacts due to invasive or nonindigenous species (NIS). The first section describes risk assessment, the decision-making process, and introduces regional risk assessment. A general conceptual model for the risk assessment of NIS is then presented based upon the regional risk assessment approach. Two diverse examples of the application of this approach are presented. The first example is based upon the dynamics of introduced plasmids into bacteria populations. The second example is the application risk assessment approach to the invasion of a coastal marine site of Cherry Point, Washington, USA by the European green crab. The lessons learned from the two examples demonstrate that assessment of the risks of invasion of NIS will have to incorporate not only the characteristics of the invasive species, but also the other stresses and impacts affecting the region of interest.     

Genetic Diversity of Invasive Species in the Great Lakes Versus Their Eurasian Source Populations: Insights for Risk Analysis

Combining DNA variation data and risk assessment procedures offers important diagnostic and monitoring tools for evaluating the relative success of exotic species invasions. Risk assessment may allow us to understand how the numbers of founding individuals, genetic variants, population sources, and introduction events affect successful establishment and spread. This is particularly important in habitats that are "hotbeds" for invasive species--such as the North American Great Lakes. This study compares genetic variability and its application to risk assessment within and among three Eurasian groups and five species that successfully invaded the Great Lakes during the mid 1980s through early 1990s; including zebra and quagga mussels, round and tubenose gobies, and the ruffe. DNA sequences are compared from exotic and native populations in order to evaluate the role of genetic diversity in invasions. Close relatives are also examined, since they often invade in concert and several are saline tolerant and are likely to spread to North American estuaries. Results show that very high genetic diversity characterizes the invasions of all five species, indicating that they were founded by very large numbers of propagules and underwent no founder effects. Genetic evidence points to multiple invasion sources for both dreissenid and goby species, which appears related to especially rapid spread and widespread colonization success in a variety of habitats. In contrast, results show that the ruffe population in the Great Lakes originated from a single founding population source from the Elbe River drainage. Both the Great Lakes and the Elbe River populations of ruffe have similar genetic diversity levels--showing no founder effect, as in the other invasive species. In conclusion, high genetic variability, large numbers of founders, and multiple founding sources likely significantly contribute to the risk of an exotic species introduction's success and persistence.     

Establishment Risks for Invasive Species

This article presents a quantitative methodology for evaluating the probability of invasive pest species establishing persistent populations. The estimation of pest establishment relies on data and information describing the biology and ecology of the pest and its interactions with potential host species and the regional environment. This information is developed using a model construct borrowed from theoretical population ecology. The methodology for estimating the probability of pest establishment is part of an overall framework that explores the implications of reductions in pest invasions on subsequent establishment. The risk reduction framework integrates the engineering aspects of different technologies for reducing pest entry, the biology and ecology of pest species, the suitability of potentially susceptible hosts, and the quality of available habitats. The methodology for estimating the risk of establishment is presented using an example pest, the Asian longhorned beetle ( Anoplophora glabripennis ), which has been introduced into the United States via solid wood packing materials (SWPM) used in international commerce. Uncertainties inherent to the estimation of model parameters that determine the risk of establishment are defined, quantified, and propagated through the population model. Advantages and limitations of the proposed methodology are discussed along with recommendations to make the approach more useful in the management of risks posed by the establishment of pest populations.     

Comparison of Scoring Systems for Invasive Pests Using ROC Analysis and Monte Carlo Simulations

Different international plant protection organisations advocate different schemes for conducting pest risk assessments. Most of these schemes use structured questionnaire in which experts are asked to score several items using an ordinal scale. The scores are then combined using a range of procedures, such as simple arithmetic mean, weighted averages, multiplication of scores, and cumulative sums. The most useful schemes will correctly identify harmful pests and identify ones that are not. As the quality of a pest risk assessment can depend on the characteristics of the scoring system used by the risk assessors (i.e., on the number of points of the scale and on the method used for combining the component scores), it is important to assess and compare the performance of different scoring systems. In this article, we proposed a new method for assessing scoring systems. Its principle is to simulate virtual data using a stochastic model and, then, to estimate sensitivity and specificity values from these data for different scoring systems. The interest of our approach was illustrated in a case study where several scoring systems were compared. Data for this analysis were generated using a probabilistic model describing the pest introduction process. The generated data were then used to simulate the outcome of scoring systems and to assess the accuracy of the decisions about positive and negative introduction. The results showed that ordinal scales with at most 5 or 6 points were sufficient and that the multiplication‐based scoring systems performed better than their sum‐based counterparts. The proposed method could be used in the future to assess a great diversity of scoring systems.     

An Ecological Risk Assessment of Nonnative Boas and Pythons as Potentially Invasive Species in the United States

The growing international trade in live wildlife has the potential to result in continuing establishment of nonnative animal populations in the United States. Snakes may pose particularly high risks as potentially invasive species, as exemplified by the decimation of Guam's vertebrate fauna by the accidentally introduced brown tree snake. Herein, ecological and commercial predictors of the likelihood of establishment of invasive populations were used to model risk associated with legal commercial imports of 23 species of boas, pythons, and relatives into the United States during the period 1989-2000. Data on ecological variables were collected from multiple sources, while data on commercial variables were collated from import records maintained by the U.S. Fish and Wildlife Service. Results of the risk-assessment models indicate that species including boa constrictors (Boa constrictor), ball pythons (Python regius), and reticulated pythons (P. reticulatus) may pose particularly high risks as potentially invasive species. Recommendations for reducing risk of establishment of invasive populations of snakes and/or pathogens include temporary quarantine of imports to increase detection rates of nonnative pathogens, increasing research attention to reptile pathogens, reducing the risk that nonnative snakes will reach certain areas with high numbers of federally listed species (such as the Florida Keys), and attempting to better educate individuals purchasing reptiles.     

Ecological Risk Assessment,Prediction, and Assessing Risk Predictions

Ecological risk assessment embodied in an adaptive management framework is becoming the global standard approach for formally assessing and managing the ecological risks of technology and development. Ensuring the continual improvement of ecological risk assessment approaches is partly achieved through the dissemination of not only the types of risk assessment approaches used, but also their efficacy. While there is an increasing body of literature describing the results of general comparisons between alternate risk assessment methods and models, there is a paucity of literature that post hoc assesses the performance of specific predictions based on an assessment of risk and the effectiveness of the particular model used to predict the risk. This is especially the case where risk assessments have been used to grant consent or approval for the construction of major infrastructure projects. While postconstruction environmental monitoring is increasingly commonplace, it is not common for a postconstruction assessment of the accuracy and performance of the ecological risk assessment and underpinning model to be undertaken. Without this “assessment of the assessment,” it is difficult for other practitioners to gain insight into the performance of the approach and models used and therefore, as argued here, this limits the rate of improvement of risk assessment approaches.     

Generic Assessment Endpoints Are Needed for Ecological Risk Assessment

This article presents arguments for the development of generic assessment endpoints for ecological risk assessment. Generic assessment endpoints would be ecological entities and attributes that are assumed to be worthy of protection in most contexts. The existence of generic assessment endpoints would neither create a requirement that they be used in every assessment nor preclude the use of other assessment endpoints. They would simply be a starting point in the process of identifying the assessment endpoints for a particular assessment. They are needed to meet legal mandates, to provide a floor for environmental degradation, to provide some consistency in environmental regulation, as exemplars for site- or project-specific assessment endpoints, to allow development of methods and models, to give risk managers the courage to act, for screening and site-independent assessments, to support environmental monitoring, to facilitate communication, and to avoid paralysis by analysis. Generic assessment endpoints should include not only a list of entities and attributes, but also explanations of each endpoint, guidance on their use and interpretation, and measures and models that could be used to estimate them.     

Foundational Issues in Risk Assessment and Risk Management

This is a perspective article on foundational issues in risk assessment and management. The aim is to discuss the needs, obstacles, and challenges for the establishment of a renewed, strong scientific foundation for risk assessment and risk management suited for the current and future technological challenges. The focus is on (i) reviewing and discussing the present situation and (ii) identifying how to best proceed in the future, to develop the risk discipline in the directions needed. The article provides some reflections on the interpretation and understanding of the concept of “foundations of risk assessment and risk management” and the challenges therein. One main recommendation is that different arenas and moments for discussion are needed to specifically address foundational issues in a way that embraces the many disciplinary communities involved (from social scientists to engineers, from behavioral scientists to statisticians, from health physicists to lawyers, etc.). One such opportunity is sought in the constitution of a novel specialty group of the Society of Risk Analysis.     

Probabilistic Models for Risk Assessment

Recent concern with the potential for stray carbon fibers to damage electronic equipment and cause economic losses has led to the development of advanced risk-assessment methods. Risk assessment often requires the synthesis of risk profiles which represent the probability distribution of total annual losses due to a certain set of events or activities. A number of alternative probabilistic models are presented which the authors have used to develop such profiles. Examples are given of applications of these methods to assessment of risk due to conductive fibers released from aircraft or automobile fires. These assessments usually involve a two-stage approach: estimation of losses for several subclassifications of the overall process, and synthesis of the results into an aggregate risk profile. The methodology presented is capable of treating a wide variety of situations involving sequences of random physical events.     

Risk Assessment and Alternatives Assessment: Comparing Two Methodologies

The selection and use of chemicals and materials with less hazardous profiles reflects a paradigm shift from reliance on risk minimization through exposure controls to hazard avoidance. This article introduces risk assessment and alternatives assessment frameworks in order to clarify a misconception that alternatives assessment is a less effective tool to guide decision making, discusses factors promoting the use of each framework, and also identifies how and when application of each framework is most effective. As part of an assessor's decision process to select one framework over the other, it is critical to recognize that each framework is intended to perform different functions. Although the two frameworks share a number of similarities (such as identifying hazards and assessing exposure), an alternatives assessment provides a more realistic framework with which to select environmentally preferable chemicals because of its primary reliance on assessing hazards and secondary reliance on exposure assessment. Relevant to other life cycle impacts, the hazard of a chemical is inherent, and although it may be possible to minimize exposure (and subsequently reduce risk), it is challenging to assess such exposures through a chemical's life cycle. Through increased use of alternatives assessments at the initial stage of material or product design, there will be less reliance on post facto risk‐based assessment techniques because the potential for harm is significantly reduced, if not avoided, negating the need for assessing risk in the first place.     

Historical Relationship Between Performance Assessment for Radioactive Waste Disposal and Other Types of Risk Assessment

This article describes the evolution of the process for assessing the hazards of a geologic disposal system for radioactive waste and, similarly, nuclear power reactors, and the relationship of this process with other assessments of risk, particularly assessments of hazards from manufactured carcinogenic chemicals during use and disposal. This perspective reviews the common history of scientific concepts for risk assessment developed until the 1950s. Computational tools and techniques developed in the late 1950s and early 1960s to analyze the reliability of nuclear weapon delivery systems were adopted in the early 1970s for probabilistic risk assessment of nuclear power reactors, a technology for which behavior was unknown. In turn, these analyses became an important foundation for performance assessment of nuclear waste disposal in the late 1970s. The evaluation of risk to human health and the environment from chemical hazards is built on methods for assessing the dose response of radionuclides in the 1950s. Despite a shared background, however, societal events, often in the form of legislation, have affected the development path for risk assessment for human health, producing dissimilarities between these risk assessments and those for nuclear facilities. An important difference is the regulator's interest in accounting for uncertainty.     

Knowledge-Based Risk Assessment Under Uncertainty for Species Invasion

Management of invasive species depends on developing prevention and control strategies through comprehensive risk assessment frameworks that need a thorough analysis of exposure to invasive species. However, accurate exposure analysis of invasive species can be a daunting task because of the inherent uncertainty in invasion processes. Risk assessment of invasive species under uncertainty requires potential integration of expert judgment with empirical information, which often can be incomplete, imprecise, and fragmentary. The representation of knowledge in classical risk models depends on the formulation of a precise probabilistic value or well-defined joint distribution of unknown parameters. However, expert knowledge and judgments are often represented in value-laden terms or preference-ordered criteria. We offer a novel approach to risk assessment by using a dominance-based rough set approach to account for preference order in the domains of attributes in the set of risk classes. The model is illustrated with an example showing how a knowledge-centric risk model can be integrated with the dominance-based principle of rough set to derive minimal covering "if ... , then...," decision rules to reason over a set of possible invasion scenarios. The inconsistency and ambiguity in the data set is modeled using the rough set concept of boundary region adjoining lower and upper approximation of risk classes. Finally, we present an extension of rough set to evidence a theoretic interpretation of risk measures of invasive species in a spatial context. In this approach, the multispecies interactions in an invasion risk are approximated with imprecise probability measures through a combination of spatial neighborhood information of risk estimation in terms of belief and plausibility.     

What Can Decision Analysis Do for Invasive Species Management?

Decisions about management of invasive species are difficult for all the reasons typically addressed by multiattribute decision analysis: uncertain outcomes, multiple and conflicting objectives, and many interested parties with differing views on both facts and values. This article illustrates how the tools of multiattribute analysis can improve management of invasive species, with an emphasis on making explicit the social values and preferences that must inform invasive species management. Risk assessment protocols developed previously for invasive species management typically suffer from two interacting flaws: (1) separating risk assessment from risk management, thus disrupting essential connections between the social values at stake in invasive species decisions and the scientific knowledge necessary to predict the likely impacts of management actions, and (2) relying on expert judgment about risk framed in qualitative and value-laden terms, inadvertently mixing the expert's judgment about what is likely to happen with personal preferences. Using the values structuring and probability-modeling elements of formal decision analysis can remedy these difficulties and make invasive species management responsive to both good science and public values. The management of feral pigs in Hawaiian ecosystems illustrates the need for such an integrated approach.     

Use of Advances in Technology for Maritime Risk Assessment

The maritime industry is moving toward a "goal-setting" risk-based regime. This opens the way to safety engineers to explore and exploit flexible and advanced risk modeling and decision-making approaches in the design and operation processes. In this article, following a brief review of the current status of maritime risk assessment, a design/operation selection framework and a design/operation optimization framework are outlined. A general discussion of control engineering techniques and their application to risk modeling and decision making is given. Four novel risk modeling and decision-making approaches are then outlined with illustrative examples to demonstrate their use. Such approaches may be used as alternatives to facilitate risk modeling and decision making in situations where conventional techniques cannot be appropriately applied. Finally, recommendations on further exploitation of advances in general engineering and technology are suggested with respect to risk modeling and decision making.     

Ecological Risk Assessment Framework for Low-Altitude Aircraft Overflights: II. Estimating Effects on Wildlife

An ecological risk assessment framework for aircraft overflights has been developed, with special emphasis on military applications. This article presents the analysis of effects and risk characterization phases; the problem formulation and exposure analysis phases are presented in a companion article. The framework addresses the effects of sound, visual stressors, and collision on the abundance and production of wildlife populations. Profiles of effects, including thresholds, are highlighted for two groups of endpoint species: ungulates (hoofed mammals) and pinnipeds (seals, sea lions, walruses). Several factors complicate the analysis of effects for aircraft overflights. Studies of the effects of aircraft overflights previously have not been associated with a quantitative assessment framework; therefore no consistent relations between exposure and population-level response have been developed. Information on behavioral effects of overflights by military aircraft (or component stressors) on most wildlife species is sparse. Moreover, models that relate behavioral changes to abundance or reproduction, and those that relate behavioral or hearing effects thresholds from one population to another are generally not available. The aggregation of sound frequencies, durations, and the view of the aircraft into the single exposure metric of slant distance is not always the best predictor of effects, but effects associated with more specific exposure metrics (e.g., narrow sound spectra) may not be easily determined or added. The weight of evidence and uncertainty analyses of the risk characterization for overflights are also discussed in this article.     

One Agency's Use of Risk Assessment and Risk Communication1

Few organizations have the courage to evaluate their own use of risk assessment (identifying hazards and estimating their probability and magnitude) and risk communication (interacting with internal and external stakeholder groups about risks). The USDA Animal and Plant Health Inspection Service (APHIS) wants to enhance its overall risk analysis process for managing a wide range of risks to animals, plants, and human health. We gathered survey data for a baseline of APHIS professionals’ understanding and use of risk assessment and risk communication. APHIS professionals spend a surprisingly large share of their time communicating about risks. They perceive that risk estimates influence decisions, but that risk estimates should have more influence. Respondents reported little opposition to APHIS risk management decisions, and little use of channels such as USDA Extension Service for disseminating risk messages. Substantial variance across responses is explained mostly by differences in the roles of the 11 work units (now 10) within the agency. Location also contributes to the variance. Demographic variables seem less important.